LAND DEVELOPMENT HANDBOOK SERIES

De1111berry®
LAND DEVELOPMENT HANDBOOK
ABOUT THE AUTHOR
DEWBERRY, headquartered in Fairfax, Virginia, is a fully inte-
grated engineering and architecture firm operating in more
than 50 locations throughout the United States. It consis-
tently ranks among the top 45 design firms by Engineering
News-Record, top 20 engineering/architecture firms by Build-
ing Design + Construction, and the top 5 engineering firms by
the Washington Business Journal. Working in multiple federal,
state and local, and commercial markets, Dewberry's services
include site/civil engineering and surveying; transportation,
transit, and ports and intermodal design; water, wastewater,
and water resources engineering; architectural and interior
design; environmental, coastal engineering and resilience
services; emergency management and mitigation; full-service
geospatial mapping and analysis; and alternative project
delivery inclusive of design-build, public-private partnerships,
and turnkey construction. The firm enjoys a reputation for
quality, deep subject-matter expertise, community engagement,
and putting the client first.
 LAND DEVELOPMENT HANDBOOK
A PRACTICAL GUIDE TO PLANNING, ENGINEERING, AND SURVEYING

I Dewberry·

Editor-in-Chief Sidney 0. Dewberry, PE, LS

Principal Editor: Cody A. Pennetti, PE
Editor: Christopher J. Guyan

FOURTH EDITION

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 To the hardworking Dewberry employees
who dedicate their talent, energy, and passion to building amazing places.
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CONTENTS

Foreword ix 4.3. Conceptual Design 355

Preface xi 4.4. Schematic Design 364
Contributors xv
CHAPTER 5: FINAL DESIGN
5.1. Components of a Site Plan and the
PART I: OVERVIEW Approval Process 380
5.2. Existing Conditions and Field Survey 395
CHAPTER 1: OVERVIEW OF LAND DEVELOPMENT 5.3. Transportation Design 417
1.1. Land Development Design Process 6 5.4. Grading 437
5.5. Stormwater 462
PART II: PRE-DESIGN 5.6. Utility Design 486
5.7. Erosion and Sediment Control 586
CHAPTER 2: DUE DILIGENCE
2. 1. Development Program, Site Selection,
PART IV: POST-DESIGN
and Defining Property 20
2.2. Comprehensive Planning 29
CHAPTER 6: PERMITS AND CONSTRUCTION
2.3. Zoning 41
6.1. Permits and Bonds 638
2.4. Subdivision Ordinance, Review Process,
Building Codes, and Development Costs 67 6.2. Construction Documents and Construction
Phase Services 650
2.5. Environmental, Geotechnical, and Historical
Considerations 79
PART V: APPENDIX
CHAPTER 3: SITE ANALYSIS AND ENGINEERING
FUNDAMENTALS CHAPTER 7: ADDITIONAL RESOURCES

3.1. Feasibility Study, Site Inspection and Plan Sheet 7.1. Technical Appendix 668
Comprehension 126 7.2. Types of Stormwater Management Facilities 686
3.2. Base Map and Site Diagram 144 7.3. Soils 709
3.3. Transportation Fundamentals 171 7.4. Floodplain Studies 745
3.4. Grading Fundamentals 207 7.5. Stream Restoration 751
3.5. Stormwater Fundamentals 225 7.6. Engineering Feasibility Study 761
3.6. Utility Fundamentals 255 7.7. Detailed Case Studies 779
7.8. Special Considerations for Public Sector
PART Ill: DESIGN Development 854

CHAPTER 4: CONCEPTUAL AND SCHEMATIC DESIGN Contributors and Reviewers of Prior Editions 862
4. 1. Preliminary Plan Submission and Site Studies 308 Index 863
4.2. Product Types and Development Principles 321

vii
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FOREWORD
Today, we are constantly reminded of the importance of infra-
structure engineering-aging structures, population growth,
diminishing resources, and a changing climate are all chal-
lenges faced by the engineering community.
These challenges are best overcome through collaboration
among industry leaders and by publishing technical content
that improves the knowledge-base of our industry. The Land
Development Handbook provides an enormous depth of tech-
nical content, which is authored by a multitude of professionals
working within an architecture, engineering, and consulting
firm that has a proven history of commitment to the industry.
Led by Mr. Sidney 0. Dewberry, this edition continues to keep
pace with social and technological changes. This edition builds
from the success of prior editions and has been revised with
• A new format to support use by professionals and
students-the sequential process of how information
is organized is beneficial to both novice engineers
and industry experts.
• A broadened approach to land development services
that include a range of public and private project
types, including retail, office, residential, recre-
ational, institutional, mixed-use, and others.
• Updated graphics that communicate complex techni-
cal concepts, developed specially for this book.
• Valuable context from a geographic expansion of
content and case studies based on a variety of project
topics including feasibility studies, resiliency, trans-
portation, stormwater management, and others.
• A refinement to every page to ensure all content
is current and relevant to current policies and
practices.
• New content for the environmental and sustainability
topics, which has been integrated in every applicable
topic ofland development.
As a leader in the civil engineering academic commu-
nity, and an active member of the American Society of Civil
Engineers, American Institute of Steel Construction, Ameri-
can Iron and Steel Institute and Structural Stability Research
Council, I sincerely appreciate when an industry leader sets an
example for supporting the advancement of civil engineering.
The continued publications and philanthropy of Dewberry
are examples of significant contributions to the land develop-
ment community. This community includes the educators,
developers, engineers, architects, and every individual that
benefits from the road, water, power, bridge, recreation, and
building systems that are imagined and designed by the hard-
working professionals.
I know that our industry will continue to face new
challenges and I am excited to see that a resource like the
Land Development Handbook is available and continuously
improved. Every year there are advancements in environ-
mental research, management techniques, design tech-
nology, transportation policies, and a multitude of other
systems that invent ways we can improve our built environ-
ment. I congratulate Mr. Dewberry and his entire team in
the achievement of this new publication-we appreciate the
passion and dedication of everyone that supports the effort
to grow our industry knowledge.
W. Samuel Easterling, PhD, PE, F.SEI, F.ASCE
Montague-Betts Professor of Structural Steel Design and
Department Head
The Charles E. Via, Jr. Department of Civil &
Environmental Engineering
Virginia Tech
ix
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PREFACE
When this business was launched in 1956 the Land Devel-
opment Planning, Engineering, and Surveying professions
were largely viewed as a backwater branch of Civil Engineer-
ing and not respected as a legitimate engineering field. Other
consultants looked down their noses at anyone engaged in
this practice and felt it was not "real engineering:' Since land
development consulting was how I made a living, I strongly
resented the notion. I felt then, and still feel now, that this is
a very noble profession. It requires expertise in all branches
of civil engineering including surveying, roadway design,
grading, drainage, water systems, wastewater systems, dry
utilities, and environmental science; as well as knowledge
of the related fields including urban planning, landscaping,
archaeology, and architecture. We also have a responsibility
to understand the economics, schedule, and vision of a proj-
ect. But more important than the experience gained as a land
development consultant, is the product of our diligent labor:
we work to improve our communities.
For this reason, I have devoted my career to elevating this
profession to the level it deserves.
In the early days, infrastructure was often considered an
inconvenience that reduced the overall budget of the proj-
ect. Few regulations required adequate drainage, utilities,
and other infrastructure to provide good, reliable access to
housing, employment, healthcare, public transportation,
and retail developments. We often clashed with our clients
Pictured left to right: Sid Dewberry, Jim Nealon, Dick Davis when the firm was known as Dewberry, Nealon & Davis. Leaning on Nealon's era 1935 airplane.
over these issues as we advocated for sustainable and resil-
ient infrastructure that exceeded the minimum standards.
Gradually, the localities mandated better infrastructure and
improved environmental performance through enhanced
standards and regulations. These requirements are still pro-
gressing and evolving today as evidenced by the tremen-
dous strides taken in the Green Building and environmental
movements. Today, most developers and localities acknowl-
edge the importance of infrastructure investments.
The profession of Land Development Consulting is now
recognized and respected among the engineering disciplines.
Every major A/E consulting firm has a land development
practice. It is taught in many colleges and universities and in
some cases, as its own specialty track within the civil engi-
neering program. Young people are aware of and attracted to
the profession. They enter this field inspired, bringing with
them new ideas, the most recent technology, and a youthful
perspective on the world that challenges us "old-timers" to
keep pace with the speed of learning, rise above convention
and truly innovate for the benefit of our clients and our com-
munities. I feel that our firm, in its way, has greatly contrib-
uted and remains attuned to this dynamic industry with the
Land Development Handbook series.
The first Land Development Handbook began as a dream
of mine many years ago. In the mid-eighties I committed to
developing a literary resource that could be shared with the
xi
xii
civil engineering industry. Rather naively, I thought a book
was something you sat down to do and finished within a few
weeks' time. How surprised I was to learn that it would take
years. The first edition of this text, in fact, took 7 years from
start to finish. When looking for interest from publishers,
I was pleased that many were anxious to publish and distrib-
ute the book. We then entered into what has become one of
the most treasured and unique business relationships I have
formed over the years with a premier technical publisher,
McGraw-Hill Publishing. After the first edition, McGraw-
Hill told us they would want us to update the handbook
every few years (if the book was successful). By their mea-
sures this book is a best seller for the industry and continues
to serve as a great resource. I'm proud to see the book in the
offices of our clients, in the hands of students, and on the
shelves of other design firms.
This business and our communities have changed dra-
matically since the first edition was published. To evolve
with these changes, we regularly update the book to capture
changes in policies and identify ever-changing design pro-
cesses. With this fourth edition we have also expanded the
scope of the book to better represent the expanded scope of
land development. New technologies, tightened econom-
ics, and more complex projects require a broader range of
knowledge. This fourth edition of the Land Development
Handbook has evolved into three books to focus on (1) busi-
ness, (2) design, and (3) construction. Together, these texts
are the Land Development Handbook series:
I. Development of the Built Environment is all about
business and economics of public and private projects.
This book is meant to improve understanding and
communication between consultants and developers/
owners to ensure greater success of projects.
2. Land Development Handbook continues to focus on
both the process and the technical design of civil
engineering. We also emphasize the importance of
public, private, and community relationships and
involvement. We can't design in a silo-everything is
connected to the community and the environment.
3. Construction Practices for Land Development
describes the construction and operations of a proj-
ect. Our industry is quickly trending toward design/
build processes. Design is influenced by construc-
tion and operation considerations, and the design
team should be actively involved in the construction.
I want to personally thank everyone who contributed to
the fourth edition. Having been through this process several
times before, I know the success of this exciting Dewberry
endeavor is due to the dedication of each team member. A
new edition of a book is no small task, and the develop-
ment of two new books is a monumental effort. This latest
edition truly represents a corporate-wide effort, as nearly
all our 52 offices have contributed in both large and small
ways. This diverse corporate presence has yielded valuable
insight and fresh perspective from across the country.
Our lead contributors, Cody Pennetti, Chris Guyan,
Kat Grimsley, and Claire White have demonstrated tremen-
dous dedication and passion toward a shared vision of cre-
ating a great resource for the industry. This team is unique
with backgrounds in both professional consulting and aca-
demia that adds depth to the content of the texts.
• Cody Pennetti served as an editor and contributor
for this edition of the Land Development Handbook,
and capably handled the complex task of managing
the production of the three book Land Development
Handbook series. Cody began his career with
Dewberry and has always been passionate about
the industry and continuous teaching and learning.
Cody is now pursuing his PhD at the University of
Virginia with a goal of serving in academia while
staying involved in land development consulting.
Cody lent a unique perspective and new ideas in this
undertaking and helped produce a great resource for
both the professional and academic industry.
• Christopher Guyan was instrumental in the devel-
opment of this edition of the Land Development
Handbook and operated as both an editor and con-
tributor. Chris joined Dewberry after earning his
undergraduate degree in civil engineering from
Penn State. He is currently working on his MS in
Urban and Regional Planning at Virginia Tech. He
has shown tremendous promise with his design work
and his efforts on the Land Development Handbook.
Chris has a strong focus on the planning and design
associated with land development. This focus has
helped shape some of the underlying themes in
this fourth edition to emphasize the importance of
planned development and the community.
• Dr. C. Kat Grimsley was the primary contributor,
writer, and editor for Development of the Built
Environment. This new text benefits from Kat's
extensive knowledge of commercial real estate.
She is the director of the Masters of the Real Estate
Development program at George Mason University,
has served at the U.S. Department of State manag-
ing an international development portfolio, and
has private sector experience working on financial
modeling and commercial transactions. Kat com-
pleted her doctorate at the University of Cambridge
in the United Kingdom with a focus on tenure secu-
rity and international property rights and has since
been appointed as a NAIOP Distinguished Fellow
and member of the UN Economic Commission for
Europe's Real Estate Market Advisory Group under
the Committee for Housing and Land Management.

• Claire White was the primary contributor for the
Construction Practices for Land Development. Claire
earned her bachelor's and master's degrees from
Virginia Tech and has experience working in the
consulting field, starting as an intern with Dewberry.
She has recently transitioned into a teaching role at
Virginia Tech where she focuses on land develop-
ment and real estate courses. From her consulting
and academia roles, Claire has witnessed the critical
role of engineers and the development team during
the construction phase of a project. She has struc-
tured the text to help engineers improve design and
further contribute to project success by anticipating
construction processes.
Thank you all for your commitment to this endeavor!
I also recognize that the efforts of these individuals are sup-
ported by family and friends that work behind the scenes.
I want to sincerely thank those that are always there to sup-
port us while we work on these demanding projects. I have
continued to hold the role of editor-in-chief for the fourth
edition of the Land Development Handbook and the two
new books in the series and have been proud to work with
this team.
I also want to extend a special thank you to Dottie Spin-
dle, my administrative assistant, who took care of the little
things, the big things, and everything in-between so that I
could focus on the things that truly matter to me, like these
books and this company. Keeping me on schedule and on
task is a challenge, but it is one she embraced with a smile
for 33 years up until her recent retirement. Her replacement,
Janice Spillan, a career executive assistant, has picked up the
pieces seamlessly and continues to move the ball forward.
Many thanks to her as well.
Peer reviewers are a critical component of our text.
Those who think writing is difficult should try peer review-
ing (or editing); balancing criticism with encouragement
is a tall order. Our peer reviewers rose to this task under
tight timeframes and across great distances. Their expertise
was invaluable and that they were willing to lend it to this
endeavor speaks highly of their commitment to Dewberry,
to their practice, and to mentoring others. Dozens of other
engineers and planners within Dewberry have reviewed the
final book and reviewed any changes that we made to sec-
tions of the original editions that they had contributed. Every
region within the United States has certain procedures to go
through to obtain permits to do land development construc-
tion. Developers and public- or institutional-sponsored proj-
ects generally retain the services of local professionals who
are familiar with local regulatory requirements, but the basic
principles of design are universal.
I would like to extend my sincere gratitude to all our
clients for your continued support. Many of you have will-
ingly offered components of your projects for inclusion in
the text and we are happy to have your cooperation in this
PREFACE Xiii
unique project. In this edition, we've introduced case stud-
ies throughout the book-these real-world engineering
cases demonstrate the technical complexities of our profes-
sion while showcasing the exciting projects that we've been
involved with. These projects would, of course, not be pos-
sible without the shared vision of our clients.
Two other individuals that have contributed greatly to
this edition are Matt Pennetti and Dave Huh. Matt is an art-
ist who developed hundreds of new illustrations and had the
complex task of creating graphics of technically complex
topics. Dave is a talented photographer at Dewberry who
has an amazing eye for showcasing our projects in the best
way possible. Our profession relies heavily on communica-
tion through graphics (plans, drawings, details), and these
two professionals have contributed amazing works of art that
complement the technical content of the books.
Craig Thomas, Dewberry's General Counsel, helped us to
initiate this project with McGraw-Hill, has overseen all the
contractual arrangements since we first published the Land
Development Handbook many years ago, and has been a valu-
able legal resource throughout. Thank you, once again, for
your support in this endeavor.
Finally, I want to express my deep regard for our partner in
this effort, our publisher Lauren Poplawski of McGraw-Hill.
She took over a large project and has been instrumental in
the development of the new edition of the Land Develop-
ment Handbook and the expansion of the Land Development
Handbook series. Thank you for believing in us, for helping
us elevate land development consulting as a profession and
making one of my dreams-this book-come true, again!
In 1956, if you had told me that our six-person land devel-
opment consulting company would grow into becoming one
of the top 50 A&E companies in the United States, I would
have thought you were nuts! I learned the hard way that real
estate development was subject to the many ups and downs
of the economy. For that reason, we sought early on to diver-
sify our company into other facets of the A&E business. This
diversification effort has been hugely successful for us, but
land development continues to be one of the primary under-
pinnings of our practice. We love it and every new project
continues to get the enthusiasm and professional care that
we gave when we were first trying to get established. I would
urge the thousands of small land development consultants
throughout the United States to always consider the connec-
tion between the projects across geographies, design firms,
the environment, and communities. It's necessary to diver-
sify our skillset to adapt to industry changes and economics
while also considering the big picture of our responsibili-
ties as design professionals. And ultimately, deep down, we
get supreme joy out of helping plan and build safe, healthy,
financially feasible, sustainable, and beautiful places for peo-
ple to learn, work, worship, shop, play, and live.
When I was born, 91 years ago, the horse and buggy had
almost been completely replaced by the horseless carriage.
Telephone, radios, and electricity were getting to be the norm.
xiv
Television was just coming on the scene. The information
technology era was being developed. Population in the
United States had grown from 120 to over 328 million today.
Air travel was beginning to be a serious competitor of rail,
road, and water. The United States had been completely
rebuilt. It is now a different place-totally new in just one
lifetime. My first great grandchild, who is 18 months old, will
see even more rapid changes with driverless cars and intel-
ligent machines taking over our day-to-day activities, along
with changes in healthcare. All these things will surely be a
challenge to the engineers and scientists to provide solutions.
Just in the next few years, many of these changes will have a
huge impact on society, and how the engineers and scientists
provide solutions for them will be amazing. Oh how I wish I
were a young engineer facing these opportunities to provide
solutions to the many challenges!
Sidney 0. Dewberry, PE, LS
Chairman Emeritus, Dewberry
Editor-in-chief
CONTRIBUTORS

Primary Editors and Contributors of the 4th Edition Additional Contributors

Sidney 0. Dewberry, PE, LS C. Kat Grimsley, PhD
Editor-in-Chief, contributor
Claire M. White, PE
Cody A. Pennetti, PE
Principal editor, contributor Matt A. Pennetti
Illustrator
Christopher J. Guyan
Editor, contributor Dave Huh
Photographer

Aileen Heberer, Molly Johnson, Kimberly Mc Vicker

Dewberry corporate information and cover art content

Craig N. Thomas, General Counsel Dewberry

Legal advice and guidance

Reviewers of the 4th Edition

Daniel T. Anderton, RLA Illena Ivanciu, PhD
Site Selection, Comprehensive Planning, Zoning, Environmental and Historic Preservation, Post-construction
Subdivision Ordinance, Review Process, Form Based Code Services

Tim Belcher, PE Gary Kirkbride

Subdivision Ordinance, Site Selection, Components Overview, Due Diligence, Comprehensive Planning,
of a Site Plan, Approval Process, Bonds, Bond Estimates, Zoning, Subdivision Ordinance, Review Process,
Permits Environmental and Historic Preservation, Conceptual
Design, Schematic Design, Development Types
Andrea Burk
Historic Preservation Larry Smith, PE
Environmental Planning
Brian K. Bradner, PE
Grading, Stormwater Fundamentals Brian Sayre
Natural resources
Chris Cirrotti
Feasibility Study, Road Design, Site Selection, Development Zach Davis
Types, Conceptual Design, Schematic Design, Components Cultural resources
of a Site Plan
Steve Eget, PE
Dennis Couture, RLA Regulatory compliance
Site Selection, Development Types, Conceptual Design
Robert "Skip" Notte, PE
Jesus H. Echevarria, LS Utility Design
Base Maps, Existing Conditions, Field Survey

Bill Fissel, PE The contributors and reviewers of prior editions, who built
Complete Review the foundation of this textbook, are listed on page 862.

xv
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PART I

OVERVIEW
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 CHAPTER 1
OVERVIEW OF LAND DEVELOPMENT
The conversion ofland from one use to another is the gener-
ally accepted definition of land development. This is a very
broad term, but as used in this book, this definition applies
to land conversion and infrastructure improvements com-
pleted by public, quasi-public, and private developers for a
variety of project types. Schools, parks, government facilities,
public roads, transit systems, airports, utility networks, hos-
pitals, office complexes, residential communities, industrial
facilities, and retail centers are just some of the types of proj-
ects within the realm of land development. In all cases, land
development should be performed responsibly and sustain-
ably to improve communities for people to live, work, wor-
ship, shop, and play.
Today, the process for finding solutions and developing
scenarios for land use that serve the greater good is a system-
atic one. The team working on land development projects
focus on the preparation of required documents to secure
the land entitlement approval from official having jurisdic-
tion. These officials issue permits for the development of a
project. The process also requires the preparation of con-
struction documents, typically consisting of construction
drawings and technical specifications, to fully detail the con-
struction requirements of the proposed project. The engi-
neering principles outlined in this book are applicable to any
project, regardless of its nature.
This book is, in its entirety, an overview of the land design
process as it applies to civil engineering, planning, and sur-
veying. The term "site engineer" is used in this text to distin-
guish between other civil engineers that exclusively focus on
structural, geotechnical, traffic, or other disciplines that fall
within the practice of civil engineering.
PRE-DESIGN DESIGN
CHAPTER2 CHAPTER3 CHAPTER4
Due Dilligence Site Analysis Conceptual &
Schematic Design
FIG uRE 1 . 1A The land development design process.
The site engineer, planner, and surveyor are an integral
part of the development team. They are usually among the
first to arrive on the site and the last to leave after comple-
tion. They help guide and direct the process from start to
finish. This text presents the material in a sequential order
according to the typical land development design process;
however, it is rare to see a "typical" project or process.
By the nature of land that the project is built from, every
project is unique. The terms "generally;' "often;' "usually;'
"typical;' and other conditional notes are used in the text
to acknowledge the variation in project requirements.
Every professional should be aware of the applicable proj-
ect requirements and project goals. For the projects, cases,
and material not specifically identified in this text, the
fundamentals and principles mentioned herein provide a
resource for design professionals.
Figure 1. IA provides a graphic representation of the con-
tent associated with each chapter of the Land Development
Handbook. The book begins with a focus on pre-design site
investigation and analysis efforts, transitions into planning
and engineering design phases, and eventually describes the
permitting and construction phase (post-design). Each chap-
ter is divided into subchapters (e.g., Chapter 2.1, Chapter 2.2,
etc.) with detail on different topics. Chapter 7-Additional
Information has supplemental information relevant to spe-
cific topics of land development. Additionally, case studies
are included throughout the book to provide context to the
material presented. The format of how information is pre-
sented in this book is intended to follow the typical process,
but some of the earliest project efforts require expertise in all
aspects of design and consulting.
POST-DESIGN
CHAPTER 5 CHAPTER 6
Final Design Permits &
Construction
3
4 bitUHi► i i·MU:i@1i,ii!ii1¥1fM@i@i

SPECIAL CONSIDERATION FOR PUBLIC AND SEMI-PUBLIC SECTOR DEVELOPMENT PROJECTS

Public sector developers are government entities at either the federal, state, or local level.
The public sector is an extremely active developer, responsible for both infrastructure projects, such as highways, and
building projects, such as post offices, courthouses, military hospitals, and local schools or state universities. Semi-public
and non-profit entities are also active developers whose projects can include hospitals, university facilities, and other
buildings that serve the public. The fundamental development tasks are essentially the same for both public and
private sector developers: they must find and evaluate a potential site, obtain funding, and coordinate the design and
construction of each project. The technical engineering principles cited in this Handbook are applicable to any project,
whether it be a private development or a public, semi-public, or non-profit project.
Despite high-level similarities, however, the priorities and processes of public sector developers are extremely different
from their private sector counterparts. Public sector development projects at federal, state, and local levels are all subject
to unique challenges created by funding limitations, changes in political will, and formalized bidding processes. Similar
limitations exist for semi-public and non-profit developers. Unlike private sector activities, public development is not
driven by the desire to earn profit but rather by the need to provide services to citizens. Public projects typically begin
as a function of evaluating public needs and current capacities; funding must then be appropriated and permission
obtained for the public sector developer to begin a formal procurement processes.
The government's role in serving its citizens is directed by elected officials at the federal, state, and local levels. Political
will refers to the degree to which these officials, individually and collectively, support a project as a matter of priority
and are willing to commit resources to it. This often means allocating funds, but may also involve advocating for needed
approvals, supporting related policy changes, and championing the project despite citizen opposition or party dissent.
The willingness of elected officials to support projects depends in part on the nature of the project itself but can also be
heavily dependent on a politician's individual beliefs or priorities, lobbying influences, current citizen responses, reelec-
tion considerations, and other competing priorities. Citizen opposition to a particular project, especially during an elec-
tion cycle, can have disastrous results if/when political candidates engage in election-oriented behavior and withdraw
support in order to satisfy voters and boost reelection chances. Election results that lead to a change of office for key
political supporters of a project can easily result in a lengthy delay or even cancelation of the project.

FIG uRE 1A Example of a public project-Tolleson Police and Municipal Court; Tolleson, AL
 1 ■ OVERVIEW OF LAND DEVELOPMENT 5

Even when projects receive the necessary approval and support, public sector developers are accountable to tax payers
and political leaders for their results and, as such, are required to comply with a multitude oflaws, regulations, and poli-
cies that guide everything from procurement to construction practices. The federal, state, and local regulatory structure
is complex and prescriptive, including components that are sometimes overlapping or inter-dependent. In instances
where a state project benefits from federal funding, such as for a National Highway System road project, the state must
comply with both relevant state and federal regulations. This serves to add another layer of complexity to any project and
often binds states to federal procedures. These controls are intended to ensure responsible stewardship of tax revenue,
fair competition, and transparency in government operations; however, somewhat ironically, this cumbersome structure
often makes the public sector process less efficient and more costly than that of the private sector.
Public sector developers do not use traditional loans to finance their projects. Instead, they rely on sources such as
appropriations from tax revenue or the issuance of bonds. Regardless of the specific form, obtaining public sector fund-
ing for development projects involves a lengthy approval process that often requires the public sector developer to sub-
mit project budget estimates a year or more in advance of undertaking a specific project. While it is understandable that
the public sector must engage in long-term budgetary planning exercises, accurate estimates for the cost of materials
and labor for future development are difficult to predict so many years in advance. Further, approval for development
projects and must compete for funds with other spending priorities. For these and other reasons, federal, state, and local
public sector developers can all find themselves facing budget shortfalls when the time comes to actually begin a devel-
opment project. As a result, partnerships with the public sector are being used with increasing frequency as a strategy
to offset funding shortfalls. Public-private partnerships, also called PPP or P3s, are projects in which a public sector
government agency works in partnership with a private sector developer in order to complete a public-sector project.
Note that in a P3, the private sector does not necessarily pay for the project, but does finance it. P3s reallocate risk and
responsibilities between the public sector and private sector, often leading to cost and time efficiencies, as well as techni-
cal innovations not previously accessible to the public sector.
The challenges and unique considerations of public sector developments will be discussed in greater detail in
Chapter 7.8.

FIG uRE 1 B Example of a public highway project-lntercounty connector Route 29 over Briggs Chaney Road, aerial, Montgomery & Prince
George's County, MD.
 CHAPTER 1.1
LAND DEVELOPMENT
DESIGN PROCESS
1.1.1. Introduction
Land development design and consulting constitute the sys-
tematic process of collecting data, studying and understand-
ing the data, extrapolating the data, and creating plans for
reshaping the land to yield a project that is politically, eco-
nomically, and environmentally acceptable. Land develop-
ment ties together a wide range of interests, pressures, user
groups, and economic goals; thus it is a design field that is
heavily influenced by the surrounding context-political,
economic, environmental, and cultural-within which the
land development will take place. This contextual influence
has driven the development of laws that provide a common
framework for land planning and design, and has directed the
focus ofland development efforts throughout U.S. history.
Land development consulting merges the science of city
building with the art of placemaking through a collaborative,
multidisciplinary approach to project delivery. The challenge
for land development professionals is to understand the
factors contributing to the demand for growth and expan-
sion. Part of that understanding includes knowing where
the industry has been and how it evolved into the practices
and procedures of today. The other part is understanding
the nature of the land development industry and how to
maintain the standards of quality, flexibility, and value that
we have attained. Design professionals must meet the chal-
lenges of today while not losing sight of yesterday's lessons
and today's high standards.
1.1.2. Public and Private Project Types
The most important distinction of project types to make is
between developers operating in the private sector versus the
public sector. While private sector developers are individu-
als or corporations, public sector developers are government
6
entities at either the federal, state, or local level. Land devel-
opment is often attributed only to private sector work, but
public sector development represents a major component of
the development industry. Examples of public sector develop-
ment projects include large-scale infrastructure projects such
as highways, post offices, courthouses, government-owned
agency office buildings, and local schools or state universities.
The project type, as public or private, can influence the
land development design process. This reiterates the point
that each project is different but still generally follows the
same path. The land development process can be fluid, but
projects still have the same requirements that must be met.
Understanding the process and the requirements will lead to
success for any project.
The fundamental development tasks are essentially the
same for both public and private sector developers; they must
find and evaluate a potential site, obtain funding, and coordi-
nate the design and construction of each project. Public and
private developers both must interview and hire technical
experts who form their development teams. Public and private
sector developers must also be knowledgeable enough about
all aspects of the development process to play an active role
in coordinating their teams' activities. Despite these high-level
similarities, however, the priorities and processes of public and
private sector developers are extremely different.
Public Sector. Development within the public sector is
a relatively prescribed function of evaluating public sector
needs and current capacities, appropriating necessary fund-
ing, and gaining permission to begin a formal procurement
process. The mechanisms guiding public sector development
are generally inflexible, but the public sector can be just as
innovative and passionate about projects as the private sec-
tor. Perhaps unsurprisingly, as a developer the public sector
 1.1 ■ LAND DEVELOPMENT DESIGN PROCESS 7

is risk averse and rule oriented. Public sector developers are Typical Members of Development Team
accountable to tax payers and political leaders for their results
ClienVDeveloper
and, as such, are required to comply with a multitude oflaws,
regulations, and policies that guide everything from procure-
ment to construction practices. The federal, state, and local Legal Team Business Team Design Team Construction
Team
regulatory structure is complex and prescriptive, including
components that are sometimes overlapping or interdepen-
Land Use Broker General
dent. These controls are intended to ensure responsible stew- Attorney Contractor
Lenders
ardship of tax revenue, fair competition, and transparency in Property
government operations; however, somewhat ironically, this Manager
Sub Contractors
cumbersome structure often makes the public sector process Marketing
Professional
less efficient and more costly than that of the private sector.
Equity Partner
Private Sector. Private sector developers are (usually)
incentivized by profit-seeking activities, which can make
Building Team StteTeam
them appear to be unsupervised opportunists when com-
pared to their public sector counterparts. Unlike many devel-
opment team members, developers are not licensed and are Architect Site Engineer Geotechnical
constrained only by their own partnership relationships or Structural Landscape Engineer
Engineer Architect Traffic
sometimes, for larger development firms, investment com-
MEP Engineer Surveyor Engineer
mittee approvals. Private developers tend to be optimistic Environmental Land Planner
and can have a fairly high tolerance for risk, calculated or Engineer
otherwise, as compared to other professions.
FIG uRE 1.1B Typical members of the development team.
Private sector developers typically generate revenue by
(1) charging fees for their work, (2) creating value for inves-
tors and selling properties after they are built or entitled,
(3) receiving rental payments from tenants in properties they the development team, but the organization chart is gener-
build and continue to own, and (4) by appreciation in the ally defined by Figure l.lB.
value of their ownership position in properties they build and As shown in the organizational chart, the client/developer
continue to own. In virtually all cases, profit cannot be real- represents the position of authority of establishing require-
ized until after a development project is completed, meaning ments and making project decisions. The client/developer
that during the development process itself, developers must looks to the rest of the development team for consulting
take the risk that unexpected factors will reduce or eliminate and design services. The legal team includes the land use
their future earnings. To safeguard future returns, develop- attorney-a critical team member that can navigate land use
ers will constantly seek to control project costs and timing. and zoning laws. The business team is primarily involved
Anything that increases either of these two critical factors in the financial elements of the project and includes the
will weaken the project's overall profitability and, in serious broker, lenders, marketing group, property manager, and
circumstances, can negatively affect the developer's ability equity partner. The design team is separated into a build-
to repay investors and lenders. The sooner a project is com- ing team that focuses on the vertical development and the
pleted, the sooner the developer can begin to earn revenue site team that focuses on the site infrastructure (horizontal
and generate profit. development). The construction team is generally engaged
Some organizations may not fall under the public sec- toward the end of the design phases and includes a gen-
tor but may operate differently from other for-profit private eral contractor with subcontractors that perform different
developers. A charitable foundation, low-income housing trades. This text focuses on the design team with an empha-
developer, animal shelter, hospital, or other similar nonprofit sis on the role of the site engineer and how they interface
organization will have different goals from a for-profit devel- with other team members.
oper but will be subject to many of the same permit process- There are several other professionals that can be included
ing and development requirements. in the development team, and in some cases, not all the team
members identified in Figure 1. 1B will be needed for every
1.1.3. Development Team Structure project. The type of project will influence the role of each
The development team, as defined with this text, includes team member. For example, in a traditional neighborhood
all members involved in the project from pre-design efforts project, the site engineer and land planner will be the pri-
through construction. The team is generally categorized by mary members of the design team. For a roadway or utility
legal, business, design, and construction teams that (should) project, the building team would not be involved at all. If a
work together to meet project requirements and develop a project focuses primarily on the redevelopment of an exist-
successful project. The reporting structure of each project ing building in a city, the site engineer will hold a tertiary
may change based on the project's contractual hierarchy of position to the building team.
a bitUHi► i i·MU:i@ i,ii!ii1¥1fM@i@i
1
For a project to be successful, the development team
requires the support of the community and local jurisdic-
tion. While these entities are not official team members,
they will often influence the design and progression of a
project.
A detailed description of each team member's position is
provided herein.
Client/Developer. The client/developer is referenced as the
developer in this text but can represent a land owner, owner's
representative, public entity, or other authority that estab-
lishes the project requirements. Several examples of different
developers are listed:
• A developer interested in subdividing a large tract of
land for a new neighborhood.
• Homeowners interested in seeing the development
potential of their property.
• An owner's representative for a hospital that has
been hired to manage the development of a future
expansion.
• A retailer considering multiple sites for a new store.
• A landowner looking to build an addition to an exist-
ing building.
• A government agency looking to construct additional
public buildings.
• A department of transportation (DOT) interested in
building a new public road.
• A utility provider extending, upgrading, or repairing
service.
• A university redeveloping the campus for new hous-
ing or classrooms.
The distinction between the client and developer is
important-while they may often represent the same entity,
in some cases the contractual hierarchy will be structured
such that a site engineer's client is an architect, and the archi-
tect's client is the developer. Additionally, the client may be
the land owner, but the program manager for the develop-
ment is a separate company (often referred to as the owner's
representative). The reporting structure and relationship
should be defined in the contract language between the client
and members of the development team.
The role, experience, and responsibility of each developer
will vary. In some cases, the developer will look to the design
professionals for guidance through the process. In other
cases, the developer may have enough experience such that
they are only seeking design services from the team. Many
developers are not inherently familiar with the design pro-
cess, and all team members should work together to develop
the project schedule and review project requirements. Unre-
alistic project schedules and late changes to design require-
ments will burden the design team, and often result in costly
errors that arise during the construction phase. The expec-
tations should be clarified early in the project, so all team
members understand their roles and responsibilities.
Legal Team. The land use attorney for a project is critical
throughout the entire design process and through construc-
tion. A land use attorney should be familiar with the legal
and political aspects of real estate development. The land use
attorney will assist the team on legal aspects of development,
such as deeds associated with easements, interpretations of
local codes, document recordation, and authoring proffers or
development conditions. Additionally, the attorney may serve
as an advocate for the developer during negotiations with the
public agencies and may lead the presentations to the com-
munity during public meetings. The design team, especially
the site engineer and the surveyor, will coordinate closely with
the attorney and developer throughout the project phases.
During early phases of the project, the attorney will advise
the developer on allowable uses of the land based on zoning
and other regulatory requirements. If a developer is unable to
use the land for the desired purpose, the attorney will work with
the development team to process the necessary entitlement
applications. The attorney will have a major role in projects that
require rezoning, variances in zoning, or special permits. The
involvement of the land use attorney will extend through the
design process and into construction for coordination with
the title company and lender for construction draws.
Business Team. The business team is a reference to those
team members that are primarily responsible for the mar-
keting and financial aspects of a project. This team interacts
with the developer, and there is likely minimal coordina-
tion between the business team and the other profession-
als. Lenders and equity partners often provide the financial
means for project development. A marketing team may
advise the developer of potential tenants, appropriate home
prices, growth potential, demographics, and other market
conditions of the area. The brokers will often coordinate with
leasing, specifically for a commercial site, as they work with a
developer to find appropriate tenants for retail space.
The business team will likely be involved throughout the
duration of the project, focusing on marketing research in
early phases and then financing prior to design and through
construction.
Design Team. As a part of the development team, the design
team includes the building team and site team for the project.
The design team members are required to be licensed profes-
sionals including architects, engineers, and surveyors to sign
and seal plans that are submitted for permit. There is often a
significant amount of coordination between all design team
members, and in some cases, there may be an overlap of
responsibilities. For example, the architect may provide ini-
tial site layout designs to depict the proposed building loca-
tion, which is then validated or refined by the site engineer.
As noted in the preceding section, the contractual hierarchy
may be established such that some design professionals act
as the client for other design professionals, or all may be con-
tracted directly with the developer.

Building Team. As a part of the design team, the building
team focuses on the vertical design. Team members include
the architect, structural engineer, and MEP (mechanical,
electrical, plumbing) engineers for the project. This team will
work on the building plans that are used to secure a building
permit. The building plans and permit often rely on the site
design and permit, and all information should be carefully
coordinated. The building team will have a different design
process and schedule than the site team, but ultimately both
design sets and permits are necessary prior to starting work
on a project with a building.
The architect is often involved in early phases of the proj-
ect and may even provide an initial site layout for the proj-
ect. In later phases of design, the architect and site team will
often refine the layout based on site engineering, landscape
architecture, and geotechnical requirements. Throughout the
design phases of a project, the building team and site team will
exchange design information on a regular basis and will bal-
ance design requirements across the various disciplines. The
building team and site team will coordinate on building size,
location, building access points, accessibility requirements,
utility connections, grading along the building face, and other
interface considerations. As noted in the preceding sections of
this chapter, a building team will not be involved in projects
that focus exclusively on infrastructure (roads, utilities, etc.).
Site Team. As a part of the design team, the site team
focuses on the infrastructure design and surveying associ-
ated with the project. Some of the team members (surveyor,
traffic engineer, geotechnical engineer, environmental engi-
neer) are involved in various phases of design to collect and
report site data. Other team members (site engineer, land-
scape architect, and land planner) will have a significant role
in the planning, designing, and permitting throughout the
entirety of the project.
The surveyor is usually involved in the early phases of
design for boundary and topographic survey work and is
involved again during later phases of design to prepare ease-
ment, subdivision, consolidation, and other relevant plats.
The traffic engineer is involved in early site analysis work and
will compile traffic studies as needed. The traffic engineer
may also be involved in supporting transportation design for
a project. The geotechnical engineer will perform soil inves-
tigations and prepare reports and recommendations based
on soil conditions. Additional documentation and report-
ing may be necessary from the geotechnical engineer if war-
ranted by the proposed buildings and grading conditions.
During construction, the geotechnical engineer will provide
soil investigation and testing services. The environmental
engineer will be involved during early phases of site analysis
in determining environmental conditions and requirements
of the site and in processing environmental permits and pre-
paring mitigation plans as required.
The site engineer, land planner, and landscape architect
serve as the primary designers for the infrastructure, site
layout, and landscape design. A land planner is a role that
may be served by a certified planner or informally held by
1.1 ■ LAND DEVELOPMENT DESIGN PROCESS 9
another member of the design team (usually, the architect
or site engineer) depending on the site characteristics. These
design team members coordinate closely to avoid conflicts
in site features while delivering a functional and attractive
site design. This text focuses primarily on the role of the site
design team with a specific focus on the site engineer.
Construction Team. As a part of the development team, the
construction team includes a contractor and subcontractors.
The general contractor is responsible for coordination between
the design team, developer, and subcontractors to perform the
construction work of a project. A contractor will have a differ-
ent role, depending on whether a project follows the traditional
design-bid-build process or follows a design-build process.
With design-bid-build, the developer works with the other
members of the development team to secure a permit and
request bids from contractors to perform the work. In design-
build, the design team and the contractor work together to
prepare design documents. Additional information on project
delivery methods is described in this chapter.
The contractor is typically involved in the later phases of
the project, near the time permits are secured for construc-
tion (if the project follows a design-bid-build project deliv-
ery method). During construction, the contractor will work
with the design team and developer and may coordinate
shop drawings, request for information (RFI) documents,
project addendums, or other post-design-related tasks.
1.1.4. Public Involvement
In today's land development practice, a working knowledge
of the public process is essential for success. The commu-
nity and public agencies should be considered as part of the
development team. Even though the public agency involve-
ment may seem mostly regulatory, in many jurisdictions,
public entities have the power to shape projects, deny appli-
cations, and grant approvals. It is necessary to understand
the applicable regulations and submit compliant plans that
are legible and complete.
Involvement by public agencies is pervasive and must
be understood thoroughly by the land designers, as there
are many agencies involved, often with conflicting goals.
Approvals must be obtained from all involved agencies
before the project can proceed. Compliance with applicable
rules and regulations is often required by ordinances or local,
state, or federal law. A brief description of representative
agencies and selected rules is included throughout this book.
The nature of public agency involvement varies greatly
from jurisdiction to jurisdiction and agency to agency. Fed-
eral regulations, however, are reasonably consistent. Each
state has its own set of rules that are dissimilar to other states.
Even within a state each county, town, and city can be differ-
ent. Projects within the same ZIP (zone improvement plan)
code may have different requirements. Sometimes regional
authorities have jurisdiction for such services as sewer or
water. It is imperative that the development team thoroughly
understand the rules of all the agencies having jurisdiction
over a project.
10 i@U4ii l NU:@¥il!i/i,i@IWJ:1:@i
1
Citizens have become much more involved in the process
of approvals for a project. It is important to respect the opin-
ion and goals of the community. Some design changes may
seem insignificant to the development team but could pro-
vide a benefit to the community and garner support. There
may also be opposition to a project only because of a lack
of understanding. The communication, design, and negotia-
tion process are critical elements to a successful project, even
if it is not always a formal process or requirement.
1.1.5. Project Communication
As described in the preceding section of the development
team members, a land development project involves a multi-
tude of people with many different expertise and roles. For
the project to be successful, good communication is para-
mount. The entire development team should work closely
to define the requirements for the land development design
process and each design phase of the project. There is no uni-
versal method for preparing design documents. The sche-
matic design for one project may look different on another
project, and some projects may not even require a schematic
design phase. Therefore, communication within the teams
and between the teams is important.
A good communication process requires members
of the team to be in constant contact with each other,
approval agencies, and with citizens. A project undergoes
many changes between its inception and completion. These
changes occur very rapidly and for many reasons. It is
imperative to communicate changes and updates to the right
people at the right time. To do this effectively, one must ulti-
mately know what has transpired and understand how and
when to communicate the information. Project information
will be presented differently when provided to a technical
expert compared to a nontechnical stakeholder. The ability to
effectively communicate through writing, presentations, and
graphics is an important credential for the land development
professional. Further, documentation of project-related cor-
respondence is critical from a business standpoint. Consul-
tants should maintain a prudent plan for tracking, recording,
and retrieving all forms of project correspondence.
It is important to present ideas clearly and precisely. Good
public speaking skills before small and large groups is nec-
essary in many professions, but it is particularly important
in land development where presentations to public approval
agencies often make or break a project. This includes skills
in adapting material for a technical audience, nontechnical
group, or a mixture of the two. Accuracy should be unques-
tionable and authentic enthusiasm is a key ingredient. The
ability to communicate effectively, regardless of the media, is
an essential quality for a consultant.
1.1.6. Responsibilities of the Site Engineer
The term "site engineer" is used in this text to reference the
civil engineer responsible for the site infrastructure scope
of work for a land development project. The term is used
to distinguish the role of the site engineer from other civil
engineering disciplines (structural, environmental, geotech-
nical, traffic, etc.). The roles and responsibilities of the site
engineer, an important member of any land development
team, are the focus of this book.
A registered professional engineer has the authority to
sign and seal design documents that are used for permit
issuance. As outlined in the National Society of Professional
Engineer (NSPE) Code of Ethics, a fundamental responsi-
bility of a professional designer is to "hold paramount the
safety, health, and welfare of the public:' The public relies
on the honesty and integrity of professionals to perform
actions in a manner that adhere to the professional eth-
ics. The technical complexity of site engineering requires
the professional to continuously apply solutions based on
engineering judgment. This responsibility extends beyond
technical analysis.
The site engineer operates as both a technical professional
and a consultant. The technical responsibility of an engineer
includes the application of natural sciences and adherence to
local land development regulations. The consultant role does
not have a set of prescribed requirements and relies heavily
on the judgment of an engineer as they provide design solu-
tions to the development team. This responsibility involves
decision making, which relies on an understanding of proj-
ect requirements while considering economic and environ-
mental context to provide the best solutions. Most projects
have a multitude of technically correct solutions, but the best
design must be decided by the engineer and the development
team.
The work performed by an engineer is often arduous.
Each design for a project will be unique, which means the
design has never been tested-the complexity of this task
is compounded by aggressive schedules with minimal con-
tingencies for rework. A new design must be developed for
each project based on careful analysis of available informa-
tion while considering the potential for unforeseen project
conditions that may require design changes. The engineer
is responsible for following a systematic process of design
and development with attention to quality while also meet-
ing the aggressive schedule requirements. The balance
of schedule, budget, and quality requires expert project
management.
The amount of reference material focusing on land
development and specifically project design is extraordi-
nary. Similar is the case with the volume of resource materi-
als that more singularly focus on specific development and
building prototypes such as residential, commercial, indus-
trial, office, recreation, mixed use, planned communities,
waterfront, golf course developments, etc. Basic to the suc-
cess of project design is the need for the designer to have
an appreciation for the concepts and standards identified in
that body of information. Historically, land development is
steeped in technical solutions. These projects satisfy a mul-
tiplicity of functional and regulatory requirements inherent
to site engineering and ultimately program constructability;
however, they do not necessarily address the environmental,

social, sensory, or visual dimensions, which are fundamen-
tal components of the built environment. Design solutions
need to be based in a sensitivity to basic sociocultural, physi-
cal, economic, and political concerns, while reflecting the
importance of economic and marketing constraints. In pri-
vate sector land development activity, a design must be capa-
ble of being constructed and it must provide a financial (or
social) incentive to warrant its undertaking. No one profes-
sion possesses a monopoly on the diverse body of knowledge
and resources required to achieve quality land development
design. Land development is a process that is dependent on
diverse disciplines and an extraordinary commitment to
promote all aspects of the project with equal fervor.
Design Elements. Every development program comprises
elements that define, shape, and establish the essence of that
use. The constituent parts include both the physical-dimen-
sional-building blocks that house principal activities, as well
as the ancillary or support elements, which are necessary to
sustain the principal use. The former are the major space-
taking elements that characterize a land use and its related
building components. For example, the dwelling unit is the
principal building module in residential development. The
accessory uses include such considerations as connection
to vehicular or pedestrian circulation systems, and utility
requirements necessary to maintain a certain quality of life,
such as water, sewer, power, communications, etc. Collec-
tively, they constitute an operational "whole:' Project design
must address all of these elements. There may be several
ways to orchestrate a design that satisfies some of the basic
requirements associated with a given land use or product
type. However, the successful response seeks to reduce any
conflict with program objectives and optimizes the relation-
ship between all component parts. This approach applies to
large-scale and mixed-use projects as well. The manner in
which a site design addresses these requirements should be a
result of a conscious decision and not insensitivity to or the
ignoring of any component or relationship.
Project design requires an ability to understand the
relative needs and physical attributes of the program com-
ponents. More homogeneous uses at lesser densities or
intensities are generally more easily dealt with than mixed-
use programs at higher densities. As an example, there is sig-
nificantly more flexibility in siting a single-family residence
on a large lot than there is for an urban mixed-use project.
The challenge of site design rests in both knowledge of the
requirements associated with a given land use or building
type and an ability to make valid judgments and establish
priorities as to which requirements should take precedence
in formulating the design response.
Scope of Work. The scope of work for a site engineer is
contractually described through agreements between the cli-
ent/ developer and the engineering firm. The scope of work
will generally include the preparation of design documents
that are used to obtain project-specific permits. Inherent
to the design services, the engineer is required to coordi-
nate with the development team, public agencies, and the
1.1 ■ LAND DEVELOPMENT DESIGN PROCESS 11
community. An engineer may be responsible for answering
to another design professional (such as the architect) and
may be responsible for managing subconsultants that pro-
vide professional services associated with the land develop-
ment design.
Design coordination should be carefully managed-each
design professional is working through an iterative and
incremental design process in the same way the site engineer
is. Project design elements are often negotiated between the
building, landscape, infrastructure, environmental, geotech-
nical, and other site requirements. The design team should
work together to determine the best solution for the site
based on project requirements and site constraints. Because
of the importance of infrastructure, the site engineer will
often establish or validate building locations and site fea-
tures. The typical scope of work for a site engineer involves
all aspects of the land development design process.
1.1.7. The Land Development Design Process
The land development design process is iterative and incre-
mental. Many projects will investigate several design alterna-
tives before working toward a preferred option, which will
be refined through several more iterations. By the nature
of the land a project is built from, each project is unique
and requires a tailored design process that ensures project
requirements are met. There are many different terms and
processes used for project design phases-each developer,
jurisdiction, or contract may use different terminology and
processes. It is important for the development team to iden-
tify the design process and the terminology prior to estab-
lishing requirements and starting the project. In general, the
project process will begin with analysis and feasibility, transi-
tion into design phases, and eventually move into construc-
tion and commissioning.
The stages of design encompass pre-design efforts, design
efforts, and post-design efforts. These stages are not always
linear, and some may be omitted on certain projects. The
complexity of design and variability of the development con-
ditions will influence the process.
Figure 1.1 C depicts the typical land development design
process. The exact process and terminology of each step will
depend on the client, project, and jurisdiction. It is impor-
tant to remember that although it is typically sequential and
will be described as a sequential process throughout this
book, it may not always be. At any point during a project
it is possible that early phases of work will be revisited. For
example, changes to financial conditions may occur during
final design efforts, which requires a change in scope. The
development program would need to be revisited, and the
process may return to site selection. This graphic is provided
as a reference to how content is presented within this book.
Pre-Design. The pre-design stage is often identified as a
feasibility study period. During this stage, the focus of the
development team is to identify the project requirements
and to study a project site for development opportunities
and constraints. At this stage, the effort is exploratory with
12 i@U4ii l 1 NU:i@¥il!i/i, ■ @ifriJ:1:@i
Development adjacent land uses, are evaluated in the context of the client's
Program proposed development plan. The physical characteristics, as
well as land use conditions, will influence the project eco-
Site Selection nomics and feasibility.
C:
Ol
Pre-design efforts begin with evaluating the development
-~ program and then performing the site selection, due dili-
Due Diligence
9 gence, and site analysis.
@
a. Development Program. The development program is
Site Analysis the developer's goal and requirement for the project. The
developer should provide information on the proposed use
Feasibility Study Site Diagram
of the site and any supplemental design requirements for
the site. Requirements should be communicated across all
members of the development team and openly discussed to
Conceptual
Design verify the requirements are understood. The design team
C:
Ol may be involved in drafting the development program for
-~
Concept Plans 0 the developer because they are most familiar with design
~ requirements and local jurisdictional requirements. The
ca
C:
development program may be influenced by information
Schematic Design :~@ produced in later phases of design, but major requirement
a.
changes in later design phases can negatively affect the proj-
Preliminary
ect schedule and budget.
Plan
C:
The development program is introduced in Chapter 2.1.
Ol
Final Design -~ Site Selection. Site selection is the process of identifying
0 suitable sites for a development project. The developer may
]l have one site in mind or several they are deciding between.
"oi
Final Site Plan ci3 The development team assists the developer with the site
0
selection process by performing due diligence studies for
Permits each site under consideration. This may include a legal due
diligence, financial due diligence, and a site-based due dili-
Construction
gence. The site engineer is focused on this site-based due
C:
diligence to evaluate the project's regulatory and physical
Ol
"iii
CJ.)
characteristics.
9 Site selection is described in Chapter 2.1.
iii
f1. Due Diligence. A technical site-based due diligence is per-
formed by the site engineer to assist the developer as they
perform their site selection. This phase initiates the land
development design process for the site engineer and begins
with a general review of regulations governing each site
being evaluated. This includes understanding the proposed
FIG uRE 1.1C The land development design process. development program; determining development potential
by reviewing the local ordinances, master plans, codes, and
regulations; and performing a preliminary desktop review
minimal investment (compared to later design stages) as the of each site. Constraints and opportunities should be iden-
development team determines if the project is feasible. This tified for each site. At the end of this phase, an initial go/
phase requires a deep knowledge of all aspects in land devel- no-go decision can be made on each potential site based on
opment design, an understanding of the political conditions, the information collected and assessed by the development
and experience with regulatory requirements. The feasibility team.
of the project focuses on the economic conditions and the Due diligence is described throughout Chapter 2.
physical conditions. Site Analysis. The site analysis is a detailed analysis of the
This initial step in the process requires an understanding existing physical conditions of each site as part of the due
of the proposed development program and an overview of diligence. This phase analyzes the existing site conditions
the site characteristics and surrounding area. The objective with particular emphasis on identification of environmental,
of the pre-design stage is to become familiar with existing cultural, and infrastructure resources. This helps to further
site conditions and the developer's intended application on identify development opportunities and site constraints. Site
the site. The physical characteristics, including site configu- constraints may require modifications to the development
ration, topography, soils, hydrology, utility availability, and plan, or else may require a new site.

The site analysis results in a complete site inventory,
identification of usable site area, and forms the foundation
of further design efforts through provision of adequate base
mapping. These initial mapping efforts and the information
identified during the site analysis help to produce the feasi-
bility study and create the site diagram for the project.
The feasibility study is a product of the site analysis
and represents a formal document to record information
obtained during the site analysis phase of work. This should
also identify any gaps in information or assumptions that
have been made. The feasibility study requires information
from both the site analysis and due diligence. It is important
to note that there are different types of feasibility studies, but
the site engineer focuses on an engineering feasibility study,
not an economic analysis or other type of feasibility study.
The site diagram is the first graphical representation of the
site layout that depicts the proposed site conditions. This is
illustrated on the base map during the site analysis as devel-
opment opportunities and site constraints are identified. The
diagram is prepared in early project phases (pre-design) and
is meant for graphic context to evaluate geographic rela-
tionships of the project elements. The site diagram requires
information from both the site analysis and due diligence.
This site analysis often overlaps with the initial due dili-
gence efforts. These efforts require a thorough understand-
ing of all elements of land development and will reinforce
the go/no-go decision as the developer continues their site
selection process. These pre-design efforts will inform
the site selection and allow a developer to make the best
decision.
Site analysis is described in Chapter 3, along with engi-
neering fundamentals that contribute to the site analysis
efforts. The feasibility study is described in Chapter 3.1. The
preparation of base maps and site diagrams are described in
Chapter 3.2.
Preliminary Design. The design tasks during the prelimi-
nary design phase provide simple design elements to com-
municate the intent of the project. The work associated with
conceptual designs may contribute to internal discussion or
could be used for informal conversations with public agen-
cies and the community. The schematic design phase repre-
sents a level of detail beyond conceptual design that can be
used for formal submissions associated with rezoning appli-
cations or special permits.
Preliminary design efforts include the conceptual design
and schematic design.
Conceptual Design. Conceptual designs begin with the site
diagram prepared during pre-design efforts. The objective of
the conceptual design is to establish a preliminary frame-
work depicting the distribution, organization, and arrange-
ment of the development program. The conceptual design
should honor the development constraints yet take advan-
tage of opportunities identified during the due diligence and
site analysis. The resultant concept plan may include several
alternatives that illustrate different arrangements of principal
land uses and infrastructure requirements. Each alternative
1.1 ■ LAND DEVELOPMENT DESIGN PROCESS 13
should satisfy the development program and previously
identified site requirements, and then can be presented to
the developer for review or used in informal conversations
with other stakeholders.
Conceptual design and the concept plan are described in
Chapter 4.3.
Schematic Design. Schematic designs begin with the pre-
ferred concept plan alternative, as decided by the developer
and other stakeholders. The schematic design is a refinement
of the conceptual design that provides more precise scale
and site detail of program components and supporting site
improvements. The detail included in the schematic design is
based, in part, on information obtained during the due dili-
gence and site analysis stages and provides further assurance
that the development program can be achieved. Included
in the schematic design is a site layout, which details and
depicts the dimensions of the arrangement of program
components. The site layout should confirm that the devel-
opment plan is consistent with the goals and objectives
established by the client and conforms to all regulatory
requirements.
An important element of schematic design is prelimi-
nary engineering. The purpose of the preliminary engi-
neering analysis is to verify and document the technical
aspects of the schematic design. The result of this study
is usually in the form of a graphic such as a preliminary
plan. Checklists and/or reports are often prepared as well.
These documents represent a "final check'' of the devel-
opment program prior to proceeding with more detailed
final engineering.
While the content provided in schematic design is rudi-
mentary, the design should be carefully developed to ensure
that major components are not overlooked. The schematic
design is often used by the development team to estimate
project cost and verify feasibility. At the end of the schematic
design phase, the team should have a defined layout for the
site, but modifications can be expected throughout the rest
of the design process. At the end of this phase, a complete
schematic design will be produced known as the preliminary
plan. This completed preliminary plan usually represents
about 30% of the effort required to produce the final design
drawings for the project.
Schematic design and the preliminary plan are described
in Chapter 4.4.
Detailed Design. Detailed designs build from the prelimi-
nary design efforts to focus on the engineering details nec-
essary for permitting and construction. The scope of work
includes refinements to the site layout, performing calcula-
tions, compiling details, and writing technical narratives and
project specifications. During the detailed design phases,
major changes to the site layout or project requirements may
result in reverting back to earlier design phases. Before pro-
ceeding to the detailed design phase, it is important to vali-
date earlier design work and verify concurrence on project
progression.
Detailed design efforts include the final design.
14 i@U4ii l NU:@¥il!i/i,i@IWJ:1:@i
1
Final Design. The work to produce the final design is
predominantly carried out by the site engineer, as the pre-
liminary plans are enhanced with a level of detail sufficient
enough to construct the project. Ultimately, the final design
reflects the detail necessary for project approval by local
governing agencies for permit issuance. There may be a
series of preliminary reviews at different stages while work-
ing toward plan approval. During this time there may still
be several iterations in the design before a final layout is
developed, but major layout features should be established
from the schematic design phase. Project requirements may
be refined during these iterations. Additionally, the building
design team will (very) likely refine the building architec-
ture, which may require adjustments in the infrastructure
design as well.
The final site plan is the product of the final design efforts.
The final site plan is submitted for formal regulatory review
and permit processing and eventually used for construc-
tion. Jurisdictional approval is necessary for permit issuance,
which is required before construction can begin. Project
specifications that are developed during this phase are usu-
ally included with the final site plan. The approval of the final
site plan is an indication that the design is complete; how-
ever, additional information is often required during post-
design efforts, prior to construction.
Final design is described in Chapter 5. More information
about the review process is described in Chapter 2.4 and the
submission process in Chapter 5.1.
Post-Design. The post-design stage includes permits,
construction documents, procurement, construction, and
closeout.
Permits. Permitting is the project phase that requires
application for and procurement of all necessary site and
building permits. This is required before any construction
can begin. A final site plan is required for permit issu-
ance, but there are often a number of permits required
for different scope items of the project. Development
permits include demolition, land disturbance, transporta-
tion, and other permits associated with land development
work. Permits may also be required based on the scope
of site environmental conditions and building construc-
tion. Project bonds and other legal agreements are often
required before a permit is issued.
Permitting and bonds are described in Chapter 6.1.
Construction Documents. Construction documents
include the final site plan and other design documents-
many of which are produced by other members of the
design team. These documents also include technical con-
tent necessary to communicate the project design and con-
struction requirements. Additional information required
for bidding the project, such as bid invitations, general
conditions, agreements, and bid forms, is included with
the construction documents. A contract to perform the
work is part of the construction documents, and once the
agreement has been signed, the construction documents
represent the contract documents. The contract documents
establish the scope and performance requirements for the
construction team.
Construction documents are described in Chapter 6.2.
Construction. After the necessary permits are acquired and
a construction contract agreement has been signed, the project
moves into the construction phase. The permits allow for con-
struction, the contract documents represent the project design
and construction requirements, and the final site plan is fol-
lowed during construction. At this phase, the design has been
completed and any revisions to the design during construction
are processed in the form of addendum and revisions. During
construction, the general contractor will coordinate with the
design team to ensure compliance with design documents and
may request additional information as needed.
Closeout. After construction is complete, the project enters
the utilization, operations, and maintenance phase-this is
commonly referred to as commissioning. Many localities
require "as-built" or record drawings of the site infrastruc-
ture to document the actual built conditions (which could
differ from the original design documents). Design docu-
ments and record drawings are often used for operations and
maintenance of a facility and are useful when planning for
future projects.
Postconstruction services are described in Chapter 6.2.
1.1.8. Project Delivery Types
Several project delivery methods for land development
projects are available to developers. Traditionally, private
land development projects have used the design-bid-build
method, but the available methods provide options to the
development team.
Design-bid-build: Traditional delivery has design pro-
fessionals under contract with the developer-the
project is bid, and the developer subsequently enters
into a contract with a builder/contractor for the project
construction.
Design-build: Developer contracts with a team that
includes the design professionals and contractor for the
project. Contractor is typically the lead for the team.
Value-based award: Developer hires design professionals
to prepare appropriate project construction documents.
Bids are solicited from contractors (sometimes from list
of contractors prequalified) with requirement for price
proposal and technical proposal. Award of contract
based on weighted evaluation of technical qualifications
and price.
Design-build-finance: Developer contracts with a team
that includes the design professionals, contractor,
and financial institution. The team is under contract
to deliver the project, including long-term project
financing.
There are other hybrid construction delivery methods,
but in general, all result in the integration of the design

and construction. These alternative delivery methods have
given rise to the need for and development of new standard
contract documents for the design professionals and the
contractors.
1.1.9. This Handbook
Undeniably the land development design process, however
systematic it is, varies considerably throughout the United
States due to the diversity of state and local regulations con-
trolling land use and land subdivision. Yet within the process
there are many elements common throughout the jurisdic-
tions. Similarities do exist. Even if it were intentionally writ-
ten for a particular microregion, no book could present the
specific design process due to the dynamics of the regula-
tions. This book is a presentation of a typical design process
and multitude of engineering fundamentals, but in no way
should it be construed as the only design process.
This book helps professionals in anticipating the multiple
scenarios and requirements they will likely encounter as they
progress through the various stages of project development
1.1 ■ LAND DEVELOPMENT DESIGN PROCESS 15
or as they seek to broaden their professional understanding
of complexities of land development. For public and private
developers, this book will be an invaluable tool to under-
stand the services they will be acquiring from various design
specialists and will prepare them for the regulation labyrinth
ahead. For those entering the land design profession, whether
in the public sector or as a consultant, this handbook will aid
in developing the skills needed to be a successful, contribut-
ing member of the development team. For the practitioner, it
will prove a treasured reference tool.
The Land Development Handbook is intended to be a
practical guide to the land development industry, detailing
the intricacies of each discipline while providing a compre-
hensive view of the process including the interrelationships
between various disciplines. This book will answer techni-
cal questions and provide "next step guidance'' through the
entire land development process. Systematic implementation
of this design process by creative, passionate, and dedicated
professionals is the basis for successful land development
projects.
This page intentionally left blank
PART II

PRE-DESIGN
This page intentionally left blank
 CHAPTER 2
DUE DILIGENCE
Chapter 2.1 focuses on the due diligence of the project, the
beginning of the land development design process. This
includes an introduction to the various regulations that must
be followed for a project. Additionally, an overview of the
development program, site selection, as well as an introduc-
tion to defining property is described.
Chapter 2.2 introduces the comprehensive plan. The
comprehensive plan is the long-range planning document
for a jurisdiction. This is a guide for future growth in the
community and may provide recommendations for a site.
Chapter 2.3 covers the zoning ordinances. Zoning is a legal
ordinance that governs each site. This includes information
on uses, dimensional standards, and other related procedures.
The local zoning ordinance must be followed for all projects.
Chapter 2.4 introduces the subdivision ordinance,
review process, building codes, and development costs.
PRE-DESIGN
~2-----~> CHAPTER2
Due Dilligence
CHAPTER3
Site Analysis
CHAPTER4
Conceptual &
Schematic Design
FIG uRE 2. 1 A The land development design process.
These various regulations are important to understand
at the beginning of a project. The subdivision ordinance
is similar to the zoning ordinance and must be followed,
but instead defines the physical characteristics of a site and
jurisdictional procedures. This includes the review process
which will determine how the plan development will occur.
An introduction to building codes is necessary to ensure
future designs are in conformance. Finally, development
costs must be understood to be properly accounted for
throughout the project.
Chapter 2.5 is separated into parts A, B, and C to focus
on environmental, geotechnical, and historical regulations.
There are many federal, state, and local regulations that will
affect a project. These are important considerations that will
govern many aspects of the design process later.
DESIGN POST-DESIGN
CHAPTER 5
Final Design
CHAPTER 6
Permits &
Construction
19
 CHAPTER 2.1
DEVELOPMENT PROGRAM,
SITE SELECTION l AND
DEFINING PROPERTY
2.1.1. Introduction
Due diligence is the engineer's technical site-based evalua-
tion of potential sites, which occurs during the early phases
of the project. This assessment is regulatory focused and
assists the developer with the site selection process to apply
the development program to potential sites. This will be the
first look at a property to begin to understand development
potential by identifying constraints and opportunities. Then
in the next chapter (Chapter 3) site analysis will analyze the
physical characteristics of each specific site. Both reviews are
necessary for the developer's site selection. While arranged
sequentially in this book, it is common for the due diligence
and site analysis to overlap and may be performed or com-
pleted at the same time.
2.1.2. Development Program
Understanding the development program is the first step of
the land development design process. The development pro-
gram is the scope of work, the developer's vision and goals
for the project. This program is achieved through design
efforts and ultimately construction. In order to ensure the
success of the project, the development program must be
understood by all members of the development team as
early as possible. The program affects the design process
through the due diligence as suitable sites are investigated,
site analysis as constraints and opportunities are identified,
and later as the design efforts begin.
20
The development program is initially a determina-
tion on the part of the developer regarding what type of
development is expected for a given parcel of land. For the
most part, such preliminary determinations are based on a
cursory review of zoning, planning, and market consider-
ations as applied to a specific property. Deal breakers such
as unfavorable zoning, a complicated review process, envi-
ronmental constraints, site access issues, site grading con-
flicts, or lack of utility services on a property could derail
a project. These constraints may be identified during the
developer's preliminary determination, or could be deter-
mined after the design team is consulted. That is why it is
important to identify constraints during the due diligence
and site analysis stages of the project. Constraints will have
to be overcome, a new site will be required or the develop-
ment program modified.
The initial development program, based on the devel-
oper's preliminary determination, is usually first presented
to the business team, before the design team, for discussion
and refinement. The challenge of project design is formu-
lating a response that simultaneously balances the "highest
and best land use" with the character of the site and its envi-
rons; developer and consumer expectations; economic and
marketing factors; and public and private approval require-
ments. Land uses and their associated building types need to
be consistent with current construction practices, as well as
consumer and user requirements. Market conditions, devel-
opment costs, and numerous alternatives in development

technologies afford the opportunity to develop distinctly
different designs for any given property.
In some cases, the site planner may be an initial participant
in orchestrating the research and background information
that leads to describing the development program. The role
of site planner could be held by the site engineer or other
members of the design team, such as the architect. In larger
and more complex projects, there may be a dedicated planner
on the design team. As noted, in many cases the develop-
ment program is initially being spearheaded by the devel-
oper alone or in concert with their business team. The site
planner is, however, in a position to assist the developer in
refining the use associated with the development program
based on site characteristics and public planning, land use,
and regulatory controls.
The development program should be predicated upon
a thorough understanding and appreciation of the success
associated with previous land development designs. Such
awareness strengthens the posture of the site planner. The
intent is not to mimic that which has proven successful, but
rather to gain an understanding as to the reasons for success
and expand on those attributes. The fundamental require-
ment of land design rests in a working knowledge of both
the physical and functional characteristics and constraints
associated with specific building products.
While certain base considerations, such as site access
(vehicular, pedestrian, bike, and/or transit), represents a
common requirement for all land use types, the appropriate
design response varies substantially. This variability can be
seen when comparing low-density single-family residences
to urban mixed-use development. The developer should
consider all these factors when determining the develop-
ment program. Again, this determination may occur before
the site engineer is consulted.
To secure a firm understanding of the development pro-
gram, the site planner should elicit from the developer as
much information as possible and help to refine their initial
development program. Developers generally have strong,
preconceived ideas regarding the character of the project
they wish developed. At a minimum they can relate their
expectations relative to existing projects they believe most
resemble their current proposal. Even the most unseasoned
developer has certain base development objectives that have
prompted the initiation of a specific development effort. The
site planner should discuss these expectations with the devel-
oper, including an inventory of objective criteria such as unit
or building type, building dimensions, architectural finish,
parking ratios, amenity elements, sustainable or green build-
ing design goals, and more subjective statements regarding
the desired character the finished product. Although devel-
opers will often indicate the density or intensity of the devel-
opment they desire, more information is needed to initiate a
site design.
After the initial development program has been refined
by the business team and site planner, the design team is
2.1 ■ DEVELOPMENT PROGRAM, SITE SELECTION, ANO DEFINING PROPERTY 21
consulted to verify the program. This is where this book
begins. The site engineer, as a member of the site team within
the design team, will be responsible for due diligence and site
analysis. The information prepared by the site engineer will
be used to provide the developer with the information neces-
sary to select a site.
It is important that development program objectives be
discussed in the context of existing local planning and regu-
latory controls. Land use type and use intensity should be
reviewed with a clear understanding of existing jurisdictional
comprehensive plans and zoning. Based on this discussion,
the development program or alternative programs should
reflect a realistic proposed land use. Ultimately, the success
of the development program will be measured to the extent
it optimizes developer objectives against those of public sec-
tor expectations and standards. It is a benefit to no one to
foster questionable expectations associated with unreason-
able program formulation. An assurance is necessary that all
regulatory requirements can be satisfied in conjunction with
refinements to the proposed development program. These
regulations will be discussed during the due diligence within
Chapter 2.
After the due diligence and with a clear understanding of
the proposed development program and options, the identi-
fication of site constraints and opportunities is required for
each site the developer is considering. During site selection a
positive finding is necessary to ensure that the physical and
functional characteristics envisioned by the developer can be
realized. This physical site analysis is introduced throughout
Chapter 3.
These steps are a precursor to design. It is, in reality, an
information -gathering stage, but information gathering
with specific purpose and direction. Information is expen-
sive to compile and time consuming in its review. Therefore,
it is important to undertake these site assessment efforts
with a clear focus on the judicious expenditure of time and
resources. At this juncture in the development process, all
available existing information, including base maps, aerial
photographs, engineering information and controls, and
planning reports, should be assembled.
Most developers have completed at least a rudimentary
assessment of the possible return on their investment for a
project prior to the initiation of discussion with a design
team. The design team should attempt to verify the antici-
pated yield, green building certification level (if a prior-
ity) as well as preliminary budgetary allowances for such
items as utility construction, amenity development, and
landscape, to understand better the anticipated character
and quality of development. This will be completed during
the conceptual and schematic designs, as is introduced in
Chapter 4.
While it is important to define the development program
early in the project, actual site design efforts will not be
required until after the site has been selected and analyzed.
Preliminary design is further discussed in Chapter 4.
22 i@U4fi iiffll@i@IH
2.1.3. Site Selection Process
The site, or a particular piece of real estate on which a devel-
opment program will be implemented, affords a special set
of resources and opportunities for project design. Each site
is unique and requires an understanding of and apprecia-
tion for the specific characteristics to elicit a tailored design
response. Consideration should be inclusive of both surface
and subsurface characteristics, as well as the dynamics asso-
ciated with the natural and cultural context that prescribe its
unique character. Attributes of a site normally considered
relevant to land development activity include those that bear
on the land's ability to absorb specific development program
elements. These include both on-site and off-site consider-
ations and include a range of issues from site configuration
to adjacent land uses.
Development Types. Typical sites encountered are green-
fields, redevelopment, and continuous development. In some
cases, brownfield or grayfield sites are encountered.
Greenfield sites reference an undeveloped site or could
reference a minimally developed site (such as a farm).
These sites are attractive because there is often less
complication associated with existing buildings or util-
ity systems, but environmental and historic features are
more likely to be discovered. Additionally, a significant
change in the development intensity may prove chal-
lenging when evaluating connections to existing utility
systems and transportation systems.
Redevelopment sites reference a project the removes an
existing development to provide an opportunity for the
new development. The original development may have
paved the way for new development opportunities, but
it could be difficult to verify all existing conditions of
the site. Without a record of the original design plans or
assurance that the site has been adequately maintained,
it is possible that unforeseen conditions may arise. An
existing development is a sign that utility systems are
available, but the capacity would need to be verified to
meet proposed demand.
Continuous development represents a case where
there is ongoing development, whether greenfield or
redevelopment. This condition is common in campus
settings, such as higher education or hospitals. These
projects are often maintained in a single site, which
may provide a benefit to site analysis. These sites will
likely have continuous operation, which should be
considered when planning and phasing new develop-
ment so that utility and operation disruptions are
minimized.
Brownfield or grayfield development references a
development on a site that has a documented (or is
highly probable to have) hazardous environmental con-
ditions. These sites require evaluation and consideration
for necessary site mitigation, but may be attractive
because of size, location and financial incentives
(grants, loans, tax benefits, etc.) that encourage the
redevelopment.
Site Selection. For most projects, the developer has come
to the design team with a site in mind. They could own this
property outright or be in contract to purchase the site. In
other cases, the developer has several sites that they are con-
sidering. In each case, the site selection process is required
to ensure the development potential for each site under
consideration. This is necessary to achieve the development
program previously defined. And if there are multiple sites
under consideration, the site selection process will deter-
mine the best site for the developer.
If the developer is in contract to purchase a site, they may
have located a property that appears to satisfy the develop-
ment program. To act quickly but still minimize risk, many
developers will initiate an "option'' on the property, thus
making the final purchase contingent on satisfactory reso-
lution of pertinent land design issues. These issues may
include the ability to achieve a successful rezoning or verify a
proposed use can be accommodated.
During the site selection process, or the pre-design of a
project, the developer employs the land development con-
sulting team for the project. The team members assist the
developer with the site selection. The site engineer will
support a more detailed due diligence (Chapter 2) and site
analysis (Chapter 3).
During this site selection, the developer performs a com-
plete analysis for the property likely including a market
survey, financing options, sales potential, pro forma financial
models of the proposed project and, not the least, a detailed
engineering feasibility study. The feasibility study is a report
of the due diligence and site analysis efforts which are intro-
duced in Chapter 3.1.
If under contract, the developer may be able to proceed
with negotiations to purchase the property (exercise the
option) within a relatively short period of time. If a more
detailed study is required, there is still usually a limited
number of days (typically 15 to 45), although it could take
60 days or more. During this time the purchaser can release
his option to purchase the property for any number of
reasons. If the feasibility study or other analysis indicate the
potential for problems, renegotiations may be necessary.
Often during a feasibility study period, items are discov-
ered that will cause the developer to drop the contract or
renegotiate the terms based on the new information.
Market Analysis. With the development program deter-
mined and a site in mind, all land development projects
should begin with extensive planning. Frequently the first
step in the planning process, preceding the technical plan-
ning by the engineer, is a market analysis by the developer.
This analysis can determine the type of development hav-
ing potential for success and the design suited for the site
location.
This market analysis is dependent on the type of project
and will vary based on each developer. For example, a private

residential home builder looking to build a new townhouse
development will have different needs then a public univer-
sity looking to build new dorm buildings on campus. Both
will need to find a location for their project, but the uni-
versity may already own land but would need to consider
larger program elements when choosing the right size and
location. The private home builder, on the other hand, may
need to locate a piece of property to purchase and would
consider product type (townhome, single family, duplex,
etc.) based on market conditions. More information about
the market analysis can be found in a "Development for the
Built Environment", which is part of the Land Development
Handbook Series.
Due Diligence and Site Analysis. In most cases, a site
engineer begins working on a project after the developer
has identified a site of interest, or the developer may have
a few site options. For public projects, the site is likely pre-
defined based on land owned by the public entity. With a
site selected, the developer often has a concept for a develop-
ment program. The developer should work closely with the
site engineer to verify feasibility of the development program
based on an investigation of the site's physical characteristics
and the applicable jurisdictional regulations.
Chapter 2 begins with the initial due diligence of the prop-
erty performed by the site engineer. Due diligence is the first
look at a site to understand the regulations that govern the
site. This can quickly determine if the development program
is feasible on a given site. The next part of the due diligence
is the site analysis, described in Chapter 3, which is a more
detailed analysis of the existing physical conditions of each
site. The site engineer will identify constraints and oppor-
tunities that assist the developer as they perform their site
selection. Although presented sequentially in this book, the
due diligence and site analysis stages may overlap. Depend-
ing on the project, the requirements of the developer, the
experience of the site engineer, and other factors will deter-
mine the land development design process. It is important to
remember that each project is unique.
It is important to follow the plans, ordinances, and
regulations presented in Chapter 2 in all projects that are
encountered to ensure that the site is in conformance with
all requirements. Any challenges or constraints identified
will have to be overcome to ensure that the project will be
approved and successful. If not, a new site or development
program may need to be selected. The due diligence is the
starting point that gives the site engineer a framework of what
is allowed on the site and how to proceed with the project.
When satisfied with the feasibility of a project and after
understanding the process to proceed, the project will be
able to move into a more detailed site analysis and ultimately
able to produce conceptual and schematic designs, are dis-
cussed in following chapters of the book.
2.1.4. Defining Property
Before continuing into the pre-design efforts, it is impor-
tant to understand key definitions related to property itself.
2.1 ■ DEVELOPMENT PROGRAM, SITE SELECTION, ANO DEFINING PROPERTY 23
These terms are important to understand when working on
any land development project.
Real property: Real property is a piece of the earth's sur-
face extending downward to the center of the earth and
upward into space, including all things permanently
attached to it by nature or by people, as well as the inter-
ests, benefits, and rights inherent in real estate ownership.
Fee simple estate: The maximum possible estate or right
of ownership of real property, continuing forever.
Title: The title is the right to or ownership ofland. The
physical title also is evidence of ownership of land.
Plats: A plat is map indicating the location and boundar-
ies of individual properties. This could be for an entire
community or for a specific subdivision.
Subdivision: Subdivision is a tract ofland divided by the
owner, known as the subdivider, into blocks, building
lots, and streets according to a recorded subdivision plat,
which must comply with state regulations and the local
subdivision ordinance.
Parcel: A parcel is a specific tract of real estate defined by
a legal description and used for taxing purposes, among
others. Also termed a surveyor's parcel and a tax parcel.
Conveyance: A conveyance is a written instrument that
evidences a transaction in which any interest in land is
created, alienated, mortgaged, assigned or "otherwise
affected in law or in equity:' A grantee is a person who
receives a conveyance of real property from the grantor.
The grantor then is the person transferring title to or an
interest in real property to a grantee.
Covenant: A covenant is a written agreement between
two or more parties in which a party or parties pledges
to perform or not perform specified acts with regard to
property; usually found in such real estate documents as
deeds, mortgages, leases, and land contracts.
Deeds. A deed is a written instrument used to transfer an
interest in land or real property. A deed is a form of contract
and as such a legally valid deed must meet certain require-
ments. A deed provides a clear definition of the description,
the transfer of land, the rights of an easement, etc. A deed
must have at least two parties-a grantor and a grantee. The
grantor must own the interest and rights being conveyed.
The interest and rights being conveyed must be described
with reasonable specificity. The laws of the jurisdiction
in which the land or real property is located must permit
the transfer of the interest or rights described. The inter-
est or rights being described must be current at the time of
conveyance.
The writing within a deed will be in legal wording
that clearly express the intent of the parties. These words
must identify both grantor and grantee. The written words
must convey the intent of the parties. The deed must include
24 i@U4fi iiffll@i@IH
a descriptive clause and statement of the consideration
involved. This is the premises. The deed must also contain
a description, called the habendum clause, which defines the
limits of the estate. This clause must agree with the premises.
Words used to close the deed are the tenendum.
Deeds must state exceptions and reservations when such
exist. The exceptions exclude parts of the estate described
from the conveyance. These exceptions must not be greater
than the whole estate. The reservations retain rights to the
grantor of an estate. A deed restriction can also be written as
clause to limit the future uses of a property.
The benefit of consideration to the grantor must exist
as stated in the instrument of transfer. Consideration must
pass between parties and that consideration must be ade-
quate compensation. Laws require that parties to the deed
have the opportunity to read and examine the document
before its execution. Finally, the deed transfer consists of
the signing of the instrument by the parties to the agree-
ment. This step takes place before a notary or other person
authorized to witness signatures. There is a requirement of
delivery, or the actual placement of the instrument into the
hands of the grantee. Strict interpretation of this require-
ment is rare.
Deeds used in the transfer of ownership in the United States
are warranty deeds, quitclaim deeds, and deeds of bargain
and sale. The warranty deed contains a covenant of title. This
covenant is a guarantee by the grantor that the deed conveys
a marketable title. Quitclaim deeds convey only the present
interest of the grantor and do not warrant or guarantee good
title. Deeds of bargain and sale convey definitive estates in
land, but do not imply a warranty.
Legal Descriptions. The description of land is provided
through a combination of graphics, such as a plat, and writ-
ten words, referred to as the legal description.
The part of the deed devoted to the physical location of
the real property is known as the legal description. A general
definition of a legal description can be stated as those words
and maps or plats that uniquely delineate the tract from any
other. The description must be written in such a manner that
it will stand any test under law and litigation.
Such descriptions can be formed in various ways. Words
describing lines composed of bearings and distances and
calling for monuments are "metes and bounds" descriptions.
Some descriptions reference other documents that refer to
tracts that are already recorded in the public records. Other
types of descriptions are used for situations such as strip
descriptions (or baseline) for right-of-ways for roads, power
lines, and other utilities. An example of a strip description
would be for "That portion of__ included within a strip of
land, 10.00 feet wide, lying 5.00 feet on each side of the fol-
lowing described line:"
The thread common to all of them is that each describes
a specific parcel of land that cannot be applied to another
parcel. The legal description should be written such that is as
brief as possible while maintaining clarity, completeness, and
accuracy. Incomplete, inaccurate, and unclear descriptions
will result in boundary disputes, which may turn into title
disputes later. A description of a specific parcel of real estate
complete enough for an independent surveyor to locate and
identify it.
Metes and Bounds. For legal descriptions that comprise
metes and bounds.
• Metes are measured values that follow a line that can
be defined geometrically by a bearing (direction) and
distance.
o N 45° 05' 29" E (bearing) 134.25' (distance)
• Bounds are a general reference to another feature
such as a watercourse, building, or county boundary.
o Fifteen feet on each side of the utility pole line
Metes provide an accurate description of the land by provid-
ing information that can be measured relative to the starting
and ending point of each line. Bounds are not as accurate but
may be used when the accuracy is not required.
The bearings and distances associated with metes are rela-
tive to each other, but do not provide a reference to a physi-
cal location. To establish a location there must be a known
and identified point, referenced as the point of beginning
(POB). The POB provides a starting and ending point for the
description of the land. When starting from the POB and fol-
lowing the metes around the property the final point should
match back to the POB.
Figure 2.IB provides a simple example of a plat showing
a POB, description, owner information, and other relevant
data typically included with a plat.
Parts of a Description. The description is composed of
three parts: the caption, the body, and the qualifying clause
(such as exceptions and reservations). In some cases, aug-
menting clauses are added (for easements). Each part of the
description serves a definite purpose.
The caption establishes the general placement of the
subject property and limits title in the remainder of the
description to that general area outlined in the caption. A
typical caption in a description could read as follows "that
certain tract or parcel of land, situated at or near City, Dis-
trict, County, State and being more particularly described
as follows:'
The body of the description generally follows the caption.
A typical body in a colonial state deed description might
read as follows:
Beginning at a set stone at a corner of rail fence on the old
baggage road, and running with the said road to the Noah D.
Johnson line, and with said line to the John C. Williams line,
thence with the Williams line back to a set stone corner on
said John C. Williams line, thence a straight line to the begin-
ning, containing three (3) acres, more or less.
 2.1 ■ DEVELOPMENT PROGRAM, SITE SELECTION, ANO DEFINING PROPERTY 25

POINT OF BEGINNING
N:04131956

fz
E: 1983859193

sa10 1~.82"E

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+ 279.843•

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e

L H. PENNErl
.3.6.305.3 AC .

-WOOD SHED
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(. -. . lJ.-~ro SE..11

ELEVA1ED WOOD _/ , ~
J SIE

WOOD DE
AND STl

GA1E

------
ASHLEIGH ROAD
-- GRA'tfl. RO>D - ·---~: RJ!_~_ ~- t ·-=--;-------------
------~7 S88° 25'50.38"W
284.093'
PARCEL "8"
SOLSTICE VIEW
SECTION 3 SOLSTICE VIEW PUBLIC SCHOOLS
D.8. 13112 PG. 2169

FROM THE POINT OF BEGINNING;

THENCE, S 81 ° 19' 51.8" E FOR A DISTANCE OF 279.8370 FEET TO A POINT ON A LINE.
THENCE, S 08° 41' 31.7" W FOR A DISTANCE OF 540.1593 FEET TO A POINT ON A LINE.
THENCE, S 88° 25' 50.4" W FOR A DISTANCE OF 284.0934 FEET TO A POINT ON A LINE.
THENCE N 08° 39' 51.2" EA DISTANCE OF 590.6547 FEET TO
THE POINT OF BEGINNING;
BOUNDARY SURVEY
CINTtEIIIUDl'YDI'
L.H. PENNETTI
D.8. . . . . . . Mltl.

....,.,
D • • •
1-1

FIG u RE 2 . 1 B Example of a plat.

2s i@U4fi iiffll@i@IH
Describing parcels within land subdivisions employs the use
of reference to a subdivision map of record. Such a descrip-
tion follows:
Being situated at or near City, County, State, and being more
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 of
record in the office of the Registrar of Deeds of (County),
(State) in Map Book 8, at page 67.
The third part of the description, the qualifying clause, does
not follow any particular arrangement. These clauses may
except some part of the conveyance or reserve some part
generally for the Grantor. Qualifying clauses often follow the
body of the description. Such a clause might read
There is excepted and reserved from this conveyance a
10 foot lane, which lies on the western boundary of the
property herein described, which serves as access and
egress to Donald Thompson and this reservation is for the
benefit of the owners of the property presently owned by
Donald Thompson and to the successors in title to Donald
Thompson.
Any form of description must meet the requirements of the
law for a conveyance to be complete. Again, deeds must be in
writing and must include the grantor (vendor) and grantee
(vendee). The description must clearly identify the interest
conveyed. There must be an expressed intent to convey the
property identified by the description.
Chain of Title. The succession of conveyances, from some
accepted starting point, whereby the present holder of real
property derives his or her title.
Title Report. Identifying and addressing issues affect-
ing title to real property is a critical element in the transfer
of ownership during the land development process. A title
examination will track the chain of title to real property over
a specified period of time and may uncover conveyance of a
portion of the property either in fee simple or in rights of use,
such as easements.
The title report is intended to reveal any information that
may influence the ability of the purchaser or owner to use
the property. It will include a description of the property, any
conveyances of ownership or use, liens or judgements against
the property, and any special exceptions that may affect how
the property can be used.
The title report is an important element in the feasi-
bility study conducted to determine whether a property
is suitable for the user's intended purpose. A survey of
the property will support the title report by identifying
whether its boundaries match the description noted, and
by addressing whether or not special exceptions listed
affect the property.
The Title Search. If conducting a title search, the subject
deed should be searched back in time until the property
lines of the tract involved originated. From the surveyor's
viewpoint, the search is to determine intent of the parties at
the time of the original survey or, if there was no original
survey, the intent of the parties based on the original writ-
ings. The search should establish a line of unbroken owner-
ship in the subject property.
Having concluded the search back in time, the reverse
process-called a forward search is then conducted. The
forward search begins with the name of oldest grantee from
the search described above. In the subsequent conveyance,
this name becomes the grantor. Using the grantor index
and starting with this name, title can be traced forward in
time to the present. This provides the surveyor with the
chain of grantors. By reviewing each conveyance, it can be
determined if any owner in the chain of title has encum-
bered or impaired title to the land with, for example, ease-
ments, other sales, mortgages, or liens. This search will also
reveal the creation of servient estates (e.g., providing access
to the real estate across another property), reservations, and
exceptions.
This chain is composed of links. A link is a connection
or transfer of property between consecutive owners of the
property. These links are not always in the form of a deed
but can be a will, the records of an intestate estate (an estate
left by a deceased without a will), or a court order. In the
absence of a will, the actions of the court must be docu-
mented. In order to place the various documents in their
proper chronological order and context, a brief summary
of each may be prepared.
Easements. Easements are a right granted by the owner of
a parcel of land. These rights, granted to another party, are
for use of the land for a specified purpose.
A simple general definition of an easement is a nonpos-
sessory interest held by one person in land of another. The
person holding that interest is accorded partial use of the
burdened estate for a specific purpose. An easement restricts
but does not abridge the rights of the burdened estate fee
owner to the use and enjoyment of his land.
Easements are critical to land development and this sec-
tion includes more details concerning them. Various types of
easements exist for various purposes.
Many land and title features may be located within ease-
ments. In addition, easements needed to install or main-
tain the infrastructure of the land development must be
established. These include easements for streets, wells,
drainfields, stormwater runoff, storm and sanitary sewers,
gas lines, and power lines. Because of their importance,
the nature and location of easements that already exist
and those that are to be created must be carefully consid-
ered. Often, proposed easements will connect to existing
easements.
Types. Easements fall into three broad classifications: sur-
face, subsurface, and aerial. Each can be classified as either
affirmative or negative. Affirmative and negative easements
are both common in occurrence. Affirmative easements
are those that allow activity on the estate burdened by the

easement. Some activities mentioned in easements restrict
burdened estates. When such is the case negative easements
result.
Examples of affirmative easements include alleys, the
approach to airports, private roads through subdivisions
and railway rights. Other easements include pipelines, util-
ity poles and electrical transmission lines. Party wall agree-
ments and public utility dedications are also easements.
When appropriate, use easements to cover the use of springs
and wells. Important too, are surface rights to serve oil and
gas leases. Easements provide a way to grant rights to flood
land or drain land. Other uses for easements are to allow for
encroachments and to provide for excavation along bound-
aries. They also exist to carry out temporary building con -
struction beyond the limits of the project. Some easements
listed above are nonaccess easements but most include rights
of entry for reasonable maintenance.
Negative easements, on the other hand, are those that
prevent specific activities by the servient estate owner. These
usually prevent certain types of improvements to protect the
easement owner's rights. Such rights might include scenic
views and access to sunlight.
Creation. The manner and reason for creating an ease-
ment determine its type and category. There are many com-
mon examples of easements and nine prevalent means exist
to create them. The nine methods follow: grant, dedication,
condemnation (eminent domain), statutory layout, prescrip-
tion, necessity, implication, express reservation, and estoppel.
Grant: Creation of easements by express agreement gen-
erally arises from a deed of grant; however, occasionally
one is created by verbal agreement. This is true regard-
less of the duration of the interest conveyed.
Dedication: Dedication of an easement consists of the
appropriation ofland to the public use. The rightful
owner must make the dedications and an acceptance
must follow for the right to become public.
Condemnation: Easement by condemnation is the pro-
cess whereby property of a private owner is taken for use
by the public. When this occurs without consent of the
private owner, that owner receives an award of compen-
sation for his or her loss.
Statutory layout: Acquisitions of easements by statu-
tory layout proceedings provide for ingress and egress
to public highways over intervening land. These ease-
ments provide for this access when no other reasonable
way is available for cultivation, timbering, mining,
manufacturing plants or public or private cemeteries.
State statutes vary as well as the methods for establish-
ing these ways.
Prescription: Easements acquired by long and continual
use by an individual are easements of prescription. The
required period of use is usually the same as that for
2.1 ■ DEVELOPMENT PROGRAM, SITE SELECTION, ANO DEFINING PROPERTY 27
accomplishing adverse possession. This period is a pre-
scriptive period and varies among states.
Necessity: An easement of necessity arises when par-
ties grant land but fail to provide access to a public
roadway system except over the land remaining with
the grantor. In such instances, an easement by necessity
or by implication provides for access over the seller's
remaining land.
Implication: Implied easements evolve through implica-
tion, prior use, necessity, or prior map or plat dedication.
The crucial element for an implied easement is that of
prior uses. Often nondocumentary, these easements
must be recognizable through a reasonable inspection
of the property. A property survey should therefore
reveal easements of the implied type. The requirement
of appearance and visibility of such easements extends
beyond professional scrutiny and includes the grantee of
property. They constitute necessary and reasonable use
of the property subjected to these easements. Such ease-
ments can affect land development.
An example of an implied easement follows. Party"/\.'
owns two lots. Lot one contains the home of party "A:'
A storm drainage pipe runs from this home across the
second lot owned by party "A:' There is a catch basin
located on the second lot. Party "/\.' sells the second lot
to party "B:' The visible catch basin is sufficient evidence
and notice to party "B" that an easement for drainage,
over the lot mentioned, exists.
Express reservation: Creation of easements by reservation
and exception allows an owner who conveys a posses-
sory interest to a party or parties to except or exclude a
corporeal interest from the terms of his grant.
Estoppel: Estoppel forms the basis of creation of some
easements. These easements can restrict the grantor
in the use of her land. In the case of Battle Creek v.
Goguac Resort Ass'n the Goguac Resort was a riparian
owner on a lake. The resort sold land for an easement
to Battle Creek knowing that the city wanted water
from the lake for municipal purposes. The resort com-
pany was later estopped from use of the lake because
the resort use contaminated the lake making the water
unfit for the city.
Identification. As part of the due diligence, it is important
to identify existing easements on a site.
The foregoing list is provided to apprise those persons
involved in land development of the many types of easements
that may exist. A visual inspection of a site, or even research
of prior plans, is not enough to determine the existence of
easements. The surveyor or engineer must uncover existing
easements before the commencement of design work on the
development project. Knowledge of the various means of
creating them should assist in this task.
20 i@U4fi iiffll@i@IH
2.1.5. Eminent Domain
Eminent domain is a right of the state that affects the rights
of the private property owner. Eminent domain is the power
held by governments and certain quasipublic entities to
take private property for public use. Appropriation of pri-
vate land for road construction, drainage channels, and lay-
ing water lines are common. This provides another way of
obtaining access across private land. Normally, this power
is reserved to governments. Many states, however, have
adopted legislation extending this power to private individ-
uals and other legal entities. In these instances, the power
allows private owners to gain access to inaccessible (or
landlocked) land.
Eminent domain differs from easement by necessity. The
former requires compensation from the party claiming the
power. Just compensation for land interests condemned is
required by the United States Constitution and by some State
Constitutions. Easement by necessity requires no additional
compensation other than the amount paid in the convey-
ance of the property involved. Land developers might use
this power to gain rights-of-way in some situations but the
method is one oflast resort because of the cost involved.
A site for a public project will likely have similar easement
and dedication conditions as a private site would. Although
a public easement on a public site may seems redundant, dif-
ferent public entities may have different interests in the land
rights. For example, a public storm drain easement may exist
on a public school site to allow maintenance and inspection
of the site's storm system. Additionally, if the public entity
ever transfers the property, the easements will be conveyed
with the property.
Dedication. A dedication is a donation of land for the
public good. Governments provide for the long-term main-
tenance of this land. Only the fee owner or his authorized
agent can make these dedications. A dedication of land
would occur in a situation where a site requires a new high-
way turn lane or public sidewalk along the frontage. The turn
lane and sidewalk are required to be within the public right
of way so the land from the project site would be dedicated
for that purpose.
Common law and statutory law provide for dedications.
Common Law. Common law dedication confers only an ease-
ment. This dedication is not a transfer of rights. Such dedica-
tions do prevent the burdened landowner from exercising his
rights in a manner inconsistent with the rights of the public.
This form of dedication is not a grant ofland because there is no
grantee. Common law dedications transfer the land by estoppel
in pais. Estoppel in pais is an estoppel by conduct of the parties
compared to estoppel by deed, which rest on public records.
Statutory Law. Statutory dedications occur when there is
a grant of rights. These differ from common law dedications
because they pass legal title covering the area so dedicated to
a governmental body or agency. Statutory dedication must
comply with statutory law. Laws concerning dedication vary
from state to state. To constitute a dedication either expressed
or implied there must be an intention, on the owner's part, to
grant the property to some public use. A dedication is a volun-
tary action on the part of the fee owner. The party alleging a
dedication must prove the intentions of the other party to do so
(Ray Hamilton Skelton, 1930).
Plats show actual intention to reserve any portion of lands
for the public good. If such a reservation is not on the plat, then
an equally certain method is essential for establishing the inten-
tion to reserve for dedication. Public notice of the intention to
reserve is equal to that given by a plat. Intentions to dedicate
land without supporting evidence or acts signify nothing.
Before dedications become binding on either party, there
must be certain proof of the acceptance of the dedication.
The acceptance can be actual, expressed, or implied. Until
therew is an acceptance by the public, the public has no
rights and neither has the public assumed any responsibility.
REFERENCES
Michael Davidson, Taming the Beast. Planning, 2002.
Ray Hamilton Skelton, Boundaries and Adjacent Properties, Bobbs-
Merrill Company, Indianapolis, 1930, p. 435.
 CHAPTER 2.2
COMPREHENSIVE PLANNING
2.2.1. Introduction
How does a jurisdiction show where new roads are planned?
How do residents know where new parks are planned? How
do developers know where future infrastructure is planned?
The answers to these questions can usually be found in a
jurisdiction's comprehensive plan. The comprehensive plan
is a guideline for the future land development conditions of
a community. The plans and policies contained within help
to shape growth and implement specific community goals.
A comprehensive plan will make recommendations for
the jurisdiction and include maps that depict future infra-
structure improvements, changes in land use, as well as spe-
cific descriptions of planned changes. The comprehensive
plan may show a new highway, or identify that an industrial
area could become the next town center.
An understanding of the comprehensive plan is crucial
to begin any project-the information contained within will
shape all aspects of the land development design process.
This chapter describes how the content contained within a
comprehensive plan varies, and how all comprehensive plans
are different based on the locality the project is in. The plan
is often complex and continuously changing based on the
economic, environmental, and social conditions. The infor-
mation within this chapter, though, will provide an under-
standing of comprehensive plans and how they can impact a
development project.
2.2.2. Historical Context
Jurisdictional planning processes are as old as the govern-
ing bodies themselves, but comprehensive plans and zon-
ing processes are of 20th century vintage. One of the main
objectives of the planning process is to increase economic
efficiency by coordinating the size and location of physi-
cal facilities with projected future needs. Planning should
provide an overall design for urban expansion that will be
aesthetically pleasing and retain the natural integrity of the
land. The planning process also serves to allocate land to
varied uses necessary for stable and healthy growth. Prop-
erly executed planning will enhance the relationship of vari-
ous land uses.
Cities as old as Athens and Rome saw careful planning ini-
tiatives that shaped their growth and have continued to have
a lasting impact on their development. In the United States,
many early cities were also built from detailed urban plans
including the national capital, Washington DC, in 1791. In
the 19th century, cities matured throughout the country
and became large industrial powerhouses. During this time,
several projects began to highlight the importance of well-
designed and carefully planned cities. In New York City, the
movement of creating parks and public spaces within the city
led to the creation of Central Park in the 1850s. The Chicago
World's Fair of 1893 created an idealistic city with all the
newest technology to showcase and explore how cities of the
future could be built. These progressive ideas led to beautifi-
cation efforts of cities, to update and improve public spaces
and attempt to support population growth, across the coun-
try in the early 20th century.
The first comprehensive zoning was adopted by New
York City in 1916 to control development through land use
regulations, to protect the public's health and well-being
from new skyscrapers and potential overcrowding. The city
was divided into districts and limits were set on building
heights and setbacks, amongst other regulations. The U.S.
Department of Commerce published a Standard State Zon-
ing Enabling Act in 1924, which was based on New York
City's zoning regulations. The Zoning Enabling Act set out
the process for jurisdictions throughout the country to adopt
and administer their own comprehensive plans and zoning
regulations. It grants the power of zoning "for the purpose
of promoting health, safety, morals, or the general welfare
of the community:' It also requires that zoning regulations
29
30 i@U4fi iiffll@i@IH
"shall be made in accordance with a comprehensive plan:'
Most communities quickly thereafter adopted comprehen-
sive plans and zoning regulations based on the text of the
Zoning Enabling Act, thus making zoning commonplace
throughout the United States.
It is important to understand that zoning regulations
are the implementation tools for much of the compre-
hensive plan. The two work together by proposing devel-
opment in the comprehensive plan and then ultimately
achieving them through zoning. The comprehensive plan
serves as the backbone for zoning regulations. The com-
prehensive plan is discussed in this chapter and zoning in
Chapter 2.3.
2.2.3. Comprehensive Plan
The comprehensive plan, also known as the master plan or
general plan, is a long-range planning document that serves
as a formal statement of the community's goals and objec-
tives. The plan establishes policies and procedures relating
to the community's future growth, including new develop-
ment of land and maturation of existing neighborhoods.
It represents the collective input of public and private sec-
tor attitudes, needs, and desires. The recommendations
included in the comprehensive plan are based on extensive
analysis of economic, social, demographic, environmental
as well as other forces evident in the community. Through
these recommendations, the comprehensive plan provides
an adopted vision of the community for some distant point
in time, typically between 5 and 20 years. The comprehensive
plan provides valuable guidance for those making important
economic decisions, including local officials, land develop-
ers, existing and prospective residents, employees, and busi-
ness operators.
The comprehensive plan usually includes multiple plans
that provide the strategies and recommendations to imple-
ment and achieve the community vision and goals. These
more detailed plans are called elements and are standalone
plans within the overall comprehensive plan that cover
everything from housing to the environment. One of the
most important elements is the land use plan that sets future
land use patterns within the jurisdiction. The transporta-
tion plan is another important element that defines future
transportation infrastructure needs in the jurisdiction.
More information about these elements is discussed later in
this chapter.
Comprehensive plans, and all the elements within, are
broad in scope. They usually cover a wide geographic area
and offer strategies and recommendations at a macro level.
Usually, they do not identify individual properties, but
instead denote large areas that fall into a specific category.
For example, these categories could be a large swath of land
projected for a high-density development, or a long linear
roadway that is recommended to be upgraded with addi-
tional lanes. Of importance to note when reviewing the com-
prehensive plan for a project are the impacts on the specific
project site (e.g., road widening along the project site front-
age). The recommendations for project density or intensity
should be understood as well as other conditions required
to achieve the full potential of a given piece of property. The
plan may also include other requirements to reduce potential
impacts on the neighborhood and community that should be
followed.
In most states the comprehensive plan is a guide that
is advisory in nature and not a legally binding regulation,
unlike the zoning ordinance which indeed is law. Instead,
the comprehensive plan is executed with the zoning process,
referenced in the zoning ordinance, and enforced with zon-
ing regulations. Zoning is based off the recommendations of
the land use plan and other elements within the comprehen-
sive plan. Therefore, through zoning, the goals and objec-
tives of the comprehensive plan are ultimately achieved.
The comprehensive plan also has an influence on rezoning
applications because the proposed rezone will be evaluated
with the planned use of the area identified in the compre-
hensive plan. More information about zoning and rezoning
is discussed in Chapter 2.3.
Purpose. Land development requires significant public,
private, and personal investment. Because of this invest-
ment, there is an increased importance on the compre-
hensive plan as a guide for development. To government
officials, the comprehensive plan serves several purposes.
It defines a general pattern of projected land use for the
community. It recommends policies that encourage desired
development or discourage inappropriate uses or intensity
of development. The plan establishes and reinforces com-
munity standards for appearance, design, delivery of public
services, and protection of the environment. The plan also
serves as an important guide for allocating resources used
for the provision and distribution of public facilities and ser-
vices. The overall objective of the comprehensive plan is to
establish and achieve goals for a locality by considering the
needs of the community.
To the community's residents, the comprehensive plan
provides a blueprint for the quality oflife they can anticipate.
It creates identity for the neighborhoods in which they live
and defines the services they expect to receive. The decision
to move to a community and purchase a home is perhaps the
most important of personal investments made-the com-
prehensive plan is viewed to predict the soundness of that
investment. It identifies the location of new neighborhoods,
office and retail centers, new roads, and schools that may
affect that investment. The plan provides a way of anticipat-
ing intrusion or impacts that could reduce property value
with relative certainty.
For the business sector, the comprehensive plan is an
essential source of information on potential new markets.
The future locations of new centers of employment or resi-
dential communities are particularly important to businesses
operating support, supply, and service establishments. The
plan provides information that can be used to determine the

potential customer base available to the business commu-
nity. Large employers in need of properties with room for
expansion also rely on the comprehensive plan for guidance.
Existing and future labor forces and sales markets can be
determined from the comprehensive plan. At the same time,
businesses and employers look to the plan for an expres-
sion of long-term commitment to business and economic
development.
Much in the way that residents look to the plan as an indi-
cator oflong-term investment value, the land developer also
views the comprehensive plan as a protection of property
value. More importantly, however, the developer uses the
plan to identify new opportunities. They can use the com-
prehensive plan to determine the suitability of purchasing
specific land for new projects based on the planned land use
and their development program.
Many developers specialize in a specific land use and
product; therefore, the plan is an important tool in iden-
tifying the area, and sometimes the specific parcel(s), that
are best suited for the development program being pur-
sued. The availability of public facilities and services is an
important part of identifying the potential of a property.
The plan may also aid the developer, by projecting when
public and private infrastructure and services will be avail-
able to the site. Similarly, the compatibility with and impact
of adjacent uses is an important factor in selecting property
for development. Just as a homeowner is concerned with
the neighborhood, so too is the developer concerned about
the character of the community. For example, an upscale
office developer may not believe that an adjoining indus-
trial or warehouse facility is a suitable neighbor. The plan
helps define the market area of a site. The developer uses
this information to determine whether there are (or will be)
sufficient employees, residences, or customers to make the
project a successful venture.
It is important to understand that the comprehensive plan
does not guarantee an outcome or timeframe. The plan sim-
ply serves as a recommendation to achieve the community's
vision. This can take years (or decades) to come to fruition,
and is subject to change. There is risk associated with an over
reliance on the comprehensive plan. Consider a developer
that builds an apartment building next to a future town cen-
ter, which is identified in the comprehensive plan. If the town
center takes five years to be planned, designed, approved,
permitted, and constructed; then the developer's apartments
may not be successful for those five years. Now consider,
if the town center proves to be too costly and the project
is abandoned, that could be detrimental to the developer's
apartments.
Adoption. Most municipalities employ a professional plan-
ning staff, which coordinates the overall planning effort,
while smaller communities often retain outside consultants
for this purpose. The governing body relies heavily on the
recommendations of its planning staff, although decisions
about the plan and policies will ultimately be its own. The
2.2 ■ COMPREHENSIVE PLANNING 31
governing body ultimately must approve and adopt the com-
prehensive plan.
Since the plan is intended as a reflection of the com-
munity attitudes and desires, the process usually involves
several opportunities for citizen participation and input. In
many jurisdictions, outreach to citizen groups, such as home
owners associations (HOAs) or business associations, has
become increasingly common and important in the creation
of a plan. This outreach aims for plan development that will
be more representative of the wishes of the community and
less contentious at the mandated public hearings. Charrettes
sponsored by local authorities, city council, or community
association meetings are all vehicles for public participation.
The information gathered and attitudes voiced are an invalu-
able resource for preparing future proposals. The planning
staff will use this input as they prepare recommendations
for the governing body. Public opinion will sometimes have
a greater effect on a comprehensive plan adoption then any
of the other demographics or statistics that the planning
staff compiles.
A timetable for the plan development or revision and
a framework for the analysis will be prepared. Sometimes
working with an ad hoc task force, created for the sole pur-
pose of dealing with a development issue, comprising the
community's civic, business, and political leaders, the staff
undertakes extensive data collection. The planning staff
will compile the demographic and economic inventory
statistics needed for the analysis, as well as review existing
development patterns and activity. The process that some
municipalities follow to adopt or revise a comprehensive
plan is often lengthy and controversial. Depending on the
size of the community, the entire process can take several
months to several years. To spread the demanding work-
load, many municipalities update their comprehensive
plans, or portions of it, on a cyclical timetable. Some states'
legislation mandates the time within which the jurisdiction
must review and update the comprehensive plan, such as
every 5 years.
Circumstances unforeseen in prior plans, such as expan-
sion of an airport, new rail system, a decline of a neighbor-
hood, and/or influx of new industry, may justify an update.
Similarly, assembly of smaller parcels into a large develop-
ment tract may also suggest an opportunity for a project of
grander scale than anticipated in the plan. The planning
staff and other involved groups consider these proposals
in preparing the comprehensive plan. More information
about updates to the comprehensive plan is discussed later
in this chapter.
Comprehensive Plan Contents. Comprehensive plans
generally begin with an introduction that includes a his-
torical context for the area, plan development and adoption
process, local standards, and an overall community vision.
The vision statement summarizes the objectives of the com-
munity and identifies what is to be achieved in the future, at
a 5- to 20-year outlook. This statement is the basis for the
32 i@U4fi iiffll@i@IH
whole comprehensive plan. The vision statement is usually
crafted by the planning staff but with extensive input from
the local community.
The vision statement leads to a series of goals and objec-
tives. The goals should be realistic and achievable within the
timeframe of the comprehensive plan. The goals statements
are usually general and align with the overall community
vision. They set the parameters for the quality and char-
acter for the future development of the jurisdiction. They
should also maintain a balance among the interests of the
governing institutions: the community, the land owners, and
developers.
Typically, goals of the comprehensive plan focus on
• Land use
• Transportation
• Population
• Housing
• Employment
• Economic activity
• Retail activity
• Industrial output
• Energy
• Recreation and open space
• Natural and historic resources
• Public utilities, services, and facilities
As an example of community goals, Kirkland, Washing-
ton, adopted their comprehensive plan in 2015 to envi-
sion the community in 2035. This jurisdiction includes a
paragraph as their vision statement. The following guid-
ing principles
express the fundamental goals for guiding growth and
development in Kirkland over the 20-year horizon of the
Comprehensive Plan. They are based on and provide an
extension of the aspirations and values embodied in the
Vision Statement. The principles address a wide range of
topics and form the foundation of the goals and policies
contained in the elements of the Comprehensive Plan. They
strive to make Kirkland in 2035 an attractive, vibrant and
inviting place to live, work and visit.
See Figure 2.2A for a generic sample of a vision statement.
The vision and goals in a comprehensive plan are sup-
ported by data that contains a detailed inventory of existing
conditions and predictions of future trends. Then, compre-
hensive plans contain elements that lay out the strategy to
achieve a specific goal or objective.
Inventory and Trends. The inventory and trends section
provides a report of the overall existing community and pro-
jections on the future of the community. It shows statistics
such as age distribution, household formation, income, labor
Greenfield I Vision Statement
2050 Plan
• Investment in infrastructure that attracts new
business and employment opportunities.
• Continued focus toward our environmental
resources and policies that protect these
resources.
• Neighborhood development that promotes
healthy lifestyles to grow new relationships.
• Opportunities for all income ranges, ages, and
lifestyles.
FIG uRE 2. 2 A Sample vision statment.
force, home, and automobile ownership of the citizens. The
inventory from previous years can provide information for
a forecast of population growth of the region. An inventory
analysis can also describe land use characteristics, including
a breakdown of number and type of housing units, structural
condition, and land and building area of nonresidential uses.
Economic data, such as retail sales and manufacturing output
is often reported and analyzed to estimate future economic
development. Many plans contain information on real estate
absorption and conversion rates, property sales, and leas-
ing activity, while others may offer statistics on commuting
patterns and transportation use. With the help of the land
development consultant, the developer uses the inventory
and trends information to determine the needs of residents
and business, and their financial capacities and limitations.
During the design phase of a project, the inventory and
trends data can also be used by the design team to make
development decisions. This can include recommendations
on development amenities, internal accessibility, and char-
acter of the development. For example, an area that is expe-
riencing population growth from an age group over 65 years
old may put more of an emphasis on accessible design and
low impact recreational facilities. The design team and devel-
oper should discuss the specific character of the community
to provide a development that fits the current and projected
demographics of the area.
Elements Summary. The elements of a comprehensive
plan include specific strategies and recommendations to
implement and achieve the community's vision and goals.
The elements may be referred to as chapters, subsections,
or simply as plans within the comprehensive plan, depend-
ing on the jurisdiction. The type and number of elements
 2.2 ■ COMPREHENSIVE PLANNING 33

included in a specific comprehensive plan vary by jurisdic- 4. Policies to be applied to achieve the element's goals
tion and the priorities of that locality.
5. Maps and text depicting and discussing the com-
For example, Table 2.2A shows that Clark County, Nevada,
munity, showing current and future land use, the
includes 8 elements in their comprehensive plan, while
location of future public facilities, environmental
Burlington, Vermont, includes 10. Kirkland, Washington,
resources, and other features
includes 11 elements. Longmont, Colorado, on the other
hand, decides against specific element plans and instead 6. Implementation plan how the community intends to
includes chapters focused on policy, growth, and implemen- carry out the goals of the element
tation to achieve their vision and goals.
The goals and objectives are more detailed for each spe-
Many elements of a comprehensive plan are focused on
cific element. These may be similar to the overall community
development and infrastructure goals, but the elements will
goals and objectives of the comprehensive plan, but within
often include policies on education, safety, and economic
each element they will be more focused. The inventory and
development. While some policies might not directly iden-
trends are also more detailed to support the element's recom-
tify infrastructure requirements, they may serve to inform
mendations. For example, the land use plan will include the
the jurisdiction's decisions on what conditions are placed on
existing uses in the jurisdiction and predict future develop-
development plans. For example, the comprehensive plan may
ment patterns. An area with industrial uses that are unde-
identify the need for new schools because of overcrowding-
rutilized by abandoned warehouses and old factories, may
this goal may prevent a developer from gaining approval
be recommended for new residential uses. The transporta-
for increased density in a residential development until the
tion plan will summarize the existing infrastructure and
schools are constructed. It is important to be aware of all
project future needs in the inventory and trends section. On
elements within the comprehensive plans to know how they
an over capacity road corridor, new transit may be recom-
may affect a site. Each element's strategies and recommenda-
mended alongside to support future demands. The housing
tions overlay and work in conjunction with the underlying
plan, other elements, and parcel-specific findings. plan will analyze existing housing stock and forecast future
housing trends. If the region is experiencing a large popula-
Each element usually consists of a plan that includes
text, graphics, and maps related to that element. It is impor- tion growth in the younger age group, high-density housing
developments with retail within walking distance may be
tant to be aware of each of these plans to know how they
recommended.
may affect a project. These element plans usually contain
The policies and maps will also be relevant to each specific
six major parts:
element. Different regulations may exist for different areas
I. Goals and objectives for the element to achieve the within a locality depending on where a site is located. For
overall community vision example, an urban area may require smaller vehicular travel
lanes and larger sidewalks to promote pedestrian circula-
2. Inventories of existing characteristics, features,
tion, as recommended in the transportation plan, but roads
resources, land uses, and/or facilities related to the
within the rural area of a jurisdiction will have different
element
design requirements. An area near a natural body of water
3. Projections of trends expected within the life of the may be subject to more stringent environmental require-
element ments because it is near a protected waterway, but another

TA BLE 2 . 2 A Elements Included within Comprehensive Plans

CLARK COUNTY, NEVADA ELEMENTS BURLINGTON, VERMONT PLANS KIRKLAND, WASHINGTON GENERAL ELEMENTS

Conservation element Land use plan Community character

Historic preservation element Natural environment Natural environment
Housing element Built environment Land use
Land use element Historic preservation Housing
Public facilities and services element Transportation plan Economic development
Recreation and open space element Economic development plan Transportation
Safety element Community facilities and services plan Parks, recreation, and open space utilities
Transportation element Energy plan Public services
Housing plan Human services
Education plan Capital facilities
34 i@U4fi iiffll@i@IH
waterway may not have the same classification and may not
have the same requirements.
The implementation is important to ensure success of the
overall comprehensive plan and to produce results. Through
these implementation recommendations, the overall com-
munity vision is achieved. The section may include a list of
items that need to be implemented. A matrix may be included
that doles out work for each item, labels responsibility, sets a
date for implementation, and includes a cost.
As mentioned, comprehensive plans are regularly updated,
and this includes the elements within. A state government
may require this at set intervals of time, or goals may need to
be changed to reflect new community priorities, large-scale
transportation improvements, new economic development,
or new trends in urban design and development. More infor-
mation about comprehensive plan updates is discussed later
in this chapter.
Again, a jurisdiction's size and the community vision
will determine how many and what kind of elements they
have included in their comprehensive plan. It is important
to remember that comprehensive plans are all unique and a
representation of the local community, so the elements will
be different depending on the jurisdiction. The most com-
mon elements that are important for the site engineer that
will be discussed within this section are land use plans, trans-
portation plans, and utility plans.
Land Use Plan. The land use plan is one of the most impor-
tant elements found within a comprehensive plan. It projects
the future use of land in accordance with the jurisdiction's
vision and community goals. The land use plan also serves
as a guide for the jurisdiction as they adopt or amend zon-
ing regulations. If a developer investigates the opportunity
to change the zoning (through rezoning), the land use plan
will identify whether the change in use or density will match
the jurisdiction's expectations. Refer to Chapter 2.3 for more
information on zoning and rezoning.
The land use strategies in the land use plan can help to
spur growth in a community. For instance, the plan may
identify an area as high density residential because the area is
desirable next to an existing commercial center. Or the land
use map may maintain low densities in an existing residen-
tial neighborhood that is not anticipating future growth.
Accompanying the land use plan text is the proposed land
use map. Often color-coded or shaded, the generalized land
use maps of the community represent a graphic depiction of
future land uses and facilities. The map divides geographic
areas into desired and projected uses and intensity. These
areas usually represent the broad categories of land use, such
as residential, commercial, and industrial. Subcategories of
development intensity show the gradation ofland use patterns
from high to low densities. The map defines the boundaries
of the area, and provides a range of relative densities.
The map frequently shows the proposed location of sig-
nificant facilities, such as transit centers, proposed freeway
interchanges, regional shopping malls, and new schools. It
offers a projection of what the community would like to be at
a distant, but determined, point in time. Figure 2.2B provides
an example of a land use map.
The mapping of land use at a large scale often generates
considerable controversy. The land use map appears to fix
geographic location for the proposed facilities it recom-
mends. People may be concerned if these locations are near
their homes. Consequently, it is not uncommon for residents
to view the plan as a certain future rather than a recommen-
dation for development.
Often, the final land development does not conform to
the finite categories and specific locations shown in the land
use map. Some properties may undergo several use changes
awaiting conditions favorable to the ultimate land use; and
some, toward the end of the life of the plan, may wait for
changes proposed by a new plan. To eliminate some of the
ambiguity created by scale and time, many communities
undertake a multitiered and multiphased planning effort
through a sector plan, which is discussed in the next section.
It is important to remember that land use maps are pro-
jected future uses recommended by the comprehensive plan.
The zoning maps depict the existing and approved land uses.
Therefore, the zoning map depictions, supported by the zon-
ing regulations, are the legal and enforceable use of a site that
must be complied with, not the comprehensive plan's land
use map.
Transportation Plan. Transportation plans are another ele-
ment commonly found in comprehensive plans. This plan
shows existing transportation infrastructure and facilities,
as well as future transportation needs. This future transpor-
tation may include new roads, widening of existing roads,
sidewalk improvements, future transit lines, and more.
These improvements are determined through extensive
studies that project the adequacy of existing facilities and
necessary improvements to support future growth. A map
usually accompanies the text. Figure 2.2C shows an example
of a transportation plan map.
The transportation plan can allow the development team
to identify desirable parcels of land based on future access
improvements-but the funding and schedule of transpor-
tation projects are typically uncertain as they often rely on
state or federal funding sources, so the transportation plan
should be used as a guide. A transportation plan may also
require the design team to consider how a future road widen-
ing at the front of a parcel may impact the proposed design.
Similarly, a new roadway that is proposed through a parcel of
land may require the developer to dedicate the land or con-
struct the roadway.
Utility Plan. A utility plan may be included as an element
or within an element in the comprehensive plan. The util-
ity plan identifies existing utility infrastructure and ensures
utility delivery in the future. The design team should review
the content regarding available public utilities such as water
and sewer. The existence of such utilities, system capacities,
and timing of future improvements is important where these
 2.2 ■ COMPREHENSIVE PLANNING 35

COUNTY
LAND USE PLAN
Adopted 2025
------- Parcel Boundary
Residential Commercial Other - .. · - Stream Corridor
1 - 2 DU/AC ~ Office Industrial - - - Road Centerline
SCALE IN FEET
2 - 4 DU/AC f·:-:-:-:-:-:-:j Retail and Other ~ Public Facilities,

~~
Commercial Uses Governmental and
4- 6 DU/AC Institutional
6- 8 DU/AC L1 INCH_J

FIGURE 2.2B Exampleofalanduseplan.

3& i@U4fi iiffll@i@IH
I
:
I ! /
ORCHARD ROAD

-----
I:
___ .. >-II ___ ..... - - -

••
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• II

I
•••••

,, i
i
I

I •♦
♦
••♦ I

1'
·r
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i L_______ _
-------1
· · · · · · · ~1· · · I

--- ________ .J
HOl-~E-ET

I
r·-------
/
I
I
I

- i
I
I

--- ••
----r· I

\
--
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_______________L_______ ~
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l.--------: ;;
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1---------- _,
: g
COUNTY
TRANSPORTATION PLAN
Adopted 2015
- - - - - - - Parcel Boundary
•••• Arterial Road (Four Lanes Divided) - .. · - Stream Corridor
- - - Collector Road (Three Lanes)
- •- •- Local Street (Two Lanes) SCALE IN FEET
• - - - - • Widen or Improve Collector Road to Three Lanes
1• • • • • • • • • • • • • • 1

I l I I Ill l l I I I l I I I l I l I I I I I I
Construct Two Lane Collector Road on New Location
Planned County Trail Network (£i)~ L1 INCH_J

FIG uRE 2. 2 C Example of a transportation plan.


entities are needed to support the proposed development; in
some localities the adequacy and phasing of public facilities
controls development.
Even when the comprehensive plan and actual parcel zon-
ing agree on land use and density, the sewer and water mas-
ter plan dictates lot size and project density. Consequently,
the final project may be significantly less intense than envi-
sioned, unless the developer can improve the system or defer
the project to a consistent time frame with the adopted com-
prehensive plan. Policy language in the plan often prohibits
the developer from constructing needed improvements to
advance project development. Some localities may use this
approach to discourage premature development in areas
where growth is not anticipated or desired.
Sector Plans. Many large localities will segment their plan-
ning focus into several planning areas or sectors, and other
communities may identify smaller areas that warrant special
study. These planning areas and studies utilize sector plans
to offer a more detailed analysis at a micro level to achieve
the community's vision and goals. These sector plans may be
referred to as small-area plans, district plans, or master plans
(master plan can also be in reference to the comprehensive
plan itself or a large-scale development), depending on the
jurisdiction. This effort focuses the community vision, often
at several intermediate steps, to examine smaller subsections
of the jurisdiction. At its extreme, the plan makes parcel-by-
parcel recommendations on land use, density, compatibility,
and the facilities that serve them. When this happens, the
sector plan begins to resemble the zoning ordinance more
than a plan to guide future development. However, even at
this scale, the plan still serves only as recommendation for
future development, albeit a strong one.
Sector plans can be thought of as a comprehensive plan
within a comprehensive plan. The sector plan outlines the
vision and goals for the smaller area, includes more detailed
inventory and trends for that area, and incorporates multiple
elements to provide specific strategies and detailed recom-
mendations for implementation. The text provides extensive
discussion of sector-wide policies, issues, and opportunities,
in addition to the jurisdiction-wide seen in the rest of the
comprehensive plan. Specific recommendations in the sector
plan achieve the overall vision and goals of the comprehen-
sive plan.
In addition to having a large geographic area that requires
several smaller planning areas, a community may require a
sector plan and more focused detailed planning for other rea-
sons. The jurisdiction may try to anticipate growth around new
infrastructure, such as a new sports stadium. Or the jurisdic-
tion may simply be trying to revitalize a declining region, such
as an old manufacturing facility. Examples of areas that require
a more detailed plan include business districts, highway cor-
ridors, transit centers, areas of important institutional use, or
other significant concentrations of population and employ-
ment. Such areas often have unique circumstances deserving
closer examination due to their presence in the community.
2.2 ■ COMPREHENSIVE PLANNING 37
The sector plan (or a group of sector plans) may be
included within the comprehensive plan itself. Or, it is com-
mon for the sector plan to be a separate document( s) released
after the comprehensive plan is adopted. This will spread
the planning efforts across multiple documents that may
be adopted at different times after the comprehensive plan.
This will ensure the local jurisdiction to remain up to date,
while continually meeting community needs and potentially
responding to market changes.
Figure 2.2D shows the general land use plan for the
Ballston region in Arlington County, Virginia. Arlington
adopted sector plans for the areas around each metro station
throughout the county. Along with the accompanying plan
text, the Ballston Sector Plan has helped to guide develop-
ment in this area.
Plan Implementation. Although the goals statements rep-
resent the community's vision of quality of life and future
development, the plans for implementation are the key to that
vision's realization. Despite its detail and breadth of coverage,
including all the elements and sector plans, the comprehen-
sive plan is only a guide in most jurisdictions. The governing
body should strongly consider the plan's recommendations
when making land use or fiscal decisions. It is through the
capital improvements plan and local zoning that the compre-
hensive plan is ultimately achieved.
The recommendations of the comprehensive plan will
help the local jurisdiction to adopt a capital improvements
plan (CIP). The CIP is a short-range plan which identifies
capital projects, provides a planning and implementation
schedule, and strategies for financing the projects. This
may include details about the location of each project and
recommended timing for implementation. Capital projects
refer to major public expenditures of the local jurisdiction.
This includes parks, schools, public buildings, transporta-
tion infrastructure, and public utilities such as water and
sewer. These capital projects can be new projects or mainte-
nance, upgrades, or replacements of existing infrastructure.
The CIP ranks each capital project by priority and
includes a year-by-year schedule of expected project fund-
ing, estimates of project cost, and potential financing
sources. This is listed in tables and matrixes to reflect all
of the proposed improvements. The elements of a compre-
hensive plan will help the jurisdiction to make decisions
about each capital project. Specific recommendations of
the comprehensive plan can be achieved through the CIP.
As an example, if a new road is proposed in the transpor-
tation plan, the CIP may denote it as a capital project and
schedule its construction for the near future. The CIP is
regularly updated to reflect changing community needs,
priorities, and funding opportunities, so it is important to
stay up to date.
The link between the comprehensive plan and zoning
ordinance is important to remember. Again, most commu-
nities rely on the findings in the comprehensive plan when
considering zoning and site plan applications. The zoning
3a hiiU4 ►1 i@i@Miih

--
llllll Low
Low MP.dium

MediuD>

--
~ High Medium

High

-
OFFICE DENSITY APARTMENT DENSITY HOTEL DENSITY
MEDIUM 2.5 F.A .R . allowable up to 115 units/acre up to 180 units/acre
HIGH 3. 5 F.A.R. allowable up to 135 unit s/ acre up to 210 units/acre

FIG uRE 2. 2 D Example of a sector plan.


ordinance may mandate that the developer consider the
detailed provisions of the plan and address those issues in
the site plan proposal. For example, if the transportation
plan recommends a trail network through a site, approval of
that project may require the trail network to be constructed.
In some areas, sometimes referred to as "plan conformance
jurisdictions;' the comprehensive plan is a mandatory direc-
tive for land use regulations and, by law, zoning decisions
must conform to the plan's mandates.
The existing zoning of a parcel takes precedence over the
recommendations of the comprehensive plan in almost all
cases. This is true even where the use and intensity provisions
of the comprehensive plan are more restrictive than those in
the zoning ordinance. If a parcel is zoned for an industrial
use then a developer can propose a project conforming to
the industrial use by right, even if the comprehensive plan
identifies that the parcel is recommended for residential
development. For this reason, an important role of the com-
prehensive plan is to recommend the adoption of changes to
ordinances that regulate land use and development.
The comprehensive plan represents an invaluable resource
in the data and direction it offers, yet the language in the text
is often vague and subject to interpretation, which can make
implementation challenging. Frequently, the comprehensive
plan content leads to varying interpretation by regulatory
officials, citizens, or the developer. This adds to the consid-
erable challenge facing the development team in preparing a
project development application that conforms to the com-
prehensive plan. Assumptions may have to be made based
on the interpretation of the comprehensive plan that may be
revised during the review and approval process.
Comprehensive Plan Updates. Typically encountered
updates to the local comprehensive plan include supple-
mental comprehensive plan additions, comprehensive plan
amendments, and new comprehensive plans. A new compre-
hensive plan, or other major updates, may occur at a set 5- or
20-year interval depending on the jurisdiction. Additions and
amendments are possible during this time, but are not fre-
quent occurrences. It is important to review the local compre-
hensive plan and see if any updates have been included.
Supplemental Comprehensive Plan Additions. Planning
staff respond to the community needs and continue to refine
the goals and objectives even after the adoption of a com-
prehensive plan. As mentioned, sector plans provide a more
detailed analysis, but they may be released sometime after
the initial comprehensive plan. This is to ensure that the plan
is up to date and meeting current community needs, while
potentially responding to market changes.
Like these sector plan updates, there are sometimes sup-
plemental comprehensive plan additions that update the ini-
tial comprehensive plan. These supplement additions may
support specific areas and new growth potential; update
the elements within the existing comprehensive plan; or be
in response to new strategies the community is trying to
implement.
2.2 ■ COMPREHENSIVE PLANNING 39
Comprehensive Plan Amendments. Sometimes the com-
prehensive plan is outdated and the planning staff may believe
that it no longer accurately reflects the community vision or
good planning principles. This often occurs when a significant
amount of time has passed since the adoption of the existing
plan or to reflect conditions that have changed since its adop-
tion. A comprehensive plan amendment would be warranted
to update the comprehensive plan. This could update a certain
part of an element, an entire element, or multiple elements
within the comprehensive plan. The plan amendment process
varies greatly among jurisdictions; nonetheless, the opportu-
nity to amend the plan is typically available in some form.
Specific authorization to undertake a comprehensive
plan amendment might require legislative action. This can
be initiated by the jurisdiction itself, or sometimes a devel-
oper may propose an amendment to achieve more favorable
development conditions. In undertaking a comprehensive
plan amendment, the local jurisdiction undergoes a compre-
hensive study. When the proposed amendment is prepared,
notice is given to the community through mailings, adver-
tisements, and/or posted signs. The draft comprehensive
plan amendment is reviewed by the professional staff and
will be the subject of meetings and public hearings before
the community's planning commission and governing body.
This process is lengthy and uncertain, and can potentially
add as much as a year or more to the development process.
For example, a new mass transit line has the potential
to spur new growth near the station locations. To respond
to this opportunity, the jurisdiction can initiate a compre-
hensive plan amendment to their comprehensive plan. This
amendment will recommend policy updates, in a specific
area surrounding the new transit stations, to support growth
and new development. These include changes to many of
the comprehensive plan elements including plans for higher
densities in the land use plan, and new roads around the
station in the transportation plan. The comprehensive plan
amendment may change some specific elements or it may
change all of the elements, depending on the update.
Too many amendments can make the comprehensive plan
cumbersome to read and difficult to understand. It creates a
long and confusing document that is ineffective. Therefore, a
new plan may be required.
New Comprehensive Plan. If the entire comprehensive
plan is outdated, the community may initiate the creation of
a new comprehensive plan. This usually happens after the
span of many years and is a significant effort for the commu-
nity to undertake. It requires a great deal of time, generally
several years, to develop a new plan and will be very costly
for the local jurisdiction.
It is important to understand that the comprehensive plan
is a "fluid" document that changes with time. The plan may
change or have additions implemented every few years as
the community grows. The design team, including the site
engineer, should be aware of the comprehensive plan and its
changes in each jurisdiction they work in.
40 i@U4fi iiffll@i@IH
2.2.4. How to Use the Comprehensive Plan return to the developer in exchange for features that provide
Depending on the size of the community and its plan- public benefit. This is important to understand as a project
ning and zoning authority, the comprehensive plan may gets started, but ultimately the developer will have to make
consist of several documents and maps. The development their own decision regarding fiscal impacts of these recom-
team must be aware of the current comprehensive plan, all mendations to determine initial project feasibility.
amendments, and pending updates. Local governments The development team should be aware of how the com-
periodically revise their comprehensive plans, both in their munity prepares its land use maps and the intent of their
entirety and on a piecemeal basis. Minor small-area amend- graphic representations. For example, a symbol proposing
ments or sector plans may have been adopted in response a regional shopping center site on the comprehensive plan's
to new information, changing circumstances, or by another land use map may not necessarily fix its location. The text
developer's proposal. The governing body frequently acts may refer to specific circumstances or conditions that are
on amendments apart from a more extensive plan review favorable to another site in the general area of the symbol.
process, so updates may be separate of the most current Furthermore, specific land use maps may make explicit rec-
versions of the plan. ommendations for specific parcels.
All documents and maps that relate to jurisdiction-wide Land uses different from those shown on the maps may
issues should be assembled by the land development team, be permitted, and sometimes even encouraged, depending
and analyzed for possible impact on a specific parcel planned on circumstances and conditions identified in the text. For
for development. It is important to read all texts and under- example, the map may show a broad geographic area iden-
stand all the maps within a comprehensive plan. tified as low-density residential; however, text may explain
Table 2.2B shows all of the plan that Montgomery County that nonresidential uses, such as neighborhood shopping
has adopted. Each has a different function and purpose for or service facilities, are appropriate. In such cases, the plan
different areas within the county. It would be important to specifies conditions that the land developer must consider in
understand each document if working in this jurisdiction. developing such uses.
The development team should identify the techniques Again, it is important to remember that the comprehen-
and procedures that the local government uses to accomplish sive plan is simply a guide for development. Zoning is based
plan recommendations. These procedures may range from off the recommendations of the land use plan and other ele-
new or revised regulations or disincentives that discourage ments within the comprehensive plan. Zoning is the legally
development to incentives that provide greater economic binding regulation.

TAB LE 2 . 2 B Listing of Montgomery County, Maryland General, Master, Sector, and Functional Plans
The type and number of plans available from various public agencies that 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-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 a description of the planning area. Plans also include maps outlining recommended land uses, zon-
ing, transportation facilities, and recommended general locations for public facilities, and possibly even include recommenda-
tions 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 trans-
portation, 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.
 CHAPTER 2.3
ZONING
2.3.1. Introduction
Despite the effort involved in adopting a comprehensive plan,
legally, in most jurisdictions, it serves only as an advisory rec-
ommendation. In these majority jurisdictions, the plan does
not have the force of law. The enforcement of development
regulations falls to the community's zoning ordinance. The
zoning ordinance is the legislative means by which a commu -
nity sets detailed regulations for all aspects of the use of land.
The zoning regulations include use, layout, and intensity of
each parcel of ground within the jurisdiction as well as height,
setbacks, parking requirements, open space, and others.
The zoning ordinance is law and must be followed-the
zoning regulations must be met to obtain project approval
and permits. The approval process for rezoning cases is
described in greater detail in this chapter, and the review
process for a jurisdiction is introduced in Chapter 2.4. There-
fore, it is important to understand the zoning regulations and
ensure that it is followed early in the planning stages of a
project. Zoning will affect all aspects of the project as design
work begins and plans are produced, which is described
throughout Chapters 4 and 5.
The comprehensive plan is used as the primary guide for
making zoning decisions and writing a zoning ordinance.
A decision-making body may disregard the recommenda-
tions of the comprehensive plan, but it does so at the risk
of losing regularity and uniformity in its zoning practices.
This will also undermine the integrity of the comprehen-
sive plan. In most cases, all of the different elements in the
comprehensive plan shape the zoning regulations. As is dis-
cussed later in this chapter, the land use plan usually guides
the zoning district adoptions.
This chapter addresses the most typical zoning ordi-
nances, concepts, and procedures. It is neither practical nor
possible to address all variations that exist throughout the
nation. However, there are basic similarities in the structure
of each type of regulation. This text focuses on their differing
impacts on land development and the way regulations or
procedures are implemented.
2.3.2. Zoning
The zoning ordinance is a legislative text that is adopted by
a local jurisdiction to regulate their land. It is usually a sepa-
rately published title or chapter in the jurisdiction's code of
laws. Per the Zoning Enabling Act of 1924, zoning is based on
the recommendations of the comprehensive plan. The com-
prehensive plan outlines strategies to achieve community
goals at a macro level. These recommendations then must
be drafted into the zoning ordinance to be implemented
through zoning regulations. The zoning defines the micro
level detail that the comprehensive plan outlines.
The land use plan of the comprehensive plan, which
offers a broad land use strategy for the jurisdiction, is usually
the starting point for zoning. The zoning will assign more
detailed zoning districts to each parcel. These zoning dis-
tricts can be identified on the zoning map, which accompa-
nies the zoning ordinance. The comprehensive plan is only a
guide and serves as an advisory planning tool. Zoning is law
and the zoning ordinance is enforceable. The existing zon-
ing of a parcel takes precedence over the recommendations
of the comprehensive plan, even if there is a newer version
of the comprehensive plan. Updating a zoning ordinance to
align with the comprehensive plan will sometimes be initi-
ated by the jurisdiction itself or can be achieved through the
rezoning process, which is described later in this chapter.
In its simplest form, zoning separates different or incom-
patible land uses and serves as a "nuisance-prohibiting"
device. Its purpose is to reduce the likelihood of one use creat-
ing a nuisance or having an undesirable impact on occupants
or future occupants of adjoining property (i.e., ensuring com-
patible uses). Provisions for zoning ordinances come from the
state's police powers, and are necessary to protect the health
and safety of the public. Such zoning prevents overcrowding,
41
42 i@U4fi iiffll@i@IH
establishes appropriate sanitary regulations, provides for a
more efficient transportation system and protects quiet resi-
dential areas.
For instance, the operation of a business such as a grocery
store requires the installation of signs, lighting, parking, and
trash disposal facilities and generates traffic. If that grocery
store operates next to a residence, the adjoining residents'
use and enjoyment of their property is diminished. The traf-
fic, noise, activity, and lighting are likely to become a nui-
sance that infringes upon the residential character expected
by the homeowner. As a residence, its location has become
less desirable than others in the neighborhood. However,
if development conditions are regulated then the nuisances
of the grocery development could be mitigated, which may
increase the value of the residential property because of
retail convenience. Zoning can regulate the impact of one
use upon another. Conventional zoning prevents conflicts by
providing a greater separation between incompatible uses.
Where greater distance cannot be achieved between incom-
patible uses, the zoning ordinance requires other techniques
to reduce impacts such as a different architectural solu-
tion, smaller signs, a larger yard between the building and
property lines, fencing, landscaping, or restricted hours of
operation.
Each parcel within a community is typically zoned for
specific uses (residential, commercial, industrial, etc.), which
specifies the character and use of the site. If a developer pro-
poses a project with a different use or character from what
is allowed in the current zoning the developer will need to
seek special use permits, rezoning, or both. The developer
may reference the comprehensive plan for initial insight into
potential support for rezoning approval. If the comprehen-
sive plan indicates that the parcel is better served through
a different zoning condition, there is a higher probability of
support for the rezoning case. If the proposed project meets
the use requirement of the parcel zoning, the developer must
adhere to the conditions of the ordinance but would not be
required to process a rezoning case or special use permit. A
project that follows all existing zoning conditions is often
referred to as by-right development.
In some jurisdictions the only requirement for develop-
ment is compliance with the zoning ordinance and building
codes. Some projects, however, have intricacies that require
more review, like those that subdivide a parcel. In most juris-
dictions, detailed site plan reviews are required for all projects.
In addition to determining the allowable use of a parcel,
the zoning ordinance regulates building and dimensional
standards. This determines the building's square footage,
density, heights, setbacks, parking, open space requirements,
and more. This will dictate the size and shape of buildings
and their location on a property. Therefore, the zoning can
also be used to establish aesthetic goals.
There are four main types of zoning that are common to
find in a zoning ordinance. Some jurisdictions prefer one
over the other or use a combination of these zoning concepts.
It is important to understand each type to know how to read
the zoning ordinance and what to consider at the beginning
of a project.
Euclidean zoning: Conventional rigid zoning that sepa-
rates uses
Negotiated zoning: Negotiation of regulations and
standards
Performance zoning: Zoning based upon set performance
standards
Form-based codes: Zoning regulations primarily based on
geometric conditions
Euclidean Zoning. Euclidean zoning, also known as sin-
gle-use zoning, is the traditional type of zoning that most
people think of-it is the oldest type of zoning in the United
States. This rigid zoning concept creates several zoning dis-
tricts within the jurisdiction, specifies allowable uses, and
applies development standards for each parcel. These zoning
districts include everything from residential to commercial,
and groups similar uses together.
Euclidean zoning is a very straightforward process
because it allows a property to be developed to any land use
that is allowed by right (provided that the development meets
zoning standards and complies with other development poli-
cies and regulations). There are several other options for
developers to pursue if the project is not by right, including
special exceptions, variances, and rezoning (this introduces
opportunity but also complications). These will be discussed
in the following sections and will show the challenges of
Euclidean zoning.
The allowable uses for each zone are determined differ-
ently, as is the subsequent process of development review by
the jurisdiction. The uses are usually related to the land use
plan in the comprehensive plan. Situations sometimes arise
where the zoning is not in conformance with the compre-
hensive plan. Strategies to overcome these differences in the
plans are described later in this chapter. The variations of
uses in a zone dictate what land use options exist for a site
and how project design can be undertaken. This will affect
the way in which local government approves development
projects and the durability of that approval. The advantage of
this type of zoning is greater certainty in both product and
project approval, however, the end result might be rather
uniform.
The Euclidean approach to zoning does not allow for much
flexibility and this may limit the developer. This may make it
difficult to address site concerns or respond to shifting market
activity or preferences. For example, a developer may plan for
a new residential community with a by-right condition that
allows for single family homes. But if a new light-rail system
is constructed near the site then it may be more appropriate
for a higher density development based on the new charac-
ter of the region. Under a Euclidian zoning, the developer is
still restricted by the original zoning and the associated con-
ditions of development. If the developer chooses to pursue
 2.3 ■ ZONING 43

a higher density they will be required to apply for rezoning,
which requires time and resources.
It should be noted that the exhaustive set of development
criteria, including the allowable uses and lists of standards
for each zone, can result in a lengthy ordinance. Euclidean
zoning often contains the longest text compared to other
types of zoning. The format of a zoning ordinance will
vary across jurisdictions and the definitions of terms used
within the ordinance may differ as well. Terminology such as
building height, open space, and yard setback can have dif-
ferent definitions in each jurisdiction and should be studied
by the development team. Figure 2.3A provides the example
text from the Fairfax County Zoning Ordinance for one of
several zoning classifications; C-2 Commercial.
Zoning Districts. The zoning ordinance for Euclidean
zoning begins by dividing the jurisdiction into zoning
districts. The zoning ordinance ensures compatible uses
and achieves separation in the community by defining

COMMERCIAL DISTRICT REGULATIONS

PART2 4-200 C-2 LIMITED OFFICE DISTRICT

4-201 Purpose and Intent
The C-2 District is established to provide areas where predominantly non-retail connnercial uses
may be located such as offices and financial institutions; to provide for such uses in a low
intensity manner such that they can be employed as transitional land uses between higher
intensity uses and residential uses; and otherwise to implement the stated purpose and intent of
this Ordinance.

4-202 Permitted Uses

1. Accessory uses and accessory service uses as permitted by Article 10.

2. Churches, chapels, temples, synagogues and other such places of worship.

3. Financial institutions.

4. Mobile and land based telecommunication facilities, subject to the provisions of Sect.
2-514.

5. Nursery schools and child care centers, limited by the provisions of Sect. 205 below.

6. Offices, to include the display and sales of scientific, electronic or medical equipment of a
type not customarily retailed to the general public.

7. Private schools of general education, private schools of special education.

8. Public uses.

9. Quasi-public athletic fields and related facilities, limited by the provisions of Sect. 205
below.

10. Teleconnnunication facilities.

4-203 Special Permit Uses

For specific Group uses, regulations and standards, refer to Article 8.

1. Group 4 - Connnunity Uses, limited to:

A. Swinnning clubs and tennis clubs/courts

2. Group 5 - Connnercial Recreation Uses, limited to:

A. Connnercial swimming pools, tennis courts and similar courts

3. Group 7 - Older Structures, limited to:

A. Restaurants

4-9

FIG uRE 2. 3 A Example of zoning text. (Source: Fairfax County Zoning Ordinance.)
44 i@U4fi iiffll@i@IH
FAIRFAX COUNTY ZONING ORDINANCE

B. Rooming houses

4. Group 8 - Temporary Uses.

4-204 Special Exception Uses

For specific Category uses, regulations and standards, refer to Article 9.

1. Category 1 - Light Public Utility Uses.

2. Category 3 - Quasi-Public Uses, limited to:

A. Colleges, universities

B. Conference centers and retreat houses, operated by a religious or nonprofit

organization

C. Congregate living facilities

D. Cultural centers, museums and similar facilities

E. Independent living facilities

F. Medical care facilities

G. Private clubs and public benefit associations

H. Quasi-public parks, playgrounds, athletic fields and related facilities

I. Alternate uses of public facilities

J. Dormitories, fraternity/sorority houses, rooming/boarding houses, or other

residence halls

3. Category 4 - Transportation Facilities, limited to:

A. Electrically-powered regional rail transit facilities

B. Regional non-rail transit facilities

4. Category 5 - Commercial and Industrial Uses of Special hnpact, limited to:

A. Carryout restaurants

B. Commercial off-street parking in Metro Station areas as a temporary use

C. Drive-in financial institutions

4-10

FIGURE 2.3A (Continued)

categories of land use for each zone. Most zone categories
relate to residential, commercial, industrial, and agricul-
tural uses. Sometimes they also include mixed-use or spe-
cialty zones.
The ordinance is usually organized in a hierarchy for each
zone that reflects intensity and operating impacts on the
community. The broad zoning categories are broken down
into more detailed zoning districts. For instance, under the
broad category of residential, an ordinance might specify
districts for low-, medium-, and high-density zones-these
zones may limit building types to single family, townhomes,
or multifamily.
The text associated with these zoning districts will usually
describe the purpose of the zone, allowable uses, and devel-
opment standards. These represent the differing types and
intensity of uses possible within each zoning district. This
ensures the intended magnitude and character of the devel-
opment is appropriate for the community.
 2.3 ■ ZONING 45

COMMERCIAL DISTRICT REGULATIONS

D. Establishments for scientific research and development to include assembly,

integration and testing of experimental prototype products as an incidental use

E. Golf courses, country clubs

F. Restaurants

4-205 Use Limitations

1. All business, service, storage, and display of goods shall be conducted within a completely
enclosed building, except those accessory uses set forth in Part 1 of Article 10, and special
permit and special exception uses which by their nature must be conducted outside a
building.

2. Nursery schools and child care centers shall be subject to the standards set forth in Sect.
9-309.

3. All refuse shall be contained in completely enclosed facilities.

4. All uses shall comply with the performance standards set forth in Article 14.

5. Quasi-public athletic fields and related facilities shall be permitted by right in accordance
with the following:

A. Such use is not specifically precluded or regulated by any applicable proffered

condition, development condition, special permit or special exception condition;

B. Such use shall be permitted on an interim basis for a period not to exceed five (5)
years, provided, however, that upon request by the property owner, subsequent
extensions of up to five (5) years each may be approved by the Board;

C. No structure or field shall be located within I 00 feet of any adjoining property

which is in an R district;

D. The use of lighting or loudspeakers for the athletic field or facility shall not be
permitted;

E. Notwithstanding the provisions of Article 13, transitional screening shall not be

required unless determined necessary by the Director;

F. Parking to accommodate such use shall be provided on-site. In the event such use
is to be located on-site with another use, the Director may allow existing off-street
parking to serve such use provided the hours of operation of the two uses do not
coincide; and

G. There shall be a sign which identifies the athletic field as an interim use of the site.
No such sign shall exceed thirty-two (32) square feet in area or be less than ten
(10) square feet in area, exceed eight (8) feet in height or be located closer than five
(5) feet to any street line.

4-11

FIGURE 2.3A (Continued)

Many jurisdictions draw zoning district boundar-
ies in a step-down fashion. This pattern seeks to provide
gradation between two disparate uses, usually residential
and commercial or office. This reduces the most signifi-
cant conflicts between the more extreme uses. Figure 2.3B
represents a zoning map with property divided into sev-
eral districts between the most intense residential zones
and least dense residential zones. The permitted intensity
of commercial use reduces in each of several districts as
distance from the most intense commercial area increases.
Similarly, the residential density will decrease as the dis-
tance from the most intense commercial area increases
(the highest density residential is located nearest the most
intense commercial zone).
This can be seen in a more traditional sense when con-
sidering town centers and attempting to provide gradation
between high and low densities within a jurisdiction. The
highest density will be in the urban center and then will
4& i@U4fi iiffll@i@IH
FAIRFAX COUNTY ZONING ORDINANCE

4-206 Lot Size Requirements

1. Minimum lot area: 20,000 sq. ft.

2. Minimum lot width: 100 feet

3. The minimum lot size requirements presented in Par. 1 and 2 above may be waived by the
Board in accordance with the provisions of Sect. 9-610.

4-207 Bulk Regulations

1. Maximum building height: 40 feet

2. Minimum yard requirements

A. Front yard: Controlled by a 30° angle of bulk plane, but not less than 25 feet

B. Side yard: No Requirement

C. Rear yard: 25 feet

3. Maximum floor area ratio: 0.50

4. Refer to Sect. 13-30 I for provisions that may qualify the minimum yard requirements set
forth above.

4-208 Open Space

30% of the gross area shall be landscaped open space

4-209 Additional Regulations

1. Refer to Article 2, General Regulations, for provisions which may qualify or supplement
the regulations presented above.

2. Refer to Article 11 for off-street parking, loading and private street requirements.

3. Refer to Article 12 for regulations on signs.

4. Refer to Article 13 for landscaping and screening requirements.

5. Refer to Article 17 for uses and developments which are subject to site plan provisions.

4-12

FIGURE 2.3A (Continued)

gradually step-down to the less dense suburbs. For example,
transit-oriented developments will have the highest density
near the transit station. The allowable densities will then
taper down as the distance from the station increases. High-
rise towers at the station may taper down to midrise build-
ings, then townhouses, and ultimately single-family homes
on the periphery.
Some jurisdictions establish districts that provide for flex-
ibility as well as a mix of uses and appearance where zoning
classifications meet. At urban centers with high-density resi-
dential and more intense commercial, it is common to find
mixed use zones that allow for more flexible designs.
As an example, the table in Figure 2.3C is from the City of
Lafayette, Louisiana's Unified Development Code, the local
 -p;:;,~ :::_,,.--l-/--=:-/--;~~H~;f:;H=:d-----bP~¥~ ~w;;t------tr4 ~--;;-ri-:-.-~
\ 'I>--
.-
-~ 1 I I~
i1 : :
ffl ~I I !
57q9"f \'·lF
!
I 1.J • I ~
Tl(lr,lr,l'Mffi 5,t

',\\ \

))
'\
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FIGURE 2.38 Zoning map showing zoning transition, modified from Fairfax County zoning maps.
4a i@U4fi iiffll@i@IH
Article 2. Districts
Summary: this Chapter establishes the Zfining districts for the City of Lafayette, the regulations that apply to each district, and a
comprehensive list of uses (the 'Vse Table").

¢:!> Technical standards such as how building height and setbacks are measured, how buildings relate to utility easements,
development in required setbacks, and development on substandard rights of way, are addressed in Artidt: 3.

89-6 Generally
To promote the public health, safety, morals, and general welfare of the community, the City of Lafayette is
divided into the following districts:

District Cross-Reference PlanLafayette Future Land Use

"A" Agricultural 89-8 Rural / Agriculture.
¢:!> Buffer and building design requirements ofArticle 4
apply ifthe area is not zoned.
"RS" Residential Single-Family 89-9 Residential
(RS-1, RS-2)
"RM" Residential Mixed 89-10 Mixed Residential
(RM-1, RM-2)
"MN" Mixed Use Neighborhood 89-11 Transitional Mixed-Use
(MN-1, MN-2)
"MX" Mixed Use Center 89-12 Mixed-Use Center
(MX-1, MX-2)
"D" Downtown 89-13 Mixed-Use Center
"CM" Commercial Mixed 89-14 Commercial / Office
"CH" Commercial Heavy 89-15 Commercial / Office
"IL" Industrial Light 89-16 Office / Industrial
"IH" Industrial Heavy 89-17 Office / Industrial
"PD" Planned Development 89-18 Any of the above
"Pl" Public / Institutional 89-19 Any of the above & Public Park

(a) Notwithstanding any setback established by this Article, buildings adjacent to substandard streets may be
subject to additional setbacks (see Article 3, §89-38).

(h) Private Roads and Driveways. A Private Road or driveway shall be accessory to the principal
use of the parcel or lot upon which the same is located. Where a Private Road or driveway is the
principal use of a parcel or lot, the use of such Private Road or driveway shall be concordant
with the zoning district of the property upon which the Private Road or driveway is located.
Accordingly, a Private Road or driveway located on property zoned RS shall not be trafficked
except for traffic accessory to uses permitted in the RS district. Notwithstanding the forgoing,
traffic accessory to uses permitted in the RS district shall be permitted on Private Roads and
driveways located within the RM district; traffic accessory to uses permitted in the RS and RM
districts shall be permitted on Private Roads and driveways located within MN, CM, CH and CH
and PI districts shall be permitted on Private Roads and driveways located with IL and IH
districts.
FIG uRE 2. 3 C Layfayette, Louisiana, zoning districts.

zoning ordinance. This table lists all zoning districts within
the jurisdiction. It also correlates each district to the future
land use designated in PlanLafayette, their comprehensive
plan. It is important to see that the zoning is connected to
and achieving the comprehensive plan.
Zoning Map. Zoning districts for each parcel can be located
on the accompanying zoning map. This is included with the
zoning ordinance and shows the division of the entire juris-
diction into each zoning district that is defined in that text.
These zoning districts reflect the actual zoning of the land.
Each individual property in the jurisdiction is associated with
a zoning district.
A zoning map provides a graphic depiction of zoning
areas to reflect density transitions and geographic rela-
tionships between parcels, transportation, and natural
resources. Each district is labeled with the name of the zone
that corresponds directly to the ordinance text. Frequently,
the district name is a shorthand indication of the use and
intensity of the district.
While the meaning of these labels is consistent within a
single jurisdiction, they often vary between jurisdictions. For
instance, a district labeled "R-5" might be a residential dis-
trict with a permitted density of five dwelling units per acre.
Or, it may indicate a residential district permitting minimum

lot sizes of 5,000 square feet. On the other hand, it may sim-
ply be the fifth in a hierarchy residential district.
As an example, in the City of St. Louis, Missouri, their
Official Zoning District Map disregards the previously
described shorthand indication altogether. Instead, each
zone is identified by a single letter from ''X' through "L:'
''X' stands for the single-family dwelling district, "B'' is for
the two-family dwelling district, and so on. Therefore, it is
important to be familiar with all local zoning documents and
naming conventions.
Overlay Districts. Zoning overlay districts may be identi-
fied on the zoning map. Jurisdictions use the overlay zones
to address areas with special conditions; unique opportuni-
ties due to local culture, historic land use, or location; and/or
unusual physical characteristics. Typical situations that sug-
gest the use of overlay controls include downtown areas,
redevelopment opportunities, airports, highway corridors,
resource protection, floodplains, and historic areas.
Overlay districts are mapped on top of conventional dis-
trict boundaries on the zoning map. These generally outline
an area on the map that has additional regulations or codes.
The specific criteria for each overlay district will be included
in the zoning ordinance, usually within a separate chapter or
subsection. Parcels in the overlay must conform to both sets
of zoning district text (the base zoning district ordinance and
the additional overlay district criteria), or the more restric-
tive if conflicts are apparent.
For example, Brooklyn, New York, has an overlay district
called the Special Downtown Brooklyn District (DB). This
overlay "establishes special height and setback regulations
and urban design guidelines to promote and support the
continued growth of Downtown Brooklyn as a unique mixed
use area:' The Special Downtown Brooklyn District has a
separate chapter within New York City's zoning ordinance
that has additional provisions that must be followed for par-
cels within the overlay.
Additional examples of overlays for environmental and
historical preservation are included in Chapter 2.5.
Map Creation. How local jurisdictions create their zoning
map varies. Many jurisdictions adopted the first zoning map
simply as a graphic representation of land use patterns that
existed at the time. Areas of vacant land were frequently zoned
to a district similar to the surrounding area. In some com -
munities, the adoption of the comprehensive plan is followed
by a jurisdictional-wide rezoning to match the recommenda-
tions of the comprehensive plan. In such cases, the zoning
map closely mirrors the land use patterns recommended in
the land use plan of the comprehensive plan.
For jurisdictions that do not automatically rezone sub-
sequent to comprehensive plan adoption, rezoning may be
required to be in conformance to the comprehensive plan.
Any more intense use generally requires that the developer
seek a rezoning to a higher classification. The rezoning pro-
cess, discussed later in this chapter, addresses rezoning and
the map amendment process in more detail. Therefore, it is
2.3 ■ ZONING 49
crucial to understand what a property is zoned as, and how it
relates to the comprehensive plan.
The zoning map itself is often available in several forms
and scales, and usually includes a generalized zoning map
with a single-sheet depiction of the entire community. Most
jurisdictions publish the zoning map online, which allows for
dynamic navigation of the jurisdiction. The map shows major
roadways, landmarks, and natural features, with zoning dis-
trict boundaries identified by various symbols or labels.
A large-scale map will frequently include parcel boundar-
ies or may reference a tax map designation for each prop-
erty. In some jurisdictions, the official map shows additional
information, such as previous and pending zoning, special
exception or special permit applications, as well as subdivi-
sion activity.
The map in Figure 2.3D is the zoning map for Portland,
Oregon. The map includes a key that lists the major zoning
classifications, effective dates of rezoning, and special require-
ments. The major zoning classifications are residential, com-
mercial, and manufacturing districts, which are denoted by
"R;' "C:' and "M" letters on the map. Each zoning district is
described in the local zoning ordinance. An overlay district
can also be seen on the map as designated by the lowercase
letter. For example the "C:X" represents central commercial
zoning and the "d" represents a design overlay district.
Allowable Uses. In Euclidean zoning, the regulations for
each zoning district specify what uses may or may not be
constructed or undertaken on parcels within its boundaries.
The most common zoning ordinances present an exhaustive
list of land uses permitted in each zoning district. This for-
mat regulates how much density and the overall intensity of
development that is acceptable on each property in a specific
zone. In the zoning ordinance, a typical listing of land uses
allowed in the zoning district includes:
• Uses permitted by right
• Uses permitted by right if certain specified condi-
tions apply
• Uses permitted by special exception
• Uses permitted by special permit
• Uses prohibited in a specific zone
By-Right Development. In undertaking a project where
the use is allowed by right, the developer need only show
compliance with the requirements of the zoning ordinance.
Plan review to secure approval from the jurisdiction is
accomplished through the normal administrative proce-
dures and the building permit acquisition, which will be
discussed in the review procedures section of Chapter 2.4.
The site plan application will simply need to provide the
information necessary to confirm that zoning conditions
are met, such as a density calculation, building setback,
building height, and parking.
50 i@U4fi iiffll@i@IH
1111111111 Historic or Conservation District or N.R.M.P. Boundary
::::::::::::::: Plan District Boundary
•
----
11 • 11 • 11 City Boundary
Urban Service Area Boundary
FIG uRE 2. 3 D City of Portland, Oregon, zoning map.
Zoning districts are organized in a hierarchy for each
zone, so therefore, the more intense zone will generally allow
for more uses then a less intense zone. For example, if the
low-density zoning district allows for single-family homes,
the medium-density zone may allow for single-family homes
and townhomes. There are exceptions, however, because an
ultrahigh-density zone may not allow for low-density uses.
A single-family home may not be allowed in an urban area
where zoning is established for multifamily residential.
Special Exception. A special exception, or conditional use,
is a use permissible within a zoning district subject to the
fulfillment of requirements dealing with compatibility and
site-specific design. A special exception is one that generates
City of Portland, Bureau
of Plannin and Sustainabili
• Historic Landmark
(R1 Q) ~~~:~~=:~~~~ec:~~:.~~~:~n~1;:n':':re t•""'"~~•;~18
E3 'F-------3 ... &
-----+----~-~----i
* * * * * Major Public Tralls
- State ID Map Boundary
NW1/4SEC.
03-1S-1E 3129
additional impacts to the surrounding neighborhood and
warrants special consideration. For instance, often private
schools or dormitories are considered a special exception use
in residentially zoned districts. Some jurisdictions may also
allow for a higher density of development within a site if a
special exception is granted. Despite the potential for negative
impacts, the principle underlying the classification of special
exception uses is that, if properly regulated, they are accept-
able uses in the zoning districts where they are permitted.
Special exception review is most often focused on physi-
cal appearance and compatibility of the use within the exist-
ing neighborhood of the property. Special exception uses
must adhere to the character intended by the zoning district,

as well as comply with the community's comprehensive
plan. They may be desirable to the community and add to
its convenience; however, due to possible impacts such as
noise, traffic, or visual disruption, most zoning ordinances
establish conditions that apply in the development of special
exception uses. Such conditions may include a limitation on
the hours of operation; additional landscaping, buffers, and
barriers that exceed the standard specified for the underlying
zoning district; and a specification of the activities permitted
in conjunction with a special exception use.
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 the development proposals needing a
special exception to the broad variety of policies and restric-
tions in the comprehensive plan that might not otherwise
apply. These could include density controls, requirements for
specific environmental measures, constraints on traffic gen -
eration, or desirable public improvements. Frequently, these
apply even to existing land uses proposed for redevelopment
or expansion oflong-established uses.
The authority empowered to grant rezoning approval is
usually the same one that grants special exception approval;
this may be the governing body, a planning commission, or
zoning hearing officer. These bodies hold public hearings to
solicit input from community residents on upcoming cases
being processed for consideration. Special exception approv-
als are specific to the applicant with such approvals usually
remaining valid for a specific period within which construc-
tion must begin and be diligently pursued.
Special Permit. Some jurisdictions administer a sepa-
rate special permit process for accessory uses. Projects that
involve uses listed as needing a special permit, or designated
as an accessory use, must go through an approval process not
unlike the 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 conditions
attached that, like a special exception, help to reduce incom-
patibility between the use and adjoining neighborhood.
Typically, opportunities for public hearings are incorpo-
rated into the process, allowing affected neighbors to voice
support or opposition to the issuance of the permit. Within
a residential zoning district a special permit use may include
a home office, home child care, or church, but likely will not
permit a commercial use such as a retail establishment.
When the intended use requires review as a special permit,
approval to allow that use in the zoning district usually rests
with an elected or appointed body, or both. These are most
frequently the jurisdiction's governing body, its planning
commission, a zoning appeals board, or a zoning hearing offi-
cer. In addition to a review by the professional planning staff,
the governing body usually holds public hearings to assess the
attitudes of neighbors and civic groups toward the project.
Using plans prepared by the design team, the developer must
justify the appropriateness of the proposed use. The approving
2.3 ■ ZONING 51
authority may impose conditions to lessen potential impact.
Following approval, the normal administrative procedures for
subdivision and construction will apply.
Prohibited Uses. Uses prohibited in a specific zone are not
allowed at all in that zoning district. In most cases, if a juris-
diction does not list a use as allowable it is prohibited. In this
case, the developer can only attempt to change the zoning
through the rezoning process to be able to change the zone to
allow for a more favorable use. In some cases, the ordinance
may list specific limitations of permitted uses. For example,
a home office may be allowed in a residential district but is
prohibited from selling goods as a primary use.
For example, Lafayette, Louisiana, includes an extensive
use table in their zoning ordinance, as shown in Figure 2.3E.
This designates allowance for every use category type in
every zoning district in the jurisdiction. The use table lists
if it is allowed by right, as a conditional use, as an accessory
use, or not permitted.
The "P" stands for by right: The use is permitted if it meets
the standards established in the zoning district, and any
other applicable standards of this chapter.
The "C" stands for conditional use: The use requires a con-
ditional use permit approved by the Planning and Zoning
Commission.
The 'Ji'' stands for accessory use: A use customarily inci-
dental and subordinate to the principal use or building and
located on the same lot with the principal use or building.
Empty spaces are not permitted: A blank cell indicates that
the use is not allowed in the district. A property owner who
wants to establish the use may apply for a rezoning to a dis-
trict that does allow that use.
Dimensional Standards. Euclidean zoning includes dimen-
sional standards for many details of project design for each type
ofland use. Typical criteria identified in the zoning district text
include lot size, density, lot coverage, and bulk requirements.
These requirements strive to protect and preserve the char-
acter of the community by preventing overcrowding, reduc-
ing conflicts between neighbors and neighboring properties,
guarding against encroachment on streets, and intrusion of
traffic noise. Examples of these are listed below:
• Lot size
o Minimum and average lot size and lot width
• Density
o Maximum density or intensity of development.
o Usually expressed in dwelling units per acre for
residential uses.
o Expressed as floor area ratio (FAR) for nonresi-
dential uses. FAR is further defined later in this
chapter.
• Maximum lot coverage
o Defined either by buildings or by impervious
surface, often expressed as a percentage
52 i@U4fi iiffll@i@IH
Notation Category Description
p By right The use is permitted if it meets the standard ' established in the zoning
district, and any other applicable standards of this Chapter.
Conditional U se The use requires a conditional use permit approved by the Planning and
C Zoning Commission (see§ 89-54).
Accessory Use A use customarily incidental and subordinate to the principal use or
A build ing and located on the same lot with the principal use or buildi ng.
Not permitted A blank cell indicates that the use is not allowed in the district. A property
owner who wants to establish the use may apply for a rezoning to a district
that does allow the use.

'"Cl
Table 89-21-2 Use Table 0

.. .
0
J:.
0
..a 'C
'"Cl
C1I J:.
tlO
.... a., GI
X ~ iii
C
X C Ill
.... >
~
"ii
z u
C1I ~ GI
::c
0
"Z >
'iii
"Z
GI
Ill "'
GI
::::, C . ..
Ill
·u iii
·u
...
::,
·.:;
J:.
~
tlO
Ill
GI
::c
::::, Ill
C
C1I
'"Cl
'"Cl
GI
'C
I

GI
~
....0C
C1I
E
GI
E
C
.::::. -~...
iii -~....
iii
"iii X .!:! E E .!:! Ill "'
::,
C1I
a:: ~ ~ ~ 0
u 0 ::c::, ::,
'"Cl '"Cl
0 u .5
~ ~
z
~
X C ~
~
0. .5
~ ~ ~ ::c :.., ~
Use Category ~ ~ ~ fl ~ ~ fL
Residential
Residences:
Dwell ing, single-fam ily detached p p p C
Accessory apartment p p p p p p C
Cottage Courts p p p p
Dwel ling, two-fam ily {duplex) p p p
Multi-family p p p p p p
Live/Work Dwelling p p p p p
Manufactu red home
Manufactured Housing Land
p C C
Lease Community
Apartment House p p p p p
Apartment Hotel p p p p p
Townhouse/ Row house p p p p p p
Zero lot line home p p p p
Group Living:
Boarding House p p p p

FIGURE 2.3E Lafayette, Louisiana, use table.

• Minimum required open space lines, including street rights-of-way, utility cor-
ridors, transit lines (most commonly rail), water-
o Usually expressed as a percentage and referring to
front or other environmentally sensitive areas.
parcel area unencumbered by buildings or parking.
o In some communities with waterfront property, the
o Often pedestrian-oriented hardscape is consid-
yard facing the water is considered the front yard.
ered open space especially in urban areas.
o The ordinance may specify when structures or
• Setbacks
architectural features, such as porches and steps,
o Minimum front, side, and rear yard requirements may extend beyond the setback line. The front
that define the building envelope. These refer to setback line is also called the building restriction
the distance of building setback from property line (BRL).
 2.3 ■ ZONING 53

• Minimum lot width
o If the lot is shaped so that its width at the nor-
mal setback line does not meet the minimum
standard, the building restriction line is forced to
be located farther from the front property line,
to a point where the width complies with the
standard.
• Maximum or average building height
o Defined in feet and/ or stories
• Angle of bulk plane
o Relationship between building height and prop-
erty line.
• Functional requirements
o The dimensional standards in the zoning ordi-
nance may include off-street parking, landscap-
ing, screening, buffering, and tree preservation
requirements.
Other development standards that may be required by
the zoning ordinance can be found in the Development
Standards Manual within the subdivision ordinance. See
Chapter 2.4 for more information about the Development
Standards Manual.
Special exception or special permit uses also have
minimum dimensional standards and criteria listed sepa-
rately in the text that identify criteria for size and inten-
sity, proximity to other properties or facilities, landscaping,
screening, and similar conditions that mitigate impact to
adjacent properties.
On occasion, a property has limitations that hinder the
ability to meet the required development standards. For
example, due to limitations of the size and shape of the prop-
erty, the site might not be able to meet the minimum set-
backs or minimum lot widths. In this case, the developer can
apply for a variance or variation to deviate from the zoning
ordinance's development standards.
Floor Area Ratio. Floor area ratio is the relationship
of building floor area to parcel size. For example, on a
40,000-square-foot parcel, if the zoning ordinance allows a
maximum FAR of 1.0, then it would be possible to construct
a building or buildings totaling 40,000 square feet of floor
area. This could result in a single-story building covering the
entire parcel, a two-story building covering half the parcel,
or some other configuration. Yard and height requirements
affect the actual parcel layout. A FAR of 0.5 for this same
parcel would allow 20,000 square feet of building area. See
Figure 2.3F for an illustration of FAR.
Bulk Plane. Bulk plane is a representation of the rela-
tionship of building height to property line. This protects
adjoining property views or access to sunlight and airflow.
Figure 2.3G illustrates angle of a bulk plane as applied to
building restriction lines.
Ordinance Example. Figure 2.3H shows the dimensional stan-
dards for an "RS" zone in Lafayette, Louisiana. This includes lot
requirements, setbacks, and bulk plane for each parcel. Other
development standards are included in the notes on that page,
as well as throughout the zoning ordinance text.

Parcel Area = 1 Story 2 Story 4 Story Multiple

u
40,000 sq. feet Building Building Bu ilding Structures

□ ■
□
E; ,, ~ ~

-rl
Floor Area Ratio (FJ
Building Floor Area

[I '-''
.I
FAR = 0.5
Bu ilding Floor Area = 20,000 square feet

FIG uRE 2. 3 F Graphic depiction of FAR.

s4 i@UH:U 1,m@i@iH
LL MYR
KEY
e Angle of bulk plane
LL Lot line
MYR Minimum yard requirement
EBH Effective building height
MBH Maximum building height
G Grade (finished)
FIG uRE 2. 3 G Graphic depiction of angle of bulk plane, modified
from Fairfax County Zoning Ordinance.
Variances and Variation. Two processes that allow devia-
tion from the existing Euclidean zoning ordinance are vari-
ances and variations. Most variance applications address
building setbacks or similar technical requirements of the
ordinance, due primarily to physical characteristics of the
site under development. Some districts do allow usage vari-
ances as well if the existing land uses have been modified and
changes to the zoning ordinance make it difficult to adhere
strictly to the current ordinance.
To be allowed a variance, it must be proven that comply-
ing with newly adopted ordinances impose a hardship on the
property owner, who is otherwise unable to use the property
in the manner permitted prior to the change in the zoning
ordinance. The hardship must be unique to the property, and
the variance must be necessary to allow reasonable use of the
land. A purely economic hardship does not normally satisfy
this "hardship" test. In the case that development standards
are not limited by the physical site or usage hardship, but
the developer wants to change other zoning regulations, like
increasing the FAR or raising the maximum building height,
then the negotiated zoning process or a rezone should be
investigated.
A variance to zoning ordinance requirements may be
granted by the governing body, a subordinate body to whom
that power has been delegated, or, in some jurisdictions, a
quasi-judicial body appointed by judicial officials. As with
other zoning applications, opportunities for public comment
are normally provided. The approving authority may impose
conditions on development. In granting the variance, it must
ensure that the variance will not change the basic character
of the area, weaken enforcement of the ordinance, or provide
precedent for future requests for variances.
As with variances, variations must not provide precedent
for future requests; however, in the case of variations "practi-
cal difficulties" may be a consideration in the review of the
application. In general, the findings must conclude:
1. The granting of the variation will not be detrimental
to the public safety, health, or welfare, or injurious to
other property.
2. The conditions on which the variation is based are
unique to the property for which the variation is
sought and are not applicable generally to other
properties.
3. The variation does not constitute a violation of any
other applicable law, ordinance, or regulation.
4. Because of the particular physical surroundings,
shape, or topography of the specific property
involved, a particular hardship to the owner would
result as distinguished from a mere inconvenience, if
the strict letter of these regulations is carried out.
Additionally, nonconformity may exist as to a lot, use, or
structure that does not fully comply with the requirements of
the zoning district in which it is located. This situation often
occurs with the adoption of a new zoning ordinance, text or
map amendment after a subdivision plat is recorded, or when
a land use is legally established. In most instances, the goal
of the community and governing body is to eliminate non-
conforming uses and/or structures. Where that is not practi-
cal, most ordinances also include provisions that explain the
conditions under which such uses may continue to operate
or expand (i.e., to certify the nonconforming uses) .
There are two types of nonconformities: nonconform-
ing as to standards and nonconforming as to use. The first
case addresses uses permitted in a district whose develop-
ment standards have since been revised in the ordinance.
This frequently occurs in older residential areas or estab-
lished commercial areas when the lot size, density, parking,
or setback requirements have been changed in the zoning
ordinance. Most ordinances usually allow these uses to
continue, provided they are not expanded or enlarged, but
require that future additions comply with the new require-
ments. For instance, a new garage added to a house would
have to comply with new setback provisions, unless a vari-
ance is granted. A developer constructing a new depart-
ment store addition to an existing strip shopping center
might be required to adhere to the newer off-street park-
ing requirements. In a zoning district requiring lot sizes of
one acre, the zoning ordinance will usually allow a house
to be built on a smaller existing lot of record; however, the
structure must otherwise fulfill all other requirements of
the ordinance.
Sometimes, the actual use of a property becomes noncon -
forming due to a recent zoning text amendment eliminating
the once-permitted use. Typical ordinance provisions allow
the use to remain, but prohibit any expansion or enlargement.
 2.3 ■ ZONING 55

89-9 "RS" Residential Single-Family

P111pose: the "RS" districts implement the Residentialfutt1re land use category of PlanLafqyette l?J providingfor predominant(y
detached, singleJami/y neighborhoods. The dimmsional standards accommodate a variety of densities and lot sizes.

(a) Pennitted Uses. See§ 89-21.

(b) Dimensional Standards

RS-I RS-2
1 Lot size (min) 6,000 sf 4,000 sf
2 20% 15%

Setbacks rmri al bm w,.

3 Front / comer street (111i11) 20' 5'
4 Side (n1i11) 5' 3'
5 Rear (,11in, co111111011 lot line) 10' 10'
6 Rear-alley (111i11) 3' 3'

Bulk Plane (~ .1'11· S9-T

7 From RS district boundary or another 3 srories fi r the first 50' from the front, ide r rear lot line,
RS zoned lot or parcel then 1 additional story for each additional 50 feet from the
setback line. This requirement does not apply beyond 200' from
any lot line.

~ Refer to Article 3 for rules and measurement of building height, lots, and setbacks.

(1) Required front, ide, and r ar setbacks must be planted in grass or other planting except for required
ingress and egress.

(2) or buildings ad jacent to substandard streets, an additional setback may apply (see Article 3, § 89-38).

(3) Non-residential uses in the RS district are subject to the same standards as residential uses, except as
provided in Article 5.

(4) In developments larger than 40 acres, the open space required must be satisfied by civic space that,
taking into account the appropriate multiplier in Article 3, 89-40, amoun ts to 5% credit towards the
overall requi rement.

(5) For any subdivision of 3 or more lots zoned RS-2, an alley will be required and access must be
provided by that alley.
FIG uRE 2. 3 H Lafayette, Louisiana, dimensional standards.
5& i@U4fi iiffll@i@IH
Repairs and limited reconstruction could be allowed. Some
communities also adopt a schedule to enforce the removal
and/or amortization of nonconforming uses that they con-
sider undesirable, such as billboards or other signage.
Rezoning Process. The Euclidean zoning ordinance provides
details on the administrative and legislative approval proce-
dures for uses requiring approval of a rezoning. These specify
the required information needed for the preparation of plans
and supporting documentation for rezoning and similar appli-
cations. Ordinance provisions also provide the methodology
for amendments to the zoning ordinance text. Text amend-
ments can change development potential as much as map
amendments by (for example) allowing a use previously not
permitted in a zone. Both amendment procedures may be ini-
tiated by either the governing body or individual appellant. In
most cases the request for a change in zoning is evaluated with
the proposed use identified in the comprehensive plan. More
information about rezoning is provided later in this chapter.
Negotiated Zoning. The next type of zoning is the negotiated
zoning, also known as incentive zoning. This zoning maintains
all aspects of the Euclidean zoning including the ordinance and
maps, with allowable uses and dimensional standards. The dif-
ference is in the procedure during the approval process. While
Euclidean zoning is a simple yes or no, that a project does or
does not meet the specific criteria to allow for development,
negotiated zoning allows for more flexibility.
This negotiation can occur on a project by project basis,
or through a large-scale development project. Some jurisdic-
tions choose to offer incentives to developers if they meet cer-
tain criteria. For example, the zoning may allow for an 8-story
office building, but the jurisdiction will allow a 10-story build-
ing if the developer includes a public park, meets green build-
ing standards, and/or donates to the local affordable housing
fund. This situation can be beneficial for both the developer
(higher returns even if there are additional up-front costs) and
the local jurisdiction (benefitting and providing for the public
good). Proffers are another way that an individual developer
may work (or must work) with the local jurisdiction to achieve
approval. Planned unit developments (PUDs), on the other
hand, may allow more flexibility for larger projects by working
with the local jurisdiction upfront.
Understanding the local jurisdiction is important to know
if they allow negotiation or offer incentives during the zon-
ing process. Some explicitly require it while others may allow
it as an option. It will depend on the project and the goals of
the development program to determine if negotiation should
be pursued.
Proffers. A proffer (pro offering) mandates that the certain
conditions are volunteered in writing by the developer prior
to action on the zoning request. The proffers bind develop-
ment of the property to a specific development plan or set
of textual conditions. In addition, the developer sometimes
offers to construct improvements to public and private facili-
ties that minimize impacts generated by the development.
The developer may also provide operational and aesthetic
incentives to the community as a condition of approval. The
final plan and proffers are usually the result of extensive nego-
tiation with community residents and the governing body.
The proffered conditions must be in writing, be signed,
must relate to the zoning itself, and should be in accord
with the comprehensive plan as well. If the governing body
accepts the proffers and approves the zoning, the proffered
conditions then run with the land. Thus, both current and
future owners or developers are bound to the approved plan
and conditions agreed to during proffer negotiations. Any
change to the development plan or the actual proffers must
be accomplished through a subsequent rezoning.
The development team should work closely with the
developer and business team when writing proffers. In many
cases, the land use attorney will author the proffers, but may
rely on the expertise of the design team to determine real-
istic proffer requirements. If a proffer is not written well, it
may delay the project approval because interpretations are
required to understand the original intent. It is common
that different regulatory groups may have conflicting rec-
ommendations for proffers. For example, the city may want
the developer to install a new traffic signal at the project
entrance, but the state department of transportation may not
permit the installation-any conflicts should be discussed
between all stakeholders to ensure compliance is feasible.
Some examples of proffers are
• Land reservation for a new park or school
• Dedication ofland for new street right-of-way
• Installing new traffic signals at warranted intersections
• Meeting green building standards
• Contributing funds for local capital improvements or
affordable housing
Planned Unit Development. A planned unit develop-
ment (PUD) is an example of a negotiated zoning process
that attempts to enhance both flexibility and functional rela-
tionships between land uses. With conventional zoning pat-
terns, the developer cannot easily respond to the changing
market demand associated with shifts in the economy of the
region. Nor can the developer address consumer preferences
for other than a single lot size or housing type. Individual
projects, undertaken in a small geographic area, by differ-
ent developers sometimes lack cohesiveness, causing com-
munity identity to suffer. In addition, the extreme separation
of land uses, which results from conventional zoning, often
places unnecessary stress on community facilities.
The PUD allows for a mix of land uses, building types,
and intensities that can be constructed within a single proj-
ect. It is most often applied in larger tracts ofland by a single
land developer. Many jurisdictions will set a minimum parcel
size that can be considered for a PUD. Typically, a PUD can
include single family detached, single family attached, multi-
family housing, and light neighborhood-serving commercial
retail uses. In larger projects, local zoning regulations may

permit other more intense uses like mid-rise residential, high-
rise residential, commercial office, and commercial retail.
PUD allows the design team the opportunity to con-
sider the project design in a comprehensive manner, rather
than treat each use individually and separately. PUD also
presents design opportunities to address broad functional
relationships between land use and facilities. These include
entrances to the community, vehicular and pedestrian traf-
fic, stormwater management, and other infrastructure sys-
tems. The design team has greater control over placement of
uses, their design, and access between them.
A PUD offers the opportunity to interrelate uses in a com -
mon and controlled setting providing more flexibility than
achieved under conventional zones. The team addresses ele-
ments that affect community appearance and identity with a
unified approach including architectural style, landscaping,
street furnishings, open space, and signage. This comprehen -
sive approach to design and construction of PUDs may allow
for a more efficient use of the land. In addition to a greater
efficiency in the use of the land, the developer is in greater
control of product marketing and the business environment.
Due to this design flexibility, cost savings in streets and utili-
ties design, construction, and maintenance may be a result to
benefit both the developer and public agencies. PUD processes
are more intense for the developer and the team, demanding
much more up-front work, more community outreach and a
lengthier time frame; the trade-off is increased flexibility and,
often, increased density or intensity of development.
Some communities delineate PUD districts on their zon-
ing maps. Ordinance provisions set use and intensity con-
ditions that reflect the district's relationship to other uses.
Other communities have the zone "float;' and it becomes
fixed during the rezoning process, frequently where the
applicant has assembled several properties and the project
may take on the general characteristics of the underlying
zones. A PUD in an otherwise residential area may still be
required to incorporate primarily residential uses. However,
housing type and arrangement may deviate from conven-
tional district requirements. Often, limited neighborhood
serving retail areas will also be allowed. PUD provisions may
also address areas intended to be primarily shopping centers,
industrial, and office parks. Some jurisdictions allow PUD as
a special exception, which most closely resembles the float-
ing zone, with the processing and administration differing
among jurisdictions.
The flexibility associated with PUD often means that
the final development may be viewed as less predictable to the
community. Consequently, PUD approvals often involve
extensive review procedures, public outreach, and negotiated
designs that might discourage their application. Considerable
up-front design costs may be encountered by the developer,
with no guarantee of project approval. Frequently, PUD pro-
visions also require the developer to provide additional on -
site amenities, such as open space, recreational facilities, and
land for public facilities such as schools or fire stations. This
may be documented in writing during the proffer process.
2.3 ■ ZONING 57
Performance Zoning. Performance zoning is another type
of zoning that may be encountered in a jurisdiction. Perfor-
mance zoning provides flexibility by regulating the effects or
impact of land uses on surrounding properties through per-
formance standards. Types of performance standards may
include number of vehicle trips, density, or noise levels of
the development. Performance zoning may result in greater
expense in up-front analysis, both for the community and
the developer. To community residents, it sometimes does
not provide the desired clarity and certainty with respect to
expected development. It is in performance zoning where
greater conflicts may arise in the interpretation and establish-
ment of requirements for development with differing views of
development from the public and private sectors.
Form-Based Code. A form-based code is a land develop-
ment regulation that fosters predictable built results and a
high-quality public realm by using physical form (rather than
separation of uses) as the organizing principle for the code. A
form-based code is a regulation, not a mere guideline, adopted
into city, town, or county law (https:/ /formbasedcodes.org/
definition/.).
Form-based codes focus on the geometric conditions of
the form, placement, and design of the development more
than the use of the land. They are less concerned with
specific separation of uses for a property, like the Euclidean
zoning that enforces a segregation of uses. Form-based codes
instead allow for a mix of uses, such as residential on the
same block as commercial, to create holistic neighborhoods
and encourage walkability. This allows for more flexibility in
design by focusing on the arrangement of the building and
the coordination with public spaces.
Prescriptive in nature, form-based codes regulate develop-
ment through specific standards dealing with the relationships
of building massing, proximity to streets, height, scale, and
other elements that help define the character of a community.
This provides greater predictability about the look and feel of
development and how it functions as a place. This also allows
developers a clearer understanding of what the community
seeks. Regulations and form-based code standards are repre-
sented in both diagrams and words, and are coded to a regu-
lating plan that illustrates the intentions of the community.
This determines which standards apply to which properties.
The Transect is often utilized to organize the form-based
code. An illustrative example of the transect system is pro-
vided in Figure 2.31. The Transect relies on a categorization
system that organizes all elements of the urban environ-
ment on a scale from rural to urban. This focuses first on the
intended character and type of place of each neighborhood,
and second on the specific mix of uses within. The Transect
has six categories, moving from rural to urban. It begins with
two that are entirely rural in character: Natural (protected
areas in perpetuity) and rural (areas of high environmental
or scenic quality that are not currently preserved).
Next are two transition categories. First is the sub-urban,
which is the most purely residential zone, with some mixed-
use (such as civic buildings). Next is general urban, the largest
5a i@U4fi iiffll@i@IH
RURAL I I I I I I I I I 111111111111111 TRANSECT 111111111111111 I I I I I I I I I I URBAN
RURAL ZONES
~~~~~u ~-41""'1~bl::ar?~'7'!'r~P7";_~x_i\."}.......!,...,"-? ~0000~::n=l'{J 0
T1 NATURAL T2 RURAL T3 SUBURBAN
FIG uRE 2. 31 Illustration of the Transect system. (Modified for color, courtesy Duany Plater-Zyberk & Company.)
category in most neighborhoods. General Urban is primarily
residential, but more urban in character (somewhat higher
density with a mix of housing types and a slightly greater mix
of uses allowed).
At the urban end of the spectrum are two categories which
are primarily mixed use: urban center (this can be a small
neighborhood center or a larger town center, the latter serv-
ing more than one neighborhood) and urban core (serving
the region-typically a central business district). The urban
core is the most urban zone on the Transect.
The form -based code document is similar to the Euclidean
zoning document. Both ordinances are legislative texts that
are a separately published title or chapter in the jurisdic-
tion's code of laws. If a jurisdiction has both Euclidean and
form-based zoning, these documents will usually be located
together in the zoning ordinance. The biggest differences in
the documents, however, is that the Euclidean zoning ordi-
nance is mostly text and in a longer document, while the
form-based code is highly illustrative and usually is a shorter
document.
Form-based codes generally include the regulating plan,
public space standards, building form standards, administra-
tion, definitions, and may include other standards.
Regulating Plan. The regulating plan graphically shows,
applies, and places the regulations and standards established
in a form-based code. It provides a public space master plan
with specific information on development parameters for
each parcel within. The regulating plan is the map for the
area that depicts the zones where the different form-based
code standards apply. The area may be the entire jurisdic-
tion, or it is common for jurisdictions to utilize form-based
codes for specific areas, such as a downtown. The regulating
plan may include subareas within the overall area. Different
subareas may have different form-based code standards and
specific regulations for each subarea. In addition, there may
be a more detailed regulating plan for each subarea.
URBAN ZONES
0
0
0
0
0
@.~~~~~.l.~-0~~~ Yod,l-1n ,J.,').,~'.!.~~'"1.:-n-,.....!."1..'lai4----- 0
0
0
T4 GENERAL URBAN T5 URBAN CENTER T6 URBAN CORE
The regulating plan is similar to a Euclidean zoning map.
The regulating plan identifies each parcel with a classification
similar to Euclidean's zoning districts. The difference, though,
is in the form-based code standards. The regulating plan zones
correspond to the Transect and are organized around the cat-
egories of the Transect. Sometimes instead of a zone, the regu-
lating plan may depict a frontage type on the map and include
setback lines. The frontage type then corresponds to the cat-
egories of the Transect. The form-based code standards have
specific regulations that apply to each zone or frontage type.
In addition to providing specific information on the devel-
opment parameters for each parcel, the overall regulating plan
shows how each lot or project relates to the surrounding neigh-
borhood. The regulating plan may identify additional regula-
tions and/or special circumstances for specific locations. The
overlay districts, which were previously defined in this chap-
ter, may be included on a form-based code regulating plan. It
is common for an overlay, such as a historic district overlay, to
be included on top of the zones on the regulating plan.
For example, Figure 2.3J is the regulating plan for Flag-
staff, Arizona. This plan utilizes Transect categories as zoning
classifications, shown as T3 to T6. Each zoning district is fur-
ther described in the city's form-based code. The subsequent
map, in Figure 2.3K, is the street regulating plan for Beaufort,
South Carolina. This plan prescribes the allowable street sec-
tion. Geometric requirements for each street section focus on
character, lane widths, sidewalk elements, necessity of bike
lanes and other elements. An example of street sections from
the Beaufort, SC plan are provided in Figure 2.31.
Public Space Standards. The public space standards are the
first form-based code standards that apply to the zones (or
frontage types) denoted on the regulating plan. These stan-
dards help to define the streetscape, or street-space, for the
form-based code area. This ensures a coherent streetscape
throughout and assists developers to understand the relation-
ship between the public space and their own building.

- T4 Neighborhood 1 Open (T4N.1-O)
- TS Main Street (TS)
- TS Main Street Open (TS-O)
- T6 Downtown (T6)
Feet
0 1,000 2,000
FIG uRE 2. 3 J Flagstaff, Arizona, regulating plan.
The public space standards establish the rules, stan-
dards, and recommendations for the public realm, espe-
cially streets and sidewalks. This identifies the basic
configurations and street type specifications by address-
ing vehicular traffic lane widths, curb radii, sidewalk
dimensions, and on-street parking configurations. This
also defines the parameters for the streetscape including
the placement of street trees, sidewalks, and other ameni-
ties or furnishings.
More information about open spaces, or civic spaces,
identified on the regulating plan will be included in the pub-
lic space standards.
2.3 ■ ZONING 59
Building Form Standards. The building form standards are
the next form-based code standards that apply to the zones
(or frontage types) denoted on the regulating plan. These stan-
dards shape the streetscape through placement and form con-
trols on buildings. They are intended to ensure that proposed
development is compatible with existing and future develop-
ment on neighboring properties and produces an environ-
ment of desirable character. The standards establish basic
parameters governing building form, including the envelope
for building placement, and certain permitted or required
building elements as they frame the streetscape, such as win-
dows, doors, stoops, balconies, front porches and street walls.
&o i@U4fi iiffll@i@IH

...

••
Historic District/ I
I
I
I
I
I

j •
STREET NETWORK DIAGRAM - EXISTING, NEW ADOPTED, AND NEW PROPOSED STREETS- SECTOR 1 AND PORTIONS OF SECTORS 2 AND 4

LEGEND
Major Thoroughfare Avenue Parkway
Boulevard Neighborhood Street 1 - General Low Impact Road
Main Street 1 - Primary Neighborhood Street 2 - Yield Rural Road
Main Street 2 - Limited Neighborhood Street 3 - Lane Military Roads
Commercial Alley Rear Lane Other (specific street section)
FIG uRE 2. 3 K Beaufort, South Carolina, street regulating plan.
 2.3 ■ ZONING 61

C.6.7 Boundary St. 28 -

East of Ribaut Road
(ST: 66 ft - 76 ft)

•Boundary Street (from Ribaut Road to Carteret Street) -

intended to be applied as a final Phase 2 condition in the
Specific Applicability redevelopment of the Boundary Street corridor. The preliminary
phase condition is illustrated in "Boundary St. 2A" above.

Curb Type Curb

Right-of-Way Width 66 to 76 feet
40'
Traffic Lanes
2 lanes (10 to 14 feet each)
{Pavement Width)
Movement
Slow (25 MPH)
(Design Speed)
Parking Lanes (Width) 2 sides parallel parking (7 to 8 feet each)
Bike Facilities _____
Sh_a_rr_ows~(_10_t_o_14_f_eet_sh_a_re_d_la_ne_s~)_ _ _ _ 5x5 PLANTER
Sidewalk (Width) 2 sides (16 feet each) SIDEWALK---<"'
Planter Type (Width) Tree wells (5 feet by 5 feet) DECORATIVE _______.,
Street Trees 40 feet on-center max., overstory; STREET LIGHT
24 feet on-center max., understory or palms

6'
10'-14' 10'-14' 7'-8( '16'
66'-76' , '

C.6.8 Burton Hill Rd.

(BLVD: 100 ft)
•Burton Hill Road - entire length; This ambitious street
section was designed due to the purpose this road
serves. It links residential neighborhoods to higher
intensity commercial and industrial development. A
private developer will be required to install the entire
street section only if developing a whole block -
bound by perpendicular streets on both the north and PARALLEL
Specific Applicability PARKING
south edge of the development - along Burton Hill 40'
Road. If developing less than one block, the only
portion required to be installed, per table 7.1.3, are
the portions of the street section behind the curb,
on whichever side of the road the development is
located on.

Curb Type Curb

20'
Right-of-Way Width 100 feet
Traffic Lanes
2 lanes (11 feet each)
(Pavement Width)
Movement
(Design Speed) Slow (25 MPH)

Parking Lanes (Width) 2 sides parallel parking (8 feet)

Bike Facilities Multi-use path (one side only)
Sidewalk (Width) Sidewalk on west side (5 feet),
Multi-use path on east side (1 Ofeet)
Planter Type (Width) Planting strip (8 feet) & Planted median (16 feet)
Street Trees 40 feet on-center average

'" 7' , _5', 8' , 8' , 16' , 11' , 8' , 8' , 10' , 7' l
100'

FIG uRE 2. 3 L Example specific street sections from the street regulating plan of Beaufort, SC.
&2 i@U4fi iiffll@i@IH
Building form standards also ensure that the buildings
cooperate to create a functioning, sustainable, block structure.
The established boundaries (the building envelope) within
which development can occur ensures that the buildings
relate to each other and form a functioning and consistent
block structure. This may include information on allowed
building types, frontage style standards, and block standards,
depending on the jurisdiction. These standards aim for the
minimum level of control necessary to meet those goals.
The building form standards may include rules for devel-
opment and redevelopment on private lots. This includes
regulation of private frontages, the components of a building
that provide an important transition and interface between
the public realm (streetscape) and the private realm (yard or
building). An example of building form standards for a fuel
station is shown in Figure 2.3M. This building, for example,
establishes requirements for visibility of fuel stations and
maximum number of pumps.
More information about parking, allowable uses, signage,
and other building standards may be included within the
building form standards.
Administration and Definitions. An administration section
is commonly included within the form-based code. This
includes information on the jurisdiction's application process
and the typical review process for plan approval. More specific
details about the form-based code process are also included.
A definitions section is included at the end of a form-based
code with a list of key terms to help understand the code.
Form-based codes are intended to be easy to understand and
easy to follow (compared to Euclidean zoning ordinances).

GAS/FUEL STATION DIAGRAMS

example- store located on street (top);

sketch view plan view -detached liners
pitched canopy(bottom)
A. Description: This building type contains a series of fuel pumps in conjunction with a
convenience or retail store.
B. Building and Fueling Station Requirements
l. Specific to T5-UC
a. The nw11ber of pumps shall be limited to 3 - a maximum of ix fueling position
in the Historic District and 6 pumps elsewhere.
b. The fueling stations hall be located behind the convenience tore or a Liner
Building. Outside of the Historic District, the fueling cations may be located to the
ide of the convenience store or Liner Building with the following provi ion :
1. The building shall be located on a comer
ii. The pump hall be set back a minimum of 10 feet from the front line of the
building
111. The shore ide of the pumps hall be parallel to the Primary Street - ee Street
Hierarchy Diagram in Appendix C
1v. The frontage build-out percentage shall be met by the convenience score and/or
Liner Building
v. Fueling stations shall not be located between the building and the adjacent street
c. One or more pedestrian entries shall be located along the Primary Street frontage.
FIG uRE 2. 3M Beaufort, SC example of building form standards.

Other Standards. Other form-based code standards may
be included in a form-based code that apply to the zones (or
frontage types) denoted on the regulating plan. These are
more detailed standards that support the code to achieve the
community goals. It depends on the jurisdiction what stan-
dards they include in their form-based code. Additional com-
mon standards include architectural standards, landscaping
standards, signage standards, and environmental standards.
Architectural standards: Architectural standards are used
to achieve a coherent and high-quality building design
throughout the form-based code area. These standards
govern a building's exterior elements and set the param-
eters for allowable materials, configurations, and tech-
niques. This may include information on massing, facade
composition, windows and doors.
Landscaping standards: Landscape standards control
landscape design and vegetation materials on property as
they impact the streetscape. Some jurisdictions will pre-
scribe allowable tree species and quantity of trees required.
Signage standards: Signage standards ensure that signs
reinforce the existing and envisioned character of the
community. They control allowable signage sizes, mate-
rials, illumination, and placement.
Environmental standards: Environmental standards
control issues such as stormwater runoff, steep slopes,
tree protection, conservation and preservation,
viewsheds, and others.
Implementation. Form-based codes can be implemented
in a jurisdiction by being mandatory, optional, or floating. It
is important to understand and follow the requirements of
the local jurisdiction.
Mandatory: Mandatory form-based codes are required
to be followed. The existing Euclidean zoning has been
removed and replaced by the form-based code.
Optional: Optional form-based codes, also known as
parallel codes, exist alongside the Euclidean zoning. In this
case, the form-based code may be an overlay in a specific
area of the jurisdiction. But in that area, both types of zon-
ing are available. The developer is able to decide if they want
to follow the Euclidean zoning or the form-based code.
Floating: Floating form-based codes are available but
only become fixed through the rezoning process.
2.3.3. Zoning Techniques
It is important to note that the types and techniques to admin-
ister zoning are used differently by jurisdictions, and sometimes
are different within a community itself There may even be mul-
tiple types of zoning within a jurisdiction. Euclidean zoning may
exist throughout the community, but form-based codes may
be along one specific corridor that is in redevelopment. Some
jurisdictions may offer incentives, allow for negotiations, and/or
require proffers. In addition, some jurisdictions simply use
2.3 ■ ZONING 63
these zoning types to separate uses and ensure compatible uses,
while others use zoning as a specific tool to promote growth.
Zoning techniques are different types of tools that can be
useful in addressing different goals with the community. A
comprehensive plan may recommend, through the land use
plan, to allow for higher density and the zoning ordinance will
be utilized to achieve this goal. For example, a jurisdiction with
a new bus rapid transit line may allow for the revitalization of
an old, low-density industrial park. Their comprehensive plan
will recommend transit oriented developments at that loca-
tion, and the zoning can then adopt this recommendation into
the ordinance. The jurisdiction can achieve new development
and the community will grow because of the cooperation
between the comprehensive plan and zoning. Every situation
is different so it is important to be aware of the comprehensive
plan and to understand the local jurisdiction's zoning.
2.3.4. Rezoning Overview
The development program of a project frequently differs from
the land use allowed by the zoning district in which the prop-
erty is located. Consequently, the property may be rezoned to
achieve a more favorable zone during the entitlement process,
which is introduced in Chapter 2.4. The rezoning will occur
early in the land development design process before any proj-
ect plans can be produced and development can proceed.
To accomplish a rezone, the developer must demonstrate,
through analytic and legislative procedures, that the proposed
zoning is suitable for the property and that the proposed use is
appropriate for the community. This usually requires confor-
mance with the jurisdiction's comprehensive plan. Even when
the comprehensive plan recommendations support the zoning
change, the developer must earn the support of the public for
a project that might dramatically alter their community, which
can be a formidable task. The site engineer should anticipate,
respect, and accommodate community input.
From the developer's perspective, the most prevalent rea-
son for rezoning is to increase the land use intensity for higher
yield and greater profit potential or change the use to meet
development goals. Developing a tract to the maximum den-
sity permitted by its existing zoning does not necessarily mean
profits to the developer. In fact, in some instances, develop-
ment at existing zoning is not economically feasible. In a typi-
cal economic market, the highest and best use of a property is
a critical factor in setting land value and prices. This land value
is established based on the scarcity of developable land and the
demand for property of similar potential.
The community's comprehensive plan and zoning ordi-
nance play an important role in determining and subsequently
obtaining the highest and best use. For example, a commu-
nity's comprehensive plan might suggest that a 20-acre parcel
of land located near a commercial area should be developed
at a multifamily residential density of 15 dwelling units to the
acre. Although existing zoning allows one dwelling per acre,
based on the comprehensive plan recommendation, the land's
highest and best use becomes multifamily; this instance rep-
resents a great case for rezoning. The land use value is based
on the demand for multifamily development, the scarcity of
&4 i@U4fi iiffll@i@IH
multifamily zoned land and the potential yield of the land.
The developer's successful rezoning effort is essential to the
subsequent purchase of the land.
Other motivations exist for seeking rezoning approval. As
noted in Chapter 2.2, comprehensive plans often set a range of
densities and uses, rather than set a finite density. In evaluating
the plan to determine potential uses, the developer's feasibility
analysis may suggest land uses for which there is considerable
market demand in the area. The situation may exist where an
intended use may be more compatible to the surrounding area
than existing uses or uses permitted by existing zoning. As
an example, a suburban office park with high vacancies may
be better suited for residential development. A rezone from
commercial office to residential would allow for more oppor-
tunities of development. Further, the developer may wish to
rezone because of a preference or bias for a particular type of
development. For instance, a residential home builder would
not be interested in a commercial property, but a rezone to res-
idential would allow for the construction of new townhomes.
Success in the rezoning process depends in part on the tech-
nical analyses performed by the developer's team. Consider-
ation of the rezoning proposal, however, frequently takes place
in a politically and emotionally charged atmosphere. Private
sector motivations, including the development and business
community, and public sector policies often come into conflict
with each other and local citizens' concerns and desires.
It is important to note that the design team will become
involved with the interpretation and application of zoning
ordinances and comprehensive plans. These interpretations
are central to evaluation of the development for approval. The
rezoning process represents a major up-front expense to the
land developer and comes with few guarantees that the goals
of that investment will be realized. In view of the legal require-
ments of rezoning, the development team relies heavily on its
legal consultants throughout the process. The attorneys in the
legal team are an essential component of the development team.
With the advice of an experienced land use/zoning attorney, a
developer ensures that technical procedures are adhered to and
that government actions are consistent with the requirements
oflocal, state, and federal laws. During the rezoning process, it
is typical for the legal advisors to take the lead.
Rezoning Process. A rezoning application will be provided
by the local jurisdiction. After that is submitted, initial public
presentations may be required to inform the public about the
project. Finally, a formal public hearing with the local plan-
ning commission is required where a decision (or recommen-
dation to board of supervisors) on the rezoning will be made.
Review of the Application Submittal. The review proce-
dures of the rezoning application vary, depending on state
enabling legislation, local development ordinances, and cus-
toms and practices. In general, applications are prepared in
accordance with specific development ordinance standards
that specify graphic information that must be included and
the format for presenting the proposal. Such information usu-
ally includes extensive analysis and studies addressing pos-
sible impacts of the new development on the community and
the demand for additional public services that it will generate.
Standard application forms and information checklists
are usually available from the municipality's planning or
zoning office. Public notice may be required by way of certi-
fied mailings and posting signs at the property. The notices
generally contain information regarding the proposed use,
scheduled public hearings, and the responsible staff person
of the coordinating agency.
The applicant must follow legislated administrative proce-
dure to the letter as adversary groups can delay or terminate
projects where proper notice has not been given. State legis-
lation generally mandates that action of the decision -making
body must be completed within a certain specified time
period including the holding of public hearings required and
the specific findings relating to the application.
Public Presentations. The development team may make
initial public presentations at civic association or neighbor-
hood group meetings. These presentations will educate the
public on the project and the rezoning, and gain their confi-
dence and support in the project proposal. The development
team is there to listen to the support and concerns from the
citizens and to devise solutions for the negotiation details.
Facts, figures, and graphics should be prepared to sup-
port the statements made at all meetings. In view of the vari-
ous levels of understanding of the project and local process of
the audience, graphics should be simple and easy to read. The
development team should be flexible and, consequently, pre-
sentation graphics should imply that flexibility. The graphics
must be prepared and reflect honesty, and they must be drawn
in such a manner as to imply accommodation to change.
The development team should be prepared with answers
to issues that are increasingly common. Perhaps the most fre-
quent issue is neighboring residents' concern regarding the
compatibility of the proposed project with existing commu-
nity. Concerns about traffic congestion are also high on the
list of neighborhood objections to new projects. Sometimes,
those objections are withdrawn when commitments are made
to change the proposal or provide concessions to the commu-
nity. For example, a developer may proffer the construction of
a new traffic signal to accommodate the increased traffic vol-
umes of a new retail site. As with all design modifications, the
cost of the proposed improvement must be balanced against
expected return or investment. However, if incorporating the
changes means that the plan is more likely to win the support
of the community and can be made more marketable at the
same time, rezoning approval is more likely to be granted.
After initial meetings, the development team should eval-
uate comments. Analysis will include the practical and finan-
cial costs of modifying the plan proposal. All parties will not
be satisfied with the final plan. However, if the majority of
the people can be satisfied and the development team has
made a legitimate attempt to accommodate outstanding
issues, the project stands a reasonable chance for approval.
2.3.5. The Public Hearing
The public hearing scheduled by the planning commission,
zoning hearing examiner, and/or decision-making body is
often the only formal opportunity for the development team

to directly address the decision-making body to discuss their
intentions and the merits of the application. In addition, this
forum provides citizens with an opportunity to express their
opinions about the project.
The meeting sessions during which development appli-
cation-related public hearings are held are lengthy in many
jurisdictions. For the governing body, the public hearings
may be part of an even longer agenda reflecting their role in
managing the municipality. These public hearings frequently
run for hours, as participants in each case present testimony
reflecting their position on the application.
Members of the commission or governing body usually
are given a packet of materials prior to their meeting reflect-
ing the day's agenda. These information packets are often
lengthy, with endless photocopies of development applica-
tions, maps and plans, engineering analyses, traffic studies,
staff analyses, and recommendations as well as letters of
support and opposition. Members often engage in lengthy
debate when discussing a rezoning application.
The legislative or governing body normally renders its
final decision at the close of the hearing. Their decision
will be based on the information presented by the appli-
cant, advice from the staff, and commissions and testimony
from the citizens. If it is believed that continued negotiations
between the developer and the opposing groups can achieve
greater accord, the public hearing or decision may be contin-
ued or deferred to a later date.
The outcome of the vote is contingent upon the response
of the citizens and how sympathetic the board or zoning
administrator is toward the project. It is imperative that the
development team proceed through the various stages by the
book, for example, all applications at the state level and local
level filled out and properly submitted and proper notifica-
tion given. The negotiation and hearing process for a rezone
may take several months and possibly several years depend-
ing 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 accordingly.
The governing body often suggests or imposes conditions
or modifications that the developer must incorporate into
its proposal subsequent to final certification of the rezoning
application. Further, it may direct the applicant to establish
communication with neighborhood groups to resolve out-
standing differences, deferring its decision until the proposal
is modified. Zoning ordinances usually establish procedures
for anyone aggrieved by the decision of the governing body
to appeal that decision in the court system. A waiting period
is often established after an approval is granted in order to
allow appeals to be filed. Once this statutory period passes,
the rezoning stands final.
Comprehensive Plan Amendment. The rezoning must be
consistent with the local jurisdiction's existing comprehensive
plan. If not, then a comprehensive plan amendment may be
required before the rezoning process can be initiated. A com -
prehensive plan amendment, as described in Chapter 2.2, is a
change to the comprehensive plan that a developer can utilize
to achieve a more favorable condition. This can be a lengthy
2.3 ■ ZONING 65
process and can significantly delay a project, compounding
the lengthy rezoning process. The combined amendment and
rezone may prove to be extremely costly to a developer.
For instance, consider a site that is currently zoned as low
density and the comprehensive plan recommends a medium
density, but the developer wants a high density. The devel-
oper will have to initiate a comprehensive plan amendment
to change the comprehensive plan from medium density to
allow for a high density. Then the developer would have to
rezone the property from low density to high density. Each
of these steps can take several months or years to obtain
approval, and this must be completed before any project
plans can be produced.
2.3.6. How to Use the Zoning Ordinance and Map
Most zoning ordinances can be found online, as well as their
amendments, at the local jurisdiction's website. The accom-
panying zoning map can also be found online, usually with
the zoning ordinance link.
Many communities adopt text amendments on a continu-
ing basis as the government responds to development trends
or constituents' issues. If an amendment exists for the zoning
ordinance, they may be published separately from the primary
document. The development team must use the most current
version of the zoning ordinance and should be familiar with
the terminology used by the jurisdiction.
The land development team must be familiar with the
ordinance and terminology of the region where a project is
planned. Most zoning ordinances will have a section for defi-
nitions, where key terms are defined by the jurisdiction. Again,
it is important to remember the terminology may vary across
localities, such as the term "building height" may be a measure
from the lowest point of the building in one jurisdiction but
might be measured from average grade around the building in
another jurisdiction. The definitions of a use may also differ
across jurisdictions, and may be subject to interpretation.
Additionally, interpretations of the ordinance may need
to be documented. An interpretation provides clarification
of any text that was noted as ambiguous. For example, the
code may require that one tree is planted along a road for
every 50 feet of new road centerline. This could mean one
tree on each side of the road every 50 feet, or an average of
one tree per 50 feet of roadway (100 feet separation on each
side). An interpretation of the ordinance would serve to doc-
ument the resolution of the ambiguity so that it is enforced
consistently. Ideally, the zoning ordinance is later clarified to
remove the ambiguity.
Development Program. When considering sites during
the due diligence of the site selection process, it is crucial to
understand what each property is zoned as. This will require
reading the zoning ordinance to see what kind of zone it is,
what the allowable uses are, zoning dimensional standards,
and other regulations contained in the ordinance. This will
define the development potential of the site.
The development program must be considered with the
property's zoning. A favorable zoning will allow for an eas-
ier approval process. Choosing a residential property for a
66 i@U4fi iiffll@i@IH
commercial development, on the other hand, would require
a rezone that could prove costly for the developer. Likewise,
choosing a site zoned under a form-based code or initiating
a PUD, may allow for more flexibility for the project. This
could be great for the development program, as long as the
developer is prepared for additional up-front costs. Each
zone must be thoroughly considered during due diligence to
best achieve the development program.
Jurisdictional Challenges. It is common for a developer
and their team to operate in several jurisdictions. Conse-
quently, they will encounter a broad variety of plans, ordi-
nances, regulations, policies, and procedures that all can
affect project design, economics, and plan approval.
Figure 2.3N, depicts the Washington, D.C., metropoli-
tan area surrounded by two states: Maryland and Virginia.
Each state operates under a different legislative process and
constitutional mandate. Within those two states, there are 13
adjacent or nearby counties, 4 major cities, and a significant
number of independent towns and villages of varying sizes.
Each of the jurisdictions of the region is unique in its eco-
nomic base, its citizens' attitudes, and its government's pri-
orities. Perhaps more to the point, each of these jurisdictions,
within the metropolitan area, has its own unique set of com-
prehensive plans and zoning regulations. The breadth and
expansion of the Washington market is not unique; similar
situations exist in numerous metropolitan areas.
Differences in a local government's size, budget, and staff
also have broad implications for the development team.
FIG uRE 2. 3 N Jurisdictions in the Washington, D.C., metropolitan area.
These differences not only affect the number of public offi-
cials and agencies the development team must encounter, but
also the level of scrutiny given to the proposed rezoning doc-
uments or development plans. As the government's size and
structure grows so does the potential for conflict between its
administrative and elected officials. Each official or depart-
ment manager reviews rezoning and development proposals
with a different constituency or agenda in mind. Each has
competing needs and generates competing conclusions. The
environmental staff may not agree with the transportation
staff as they review a plan that widens a roadway by impact-
ing undeveloped land. These conflicts bear directly on the
time it takes to secure zoning approval.
As a jurisdiction matures, political or civic leaders often
demand more exacting standards for development and
construction. The government responds by tailoring zon-
ing regulations and procedures to address new priorities.
Sometimes, these new rules and standards take effect even
while a proposed zoning project is well underway. These new
standards and/ or regulations, coupled with increased review
time and sometimes circuitous approval procedures, can
increase the future land development costs dramatically. The
land development team must frequently adjust design and
construction budgets during the rezoning process.
Given these differences, the site engineer must become
familiar with the comprehensive plan, and also the zoning
documents and other regulations, in effect in each jurisdic-
tion within which the professional operates; otherwise plans
and/ or proposals may not win government approval. It is the
site engineer to whom the developer looks to be an expert on
local policies and the controls applicable to each new project.
Even site engineers with prior local government work expe-
rience must keep track of newly evolving priorities, policies,
regulations, and standards.
As government workload increases and operating funds
decrease, development review staffs are forced to limit their
efforts to technical review. They are unable to devote con-
siderable time or energy to shepherd applicants through the
jurisdiction's regulations or review procedures. This places
a heavier burden on the site engineer to develop indepen-
dence and expertise in the local land development review
and approval process. The plan reviewers are not responsible
for plan conformance-the site engineer and applicant bear
that responsibility. If noncompliance or nonconformance is
identified late in the design process, it can have a detrimental
impact on project schedule, design, and cost.
Developing a clear understanding of local plans, poli-
cies, 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. Acquiring an overall
familiarity with the basic structure of government function
and regulations makes it easier to assimilate this information.
REFERENCE
Form Based Code Institute website, http://www.formbasedcodes
.org/, accessed October 2007.
 CHAPTER 2.4
SUBDIVISION ORDINANCE, REVIEW
PROCESS, BUILDING CODES, AND
DEVELOPMENT COSTS
2.4.1. Introduction
In addition to the comprehensive plan and zoning ordi-
nance, development is subject to other local regulations.
These should be evaluated during the pre-design stage to
ensure project success. First is the subdivision ordinance,
which is similar to the zoning ordinance by establishing a
legal requirement for conformance. A primary focus of the
subdivision ordinance is the modification to parcels through
subdividing a large parcel into smaller parcels or by con-
solidating multiple parcels. Therefore, when considering the
feasibility of a project, it is important to first determine if a
subdivision or consolidation of the property will be required
to achieve the project goals. The subdivision ordinance also
provides additional requirements to guide development
in the jurisdiction. In addition, the subdivision ordinance
defines the review process of site plans for the jurisdiction.
Other regulations to consider that could affect a project are
building codes and associated development costs imposed by
a jurisdiction.
A site plan, the development design document, demon-
strates conformance with subdivision ordinance and other
development regulations. The site plan must be reviewed
and approved as part of the subdivision process. Its form
and purpose are usually prescribed in the various ordi-
nances administered in the community, and the level of
detail required may vary among ordinances even within a
single locality.
Together, site plans and building codes play an impor-
tant role in assuring proper review of proposed development
projects and ensuring the safety and structural integrity of
proposed buildings. In many jurisdictions, site plans are syn-
onymous with subdivision plans and require only an admin-
istrative review. In contrast, some jurisdictions require site
plans to undergo greater scrutiny of not only an adminis-
trative staff review, but also the governing body, with public
hearings as part of a very formal approval process.
The underlying purposes of land use ordinances dis-
cussed within this chapter are to protect the community at
large from negative impacts of a forthcoming development
and to ensure that time tested standards are honored in the
construction of new structures. Like comprehensive plans
and zoning documents, a great deal of effort is required to
implement and enforce subdivision ordinances, site plan
approval, and building permits. Local governments are
invested in this effort because they retain a vested interest
in knowing that its residents and business operators are pro-
vided with safe, durable, and efficient developments. Land
is an exhaustible resource and its development is a primary
generator of revenues needed to provide public services and
maintain fiscal health. Government, therefore, assumes an
important role in protecting that resource and ensuring that
development projects remain marketable and a continued
community asset.
2.4.2. Subdivision Ordinance
Like the zoning ordinance, the subdivision ordinance is a
legislative text that is adopted by a local jurisdiction and is
included within the jurisdiction's code oflaws. Sometimes the
67
&a i@U4fi iiffll@i@IH
subdivision ordinance is included alongside or with the zoning
ordinance. It is important to note the difference between zon-
ing and subdivision ordinances: whereas zoning ordinances
regulate the permitted use of the land and the spatial relation-
ships of those uses, subdivision ordinances specify the poli-
cies, procedures, and standards by which the infrastructure
systems necessary to support the use are physically created.
In 1928, the U.S. Department of Commerce created the
Standard City Planning Enabling Act and granted local
municipalities the right to regulate the subdivision of land
to "provide for the proper arrangement of streets in relation
to other existing or planned streets and to the master plan,
for adequate and convenient open spaces for traffic, utilities,
access of fire-fighting apparatus, recreation, light and air, and
for the avoidance of congestion of population, including min-
imum width and area of lots" (Department of Commerce).
Items such as grading, utility construction, and bonding were
also established as a part of the act and were permitted to be
conditions precedent for subdivision plat approval.
As a condition of plat approval, municipalities use these
subdivision ordinances to control street patterns, clustering
of housing, placement of public infrastructure, and availabil-
ity of open space. As subdivision ordinances evolved, approv-
als for land subdivision included exaction requirements and
finally the addition of impact fees. These are discussed later
in this chapter with development costs. Subdivision approv-
als are also tied to adequate public facility requirements for
schools and water, sewer, police, and fire-protection services.
Finally, the latest addition to many subdivision requirements
is the allocation of perpetual easements that set aside natural
resource areas for public benefit.
Subdivision Plan. The subdivision of land, as defined by
most local subdivision ordinances, is the division of land
into two or more parcels. In addition, most ordinances also
cover the consolidation of parcels into larger areas. Jurisdic-
tions may include condominium and cooperative owner-
ship as forms of division where both horizontal and vertical
divisions may take place. In these cases, both the land and
building may be subdivided. Long-term leaseholds are also
frequently included in the definition as well.
As an example, a developer may be interested in purchas-
ing a large tract to construct a new residential community. The
zoning may allow for the proposed use (single-family homes),
but as a single tract ofland the property is suited for only one
home. A developer may subdivide the land so that it still con-
forms with the zoning but establishes additional lots for more
homes. The zoning ordinance may identify the minimum lot
size for the use, but it will be the subdivision ordinance that
will set requirements on the geometric configuration of the
new lots, the design standards for roads within the subdivi-
sion, tree preservation requirements, utility requirements for
the community, and other design conditions.
Local governing bodies impose standards and procedures
for the subdivision ofland with the adoption of regulations in
the subdivision ordinance. Like the zoning regulations, sub-
division regulations are an exercise of the local government's
police powers. They are intended to protect the health, safety,
and welfare of its citizens and facilitate community growth
in a controlled manner. Subdivision regulations are an
important mechanism to ensure that proposed development
complies with the requirements of the zoning ordinance. In
addition, the subdivision ordinances provide protection to
purchasers and users by ensuring that subdivided lots are
suitable for their intended purpose.
A subdivision plan must be submitted and approved by
the jurisdiction to allow for the subdivision or consolidation.
This plan includes a plat that shows the original boundary
survey of the parcel (to be discussed in Chapter 3.2) and
the proposed subdivided (or consolidated) parcel. Any open
space parcels, requisite easements, or right-of-way dedica-
tions for public infrastructure improvements are also shown
in this plan. The production of a subdivision plat is usually
performed by a surveyor in coordination with the site engi-
neer. This occurs after schematic designs are produced but
before final construction documents are completed (as are
described in Chapters 4 and 5). Figure 2.4A shows an origi-
nal boundary survey for a site and then a proposed subdivi-
sion plat.
Development Standards Manual. The Development Stan-
dards Manual is often included with the subdivision ordi-
nance. This manual may be a section contained in the
ordinance or an independent/separate document. The
manual may be referred to as a Design Standards Manual,
Engineering Standards Manual, Facilities Standards Manual,
Manual of Standard Specifications, Manual of Practice, or
some other variation depending on the jurisdiction. The
Development Standards Manual is a supplement to the sub-
division ordinance to guide development in the jurisdiction.
In addition to being required for projects under subdivi-
sion plan review, some zoning ordinances require compli-
ance with the Development Standards Manual as well (more
information is provided with site plan review later in this
chapter). It provides policies, standards, and design details
for the various methods and requirements for construction
within the jurisdiction.
The Development Standards Manual performs several
specific functions. Of paramount importance is the adoption of
design, construction, and material standards for facilities that
serve and support the project and continued development of
the larger community. In many cases, the Development Stan-
dards Manual will reference national or state design regulations
and details. Although jurisdictions vary on the listing of
systems addressed by their development standards, the most
typical features, systems, and facilities are listed below:
• Street design
• Parking geometry
• Lot size and geometry
• Utility design and distribution
• Sidewalk and trail design
 2.4 ■ SUBDIVISION ORDINANCE, REVIEW PROCESS, BUILDING CODES, AND DEVELOPMENT COSTS 69

Original Boundary Subdivision

LH PENNETll
l.63053 AC.

ASHLEIGH ROAD

SOLSTICE VIEW PUBLIC SCHOOLS SOLSilCE VIEW PUBLIC SCHOOLS

Cl,ll, 1;)112 PG, 2169
(a) (b)

FIG uRE 2. 4A The above plats show (a) the original boundary survey of the parcel containing a single dwelling unit and (b) the subdivision
plan including eight lots and three (open space) parcels as well as requisite easements and ROW dedications for public infrastructure improvements.
Note: Plats have been modified for content and are intended as illustrative of the subdivision concept.

• Easement requirements
• Signage
• Well and septic systems
• Survey standards
• Landscape and buffer requirements
• Open space requirements
• Protection of environmental and historic features
• Erosion and sediment control
The Development Standards Manual requirements
attempt to offer protection to the consumer, who has a per-
ception of the quality, design, and functionality of a project.
It provides assurance that systems will be adequate and
working at the time of purchase and that the investment is
sound relative to public infrastructure. Standards provide for
safe and proper design of transportation facilities and other
critical public facilities, such as adequate and safe water sup-
ply and sewer capacity.
The jurisdiction desires protection because it will own,
operate, and maintain many of the infrastructure facilities
provided by the developer. By setting minimum standards,
the jurisdiction can better predict lifecycle maintenance
costs and avoid costly reconstruction of otherwise less dura-
ble facilities. Maintenance and repair will be made easier
because the ordinances provide for a record of the design of
roads and drainage facilities. Final construction documents
record the location of most underground utilities. In addi-
tion, the development standards help achieve continuity and
compatibility of systems. Since a residential or commercial
subdivision is part of a larger neighborhood and commu-
nity, the infrastructure and public facilities must coincide
efficiently with the entire pattern. Not only must new devel-
opment connect with the existing community, it must antici-
pate, and in some cases serve, future development.
Public infrastructure design criteria and construction
standards ensure that the public facilities and transporta-
tion network are compatible from one project to the next.
Provisions in the Development Standards Manual address
most components of those systems to ensure that individ-
ual projects do not disrupt the community. For instance,
improperly designed and located driveway entrances and
intersections can create hazardous driving situations, which
may severely impair the efficiency of the transportation net-
work. Similarly, stormwater management systems can cause
flooding and damage on both upstream and downstream
properties if those properties are not considered in the
design. Every component of a development project has an
10 i@U4fi iiffll@i@IH
effect on neighboring properties and the surrounding com-
munity. During the construction of one project, uncoordi-
nated development on adjoining properties can have severe
consequences.
Related Development Ordinances. All levels of the devel-
opment community (local, national, and even global) have
experienced a heightened concern with respect to the effect
ofland use on the environment. To respond to this concern,
stormwater management ordinances, grading ordinances,
erosion and sediment control ordinances, and resource
ordinances have been developed to reduce the impact on
the environment. These related development ordinances are
either included as a part of the subdivision ordinance, within
the Development Standards Manual, or adopted as an inde-
pendent ordinance. The provisions within require greater
care in both design and construction of site facilities and
must be considered early in a project.
Local, state, and federal legislators focus on the impacts of
land use on both ground and surface water quality and quan-
tity. Water quality has been found to be degraded not only
by sediment runoff, but by the many chemical and metal
byproducts of both agricultural and urban activities. Related
to water quantity, continued attention has been focused on
the flooding caused by construction activities, including the
clearing, grading, and subsequent paving required to develop
land, and the inadequacy of design efforts and regulatory
practices for stormwater and site runoff.
Early storm drainage requirements led to the design of
systems intended to collect and discharge site runoff quickly,
without regard to the downstream property. Recognition of
the negative effects of this type of system for many applica-
tions has led to the adoption of stormwater management
ordinances requiring on-site collection, trapping, and slow
release or infiltration of storm runoff. Stormwater manage-
ment facilities have become a common feature in land devel-
opment, particularly in ecologically sensitive areas or coastal
watersheds. Coupled with greater interest in the use of natu-
ral features, such as wetlands to filter runoff, greater inves-
tigation on environmental effect, including water quality
and quantity, is now required by many communities. These
effects are further discussed in Chapter 2.5.
Concern about sediment damage and sediment runoff
from construction activities, other land disturbing activi-
ties, and agriculture has led to the adoption of grading
ordinances and erosion and sediment control ordinances.
Many jurisdictions also have tree protection, stream pres-
ervation, or other similar resource ordinances. For exam-
ple, the Mississippi River has an intercounty conservation
regulation for water protection. These resource ordinances
include water quality regulations that are designed to pro-
tect existing natural resources by requiring preservation
of existing river buffer areas. Additionally, the ordinances
may require the creation of new buffers if little or no forest
currently exists on a property. Minimum vegetative cover-
age thresholds have been established based on the land use
designation of the area to be developed. The regulations
allow for the categorization of existing and proposed forest
areas, which allows for the protection or enhancement of
higher priority areas over the areas that are deemed lower
priority. The result is that considerable forest areas have
been protected or reestablished as a part of the subdivision
process. These types of preservation ordinances are further
discussed in Chapter 2.5.
These issues and other development ordinances have led
to an evolution in site planning practices. Sensitive environ-
mental features now play a more central role in the project
layout. Where they must be preserved, either by regulation
or by good design, environmental features are a key factor
in decisions about project feasibility. Additionally, the site
engineer must consider the size and placement of perma-
nent stormwater facilities during the design process. Rather
than being viewed simply as constraints, creative develop-
ment teams have begun to view environmental features as
an opportunity to enhance project appeal and marketability.
In some regions, the link between land use and the envi-
ronment has been made stronger where the latter's degra-
dation has been shown to threaten a significant economic
resource. Comprehensive programs to protect these fea-
tures seek to balance private property development rights
with broad public and economic concerns. Two examples of
this are in Texas, where protection of groundwater recharge
areas is a high priority, and in the mid-Atlantic's Chesapeake
Bay region. In the latter case, administrative subdivision
reviews are being supplemented, and in some cases, sup-
planted with more extensive discretionary reviews. The goal
is to ensure that land disturbing activities are kept to abso-
lute minimums. The land development team must design
protective devices with greater efficiency to prevent pollut-
ant and sediment damage.
How to Use Subdivision Ordinances. It is necessary to
obtain the most current version of the subdivision ordi-
nance. In addition, it is important to identify and compile
other ordinances, related regulations, or supplemental docu-
ments referenced in the subdivision ordinances that control
the physical development of land, including the Develop-
ment Standards Manual and all related development ordi-
nances. The community amends all of these ordinances and
documents from time to time, either by administrative or
legislative action with the latter being preferable.
Note the effective dates of ordinances and amendments,
as they may have different applications or may exempt preex-
isting conditions. Policies concerning existing recorded plats
for otherwise undeveloped subdivisions vary. These plats
sometimes predate even the earliest version of ordinances, or
more restrictive ordinances that might be in effect. Whether
or not a project can proceed and what required public
improvements apply varies depending on the jurisdiction. In
some jurisdictions, plat approvals have an expiration date if
no development takes place. Grandfathering is an exemption
granted to projects from later ordinance changes.
 2.4 ■ SUBDIVISION ORDINANCE, REVIEW PROCESS, BUILDING CODES, AND DEVELOPMENT COSTS
It is important to identify possible exemptions for certain
types of developments. Among those often excluded are so-
called "minor" subdivisions that sever one or two parcels from
a larger tract. An ordinance or a local policy may define a tract
using the parcel boundaries as they existed as of a certain date.
Family conveyance provisions may allow for a certain num-
ber of gift lots to be given to immediate family members. The
ordinance may exempt large lot subdivisions and permit estate
or agricultural use of these properties. Boundary adjustments
between adjoining properties and divisions caused by govern-
ment condemnation are also frequently excluded from full
compliance with subdivision ordinances. Simple plat prepara-
tion and recordation procedures often apply to these exempted
divisions of property; however, minimum standards to protect
public health and safety may also apply.
When reviewing the subdivision ordinance, determine
the procedures for administrative waivers of certain require-
ments, appeals, and judicial challenges to administrative
or legislative actions by agency personnel or the govern -
ing body. Identify provisions for execution of performance
bonds and bond release procedures. These include prepara-
tion of as-built drawings.
The subdivision ordinance outlines permit processing
requirements that should be verified. Identify sections of the
ordinance that address site planning and design criteria, con-
struction standards, and permit application requirements.
Required submission dates, schedules, and fees should also
be documented. More information about permit processing
is discussed during the review procedures in this chapter as
well as in Chapter 6.
2.4.3. Review Process
The review procedures for a development project in a juris-
diction are usually included with the subdivision ordinance
or another development ordinance. In most municipalities,
five general stages of review and approval can be expected as a
part of the development review process. It is important for the
developer and development team to recognize that the timing
of the stages can take several months to several years of pro-
cessing depending on the nature of the project and the admin-
istrative requirements of the jurisdiction. Understanding the
development review and approval process a municipality uses
cannot be overstated. While the names of the stages are differ-
ent in various parts of the country, the underlying intent and
staging is fairly common and proceeds as follows:
Entitlement review includes the jurisdictional review
of concept plans (optional in some jurisdictions) and
preliminary plans for the purpose of processing one
or more of the following: subdivision plan, compre-
hensive plan amendments, and/or rezoning efforts.
This could also include review of special exceptions
and variances under Euclidean zoning, planned unit
development approval under negotiated zoning, a
form-based code review, and more. Approvals at this
71
stage establish yield, floor area ratio, type, size and
location of structures, streets, lots, parking, stormwa-
ter facilities, utilities, open space, and landscaping,
and the provision of exactions or proffers for public
improvements (see Development Costs later in this
chapter). Entitlement approvals are not a guarantee of
site plan approval, but designate the literal intent or
spirit of what is to be expected during all subsequent
stages of a project review. The concept and prelimi-
nary plans for the entitlement review are developed
during the conceptual and schematic design stage. See
Chapter 4 for more information about the production
of these plans.
Site plan review includes the jurisdictional review
of final site plans and/or final subdivision plans (if
applicable). A subdivision review may be required
separately. This book focuses on the site plans, which
include detailed engineering, landscape architec-
ture, and surveying plans. These plans are based on
the approvals received during the entitlement review
process. The purpose of this stage is to finalize how
each of the development components relates to each
other and what will be constructed. The entitlement
stage is predominantly planning intensive, while the
site plan stage is engineering intensive. See Chapter 5
for more information about producing the final site
plan design documents.
Plat preparation, approval, and recordation in the land
records occur once development review agencies are
comfortable that all subdivision requirements have been
appropriately documented in accordance with local
development ordinances. More information about these
required plats is given in Chapter 5.1.
Permit acquisition is the stage in which environmental,
building, and other permits are issued. An approved
final site plan is necessary to acquire these permits. In
addition, construction cost estimates are approved, and
letters of credit or bonding requirements are fulfilled.
Permits are discussed in Chapter 6.1.
Closeout is the final stage of development and entails
as-built drawings, final construction inspection and
approvals, public street acceptance, and the return of
letters of credit or bond release. See Chapter 6.2 for more
information about closeout.
Entitlement Review. Some development projects can
take place without the necessity for an entitlement review.
Often, though, the entitlement process precedes the
detailed final design of a site plan. It should be understood,
that approval of an entitlement review is insufficient to ini-
tiate construction. Detailed design and structural analyses
are rarely incorporated to a sufficient degree in the entitle-
ment process.
12 i@U4fi iiffll@i@IH
The engineering analysis performed for a site plan in final
design often reveals that the assumptions used in the entitle-
ment submittal were insufficient, sometimes are imprecise,
and in some cases incorrect for final design. This is because
of the differing level of detail each type of approval requires.
Because of the risk and expense involved in achieving this
level of accuracy in the entitlement stage with the more spec-
ulative legislative rezoning application, many land develop-
ers are reluctant to incur the costs associated with greater
exactness. Some jurisdiction may accept basic plan submis-
sions for entitlement review and processing, while others
seek a formal commitment on the site design. Modifications
to the site layout or use of the site, after entitlement approval,
may require reprocessing the entitlement application.
The entitlement process is not intended to be the approval
process to begin construction. The entitlement process is
merely intended to designate the allowed use of the land
under the circumstances portrayed in the plans and other
documents submitted in support of that process. Compared
to final site plans, the design information included in the
entitlement process is rudimentary. Much more detailed
site plans are necessary for permit and construction. These
detailed engineering site plans must also be approved by pub-
lic agencies prior to the issuance of a permit, as the site plans
must contain instructions and requirements to be adhered to
and met by the contractor to ensure protection of the public.
Each jurisdiction has administrative requirements and
procedures that govern the various site plan submittals, which
are usually contained within the subdivision ordinance. Fail-
ure to follow these requirements can at best result in a delay
in the site plan's approval. It is possible for the site plan to be
disapproved if it fails to adhere to the administrative require-
ments that a jurisdiction desires to see in the design informa-
tion. Most jurisdictions welcome a pre-application meeting
with staff so that the types of site plans needed and the appli-
cation process are understood. More information about the
submission process is given in Chapter 4.1.
The land development design process is often lengthy and
arduous. This is especially true in developing urban areas.
Some minor development plans take as long or longer to
follow the review process than it has taken to develop the
design. The time schedule for the review process needs to be
considered when planning a land development project. This
will avoid costly surprises and provide a realistic timeframe
under which the client can anticipate approvals and the abil-
ity to procure required permits.
Site Plan Review. After the entitlement review, the site
plan review is required by the jurisdiction for permit issu-
ance. This review ensures that projects are accorded the
same level of review and are subject to the same standards
of performance as subdivision plans and meet jurisdictional
requirements. These plan reviews are intended to verify con-
formance, and not meant to provide a formal constructability
review-that responsibility falls on the professional engineer.
In communities without site plan review authority,
the only requirement for development may be to show
compliance with the zoning ordinance and building codes
(to be discussed later in this chapter), assuming that there
is no entitlement review required with the project. Absent
controlling regulations seen in subdivision ordinances, on-
site private facilities are designed at the discretion of the land
development team, with only a cursory review during the
building permit stage (as is the case in Houston, Texas).
The site plan review may require compliance with sub-
division regulations, including the Development Standards
Manual. The site plan ordinance for each jurisdiction
describes the information that must be shown and the param-
eters within which it must be reviewed. In these jurisdictions,
the site plan review has a special role in securing develop-
ment approval. It is neither a technical subdivision plan-type
document given an administrative staff review nor an elabo-
rate rezoning application given extensive public hearing by
the governing body. It is somewhere in between, and usually
applied in circumstances demanding greater control to guard
against incompatibility.
In some cases, developments are subject to both the sub-
division and site plan review processes, which may result in
repetitive reviews. In such cases, the subdivision review pro-
cessing is aimed at ensuring compliance with the zoning ordi-
nance, producing durable records of ownership, and proper
consideration of fees and exactions. The site plan review pro-
cess provides control of on- and off-site infrastructure, access,
and other features to ensure compatibility and connection
with the larger environment.
In Montgomery County, Maryland, for example, the site
plan review is used when the zoning ordinance specifies some
discretionary authority in the physical arrangement of a proj-
ect. One of the county's ordinances, for instance, calls for the
mandatory provision of affordable housing in projects with
more than 50 dwelling units with an automatic density bonus.
Normally, a site with residential zoning would only require
subdivision and construction plans, approved administratively.
However, the increased density triggers the requirement for a
site plan review. This gives the professional staffand the county's
Planning Board greater leeway to consider a project's internal
physical arrangement and relationship to its neighbors.
The Montgomery County, Maryland, process contrasts
with nearby Arlington County, Virginia. In Arlington County,
as part of the approval process, both the Planning Commission
and County Board review the site plans and hold public hear-
ings. Although the county is limited in the off-site improve-
ments that it can require from the developer, site plans are
given much the same public scrutiny as a rezoning application.
Again, it depends on the local jurisdiction and their
review process if they require and how they administer the
site plan review. Some municipalities even require several lev-
els of review within their site plan review process. This book
assumes that the site plan review is required. However, in gen-
eral, this book refers to "site plans" as the design documents,
not the review process. Site plan review will be explicitly stated
when being discussed. More information about produc-
ing site plan design documents is given in Chapter 5. More
 2.4 ■ SUBDIVISION ORDINANCE, REVIEW PROCESS, BUILDING CODES, AND DEVELOPMENT COSTS
information about submitting these plans for final review is
given in Chapter 5.1.
Benefits to the Development Team. Development ordi-
nances, including the zoning and subdivision ordinances,
impose considerable cost and time constraints on the devel-
oper; however, when consistently applied by local officials,
the ordinances can also offer protection to land developers.
Land development is an extremely competitive industry in
which many firms and individuals operate. Development
ordinances establish a uniform standard of plan processing,
design, and construction to which all developers must adhere.
In addition, the ordinances offer a predictable framework for
allocating development costs. Nearly every jurisdiction has
its own nuances to zoning and subdivision ordinances that
should be evaluated prior to starting a project.
Most subdivision ordinances also set maximum time limits
in the review procedures within which the local government
must act to approve or disapprove the submittal. Where prop-
erly applied, these ordinances can guard against costly project
delays and affirms that plans will be reviewed in a timely and
predictable manner. Such provisions also ensure that jurisdic-
tions maintain adequate manpower levels based on projected
workload volumes. Mandatory time limits also prevent unfair
treatment of developers, since reviewing authorities cannot
set aside a plan viewed to be unfavorable for an indefinite
period as a tactic to discourage or delay a project.
For the site engineer and other members of the design
team, the development ordinances define essential param-
eters that help to guide the project site design. In some
regards, they eliminate the need to perform original research
and analysis, expediting project design and budgeting. Infor-
mation concerning plan processing also guides in the prepa-
ration of project work programs and budgets.
2.4.4. Unified Development Codes
Unified Development Codes, or Community Development
Codes, consolidate all development-related ordinances and
regulations within a jurisdiction. This document will include
all components of the zoning ordinance, subdivision ordi-
nance, Development Standards Manual, and review proce-
dures. By having everything contained in one document, the
Unified Development Code helps to streamline the develop-
ment process by removing overlaps and having a more conve-
nient document for all applicable regulations. It is important
to be aware if a jurisdiction has a Unified Development Code
or separate development ordinances.
2.4.5. Building Codes
Building codes are important to consider during pre-design.
These codes must be followed to ensure that development is
viable and the buildings themselves can be occupied. Follow-
ing these codes will be required to obtain building permits,
which are discussed in Chapter 6.1.
Building codes are adopted to protect the lives of build-
ing occupants and to guarantee safe, habitable, durable
structures. The review processes for building codes and
73
building plans have been established nationwide to ensure
the health, safety, and welfare of future occupants of a
structure. There are a number of nationwide building
codes that are routinely used as the foundation for local
jurisdictions to augment, in order to meet and reflect local
concerns and issues.
While most jurisdictions adopt and modify one of the
national model codes published by long-established building
code organizations, some develop extensive amendments to
reflect local concerns and experiences.
With a few important exceptions, the building codes play
little role in horizontal land development planning. Their
primary focus is on structural integrity, fire prevention,
control and safety, suitability of materials, and support sys-
tem operations (the vertical design of a building). However,
building codes do affect site design in three ways.
First, to control the spread of fire, building codes place
limitations on the proximity of buildings to each other
and to adjoining property lines. These restrictions become
important considerations in the design of clustered single-
family detached homes, townhouses, and multiple building
complexes (these product types are described in Chapter 4).
When locating a building, the proximity to a property line
may increase fire-protection requirements and add to con-
struction costs-it is important to coordinate fire- protection
requirements with the building design team.
In addition, to improve building occupants' chances of
surviving a fire, building codes specify maximum building
height, the distance a person must travel to exit a building,
and the number of building or unit exits. Both height and
distance are often expressed as the number of stories above
grade-the height measurement within the building code
may be different from the height measurement defined by a
local jurisdiction. The height restrictions may vary depend-
ing on type of construction and the presence of automatic
fire suppression systems. However, the site engineer must
determine final grade elevations during the preliminary and
final design phases of a project to ensure these regulations
are satisfied.
Secondly, building codes and site design requirements have
an interface point- the location where the site connects to
the building. Building utilities are subject to different require-
ments than site utilities, but both requirements must be con-
sidered when connection points are designed. The building
code requirements for allowable materials, minimum slopes,
and geometric requirements must be considered when con-
necting the site to building utilities. In addition, the location
of building entrances affects site grading and the placement of
walkways, parking, lighting, and landscaping.
Lastly, federal regulations concerning access for persons
with various types of disabilities play a considerable role in
site grading and development. These regulations are incor-
porated into building codes, which specify that ground floor
units of all apartment buildings as well as places of public
accommodation and commercial facilities must be accessible.
Accessible, according to the ADA Standards for Accessible
14 i@U4fi iiffll@i@IH
Design (Excerpt from 28 CFR Part 36), describes a site,
building, facility, or portion thereof that complies with these
guidelines (referring to the Standards). Taking this one step
further and applying it to a site, the primary consideration
from an engineering and design standpoint is the provi-
sion of accessible routes. An accessible route is "a continu-
ous unobstructed path connecting all accessible spaces of a
building or facility.... Exterior accessible routes may include
parking access aisles, curb ramps, crosswalks at vehicular
ways, walks, ramps, and lifts" (28 CFR Part 36).
Accessible route provisions specify maximum grades and
minimum widths for walkways as well as grading allowances,
configuration recommendations, and surface treatments for
ramps and crosswalks. It is important to note than an acces-
sible route is required between designated accessible spaces;
this does not mean that every possible route must be accessi-
ble, only the one designated as such. In addition to accessible
routes, the standards detail handicap parking requirements,
including the minimum number, acceptable location, sig-
nage, and dimensions for the spaces and passenger loading
areas. For each site, the site engineer should identify whether
the accessibility standards apply, and from there determine
how to best incorporate and account for handicap accessibil-
ity. This may include preparation of an accessible routes map,
special details for ramps, walks, and signs, detailed or large-
scale grading plans for certain areas of the site, commonly
those surrounding building entrances, and enhanced coordi-
nation efforts with the project architects. More information
about accessible routes is provided in Chapter 3.
2.4.6. Development Costs
Development costs associated with the approval of a project
must be considered and accounted for an early in-land devel-
opment design process. This includes costs attributed to the
approval process (often referred to as a soft costs) and the
construction of the project, as well as other requirements by
jurisdictions to provide public facilities. Both must be under-
stood and accounted for each project.
Public facilities range from subdivision streets to major
commuter highways, tot lots to regional parks, water lines
to fire stations, and sewer lines to treatment plants. As these
systems reach their capacities, their ability to function effi-
ciently or accommodate new growth is diminished. The
consequences range from government leaders' frustration to
dissatisfied constituencies or hazardous, even life-threaten-
ing, conditions created by inadequate facilities.
Historically, it has been the responsibility of the govern-
ment to provide and improve many public facilities. Reduc-
tions in federal funding and corresponding local budget
impacts paired with increased citizen expectation for effi-
cient service and fiscal responsibility have led many local
governments to find alternative, even innovative, ways to
pay for growth. Frequently, these efforts become the subject
of lengthy court challenges, as important public goals and
policies often conflict with private property rights. While
substantial public obligation remains, the private sector
has been given an increased share of the burden. Develop-
ment regulations play a critical role in allocating the costs of
basic public infrastructure between private developers and
the community's taxpayers and prospective consumers in an
effort to fairly distribute the cost of growth.
Guaranteed Performance. Applicable development ordi-
nances and other regulations may not only establish design
requirements, but protect the public from developers that are
unable to complete a project (usually due to financial prob-
lems). Subdivision ordinances usually include provisions
requiring the execution of performance and maintenance guar-
antees, such as bonds, letters of credit, cash escrow accounts,
or similar financial instruments to underwrite the installation
of public infrastructure. These guarantee construction of pub-
lic improvements in accordance with approved plans. If the
developer is unable to complete the project, the municipality
uses this money to construct the improvements. More infor-
mation about bonds is provided in Chapter 6.1.
Exactions, Infrastructure Enhancements, and Fees. In
recent decades, a significant portion of the responsibility
for improving the public infrastructure systems has been
transferred from federal, state, and local governments to
the land developer. This allocation of responsibility varies
widely among jurisdictions. Significant differences exist in
the form of the applicable regulations, timing of contribu-
tions, and the magnitude of financial commitments that
must be made. In most cases, the zoning ordinance, subdivi-
sion ordinance, or site plan regulations identify much of the
developer's obligations, which are typically limited to on-site
improvements. Some jurisdictions have adopted separate
ordinances that relate development projects to existing com-
munity public facilities by tying required improvements to
existing capacity thresholds or deficiency levels for systems
beyond the boundaries of the site that serve the develop-
ment. Typically, requirements are determined during the
project approval negotiation process, usually at the rezoning
or entitlement phase.
The land development team must closely evaluate the laws,
ordinances, and standards of the locality in which they are
proposing a development, to determine what exactions, infra-
structure enhancements, and fees can be expected. The type,
form, and number of such requests or mandates for public
improvements are numerous and varied in their nature and
can represent a considerable expense. Depending on the size
and impact of a development proposal, they can range from
simple road frontage improvements to dedication of land for
schools or parks. Nevertheless, whatever dedications, reser-
vations, fees, or other monetary retributions are required, it
is important that they are identified early in the process so
that design and pro-forma economic analysis (performed by
the developer and business team) can account for these exac-
tions. This section highlights the most common methods by
which infrastructure improvements, fees, and other exactions
become part of the development process.
 2.4 ■ SUBDIVISION ORDINANCE, REVIEW PROCESS, BUILDING CODES, AND DEVELOPMENT COSTS
Exaction is the term applied to the provision that the land
developers establish public, communal, and consumer ben-
efits in exchange for and as a condition of development autho-
rization. Depending on the jurisdiction and the type of project
or plan submission, exactions may be referred to as proffers
(as described in Chapter 2.3), development conditions, or
concessions. More specifically, exaction may include the fol-
lowing activities (adapted from Frank and Rhodes, 1983, p. 3):
• Reservation, preservation, or dedication ofland for
public or common facilities and use.
• Construction, dedication, and/or operation of public
or common facilities and services.
• Purchase ofland, facilities, goods, and services for
public or common use.
• Payment of monies to the jurisdiction to defray the
cost of its purchase ofland, facilities, equipment, and
services.
• Restriction of development potential or provision
of features and facilities intended to achieve social,
aesthetic, or economic goals or other public benefits.
Exactions add both direct and indirect costs, which must
be identified in preparing project budgets. Direct costs
include those costs associated with design and engineer-
ing, hard construction, direct cash payments, operating, and
plan review. Indirect costs may include lost project yield and
interest-carrying charges incurred in review and delay of
approval. These costs will be passed on to the consumer by
way of purchase price or leasing fees.
The cost of providing the exaction should be weighed
against the direct and indirect benefits to the occupants of
the proposed development as well as the less tangible value
that may be brought to the project. Indirect benefits address
important public goals or mitigate an undesired impact created
by the project. While the developer may incur an initial eco-
nomic loss to fulfill the exaction, it is possible to recoup value,
both from approval of the project and improved marketability.
Land Reservation. Many communities have the author-
ity to require the land developer to "reserve" private land
that may be needed for public use, including parks, schools,
or major road rights-of-way. Typically, the need and loca-
tion of these facilities will be identified in the jurisdiction's
comprehensive plan or capital improvement projects budget
(as described in Chapter 2.2).
Notice of the reservation usually comes during the earli-
est stages of project review of entitlement. Depending on the
size of the project, the reservation may be for an entire parcel
or a small portion of it. Such a reservation does not imme-
diately involve the transfer of ownership. It does, however,
obligate the developer to keep the reserved area free from
construction for a specific period, during which the local
government considers acquisition of the property. The res-
ervation is typically not a gift, as the jurisdiction will pay the
75
owner the land's fair market value, if it takes title to the prop-
erty. Sometimes, the jurisdiction will release the reservation
after considering the cost of the property, available funding
sources, or alternative sites for the intended public use. This
allows the developer to proceed with site development activi-
ties unencumbered by a reservation.
Dedications. Mandatory dedication is a mechanism com-
mon to most jurisdictions, and is usually among the provi-
sions contained in the subdivision regulations. Mandatory
dedication requires the developer to transfer ownership or
property rights of certain privately held lands to the govern-
ing body at no cost. Mandatory dedications, however, must
not violate the Fifth Amendment's ban on taking of prop-
erty without just compensation. Land most often subject to
mandatory dedication includes rights-of-way for streets and
public utilities, floodplains, easements, park and recreation
facilities, and similar uses. Such dedications usually are made
a condition of plan approval.
Although the dedication is made and recorded on the
subdivision record plat, the government rarely accepts the
land immediately. Instantaneous acceptance could result in
the transfer of maintenance obligations to the jurisdiction
before construction of required improvements is completed.
Subsequent construction vehicle damage would become the
jurisdiction's liability. In addition, the governing body must
determine if the property will serve the public good and pro-
vide economic benefit. The cost oflong-term maintenance of
the dedicated parcel is a primary factor in the government's
decision whether or not to accept the property. Still another
consideration is the fact that the transfer to public owner-
ship also reduces the land area subject to real property taxes.
Most jurisdictions advance density credit when a dedication
is made.
Transfer of ownership in some cases reduces maintenance
and other obligations that may be incurred by the developer
or by occupants of the project. In addition to a reduction of
operating and maintenance costs, dedicated features can add
to the market appeal of certain projects. Often, by setting
aside land for schools, libraries, parks, recreational facili-
ties, and fire and rescue, the project becomes more attractive
to potential buyers, and the developer enhances its "good
neighbor" image within the permitting jurisdiction.
Perhaps the most frequent dedication is that of additional
right-of-way along roadways bordering a project. The local
government intends this widening to bring existing roads
up to current standards and accommodate the new traffic
movements associated with the project. Whether construc-
tion of improvements is performed by the jurisdiction or
required of the developer, the added right-of-way improves
the efficiency of the transportation system and enhances the
safety and convenience of site access.
Preservation. Community residents usually place a high
priority on natural, cultural, or man -made features that
add to the health, beauty, or character of the community.
Often, these features become threatened by a proposed
1s i@U4fi iiffll@i@IH
development that prompts the community's desire to pro-
tect them. However, the local government may not have the
financial resources or legal authority needed to acquire and
maintain them through reservation or dedication. To fill this
void, some communities are empowered to preserve these
features as an exaction in the development process.
Environmental preservation is often a goal contained in a
jurisdiction's comprehensive plan. Plan language can recom-
mend that an important environmental or cultural property
be set aside in lots or private open space with covenants and
restrictions that prohibit future disturbance. This language
is implemented as a proffer or development condition usu-
ally tacked on to and approved as part of rezoning or special
exception applications.
Environmental and historic protection can also be
achieved with the adoption of preservation ordinances that
allow reasonable use of the property while ensuring that the
desired feature is protected. Most common among these are
historical or archaeological preservation ordinances, which
may require a developer to pursue adaptive reuse or preser-
vation of the sensitive portion of the site. In some instances,
developers have been required to restore historic facades as
part of a larger construction effort.
Recently, communities have sought to adopt tree preser-
vation ordinances, which limit clearing and grading on por-
tions of the site. Although preserved areas remain in private
or communal ownership, covenants and restrictions provide
permanent protection against future disturbance by builders
or lot owners. Such ordinances often limit the development
potential of a site or may involve added costs to accommo-
date their provisions. These restrictions often present the
developer and consultant with unique design opportunities
that can enhance a project's appearance and marketability if
accounted and planned for early in the process and incorpo-
rated into the overall site concept.
Payments in Lieu. As noted in the prior discussion of sub-
division ordinances and site plan regulations, many juris-
dictions commonly require that the developer construct
improvements that connect to and/or directly serve the
project. Most jurisdictions tie the required improvements
to a specific "trigger event" within the development process,
such as a required permit or compliance timeframe. As an
example, depending on local policy and industry practices,
improvements should be completed prior to the issuance
of occupancy permits or release of performance bonds.
The required improvement and its trigger conditions are
typically specified in the proffer, development condition,
or exaction that binds it to the development program (see
Table 2.4A). Specific trigger conditions allow jurisdictions
to more thoroughly track required improvements and
contributions.
In some instances, the jurisdiction may not require the
developer to construct the improvements proposed for dedi-
cated lands. Typically, this happens when the improvement
is of little immediate value, such as the widening of an abut-
ting roadway section where there are no existing or proposed
road improvements on either side of the subject parcel. A
needed facility may be located offsite, such as a major road
or regional stormwater management facility that is not under
the developer's control or serves a broader population. In
such cases, a cash payment representing actual construction
cost, prorated share, or a flat fee may be required of the devel-
oper rather than actual construction of the improvement.
These various forms of payments in lieu, if allowed in the
jurisdiction and acceptable for the required improvement,
are typically specified as an alternative within the approved
proffer or exaction. The jurisdiction may wait until suffi-
cient funds are collected and available in conjunction with
other developments before it constructs the facilities. The
funds usually are earmarked for improvements that serve
the project or an improvement in proximity to the project.
The jurisdiction may also require or allow one developer to
construct the improvements, and direct subsequent develop-
ers to reimburse their prorated share of the costs.
If the project is small, the jurisdiction may also waive the
requirement for land dedication. This occurs in instances
where the dedication of land for facilities, such as a recre-
ation area, is disproportionately indexed to the size of the
project. If the resulting parcel will be of insignificant size, the
jurisdiction may offer the option of cash payment in lieu of
the land dedication. In this case, the payment represents the
project users' impact on existing or future facilities that will
be provided by the municipality.
Impact Fees. An increasing number of jurisdictions are
adopting impact fees. This is a direct payment by a developer
to a jurisdiction and is intended to reimburse the jurisdic-
tion's actual capital costs of expanding public infrastructure
and facilities to service new development. The facilities are
not necessarily located on site and may not be used exclu-
sively by the development that pays the fee.
Some communities have a longstanding, limited form of
impact fee relating to the provision of water and sewer sys-
tems. In this case, a residential or commercial user is assessed
a "tap" fee, also called a connection or availability charge,
usually at the issuance of a building permit. The actual fees
are derived through an elaborate analysis that projects the
capital costs of expanding treatment plants, pump stations,
and trunklines to serve new growth.
However, more recently, impact fees are being considered
for such items as roads, storm sewers, schools, libraries, and
similar services. What may distinguish sewer and water
services from these other facilities is, perhaps, the degree of
certainty with which the demand from and benefit to new
users can be isolated and quantified. This may be determined
by an adequate public facilities (APF) ordinance. An APF is
adopted by the local jurisdiction, and sometimes approved
by a special legislative authority. In communities with an
APF, a project cannot be approved if its demand will exceed
the available capacity.
An APF ordinance requires deference to a project if
the projected demand on public services exceeds the total
capacity or funding approval of any of the systems. The
 2.4 ■ SUBDIVISION ORDINANCE, REVIEW PROCESS, BUILDING CODES, AND DEVELOPMENT COSTS 77

TA BLE 2 . 4 A Sample Exactions

EXACTION TYPE SAMPLE LANGUAGE: INFRASTRUCTURE PROVISION AND TRIGGER EVENT

Land Future Road Alignment. The Applicant shall reserve an area of the site as depicted on the CDPICDPAIFDP for
Reservation future right-of-way (ROw,J for an interchange. Upon demand by the Board of Supervisors (BOS). the Applicant
shall convey said ROW area in fee simple to the BOS, as generally shown on the CDP/COPA/FOP.
However, if said interchange is not funded for construction within 15 years from the date of these proffers or
if said interchange is deleted from the County's Comprehensive Plan, whichever event first occurs, the Appli-
cant's obligation under this proffer shall terminate and cease and the Applicant will be entitled to use said
ROW area in any manner permitted by law.
Dedication Urban Park. The Applicant shall construct the improvements in the Urban Park generally as detailed on the
CDP/FOP as may be modified by coordination with the Fairfax County Park Authority and following construc-
tion, dedicate to the FCPA the Urban Park in fee simple, prior to final bond release.
Preservation Tree Preservation. The Applicant shall preserve trees on the Property as shown on the Tree Preservation Plan
prepared by Dewberry dated March 14, 1997 .... The Applicant shall record conservation easements for the
Daniel's Run stream valley, the northern boundary adjacent to the trail, and the 25' wide area along the Prop-
erty's eastern boundary to ensure perpetual conservation of these tree preservation areas. Said easements
shall be recorded with the record plat for each phase of construction contiguous to that section of trail and/or
conservation area.
Payments-in- Utilities. The Applicant agrees to contribute the sum of $553,000 to the City of Fairfax to be used for under-
Lieu ground placement of existing overhead utility lines along portions of the Property's frontage on Main Street and
Old Lee Highway. Payments shall be made on a pro rata basis at the time of the issuance of building permits
for each dwelling unit. These moneys shall be placed in escrow by the City in an interest bearing account to
be used solely to underground such existing overhead utilities within seven (7) years from the date of issuance
of the final building permit. At that time, the City shall either designate the construction of other improvements
which will directly benefit the Property, subject to the Applicant's concurrence or the escrowed funds and
accumulated interest shall be returned to the Applicant.
Impact Fees School Contributions. Prior to approval of the first Building Permit for the approved development, the Applicant
shall provide documentation to DPWES that the Applicant has donated the sum of $127,500.00 to the BOS for
the Fairhi/1 Elementary School. ... Prior to approval of the first residential use permit (RUP) the Applicant shall
provide documentation to DPWES that the Applicant has donated the sum of $22,500.00 to the BOS for the
Luther Jackson Middle School and the sum of $60,000.00 to the BOS for Falls Church High School.
Linkage Maximum Density and Permitted Uses. A maximum of 270 multiple family dwelling units may be provided in 2
buildings, which will also include approximately 65,136 sf of retail uses to be located on the first and second
floor(s) of the North building and approximately 40,364 sf dedicated to retail uses to be located on the first
and second floor(s) of the South Building. The site shall not exceed 1.35 FAR and as depicted in the tabula-
tions on Sheet 2 of the CDP/FOP the FAR increase over 1.2 shall consist of ADU's and related bonus density
units as defined in Part 8 of Article 2 of the Zoning Ordinance. Project density as specified in this proffer shall
be reviewed and approved as part of the site plan approval process.

typical systems covered by an adequate facilities ordinance
include transportation, water, sewer, and school systems.
More recently in some communities, fire and police avail-
ability and response times have been included in the APF
ordinances, as fire and police service and effectiveness can
be seen as directly tied to the quality and effectiveness of the
infrastructure systems.
Total capacity of public systems is derived by adding
to the capacity available in existing systems those facility
improvements that are planned, budgeted, or funded within
a specified period. For some systems, capacity can be deter-
mined by direct measurement, such as by measuring design
capacity for sewage or water treatment. For others, a policy
must be established concerning the level of service before
10 i@U4fi iiffll@i@IH
the calculation of projected use is made. For instance, the
governing body must determine the number of students
per classroom that is acceptable to the community before
determining the total capacity of the school system. Simi-
larly, while determining the capacity of the transportation
system, consider the level of service and congestion that will
be tolerated by the community. The jurisdiction must then
determine the existing use of those systems, again either by
direct measurement or estimated usage. In estimating cur-
rent demand, the jurisdiction might determine the average
use generated by each residence and equivalent nonresiden-
tial operation. It is possible to calculate per unit demand by
analyzing historical data, field research, and demographic
information such as housing type or number of bedrooms.
The community must also estimate the projected demand
for projects that are committed, but not completed. These
are projects that are approved but not built, or projects over
which the government has no control because a discretion-
ary approval, such as rezoning, is not required. These are
called projects in the "pipeline:' The final step is determining
the available capacity and system adequacy. If, after subtract-
ing current and committed demand from the total system
capacity, capacity remains, then the facility is considered
adequate. However, each development proposal must dem-
onstrate that its demand on systems will not exceed that
available capacity. Again, this is done by determining per
unit demand, such as average gallons per day of water use, or
number of vehicle trips per day of traffic generation.
When the APF ordinance restricts the approval of a proj-
ect, the developer may be allowed to finance improvements
that will increase system capacity, thus allowing the project
to meet the adequacy test, or pay into a fund through impact
fees to be used by the jurisdiction to make the improvements
necessary to meet the public facility needs.
Despite the controversy and concern that the impact fees
can add dramatic costs to home ownership and businesses,
impact fees for services other than water and sewer are pro-
liferating. Even in those communities not authorized to col-
lect impact fees for infrastructure improvements, they have,
in many cases, imposed a "voluntary" fee to finance certain
major facilities. The jurisdiction bases the fee calculation
on the estimated cost of improvements needed to support
the total development projected to occur within a specific
service area. This total dollar figure is converted to a unit
cost, using the projected number of dwelling units or non-
residential building areas. Thus, the fee applicable to each
development project is based on project size. Typically, the
fee is offered in conjunction with a discretionary rezoning
process, with payment being one of the proffers or condi-
tions attached to the approval.
Linkage. Previously, the discussion of affordable housing
focused on the adoption of inclusionary zoning ordinances.
These ordinances require that residential developers provide
affordable, price-controlled housing as a condition of devel-
opment approval. As an extension of that trend, nonresiden-
tial developers may also be required to provide affordable
housing. A growing number of jurisdictions argue that new
job creation in the community generates demand for afford-
able workforce housing-housing for office workers and
other service employees. Due to high land and construction
costs, it is increasingly difficult for these workers to find suit-
able housing in price ranges they can afford. In jurisdictions
where this "linkage'' is required, the developer must mitigate
this impact, either by building affordable housing units or by
paying, on a per square-footage basis, into a housing trust
fund established by the jurisdiction. Money deposited in this
fund is used by the jurisdiction or its designee to purchase or
construct affordable housing.
Review and Processing Fees. Most state zoning and sub-
division enabling acts authorize jurisdictions to collect
development review fees from the developer. These fees
offset jurisdiction expenditures for review personnel. In
some jurisdictions, this fee represents only a nominal fixed
charge. Urban jurisdictions that perform extensive reviews
often index their fees according to project size or the esti-
mated cost of public improvements. These fees may repre-
sent a substantial expense. This enables the government to
maintain an adequate work force of qualified personnel. It
provides some assurance to the development team that proj-
ect reviews will be timely and thorough. Some jurisdictions
also impose inspection fees to offset the costs associated
with that activity. These fees may be charged for inspection
of the public improvement construction, as well as for the
actual structure. Like review fees, these add to the cost of the
development project and must be considered during project
budgeting.
 CHAPTER 2.5
ENVIRONMENTAL,
GEOTECHNICAL, AND
HISTORICAL CONSIDERATIONS
2.5.1. Introduction
With an understanding of the local regulations, it is impor-
tant to next investigate the potential environmental, geo-
technical, and historical constraints that may exist on a site.
Through research and evaluation, which are discussed in this
chapter, the site engineer will be aware of and able to account
for these site constraints and additional opportunities.
An environmental, geotechnical, and historical review
should be conducted early in the pre-design stage to ensure
that appropriate measures can be taken (or a new site
selected). This review could determine that an entire site or
a portion of a site is not suitable for development. Most chal-
lenges that are identified can be overcome, and strategies will
be developed as designs are produced. However, if constraints
are identified and prove to not be resolvable, the site may not
be the best option for the developer. The challenge of envi-
ronmental and historical site review lies with the ability to
identify the resources-areas such as floodplains, wetlands,
or areas of historical significance. These resources can often
be identified with a desktop review in the office; however, a
site visit by a qualified professional is typically required to
confirm the presence or absence of these resources. It is criti-
cal to have an understanding of the importance of the envi-
ronmental and historical considerations while continuing to
work through the site selection.
This chapter is separated into three parts: (A) Environ-
mental Considerations, (B) Geotechnical Considerations,
and (C) Historical Considerations.
PART A-ENVIRONMENTAL CONSIDERATIONS
Part A of this chapter focuses on the environmental impacts
of a project-what to consider and understand as a project
begins and moves through pre-design. This includes a
review of environmental regulations, an overview of natural
resources, local preservation efforts, required environmental
due diligence, and sustainability practices.
2.5.2. Environmental Policy and Regulations
This section reviews environmental policy and how regula-
tions protect natural resources. Localities continually update
their development ordinances and add new regulations to
protect the environment and help reduce the effects of cli-
mate change. In many jurisdictions, environmental regula-
tions are now an integral part of the development process.
As an example, conservation regulations that require mitiga-
tion for loss of woodlands, wetlands, or wildlife habitats are
increasingly common and have a substantial impact on the
development process. The preparation and formal submis-
sion of environmental inventories that document existing
conditions and identify environmental problems in need of
remediation is also regularly required. Sustainability prac-
tices are commonly included within these regulations as well.
Environmental Policy. Land development is faced with
the issue of meeting the demands of human needs, while
also protecting the environment and natural resources. Our
past actions as a society have resulted in significant impacts
to the environment due to human consumption and the
79
ao i@U4fi iiffll@i@IH
mismanagement of our natural resources and hazardous
waste. To minimize degradation of the environment, envi-
ronmental regulations were established to ensure that every-
one acts responsibly toward the protection and conservation
of the environment.
Land development processes involve many activities that
have environmental impacts. Site selection, planning, grad-
ing, construction, and landscaping all require many decisions
that shape neighborhoods, towns, and regions in profound
ways. These decisions result in changes to the existing envi-
ronment, which are long term (in human scale) and commit
natural resources in a way that affects future options. As these
decisions became more and more complex, natural ecosys-
tems may not be able to accommodate the impacts of devel-
opment. Consequently, government environmental policies
and regulations have been developed to preserve a quality of
life through vital natural resource protection, preservation,
and/or mitigation strategies. Regulations have allowed stan-
dards to be set avoiding ad hoc approaches with uneven con-
sequences. This has allowed for land development to proceed
with managed consequences while minimizing impacts to
overall environmental conditions.
The environmental policy and regulations mentioned in
this text are not intended to be exhaustive or all-inclusive as
there are regional, state, and even local policies that shape
development projects from conception to actualization.
The site engineer must bear this in mind and become aware
of the agencies and regulations at all levels that may affect
development in a particular locale.
Environmental Regulations. Environmental regulations
are the mechanism for implementing the intent of the various
acts and statutes developed to protect human health and the
environment. The challenge for developers is that these reg-
ulations are diverse; they are also continually being updated
and revised. Therefore, the development team must take the
necessary steps to ensure compliance in order to minimize
liability, and avoid unanticipated costs and delays associated
with the purchase and/or development of a property.
A brief summary of important environmental regulations
from over the past few decades can help put into perspective
the progression of environmental regulations and their future
focus. The regulations most likely to have implications on a
project are the National Environmental Policy Act (NEPA)
that establishes the need for and extent of environmental
assessments; the Clean Water Act (CWA) that regulates wet-
land impacts and sets land disturbance permit and stormwater
treatment requirements; the Comprehensive Environmental
Response, Compensation, and Liability Act (CERCLA) that
focuses on response to existing environmental conditions and
required remediation; and the National Flood Insurance Pro-
gram (NFIP) that encourages responsible development prac-
tices in flood-prone areas and establishes floodplains.
National Environmental Policy Act. In the 1960s, as a
result of deteriorating environmental conditions and seri-
ous health effects associated with those conditions, the time
was right for the national discussions of how to effectively
address environmental problems. The National Environ-
mental Policy Act (NEPA) was signed into law in January
of 1970, and it became the catalyst for the environmental
regulations to follow. NEPA is the declaration of the U.S.
policy on the environment. This national policy takes into
consideration balancing the preservation of the natural envi-
ronment with human needs caused by population increases,
high-density urbanization, and industrial expansion, taking
into account economical and technical considerations.
Apart from being the declaration of national environ-
mental policy, NEPA establishes procedures to ensure that
appropriate actions are taken to protect, restore, and enhance
the environment. NEPA provides a systematic means of deal-
ing with environmental concerns and the associated costs. It
requires an environmental impact review for actions of fed-
eral and nonfederal agencies that use federal funds or require
federal approval or permits, such as a National Pollutant
Discharge Elimination (NPDES) permit, which is discussed
later in this chapter with the Clean Water Act. One of the
unique components of NEPA is that it provides a mechanism
for public participation.
The NEPA process is intended to help public officials
make decisions that are based on understanding the envi-
ronmental consequences associated with a proposed action
by a federal agency as well as the public feedback. This per-
spective influences decisions made in land development
projects. NEPA requirements are invoked when federal
development activities are proposed, such as highways, air-
ports, government buildings, military complexes, parkland
purchases, and others. In addition to federal projects, NEPA
requirements and environmental reviews can be required
for private developments in federally protected wetlands or
projects on/adjacent to federally controlled property, such as
limited access highways or military bases. This also includes
federal funding and federal permitting activities, so that any
involvement by the federal government triggers the NEPA
process. Many local jurisdictions have a similar environmen-
tal analysis process for state, local, and private actions.
Following the requirements of NEPA and prior to imple-
menting a proposed action, an environmental review must
be performed to identify and address:
• Any environmental impacts of the proposed action.
• Any adverse environmental effects that cannot be
avoided.
• Feasible alternatives to the proposed action.
• The relationship between local, short-term uses
of built environment and the maintenance and
enhancement of environmental functions and values.
• Any irreversible and irretrievable commitments of
resources that would be involved in the proposed
action should it be implemented.

There are three levels of environmental review in the
NEPA process: (1) categorical exclusion (CE), (2) environ-
mental assessment (EA), and (3) environmental impact
statement (EIS). An EIS is a major undertaking and requires
a significant investment of time and money. Environmental
specialists with experience in the NEPA process are typi-
cally required to perform these kinds of environmental
reviews.
Through NEPA, the Environmental Protection Agency
(EPA) was established in December of 1970 to set standards
and enforce environmental regulations. While NEPA sets
policy goals, the regulations of the EPA are the prescriptions
and methods to achieve those goals. The EPA is charged with
the responsibility of federal laws and rulemaking to imple-
ment U.S. environmental policy.
Clean Water Act. Originally known as the Federal
Water Pollution Control Act Amendments of 1972, the act
was amended in 1977 and renamed the Clean Water Act
(CWA). The objective of the CWA is to restore and main-
tain the chemical, physical, and biological integrity of U.S.
water resources. One of the major focuses of this program
is to control point source discharge of pollutants to water
through use of total maximum daily loads (TMDL). Point
sources are discharges that come from a single point, like a
pipe, ditch, or even a smokestack. Nonpoint sources (NPS)
are discharges that come from many diffuse sources, like
storm water runoff from agricultural fields, chemicals from
urban runoff and energy production, and sediment from
improperly managed construction sites. TMDLs regulate
the amount of pollutants permitted to be discharged to U.S.
waters.
National Pollutant Discharge Elimination System. Mandated
by Congress under the CWA, the National Pollutant Discharge
Elimination System (NPDES) program is a national program
that addresses the non-agricultural sources of storm water dis-
charges that adversely affect the quality of U.S. waters (addi-
tional detail is provided in Chapter 3.5). The CWA requires
an approved NPDES permit to discharge pollutants through
a point source to surface waters. Again, point sources are dis-
crete conveyances such as pipes or human-made ditches. The
permit specifies limits on what is being discharged and spells
out monitoring and reporting requirements, as well as other
provisions. Generally, the NPDES permit program is admin-
istered by authorized states.
Construction activities are considered an industrial
activity and, as such, will typically require an NPDES per-
mit (the actual permit may be called something differ-
ent depending on the state). Usually, an NPDES permit
is required if the construction activities result in the dis-
turbance of more than 1 acre of total land area. However,
some jurisdictions may have more stringent requirements
based on regional or local environmental concerns. For
instance, in the Chesapeake Bay watershed, 2500 square
feet ofland disturbance triggers the requirement for an ero-
sion and sediment control permit. Construction activities
2.5 ■ ENVIRONMENTAL, GEOTECHNICAL, AND HISTORICAL CONSIDERATIONS 81
that require a permit may include clearing and grubbing,
grading, and excavation. In some states, a permit may not
be required if the runoff does not discharge into a water-
way, as in the case where it evaporates from a catch basin
or similar isolated water body. As discussed previously
under NEPA requirements, the NPDES permit may trigger
a NEPA environmental review.
Additionally, as a result of the NPDES permit program,
construction sites will be required to have a Stormwater
Pollution Prevention Plan (SWPPP) prior to commence-
ment of any construction activities. Stormwater runoff
from construction sites can cause significant harm to
downstream bodies of water. The goal of the SWPPP is
to maximize the benefits of pollution prevention and ero-
sion and sediment control practices through the use of best
management practices during the construction process.
Since the primary focus of this program is on controlling
pollutants in any storm water discharge, incorporation of
well-thought-out and carefully implemented erosion and
sediment control measures is more important than ever.
Erosion and sediment control measures are discussed in
Chapter 5.7.
Waters of the United States. Waters of the United States
(WOTUS) are defined in the 1972 CWA as "navigable
waters:' The CWA regulates the discharge of dredged or fill
material into these WOTUS. This authority was extended
to non-navigable waters and wetlands, as well, but this con-
tinues to be challenged in courts regarding the actual juris-
dictional reach intended by the CWA. Many development
projects affect stream channels or wetlands that constitute
WOTUS and, as such, are regulated by the EPA and the U.S.
Army Corps of Engineers (Corps) under the CWA. A permit
from the Corps is required before dredged or fill material,
related to construction activities, may be discarded into the
WOTUS.
Each state has a role in the federal permitting process
because each state must certify that the granting of a permit
by the Corps will not violate state water quality standards.
Many states have initiated programs to protect wetlands and
other waters beyond the range of WOTUS. Typically, state
wetland protection laws regulate draining, channelization,
or clearing of vegetation. In addition, some states have gone
further to protect those areas by requiring buffer areas adja-
cent to wetlands to prevent damage to the resource. Many
states have used the authority to issue or deny water qual-
ity certification of the CWA to regulate some fill impacts to
wetlands and other WOTUS, including intermittent streams.
A state can deny water quality certification of a proposed
impact, under the premise that the state's water quality stan-
dards are not being met.
More information about wetlands and natural waters is
discussed later in this chapter. When considering a project
that involves potential impacts to WOTUS or wetland areas,
additional time and fees will likely be required for preparing
permit application(s) to the Corps and/or the local state.
02 i@U4fi iiffll@i@IH
Comprehensive Environmental Response, Compensa-
tion, and Liability Act. Approved in 1980, the primary
purpose of the Comprehensive Environmental Response,
Compensation, and Liability Act (CERCLA) is to protect
human health and the environment from the dangers of
hazardous waste. CERCLA focuses on response to existing
environmental conditions of a property and the liability of
the responsible parties. CERCLA created a revolving fund,
commonly referred to as "superfund;' that is utilized by
EPA, state, and local governments to investigate and reme-
diate hazardous waste sites that have been listed by the EPA
on the National Priorities List (NPL). One of the unique
features of CERCLA is that governmental and private
parties who are not responsible for the investigation and
remediation of a property can perform the work using the
superfund and seek reimbursement from the responsible
parties. CERCLA covers all environmental media, includ-
ing air, surface water, groundwater, soil, and sediment and
can apply to any type of facility. If cleanup is conducted on-
site under the CERCLA program, no federal, state, or local
permit is required.
A CERCLA hazardous substance includes any substance
that the EPA has designated for special considerations
under the CWA, Resource Conservation and Recovery Act
(RCRA), Clean Air Act (CAA), Toxic Substances Control
Act (TSCA), etc., and any substance that presents a substan-
tial danger to human health and the environment. Exclusions
from CERCLA's hazardous substance list include petroleum,
natural gas, or synthetic gas used for fuel. Due diligence and
liability assessments fall under CERCLA regulations and
amendments, which are the most applicable regulations to
land development. This is generally only a concern for proj-
ects that have potential environmental concerns and require
remediation, such as brownfield sites or other redevelop-
ment projects.
National Flood Insurance Program. Historically, the fed-
eral government responded to development in and around
the floodplain by constructing flood-control projects (dams,
levees, and seawalls) and providing emergency disaster relief
funding to both communities and individuals. However, this
approach did little to discourage unwise development, and
in some cases, may have encouraged development in flood-
prone areas. In response to escalating flood-related losses
and the burgeoning cost to the taxpayer, in 1968, the U.S.
Congress created the National Flood Insurance Program
(NFIP). The purpose of the NFIP is to encourage responsible
development practices in flood-prone areas, and to protect
property owners through an insurance mechanism that is
funded by those that are most at risk of flooding.
The NFIP, first established in 1968 with the passage of the
National Flood Insurance Act, was broadened and strength-
ened by the Flood Disaster Protection Act of 1973, as well as
the National Flood Insurance Reform Act of 1994. The NFIP
was administered by the Department of Housing and Urban
Development (HUD) until 1979, when it was absorbed by
the newly created Federal Emergency Management Agency
(FEMA). Currently, FEMA administers the NFIP primarily
through two of its branches, the Federal Insurance Admin-
istration (FIA) and the Mitigation Directorate. The FIA is
responsible for administering the insurance aspects of the
program, while the Mitigation Directorate is responsible
for administering the floodplain management aspects of the
program.
The NFIP is a community-based program. A commu-
nity's participation in the NFIP is voluntary (although
some states require participation as part of a state-wide
floodplain management program). It is the responsibility
of each community to assess their flood risks and deter-
mine whether they would benefit from the flood insurance
and floodplain management assistance provided through
the program. Over 20,000 communities participate in the
program nationwide.
During the early years of the NFIP, to get as many com-
munities in the program as quickly as possible, FEMA
established the "emergency phase'' of the program, which
was designed to provide limited amounts of insurance cov-
erage at less than actuarial rates. In general, no detailed
floodplain studies were conducted for communities in the
emergency program, and the communities are required to
adopt only limited floodplain management ordinances to
control future use of its floodplains. Only about 1% of the
communities participating in the NFIP are in the emer-
gency phase.
The remaining participating communities are in the "reg-
ular phase'' of the NFIP. These communities are generally
provided detailed studies of their flood-prone areas and are
required to adopt more comprehensive floodplain manage-
ment ordinances in exchange for higher amounts of flood
insurance coverage.
Role of Municipal Governments and Lenders in Floodplain
Management Under the NFIP. When a community agrees
to participate in the NFIP, it receives flood hazard maps
prepared by FEMA and its residents become eligible for
flood insurance. In turn, the community agrees to adopt
and enforce minimum floodplain management regulations
within the Special Flood Hazard Area (SFHA) as depicted
on the flood hazard maps. The SFHA is defined as the land
area that would be inundated by a flood having a 1% chance
of occurring in any given year; this flood is referred to as the
"base'' or "100-year" flood.
The minimum regulations that the community is required
to enforce depends on the type of flood hazards present in
the community and the level of detail with which the hazards
have been studied. At a minimum, a community must ensure
structures are built above the 100-year, or base flood eleva-
tion (BFE).
Generally, obstructions such as buildings or other struc-
tures in riverine floodplains inhibit the flow of floodwa-
ters downstream and result in an increase of the upstream
flood elevations. Therefore, for many waterways, FEMA
has identified a floodway. The floodway is composed of
the actual stream channel plus the portion of the overbank
 2.5 ■ ENVIRONMENTAL, GEOTECHNICAL, AND HISTORICAL CONSIDERATIONS 83

area that must be kept free from encroachment in order
to convey the 1% annual chance flood without increasing
the BFE by more than a specified amount, or surcharge.
To ensure that development in the floodplain does not
result in unacceptable increases in the BFE, as a condi-
tion of participating in the NFIP, the community typically
adopts the floodway as part of its ordinance and stipulates
no structures are built within it that increase flood eleva-
tions. Figure 2.SA provides a graphic depiction of a flood-
way and floodway fringe zone.
Under the NFIP, the allowable increase, or surcharge,
within the floodway is 1 foot; however, many communities
and states have adopted more stringent floodway surcharge
limits. For example, New Jersey has established a maximum
surcharge limit of 0.2 foot, resulting in a floodway that is
wider than that needed to convey the 1% annual chance
flood with a 1.0 foot surcharge. Some conservative commu-
nities have even set a zero surcharge limit, effectively defin-
ing the entire floodplain as the floodway.
It is important to note that many municipalities have reg-
ulations and/or permit requirements governing construction
in floodplains that go above and beyond the FEMA NFIP
requirements. Therefore, it is important to become thor-
oughly familiar with the local requirements at the outset of
any project that may impact the floodplain.
In addition to the building regulations that local munici-
palities must enforce, mortgage lenders also have a role to
play in floodplain management. Under the NFIP, residential
mortgages that are federally backed (which almost all are)
must have flood insurance if the property is located within
the SFHA. Accordingly, all lenders are required to determine
prior to approving a mortgage whether the property is in
a SFHA, and if so, require the borrower to purchase flood
insurance as a condition of the loan.
FEMA Flood Map Products. One of the primary tools in
administering the NFIP are the flood hazard maps that iden-
tify flood-prone areas. Because the NFIP was established as a
community-based program, the maps were produced for indi-
vidual communities. However, since the early 1990s, FEMA
has been converting the maps to a county-wide format.
FEMA has produced different types of flood hazard maps
over the history of the NFIP. During the early years in the
program, FEMA produced flood hazard boundary maps
(FHBMs), which show floodplain boundaries based upon
approximate data and limited analyses. They were typically
issued during the emergency phase of the NFIP, and gen-
erally have limited information regarding the flood-prone
areas. While there are still some communities with FHBMs,
most have been replaced with flood insurance rate maps
(FIRMs).

100YEAR FLOOD PLAIN

FLOODWAY

STREAM
CHANNEL
FLOOD ELEVATION
WHEN CONFINED
WITHIN FLOODWAY

ENCROACHMENT .---+- ENCROACHMENT

SURCHARGE1

..,_-+-~ - -----1~c~.................~ ~ ~ ~~ ~~D ~ ~ --+-_,,,

-- - -------- B

AREA OF FLOOD PLAIN THAT

COULD BE USED FOR DEVELOPMENT
j FLOOD ELEVATION BEFORE
ENCROACHMENT ON FLOOD PLAIN
BY RAISING GROUND

Line A - B is the flood elevation before encroachment

Line C - D is the flood elevation after encroachment

1Surcharge not to exceed 1.0 foot (FEMA Requirement) or lesser

amount of specified by state.

FIG uRE 2. 5 A Floodway schematic showing floodway and a floodway fringe.

a4 i@U4fi iiffll@i@IH
Communities that are in the regular phase of the NFIP
are provided with FIRMs. FIRMs are generally based upon
detailed studies of the flood-prone areas, and show more
precise information regarding the flood-prone areas than
the FHBM. A sample of a FIRM is provided in Figure 2.5B.
To identify the SFHA and other areas on the FIRMs, dif-
ferent zone designations are used. Noncoastal areas within
the SFHA are designated as Zone A, AE, AO, AH, Al-A30,
or A99. Each of these zone designations represent a different
type or risk class of flooding associated with the 1% annual
chance (100-year) flood. Similarly, for coastal areas, where
wave action is a concern, the SFHA is designated as V, VE,
or Vl-V30. Areas outside the SFHA include Zones B, C, D,
and X. Because each zone designation represents different
classes of risk, the insurance premium for a property is based
upon the zone designation.
The floodway is typically shown on a community's FIRM.
However, for a period between the mid-1970s and mid-
1980s, for some communities, FEMA did not show flood-
ways on the FIRMS, but generated separate maps, referred to
as flood boundary and floodway maps (FBFMs), that show
only the floodways. As with the FHBMs, FEMA is in the
process of phasing out these maps and replacing them with
updated FIRMs.
Accompanying each FIRM is a report, referred to as the
flood insurance study (FIS) report, containing a large amount
of supporting information and data such as technical details
on how the flood studies were performed, tables containing
modeling parameters and results, charts containing flood-
way information, and graphs showing flood elevation pro-
files for each stream studied in detail.
In addition to producing hardcopy flood hazard maps,
FEMA has been producing and distributing FIRM data in
digital format. Referred to as the digital FIRM (DFIRM)
database, it consists of spatial (GIS) data in several formats,
nonspatial data tables, metadata, and a digital copy of the FIS
report. The GIS data typically includes
• SFHA boundaries, floodway boundaries, and base
flood elevations
• Transportation data and/or aerial photography
• Stream centerline and coastal shoreline data
• Model cross-sections (riverine analyses) and tran-
sects (coastal analyses)
• Political boundaries
• Benchmarks
• FIRM panels
FEMA technical standards for all of these products are
compiled in "FEMA's Guidelines and Specification for Flood
Hazard Mapping Partners:' FEMA's FIRMs and related map
products can be obtained from the FEMA Flood Map Ser-
vice Center online. For more information about updates to
the National Flood Insurance Program and the Flood Insur-
ance Rate Maps, refer to the Appendix in Chapter 7.4.
Environmental Regulations Considerations. From the
perspective of the developer and the development team,
these environmental regulations impact real estate transac-
tions, demolition work, restoration efforts, the development
process, and overall construction of a project. Therefore,
understanding the basis and objectives of environmental
issues and integrating appropriate actions in planning and
schedules of development projects can prevent unantici-
pated delays and conflicts. Environmental issues must be
proactively addressed and dealt with, often with agencies,
procedures, and individuals outside the traditional develop-
ment process. The earlier in the development process that
environmental issues are identified, the better, since some of
these issues can involve liability or even affect the purchase
or development potential of a property. Other environmen-
tal impacts may affect the design and scope of the project,
affecting development efficiencies and appropriate use of
resources.
2.5.3. Natural Resources Overview and
Preservation Efforts
As the built environment expands, it is imperative that land
development activities do not compromise the long-term
quality of our natural environment. The responsibility ofland
stewardship is shared among everyone. Bodies of water, wet-
lands, buffer areas, forests, and other forms of open space are
a vital part of our economic future. Sustainability and green
building rating programs, to be discussed later in this chapter,
have brought increased attention to the value of open space,
habitat, and native vegetation not only in an environmental
context, but in terms of human health and happiness.
As such, these environmental features have become
increasingly regulated at the federal, state, and local levels
through laws, ordinances, and formal recommendations
included in comprehensive plans-linking the natural and
built environments. While wetlands and natural waters are
primarily regulated at the federal and state level; trees, land-
scape, and open space preservation regulations have become
commonplace in many localities. This section discusses
the applicable regulatory framework surrounding natural
resources and the considerations that should be included
during the due diligence of a project.
Beyond understanding the requirements, it is increasingly
important for the land development team and all stakehold-
ers involved in a land development project to truly under-
stand the value of the various functions natural resources
perform. From aesthetics to security to pollution preven-
tion/remediation and climate control, natural resources are
a critical component ofland development projects that war-
rant consideration throughout the design process. Therefore,
any individual who participates in the land development
design process should understand and appreciate the impor-
tant functions and values provided by natural resources in
 2.5 ■ ENVIRONMENTAL, GEOTECHNICAL, AND HISTORICAL CONSIDERATIONS 85

KALEF

ZONE X

w
!_,

IRCLE
PANEL 0038 D
J
FLOOD INSURANCE RATE MAP
LEGEND
~
CJ SPEC IAL FLOOD HAZARD AREAS SUBJECT TO INUNDATION
BY THE 1 'JE, ANNUAL CHANCE FLOOD EVENT
ZONf X
OTHER FLOOD AREAS

Areas o f 0.21)b annual chance Rood; areas of 1" annua l chance Rood
wilh ave,~ depths of less than 1 foot o, with drainage area! less than
1 square mile; and areas protected by I ~ fn;,m 1 " ~nnual chance
flood .

ZONt A No base flood eJevatlons d etermlned.

~ OTHER AREAS

ZONt Al 8ne Hood ~tions ck!termined. ZONI X Areas deteirmined to bi! outside lhe 0.2" annual CN.no:- floodpliln.
ZONt AH Flood d@pth!i of 1 to 3 feet (usua lly ii.lreas of pondlrig); base flood ZONI D Attas in whim Rood hazards att! undt:t~rmiMd~ but posslblf!.
elevations determined.
ZONt AO flood de-pth!I: of 1 to 3 feet (uwally d'ie@i Aow o n sloping tel"f'3inl; ~ COASTAL BARRIER RESOURCES SYSTEM (CBRS) AREAS
= ~ = ~ ~ r m i n e d . fDf'" al"eas of alluvial fa n flooding. .,,.elocities
~
~ OTHERWISE PROTECTED AREAS (OPAs)
ZOMM
~~ =~~by~t~~~~r=t J:~w:~s~~a:e~~
=;i~,!': ~:~~~~~~ ~ r n l ~~ :~~
gn!:ate..- flood evenL
rn: ! CBRS lteH 1nd OPAs aro nocm1ltv Joelted w ithin or 1dlaicent to Special Flood Hazttd Ateas.

Floodplain 8oundaty

Z.ONI Aft At@a to be ~ from 1 " annual chance Rood event by .;J; Federal
Floodway 8ouoda,y
flood protection syste:m under construct.ion; no baSiC flood clevaLlons Coastal 8.airr~r Boundary
dtitermined.
ZONI Y Coam:J flood .t~

·"""'"'"" dete<mined,
with velocity hazard (Wilve action ); no bB5e flood
.______....,I• Soundiiry dividing Speci1-l Flood H.u.ird Areas of d ifferent
8;ue Flood Elevallon:11 1 flood depttg or velocitie.

ZONE YE °"""11 - zone """' velocity haza<d lwa"" actk>nl; t,a,,, - e1w.>11on, -513- Base Flood Elevation llne and value; elev.itlo,1 In (eet9'
determined,
(E L 987) 9.ase Flood EID'Vation value where uniform within zone;
elev~tion in ( ~
FLOODWAY AREAS IN ZONE AE
•Referenced to th: Nation.ii Ceodetlc Ve,tial Datum of 1929

kept :free oi encroac:h.ment 50 th.at the

wb$1anlia.l inoe~ 4n flood Might$.
1"
The lfloodway I:! the chan~ ol a stream plus any adjacent Roodplarn areas that must be
annual chance nood ,can bl!! arried without
Bench mark ($ee @Xplanation in Note to Uie:1"5 5ed:ion of
thi<J; FIRM P41nel},

FIGURE 2.58 Sample flood insurance rate map.

as i@U4fi iiffll@i@IH
climate, air, and water quality preservation. Land develop-
ment consultants are uniquely positioned, given their tech-
nical background and practical experience, to cultivate an
appropriate balance between preservation and construction
efforts.
The following sections discuss the importance of natural
waters, identifying wetlands, soil classifications, the value of
open space and vegetation, and preservation efforts to pro-
tect these natural resources.
Natural Waters and Wetlands. One of the primary con-
straints to land development is the presence of natural
waters. Waters of the United States, including stream chan-
nels, ponds, and lakes, are usually easy to identify. Flood-
plains have been effectively mapped all across the United
States by FEMA. Wetlands, on the other hand, are harder
to identify and require more attention. Natural waters have
historically been looked upon as being in conflict with devel-
opment and property rights. However, coastal flooding and
erosion, as well as water quality issues associated with drink-
ing water supplies, have increased public awareness to the
need to maintain and protect these critical resources.
More than 50% of the wetlands in the continental United
States have been destroyed in the last 200 years, according to
the U.S. Fish and Wildlife Service. Between the mid-1950s
and mid-1970s, there was an increase in wetland losses per
year with a net loss of 9 million acres of wetland (U.S. EPA).
Drainage of wetlands for agriculture was responsible for 85%
of losses, with development causing approximately 13% of
the losses.
Not only are these losses staggering, but many waterways
throughout the United States are also heavily polluted. The
Clean Water Act has helped to remediate and better con-
trol point source discharges and impacts from construc-
tion activities. NPS discharges continue to be a challenge to
manage. These sources include agricultural runoff (fertiliz-
ers, herbicides, and other agricultural chemicals that wash
into the streams) and urban runoff (oil, grease, and other
toxic chemicals that end up in the rivers). More information
about types of NPS pollutants are discussed in Chapter 5.5.
It is no surprise that polluted waterways are bad for the envi-
ronment, including plants, animals, and humans as well.
Besides water quality, water quantity is another issue that
land development can affect.
Water quantity relates to the amount of water runoff pro-
duced in a storm event. In undeveloped land, during a storm
event, water naturally permeates through the soil surface
into the ground and slowly reaches downstream waterways.
Urbanization decreases the amount of permeable surfaces (by
constructing impervious surfaces like asphalt and concrete),
which increases the runoff. This runoff is not only too much
for the waterways to handle, it is also moving more quickly
and can be heavily polluted. This can lead to erosion and
dangerous flooding events. More information about water
quantity and quality concerns is discussed in Chapter 3.5.
Jurisdictions are commonly adopting preservation ordi-
nances to better protect local waterways. In addition, land
development projects are also focusing more on the environ-
mental aspects of a site to restore and enhance waterways,
and in some cases create new wetlands. Wetlands are a vital
resource and can even help to repair the environment and
manage stormwater events.
As defined by the U.S. Army Corps of Engineers, wetlands
are "those areas that are inundated or saturated by surface
or ground water at a frequency and duration sufficient to
support, and that under normal circumstances do support,
a prevalence of vegetation typically adapted for life in satu-
rated soil conditions. Wetlands generally include swamps,
marshes, bogs, and similar areas:'
Wetlands represent a varied resource with many names,
usually associated with the prevalent vegetation. When wet-
lands share the same type of vegetation, they can take the
same name. For example, forested wetlands can be called
swamps and those dominated by grasses are marshes. No two
wetlands have identical plant species diversity, or the same
hydrologic and soil conditions. Generally, what all wetlands
have in common is soil saturation or inundation for extended
periods (i.e., wetland hydrology) and vegetation adapted to
these soil conditions (i.e., hydrophytic vegetation). The use
of such familiar terms as marsh, bog, or swamp may mean
different things in different regions of the country.
It is important to understand that while wetland areas are
generally described as swamps and bogs, a small site may still
have localized wetland areas of just a few hundred square feet.
The U.S. Fish and Wildlife Service Wetlands Mapper is an
efficient way to evaluate the potential presence of wetlands.
The following sections discuss wetland functions and
wetland delineations.
Wetland Functions. After a long history of wetland
destruction, wetlands are increasingly recognized as provid-
ing desirable functions to society. Wetlands provide many
functions related to improving water quality, flood manage-
ment, and providing wildlife habitat.
Water Quality. Wetlands are known to act as chemical sinks
or transformers that can improve water quality. They act as
"kidneys of the landscape" (Mitsch and Gosselink, 1986) by
removing excess nutrients from rivers and streams.
As water purifiers, wetlands act to reduce nutrients, chem-
ical wastes, and turbidity. Wetland plants remove nutrients,
such as phosphorus and nitrogen, from surface water and
utilize them for growth. Removing the nutrients from sur-
face waters not only prevents algal blooms, but reduces the
potential for fish kill by preventing the decreases in dissolved
oxygen levels caused by the decomposing algal masses. A
wetland's ability to absorb nutrients varies between individ-
ual wetlands and wetland types. Furthermore, a wetland can
be overloaded with nutrients and thus be unable to assimi-
late the entire nutrient load.
The effective removal of nutrients has been demon-
strated on numerous projects by allowing nutrient laden
effluent (i.e., sewage or wastewater) to flow through wet-
lands. Organic compounds are decomposed and nitrogen
is converted to its gaseous form and removed (Mitsch and

Gosselink, 1986). Heavy metals adsorbed to sediments are
allowed to settle out in the diffuse, low velocity environment
of a wetland. As sediments fall out of the water column, tur-
bidity is reduced allowing sunlight to penetrate to support
growth of submerged aquatic vegetation (SAV).
Water Quantity. Wetlands within a watershed can reduce
flooding through the detention of floodwaters during a
storm. The water is then slowly released afterward into
streams, reducing peak flows. Water being released from the
wetlands can even recharge or discharge aquifers depending
upon their topographical position on the landscape. There-
fore, a wetland may either replenish the aquifer or contribute
to base flow in streams. The relative ability of a wetland to
alter flood flows depends on several variables, including its
size relative to the size of the watershed, its relationship to
other wetlands in the watershed, and the amount of urban -
ization in the watershed. In many respects, wetlands serve as
a natural form of stormwater management.
Coastal wetlands provide similar benefits in terms of
reducing the potential flood damages associated with tropical
storms, hurricanes, northeasters, and the like. The wetland
vegetation dissipates wave energy, thus reducing potential
wave heights and storm surge. Coastal wetlands, such as bar-
rier islands, serve as a buffer to protect shoreline areas from
wave-induced erosion. When located along streams and
bays, wetlands can buffer erosive forces and hold sediments,
thereby preventing loss of shoreline.
Fish and Wildlife Habitat. Wetlands are among the most
productive ecosystems in the world in terms of produc-
ing energy from the sun via photosynthesis and recycling
nutrients. They provide food and habitat for an array of
wildlife and are critical in the nesting, migration, and win-
tering of waterfowl. Although wetlands do not occupy a
high percentage of our total land area, wetlands are critical
to the life history of over one-third of our nation's threat-
ened and endangered plant and animal species. Coastal
wetlands provide spawning habitat, as well as nursery
and feeding areas, for much of our commercially impor-
tant fish and shellfish. Additionally, wetlands are critical
feeding, resting, breeding and nesting areas for migratory
waterfowl.
As an example, consider the role of vegetation in an
estuary such as the Chesapeake Bay. Historically, vast
numbers of waterfowl (primarily redhead and canvasback
ducks) wintered in the freshwater areas of the bay, where
wild celery beds were abundant. Declines in this vegeta-
tion in the bay and its rivers have led to a decline in the
number of canvasbacks and redheads overwintering in
the area. In addition, commercially important fish species
such as striped bass, shad, and menhaden are dependent
upon the bay's SAV for spawning, feeding, and nursery
habitat. Though likely not the sole reason for their dimin-
ished numbers, as SAV declined in the bay, the commercial
and sport fishery for striped bass was reduced to the point
where all fishing for the species was banned for several
years in the 1980s.
2.5 ■ ENVIRONMENTAL, GEOTECHNICAL, AND HISTORICAL CONSIDERATIONS 87
Wetland Delineation Criteria and Methodology. The
methodology for determining the presence of a wetland is
based upon three criteria: soils, vegetation, and hydrology. For
an area to be identified as a jurisdictional wetland, the area
must contain these three wetland parameters: hydric soils,
hydrophytic vegetation, and wetland hydrology, or evidence
thereof in disturbed areas. Wetlands are located somewhere
along a "natural wetness continuum'' that exists on the land-
scape. Locating the boundary between wetlands and uplands
(non-wetland areas) on this continuum is the objective of
wetland delineation manuals. The definition of what consti-
tutes a jurisdictional wetland has proven controversial with
there being many different versions of a single delineation
manual available. Field indicators of the three-wetland crite-
ria are provided in the various available delineation manuals
and are discussed below. When field indicators of each of the
criteria are observed, the area is determined to be a wetland.
Soils. Hydric soils are defined as "soils that formed under
conditions of saturation, flooding, or ponding long enough
during the growing season to develop anaerobic conditions
in the upper part of the soil" (Federal Register, July 13, 1994).
Organic hydric soils are largely an accumulation of non-
decomposed, organic remains (peat). These soils are easily
recognized as hydric soil by a thick organic surface layer that
is saturated for most of the year. Wetland identification in
problem areas, such as sandy soils, may take slightly longer
to identify in the field and may require additional detail by
the environmental specialist.
Vegetation. Hydrophytic vegetation is defined as plant life
growing in water or on a substrate that is at least periodi-
cally deficient in oxygen as a result of excessive water con-
tent (Environmental Laboratory, 1987). Many plants have
adapted to these conditions to create the great diversity of
plants found in wetland environments. About 8000 plants
species are included on the Fish & Wildlife Services' National
Wetland Plant List: 2016.
Hydrology. The hydrology of a wetland is the most impor-
tant element 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 precipitation, or tidal flooding. The roles of ground-
water and surface water in creating wetlands are illustrated
in Figure 2.SC. As expressed in the figure, wetlands are typi-
cally located between the seldom flooded upland and peren-
nial 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 wetlands,
the soil survey of a locality can be useful in determining
duration of soil saturation.
Wetland hydrology in the form of surface water or satu-
rated soils is readily apparent during certain times of the year
in most wetlands. Evidence of this could be standing surface
88 i@U4fi iiffll@i@IH
Water table
Depresslonal Wetland Overflow
Wetland
FIG uRE 2. 5 C Schematic diagram showing wetlands, deep-water habitats, and uplands on landscape. (Adapted from Tiner, 1984.)
water or muddy ground surface underfoot; however, during
certain times of the year, primarily late spring to early fall
or during drought events, when surface water is not evident,
wetland hydrology may not be as obvious.
Field Delineation. In the field, wetlands professionals uti-
lize the approved U.S. Army Corps of Engineers Wetland
Delineation Manual to evaluate the three primary character-
istics of a wetland. The current Corps delineation methodol-
ogy requires positive indicators of all three wetland criteria
(soils, hydrophytic vegetation, and hydrology) to delineate
an area as a wetland. The wetland-upland boundary is deter-
mined where one or more of the criteria are not present. The
only exception to this is the situation where one or more of
the criteria are not present due to a disturbance to the area.
A common example of a disturbed condition is the situation
where hydrophytic vegetation is not present because of farm-
ing activities that have temporarily replaced the natural veg-
etation with planted crops or pasture.
Wetland hydrology, generally the most difficult of the
three criteria to verify in the field, is normally confirmed
through the use of additional field indicators. Other than a
direct indicator of water, evidence of hydrology can be sup-
ported by the presence of hydric soils.
A wetland delineation is usually completed in two
stages: the preliminary investigation, to determine whether
wetlands may exist and their approximate limits; and the
detailed investigation, where the jurisdictional area for
preliminarily identified wetlands or WOTUS is accurately
identified based on an enhanced level of data collection and
field review.
The accuracy of a preliminary wetlands investigation is
lessened when the topographic relief is low and the wet-
land is not confined to distinct stream valleys. A lack of
UPLAND
UPLAND
Deepwater Overflow Seepage Wetland on Slope
Habitat Wetland
landmarks in areas of low relief also limits the accuracy
of the preliminary study because sketching the wetland
boundary in the field is an approximation and landmarks
aid in placing the wetlands/uplands boundary correctly.
All of these factors influence the confidence level of the
preliminary wetlands investigation and necessitate a more
formal, detailed investigation for accurate delineation.
Sources of readily available information that provide pre-
liminary wetland delineations are discussed later in this
chapter.
A detailed wetland investigation offers the most accurate
delineation and measurement of the jurisdictional area on
the site. This level of effort is necessary when the confidence
level of the preliminary study is not sufficient or the exact
location of the boundary and/ or total wetland acreage must
be accurately known for permitting purposes. A detailed
wetland boundary would need to be accurately known dur-
ing final design (Chapter 5) to ensure avoidance or minimi-
zation of wetland impacts.
If the preliminary investigation of a site shows that it
may contain wetlands, it would be prudent for an expe-
rienced environmental specialist to conduct a detailed
wetland delineation. Due to the variability of regional con-
ditions, the environmental specialist should be familiar
with the region and have a rapport with the local regulatory
authorities. The best strategy is to avoid wetlands and other
WOTUS in regard to impacts from land development.
Therefore, it is extremely important to identify these con-
straints that might hinder a project early in due diligence
stage. If the delineated wetland constitutes a majority of
the site, and the development program cannot be achieved,
then a new site may be required. More information about
preliminary wetland identification for a project is discussed
later in this chapter.

Open Space and Vegetation. Open space and existing veg-
etation of a property is another important natural resource
to evaluate. Open space preservation in many cases is not
limited to the preservation of individual trees, but rather,
generally applies to the preservation of existing trees and
other associated vegetation across a large area that is main-
tained in a natural state. Preservation in this manner and at a
reasonable scale (i.e., in contiguous areas or connected in an
open space or greenway corridor) maintains the values and
functions of the resource. Within the context of sustainable
design and green building rating programs, open space is
prioritized to protect or restore habitat, promote biodiver-
sity, and expand opportunities for interacting positively with
the environment.
The Values and Benefits. Understanding the significance
of open space and tree preservation requires knowledge of
the values and benefits provided by landscape elements and
open space in general. Figure 2.5D illustrates the functional
uses of plant material, from which the following values and
benefits are derived:
• Aesthetics
• Space definition and articulation
• Screening undesirable views
• Complementing or softening architecture
• Creating a sense of unity among inharmonious buildings
• Providing textural and pattern variety
• Buffering incompatible land uses
• Attracting wildlife
Trees affect the microclimate of an area by moderating the
effects of sun, wind, temperature, and precipitation. Such
climatological values and benefits include
• Intercepting, filtering, or blocking unwanted solar
radiation
• Blocking undesirable wind by obstruction
• Directing wind flow by deflection
• Reducing wind velocities by filtration
• Moderating temperature changes (although this is
more directly a function of solar radiation interception)
The values and benefits of trees and open space relative to
site development and engineering are equally as important.
These include
• Decreasing stormwater runoff directly through inter-
ception of rainfall and water uptake through the root
system, as well as filtering pollutants contained in
runoff from the adjacent watershed
• Stabilization of soils
2.5 ■ ENVIRONMENTAL, GEOTECHNICAL, AND HISTORICAL CONSIDERATIONS 89
• Reducing the glare and reflection characteristically
generated by the combination of buildings and/or
roadways and natural and/ or artificial light
• Acting as noise attenuators
• Interacting with the particulate matter and gasses
known to cause air pollution to significantly reduce
the concentrations of these pollutants
• Adding oxygen to the atmosphere
• Recreational opportunities (i.e., gardening, ballfields,
hiking trails)
• Educational opportunities
• Nonpolluting transportation (i.e., bike trails)
• Tourism
• Flood protection
All of the architectural, aesthetic, climatological, and
engineering uses give value to trees that can be described
in both economic and legal terms (Miller, 1988). Because of
these measurable assets, trees and open space contribute to
and enhance property values. The resulting sum of values
equates to an improvement in the quality oflife for everyone.
This concept is emphasized by the green building rating pro-
grams, which is discussed later in this chapter, where credits
are commonly awarded for habitat preservation or creation,
and open space optimization.
With many values and benefits, open space on a site,
including trees and vegetation, is important to preserve. Open
space consisting of old fields is primarily made up of a mix of
perennial flowers, grasses, and what some would classify as
weeds. Many wildlife species rely on these old fields for for-
aging and reproduction; in fact, many song bird species rely
strictly on old fields as their primary habitat. Old field areas
are accustomed to some manipulation, such as annual bush
hogging, grazing, or fire. Therefore, provided that these areas
are not graded, and the seedbank is protected, old fields tend
to be more resilient than forested areas during construction
activities. However, the long-term development plan for such
an area should recognize that some type of manipulation will
likely be necessary in the long term to maintain these areas
as open fields.
When considering tree preservation, the root zone area is the
critical and limiting factor of success. Plants depend upon roots
for water and mineral uptake, storage of food reserves, and the
synthesis of needed organic compounds and anchorage. Gen-
erally, tree roots are located in the upper 36 inches of the soil,
with the majority of the roots (85%) in the upper 18 inches.
Research has found that tree roots can extend far beyond a tree's
drip line (outermost extent of tree canopy), typically branching
out from the trunk a distance of 1 to 1.5 times the tree's height.
It is critical to protect the roots of a tree during construction.
Protection efforts during construction is described in erosion
and sediment control methods of Chapter 5.7.
go i@U4fi iiffll@i@IH
A. ARCHITECTURAL C. ESTHETIC
Space Articulations Privacy Control

Screening Obstruction Control

Sculpture
Pattern

8. ENGINEERING

Entramement Attracting Birds or Animals

Glare and Reflection Reduction

Acoustical Control

Bring Natural Elements into Uiban Surrounding

Air Conditioning
Erosion Control
Traffic Control

D. CLIMATE CONTROL

1. WIND CONTROL

Obstruction Filtration Rain Snow

Deflection Guidance Evaporation Dew& Frost

q,
2. SUN CONTROL 4. TEMPERATURE

Q-
Filtration Daily
Radiant Heal
Season
A
Air Temperature Alteration Ground Temperature Alteration

;!)
', ;,,'
/

Obstruction Radiation Seasonal Variations Annual Variations

FIG uRE 2. 5 D Functional uses of plant material which have measurable values and benefits. (From International Society of Arboriculture: Guide
to Plant Appraisal, 8th ed., 1992.)

Local Preservation Efforts. All natural resources are con-
sidered valuable environmental assets to local communities,
and the incremental but steady loss of these resources has
prompted many jurisdictions to enact legislation. Local reg-
ulations have been adopted to preserve and protect natural
waterways, riparian corridors (vegetation growing along a
body of water), forested areas, farmlands, and unique nat-
ural resources such as prairies, meadows, and deserts. In
addition, increasingly poor water quality and urbanization,
has led communities to protect more than just the natural
resources, including entire watersheds and even viewsheds
as well.
Regulations to preserve and protect natural resources and
environmental features generally begin with the local com -
prehensive plan. Specific recommendations and guidelines
may be adopted, in line with the community's vision and
goals, dedicated to these preservation efforts. This could be
included within an environmental element of the compre-
hensive plan, as described in Chapter 2.2, or in a separate
environmental plan. Fairfax County, Virginia, for example,
has a Tree Action Plan that includes strategies for "conser-
vation and management of the county's tree resources:' This
includes visions and goals for the urban forest, core recom -
mendations, and implementation strategies, similar to a com-
prehensive plan. Through the recommendations of the Tree
Action Plan, the county adopted a 30-year tree canopy goal to
increase Fairfax County's tree cover to 45% by the year 2037.
The jurisdiction may implement these recommenda-
tions and environmental plans through the adoption of
preservation ordinances or other requirements in the local
zoning ordinance, subdivision ordinance, and/or a separate
environmental or landscape ordinance. Open space require-
ments, landscaping requirements, and other regulations may
be found in dimensional standards within the zoning text, as
described in Chapter 2.3, or Development Standards Man-
ual, as described in Chapter 2.4.
Overlay districts, as described in Chapter 2.3, are com-
monly included on zoning maps and in the zoning ordinance
to protect natural resources. San Antonio, Texas, for example,
has River Improvement Overlay (RIO) Districts. "Its purpose
is to establish regulations to protect, preserve and enhance
the San Antonio River and its improvements by establishing
design standards and guidelines for properties located near
the river. The San Antonio River is a unique and precious
natural, cultural and historic resource that provides a physi-
cal connection through San Antonio by linking a variety of
neighborhoods, cultural sites, public parks and destinations:'
San Antonio's Unified Development Code includes a chapter
for the zoning overlay districts that includes the RIO Dis-
tricts. The text within outlines the purpose of the district,
through the required provisions and regulations, to "prevent
the negative impacts caused by incompatible and insensitive
development and promote new compatible development:'
The RIO Districts also "maintain the openness and natural
habitat of the river, access to its trails and provide safety for
its users" amongst other objectives.
2.5 ■ ENVIRONMENTAL, GEOTECHNICAL, AND HISTORICAL CONSIDERATIONS 91
Brooklyn, New York, is another example that has a view-
shed overlay. This overlay district can be seen in city zoning
maps as a shaded area that is designated "SV-I:' "The Special
Scenic View District (SV) is intended to prevent obstruction
of outstanding scenic views as seen from a public park, espla-
nade or mapped public place. No buildings or structures are
allowed to penetrate a scenic view plane except by special
permit of the City Planning Commission. The Brooklyn
Heights Scenic View District (SV-1) extends over an area
west of the Brooklyn Heights Promenade to protect the
views of the Lower Manhattan skyline, Governors Island, the
Statue of Liberty and the Brooklyn Bridge:'
Many of these preservation ordinances have been created
to act as guides for responsible or appropriate land develop-
ment activities. These ordinances and regulations are gener-
ally not intended to prohibit development activity, merely to
cultivate a balance between the natural and built environ-
ment that is beneficial to all those participating in the devel-
opment process. Land development and preservation need
not be mutually exclusive. In fact, open space preservation
has been demonstrated to prevent flood damage, attract
investment, revitalize cities, and boost tourism, along with
preserving the environment (Lerner and Poole, 1999).
Since communities differ in their natural environment,
political structures, cultural traditions, and legal frame-
work, preservation ordinances vary between jurisdictions.
All jurisdictions do have similar goals of protecting natural
and cultural resources, views, and floodplains; so their ordi-
nances and regulations will be specific to the local commu-
nity desires and economic needs.
Regulations within preservation ordinances may also
vary widely between jurisdictions. For instance, some
localities are quite specific as to the percentage of existing
vegetation that must be retained, and have designed meth-
odologies for determining the extent of existing vegetation
to be targeted for retention. Other localities simply offer
general guidelines, requiring that all attempts possible be
made to retain existing vegetation. Most preservation ordi-
nances will establish the definitions, procedures, penalties,
and appeals process specific to the individual locality for
preservation and protection. In some instances, preserva-
tion ordinances are developed to protect entire ecosystems,
such as those areas that are known habitats of rare, threat-
ened or endangered species, or watersheds that drain into a
public water supply.
Since variation between preservation ordinances can be
great, and all ordinances are specifically reflective of the local
policies, circumstances, and needs of a particular area, it is
more critical here to understand the general premise for an
ordinance, rather than the details specific to many localities.
Specific preservation ordinances exist in a majority of the
towns, cities, and urbanized areas nationwide, and they may
be separate or included as part of larger ordinances. It is the
responsibility of the site engineer and the development team
to be cognizant of the requirements particular to the juris-
diction in which a specific project is located.
92 i@U4fi iiffll@i@IH
2.5.4. Environmental Due Diligence
With an understanding of environmental regulations and
local preservation efforts, and an appreciation of natural
resources, it is necessary to understand how to evaluate the
environmental conditions of a site during the due diligence
review of the site selection process. This section discusses
various environmental assessments that should be consid-
ered when evaluating a site for development purposes.
When determining the development potential of a par-
ticular piece of land, the land development team should first
evaluate the land's opportunities and constraints, both of
which may be influenced by environmental issues. There-
fore, a preliminary environmental review of a site should be
completed in the early stages of the land development design
process. This review is typically a two-step approach:
1. Perform a desktop review, or an office data review,
to identify environmental considerations that may
warrant closer field inspection. This review includes
a cursory investigation and assessment of available
wetland, floodplains, soils, wildlife, hazardous mate-
rial, and natural hazards data for the site. This will
be discussed within this section of this chapter.
2. Complete a site inspection, also known as a site visit
or walkover, to confirm the information garnered
in the desktop review and ensure that current con -
ditions (which may not be entirely or accurately
reflected in the desktop review) are identified and
assessed. This is discussed in Chapter 3.1.
These environmental assessments are an important com-
ponent of the due diligence process because some envi-
ronmental factors such as existing wetlands, habitats, or
hazardous materials could significantly alter development
potential and the overall development program. Addition-
ally, environmental conditions could adversely affect the cost
and schedule of a development project. These assessments
may be required when producing a feasibility study (to be
introduced in Chapter 3.1) to ensure the viability of a site.
The discussions in the section are intended as an overview
to familiarize the development team with the typical envi-
ronmental assessments related to the project. Each project is
unique, so additional assessments and more detailed reviews
may be required.
Additional attention will be required if the project consti-
tutes a state and/or federal action. State actions will require
compliance with the applicable state regulations. Any under-
taking that receives federal funding, permitting, and/or approv-
als will require conformance with NEPA, CWA, CERCLA, as
well as other applicable federal laws.
More information about each of these federal programs
can be found online. Some of them have interactive tools to
help perform necessary research. For NEPA, the EPA provides
a NEPAssist tool that "facilitates the environmental review
process and project planning in relation to environmental
considerations. The web-based application draws envi-
ronmental data dynamically from EPA Geographic Infor-
mation System databases and web services and provides
immediate screening of environmental assessment indicators
for a user-defined area of interest. These features contribute to
a streamlined review process that potentially raises important
environmental issues at the earliest stages of project devel-
opment:' NEPAssist provides information on EPA facilities
and jurisdictional content as well as natural waters, wetlands,
FEMA flood data, soils, critical habitats, land cover, and more.
It should be noted that these reviews at this stage are pre-
liminary and for planning purposes only. They are intended
to help the design team identify any constraints inherent to
the site itself that may prohibit or substantially derail (either
because of time or cost) a proposed development project.
Early identification of environmental site conditions can
significantly enhance programming and planning, as well as
future design and construction efforts, and facilitate a real-
istic project schedule. Additional investigations will likely be
required during final design (Chapter 5), depending on the
existing environmental features.
More information about wetland assessments, floodplain
studies, soils investigations, wildlife habitat reviews, contam-
ination investigations, and natural hazard risk assessments is
introduced within this section.
Wetland Assessment. The wetland desktop review con-
sists of researching existing information concerning the site.
As mentioned previously, wetlands have important func-
tions for the environment, and along with WOTUS, impacts
should be avoided and/or minimized as much as possible
during development. Therefore, it is important to first iden-
tify if any natural waters and/or wetlands exist on the site.
Typically, this process begins in the office as an evaluation of
available information. A desktop review will determine the
likelihood of the presence of WOTUS or wetlands on the site.
Examples of readily available information are discussed
below. This information provides a preliminary indication of
potential presence of wetlands on a site. It should be noted
that these resources are mass-produced at a small scale and
frequently are outdated or missing data. Therefore, a desktop
review of wetland data should not be considered sufficient to
exclude the presence of wetlands or WOTUS on a site. Dur-
ing the site investigation, an additional preliminary wetland
investigation may be required. If the preliminary informa-
tion suggests that a wetland is present on the site, then a
detailed wetland delineation will be required for final design.
U.S. Geological Survey 7.5 Minute Topographic Series Maps.
These maps, which are also known as topographic quad-
rangles, can be obtained directly from the U.S. Geological
Survey (USGS). In addition, various websites also have topo-
graphic maps available online. Typically, there is a fee asso-
ciated with downloading a map from these websites. These
maps can identify such features as marshes or lakes, ponds,
rivers, streams, and other water bodies that may be present
on the site. In addition, these maps can be used to deter-
mine drainage swales or low-lying areas that may exhibit

wetland characteristics and should be evaluated during the
site inspection (to be introduced in Chapter 3.1). The largest
scale these maps are available in is 1:24,000.
Wetlands Mapping. Much of the U.S. has been mapped by
the U.S. Fish and Wildlife Service (USFWS) to produce the
National Wetland Inventory (NWI). These maps are avail-
able online at the USFWS Wetland Mapper website. The
NWI map is prepared from aerial photos and wetlands are
designated by the USFWS. If the NWI map indicates wet-
lands on the site, there is a high probability (more than 90%)
that they are jurisdictional wetlands. State and local wetland
programs may have also prepared wetlands mapping that
includes the site area. If available, these maps can typically be
found on the local county or state GIS webpage.
Web Soil Surveys. The USDA, through the Natural
Resources Conservation Service (NRCS), provides soil infor-
mation for most jurisdictions online via the Web Soil Survey.
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, and are areas which
should be field verified. Greater confidence in that determi-
nation would be obtained if the NWI map also showed wet-
land in this area. If no hydric soils or hydric soil inclusions
are indicated in the study area, it will likely lack the required
soil to meet the wetland criteria. However, the site should be
field-checked for verification purposes because soil condi-
tions can change and development around a site can poten-
tially affect the site hydrology.
Aerial Photographs Review. Aerial photographs can pro-
vide information on vegetation and hydrology and should be
consulted as part of a wetland data review. There are many
sources for aerial imagery, including commercial online
sources. Another example is the USGS TerraServer USA
webpage, which provides aerial photograph coverage for
much of the nation. Other possible sources for aerial pho-
tographs are county or city mapping or planning offices, the
USDA, Agricultural Stabilization and Conservation Service
(ASCS), and NRCS offices located in each county. Numerous
counties also have recent aerial photographs available on the
county's GIS webpage.
Many counties, especially those with growing popula-
tions, will regularly commission aerial photo surveys to
update county land-use mapping. Color infrared (CIR) pho-
tography is the most useful when identifying wetland areas
from the desktop with aerial photographs as it can highlight
differences in vegetation and soil moisture.
Floodplain Study. A floodplain study graphically depicts
an engineering estimate of the water surface elevation
expected along a length of a stream for some specified design
storm. Typically, floodplain studies are conducted as a design
tool as well as a regulatory requirement. As a design tool,
they are often used to determine the limits of inundation, for
some specified recurrence interval, to be assured that new
developments will lie beyond the floodplain. Similarly, they
may be used to evaluate the changes in flood elevations due
to changes or additions to structures within the floodplain.
2.5 ■ ENVIRONMENTAL, GEOTECHNICAL, AND HISTORICAL CONSIDERATIONS 93
A floodplain study may also be conducted to evaluate the
effectiveness of channel improvements or modifications.
Even if a floodplain study is not necessary for design, it
is often a regulatory requirement. It is common for local or
state governments to require that a floodplain study be per-
formed and submitted in support of a site plan. Regulations
often contain a provision that a floodplain study is required
for a reach of stream if the drainage area is greater than some
minimum value (100 acres may be typical). It is common to
require a floodplain study to ensure that new construction
does not increase the water surface elevation more than the
allowable surcharge above the base flood elevation.
Preliminary Investigation. The first step in any flood
study is to determine the limits of the stream to be studied.
The limits will be determined based on the desired results of
the study. If the reason for performing a floodplain study is
due to a regulatory requirement related to the land develop-
ment project, the municipality may require the entire length
of stream through, and possibly beyond, the project limits to
be studied. If the reason for performing the study is to deter-
mine the floodplain boundary in a specific location, or to
determine the necessity for channel improvements, etc., then
the limits of study must be determined such that the portion
of the stream impacting the development is studied.
Also, the desired precision of the results must be deter-
mined. This will determine the accuracy of the topographic
data needed to map the floodplain, as well as the hydrologic
and hydraulic methods used for the study. As expected,
higher accuracy generally comes at a higher price, since
more detailed hydrologic and hydraulic methods can cost
orders of magnitude more than simpler methods.
The appropriate recurrence interval(s) must be deter-
mined in order to provide the level of risk or protection
desired. The 100-year floodplain is the most common for
analysis, because of regulatory requirements from local juris-
dictions and from FEMA.
Data Acquisition. Before beginning a floodplain study,
an information search should be conducted to determine
if previous studies on the subject stream exist, or if other
studies have been performed in close proximity that may
provide some of the data needed for the study. Some federal
agencies perform floodplain studies as an aid to identifying
flood prone areas. These agencies include the USGS, the U.S.
Army Corps of Engineers (Corps), and FEMA. In addition,
some local or state organizations may have drainage plans
or floodplain studies already established. Local zoning maps
may show existing floodplain limits. These limits could
have been established from studies performed by the local
municipality, as part of another development project along
the stream, or as a study done by the USGS.
If a development project is near a previously or con-
currently developed site that is also affected by the subject
stream, a floodplain study may have been developed in con-
junction with the nearby development. These studies should
be identified and examined to determine if they may be used
outright, or if some pieces of information may be useful.
94 i@U4fi iiffll@i@IH
These reports and maps establishing the floodplain limits
should be studied to determine the underlying assumptions,
such as the land use conditions for determining the runoff.
This information will then be incorporated into the new
floodplain study or be used to justify the need for establish-
ing new limits based on current conditions. The delineated
floodplain limits on the maps may be graphically depicted
on the project base map (to be introduced in Chapter 3.2).
It may then be the responsibility of the site engineer to fur-
ther define the limits through metes and bounds or other
methods. If a new floodplain study is conducted, the new
limits are compared to the preliminary delineated limits.
Any discrepancies must be justified with the public review
agencies.
When performing a new study, a large amount of data is
required. Much of this data may have already been created
for other purposes and it is simply a matter of collecting it.
Types of data that are typically collected include
• Topographic data and aerial photographs for the
entire study area
• Hydrologic data such as stream gage data, and, if
detailed hydrologic modeling is required, rainfall
data, soils types, and land use coverages
• Plans/information for structures in the floodplain,
such as bridges and culverts
• Transportation and planimetric data layers to serve
as reference features on floodplain maps
• Supplemental field survey at critical cross sections
• Photographs or other field verification of surface
conditions (used for hydrology computations)
Topographic and aerial photographic data is often available
from local and state agencies, the USGS, and land development
project plans. Topographic mapping and aerial photographs
should cover the area to be studied, with plenty of additional
coverage beyond the actual floodplain limits. More informa-
tion about topographic maps is introduced in Chapter 3.
Commonly, hydrologic data is obtained from the USGS,
although local and state agencies, particularly engineer-
ing departments, frequently maintain this type of data as
well. Bridge and culvert "as-built" plans can sometimes
be obtained from state departments of transportation or
local public works departments. If not available from these
sources, it may be necessary to have survey crews collect this
information as part of their field work.
Last, many states and local communities have GIS depart-
ments where digital planimetric data can be obtained, such
as transportation, parcel, and corporate limit data layers.
Producing a new floodplain study will generally occur
with the final design of a project. This work may be com-
pleted by a floodplain specialist or other consultant. For
more information about preparing a floodplain study, refer
to Chapter 7.4.
2.5.5. Wildlife Habitat Review
It is important to review habitats that may be present on
the site. Habitat loss is the primary threat to most imperiled
species and critical habitat zones are essential to protect-
ing threatened or endangered species. While the regulatory
aspect of critical habitat under the Endangered Species Act
does not apply directly to private and other nonfederal land-
owners, large-scale development on private and state land
typically requires a federal permit for either stormwater
discharges (NPDES) or impacts to natural waters; thus, the
project becomes subject to critical habitat regulations. Fed-
eral permitting agencies are required to coordinate with the
USFWS to ensure that projects they authorize are not likely
to jeopardize the existence of the listed species or result in the
destruction or modification of their habitat that is declared
to be critical.
As a result of this requirement, it is advisable to complete
a review of any potential development site to determine if
there is a likelihood to impact a threatened or endangered
species or their habitat as a result of the land development
process. This review can be accomplished by contacting
either the USFWS or the state equivalent. Some states or
local jurisdictions have this information available online.
2.5.6. Contamination Investigation
Contaminated sites may exist because of past or present
land use activities. Environmental regulations, as previ-
ously described, require the assessment of the type and
extent of contamination potentially present at a site, as
well as the development of adequate remediation measures
to address the contamination identified. Hazardous waste
refers generally to discarded waste materials from institu-
tions, commercial establishments and residences that poses
an unacceptable risk to human health and safety, property
values, and the environment. Typical sources of contamina-
tion include surface impoundments, landfills, spills, tanks,
septic tanks, agriculture, urban runoff, deep well injection,
and illegal dumping.
Information about potential contamination affecting
a site can be gathered from state and local environmental
offices. In addition, the EPA has a website called Enforce-
ment and Compliance History Online (ECHO) which also
provides information related to compliance, violations, and
enforcement actions. A comprehensive regulatory database
review report can be purchased from several companies that
maintain updated regulatory databases. Should the database
review indicate possible sources or presence of contamina-
tion, it is important to properly prepare for the site investi-
gation by taking the necessary safety precautions to protect
field personnel.
The regulatory database review and site investigation
provide a preliminary understanding of potential contami-
nation presence at a given site and surrounding properties
and help determine whether additional detailed investiga-
tions are warranted.

2.5. 7. Natural Hazard Risk Assessment
Several natural hazards could be associated with a project
depending on the geographic location of the site. Possible
natural hazards include flooding, wildfires, landslides, earth-
quakes, hurricanes, erosion, tornadoes, tsunamis, typhoons,
droughts, volcanic eruptions, and other severe events related
specifically to the geology or climate of a particular site.
Additional information about these hazards can be found on
the FEMA website.
Although natural hazards are relatively unpredictable,
risk assessment at the early stages of a project can result in
more informed and responsive site selection, planning, engi-
neering, architectural and other design related decisions.
Specific design strategies can be utilized during the develop-
ment process so as to attempt to mitigate natural hazards to
reduce the impacts of natural disasters at a given site. Simple
measures such as two means of ingress/ egress from a devel-
opment, reasonable shoreline setbacks for coastal develop-
ment, adequate communications infrastructure, appropriate
material selections for buildings and infrastructure, and code
compliant construction can greatly enhance the built envi-
ronment's response to natural hazards and the protection of
communities both in terms of population and property loss.
2.5.8. Sustainability Practices
With an understanding of environmental regulations and
design considerations required, it is important to explore sus-
tainability practices which are becoming more popular and
regulated in today's market. The "green building" movement
has created a new industry. Cities as large as Chicago are
embracing sustainability by developing green roof projects
and implementing ordinances and special economic incen-
tives that encourage public-private partnerships. Tax incre-
ment financing (TIF) districts, for example, utilize property
taxes within a specific area to fund community improvement
projects and encourage development within that district.
Denver, Colorado, has a green roof requirement for all
projects that submit a site development plan for any new
building with a gross floor area of 25,000 square feet or more
or a building addition that causes the building to become
25,000 square feet or more, and any existing building over
25,000 square feet that is seeking to do a roof replacement.
The required coverage of available roof space is determined
by the gross floor area of the building.
The City of San Francisco, California, created the Cen-
tral SoMa Eco-District to encourage innovative district-scale
sustainable development projects. "An Eco-District calls for
a new model of public-private partnership that emphasizes
district-scale organization between the City, utility providers
and community stakeholders and the rigorous application
of integrated sustainability performance metrics to guide
investments in the areas of building development, infra-
structure and community action and program delivery:' This
ecodistrict compliments the Central SoMa Area Plan (also
known as a sector plan as described in Chapter 2.2). The
2.5 ■ ENVIRONMENTAL, GEOTECHNICAL, AND HISTORICAL CONSIDERATIONS 95
Central SoMa Area Plan proposes a development impact-fee
program (as described in Chapter 2.4) that will fund ecodis-
trict projects. This will achieve the vision and goals of the
city and the local residents.
The value of building green can be highlighted by finan-
cial savings and benefits of new technologies. Incentives
from municipalities are continuing to spur the development
of green buildings and the expansion of urban open spaces.
Other jurisdictions, such as Montgomery County, Maryland,
and Arlington County, Virginia, are developing regulations
to make green building certification a requirement for pro-
posed developments.
Dallas, Texas, also has comprehensive green building
standards for both new residential and commercial con-
struction. These standards are regulated by the City of Dallas
Green Ordinance. "Dallas recognizes the fundamental link
between the building code's intent of 'safeguarding the public
health, safety and general welfare: and preserving a safe and
healthy natural environment. Incorporating sustainability
through energy efficiency, water conservation and resource
reuse and reduction translates into a stronger economy and
area growth:'
As part of the green legislation being considered and
implemented by governing bodies, some are considering
issues closely related to climate change, such as reduction of
carbon emissions though thoughtful planning and site selec-
tion, and through new technologies as they come into the
marketplace.
2.5.9. Green Building Rating Programs
As jurisdictions continue to adopt green building ordinances
or to "strongly recommend" green building practices through
their comprehensive plans, zoning ordinances, and other
regulatory language, it is often important for the site engi-
neer to consider sustainability practices early in the design
process. It may also be important to resolve or design open
space and landscaping as a separate infrastructure compo-
nent subject to the same level of increasing detail afforded to
roads, utilities, and grading.
Several organizations currently provide green building rat-
ing programs with design guidelines and third party evalua-
tion/ certification of designs in accordance with their respective
criteria or rating system. These organizations include
• United States Green Building Council (USGBC)-
Leadership in Energy and Environmental Design
(LEED) Rating Systems
• National Association of Homebuilders (NAHB)-
Model Green Home Building Guidelines
• Green Building Initiative (GBI)-Green Globes
• National Institute of Building Sciences-Whole
Building Design Guide
• Enterprise Community Partners-Green
Communities
9& i@U4fi iiffll@i@IH
• Building Research Establishment (BRE) Limited-
Environmental Assessment Method (BREEAM)
• Institute for Sustainable Infrastructure
(ISI)-Envision
Many of the green building rating systems include open
space preservation and restoration as a component part of
the site development section. First and foremost, through
avoidance, the rating systems encourage selecting a site or
placing site development outside of environmentally sensi-
tive areas.
This combination of credits related to open space and nat-
ural resource preservation emphasizes the front-end impor-
tance of decisions related to site selection and appropriate
consideration of environmental and natural resources from
the start of the project throughout the design and develop-
ment process. These credits are intended to be attainable for
any site whether rural, suburban, or urban.
Selection of the appropriate design guidelines and rating
system is dependent upon the type of development proposed,
jurisdictional requirements, and developer priorities. The site
engineer should be familiar with the various third party cer-
tifying entities and their rating systems or guidelines in order
to advise clients appropriately for their specific application.
The USGBC-LEED program is a common green build-
ing rating system. The USGBC offers several different green
building rating systems covering nearly every market sector
of the land development industry.
Each site and building is different and the green building
guidelines, in their various forms, seek to accommodate this
uniqueness while still ultimately producing a sustainable proj-
ect. To obtain LEED certification, a development must obtain
a minimum amount of points or credits as prescribed in the
applicable rating system, in addition to all prerequisites. Addi-
tional levels of certification, such as silver, gold and platinum,
corresponding to increasing levels of sustainability or envi-
ronmentally friendly design, can be achieved by accumulating
credits above the minimum necessary for certification.
Many projects now have one, if not more, LEED Accred-
ited Professional (LEED AP) as members of the design team
to facilitate a more integrated design process including
educating team members as to the credit requirements and
documenting the design efforts in a manner conducive to
certifying the project.
Knowing the established criteria, a determination
should be made by the design team, with input from the
client/developer, as to the desired green building design
goals for the project. Care should then be taken during
preparation of the engineering feasibility study and envi-
ronmental impact study to include evaluation of the char-
acteristics of the site that do or do not comply with the
criteria of the applicable rating system and the established
goals (Table 2.SA).
By considering the applicable rating system criteria dur-
ing the initial stages of site planning, such as the due dili-
gence stage, projects can more easily reach the desired green
building goals by simply selecting sites that meet all or some
of the existing location and condition criteria previously dis-
cussed. The design team will also have the opportunity early
on to determine if some of the noncompliant characteristics
of the selected site can be overcome by incorporating tech-
niques for sustainable development into the project design,
thereby gaining credits necessary for achieving the preferred
level of certification.

TABLE 2. 5 A Integrating Sustainability into the Land Development Design Process

DESIGN PHASE ACTION

Feasibility & Site Analysis Establish Goals, Identify Constraints and Opportunities
Concept Design Think Big, Innovate and Develop Sustainable Design Strategies
Schematic Design Refine Goals, lmplementDesign Strategies, Build Baseline Models
Final Design Integrate and Detail Design Strategies in Construction Plans and Specifications
Plan Approval/Permitting Submitfor Certification, Revise as necessary
Construction Follow Through and Coordinate with contractor
Postconstruction Monitor and Maintain Sustainable Systems; Train/Educate Users
 2.5 ■ ENVIRONMENTAL, GEOTECHNICAL, AND HISTORICAL CONSIDERATIONS 97

POINCIANA PARKWAY
Case Study: In 2017, the Osceola County Expressway Authority (OCX) and the residents of Poinciana, Florida, cel-
ebrated the completion of the new, IO-mile-long Poinciana Parkway. The parkway is a limited-access toll road that
connects north-central Osceola County to Polk County, and enables the community of more than 50,000 to link to 1-4,
which runs west to Tampa, northeast through Orlando, and ultimately to Daytona Beach. The parkway has become part
of a vital roadway network for residents commuting to Orlando or visiting the Walt Disney World Resort, and will serve
as Poinciana's primary hurricane evacuation route while also improving emergency-response services to the community.

LIFE IN THE SMALL CITY

First developed in the 1960s, Poinciana lies south of Orlando in Osceola County. The community is located on an "island"
surrounded by Reedy Creek Swamp and other wetlands. Over the past 20 years, Poinciana has been among Florida's
fastest-growing areas, and the increased population had resulted in one of the worst small-city commutes in the nation.
The developer originally planned to construct a parkway in the 1990s, but the project was postponed due to a lack of
funding and a number of environmental challenges. In 2010, the Florida legislature created the OCX with the purpose of
developing a limited-access toll road network in Osceola County. The Poinciana Parkway would serve as the first critical
link in the regional network. OCX selected the design-build team of Dewberry and Jr. Davis Construction/United Infra-
structure Group-Poinciana Parkway LLC-to design and construct the parkway. The team divided the project into
four segments, which allowed the parkway to open in phases. This approach enabled OCX to generate revenue earlier by
collecting tolls on the completed segments as they opened.
The parkway extends from Cypress Parkway northwest to U.S. 17/92, with at-grade intersections at each terminus. The
alignment traverses the Poinciana development with grade-separated interchanges at Koa Street and Marigold Ave-
nue, both important collector roads providing access to the parkway. Construction included three bridge structures: a
62-span, 6169-ft-long low-level bridge through the Reedy Creek Mitigation Bank and two single-span roadway over-
passes. The final design allows for a future six-lane divided roadway, with the initial project constructing two lanes.
OCX had two main objectives that led to the decision to use the design-build delivery method. First, the authority
sought to complete the project as quickly as possible in order to alleviate traffic issues, improve access to the Poinciana
development, and begin to capture revenue from the tolls as soon as possible-helping to fund future projects and vali-
date the authority's long-termmaster plan. Second, OCX placed a priority on addressing environmental challenges in a
responsible manner, includingthe complicated crossing through the mitigation bank.
ga i@U4fi iiffll@i@IH

PROTECTING THE ECOSYSTEM

In 2013, shortly before design work began on the parkway, 3520 acres of Reedy Creek Swamp were reclaimed as a miti-
gation bank. The preserve is a rich and diverse natural habitat consisting of woods, low-lying wetlands, swamps and
marshes that provide a home to many species such as bears, panthers and alligators; a wide variety of fish and birds,
including a blue heron rookery; and native flora ranging from old-growth cypresses to butterfly orchids. Reedy Creek
also serves as one of the northernmost sources of water for the Everglades. The swamp is a popular destination for nature
lovers who enjoy the visitor center and the network of trails in the area.
Dewberry addressed many environmental concerns during the design, permitting and construction process for the
parkway. The team assessed a variety of aspects including the roadways, bridges, drainage, utilities and fiber networks to
determine the extent of impacts on the local ecosystem, including the swamp. While an earlier proposal had suggested
two 2000-ft-long bridges separated by a long earthen causeway through the swamp, Dewberry engineers proposed a
single 6169-ft-long bridge over the environmentally sensitive area, eliminating the earthen plug. This approach maxi-
mized hydraulic flows and expanded the wildlife corridor.
The bridge is arched to provide a minimum 8-ft and maximum 24-ft clearance over the swamp to allow wildlife to walk
or swim underneath. The arched profile facilitates the collection of stormwater runoff from the roadway into a scupper
system that discharges into stormwater treatment ponds at both ends, eliminating direct discharge into the sensitive
wetlands.
 2.5 ■ ENVIRONMENTAL, GEOTECHNICAL, AND HISTORICAL CONSIDERATIONS 99

The Jr. Davis Construction/United infrastructure team, with an extensive background in local projects and a strong
working knowledge of soil and drainage conditions in the area, also focused on minimizing environmental disturbances
during construction. One critical measure involved the use oflow-pressure segmented barges to facilitate access as the
bridge was constructed over the swamp. The barges served as material staging platforms, equipment work platforms, and
marsh mats for the areas of soft soils and inadequate flotation.
The use of the barges enabled the team to remove existing trees from the ground up, while preserving the natural vegeta-
tive root mat, which allowed for rapid regrowth and added stability to the work site. Rather than sinking into the root
mat and wet soil, the sectional barges floated when necessary, barely leaving a footprint behind.
The bridge was constructed using driven concrete piles with precast beams. The choice of precast allowed for longer,
nearly 100-ft spans, reducing the number of bents in the swamp. The spans were still short enough to allow for easy
delivery and were light enough to handle from the cranes set on the barges. The superstructure required 7700 cu yd
of concrete, with an additional 1000 cu yd for the substructure. The abutments and interior bents were constructed
with piles driven from the ground topped by cast-in-place concrete cap beams. The girders were Florida-I 45 beams at
45 inches deep and 99.25 feet long.
Numerous agencies and stakeholders were involved in the effort, with Dewberry coordinating with OCX as well as
the Florida Department of Transportation-Turnpike Enterprise, the Central Florida Expressway Authority, the Florida
Department of Transportation-District One, the Florida Department of Environmental Protection, the U.S. Army Corps
of Engineers, the South Florida Water Management District, Osceola County, Polk County, the Reedy Creek Mitigation
Bank and numerous utility companies. The first phase opened in April 2016 and the entire $68.8 million project was
completed in January 2017-3 months ahead of schedule.
Contribution by Kevin Knudsen, P.E.
Featured in the September 2017 issue ofRoad&Bridges Magazine
100 i@UH:U iirttl@i@IH
PART B-GEOTECHNICAL CONSIDERATIONS
This part focuses on subsurface conditions of a site. The
geotechnical considerations can have a significant influence
on the cost to develop a site. The presence of poor soils or
shallow rock may make the site cost-prohibitive to develop.
During the pre-design phase of a project it is likely that geo-
technical information will come from public sources and will
be supplemented with site-specific information during later
phases of the project.
Many public agencies require subsurface information
before the project is approved. Early investigations can
provide information to the development team on potential
issues. The extent of required information collected depends
on the nature of the subsurface conditions and the project.
Where foundation and subsurface conditions are relatively
straight forward, the information may be adequately covered
by a short soils report. For complex projects with unusual
or difficult conditions (problem soils), the required informa-
tion may be quite extensive. Local ordinances will generally
dictate the type of information needed.
All investigations should begin by researching available
information, followed by a thorough surface reconnaissance.
Available information that may be helpful include published
geologic reports, NRCS county soil reports, stereo air photos
used for photogrammetric mapping, flood maps, hydrology
maps, information and experience at nearby sites, etc. Based
on an assessment of this information, a subsurface investi-
gation program can be planned to obtain adequate data for
analysis and design of the project. Specific objectives of the
investigation normally include
• Location and depth of soil layers, bedrock and ground-
water within the depths of significant stress increases
expected under a proposed structure; as well as other
features that may affect the project, such as subsurface
cavities, hazardous waste, and contaminated soil
• Samples of all significant materials for visual exami-
nation and classification or laboratory testing if
necessary
• Field data to determine the density or compactness
of all materials
• Any other special requirements based on project
plans or subsurface conditions
Due to the inherent uncertainties of soil and rock behavior, the
detail of the subsurface investigation is carried out to a level
that balances both design requirements and cost with risk.
The type of project may dictate the extent of the geotechnical
report and when it is initiated. For development projects such
as commercial and retail projects, the subsurface investiga-
tion is begun early in the planning phase. Whereas, residential
development (lot and street layout) may lend itself to use of
publicly available soil survey to provide sufficient prelimi-
nary information to begin the project and defer a thorough
subsurface investigation until the specific site details are final-
ized and the scope of the investigation refined.
2.5.1 o. Soils
Decisions for the planning and design of a project depend
highly on subsurface conditions at the site. Not only is geo-
logic and soil information necessary for design, but informa-
tion on what is contained below the surface affects various
project decisions as well. The subsurface investigation aids
the development team and helps the developer in making
economic and financial decisions for the project. A descrip-
tion of geotechnical considerations is included in Part B of
this subchapter. Knowledge of subsurface conditions, such as
contaminated groundwater, presence of hazardous materials
(natural or manufactured) and extremely poor soil and rock
conditions at the early planning stages can save the developer
time and money. For example, conditions may be so egre-
gious that the developer may elect to abandon the project at
this site in favor of another where development costs may be
more predictable or feasible. Although performing the sub-
surface exploration may be an investment up front (subsur-
face exploration costs can be around 0.5% to 1.0% of the total
construction costs), the long-term savings often warrant such
an expense.
From an engineering perspective, subsurface soils are
the organic and inorganic materials of the earth's surface
that are capable of being displaced by shovel or nominal
mechanical efforts and may provide the foundation and
support of the proposed project. Soil is an integral part of
the design analysis and construction activities and is often
used as a foundation in its natural undisturbed state or as
a construction material for fill, backfill, and embankments.
The behavior of soil may vary depending on the situation.
Many structural failures have been attributed to not prop-
erly addressing subsurface conditions or predicting soil
behavior. The site engineer should be concerned with what
types of soils lie below the ground surface and their asso-
ciated properties and characteristics including strength,
compressibility, permeability, grain size distribution, and
moisture content.
Besides those methods which describe and indicate soil
properties and parameters for engineering purposes, other
methods of describing, categorizing, and identifying soils
based on the interests of other professions are available to
assist the engineer. The soil scientist (agronomist) is inter-
ested in the origin, distribution, and classification of soil for
agricultural purposes. Geology is the study of the origin, his-
tory, and structure of the earth with a focus on rock and rock
formations. While the geologist typically considers soil as the
weathering product of rocks, the agronomist's interest in soil
is obviously related to agriculture. Soils and their properties
are often described by terms specific to these two disciplines,
and it is helpful if the engineer can relate their terms to engi-
neering interests. The geotechnical engineer is looking at the
strength, compressibility, and permeability of the soils at the
site in order to make assessments about the soils stability,

settlement, and drainage characteristics, as related to the
proposed construction.
Strength and compressibility of the soils are the primary
characteristics that are important in foundations of struc-
tures (buildings, retaining walls, and headwalls). Permeabil-
ity and strength are soil characteristics that are important
when designing stormwater management facilities, engi-
neered slopes, and changing the topography at the site. The
strength characteristics of soils are important to predict slope
behavior and prevent slope failures. Erodability is another
soil characteristic that is important for evaluation of erosion
potential and determination of soil erosion control measures.
Buildings founded on weak soils can result in catastrophic
structural failures. Buildings founded on compressible soils
can experience excessive settlement resulting in expensive
repairs. The success of infiltration facilities, common in low
impact development approaches to site design, hinges on the
permeability of underlying soil stratas. A thorough under-
standing of soil properties-strength, compressibility, and
permeability-will allow the land development engineer to
accurately assess the feasibility of various design options and
ultimately, to accurately design, detail, and specify site fea -
tures. For more information about soil properties and these
characteristics refer to Chapter 7.3.
Geotechnical engineering is the branch of civil engi-
neering that involves the design and use of soil and rock in
engineered construction; it is involved in all types of con-
struction in, on, or of the earth. With specific knowledge of
the soil properties of a site, the geotechnical engineer can
design soil support and fill projects, while predicting their
behavior comparable to other engineering materials such as
concrete or steel. While some projects may require careful
consideration of rock and groundwater conditions, the geo-
technical engineer also needs to understand the geology,
hydrology, and local problem soils in the vicinity of the site.
Typically the developer will hire a geotechnical engineer that
has experience with similar developments, is familiar with
the project region, and accustomed to the requirements of
the permitting jurisdiction.
Prior to developing a site, the developer will need to be
familiar with conditions both above and below the surface of
the site. Will it be necessary to cut or fill the site, or import a
significant amount of soil to grade the site for the proposed
project? If the soils below the surface are not investigated sig-
nificantly and foundations designed properly, excessive and
damaging differential settlements may occur.
Soil Classification. From an engineering perspective, the
primary interest in soil is as a construction medium; that is,
whether a soil will be effective as a foundation base, provide a
stable embankment or cut slope, or serve as adequate backfill
material. The effectiveness of a soil for these purposes may
initially be determined by its classification using properties
such as particle size distribution and plasticity.
Particle size distribution, that is the gradation of a soil sam -
ple, is a form of textural classification. In the textural sense soil
is classed as gravel, sand, silt and clay. These textural categories
2.5 ■ ENVIRONMENTAL, GEOTECHNICAL, AND HISTORICAL CONSIDERATIONS 101
100
90 10
30
90
L-----'"---"-"'----_::,"-----"'-----"'--"'---'-'------'-'------'>l_----"100
80 70 60 50 40 30 20 1 0
PERCENT SAND
FIG uRE 2. 5 E Soil textural triangle.
separate the soil according to grain size. Although these tex-
tural terms are commonly used by various organizations and
agencies, the size limits for each particle class vary. Using the
size limits of the U.S. Department of Agriculture (USDA)
(Sand: 2.0 to 0.05 mm, silt: 0.05 to 0.002 mm, clay:
<0.002 mm), Figure 2.5E can be used to classify the soil once
the relative weight (in percent) of each constituent is known.
Textural classification relates the physical properties of
soils, particle size, shape, and soil composition. The particle
size distribution method is most effective for categorizing
cohesionless (i.e., coarse grained) soils whereas cohesive soil
(e.g., clays) characteristics are best described by properties
related to their plasticity.
There are several standardized soil classification meth-
odologies commonly in use today that take into account
both the particle size distribution and plasticity, including
the unified soil classification (USC) system, the American
Association of State Highway and Transportation Officials
(AASHTO) System for roads, the Natural Resource Con-
servation Service system, and others (Table 2.5B shows dif-
ferences in particle size limits for several selected agencies).
Geotechnical engineers will typically use the USC classifi-
cation in describing soils for land development purposes.
More information about the USC system is included in
Chapter 7.3.
Although soil classification provides a description for
evaluating how the soil will likely behave, based on its
engineering properties, this alone cannot be the sole crite-
rion for measuring the soil's behavior. A detailed investiga-
tion of the soil, using subsurface exploration methods and
other detailed soil investigations and laboratory tests, as
appropriate, is needed to supplement the predicted behavior
based on generalized classification. Specific laboratory and
field tests provide reasonable assurance of the anticipated
performance of the soil as a construction medium.
102 i@UH:U iirttl@i@IH
TAB LE 2 . 5 B Particle-Size Limits for Selected Agencies

American Society
Colloids Clay Silt Fine Sand Coarse Gravel
for Testing Materials
Sand

American Association
ai E-QJ
::,
QJ -
(/) QJ
of State Highway and Colloids Clay Silt Fine Sand Coarse QJ
C > -- ca > ~ > Boulders
·-
LL ca
-o ~ ~
Transportation Officials Sand ~ QJ ~
(!) '.:2 (!) u<!J
Soil Classification

U.S. Department
QJ
"<1l
C:
OJ
!!! QJ -
iI -g QJ -0 § -0 Cf)
0<1l "C:
(/) QJ
~ >
of Agriculture Clay Silt C C
·- ca
·- C
-o ca OJ u Fine ca ca Cobbles
~ ca LL (/) !!!
<1l 0 ~

Soil Classification QJ (/)

~(/) <1l ?:-Cf) Gravel u<!J
> u
0 OJ
>

Civil Aeronautics
Administration Clay Silt Fine Sand Coarse Sand Gravel
Soil Classification

Unified Soil Classification "

C:
<1l
(Corps of Engineers, Medium
Cf)
Fine Coarse
Fines (silt or clay) Fine Sand OJ Cobbles
Department of the Army, and Sand !!! Gravel Gravel
<1l
0
Bureau of Reclamation) u

0 0 0
f'- 0 -st O O 0 0
Sieve Size C\J(\J..- co -.:::t C\J

C\J C')-sf" <OC:00 000000 00000

o 00 oo.....: N Ct) -.::i- <Ocri...... C\J (")V co co

Particle Size, mm

(Reprinted with permission from Fang, Hsai-Yang, ed. 1991. Foundation Engineering Handbook, 2nd ed., New York: Van Nostrand Reinhold.)

Types of Soil and Other Subsurface Materials. Gravels
and sands, silts and clays, bedrock, and limestone are intro-
duced within this section.
Gravels and Sands. Gravels and sands are products of
weathered rock. Gravel ranges from a maximum size of
3 inches (7.62 cm) to 0.2 inches (4.76 mm). Crushed stone,
bank-run gravel or pea gravel are just some of the names
given to particular types of gravel, depending on origin and
gradation. If the gravel is dense and composed of sound rock
fragments, it can provide a good support for the building
foundation. However, if the rock fragments are weak, loose,
very rounded or overlie softer layers, they may not be suit-
able for foundations without ground improvement.
Sand materials are smaller than gravel ranging from 0.074
to 4.76 mm by the USC system. Sand can be described in
three sizes: fine from 0.074 to 0.42 mm; medium from 0.42
to 2 mm; and coarse from 2 to 4.76 mm. Both gravel and
sand are described as cohesionless materials. Sands and grav-
els are also described in relative density terms as very loose,
medium dense, or very dense. Sands and gravels together
can make excellent foundation materials if sufficiently dense
or compact. However, loose or poorly compacted sands
may yield excessive settlement. Depending on the situation,
sands by themselves may not be suitable for foundations,
embankments, and dams. Where subject to scour, the sand
may erode beneath the foundation or from an embankment,
resulting in failure of the structure. Caution is necessary
when excavating in sands and gravels as these materials are
cohesionless and their slopes are not stable. Numerous utility
trenches have failed resulting in significant injury or death
to construction workers. High groundwater can particularly
affect the stability of sandy subsoils during excavation creat-
ing a running sand or a quick condition causing rapid flow
or collapse of the sand stratum.
Silts and Clays. Silts and clays are described as fine-grained
soils; both will pass through a very fine sieve (200 openings
per inch also known as a number 200 sieve). Both silts and
clays are classified by particle size and plasticity. Plasticity
and consistency are measured by ASTM D423 (liquid limit)
and D424 (plastic limits). The liquid limit (LL) and plastic
limit (PL) are boundary soil moisture contents wherein the
soil begins to behave as a viscous liquid or a moldable plas-
tic material, respectively. When the clay's moisture content is
below the PL, the clay behaves like a brittle solid. When the
moisture content is between the PL and LL, the clay behaves
like a moldable plastic material, and when it is above the LL
the clay behaves like a viscous liquid. Silts and clays can per-
form satisfactorily or very poorly under foundation loads,
depending on their moisture contents. Therefore because of
this sensitivity to moisture, when bearing foundations are
planned on silts or clays, it is critical during construction to
prevent these soils from becoming wet and absorbing too
 2.5 ■ ENVIRONMENTAL, GEOTECHNICAL, AND HISTORICAL CONSIDERATIONS 103

much moisture. Silts and clays are also described in consis- Limestone. Limestone and dolomite contain substantial
tency terms as being very soft, soft, firm, stiff, very stiff, or amounts of carbonate minerals (C0 3). Gypsum and anhy-
hard. Silt particle size is barely perceptible to the human eye; drite are salts composed of calcium sulfate (CaS0 4). All of
it is smaller, but still much coarser than clay. Clay is much these sedimentary minerals are highly soluble in water and,
finer that silt, with the primary method of determining the consequently, the presence and development of subsur-
difference between clay and silt conducted by timing settle- face cavities is a consideration, particularly where there is
ment of the particles in a column of water (hydrometer) in groundwater movement through joints and fractures in the
the laboratory. carbonate tock. Marl and chalk are other similar types of
Bedrock. Bedrock is solid material comprising unweath- materials typically found near shorelines.
ered rock typically lying beneath surface deposits of soil such The surface collapse of soil overlying a subsurface cavity
as sand, clay, or gravel. The three classes of rock based on is usually referred to as a sinkhole, particularly in limestone
geologic origin are igneous, sedimentary, and metamorphic. and dolomite terrain. Where sinkholes are abundant the
Igneous rocks are formed by solidification of molten mate- terrain is known as karst topography. Open solution voids
rial. They are generally uniform in structure and lack strati- in the bedrock allow the erosion of overlying soil into the
fication and cleavage planes. Examples of igneous rock are void by groundwater movement. This action, in turn, forms
granite, diorite, gabbro, basalt, and diabase. a soil cavity at the bedrock surface, which will continue to
Sedimentary rocks are products of weathering and dis- enlarge in soil above the bedrock surface until the soil can
integration of rock, then erosion and sedimentation, chiefly no longer support itself and it collapses, forming a sink-
by water. These rocks are formed by mechanical cementa- hole at the ground surface. These conditions emphasize the
tion, chemical precipitation, and pressure. Examples of importance of positive surface and ground water control in
sedimentary rock are sandstone, limestone, dolomite, shale, karst regions. An example of surface collapse and prepara-
and chert. Sedimentary rocks typically have rounded grains, tion of the bedrock surface for remedial measures is shown
stratifications, inclination of bedding planes, and abrupt in Figure 2.SF.
color changes between layers.
Metamorphic rock is formed by the alteration of igneous
or sedimentary rocks by heat and pressure. Typical meta -
morphic rock includes quartzite, marble, slate, gneiss, and
schist. Some features include the ease with which parallel
layers break into slabs. In general, harder and more sound
rock is less susceptible to scour or crushing.
Usually natural bedrock is regarded as the best bear-
ing material for structural foundations; however, there are
conditions, such as sinkholes, close joints and fractures,
weathering and soil-filled seams, which can present prob-
lems. Bridge foundation failures have occurred due to scour
of rock or rock-like materials. Building foundation failures
have occurred due to sinkholes. Slope failures have occurred
due to unfavorable orientation of clay filled joints within an
(a)
otherwise sound rock.
The ultimate bearing pressure of rocks can be taken con-
servatively as the average compression strength of uncon -
fined rock core samples. Commonly, the core samples
obtained during the subsurface investigation reveal that the
rock across the site has imperfections and fractures which
have a significant influence on rock behavior when external
loads are applied. The spacing of discontinuities is an indica-
tion of overall rock quality. The allowable bearing pressure of
rock varies depending on the quality of the rock and can be
arrived at by applying a factor of safety to the ultimate bearing
pressure appropriate to the quality of the rock. For example,
for a good quality rock with widely spaced joints and frac-
tures and no soil seams the factor of safety may be as low as
2 or 3. For poor quality rock with very close joints, but
no soil seams, the factor of safety may be as high as 10 or (b)
more. Rocks with soil seams or open joints require special FIG uRE 2. 5 F (a) Surface collapse, (b) preparing bedrock for reme-
considerations. dial measures.
104 i@UH:U iirttl@i@IH
Floridan Aquifer System
FIG uRE 2. 5 G Example of the water cycle from a sink hole
through an aquifer to a spring.
Sinkholes (Figure 2.SG) can occur where the rock below
the land surface is limestone, carbonate rock, or salt beds.
These rocks can be naturally dissolved by groundwater cir-
culating through them. This process can dissolve the rock
creating, voids, spaces, and caverns underground. The
overburden soil usually remains intact until the under-
ground spaces grow too large and the surrounding rock
weakens. If there is not enough support for the overbur-
den above the spaces then a sudden dramatic failure of the
land surface can occur. These collapses can occur without
warning and, in urban developed areas, can have signifi-
cant consequences.
The most damage from sinkholes tends to occur in Flor-
ida, Texas, Alabama, Missouri, Kentucky, Tennessee, and
Pennsylvania. See Figure 2.SH.
Problem Soils. Certain types of soils require special atten-
tion because of their poor or irregular performance char-
acteristics. The areal extent of such soils varies and specific
D Evaporite Rocks - Salt and Gypsum
[IT] Karst from Evaporite Rock
D Karst from Carbonate Rock
FIG uRE 2. 5 H Rock formation distribution in the United States
(modified from Davies and Legrand, 1972).
problem soils are indigenous to selected areas of the country.
The site may contain several isolated pockets of such soils
or may be a major deposit area. Identification and location
of problem soils early in the design process alleviates costly
delays for redesign or unanticipated costs for additional
excavation and reinforced foundation design. Addition-
ally, provisions in local ordinances may require additional
explorations, testing, and special designs. In extreme cases,
the provisions may even preclude certain design elements
of the project.
Expansive clays, frost susceptible soils, metastable soils,
organic soils, dispersive clays, and normally consolidated
clays, overconsolidated clays, and underconsolidated clays
are introduced in this section.
Expansive Clays. Certain clays undergo severe volume
changes without any removal or application of external
loads. Such shrink and swell phenomena are the result of
changing moisture conditions. Soils that are most suscepti-
ble to such moisture induced volume changes are commonly
included in problem soils categories. Typically, these soils
have a high plasticity index (PI is the mathematical differ-
ence between liquid limit and plastic limit) and are predomi-
nant in the south and southwest United States. Local names
for such soils are gumbo, adobe, black cotton, black jack,
and others. Swelling of these soils can create high stresses on
foundations, walls, and slabs, even to the extent of distress-
ing and cracking basement walls and lifting light structures.
Environmental factors greatly affect the behavior of expan-
sive soils. Such factors as surrounding and underlying soils,
hydrology, slope angle and length, and vegetation can influ-
ence the behavior of these expansive soils.
Damage to structures on expansive soils may not become
evident for years after construction is completed. Shrinking of
the soil during dry periods causes gaps to form under foot-
ings and foundations thereby reducing the bearing support of
the soil. This results in uneven structure settlement causing
cracks in the structure. When the soil becomes moist again,
the expanding soil causes the foundation to rebound to near
original position. After several cycles of shrink and swell,
the structure does not return to its full original position; the
building deteriorates further, and damage becomes apparent.
Conversely, damage can be caused by excessive heave of the
structure: if the foundation floor slabs are constructed on dry
expansive clay, that is, during drought, the clay may later take
on moisture during a wet period or as a result ofleakage from
a broken water or sewer line resulting in significant swelling.
Buildings do not have to be directly situated on expan-
sive soils to develop problems. Experience in Fairfax County,
Virginia, shows that some houses have settlement problems
with footings located on soils 3 feet above the expansive soil
strata (Figure 2.51).
Using expansive soils as backfill around basement walls is
not a recommended practice. Buildup of excessive pressures
against the wall is caused after the soil settles and moisture
is absorbed (Figure 2.SJ). During dry periods, additional
 2.5 ■ ENVIRONMENTAL, GEOTECHNICAL, AND HISTORICAL CONSIDERATIONS 105

FIG uRE 2. 51 Expansive soils underlying stable soil.

soil particles fall into the cracks of the soil. When the soil
expands again, the added soil coupled with the volume
increase creates significant pressures on the wall. The high
pressures and cyclic stress loadings may eventually cause the
wall to fail. Besides being a disruption and financial burden
to the homeowner, the resulting wall movement can cause
damage to sewer, gas, and water pipes, and precipitate sec-
ondary damages from those failures.
As illustrated in Figure 2.SK, large trees in expansive soils
near buildings can exacerbate the damaging effects of shrink
and swell phenomena. During a dry period the tree's demand FIG uRE 2. 5 K Tree influence on expansive soils.
for water can cause localized shrinking of the soil. The
decrease in volume in a small area coupled with increased e Excavate expansive soils and replace with granular
volume elsewhere near the house creates a wavy, uneven
soil or other suitable material.
ground surface around the structure. Large elm, poplar, and
willow trees can contribute to such failure; however, small e Construct the foundation below the shrink-swell zone
diameter trees (e.g., less than 12 inches) and shallow roots or near the water table (which then requires other
result in significantly less failures. A recommendation is that special design considerations for foundation design).
trees be planted more than one-half their expected mature e Design the foundation so that the dead loads totally
height away from the foundation.
counteract the heave.
When construction cannot be avoided on expansive soils,
there are remedies that can mitigate damage potential, some e Use blankets of impervious soil adjacent to founda-
of which can be costly. Such remedies include (Brown, 1988): tions and grade the areas away from the foundations
to prevent surface water infiltration.
e Locate water and drainage lines to direct water
around and away from foundations.

Frost Susceptible Soils. Frost heave is a natural phenom-

enon and will occur wherever water in soil is exposed to sus-
Cycllcol Wetting And Drying Of
Cloy Bockflll Results In Swelllng tained freezing temperatures. When the water in the voids
Pressures That Moy Couse A Woll freezes, it expands about 10% which in itself does not cre-
To Deflect Inward And Eventually
High Shrink- ate frost heave problems. Soil heaving due to freezing occurs
Foll .
Swell Cloy In
Bockflll when saturated fine-grained soils, within the capillary zone,
above the water table form ice lenses or layers parallel to the
ground surface. Ground heaving increases as the ice lenses
accumulate and grow to thickness of several inches.
Frost heave is particularly damaging to pavement and
slabs due to the erratic distribution of the ice lenses, which
results in differential heaving and cracking. Figure 2.SL
FIGURE 2,5J Foundation wall damage from expansive soils. shows the damage caused by frost heave of a ground level
10& i@UH:U iirttl@i@IH
rise. Frost susceptible soils are typically nonuniform soils

,; l/,~,~
__ _
,
. ,· ~ containing more than 3% particles finer than 0.02 mm and
uniform soil if more than 10% is finer than 0.02 mm.
Prevention of frost heave in footings is most easily
achieved by following the recommendations of the local
building codes, for example, planning footings at depths

,
-1-=._,,
· '.
,. : -~,-;.=-7-
_~-.. ~,
'11
. .....
J=• --,', .. ,,,I
, '

i
',J . -
==_
'--:
1
'~
below the local frost line. Controlling heave in slabs, walls,
pavements, utilities, and other construction components can
be achieved by removing frost-susceptible soils throughout
the depth of frost penetration and replacing it with non-
1 frost-susceptible soils. Alternatively, for pavements and

' ' ·~J' 11 ~1 1' . .: ill1111!I

slabs a horizontal blanket of coarse-grained-free draining
sand, gravel, or crushed stone placed above the water level
' l·ij I'J I I I .1- • will break the capillary tension forces. Care should be taken

'•:~':· t~ -
11 when designing these blankets, as improper drainage or
1'\' I I I I inadequate thickness could aggravate rather than prevent
frost heave (Sowers, 1979, pg. 141). Figure 2.SN shows com-
I I mon frost penetration depths in the United States. Frost pen-
etration depth also effects most utility designs, specifically
water, sewer, and storm. Minimum cover over these pipes is
- I, typically greater than or equal to the frost penetration depth
to prevent freezing of the conveyed fluids.
Metastable Soils. Collapsing soils are those that decrease in

r volume when they become saturated or when subjected to

FIG uRE 2. 5 L Photo of frost heave damage to a concrete floor slab.
floor slab. Notice the deformed metal wall studs buckling
from the upward displacement of the ground floor slab. The
formation of ice lenses is illustrated in Figure 2.SM (Sowers,
1979, pg. 138).
Nonfrost susceptible soils are those that cannot readily
support the capillary rise of water and therefore prevent the
formation of ice lenses growth. These soils are typically "free
draining soils" like clean coarse sands, gravel, and crushed
stone.
Typically, silty soils and very fine sands are prone to
objectionable frost heave because they facilitate capillary
vibration after saturation. These are called metastable soils
and are associated with fine sand-silt-day materials deposited
along the base of mountains and along alluvial fan deposits
in arid and semiarid regions. Similar to expansive soils, col-
lapsing soils are generally stable until the moisture content
changes. Additional moisture disrupts the clay and water
bonding that maintains the soil structure in its metastable
condition, collapsing the soil into a more compact and stable
condition often resulting in rapid and severe settlement.
Loess, a soil found in sections of the Midwest and West-
ern United States, is the most common type of metastable
soil. Compacted loess is a satisfactory foundation material
for spread footings or mat foundations as long as the dry
unit weight is around 99 lb/ft3 or more. For shallow depos-
its (3 to 6 feet deep), compaction is necessary for the full
depth of the deposit or above the permanent water table
to ensure adequate performance. For loess with dry unit

-1s·c -1o·c -S"C -2"C o·c

- Ground surface
_ Scattered lenses
Soil
temperature
-----~ - --
Frost line
Soil unfrozen

-Ground water
Partial freezing- level of freezing
lenses forming temperature depression
FIG uRE 2. 5 M Formation of ice lenses.

FI Gu RE 2 . 5 N Max frost penetration.
weights less than 99 lb/ft3 pile foundations driven to under-
lying acceptable soil strata should be considered.
As previously mentioned, collapsing soils are typically
found in desert arid and semi-arid environments, alluvial
valleys, and playas. Gypsum and anhydrite are often pres-
ent in or around such soils. In general, these soils are very
moisture sensitive and exhibit greatly reduced strength when
wet. Differential settlement occurs if the soils are spread over
a wide area or the structure is partially founded on pockets
of metastable soils.
Organic Soils. Those soils that contain significant amounts
of decayed and decaying vegetation matter are organic soils.
These soils have very little cohesive or friction strength and are
highly compressible, even under light loads. Aside from high
initial compression settlement, organic soils can be expected
to compress further over very long periods of time due to con-
tinual decay of the organic constituent parts. Organic soils are
characteristic of estuarine, lacustrine, and floodplain areas.
Peat, a common organic soil, is fibrous, partially decom-
posed organic matter or a soil containing 80% or more
fibrous organic matter. Peat soils are dark brown or black,
loose and extremely compressible. Muskeg is a type of peat
indigenous to Northwest Canada and Alaska.
Dispersive Clays. Certain types of soils will go into suspen-
sion and become highly erodible in the presence of water
2.5 ■ ENVIRONMENTAL, GEOTECHNICAL, AND HISTORICAL CONSIDERATIONS 107
(flowing or static) despite being compacted. Such soils are
known as dispersive clays and often contain montmorillonite
or illite minerals. These dispersive clays are not uncommon
and are typically found in floodplain deposits, slope wash,
lake beds, and loess.
Normally Consolidated Clays, Overconsolidated Clays, and
Underconsolidated Clays. A soil is normally consolidated if
the maximum pressure on an element of soil mass is equal
to the present soil column pressure and the soil has fully
consolidated under that pressure. That is, the compression
state of the soil is due to the existing overburden weight.
Otherwise, if the soil mass compression behavior is due to
pressures larger than the present overburden pressure, the
soil is overconsolidated. Such overconsolidated clay strata
are common where significant removal of overburden has
occurred over time, such as from the retreat of glaciers, long-
term erosion, land movement, or lowering of the groundwa-
ter table. Underconsolidated soils are those soils that are still
consolidating under their own weight.
Normally consolidated clays are subject to additional
long-term settlements under loads greater than the exist-
ing overburden pressure. Such long-term settlements can be
reasonably estimated from tests performed on undisturbed
samples (ASTM D2435). Under consolidated soils are soils
that are still settling under the current overburden pressure.
100 i@UH:U iirttl@i@IH
2.5.11. Preliminary Investigation
Soil survey reports are often available from the Natural
Resources Conservation Service (NRCS). These reports
delineate and describe the soils of a locality generally within
the upper 6 feet. The very early NRCS soil reports were com-
piled mainly for agricultural purposes by the USDA. Current
reports now contain additional information usable in land
planning and engineering design. This information can be
accessed through the USDA's NRCS website. The reports
describe the pedological soil series found in the locality, pro-
vide a map showing their location, and provide tables that
equate the soil series to engineering index properties. Other
tables provide data relating the soil series to wildlife habitat,
building site development, sanitary facilities, construction
materials, water management, physical and chemical prop-
erties, and hydrologic characteristics.
The NRCS soil survey report is an invaluable docu-
ment for any development project. The information can be
used throughout various stages of the development's design
process. As part of the preliminary investigation, the soils
should be mapped onto a scaled work drawing of the site. An
example of a soils map is shown in Figure 2.50. Soils or other
subsurface conditions that are anticipated to present prob-
lems for the project (e.g., high water table, poor bearing sup-
port, highly erodible silt) are identified on the map. These
questionable areas need to be flagged in the field. The soils
FIG uRE 2. 5 0 Example of a soil map.
and subsurface conditions in the questionable areas can then
be confirmed with supplemental data such as existing geo-
technical reports for nearby projects or geotechnical inves-
tigations at the site. Although the NRCS soils report should
not be used as the sole source of subsurface conditions for
the project, it may allow the design of the project to proceed
expediently.
This preliminary soils investigation should be completed
during the desktop review. A preliminary subsurface explo-
ration program is sometimes advantageous to gather suffi-
cient data to perform preliminary calculations for size and
cost for foundations of major structures and to determine
if there are any subsurface conditions that will significantly
impact the project. The amount of data gathered in the
field during a preliminary program depends on the extent
of existing data and the need for additional information for
preliminary design purposes. Unanticipated field conditions
may warrant extra test pits, bore holes, and additional soil
samples. As details of the proposed project develop during
design, additional subsurface exploration may be required to
supplement the previously obtained data.
Field exploration programs should be carefully planned
and laid out to obtain adequate data for design of the proj-
ect. While no set rules apply to methodically laying out
exploration points that cover all conceivable conditions,
sound judgment should supersede any generalized rules-
of-thumb exploration techniques. The number and loca-
tion of the exploration points depend on the prevailing soil
conditions, the variability of the soils, and proposed project
details. Highly variable soil conditions warrant an increase
in the number of exploration points to determine the areal
extent of the various soil conditions, particularly, problem
soils that may be encountered. The increased number of
exploration points, however, does not necessarily require
an increase in the number of tests for determination of the
soil's physical properties and parameters. The number of
different types of soil within the stressed zone influences
the number and types of laboratory tests performed. The
following guidelines may be helpful in establishing accept-
able boring locations:
• Buildings: A boring at each corner and one in the
middle as a minimum. For larger building groups the
objective might be to locate and space the borings to
establish subsurface cross sections in perpendicular
directions.
• Dams: The objective is to establish geologic profiles
across the valley at the longitudinal axis, at the
downstream and upstream toes, and at all major
hydraulic structures such as spillways, outlet works,
and large culverts/conduits. Borings within the
impoundment area itself may help identify the
suitability of excavated soils for the dam embank-
ment and the seepage/infiltration characteristics of
the area.
 2.5 ■ ENVIRONMENTAL, GEOTECHNICAL, AND HISTORICAL CONSIDERATIONS 109

• Roads: Borings are located to obtain data for four dif-
ferent criteria:
o Shallow borings along the alignment are spaced
to identify and verify areas of similar soils as
anticipated from other data sources such as soil
maps and aerial photographs.
o Borings are taken in the vicinity of major
structures such as bridge abutments, piers, and
retaining walls. The number of borings for abut-
ments or piers typically is one or two. Borings
for retaining walls are placed to give longitudinal
and transverse subsurface profiles.
o Borings are taken in cut areas to determine the
difficulty of excavation and slope stability. These
borings are more closely spaced and deeper than
the roadway alignment borings.
o Borings for borrow areas provide data on the
suitability of the soil to be used as fill material.
Depending on the size of the projected borrow
area, a grid pattern with borings at 200- to 400-
foot intervals may suffice.
Again it is emphasized that the actual location of the borings
should depend on project details, anticipated site conditions,
and what is actually encountered during the drilling. The
preceding generalizations are only to provide initial guid-
ance. Other guidelines are presented in Table 2.SC.
2.5.12. Depth of Exploration
The depth of test borings depends on two factors; first, the
magnitude and distribution of the imposed loading and sec-
ond, the subsurface characteristics. Since the basic objectives
of any boring program are to determine a subsurface pro-
file and to identify engineering properties of the materials,

TA BLE 2 . 5 C Guidelines for Boring Layout

AREAS FOR INVESTIGATION BORING LAYOUT

New site of wide extent
Development of site on soft
compressible strata
Large structure with separate
closely spaced footings
Low-load warehouse building
and large area
Isolated rigid foundation,
2500-10,000 ft 2 in area
Isolated rigid foundation, less
than 2500 ft 2 in area
Major waterfront structures,
such as dry docks
Long bulkhead or wharf wall
Slope stability, deep cuts, high
embankments
Dams and water retention
structures
Space preliminary borings 200-500 ft apart so that area between any four borings includes
approximately 10% of total area. In detailed exploration, add borings to establish geological
sections at the most useful orientations.
Space borings 100-200 ft at possible building locations. Add intermediate borings when
building sites are determined.
Space borings approximately 50 ft in both directions, including borings at possible exterior
foundation walls at machinery or elevator pits, and to establish geologic sections at the most
useful orientations.
Minimum of four borings at corners plus intermediate borings at interior foundations suf-
ficient to define subsoil profile.
Minimum of three borings around perimeter. Add interior borings depending on initial results.
Minimum of two borings at opposite corners. Add more for erratic conditions.
If definite site is established, space borings generally not farther than 50 ft, adding interme-
diate borings at critical locations, such as deep pump-well, gate seat, tunnel, or culverts.
Preliminary borings on line of wall at 200-ft spacing. Add intermediate borings to decrease
spacing to 50 ft. Place certain intermediate borings inboard and outboard of wall line to
determine materials in scour zone at toe and in active wedge behind wall.
Provide three to five borings on line in the critical direction to provide geological section for
analysis. Number of geological sections depends on extent of stability problem. For an active
slide, place at least one boring upslope of sliding area.
Space preliminary borings approximately 200 ft over foundation area. Decrease spacing
on centerline to 100 ft by intermediate borings. Include borings at location of cutoff, critical
spots in abutment, spillway, and outlet works.
110 i@UH:U iirttl@i@IH
borings should extend to a depth that provides a reasonable
comfort level for design analysis purposes. As in selecting the
location of borings, this is a judgment decision to be made by
the geotechnical expert and the person designing the founda-
tion and structure. A suggested rule of thumb is "to carry bor-
ings to such depth that the net increase in soil stress under the
weight of the structure is less than 10% of the average load
of the structure, or less than 5% of the effective stress in the
soil at that depth, whichever gives the lesser depth, unless
bedrock or dense soils known to lie on rock are encountered
first"(American Society of Civil Engineers, 1976).
The following is presented as a guide for determining
boring depths:
• Extend borings through any unsuitable and questionable
material into firm stable soils that are capable of sustain-
ing the imposed loads without excessive settlement.
• Borings should extend a sufficient depth into any
apparent rock to ensure the existence of bedrock
rather than a boulder.
• In residential areas where houses have relatively
shallow foundations, the depth depends on the
nature of the subsurface soils. Typically the depth
of exploration will be 5 to 10 feet below the founda-
tion. In most cases borings will not be needed at
every dwelling location.
• For other buildings with substantial loadings, the
depth of exploration beneath the footing extends 1.5
to 2 times the least dimension of the structure. In the
case where the loading is carried on piles or caissons,
the exploration must extend a sufficient depth into a
competent bearing stratum to carry the imposed load-
ing, and to be sure that underlying weaker material is
not present.
• In borrow areas the depth of exploration extends to
the depth required to provide the amount of suitable
material needed.
Other guidelines are presented in Table 2.5D.

• Explorations along roads are carried to depths of

±5 feet below subgrade in areas oflight cut and
fill where no adverse subsurface conditions exist.
In areas of deep cuts and large embankments the
depth of exploration depends on the topography
and nature of the underlying soils.
2.5.13. Subsurface Investigation
A more in-depth subsurface exploration will be neces-
sary with the final design of a project and is performed by
geotechnical engineers. It is recommended that the devel-
oper contract separately with the geotechnical engineer to

TAB LE 2 . 5 D Guidelines for Boring Depths

AREAS FOR INVESTIGATION BORING LAYOUT

Large structure with separate
closely spaced footings
Isolated rigid foundations
Long bulkhead or wharf wall
Slope stability
Deep cuts
High embankments
Dams and water retention
structures
Extend to depth where increase in vertical stress for combined foundations is less than 10%
of effective overburden stress. Generally, all borings should extend no less than 30 ft below
lowest part of foundation unless rock is encountered at shallower depth.
Extend to depth where vertical stress decreases to 10% of bearing pressure. Generally,
all borings should extend no less than 30 ft below lowest part of foundation unless rock is
encountered at shallower depth.
Extend to depth below dredge line between ¾ and 1½ times unbalanced height of wall. Where
stratification indicates possible deep stability problem, selected borings should reach top of
hard stratum.
Extend to an elevation below active or potential failure surface and into hard stratum, or to a
depth for which failure is unlikely because of geometry of cross section.
Extend to depth between ¾ and 1 times base width of narrow cuts. Where cut is above
groundwater in stable materials, depth of 4-8 ft below base may suffice. Where base is below
groundwater, determine extent of pervious strata below base.
Extend to depth between ½ and 1¼ times horizontal length of side slope in relatively homoge-
neous foundation. Where soft strata are encountered, borings should reach hard materials.
Extend to depth of ½ base width of earth dams or 1-1 ½ times height of small concrete dams
in relatively homogeneous foundations. Borings may terminate after penetration of 10-20 ft in
hard and impervious stratum if continuity of this stratum is known from reconnaissance.

perform the work. Depending on the contract arrangements
between the developer and the site engineer, provisions may
be made so that the site engineer can contract directly with
the geotechnical engineer. On the other hand, the site engi-
neer may have geotechnical staff and resources capable of
doing the subsurface analysis. Additionally, and unless they
possess the ability to do so within their firm, quite often the
geotechnical engineer subcontracts with another company
to perform the drilling, test pits, and collection of samples,
under the engineer's direction.
2.5.14. Geotechnical Planning
Proper planning is one of the most important aspects of a
project. Many projects that have failed or had significant cost
overruns can be attributed to poor initial planning or insuf-
ficient coordination between the developer, design team,
and geotechnical engineer. Under preferable circumstances,
a project should be developed as follows:
• Prior to the field investigation and relatively early
in the development process (concept and schematic
design phase), a meeting between the developer, site
engineer, other members of the design team, and
the geotechnical engineer should be scheduled to
discuss relevant project information and establish
the scope for the field investigation. Talking points
in this meeting should include
o Size, shape, and exact location of the project.
o Review of a site plan showing existing topog-
raphy versus proposed topography; existing
structures and roads versus proposed struc-
tures and roads (including buildings, retaining
walls, headwalls, and bridges); and proposed
stormwater management facilities. The plan
should also show finished floor elevations of
both the existing and proposed structures. A
preliminary or schematic plan is acceptable for
this purpose.
o Type of structure, number of floors, basements,
structural loads (both wall and column loads),
column spacing and settlement limits.
o Major infrastructure needs including roads, site
drainage and stormwater management facilities
particularly if they are infiltration-based designs,
water and sewer mains, and any on-site wastewa-
ter treatment facilities.
o Determination of any required tree or sensitive
ecosystem (wetlands, resource protection areas)
preservation areas. Limits of clearing and grading
should be noted and discussed so as to avoid field
investigation in restricted areas.
o Assessment of cut and fill requirements.
2.5 ■ ENVIRONMENTAL, GEOTECHNICAL, AND HISTORICAL CONSIDERATIONS 111
2.5.15. Geotechnical Proposal
With the information in the prior (Geotechnical Planning)
section, the geotechnical engineer can develop a detailed
scope of work to investigate the site to determine the subsur-
face conditions. If the investigation is conducted early enough
in the development stage of the project, significant cost sav-
ings can be realized. Early investigation may indicate that the
development of the site-the proposed structures, founda-
tions, and earth work-may be more costly than is feasible.
The field investigation can include one or all of the fol-
lowing: test pits; soil/auger or wash borings with standard
penetration testing (SPT); cone penetrometer test (CPT);
and geophysical surveys. The geotechnical engineer's pro-
posal will typically include
• Time frame to complete the investigation (field work,
laboratory testing, and report preparation)
• Number and estimated depths of test borings and/ or
test pits that will be performed
• Type and number oflaboratory tests that can be
anticipated
• Estimated budget
It is important that the developer selects a geotechnical engi-
neer that is familiar with the geology, soils, and local prob-
lems in the project area.
The more information that the geotechnical engineer can
obtain from the design team and from the field, the better the
quality of the report and design recommendations that can
be provided. The following sections provide more detailed
information regarding the field investigation process.
2.5.16. The Soils Report
The geotechnical consultant provides the site engineer with
the geotechnical information in the form of a report. This
information impacts not only the preliminary design and lay-
out of the development, but also the final engineering design.
Some of this information may be used in developing part of
the specifications, which will impact the contractor's approach
to construction and his bid estimates. Data included in the
report will be of specific use for different aspects of design
and construction. For example, the land development engi-
neer is interested in permeability rates and groundwater ele-
vations in order to design SWM facilities, bearing capacity as
it relates to appropriate pavement sections, and slope stability
angles for purposes of detailed grading plans. From a con-
struction perspective, the earthwork contractor is concerned
about the difficulty of excavation, existence of bedrock, the
"rippability" of the rock, suitability of excavated material for
reuse, and the presence of groundwater. The foundation con-
tractor is interested in confirming that the soil is capable of
providing suitable bearing support, or learning if there will be
difficulty in driving piles or drilling shafts, as well as knowing
their expected depths.
112 i@UH:U iirttl@i@IH
The geotechnical report is typically organized as follows, • Details of the analysis used for design evaluations
but depending on the nature of the project some of the listed
• Conclusions and detailed design and construction
topics may not be included:
recommendations for critical project components
• Scope and purpose of the investigation including footings and foundations, pavement sec-
tions, retaining walls if required or as a suggested
• General description of the proposed project to
design alternative, and construction recommenda-
include column and wall load, settlement limits,
tions for such requirements as dewatering and slope
infrastructure improvements, and building charac-
stabilization
teristics, such as finished floor elevations
• Plan showing the locations of borings and proposed
• Geologic conditions of the site that describe the
building layout
physiographic region, the geologic formations, and
predominant soils • Logs (results) of the borings (see Figure 2.5P), as well
as subsurface profiles
• Drainage characteristics and facilities
• Photographs of the site at the time of field
• Methods and details of exploration program
investigation
• Types and results oflaboratory tests performed on
the samples • Other recommendations regarding the foundation,
pavement, retaining wall, and construction consid-
• Description of site including topography, ground cover, erations (to be further discussed in Chapter 7.3)
structures (if present), and any unusual conditions
The information contained within a soils report is not a
• Details of subsurface conditions determined from the
guarantee of soil performance and is not intended to define
exploration and testing program
every aspect of the site's soil condition. The report is a sum-
• Groundwater characteristics and any seasonal or mary of collected data and recommendations by the profes-
tidal influence that may occur at the site sional engineer.
 2.5 ■ ENVIRONMENTAL, GEOTECHNICAL, AND HISTORICAL CONSIDERATIONS 113

kit Dewberry
A Dewberry Company
LOG OF BORING
BORING NO.

BT-1
8401 Arlington Boulevard SHEET
BORING COORDINATES:
Fairfax , Virginia 22031
(703\ 849-0100 NOTES: BT-1 at Center of Proposed Structure 1 OF 1
PROJECT: Delta City PROJECT NO.: EX GEOT Log1
SAMPLES TESTS
LOCATION: Detroit, USA
(!) w ,ft.
CLIENT: Omni Consumer Products
o..J
~
g:~ u.i
(!)-
cr::Cl. ADDITIONAL
O • w er:: w::i DATA/
!e::) er:: al ..J
REMARKS
w ~
~ ~
(ll ..J
DEPTH SOIL ELEV. 1[ ~§a al
:::; (ll
cr::(ll
Wf-
(FT.)
0.0
DESCRIPTION
_ M GRAVEL _ _ _ _ _ _ _ _ _ _ _ _ _ _ fil!.5~<) (
Brown and Gray GRAVEL {GPS) with Some
Coarse SAND and Little Silt {Dirty Gravel),
(FT.)
100.0 Cl
~

i,· .- :·
[i:D".i
w
□

_
-x ~
(ll
g,o
al zcr::
12-23
13-8
N=36
::)
z
1
6
::i:
106
I=~
~::::;

2.0 Drv.
Stiff Brown and Gray CLAY (CH), Moist.
98.0 a · -D.
.S? ~
__
~ X 4-4
5-8
N=9
2 238 M.
22
No Groundwater encountered in
overburden during drilling. Water
introduced during coring activities.
4.0 96.0 __ Water measured at 3.4' at
DECOMPOSED ROCK that becomes IV 22-40 3 9.3 completion of drilling.
Greenish Brown Fine to Medium SAND 5 _::: V\ 51/2"
(SM) with Trace of Silt when sampled , Dry,
Diabase Rock fragments below 6.0 feet.
40-51/6" 4

-- 1:8 51/4" 5 Borehole caved at 8.5' at

completion of drilling.

10.0 90.0
X X 10 - - 51 /0" Auger refusal at 10.0'.
DIABASE BEDROCK- Moderately Hard lo X X
6
Hard, Gray Brown lo Gray, Moderately X X ROD= Coring took 15 minutes, Recovered
< X - 44% 2.2· (NX size).
Severely to Slightly Weathered with Close X X
X X
Joints of Subhorizontal Dip to Nearly X X -
X X
Vertical , Joints Stained . X X
X X
X X
REC = 44% X X
X X
X X
X X -
__:,5.0 _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 85.Q ~
15- =
DIABASE BEDROCK- Hard to Very Hard , ~ : ROD= Coring took 21 minutes, Recovered
Dark Gray, Slightly to Very Slightly x x
- 50% 4.6' (NX size).
Weathered with Very Close to Close Joints ~ ~ -
of Subhorizontal to Steep Dip. Joints == -
Generally Stained. Many Joints Healed : : -
Some Intersecting. ~ ~ -
X X
X X
-
REC:: 92 % X X -
X X _

20.0 80.0 X X : 20 - ~
Coring Terminated at 20.0'
Boring Terminated at 20.0'

,
Cl.

---------------------------------------
C!)

~
~------------.-------------.....
~ WATER LEVEL OBSERVATIONS DRILLING CONTRACTOR:
STARTED: 1/11/11 FINISHED: 1/11/11
"' XYZ Drilling, Inc.
:.>
:! .5?
WL I
3 .42 TOB(ft.) RIG TYPE: DRILLING METHOD: I BIT SIZE: DRILLER: FF ASST : BM
i
.IJ
WL .Y EOB (fl.)
Truck R ig Hollow-Stem Auger 8"
LOGGER: ET APPROVED: DJ
BACKFILL DETAILS:
~ WL 5l. 24 Hrs Cuttings/Bentonite SEE KEY SHEET FOR SYMBOL EXPLANATION

"-----------------------------------------------
FIGURE 2.5P Boring log.
114 i@UH:U iirttl@i@IH

PROJECT SPIRIT-NEW FEDEX GROUND DISTRIBUTION HUB FACILITY

Location: Ocala, Florida
Client: FedEx Ground
Completion Date: Design-May 2013, Construction-February 2016
Case Study: Dewberry was selected to provide due diligence services, civil engineering/site design, surveying and
mapping, environmental, permitting, and construction administration services for a new FedEx Ground distribu-
tion hub facility on a 150-acre site in the northeast corner of the City of Ocala, Florida. The final construction
plans called for approximately 580,000 square foot (SF) facility with supporting infrastructure. The facility was
designed for an ultimate build-out of the center to approximately 780,000 SF of buildings and ancillary buildings
on 190 total acres.
FedEx Ground was interested in developing a regional distribution hub for the state of Florida. The specific site was
identified based on FedEx's internal parameters including distances to their offices and access to the interstate system.
The site also had to be able to support the future expansion anticipated for the proposed facility. However, the site
selected is located in an area that has predominantly karst soils, which allow the formation of sinkholes. FedEx requires
continuous operation; therefore, Dewberry not only addressed mitigation of the karst soil issues, but also designed the
site to prevent or minimize disruptions to site operations due to volatile soil conditions.
Working with the geotechnical subconsultant and the rest of the design team, a plan was developed to construct the
buildings and below ground gas tanks on a foundation design comprised of piles. The pile supported foundation is
typical of bridge design in Florida but is very rare as a building foundation type. The use of a pile foundation was
unique and greatly increases the life cycle of the facility by reducing issues that might negatively affect the operation
of the site.
To prevent sinkholes from occurring, the dry ponds were designed to "heal" the sinkholes with a bottom layer ofloose
sediment that carries the water into the sinkhole. This fills the sinkhole and minimizes the hole or preventing it from
occurring. The pond design with the extra loose sediment to help begin to fill sinkholes that occur in the ponds is a new
design that the Dewberry team developed.

PART C-HISTORICAL CONSIDERATIONS
Part C of this chapter focuses on the historical considerations
of a project-site conditions that should be evaluated based
on historic properties. This includes a review of historic
preservation regulations, definition of historic properties,
local preservation efforts, required due diligence, and evalu-
ating potential impacts.
Historic properties include both historic architectural and
archaeological resources. This may include buildings, objects,
landscapes, viewsheds, or other artifacts of historical or cultural
significance. Land development by its nature is the creation of
"places:' each ofwhich has the opportunity to establish and rein-
force history. With this understanding, each developer bears the
responsibility to respect the past and to plan for the future.
Preserving the artifacts of our history is a reasonable
response from a culture that seeks a sense of continuity while
living amid constant physical change. Many people and
communities feel a decline in continuity as they witness the
changes in the built environment. Steady and rapid change,
be it building construction, increased vehicular traffic,
and/or cultural integration, contribute to the psychological
need people feel to live with a "sense of place:'
The information in this section is organized to broaden the
understanding of historic preservation within the framework
of ongoing land development and societal change. In order to
appreciate the importance of preserving our past, this section
begins with an overview of the historic preservation movement
in our nation and early regulations. The sections that follow
provide a discussion of the basic steps involved in the evalua-
tion and impact assessments conducted for historic properties.
2.5.17. Historic Preservation Movement and Regulations
One of the first records of the historic preservation movement
is reputed to be Fairfax County, Virginia. It began in 1858, when
the Mount Vernon Ladies Association succeeded in saving
Mount Vernon, the plantation home of President George Wash-
ington. Their efforts were enhanced when the Commonwealth
of Virginia passed legislation, empowering the association with
the duty to manage, maintain, and restore the property as a place
of national importance for public education and enjoyment.
FIG uRE 2. 5 Q Monticello, the home of Thomas Jefferson, Charlottesville, Virginia. (Photo Courtesy of Cody Pennetti.)
2.5 ■ ENVIRONMENTAL, GEOTECHNICAL, AND HISTORICAL CONSIDERATIONS 115
Comparable efforts can be matched by works of many
other organized and individual endeavors nationwide. Res-
toration began in Sturbridge Village, Massachusetts in 1859;
in the historic district of El Pueblo de Los Angeles in 1920;
Monticello, the home of President Thomas Jefferson in 1923
(Figure 2.SQ); the historic core of Charleston, South Caro-
lina in 1930; and Colonial Williamsburg, Virginia in 1930.
These are but a few examples.
Key legislative actions by the United States Congress have
fostered the growth and importance of historic preservation.
They include the Antiquities Act of 1906, which concentrated
national attention on the protection of specific building and
archeological sites, and was largely spurred by park and mon-
ument building efforts starting after the Civil War. In 1949,
Congress chartered the establishment of the National Trust for
Historic Preservation, a quasi-public organization created to
bridge the gap between private citizen efforts and government
objectives to identify and preserve qualifying properties and
sites of historic significance. Congress passed the Housing Act
of 1961, which included requirements for the Secretary and
Department of Housing and Urban Development (HUD) to
identify, assess, and aid in the protection of historic resources
within the guidelines for urban renewal activities.
Congress passed the National Historic Preservation Act of
1966 (NHPA), as amended, which became the principal federal
law dealing with historic preservation. The NHPA establishes
a national policy of preserving, restoring, and maintaining
cultural resources. NHPA established the National Register of
Historic Places (National Register) and National Historic Land-
marks, which protects historic sites. NHPA also encouraged state
and local preservation programs, including the designation of a
State Historic Preservation Officer (SHPO). The SHPO admin-
isters the national historic preservation program at the state
level, reviews National Register nominations, maintains data on
historic properties that have been identified but not yet nomi-
nated, and consults with federal agencies during Section 106
review. A key statutory provision of the NHPA is Section 106,
which requires federal agencies to consider the effects of their
undertakings on historic properties. This includes requirements
of identifying historic properties, assessing adverse effect, and
resolving adverse effects. This requires coordination with the
11& i@UH:U iirttl@i@IH
SHPO to ensure that the projects they authorize are not likely to
jeopardize existing cultural resources.
Other regulations are included in Section 4(f) of the U.S.
Department of Transportation (USDOT) Act of 1966, which
requires a review of transportation project's effect to historic
properties. Cultural assessments are also part of the formal
environmental analysis required under NEPA, as discussed
previously. New projects are evaluated based on potential
effects to historic architectural and archaeological resources;
this includes assessing both positive and negative impacts to
the character, scale, or style of historic buildings and districts.
2.5.18. Historic Properties and Preservation Efforts
The consideration of potential impacts to historic proper-
ties is an important factor in many land development proj-
ects. Generally, resources are categorized as either known or
potential historic properties.
Known Historic Properties. Known historic properties
are those that are officially recognized and include resources
designated as National Historic Landmarks, properties listed
in or determined eligible for listing in the National Regis-
ter, properties listed in or determined eligible for listing in a
State Register of Historic Places, and/or properties that are
designated as local landmarks.
In order to determine whether a property is eligible for
inclusion in the National Register, the National Register Cri-
teria for Evaluation are applied, as follows:
The quality of significance in American history, archi-
tecture, archeology, engineering, and culture is present
in districts, sites, buildings, structures, and objects that
possess integrity of location, design, setting, materials,
workmanship, feeling, and association, and
A. That are associated with events that have made a
significant contribution to the broad patterns of
our history
B. That are associated with the lives of persons sig-
nificant in our past
C. That embody the distinctive characteristics of a
type, period, or method of construction, or that
represent the work of a master, or that possess
high artistic values, or that represent a significant
and distinguishable entity whose components
may lack individual distinction
D. That have yielded, or may be likely to yield, infor-
mation important in prehistory or history
Many state and local landmark laws adopt the National Reg-
ister criteria for evaluating and defining historic properties.
Potential Historic Properties. Potential historic proper-
ties are those that are not officially recognized, but based on
field inspections and background research, appear to satisfy
criteria for official designation. If a project requires review
of potential impacts to historic properties, it is important to
understand the criteria used to define a historic property.
For compliance with local and state regulations, review of
the regulation text will be necessary in order to determine
the definition. For federal undertakings, a historic property
means a property listed in or eligible for inclusion in the
National Register.
Local Preservation Efforts. While federal regulations of
historic preservation have been introduced, it is important
to also recognize and understand local regulations that are
commonly encountered that preserve and protect historic
properties. Most historic preservation efforts at the local
level begin with the comprehensive plan. Specific historic
preservation recommendations and other guidelines may
be adopted in accordance with the community's vision and
goals. This could be included within a historical or cul-
tural element of the comprehensive plan, as described in
Chapter 2.2, or in a separate historic preservation plan.
The jurisdiction may implement these recommenda-
tions and historic preservation plans through the adoption
of preservation requirements in the local zoning ordinance,
subdivision ordinance, and/or a separate historic preserva-
tion ordinances. These local ordinances may identify known
historic properties, while others may describe the processes
to identify and classify potential resources.
As an example, consider Savannah, Georgia, in Chatham
County. Within the Chatham County-Savannah Compre-
hensive Plan is a chapter on quality oflife that includes a sub-
section on Historic and Cultural Resources. This element of
the comprehensive plan describes the dozens of historic dis-
tricts that have been established that are either listed in the
National Register or are a local historic district. It is common
for municipalities to designate entire districts that contain a
group of buildings, properties, and/or site of historical sig-
nificance. The Historic and Cultural Resources subsection of
the Chatham County-Savannah Comprehensive Plan states
that "the preservation and revitalization of these historic and
cultural areas is a primary goal in Chatham CountY:'
Savannah zoning regulations include an overlay zone for
the Savannah Historic District, which covers the majority of
downtown Savannah and was designated as a National His-
toric Landmark in 1966. The purpose of the historic district,
as defined in the zoning regulations, is to "provide for the
preservation and protection of historic buildings, structures,
appurtenances and places that are of basic and vital impor-
tance for the development and maintenance of the commu-
nity's vacation-travel industry, its tourism, its culture, and for
the protection of property values because of their association
with history; their unique architectural details; or their being
a part of or related to a square, park, or area, the design or
general arrangement of which should be preserved and/or
developed according to a fixed plan based on economic, cul-
tural, historical or architectural motives or purposes:'
Savannah zoning regulations also state that "the historic
district regulations are intended to preserve and protect his-
toric or architecturally worthy buildings, structures, sites,
monuments, streetscapes, squares, and neighborhoods of the
historic district:' This includes specific regulations and require-
ments on visual compatibility factors and design standards that

affect development within the overlay district. Conformance
is required by all projects to ensure that historic properties
are protected or other development is compatible with those
historic resources. In addition, the regulations state that "in all
zoning districts within the boundaries of the historic district,
the regulations for both the zoning district and the historic dis-
trict shall apply. Whenever there is conflict between the regula-
tions of the zoning district and the regulations of the historic
district, the regulations of the historic district shall apply:'
In addition to the standard review process and permits that
would be expected in a development project (as described in
Chapter 2.4), the historic district overlay in Savannah requires
a Certificate of Appropriateness for all exterior changes, new
construction, demolition, signage, etc. within the historic dis-
trict boundaries visible from the public right of way. This is
another layer of regulation which the development team must
consider in design development.
2.5.19. Historical Due Diligence
An important factor that may be overlooked during the ini-
tial stages of a land development project is the consideration
of potential impacts to historic properties. Just as sites are
researched and evaluated for their potential to contain envi-
ronmentally sensitive areas, such as contamination and/or
wetlands, potential impacts to historic properties must also
be considered early in the planning process.
The level of consideration will be dependent on the
undertaking and the regulatory climate. Questions to ask at
the beginning of the planning process include
• Does the proposed project require compliance with
any local historic preservation laws and/or regulations?
• Are there any local ordinances that deal with the
treatment of historic properties?
• Are there any locally designated historic resources on
the project site or in close proximity to the project
site that could potentially be impacted?
After reviewing local laws, it must be determined if the proj-
ect is a state and/or federal action. State actions will require
compliance with the applicable state regulations. Any under-
taking that receives federal funding, permitting, and/or
approvals will require review under NEPA, Section 106 of
the NHPA, as well as other applicable federal laws.
Once the determination has been made as to whether a
project will be subject to review under a local, state, or fed-
eral regulation, the next step is to identify whether any his-
toric properties (including both historic architectural and/or
archaeological resources) are located within the project study
area. This study area should extend beyond the project site
to ensure that the project will not have a negative impact on
surrounding properties. Both a desktop review and site inves-
tigation research may be required in order to identify any
known or potential historical properties.
Known Historic Properties. Each project should begin with
a desktop review to identify any known historic properties
2.5 ■ ENVIRONMENTAL, GEOTECHNICAL, AND HISTORICAL CONSIDERATIONS 117
within the study area. This can be completed in the office by
online searches of the National Historic Landmarks program,
State and National Registers, and properties that are designated
as local landmarks. Additional attention should be spent to
review any locally designated historic properties. Many munic-
ipalities often list designated properties in their comprehensive
plan and have other information including their historic pres-
ervation laws on their local websites. To identify locally desig-
nated historic properties, consultation may be necessary with
the municipal historic preservation or planning department to
obtain information regarding local landmarks.
Additionally, to identify known resources, it may be nec-
essary to consult with the local SHPO. This often requires
coordination with the SHPO's office or website to research
the records and determine if any historic properties are
located within the project study area. Information on both
historic architectural and archaeological resources can be
obtained from the SHPO. Consultation with SHPO can also
indicate whether there are other state-operated repositories
for additional information on historic properties.
Potential Historic Properlies. To determine if potential
historic properties exist on a site, a site investigation may be
required (to be further discussed in Chapter 3.1). An initial field
inspection can indicate whether any buildings or structures exist
on the project site or within the study area. General information
about the project site's historic development, prior usage, and
topographic features (such as its proximity to water) can help
determine its potential to contain archaeological resources. In
addition, visible land elements can be observed during the field
inspection to help indicate whether a site may contain archaeo-
logically relevant areas. Foundations, ruins, walls, wells, pits/
dumps, and/or unusual vegetation formations are just a few
examples ofland elements that may indicate that a property war-
rants further investigation. Typically, this level of effort must be
completed by a trained architectural historian or archaeologist.
When potential resources are identified as part of a state
and/or federal undertaking, a survey is often conducted in
order to document the property. Generally, an architectural
survey involves the completion of survey forms that record
descriptive and historic information about the subject prop-
erty. Many states have specific guidelines for the format of
such a survey; consultation with the SHPO would be neces-
sary to determine the level of documentation required. Upon
completion of the architectural survey, the survey forms and
possibly a summary report would be submitted to the SHPO
for review. The SHPO would then comment on the property's
eligibility for listing in the National Register. For local under-
takings, it is recommended to consult the local law in order to
determine the appropriate level of survey and documentation
that would be required. Again, this level of effort must be com-
pleted by a trained architectural historian or archaeologist.
2.5.20. Impacts to Historic Properties
If known or potential historic properties have been identi-
fied on a site, the level of required regulatory review (i.e.,
federal, state, or local) will also guide any subsequent, formal
impact assessments. As part of an impact assessment, a full
110 i@UH:U iirttl@i@IH
understanding of the proposed project is required, as well as
any alternatives developed during the project design. Although
some land development projects may result in adverse impacts
to historic properties (such as physical destruction or visual
intrusions), it is important to note that land development proj-
ects can also produce positive impacts by remedying an exist-
ing condition that is detrimental to the historic property (e.g.,
poor drainage, erosion, limited access, etc.).
The goal of this section is to provide guidance for the
assessment of potential impacts when a historic property
may be affected by a proposed land development project.
Further, the basic tenets of preservation are discussed in
terms of site planning and design strategies that make use of
unique historic architectural or archaeological resources as
opportunities for project enhancement.
The next section reviews the required assessment, defines
impacts, and explain strategies to treat impacts.
Impact Assessment. Many land development projects that
are subject to environmental review require an assessment
as to whether historic properties may be impacted by project
activities. The level of assessment will vary depending on the
regulations being followed; the impact assessment may be an
independent report or may be part of a larger study, such as an
Environmental Impact Statement (EIS) within the NEPA pro-
cess, which is looking at potential impacts to several environ-
mental disciplines. Generally, as part of an impact assessment,
an overview of the proposed project, including the project limits
and study area boundaries would be provided. The next step
in the assessment would be to define existing conditions. This
would include the identification of any historic properties that
are located within the study area. The impact assessment would
then look at whether the proposed project would impact the
identified historic properties located in the study area. If adverse
impacts are anticipated, often consultation with the local com-
munity and local officials, as well as any involved state and or
federal agencies would be required in order to resolve adverse
impacts and develop mitigation measures.
A well-documented impact assessment is a time-consuming,
detailed, fact-gathering process, which serves to clarify cultural,
material, architectural, landscape and physical characteristics of
a site, district, person, or location. This effort is well worthwhile
when it comes to public hearings and community meetings on
the land development project: preservation is an extremely per-
sonal issue for many citizens and government officials. Proper
documentation is illustrative of a developer's commitment to
the community, the established protocol, and to a high-qual-
ity work product whether the resource is preserved, reused or
removed. Generally, this work is performed by a trained archi-
tectural historian or archaeologist.
Defining Impacts. When assessing potential impacts to
historic properties, both direct and indirect impacts are con-
sidered. Direct physical impacts include demolition, altera-
tion, or damage from construction on nearby sites. Indirect,
contextual impacts include the isolation of a property from
its surrounding environment or the introduction of visual,
audible, or atmospheric elements that are out of character
with a property or that alter its setting.
Many municipalities have specific laws or ordinances that
define the level of assessment that would be required at the
local level. Many states also have specific requirements that
must be followed for state actions.
In general, a proposed project is deemed to have an
adverse effect if it would alter a historic property in a man-
ner that would diminish any of the characteristics of the
property that qualifies it for inclusion in the National Reg-
ister. Adverse effects on historic properties include, but are
not limited to
• Physical destruction, alteration, or damage to all or
part of the property
• Removal of the property from its historic location
• Change of the character of the property's use or of
physical features within the property's setting that
contribute to its historic significance
• Introduction of visual, atmospheric, or audible ele-
ments that diminish the integrity of the property's
significant historic features
• Neglect of a property which causes its deterioration
The above definition of an adverse effect can be useful
when trying to determine whether a proposed project may
result in adverse impacts to historic properties.
Avoidance, Minimization, and Mitigation. If historic
properties are identified on or near a proposed project
site, a primary goal of the design should be to minimize
any adverse impact to the historic property. If avoidance
is not feasible, then the next step is to minimize potential
impacts. Depending on the federal, state, or local regula-
tion being followed, consultation with the local munici-
pality and/or SHPO may also be required. If after careful
consideration of all avoidance and minimization strategies
it is found that a proposed project would adversely impact
a historic property, mitigation measures may need to be
developed. Often, the finding of an adverse impact will not
stop a project from moving forward, but will add additional
consultation and review time-all these factors can also
lead to additional project costs and increased time for the
project schedule.
There are many types of mitigation strategies that may
be employed to resolve adverse impacts to historic proper-
ties. At the federal and the state level, consultation usually
results in a memorandum of agreement (MOA), which out-
lines agreed-upon measures to avoid, minimize, or miti-
gate adverse effects. Some common examples of mitigation
include the following:
• Photographic documentation (i.e., photographs of his-
toric resources or archaeological findings documenting
their current condition before project activities begin)
• Historic research (e.g., researching the significance
and background of properties within an appropriate
historic context)

• Salvage and or reuse of historic materials (e.g.,
salvaging historic materials from properties slated for
demolition and reusing these materials on other his-
toric buildings or other aspects of the project design)
• Context sensitive design (i.e., developing an approach
to planning and design based on active and early
partnerships with communities)
• Adaptive reuse (i.e., adapting buildings for new uses
while retaining their historic features)
• Public outreach (e.g., open communication with the
public through announcements, public materials,
public meetings, etc.)
• Public informational displays (e.g., display materials
housed at local libraries, community centers, or other
public space)
Treatment of Historic Properties. The Secretary of the
Interior's Standards for the Treatment of Historic Properties
(the Standards) provides guidance to property owners and
preservation professionals on how to protect historic prop-
erties. Although adherence to the Standards may not be
required to satisfy local or state regulations, they are impor-
tant principles in the preservation field and can provide valu-
able guidance regarding the treatment of historic properties
for any land development project. Following the Standards
can help to avoid or minimize adverse impacts and can also
be utilized to develop successful mitigation measures.
As summarized from the Standards, four treatment
approaches are recommended: preservation, rehabilita -
tion, restoration, and reconstruction. These approaches are
defined below in hierarchical order.
Preservation: The act or process of applying measures
necessary to sustain the existing form, integrity, and
materials of an historic property. Work, including pre-
liminary measures to protect and stabilize the property,
generally focuses upon the ongoing maintenance and
repair of historic materials and features rather than
extensive replacement and new construction. New
exterior additions are not within the scope of this treat-
ment; however, the limited and sensitive upgrading of
mechanical, electrical, and plumbing systems and other
code-required work to make properties functional is
appropriate within a preservation project.
Rehabilitation: The act or process of making possible a
compatible use for a property through repair, alterations,
and additions while preserving those portions or features
which convey its historical, cultural, or architectural values.
2.5 ■ ENVIRONMENTAL, GEOTECHNICAL, AND HISTORICAL CONSIDERATIONS 119
Restoration: The act or process of accurately depict-
ing the form, features, and character of a property as it
appeared at a particular period of time by means of the
removal of features from other periods in its history
and reconstruction of missing features from the resto-
ration period. The limited and sensitive upgrading of
mechanical, electrical, and plumbing systems and other
code-required work to make properties functional is
appropriate within a restoration project.
Reconstruction: The act or process of depicting, by means
of new construction, the form, features, and detailing
of a nonsurviving site, landscape, building, structure, or
object for the purpose of replicating its appearance at a
specific period of time and in its historic location.
It is important to note that choosing the most appropri-
ate treatment requires careful decision making about a prop-
erty's relative importance in history, its physical condition,
the proposed use of the property as well as mandated code
requirements that would need to be followed as part of the
proposed project.
Incorporation. Consideration of historic properties can
contribute to successful design development and project
marketing. In each case, the identification of unique land
features, artifacts, and historic architectural or archeologi-
cal resources helped shape the land development project
design response. Historic properties became a component
of the larger development program, or by virtue of associa-
tion, became incorporated into a unique marketing tool, like
name recognition. The process of identifying and assessing
impacts to historic properties should challenge development
and design professionals to a higher level of design, market-
ing, and financial solutions.
REFERENCES
American Society of Civil Engineers, Subsurface Investigation
for Design and Construction of Foundations of Buildings,
1976.
Brown, Thomas L. 1988. Site Engineering for Developers and Build-
ers. Washington, DC: National Association of Home Builders.
Environmental Laboratory. 1987. U.S. Army Corps of Engineers
Wetlands Delineation Manual. Vicksburg, MS: U.S. Army Engi-
neer Waterways Experiment Station.
Lerner, Steve, and William Poole. 1999. The Economic Benefits of
Parks and Open Space. San Francisco, CA: Trust for Public Land.
Also see http://www.tpl.org.
Mitsch, W.J., and J.G. Gosselink. 1986. Wetlands. New York: Van
Nostrand Reinhold.
Sowers, George F. 1979. Introductory Soil Mechanics and Founda-
tions: Geotechnical Engineering, 4th ed. New York: Macmillan.
120 i@UH:U iirttl@i@IH

PETER J. BIONDI ROUTE 206 BYPASS-CONTRACT A

Location: Hillsborough, New Jersey
Client: New Jersey Department of Transportation
Completion Date: October 2013
Case Study: Dewberry designed the Peter J. Biondi Route 206 Bypass for the New Jersey Department of Transportation.
The bypass allows drivers to circumvent the Township of Hillsborough, New Jersey, thus decreasing congestion, improv-
ing safety, and diverting traffic from the center of town. Preliminary and final design of 3 miles of a new limited access
bypass section of Route 206 included many engineering challenges, such as designing the roadway through environmen-
tally sensitive land, while securing the appropriate permits and approvals, and addressing underground pipes/utilities
and rights of way, and other obstacles.
A unique situation was encountered where the bypass crossed a railroad track. This railroad is in historic district. An
architectural treatment was required to satisfy State Historic Preservation Office requirements. Due to the historic nature
of the railroad property, special features were applied to the bridge fencing, abutment and retaining walls, including
simulated cut rock, vertical face parapets, balustrade detail and black iron period-style fencing to meet the requirements
and blend with the surrounding area.
 2.5 ■ ENVIRONMENTAL, GEOTECHNICAL, AND HISTORICAL CONSIDERATIONS 121

BELLMAWR PARK MUTUAL HOUSING HISTORIC DISTRICT

Case Study: The I-295/I-76/Route 42 interchange is one of the largest and most congested intersections in southern New
Jersey, carrying large volumes of commuter traffic destined to and from Philadelphia via the Walt Whitman Bridge. It is also
a connection via Route 42 and the Atlantic City Expressway to the shore areas for weekend trips. Presently, the I-295/I-76/
Route 42 interchange does not provide a direct connection for I-295 through traffic. The existing interchange requires
motorists to reduce speed in both directions ofI-295 so that they can safely negotiate ramps with 35 mph speed limits.
Dewberry is responsible for each phase of this $900-million direct connection from the initial preparation of environmen-
tal documents to completion of final design and through construction. The purpose of this project is to improve safety
and reduce traffic congestion at the interchange of I-295/I-76/Route 42 while providing a direct connection for I-295
through traffic. The project addresses quality-of-life issues as they relate to motorists, residents, and the environment.
The project was federally funded, so the I-295/I-76/Route 42 Direct Connection project advanced in compliance with the
National Environmental Policy Act (NEPA) process, which required an Environmental Impact Statement (EIS) in order to
determine a preferred alternative. Initially, a Purpose and Need Statement was agreed upon with stakeholders, and then an
extensive list of alternatives was developed. There were 26 build alternatives that were investigated and ultimately shortlisted to
five through an interactive process with the public and environmental agencies. These five build alternatives were then advanced
from an engineering standpoint to fine-tune the roadway alignments and profiles. Two of the alternatives included a new bridge
carrying 1-295 over 1-76/Route 42, two alternatives included a stacked roadway where 1-295 southbound was over the top of
1-295 northbound as it crossed over 1-76/Route 42, and the fifth alternative carried 1-295 below 1-76/Route 42 in a tunnel sec-
tion. Preliminary bridge and retaining wall limits, stormwater management needs, construction staging schemes, geotechnical
concerns, etc., were then evaluated for each of the alternatives. From these conceptual roadway designs, technical environmental
studies were performed. An alternative analysis was performed to select the preferred alternative, which will carry 1-295 over
I-76/Route 42 on a six-lane structure. In all, 13 bridges, two culverts, 16 retaining walls and noise walls are proposed.
During the NEPA process, a unique historic district was identified. In addition to NEPA, analyses were required pursuant to
Section 106 of the National Historic Preservation Act, among others. As a first step in the due diligence process for historic
resources, an architectural survey was conducted to identify any unknown historic properties. The Bellmawr Park Mutual
Housing Historic District was identified as part of this process. It is interesting to note that at first glance, the buildings that
are located within this historic district would not seem important-they are predominantly early 1940s ranch-style dwellings,
containing two to four attached units, with very simple designs and a lack of ornamentation. But, the detailed background
research revealed that the Bellmawr Park Mutual Housing complex was historically significant as a mutual housing develop-
ment. So, since the historic district was not significant for its architecture, it could have been overlooked if not for the process
of having trained professionals conduct the architectural survey and the associated background research.
The Bellmawr Park Mutual Housing Historic District was constructed in 1942 to house workers and their families
employed at the New York Shipbuilding Corporation. It is significant for its association with the development of
the mutual housing concept associated with World War II-era defense housing projects. It was designed by progressive-
minded architects and planners who promoted the use of European-inspired architectural styles and progressive
community planning ideas. The Bellmawr Park Mutual Housing Historic District is also important for its association
with innovative housing design and construction methods first utilized on a large-scale basis for World War II-era
defense housing and subsequently popularized for modern-era housing. The historic district is distinguished by its
unified building types that convey a cohesive form of mid-20th-century worker housing. Bellmawr Park still functions
today as originally conceived-as a mutual home ownership development comprised of 500 residential housing units.

Typical type A building, Beechwood Place, view northwest.

122 i@UH:U iirttl@i@IH

As part of the proposed roadway improvements, five buildings within the historic district needed to be demolished, thus
resulting in an adverse effect to the historic district. Extensive consultation with the local community and involved agen-
cies as well as the New Jersey Historic Preservation Office was conducted in order to develop measures to minimize and
mitigate the adverse effect to the historic district. A memorandum of agreement was prepared that stipulated the specific
mitigation measures that would be undertaken. These measures included photographic documentation of the buildings
slated for demolition so that there would be a permanent record of their appearance within the historic district. This
work was conducted pursuant to the requirements of the Historic American Buildings Survey, which defines standards
for archival documentation and photography. A registration form was also prepared to officially list the Bellmawr Park
Mutual Housing Historic District in the National Register of Historic Places. In addition, a conservation plan was devel-
oped to assist the Bellmawr Park Mutual Housing Corporation in the storage and long-term conservation of historic
documentation and archival materials. Finally, since five new buildings would be constructed within the historic district
to replace the buildings that would be demolished, a feasibility assessment was conducted in order to identify suitable
locations within the historic district for the replacement housing. A set of design guidelines was also developed for the
new housing units so they would be in-keeping with the character of the historic district.

Typical type C building, Carter Avenue, view southeast.

The I-295/I-76/Route 42 Direct Connection project began in the summer of 2000. The EIS was completed in 2008 and in
March 2009, FHWA officials gave final environmental approval for the project. In the summer of 2010, Dewberry submitted
Right-of-Way and preliminary design documents. Construction of an advanced ITS Contract is complete. Contracts 1, 2,
and 3 are under construction, with Final Design for Contract 4 underway. The estimated construction completion is 2021.

Beechwood Place streetscape, view northwest.

 2.5 ■ ENVIRONMENTAL, GEOTECHNICAL, AND HISTORICAL CONSIDERATIONS 123

LITTLE MUNCY CREEK PRATT TRUSS

Location: SR 2069 Moreland Township, Lycoming County, PA
Client: Pennsylvania Department of Transportation District 3-0
Completion Date: December 2015
The Pennsylvania Department of Transportation's (PennDOT) Engineering District 3-0 recently completed an unusual
bridge replacement project in the rural community of Moreland Township, Lycoming County, Pennsylvania. Known
locally as the Little Muncy Truss, the S.R. 2069, Section 001 bridge carries S.R. 2069 (Moreland Township Road) over
Little Muncy Creek, part of the Susquehanna River watershed. The bridge, originally built in 1904 by the Owego Bridge
Company of New York, is a contributing resource to the Smith/Wallis Gristmill Historic District within this predomi-
nantly agricultural community.
A valued resource
The Little Muncy Truss is considered a local landmark in the Moreland Township community. Surrounded by farmland, the
bridge lies along the western edge of the historic district, composed of 14 buildings that date as far back as the circa-1796 grist-
mill. The bridge is regularly used by residents, including farmers who rely on the structure for deliveries and crop transport.
The Little Muncy Truss is also notable for its rare structure type. The existing bridge was a single-lane, single-span,
113-foot-long steel Pratt truss, with the steel members held together by pins. A common construction approach in the
early 20th century, only two similar pin-connected Pratt truss bridges carry vehicular traffic in Pennsylvania today, mak-
ing the rehabilitation project unique and somewhat challenging.
Following extensive deterioration over the years, including section loss along the lower eyebar chords, the bridge's weight
limit had been downgraded to five tons. In replacing the structure, PennDOT sought to remove the bridge from the structur-
ally deficient list and increase the load capacity to 17 tons. This would accommodate use by township vehicles, school buses,
emergency vehicles, and large farm delivery trucks that had been prevented from using the truss for several years. PennDOT
also placed a priority on retaining the bridge's historic integrity, while minimizing long-term maintenance requirements.

INCREASING LOAD CAPACITY

PennDOT District 3-0 selected the consulting firm of Dewberry to design a six-panel, pin-connected truss, based on the
firm's prior experience with truss rehabilitations and replacements. Initially, the team planned to complete the design and
detailing using as-built plans, old fabrication drawings, and prior inspection notes. During a site visit to gather samples,
however, the team noticed that the skew angle of the truss did not match the as-built plans or shop drawings. The team
completed new documentation with the correct structural geometry in order to proceed with the reconstruction design.
The Pennsylvania Historical and Museum Commission was kept informed of the design process because of the bridge's
contribution to the historical district. The team investigated reuse of the existing members to retain as much of the origi-
nal bridge as possible, but as a result of the widespread deterioration, only the decorative lattice railing could be salvaged.
124 i@UH:U iirttl@i@IH

The replacement structure, which features a 110-foot single-span length and a 14-foot
clear roadway width, was designed to retain the original aesthetics while significantly
improving the load capacity. To increase the load ratings and as added safety precau-
tions, the design included catch plates, additional counters, higher strength steel, and
an increase to the size of critical members. These measures allowed all load postings
to be removed and the bridge to rate for PennDOT's design vehicles.

MINIMIZING DISRUPTION
With direct coordination between Dewberry's engineers and the fabricator, the
bridge was erected on site with no preassembly at the fabrication yard to verify
fit-up, an approach that reduced time and cost. The entire truss was assembled on
a staging area beside the bridge abutments and swung into place by a single crane,
drawing a crowd of local residents interested in the construction. Dewberry pro-
vided a plan of the minimal essential members to be installed to swing the bridge
safely into place while maintaining its structural integrity. Minimizing the pick
weight of the crane by only installing critical members allowed for a more eco-
nomical crane size, reducing both cost and environmental impact. This method
eliminated the need for an invasive causeway to be installed in the stream, which is
classified as both a Cold Water Fishery and a Migratory Fishes Stream.
The structure was designed to be above the 100-year floodplain and above the 1972
flood of record. The embankment was stabilized with large riprap to provide resilience to major flood events.
The new bridge retains the character of the historic structure, drawing appreciation from the many residents who care-
fully followed the design and construction process. With all posted load restrictions removed, the bridge is now able to
be used by emergency vehicles, school buses, and farm vehicles. The $1.5 million project received an "Excellent" quality
rating from PennDOT, earned an Achievement Award from the Association for Bridge Construction and Design, and is
a featured project for the PennDOT Connects initiative.

Contribution by Curtis D. Sanno, P.E.

Featured in the Road&Bridges Magazine
 CHAPTER 3

SITE ANALYSIS AND ENGINEERING

FUNDAMENTALS

Chapter 3.1 focuses on the site analysis of the project, the con-
tinuation of the land development design process from the due
diligence (see Chapter 2). The site analysis evaluates the physi-
cal characteristics of site while due diligence phase focuses on a
regulatory assessment. Additionally, the engineering feasibility
study, site inspection, and reading a plan set will be introduced.
Chapter 3.2 introduces the surveying and preparation of
base maps, which are used as the foundation of design work.
Prior to design work, a site diagram is often developed to
show the spatial relationship of proposed site features-this
process is introduced. Sources of data used in a base map are
identified in this chapter as well.
Chapter 3.3 introduces roadway design fundamentals,
starting with functional classifications of roadways. The
different parts of roadways are introduced so a designer
can understand which road systems are appropriate for the
design of a site. Considerations for road use, street patterns,
parking requirements, and other transportation systems for
a site are introduced as well.
Chapter 3.4 provides information on grading strategies,
beginning with an introduction to reading a topographic map
and understanding contour lines. Considerations for grad-
ing, and how earthwork can influence the project design, are
identified in this chapter. Fundamentals of grading provide
a foundation for design considerations for a site-grading is
more of an art than a science.
Chapter 3.5 includes information related to hydrologic
analysis and different methodologies used for determin-
ing stormwater runoff for a site. The runoff computations
are used when designing stormwater management systems,
which are introduced in this chapter (detailed descriptions of
different systems are identified in Appendix 7.2). Procedures
for preliminary sizing of stormwater systems are identified to
help with early design efforts.
Chapter 3.6 is separated into Part A, B, C, and D to refer-
ence storm drainage, sanitary sewer, water distribution, and
dry utility systems, respectively. This chapter identifies the
different materials and components that are used for utility
systems, as well as context for checking capacity and demand
of utility systems. Design fundamentals of each utility system
are introduced, which inform early design decisions of the
utility networks.

>
PRE-DESIGN DESIGN POST-DESIGN

>
~ - - - - - ~

CHAPTER2 CHAPTER3
.
CHAPTER4
•·- .
CHAPTER 5 CHAPTER 6
Due Dilligence Site Analysis Conceptual & Final Design Permits &
Schematic Design Construction

FIG uRE 3. 1 A The land development design process.

125
 CHAPTER 3.1
FEASIBILITY STUDY,
SITE INSPECTION AND
PLAN SHEET COMPREHENSION
3.1.1. Introduction
A project often begins with the development team asking,
"What is the highest and best use of this site?" This initial
question requires an investigation into the information
identified in Chapter 2 related to the parcel zoning, com-
prehensive plans, and other applicable site regulations. The
experienced site engineer must also recognize the unspoken
parts of those questions that are perhaps more indicative of
the level of investigation and commitment required: "Can I
make a profit?;' "Is the expense and effort worth the return?;•
"Can I complete the development in a reasonable amount of
time?;' "Will people buy what we have to offer in a predict-
able period of time?;' "Can I make a valuable contribution to
the community and my reputation?" Answering these ques-
tions requires extensive evaluation of all the components,
participants, and dynamics of land development that affect
the project and property.
The site analysis phase of a project is generally a pre-
design effort associated with the due diligence phase. The
site analysis provides context for the requirements of site
design. This will apply the contents of Chapter 2, includ-
ing the local zoning documents and environmental regula-
tions, to a specific project site to understand the limitations
and development potential. In addition, the site will be
further analyzed to determine if and how the property can
be developed with an emphasis on physical characteristics
(terrain, infrastructure, soils, etc.). The information gath-
ered during this phase of work is critical because all future
design and development decisions will be based on the
126
information uncovered. At the end of the site analysis, a
developer should be able to choose whether site is viable for
the program proposed. A developer will likely continue to
review the viability of the proposed development program
through all design phases, but the site analysis is the first
step in moving a project forward.
Chapter 3 includes information related to all aspects of
site engineering and items to consider during the site analy-
sis phase of work, but an expert understanding of site engi-
neering is required to perform a site analysis. The content
from all other chapters within this book will inform the site
analysis. Much of the content introduced in Chapter 3 can
be used to determine if there are easily identifiable "deal
breakers" (or red flags) for the site. Poor traffic access, lack
of utilities, difficult terrain, poor soils, zoning challenges,
and other conditions should be evaluated early in the proj-
ect. Some deal breakers can be identified during site analysis
but require a more detailed understanding of planning and
engineering issues that may arise. Historic knowledge and
regional context can also provide valuable insight into the
development opportunities for a site. The development team
has a lot to consider during the site analysis phase, often
with very little information available. This phase is also chal-
lenging (especially for technical professionals) because the
deliverables lack finite solutions and decisions must be made
from the available information.
One of the products of the site analysis phase is a feasi-
bility study. The feasibility study documents all information
gathered during the site analysis and due diligence phases
 3.1
of work and should also identify any gaps in information or
assumptions that have been made. The study will likely be
referenced in later phases of the project as a basis of design.
Another product of the site analysis is the base map and
subsequent site diagram. The site diagram uses the base maps
(identified in Chapter 3.2) to illustrate the constraints and
opportunities that are identified during site analysis. The
diagram is a graphic depiction of the project's site conditions
but is roughly developed such that is still considered a pre-
design effort.
After the site analysis is complete, the conceptual
designs can be produced with additional detail added dur-
ing the schematic design phase (both to be discussed in
Chapter 4). Finally, after approval of the design (by the
developer or preliminary approval by the jurisdiction), the
final engineering design can commence (to be discussed in
Chapter 5). This entire process from the site analysis, into
the conceptual and schematic design, and eventually into
final engineering design is a cohesive effort but is an itera-
tive process. Initial assumptions and preliminary designs
will be refined throughout this process. It is important to
understand that generally the design process is not linear,
and initial concept plans never make it to construction in
their entirety.
Chapter 3 introduces the content necessary to perform
a site analysis, including the fundamentals of all aspects of
site engineering. This level of introduction should enable
the site engineer to identify existing site features, and pro-
duce the feasibility study and site diagram. This can also
allow the site engineer to produce the conceptual designs
as well as early schematic designs (both to be introduced in
Chapter 4). More detailed information regarding informa-
tion topics (that may be required for schematic designs) will
be introduced with final design in Chapter 5.
This text presents the design process required in a site
analysis and final design in a typical sequential order, by
first focusing on larger site features and then looking at
more detailed site elements. Understanding the whole pro-
cess helps to produce the best design for a site. Therefore, an
iteration of designs may be required as the design process
is learned and conflicts are identified between different site
elements. With time, the designer can improve their work
by having greater experience with the process.
3.1.2. Engineering Feasibility Study
Land development is highly regulated at all levels of gov-
ernment. The developer may spend considerable amounts
of money to demonstrate that the development program
and the design comply with those regulations. This must be
done without any guarantees that construction will ever be
authorized or profit realized. In addition, because the design,
processing, and construction period can take several years,
even a well-conceived project may find no buyers. Economic
and demographic forces often change while the development
program remains essentially the same.
■ FEASIBILITY STUDY, SITE INSPECTION AND PLAN SHEET COMPREHENSION 127
In a competitive market where vacant land is in short
supply, decisions must be made in a relatively brief period
of time. Otherwise, the land may be lost to another buyer,
potentially a competitor. In periods of tight money supply
and slow economic growth, the decision to purchase must
be well reasoned. The developer must be assured that the
investment will provide economic return. This is particularly
true if rising land prices have not abated, despite weakness in
the real estate market. The developer must base the commit-
ment of resources to purchase land on a determination that
the land will have future value and use.
Land development is a risky business. To help abate
that risk, an engineering feasibility study is often required
fairly early in the development process in order to identify
problems likely to be encountered during planning, design,
government review, and construction, as well as to more
resolutely determine potential uses for the land. It is this
engineering feasibility study that aids a developer in answer-
ing their basic questions and minimizing the risk incurred
in purchasing land with the intent to develop or redevelop.
Such questions include
• What are the physical characteristics of the site?
Are they conducive to the type ofland development
envisioned?
• What regulations are applied?
• What are the costs involved in providing infrastruc-
ture to the envisioned development?
• What is the timing of the design and approval
processes?
An engineering feasibility study is ideally commissioned
and completed before the land is purchased. This study can
take place either before negotiations with a landowner or
during a purchase contract option period. If the study sug-
gests that an unfavorable price has been asked for the prop-
erty, the developer has an opportunity to reject the purchase
or renegotiate the price. Meanwhile, the land is protected
from purchase by other buyers. Failing to perform a thor-
ough investigation can lead to costly mistakes and, in some
cases, expensive lawsuits. At their first meeting, the site engi-
neer should advise the developer of the importance of per-
forming an engineering feasibility study as part of the scope
of services.
To perform such studies, one must understand the utility,
value, and potential use of a tract of land. These are based
on a number of underlying principles concerning physical
and economic characteristics common to all land. Physical
characteristics of land include its immobility; that is, it has a
fixed location and cannot be moved to avoid or take advan-
tage of other locational factors. In addition, from the govern-
ment's standpoint, its fixed location makes it easy to regulate,
tax, and attach. Land is unique, with no two properties being
identical in size, shape, elevation, view, or access to natural
and man-made resources. Notwithstanding certain natural
120 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ
forces that cause erosion, inundation, or landslide, land is inde-
structible. This reflects a stable investment. Economic charac-
teristics include its scarcity, with no more land being created
and unused land in increasingly short supply. Land exists in
a discrete quantity. The nature of improvements affects not
only the value of the land but that of adjoining land as well.
Land represents a permanence of investment. While certain
improvements can be destroyed, the public infrastructure usu-
ally remains that the investment is characterized as long term
and stable. Perhaps most important are the public's area prefer-
ences to location, which result in similar structures being val-
ued differently in alternative locations (Fillmore et al., 1988).
The value of land is affected by government regula-
tions that control its development and use. These laws in
many ways supersede and restrict the rights associated with
land ownership while protecting the public health, safety,
and welfare. Development potential may be severely con-
strained by environmental factors. As a consequence, site
development may not provide sufficient yield to return a
profit. The cost of securing development approval or com-
plying with local, state, and federal regulations may be so
severe as to detract from the land's value as a development
site. Changes in development regulations may also affect
parcel value.
Physical constraints and opportunities of the site need
to be identified and quantified to assist the developer in
evaluation of the property. In addition to these inherent
characteristics are those that affect its physical adaptability
to certain uses. For example, consider two parcels of water-
front property: one flat and the other steep. The likelihood
that the latter can be used for maritime purposes is limited.
In addition, practical limitations on the mobility of people,
automobiles, machinery, and equipment affect convenience
and ease of certain uses, especially when coupled with cli-
matic differences. Roads, parking areas, and service drives
must be designed to accommodate these limitations. For
instance, if a road must be built on steeply sloped land, it
may not be easily negotiated by an automobile. In climates
where snow and ice are a factor, such a road may be ren-
dered impassible for days or weeks at a time. The slope of
sidewalks and trails must accommodate human capabilities.
Long, steeply sloped walkways and stairways from streets
and parking areas can be a hindrance to occupants as well
as a market deterrent. In many instances, the law requires
that access by people with disabilities must be considered.
Graded slopes must safely accommodate maintenance
equipment, such as mowers. While site grading during con-
struction attempts to eliminate practical conflicts, existing
topography and local ordinances sometimes make exten-
sive regrading economically infeasible. The purpose of the
engineering feasibility study is to establish a framework for
making such determinations.
Land developers who routinely operate in most com-
munities are likely to be familiar with the land development
process and expectations. The developer often is sensitive to
the area's real estate market and can visualize project layout.
Many are familiar with local attitudes and the political moti-
vation of area leaders, but some developers may be unfamil-
iar with the locality or with development in general. Most
developers engage the development team during the land
acquisition (option) phase because of the need to assemble
information prepared by unbiased professionals. Even if it
was feasible to employ a large full-time staff of development
specialists, their judgment might be considered prejudicial
in negotiations with property owners. In addition, the site
engineer brings the benefit of the experience gained in work-
ing with many clients and projects. This cumulative knowl-
edge about the process is valuable to even the sophisticated
developer.
In cases where rezoning is inevitable, there will be politi-
cal and legal issues that will have to be addressed; an attorney
familiar with zoning should be retained for these purposes
(refer to Chapter 2.3 for more information on zoning). The
site engineer may act as technical advisor to the attorney
and developer; however, the engineer should refrain from
offering legal advice. It is important to note, though, that the
development team will become involved with the interpreta-
tion and application of zoning ordinances and comprehen-
sive plans. These interpretations are usually as important as
the laws themselves and become central to evaluation of the
development for approval.
Often, the site engineer performs this analysis and pre-
pares the feasibility study in coordination with other mem-
bers of the design team as necessary. It is important for all
members of the design team, whether they are involved in
the production of the feasibility study or not, to understand
the investigation process and the study results.
An example of a preliminary engineering feasibility study
appears in the appendix in Chapter 7.6. Refer to this report
to understand the scope and process and information con-
tained within the engineering feasibility study as described
in the following sections.
Scope and Process of the Study. The engineering feasibil-
ity study should evaluate the physical, environmental, regu-
latory, and/ or other constraints that must be overcome or
accommodated in constructing the intended use. This study
is usually produced by the design team for the developer and
their business team. The results of this study often affect the
purchase price of a property, which is frequently based on
presumed development potential. Incorrect assumptions
about development potential frequently prove to be in error
because of physical, locational, or external characteristics not
properly considered.
The feasibility study is important in providing legal pro-
tection to the prospective owner or developer. As discussed
in the preceding chapters (Chapter 2.5), the undetected
presence of wetlands, endangered species habitat, hazard-
ous waste, or other environmental concerns could subject
the owner to expensive cleanup operations or litigation
under federal laws. The engineering feasibility study is often
 3.1
performed concurrently with the previously described envi-
ronmental studies and usually references or even includes
them as a component part or appendix.
The developer will use information from these stud-
ies to procure loans and begin the project's "go, no-go"
decision-making process. For this reason, the feasibility
study should be completed before the actual purchase of
the land. The developer should insist on having a study
period established as a contingency clause in the purchase
contract. The purchase of the land may hinge on the infor-
mation in the study as well as other contingencies. Time
and money are the major concerns of the developer. The
study is performed with developer's funds. If the developer
elects not to purchase the land, this is the money that will
not be recouped from the project. For this reason, it is to
the developer's benefit to incur as little expense as possible
at this early stage. Some purchases may be contingent on
whether a rezoning or other entitlement application (such
as special exception, variance, or subdivision) is approved,
as described in Chapter 2. Others may hinge on whether a
minimum number of "buildable" lots can be obtained,
which will be described with yield studies in Chapter 4. It
should be emphasized that, where there is a clear intent to
rezone a parcel, land purchase contracts under consider-
ation by the developer should include zoning contingency
clauses such that if approval is not granted by the govern-
ing body, the developer is released from the obligations of
the contract.
Because the seller wants to obtain maximum price for
their land and sell it in a reasonable amount of time, the
study period specified in the contract may only be on the
order of weeks or months. The buyer may be able to negoti-
ate a longer time period within which to conduct the analysis.
Normally, however, the buyer must be willing to compensate
the seller for extraordinary periods of time. A higher pur-
chase offering may be needed to extend the buyer's purchase
option period. Because of the financial risk, the client needs
accurate information in short period of time. The decision to
exercise a purchase option will be based on the information
in the feasibility study.
Most experienced developers will know the lowest
value of a cost per unit that renders the project uneco-
nomical. In practice, the developer may study several
alternative uses based on the information compiled dur-
ing the assessment period. This helps determine what uses
are economically feasible or whether the land develop-
ment project can be profitable. Depending on the skill of
the design team, a seemingly poor site may be rendered
profitable. In some heavily developed areas, there may
be few options among alternative tracts of land-forc-
ing land developers and design teams to more carefully
consider less desirable sites. Some sites are ignored dur-
ing earlier stages of a community's urbanization because
of undesirable characteristics, but in time the surround-
ing area may develop and make the site more valuable.
■ FEASIBILITY STUDY, SITE INSPECTION AND PLAN SHEET COMPREHENSION 129
Such sites may now be candidates for development if the
higher development costs are compensated for by greater
yield and current market prices.
The intent of the study is to identify development con-
straints, or "red flags;' along with options to minimize
or alleviate those constraints. The study does not always
specify preferred solutions. Those will be addressed later,
if and when the developer moves forward with the pur-
chase and development of the tract. Some site constraints,
when recognized early in the process, can be accommo-
dated by the plans and used advantageously in a variety of
ways-most commonly as site amenities or for marketing
and branding purposes. For example, a wetland could be
perceived as a major constraint, or it could be incorporated
into the development as a unique amenity with footbridges.
Whereas the reviewing agencies were initially opposed to
developments that impinged on the wetland area, incorpo-
rating it as an amenity could help convince the locality to
approve the project.
The study approach varies with the developer's intentions,
preconceptions, and circumstances related to the property,
defined in the development program. If the developer knows
exactly what land use will be constructed and the zoning is
compatible with that use, the feasibility study will analyze
the site in accordance with that use and zoning. If the use is
uncertain, the study will identify land use options based on
the potential of the land. The potential of the land consid-
ers the ultimate density (derived from existing and master
planned zoning designation) in context to the existing and
planned infrastructure and public facilities.
The developer may wish to consider several options and
multiples sites; the development team may need to perform
several feasibility studies if there is a significant variation in
land use permitted by the possible zoning. Each will have
unique elements-location, topography, zoning, access,
and/or infrastructure systems-that separate it from other
sites. In this scenario, a site selection study should be per-
formed to evaluate the sites based on similar metrics to
determine which site is best suited for the development pro-
gram (to be discussed in Chapter 4.1).
Frequently, the client will require a cost estimate for the
construction of certain items in the study, such as utilities,
road, and other infrastructure improvements. Additionally,
unusual or extraordinary costs will be identified and esti-
mated. This will help in assessing the economic feasibility
of the site. These preliminary cost estimates are discussed in
Chapter 4.
The feasibility study must be well organized and is usu-
ally supported by maps, photographs, and other graphics. It
is often, but not always, presented in report form, although
annotated base and topographic maps may suffice, depend-
ing on the client and the complexity of the project. Any
biases or opinions by the author should be included only
at the request of the client and stated as such. The docu-
ment will serve as evidence should any discrepancies arise
130 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ
or if lawsuits are filed as a result of claims for incorrect
information.
Required Information. The engineering feasibility study
requires a comprehensive collection of all information that
could affect the site and its development. For purposes of this
section, the research and analysis associated with an engi-
neering feasibility study are categorized into three types of
information:
I. Legal condition of the site such as easements, land
rights, and other property encumbrances
2. Regulatory concerns of the site such as applicable
master plans, zoning, ordinance requirements, pos-
sible citizen opposition, and governmental review
considerations
3. Physical condition of the site such as topography,
soils, utilities, drainage, and external influences cre-
ated by neighboring properties and uses
Such items have a significant impact on how the land is
developed and how successful the project will be.
Legal. Title investigation must be performed by an attor-
ney or title insurance company for the developer to ensure
that the landowner holds a fee estate in the subject property.
The following title and other property information should be
reviewed to determine the legal constraints and opportuni-
ties of the site:
Land ownership records, including property description
(using metes and bounds or government survey method).
• Do these records match the scope of the project?
• Will land be excluded from the project and do
subdivision regulations allow such exclusion?
• Is the property contiguous or are there por-
tions of the property separated by rights-of-way
(ROW) or other properties?
Chain of title traced back to the creation of the tract
boundaries or the adoption oflocal subdivision regula-
tions, whichever is earlier. A title company usually per-
forms a title search to ensure, and ultimately insure, that
the chain of title has not been broken. The purpose of
the land design team's analysis is to determine the appli-
cability oflocal development regulations.
• Has the subject parcel been legally subdivided
from its parent tract (i.e., with government
approval if such approval was required at the
time the parent tract was split)?
Deed conditions, restrictions, or covenants that could
affect future use and enjoyment of the property.
• Is the proposed use prohibited by deed?
• What private deed restrictions are imposed on
the final land use, such as lot size, setback from
property boundaries, architectural style, or build-
ing material?
• Is any portion of the tract, such as a lot around an
existing dwelling, to be reserved for the existing
owner?
• Is the property or a portion thereof restricted
from development through local, state, or fed-
eral programs such as Farmland Preservation,
Green Acres, or Open Space Preservation or
other Transferable Development Rights (TDR)
program?
Although federal programs do exist, many of the cur-
rent preservation programs are managed by local or state
agencies. Typically, the preserving agency places a deed
restriction on the property limiting its use to specific
activities such as agricultural (as in the case of Farmland
Preservation) or active/passive recreation (Green Acres
or Open Space Preservation). Depending on the man-
dates of the preservation program, the deed restriction
may run for a limited duration or in perpetuity and is
binding to future owners of the property.
Prior recorded plats, including government takings,
boundary adjustments, and subdivision plats.
• If there is an existing subdivision plat of record,
what is its status?
• Can it be used advantageously; can the lots be
developed and sold?
• What are the developer's responsibilities concern-
ing platted public improvements, such as streets
and storm drainage?
• What other requirements would apply?
Identify local procedures for street, ROW, or easement
vacation and abandonment.
Records of easements appurtenant (usually providing
access to or through the property or adjoining proper-
ties) and in gross (usually energy or communications
transmission lines) showing purpose and holder of the
easement.
• What rights are accorded the holder and what
limitations are placed on the developer's use of
the easement?
• Can easements be abandoned or relocated?
• Are there potential instances of adverse posses-
sion or prescriptive easements on the property?
Refer to Chapter 2.1 for more detailed definitions of the
aforementioned legal terms to define a property.
Regulatory. Regulatory information must be included in
an engineering feasibility analysis in order to identify the
 3.1
appropriate processes to allow the proposed development.
These processes will influence the timing, cost, and extent of
community and public involvement in the development pro-
cess. The following aspects-planning, zoning, and related
development information-of an engineering feasibility
study will aid the developer in the assessment of the regula-
tory aspects of a proposed project.
Relevant comprehensive plan, zoning maps, and texts: These
include growth management ordinances, such as adequate
public facilities ordinances, impact fees, and other construc-
tion limitations such as annual building permit caps. These
also include information on miscellaneous fees, such as
filing and processing, recreation, drainage, and others.
• When must fees be paid, improvements installed?
Current property zoning, proposed zoning, including uses
permitted by right and those requiring special exception.
Describe the purpose of the zoning district.
• Do zoning boundaries divide the subject
property?
• What is the relationship of zoning district bound-
aries to the subject property?
Requirements for zoning overlay or special districts: Exam-
ples of such districts include highway corridor, historic,
transit area, central business district, transfer of develop-
ment rights, resource protection, conservation, or other
management areas allowing "credits" for increases in the
permitted base density of development.
Comprehensive plan recommendations for the site, for
example, density or allowable land use.
• Does the current comprehensive plan show any
roadway improvements that will impact the site?
Pertinent requirements of the zoning ordinance: These
include maximum density or floor area ratio, minimum
or average lot size, setbacks (from project boundar-
ies, property lines, lot lines, ROW, railroads, highways,
waterfront, etc.), building height and bulk requirements,
maximum lot coverage and open space requirements,
off-street parking and loading, screening buffering and
landscaping requirements.
• Is ROW of future roadways used for density credit?
Proposed or pending changes in comprehensive plans
or development regulations likely to be adopted within
the project's lifespan.
• What significant impacts will these changes have
on the property's use or yield?
• Will the change increase the time it takes to
secure construction authorization, or expose the
project to additional public hearings or govern-
ment agencies' review?
■ FEASIBILITY STUDY, SITE INSPECTION AND PLAN SHEET COMPREHENSION 131
Grandfathered or vested rights that may be jeopardized by
the proposed development.
• Will the project be exposed to requirements far
beyond those needed for the additional construc-
tion or expanded use?
Development history of the property, including records
of previous submissions for rezoning, special exception,
subdivision, or building permits.
The likelihood of citizen opposition, and delays associated
with the development process. The experience of the
land design team is particularly valuable here. Famil-
iarity with local issues and past encounters with civic
groups can help the development team prepare for future
conflicts.
Subdivision and other ordinance regulations specific to
the site, such as lighting or signing ordinances, tree or
historic preservation, or planting ordinances.
• Can private streets be utilized?
• Will there be any assessment by any local or state
agency for road construction?
• Are there requirements for adjoining property
owners to contribute to the cost of constructing
streets to service their properties?
Requirements for 'green" building design: In general
terms, green building refers to site development and
building design that promotes energy and resource
conservation and produces a healthy and productive
environment (internal and external to the building)
for people to work and live. Many federal, state, and
local jurisdictions have adopted certain (accredited)
third-party green building certification as a mandated
standard or require a project design to demonstrate the
ability to attain a specific level of certification. Several
third-party review agencies currently exist, each with
differing evaluation criteria. Determination as to what
guidelines, if any, will apply to the proposed develop-
ment based on the regulatory climate and owner/
developer preference should be made in the early stages
of engineering feasibility. Further discussion of typical
elements of green building design and items to consider
during the engineering feasibility is presented at the con -
clusion of this chapter.
Refer to Chapter 2 for more information on the afore-
mentioned regulations identified during the due diligence
stage.
Physical. Research and review of the site's physical attri-
butes and constraints includes the site location, access, topog-
raphy, drainage, vegetation, soils, and utilities. The following
information must be assembled and reviewed to determine
the physical constraints and opportunities of the site:
132 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ
Location
• Configuration and site area from tax maps
and tax records. Is this mapping, site area, and
ownership information consistent with the title
information?
• Existing structures, paved or developed areas,
fences, and walls. Are all improvements con-
tained within the site boundaries?
• Adjacent properties, including information on
ownership, zoning, land uses, and their proximity
to property boundaries.
• Encroachments from structures on adjoining
properties, including existing access ways that
may lead to claims of adverse possession or pre-
scriptive easements.
Access
• Presence oflandlocked parcels and other proper-
ties adjoining the subject property. These may
require extensions of roads and utilities as part of
a development plan (Figure 3.lB).
• Public road frontage and property access infor-
mation. Who is responsible for maintenance and
repairs of frontage and access roads? Is the proper-
ty's frontage on a public road sufficient for gaining
proper access to the future development? If there
is no frontage, are access ROW to public roads of
sufficiently short length and adequate width to
accommodate local street requirements. These
standards include width, grade, drainage, and
maximum cul-de-sac length. Is there sufficient
room for construction equipment to maneuver?

I
L- ---
_/I
POTENTIAL POINTS OF
ACCESS TO PUBLIC ROW
EASEMENTS/ROW ACQUISITIONS
l WILL BE NECESSARY
?
J
~

'?~ '/_/
~ .

/
~ L -~ (
~
/4 -2-,2, N ·~
. B-6D -- \ ~
ACCESS TO THE SITE IS PROHIBITED
ALONG THE LIMITED ACCESS HIGHWAY
',,, j c.-vi

3 ..................... - {

A-468

FIG uRE 3. 1 B Landlocked parcel, due to property lines, that could necessitate extension of public infrastructure by the developer.
 3.1
If not, can additional land or access be acquired?
Will there be adequate sight distance at proposed
entrances, as well as vertical and horizontal road
curves? Is there sufficient frontage to provide
proper spacing between road entrances?
• Existing roads, both adjacent and across from sub-
ject property, and road conditions. Include ROW
width, pavement width, site distance at hills and
curves, sidewalks, curb and gutter, and drainage
swale information. Indicate conditions that may
hamper flexibility in site design. For example,
requirements for minimum spacing between inter-
sections on the abutting roadway may limit poten-
tial entry points to the development. Large trees
at the edge of pavement may prevent widening or
draw public opposition. Will any existing streets or
ROW require abandonment or vacation?
• Will existing and proposed highways in the vicin-
ity of the site generate highway noise that should
be mitigated?
Topography
• In performing a topographic analysis, identify
streams, swales, ridges, and similar landforms
and features. Identify steep slopes, where grad-
ing may be expensive or prohibited (greater than
15 and 25%), excessively flat areas (less than 2%)
where storm and sanitary sewer drainage may be
difficult or expensive to achieve. Show incremen -
tal breakdown of intermediate slopes to assist in
plan layout.
Storm drainage
• Drainage basin and watershed within which the
property is located; unique restrictions or condi-
tions applicable to development.
• Description of on-site drainage patterns.
• Location or plans for regional stormwa-
ter management facilities; timing of public
improvements.
• Existing floodplains from local jurisdiction,
United States Geological Survey (USGS), or Fed-
eral Emergency Management Agency (FEMA)
reports.
• Potential for floodplain when stream is present.
Small streams and swales not flowing continu-
ously throughout the year may still need to be
analyzed for their flood capacity and status as
jurisdictional waters.
• Probable locations and sizes of culvert and out-
fall improvements due to increased runoff from
development.
■ FEASIBILITY STUDY, SITE INSPECTION AND PLAN SHEET COMPREHENSION 133
• Downstream problems with drainage; known
complaints.
• Requirements for non-point pollution control
and "best management practices" (BMPs) during
construction and subsequent to final develop-
ment, including performance requirements for
stormwater quantity, quality, and groundwater
recharge.
• Stormwater management facility design con-
straints, including review of apparent seasonal
high groundwater elevations. Will the existing
groundwater table dictate the use of retention
basins (wet ponds) with permanent pools of
water or significant amounts of imported fill to
maintain dry detention basins?
• Evaluation of adequate outfall, including pres-
ence and/ or provision of necessary easements
for access and maintenance, current physical
condition and ownership of existing structures,
or potential site improvements necessary for
new outfall.
• Location, size, depth, and condition of existing
pipes.
• Overland relief constraints from downstream
properties and potential overland relief con-
straints of the subject site to upstream properties.
• Location of wetlands and other sensitive environ -
mental areas (from National Wetlands Inventory
maps or other available mapping).
Vegetation
• The location oflarge (species) trees, areas of tree
cover, including a review of the quality and type
of existing trees should be determined.
Geotechnical
• Soils information, including types and charac-
teristics, bearing strength, stability, shrink/swell
potential, perched groundwater table, estimated
seasonal high water table, presence of naturally
occurring asbestos, radon potential or existence
of residual pesticides from historical agricultural
uses, and suitability with regard to building foun-
dations, stormwater management facilities, cul-
verts, utility trenching, and erodibility.
• Consider soil percolation characteristics; do
soils indicate the need for extensive earth move-
ment and placement of engineered foundations
on compacted fills? Where soils of questionable
suitability are identified, the site engineer should
recommend that further investigation and testing
be performed by a geologist or other expert.
134 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ
Sanitary sewer
• Agency with ownership and approval authority.
• Sewershed in which the property lies; available
capacity, projected demand, local restrictions
concerning sewer allocation.
• Location, size, depth of, and distance to existing
lines.
• The age and condition of existing lines in order
to evaluate whether current materials are com-
patible at connection points and whether the type
of pipe will be structurally adequate for proposed
uses over the line.
• If not on site or adjacent, the distance to appro-
priate connections, means of access, and need for
easements.
• Responsibility for extension and improvements
and current timing of public improvements;
potential for reimbursement from public or pri-
vate funds, such as other developers.
• Gravity versus pumped versus on-site package
treatment plant.
• Interference of system construction with other
utilities/features.
• Pro-rata shares/assessment fees.
• On-site disposal issues, including treatment
method, soil suitability, drainfield and lot size
restrictions, impact on project density/lot size,
comprehensive plan and ordinance consider-
ations, and depth to water table. Spot percolation
tests may be required.
Water distribution
• Agency with ownership and approval authority.
• Size, location, depth of, and distance to existing
water mains, means of access, and need for ease-
ments. Are offsite easements required to extend
service?
• Water quality, quantity, pressure, and necessary
corrective measures.
• Responsibility for extensions and improvements,
associated fees; timing of public improvements.
• Requirements for fire hydrants; water supply and
distribution requirements for fire flow.
• The age and condition of existing lines in order
to evaluate whether current materials are com-
patible at connection points and whether the type
of pipe will be structurally adequate for proposed
uses over the line.
• On-site well information, including depth to
water table, groundwater quantity, water quality,
impact on project density, proximity to dwellings
and septic systems, and other ordinance require-
ments. Test wells may be required.
Other public or private utilities and services
• Service options for energy and communications
utilities, such as electric, gas (natural or liquid
propane), cable, telephone, and fiberoptic. Are
there competing companies serving the same
area? If so, are rate structures and builder incen-
tives comparable?
• Current and projected levels of service. Are
improvements budgeted, is timing compatible
with project? Can timing be advanced?
• Responsibility for design, upgrade, and
connection.
• Consideration for required easements. Who will
obtain?
• Connection fees, when must they be paid?
• Electric, telephone, and cable underground-
ing requirements, on-site, adjacent, and off-site
responsibilities and contributions.
• Information regarding the provision of trash
removal and recycling (curb side pickup), street
cleaning, snow plowing, and similar services.
Are services public or private? Are there alter-
native providers? If trash removal is public, is
it available to condominiums and commercial
operations? What is the availability of private
contractors for these services?
• Location, proximity, and planned improve-
ments of elementary and secondary schools,
means of access (pedestrian, school bus, and
public transit). Do sidewalks or trails exist
between site and schools? Will interior side-
walks be required in the development? Are
there school impact fees?
• Requirements and responsibility for installation
and maintenance of streetlights.
Other aspects of the site such as the following should be
investigated
• Availability, proximity, and planned improve-
ments of emergency services, such as police, fire,
and rescue.
• Aircraft flight patterns and noise contours.
• Unusual on-site and adjacent features, such as
cemeteries, railroads, historic properties.
 3.1
• Natural hazard (i.e., earthquake or flooding)
potential, prevailing weather patterns, and solar
exposure that could affect project design.
• Research into previous uses, needed to determine
possible underground structures or contaminat-
ing conditions.
Chapters 3.2 through 3.6 provide more information on
the aforementioned physical information of a property that
will be identified during the site analysis.
Sources of Information. The design team must become
familiar with information resources and the local sources of
that information. These simplify the investigation of prop-
erty conditions and local regulations and eliminate much of
the need for original research and testing. Throughout the
pre-design stage, sources must be documented with particu-
lar care, whether the source is available public documents or
conversations with public officials. This is especially impor-
tant in preparing the final report document, where the site
engineer's opinion must be separated from others' opinions
or established facts.
Of particular value are existing public records. These
include published tax maps of the community, which depict
property boundaries, land area, and landowners, along with
references to recorded subdivision plats and deeds. An office
ofland records, court clerk, or similar agency maintains cop-
ies of deeds, subdivision plats, and similar records relating to
property ownership.
The local planning, public works, building, or trans-
portation department often maintains aerial photos of the
community, taken at various intervals. These provide both
historic reference and indications of recent or current use.
These photographs often are printed in conjunction with tax
maps of the community.
Some communities provide topographic maps of the
community based on aerial photography. Otherwise, these
are available from private sources or can be commissioned
for each project. In addition, the USGS quadrangle maps
are useful for identifying site topography, natural and
man-made features, perennial and intermittent streams,
and other items of interest to the site engineer. In many
communities, the agency publishes soil maps and related
information.
Recent building and development plans, permits, and
application materials often are kept on file in various
agencies, either in their original files with all supporting
documents or digital medium. Most are available for pub-
lic inspection. These provide records of previous studies
that might apply to the subject property. Along with public
records of construction plans and as-built documents for
public facilities, these records are useful for information
relating to underground utilities. These files often provide
useful information concerning the experiences of previous
developers. The site engineer's own in-house records of its
previous and ongoing projects near the development may
■ FEASIBILITY STUDY, SITE INSPECTION AND PLAN SHEET COMPREHENSION 135
contain recent studies or more current information than
available from other sources.
Copies of local plans, regulations, and ordinances are
available from these agencies. The community's comprehen-
sive plan may list local, state, and federal sources for infor-
mation upon which the plan is based. The transportation
agency may have recent studies of existing traffic counts,
capacities, and level of service for the road network near the
project.
A local historic preservation agency or society may have
compiled a register of historic properties or sites, including
archeological information. The local economic development
authority or chamber of commerce provides useful market
area information. The local utility companies will provide
distribution maps of the service areas.
Many federal agencies provide maps of various utility
to the development team. In addition to USGS and FEMA,
these include United States Fish and Wildlife Service, Army
Corps of Engineers, Environmental Protection Agency, and
Natural Resource Conservation Service.
Most of the aforementioned local, state, and federal agen-
cies provide data electronically, either for free or for a small
fee. A good portion of the available information can be
accessed directly from the internet via the agency's website
and downloaded for use in reports and design documents.
Other independent sites may provide a compilation of data
such as ordinances, tax maps, zoning maps, aerial maps, or
other information contained in geographic information sys-
tems (GIS). However, care should be exercised when utilizing
data obtained via the internet as the available information
may not be current. Care should be taken to review the fre-
quency at which any online source updates its information,
and a simple call to the local agency for data verification is
recommended. The "desktop'' review is a critical component
of the feasibility study: information obtained in this manner
can help streamline the site visit and records review, allowing
consultants to focus on acquiring specific missing data and
confirming collected data.
Once all information is retrieved and compiled, the land
design team prepares base maps of the subject property at
a level of detail and accuracy commensurate with the time
and budget (the process of creating a base map is provided
in Chapter 3.2).
3.1.3. Site Inspection
A site inspection, also known as a field investigation, site
visit or walkover, is often required when completing an engi-
neering feasibility study. Much of the information garnered
during the desktop review is outdated, reflecting only prop-
erty conditions at a specific date in the past. Physical condi-
tions change constantly through the action of both man and
nature, and maps may not accurately represent the actual
field conditions. In addition, contours and other informa-
tion normally shown on aerial topographic maps may be
13& i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ
unclear. The ground may have been obscured by foliage or
snow cover, depending on the season of the year, time of
day, or other conditions at the time the area was flown. A
site shown as wooded may, in fact, have subsequently been
cleared and graded. Illegal dumping or similar activity may
have taken place. Adjacent properties may have undergone
development since the maps were last produced. Certain
features, such as wetlands and small streams, may not read-
ily be evident and often require field analysis to verify their
location.
For these reasons, it is imperative that a field inspection
be performed as part of the engineering feasibility study.
The visit is necessary both to verify and build upon infor-
mation collected elsewhere. The person visiting the site is
looking for obvious contradictions with recorded informa-
tion, as well as evidence that implies conditions not pre-
viously known. Of importance are conditions that may
render the land unusable or impose extreme costs in the
development.
Prior to visiting the site, the field personnel assembles and
prepares information in advance. In addition to the base map
(to be introduced in Chapter 3.2), a clipboard, writing paper,
tape measures, scales, waterproof pens and markers, and a
digital camera should be among the equipment brought to
the site.
It is imperative that the field visit team make arrange-
ments with the developer, the owner, and any residents of
the site prior to the site visit. Agents of the developer may
not necessarily have right of entry if not spelled out in the
purchase contract. Unexpected visits may be unwelcome
by occupants, who may not even be aware that the prop-
erty is being sold. The field team should also verify with
the developer and owner that no known environmental
hazards exist on-site to adequately prepare and protect
field personnel.
The team should be appropriately dressed for the visit,
anticipating the weather, brambles and dense brush, mud,
standing water, poison ivy, insects, snakes and other wild-
life, and any predetermined environmental conditions. One
of the purposes of the field inspection is to determine the
site's response to rain and runoff. Therefore, it is advisable
to schedule at least one visit to the site during or soon after
storms or spring thaws. The field team can observe ponding,
running water, and other surface conditions that otherwise
may not be visible.
Site Inspection Process. Upon arriving at the site, the
team should drive the boundaries of the site, noting land-
marks such as fences, hills, swales, and curves in the road-
way that have previously been recorded on the base map.
These will serve as points of reference while walking the
site and make it easier to record information about the visit.
A systematic walking tour of the site should be planned,
taking care to include critical natural and man-made fea-
tures that were previously noted in the office review of site
information.
On the base map, note and verify those areas that are
important to the development of the site, either as problems
or opportunities. Outline the apparent boundaries between
different topographical and geological conditions, such as
between improved and unimproved areas, stable and unsta-
ble slope areas, wetlands and dry ground, wooded areas and
open fields. Visualize property boundaries, particularly in
locations where topography or other circumstances appear
to create difficulties during development. Depending on the
relationship between the site boundaries and topography,
construction in these areas may necessitate the acquisition of
easements for drainage or equipment access across adjoin-
ing properties. Retaining walls may be necessary at property
boundaries if significant grade changes are required.
Areas of interest that should be recorded on base maps
during the field reconnaissance are described below:
• Streams, swales, washes, and evidence of confined
running water and intermittent streams, such as
unusual patterns of fallen leaves, vegetation and
stones, soil erosion, uprooted or undercut trees, and
areas cleared ofleaves.
• Floodplains, often evidenced by high water marks on
shrubs, tree trunks, and low-hanging branches.
• Ponds, lakes, and other impoundments, again, trying
to identify the limit of impoundment.
• Marshes, swamps, wetlands, bogs, wet and soggy
areas, noting types of vegetation, areas of matted
leaves, or unusual soil coloration that may suggest
frequent or periodic inundation. If it is confirmed
during the site inspection that potential jurisdictional
areas are located onsite, a formal wetland delineation
would be required by an environmental specialist.
• Ridges and obvious drainage divides with nearby
running or ponding water at lower elevations, indi-
cating high water table, springs, and springheads.
• Potential stormwater outfall points and conditions of
the outfall, including any visible erosion, continuous
flow within a channel, etc.
• Evidence of pollution or sedimentation in running
and standing water, from on-site or off-site uses.
• Condition of stream valleys, banks, and shorelines.
• Areas and types of vegetation, boundaries of wooded
areas, and stands of trees that might serve as buffers
against adjoining properties, protected species, large
trees and other specimen trees, or mature ornamen-
tal landscape materials that may be preserved, either
in place or transplanted for subsequent reuse in the
development.
• Presence of fish and wildlife and evidence of animal
habitats, such as beaver dams, and eagle aeries that
 3.1
must be considered and protected or that may even
preclude development of the property.
• Cliffs and other unusual landforms indigenous to
certain areas of the country, such as coastal and
Great Lakes dunes, sinkholes.
• Areas of steep slopes, noting vegetative cover.
• Evidence and sources of erosion and slope instability,
such as leaning trees, poles, fences, broken pavement
at top of slope, softness at toe of slope, sharp vertical
drops suggesting landslides, and other signs of previ-
ous slope movement; exposed soil colors.
• Locations where, based on visual inspection and soil
map data, additional subsurface explorations (e.g.,
auger boring, test pits) will be necessary.
• Rock outcroppings, which may create problems in
site excavation for roads, utility trenching, well and
septic system suitability and foundations. Consider
their possible use as aesthetic features and points of
interest to enhance the development's market appeal.
It may be possible to stockpile stone and rock for
subsequent use in erosion and sediment control or
for landscape material.
• Evidence of strong prevailing winds, such as dis-
torted plant and tree growth.
• Location, use and structural condition of buildings,
paved areas, abandoned wells, and other man-made
features on the site, whether or not they are to be
preserved; evidence of flood damage, earth settle-
ment, and movement in walls and foundations.
• Outbuildings and storage areas noting any hazardous
materials signs (pesticides, herbicides, paints, sol-
vents are often stored in these locations)
• Existing pilings and retaining walls.
• On waterfront property, piers, moorings, and other
marine uses, access points to the edge of water. Observe
conditions and uses of adjoining and opposing shore-
lines, maritime activity, and information concerning
water quality, depth, and bottom configuration.
• Evidence of cemeteries, gravesites, burial grounds,
archaeological and historic sites, battlefields, old
foundations, and other unusual or unexpected exist-
ing or prior land uses on site that could limit devel-
opment potential, incite community opposition, or
delay project approval.
• Evidence of trespass and community use of the
property, such as footpaths, dirt bike trails, picnic
areas, and sports fields, which may be an indica-
tion of potential community opposition to the
development.
■ FEASIBILITY STUDY, SITE INSPECTION AND PLAN SHEET COMPREHENSION 137
• Interesting views within and from the site, areas that
might be cleared to enhance views and views from
adjoining properties onto and over the site.
• Character, condition and use of adjacent property,
and proximity of neighbors and site improvements.
Record evidence of access easements, encroachment
of fences, and structures.
• Current construction activities on or near the site.
• Evidence of noise, smoke, dust, odors, light intrusion,
or other activities from sources within the site or
nearby uses, such as from nearby industry, highways,
railroad crossings, racetracks, hospitals, fire and
rescue stations, schools, commercial areas, airports,
landfills, sewer lines, or sewage treatment plants.
These could affect the site's value or market appeal.
Prevailing winds should be considered, evaluating
their impact.
• Noise walls, landscape barriers, or special construc-
tion techniques and materials may be employed to
mitigate potential nuisance.
• Evidence of significant trash, debris, chemical or oil
dumping, burial, and storage.
• Evidence of unusual odors may suggest natural
decay, sensitive environmental features, or ground
contamination.
• Sight distances at curves and hills adjacent to the
property and probable entrances.
• Traffic congestion on adjoining roads and nearby
intersections.
• Condition of surrounding roads and pavement,
including paving and shoulder stability and widths,
roadside swales, curbs and gutters, location of nearby
and opposing driveways.
• Existing utilities including electric, water, gas, sewer,
stormwater, water wells, septic systems.
• Condition, size, and location of culverts, outfall
channels, and any existing drainage pipes and
swales.
• Locations of overhead utility and power transmission
lines.
• Underground and aboveground storage tanks (vent
pipes and fill ports are indicators of underground
storage tanks).
• Manholes, standpipes, vent pipes, signs, and other
evidence of underground tanks, sewers, and trans-
mission pipes. Isolated areas with poor vegetation,
in contrast to its surroundings, may be indicative of
subsurface materials.
130 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ
Depending on size and scope of the project, several
individuals may be required to walk the site. In addition, it
may be necessary to revisit the site with other professionals
whose expertise is indicated by the findings or local require-
ments. Further analysis may be required where preliminary
investigations show the presence of unusual soils or wet-
land areas. Additional site visits will be needed if the project
moves beyond the feasibility study. Therefore, as thorough
an inventory as possible at this phase will simplify later work.
However, this must be balanced with efforts to control costs
at this phase. These costs must be controlled because of the
possibility of project abandonment.
During the site visit, extensive photographs should be
taken. The location and direction of each photo should
be noted on the base map for reference in the office; the
GPS receiver in most digital cameras can also be used to
document location. These should include photographs of
important views and significant features. A series of pan-
oramic shots taken from the property boundaries is use-
ful for setting points of reference. Including people or
other items of known size helps establish height, depth,
and width of features being photographed. As in all pho-
tography, lighting and shadows are important to adding
dimension. Photographs serve as valuable reminders when
the site inspection is studied back in the office. In addi-
tion, photographs assist other members of the develop-
ment team who were not present in the field. Videos from
the site visit also provide a useful reference, allowing for
more interactive commentary about site features. It also
provides a clear record of site conditions prior to develop-
ment. This is useful for comparison to conditions during
and after construction iflegal or procedural conflicts arise.
Figure 3.IC shows how site photographs can be referenced
to the property.

A-468

8-620

~I
I Refuse Site
_ Refuse Site
-;- Refuse Site
1 • Food and Beverage Containers, Wrap
2 • Plastic Trash Cans, Styrofoam Cooler
3 - Food and Beverage Cans, Wrappers
~ Refuse Site 4 • Plastic Bags, Plastic Containers
..._ Refuse Site 5 • Plastic Container
/ Refuse Site 6 • Plastic Containers
' Refuse Site 7 • Bricks, Limbs, and Lumber
'?f Refuse Site 8 • Wooden Cart
~ Refuse Site 9 • Rusted Metal Farm Equipment
~II Refuse Site 10 • Wooden Fencing, Limbs
~xex:,. "''\•_...,.,,"' , ·.1 s ,,.-,,:;,,, - ~ ,_
FIG uRE 3. 1 C Site photographs cross-referenced with their location on a map often help others assess potential constraints or liabilities. (a) Refuse
site #5, (b) Refuse site #7, and (c) Refuse site #9.
 3.1
(a)
(b)
(c)
FIGURE 3.1 C (Continued)
3.1.4. Site Analysis Mapping and Report
Data from the site visit must be compared to other recorded
data. Any inconsistencies should be resolved to verify true
field conditions. Of particular importance are discrepancies
in property boundaries and topography. The site engineer
should transfer information to a clean base map, which will
be used to report results of the study to the developer. In
addition, the map becomes an important tool in performing
■ FEASIBILITY STUDY, SITE INSPECTION AND PLAN SHEET COMPREHENSION 139
yield studies and beginning the design process should the
project advance to that phase. More information about base
maps is described in Chapter 3.2.
A site investigation report is helpful for documenting site
conditions. The report is often developed on a site plan sheet
with photographs referenced to different locations on the
project site. A formal report may be requested by the devel-
oper to document existing conditions and evaluate condi-
tion of the site. Photographs and notes are often referenced
throughout the project design phases to provide a different
perspective than what is shown on a topographic survey.
3.1.5. Reading a Plan Sheet
As the engineering feasibility study and base maps are pro-
duced during site analysis, the site engineer must be familiar
with plan sheets. It is important to understand and be able to
read a plan sheet.
A typical site plan sheet depicts the site layout with an
orthogonal view looking down on the site, which is an unfa-
miliar perspective and can be difficult to understand. The
land development plan sheets will also show infrastructure
elements that are not visible in the built environment such
as underground utilities, which may further obfuscate the
plan sheets. To differentiate between various infrastructure
systems, most plans use symbols and different line styles, but
there is no universal format and plan sheets from different
engineering firms can look dramatically different.
Some organizations, such as the United States National
CAD Standards (NCS), provide guidance to design profes-
sionals for plan organization and styles to promote consis-
tency in plan production within the industry. Unfortunately,
many design firms and other infrastructure groups may
develop their own set of styles and symbols, so it is necessary
to study the format used with each plan set.
Symbols. The symbols used on a plan sheet are meant to
depict an infrastructure component, such as a fire hydrant or
a street light. Symbols may be scaled to represent the physical
dimension of the infrastructure, or they are shown larger for
legibility. If a symbol does not represent the actual size of the
physical feature, the designer should be careful to consider
the actual dimensions during the design.
While there are some common symbols within the indus-
try, there is no universal system and each plan set should
include a legend for the symbols used with the plan set. The
designer should be familiar with the symbology used for a
given project. In most cases, annotations are still appropriate
for labeling features on a site plan. Different line types are also
used on plan sheets and represent fences, streams, curbs, and
other linear features. Standard patterns, or hatches, are used
to identify different material types on a site, such as sidewalks
and planting areas.
When possible, it's best to represent infrastructure fea-
tures as accurately. It's important to always consider the rela-
tionship between symbols on a plan sheet and the physical
feature. In many cases, a symbol is provided for legibility
and does not represent the physical dimensions of a feature.
140 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ
For example, a valve within a water supply system may only
be several inches in diameter and, when scaled on a plan
sheet, would only appear as an illegible dot-in this case, a
symbol is used at a scale larger than the physical feature, so
it is legible (refer to Figure 3,lD for example symbols in a
legend).
Plan Sheet Layout. Each plan sheet should always have the
following information:
1. Drawing and project title
2. Date of publish or issuance
3. Authors, which usually includes information on the
drafter, reviewer, and approver
4. Firm or designer contact information
5. North arrow, on plan sheets
6. Graphic scale
Plan sheets may have a different format when presented
as either an exhibit or a formal construction document. It
is important to have a clear description of the project title
and the date the plans are published (or issued for review or
construction). Providing the author information allows for
accountability, as does the firm name and contact informa -
tion. A north arrow on the plan sheet provides a reference
for orientation and should include an annotation to reference
the project datum (refer to Chapter 3.2 for more information
on geographic datum). All plan sheets should be plotted to
scale, such that 1 inch on paper is equivalent to a physical
distance-common scales are 5, 10, 20, 25, 30, 40, 50, 60,
100, and larger values for vicinity maps. When depicting a
profile view with an exaggerated vertical scale, it is necessary
to show both the horizontal and the vertical scales. The scale
should be depicted with a graphic bar that helps to reference
the scale when sheets are plotted on different paper sizes
(Figure 3.lE). A sheet that does not have a plan view, such
as a sheet with only notes, narratives, or details, may exclude
the north arrow and scale.
While plan sheets are often referred to as blueprints,
the nomenclature is antiquated, and most plans are either
delivered digitally or printed to a large format printer (also
referred to as a plotter). Most printers can manage paper at
least 36 inches wide, which allows for common prints of arch
D, 24- x 36-inch paper size. The plan sheets are often printed
as grayscale, and legibility can be challenging because of the
amount of information that is shown. It's important for the
plan sheet to be organized and stylized to ensure legibility.
It's possible that a design is correct, but if it's difficult to
comprehend, it may cause unnecessary errors and delays in
construction.
The design team should take care to provide the right
information in the right format for each plan sheet. Choos-
ing the proper scale for a plan sheet allows the information
to be shown at the right level of detail. Annotations on a
plan sheet should be clear and concise. When presenting
designs to various stakeholders, such as the developer or
community, the plans may require edits to make it easier
for nontechnical groups to understand what's being pro-
posed. The ability to communicate ideas through graphics
is a skill.
Plan Sheet Views. There are several views that are stan-
dard within a plan set. Most plan sets will include sheets that
have plan view, profile views, and section views (Figure 3.lF
provides a conceptual representation of these views). A sin-
gle sheet may only show a plan view or could show multiple
views of the infrastructure. Examples of sheet formatting and
layouts are provided throughout Chapter 5.
Plan. The plan view is an orthogonal view looking down
at a site. A single project may require multiple plan views
that represent different infrastructure elements, such as one
for utilities and one for grading. Projects that have a large
geographic area may require multiple viewports of the proj-
ect, where each viewport focuses on a different area of the
site. When multiple viewports are required, it is necessary
to have matchlines that identify how each sheet connects
to another. A key plan showing the entire site with each
sheet is often helpful (Figure 3.lG). When organizing the
sheets, it is important to try and maintain a constant view-
ing direction and to consider the best place to break a sheet.
For example, a sheet should limit the amount of negative
space (large empty areas) and elements such as a build-
ing or an intersection should be contained within a single
sheet, when possible.
Profile. A profile view, or longitudinal cross section, is a
plane that is cut along a road or utility alignment. The exist-
ing ground and proposed ground are depicted in the profile
view with pipe networks shown or vertical road geometry
shown. For a road project, it is common to see both road
and utility information shown in a single profile because the
utility network will generally follow the road alignment. Pro-
files are shown with both stations and elevations in a grid
format. The stations are provided for linear referencing or
measurement.
Stations are written as follows:
• A station of 5000 feet is represented as 50 + 00.
• A location that is 25 feet beyond 50 + 00 is written as
50 +25.
• A location that is 100 feet beyond 50 + 00 is written
as 51 +00.
• A location that is 125 feet beyond 50 + 00 is written
as 51 +25.
A road profile will begin with the starting station of the
alignment and continue until the end of the roadway. The
starting station is generally recommended to be 10 + 00 as
 LEGEND
ADDITIONAL LEGEND INFORMA T/ON PROVIDED ON APPLICABLE SHEETS

EXISTING INTERMEDIATE CONTOUR

EXISTING CONTOUR INDEX
PROPOSED CONTOUR
---- ---- -86---- ---- ---
- - - - - - -200- - - - - -
----86----
LIMITS OF CLEARING & GRADING

EXISTING SPOT ELEVATIONS

-
PROPOSED SPOT ELEVATION
EXISTING EDGE OF PAVEMENT - - ~~ - -
EXISTING TREE LINE
PROP. E.P.
PROPOSED EDGE OF PAVEMENT
PROPOSED HEADER CURB EXISTING TREE W/TRUNK DIAMETER

EXISTING CURB EXISTING TREE W/DRIPLINE

PROPOSED CURB & GUTTER
CG-6
PROPOSED CG-6 PROPOSED TREE

----
CG-6 TRANSITION CG-6R
TRANSITION FROM CG-6 TO CG-6R
FLOW LINE OF SWALE
EXISTING WATERLINE W/TEE Lw--w--
FENCE LINE
PROPOSED WATERLINE W/TEE Lw-----
EXISTING UTILITY POLE
EXISTING TELEPHONE LINE --T--T--
PROPOSED TELEPHONE LINE ----T---- PROPOSED UTILITY POLE
n......., EX. 15" RCP
EXISTING STORM SEWER - - t _ _ J - -SD- - EXISTING FIRE HYDRANT

PROPOSED STORM SEWER ~- 15~='2 PROPOSED FIRE HYDRANT

EXISTING WATER VALVE -W-

EXISTING SANITARY SEWER -SS-------0----SS-----
@ PROPOSED WATER VALVE -W-
PROPOSED SANITARY SEWER ~
EXISTING ELECTRIC SERVICE --E--E-- WATER METER (SINGLE & DOUBLE)

PROPOSED ELECTRIC SERVICE --E------ STREET SIGN (SEE SIGNAGE PLAN)

EXISTING GAS LINE --G-------
PARKING INDICATOR
PROPOSED GAS LINE --G------ INDICATES THE NUMBER OF PARKING SPACES

PROPERTY LINE TEST PIT

EASEMENT LINE
EXISTING STREET LIGHT
CENTER LINE 10+00 11+00
-~~-..L~-~-
PROPOSED STREET LIGHT

...
~ FIG uRE 3. 1 D Example of a legend.
EX. TRAFFIC SIGNAL (APPROX. LOCATIONS)
142 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iii 1 ,i\MilidtJ
PLAN SHEET SCALE
SCALE IN FEET
1" = 10'

~
L1 INCH_J

ENGINEER'S SCALE
1" = 10'

10
1 2 3
-- -
£Z zz 1z oz 61 81
oz FIGURE 3.16 Exampleofakeyplan.
f---------i
0.5" = 10'

1" = 20' A vertical exaggeration is usually applied to a profile

f I Gu RE 3. 1 E Example of scales.
opposed to 00 + 00 in case information needs to be shown at
a location before the start of the road (negative stations are
unconventional). For utility profiles, each segment of a util-
ity will have a separate profile view.
view because of the scale of infrastructure elements. A
common exaggeration is 2, 5, or 10. This exaggeration
makes it easier to depict the vertical design of infrastruc-
ture on a profile view. For example, a profile with a hori-
zontal scale of 50 could have a vertical exaggeration of
10, which creates a vertical scale of 5 within the profile
view. Figure 3.IH provides a comparison between the
actual vertical scale at a (1: 1) and an exaggerated vertical
scale (10:1).
Section. A section view, or cross section, is a plane that is
cut perpendicular to a linear feature. Section views are gen-
erally shown for roadways and stormwater channels. Some

1::1
+ -: -.:;:-_:::_-_•-=-....-=-· · ~----~-~
_··· · _ ====~-
--'-~ ~!:":!:'
1 l
100 200 300
(a) Profile with no exaggerated vertical scale
(1:1 Scale)

100 200 300

(b) Profile with exaggerated vertical scale
(10 :1 Scale)
FIG u RE 3. 1 F Plan, profile, and section views concepts. FIG u RE 3. 1 H Example of a vertical exaggeration.
 3.1
--- --- ---
... -----
FIG uRE 3. 11 Example of a section view.
road projects require section views to be shown at a given
increment, such as every 50 feet along a roadway, to depict
how the roadway varies along the alignment. For a natural
channel, a section is used to show different varying chan-
nel geometry and often identifies the water surface elevation
with each section.
The format of a section view is like a profile view-the
section is depicted in a grid format with stations and eleva-
tions, often with a vertical exaggeration. The one difference
■ FEASIBILITY STUDY, SITE INSPECTION AND PLAN SHEET COMPREHENSION 143
.
----- -----
--- ------ --- - ----- - -
with a section view is that the stationing will be relative to the
centerline of the roadway or channel, such that there are neg-
ative and positive stations (or offsets) shown from the center.
Figure 3.ll provides an example section from a roadway.
REFERENCE
Fillmore W. Galaty, Wellington J. Allaway, and Robert C. Kyle,
Modern Real Estate Practice, 11th ed, Real Estate Education
Company, Chicago, 1988, p. 21.
 CHAPTER 3.2
BASE MAP AND SITE DIAGRAM
3.2.1. Introduction
Good information begets good design. A base map, as
defined herein, is a graphic representation of the existing
site conditions and development constraints. Base maps are
an essential part of the site analysis because they are used to
depict a collection of relevant information applicable to the
site. This information will come from various sources such
as field survey, zoning maps, geographic information system
(GIS) databases, environmental assessments, and geotechni-
cal studies. When the information is compiled, it provides a
comprehensive view of the site opportunities and constraints.
The base map provides a foundation for which design deci-
sions are made. The information shown on a base map will
allow the design team to make programmatic decisions for the
project at early stages that carry forward through final design.
If information is not shown in the base map, such as a flood-
plain, the design team could end up with significant rework that
takes time and money to address. Additionally, if the informa-
tion is inaccurate, such as the location of the property lines,
there will likely be significant consequences during final design.
The base map should include survey information for the
site's physical features, topography, site boundary to identify
the property lines, existing easements, and zoning informa-
tion. The base map should also include natural site amenities
and site constraints such as areas of vegetation, streams, ponds,
wetlands, soil conditions, and floodplains. Jurisdictional infor-
mation such as zoning maps and comprehensive plans should
also be referenced into the base map to determine the impact of
future infrastructure. A complete list of information that should
be included in a base map is provided later in this chapter.
In some cases, the base map is prepared incrementally. Incre-
mental development of the base map is common when a devel-
oper wants to limit the initial investment during a study period;
if the first base map identifies that the site is completely encum-
bered by wetlands, the developer may look for another oppor-
tunity. While the best source of base map information will come
144
from field survey and on-site investigations, the initial base map
may be compiled from readily available information such as GIS
data, desktop investigations, or record drawings.
A land development project may span across hundreds of
acres, but subcentimeter accuracy is required for design and
construction. For this reason, the source of data shown on a base
map should be identified and any uncertainty in the data should
be clearly noted. A property line from a GIS source may be
acceptable for concept design and site analysis, but if the infor-
mation is not accurate (and GIS data usually is not accurate), it
will create problems during final design and construction.
The uncertainty of data used for the base map should be
clearly communicated across all members of the development
team and other stakeholders. The possibility of future changes
(based on information collected in later design phases) should
be acknowledged. The accuracy of a property line location
could change the building location, setbacks, landscape buf-
fer, parking areas, and other site features that can change the
development program. Design contingencies should be used, as
appropriate, to consider inaccurate base map information.
The types of content shown on a base map during sche-
matic design are often identical to those that will be shown
on the base map during final engineering; the difference is in
the level of detail. Whereas final engineering documents are
certified by professionals to document the source and accu-
racy of information, the preliminary engineering documents
are prepared with just enough information to meet early site
analysis and planning goals. This chapter provides informa-
tion on how to prepare a base map that will serve as a source
of planning and design phases of a project.
The base mapping documents for a land development
project should always be geographically referenced; each
map will have a horizontal and vertical geodetic datum. A
geodetic datum is a coordinate system used for identifying
a specific location on the surface of the earth, that is, for
calculating the coordinates of points on the earth. North
 3.2 ■ BASE MAP AND SITE DIAGRAM 145

American Datum of 1983 (NAD83) values are examples of
a geodetic datum. The coordinate system provides a rela-
tion between geographic information from various sources
allowing for a single map to show all information.
A base map is established with an identified horizontal
and vertical datum. As other mapping information is com-
piled, such as a floodplain map or historic preservation map,
the coordinate systems can be used to reference the informa-
tion into a single map based on location information.
Purpose and Content of a Base Map. A base map is a
graphic depiction of the project property with relevant infor-
mation that may influence the design. As noted in Chapter 2,
there are restrictions on how land can be developed based on
environmental, historic, topographic, or other conditions of
the project site. For example, if a floodplain exists within the
project site, the development team must understand the limi-
tations of development within, or adjacent to, the floodplain.
In the early design phases of a project, the base map may
comprise only information that is published through easily
accessible sources, and in later phases of design, it may include
information gathered by the engineering and survey team.
Base maps are often separated into a series to clarify differ-
ent development conditions. A base map showing topography
of the site can be used to identify rough grades and earthwork of
the site. A base map of utilities can identify possible utility con-
nection points or show major utilities that should be considered
during early design phases. The design team can depict zoning
setbacks on a base map to show the true limitations of develop-
ment. All the information on the various base maps helps the
development team design the project with a clear understand-
ing of all relevant information. In all cases, the source and date
of the information should be documented for reference.
See Figure 3.2A, for an example of a base map that shows
site features and environmental conditions.

LEGEND
RPA - Resource Proptection Area
UST - Underground Storage Tank
AST - Aboveground Storage Tank
P/L - Property Line
PMT - Pole Mounted Transformer

~
\ \
! FARM
PROPERTY

--
RESIDENTIAL
AREA

DATE TITLE SHEET NO.

Dewberry
'
15 JUN 2006 3707 CROSSTIMBER DRNE
PROJ. NO.
06-92780
PROJECT
SHABAN REALTY, INC.
1
FIGURE 3.2A Exampleofabasemap.
14& i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ
3.2.2. Sample Base Map Content
The base map deliverable may contain one or more different
maps, depending on the complexity of the site. The following
list provides a reference to the main components of a base map
but is not intended to be inclusive of all relevant information.
1. Site descriptions: This content provides information
relevant to the location and ownership of the site as
well as adjacent parcels. The land use, types of road,
and owner information will be referenced through-
out the duration of the project.
a. Site owner
b. Site address, coordinate location, datum
c. Major roads, intersections
d. Site area (based on tax map records)
2. Legal: The graphic depiction of the property defines
the physical space of the development. In addition
to the property line, it is important to understand
the location of existing easements and rights-of-way,
which can carry significant development rights and
restrictions.
a. Property boundaries
b. Lot lines
c. Public and private easements
d. Right-of-way
3. Physical features: The physical information of the site
is important even if the project will remove all exist-
ing features. The condition of soil within the site can
change structural requirements, and existing build-
ings and infrastructure may have specific demolition
requirements. Off-site physical features can also
influence the proposed site design based on connec-
tion or separation requirements.
a. Topography
b. Soil classifications
c. Buildings
d. Fences and walls
e. Roads (including classification and speed limits)
f. Driveways and parking spaces (or structures)
g. Transit centers, bus stops
h. Sidewalks, trails
i. Streams, ponds, lakes, rivers
j. Parks
4. Utilities: Information will come from the local
jurisdiction and utility providers. Sources vary, and
accuracy will vary (sewer systems are often easy to
identify from visible structures, whereas a waterline
may change direct and depth without any indica-
tions from the surface). When possible, the base
map should show location, size of utility, and other
physical characteristics like inverts and elevations.
a. Storm drains, stormwater management systems
b. Sanitary sewer, septic systems, pumps
c. Water distribution, wells, hydrants
d. Power (overhead or underground)
e. Communication (overhead or underground)
f. Gas
5. Zoning and regulatory: This information is not visible
like the physical site features, but these site characteris-
tics will govern the allowable development for the site,
as noted in Chapter 2.3. The type and number of zoning
and regulatory areas can be different across jurisdictions.
a. Zoning classification
b. Comprehensive plan classification
c. Special study areas
d. Floodplains
e. Airport areas
f. Conservation areas
g. School districts
h. Census tracts
i. Political districts
6. Environmental and historic: Some initial studies can
be performed to identify environmental and historic
site conditions. This work is often required during
transfer of land.
a. Wetlands
b. Water features (ponds, streams, etc.)
c. Stream buffers
d. Historic features and viewsheds
After compiling the information, the development team
should evaluate the information and identify site constraints
and opportunities. The effort spent on the development of a
base map should focus on potential red flags first. If there is
an indication of a possible red flag on the site (such as a flood-
plain occupying a large area of the site) the first information
collected should be floodplain maps. The team can save time
and money by prioritizing potential issues that may encourage
abandoning the site.
3.2.3. Data Formats
When compiling a base map, it is important to understand the
format types of data that can be utilized. Preliminary infor-
mation will usually come from multiple sources with differ-
ent data formats. Therefore, it is important that the source of
information should be documented with notes related to the
confidence of the information. For example, if the base map
is compiled from computer-aided design and drafting (CAD)
information produced for record drawings (field survey after
construction has been completed), the confidence level would
be high. Conversely, if information is sketched into the draw-
ing based on information shown on hand-drawn design docu-
ments, the confidence would be much lower. For utilities, the
quality of information is generally represented with a nota-
tion of A, B, C, and D. The designation of "X.' is the highest
level and indicates the utility was field located and surveyed,
whereas "D'' means that the information could have come just
from a verbal representation or assumption.
This section is important because failure to understand
the different types of data could cause the wrong data to be
requested. If the wrong data is requested, or not enough data is

requested, it may require additional expenses to correct mis-
communication. The types of data to be discussed within this
section are raster data and vector data, descriptive data and
map annotations, planimetric maps and topographic maps,
digital elevation models, contours, and digital orthophotos.
Raster Data and Vector Data. Raster data consists of pixels
or grid cells of uniform resolution. Digital images are raster
data, as are maps or engineer drawings scanned at 500 or 1000
dots per inch (dpi), for example. A pixel (picture element) is
the smallest indivisible element of a digital image. One pixel
of a LANDSAT satellite multispectral image equates to a 30-
by 30-meter square area on the ground; 1 pixel of a standard
USGS digital orthophoto quarter quad (DOQQ) covers a 1 x
I-meter square area, and 1 pixel of a high-resolution digital
orthophoto typically produced specifically for a land devel-
opment project might cover a 6 x 6-inch area on the ground.
Such images are referred to as having 30-meter, I-meter,
or 6-inch pixel resolution, respectively. However, users can
typically see features that are much smaller than the pixel
resolution; for example, road paint stripes, 4 inches wide,
can often be seen on DOQQs with I-meter pixel resolution.
The resolution of scanned documents is referred to in terms
of dpi. Raster images can be displayed on the computer at
different scales, to the point where pixel breakdown occurs,
and individual pixels are visible, but zooming in does not
improve the accuracy of such raster data.
Somewhat different from a pixel, a raster grid cell is one
element of a more detailed image or surface, simplified for
cost and convenience using user-defined grid-spacing crite-
ria. Square grids are commonly defined to reduce the com -
puter file storage requirements for large geospatial datasets.
For example, whereas it might be desirable to utilize digital
orthophotos with 6-inch pixel resolution as base maps, larger
grid cells of 1, 10, 50 meters, and larger are often preferred to
display soil types, geology, vegetation classification, land use/
land cover, and natural features that do not need to be pre-
cisely depicted. Similarly with elevation data, whereas it might
be necessary to collect light detection and ranging (LiDAR)
data at 4 points per square meter (common when collecting
data in vegetated areas), the file sizes are very large for record-
ing millions/billions of points, and the analysis/display soft-
ware is more expensive. File sizes are much smaller when
using a digital elevation model (DEM) grid spacing of 1 meter
(are larger) for which x-y coordinates do not need to be indi-
vidually stored and only the average z value is stored for each
square grid cell. Instead of complex horizontal coordinates,
grid cells are tracked by sequential rows and columns.
Vector data consists of 2D (x-y) or 3D (x-y-z) coordi-
nates defining the locations of point, line, and area features.
Related terms include nodes, vertices, shape points, arcs,
degenerate lines, line strings, line chains, edges, polygons,
and other terms that have their own definitions. Vector data
may be displayed on a computer with different colors, line
styles (solid, dashed, dotted, etc.), line weights (thicknesses),
and symbols. Vector lines and curves are normally smooth,
while grid cell raster data have a stair-step appearance, espe-
cially when zoomed-in to view the raster data at a large scale.
3.2 ■ BASE MAP AND SITE DIAGRAM 147
CAD drawings (and to some extent, PDFs) are a form of
vector data, as are survey data with points having 2D or 3D
coordinates, and lines having distances and bearings.
Merged raster/vector data is now common with modern
GISs. Raster images are more understandable to humans,
but attributed vector data is more intelligible to computers.
The merger of raster and vector data (normally the overlay
of vector data on top of raster images) allows the best of both
worlds. The raster data normally serves as a base map for
overlay of vector GIS data.
Descriptive Data and Map Annotations. Descriptive data
more fully describes the geospatial data. Annotations are pro-
vided on maps to label the features shown, and some labels can
be automatically created from information stored in a database
(such as a GIS database). Attributes describe the various point,
line, and area features, such as length, diameter, manufacturer,
model, serial number, material composition, burial depth, and
installation data of a utility feature. Design software, such as
CAD and GIS applications, can interpret this data to display
annotations or graphically scale an attribute. For example, a
line representing a pipe can vary in width based on the pipe
diameter attribute. Often, feature attribute codes are used to
describe diverse feature types. Alphanumeric textual data or
attributes are often stored in relational databases, and selected
items from the database may be displayed on maps. Descrip-
tive databases can be managed separately from geospatial data;
for example, a tax assessor's database may be linked to a coun-
ty's parcel maps but maintained separately and confidentially
from spatial databases available to the public.
Annotations are map symbols or alphanumeric labels
such as route numbers, elevations, or names of towns, streets,
rivers, or mountains placed on maps. On digital maps, anno-
tations are normally key entered, then stored with coordi-
nates for the beginning, center, or ending of the annotation
and/or with other rules for placement and orientation, text
fonts, and special characters and symbols of various sizes.
Planimetric Maps and Topographic Maps. Planimet-
ric maps display the horizontal positions of natural and
man-made features and boundary lines. Planimetric data
is displayed in two dimensions only. If maps do not display
elevation data with contour lines or an alternative method,
they are planimetric maps. In a computer, planimetric data is
treated as 2D files having x-y coordinates. Digital orthopho-
tos are a form of planimetric map where no elevation data is
presented. Planimetric maps and planimetric data normally
form the base maps for overlay of other data required for a
land development project.
When people refer to planimetrics, they normally mean
planimetric data that can be seen and mapped horizontally,
typically from stereo photogrammetry described later. Plani-
metrics include hydrographic features (e.g., rivers, lakes, and
shorelines), transportation features (e.g., road/highway edge
of pavement, bridges, railroad tracks, and airport runways
and taxiways), man-made features (e.g., building footprints,
transmission lines, fire hydrants), and other features that
can be seen from aerial photography. The term planimetrics
does not normally include boundary lines and underground
140 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ
utilities that cannot be mapped with stereo aerial photogra-
phy, even though they can be surveyed and georeferenced on
planimetric maps. Similarly, a plan view shows the horizon-
tal location of features as though looking straight down from
infinity (an overhead orthogonal view).
Topographic maps, on the other hand, display both the
horizontal positions of natural and man-made features and
boundary lines as well as elevation data (normally contour
lines). In a digital file, topographic data may be represented
with 3D objects having x-y-z coordinates for individual points
or lines. Topographic data and topographic surveys normally
end at the edge of water bodies, but they often include the ele-
vation the water surface-when referencing the water surface
elevation, it is important to identify that the information for
the surface below the water may be unknown. This is impor-
tant when infrastructure (such as a bridge or utility) crosses
a body of water. If information below the water surface is
required, a bathymetric survey may be performed.
Both planimetric data and topographic data are produced
by combining field surveying, photogrammetric mapping,
and/or remote sensing. Topographic data is also produced
by new remote sensing technologies, especially LiDAR, for
which the intensity images approximate an orthophoto image
and for which lidargrammetry can be used to generate 2D or
3D breaklines. Whether produced from photogrammetry or
lidargrammetry, breaklines are linear features that describe a
change in the smoothness or continuity of a surface. The two
most common forms ofbreaklines are as follows:
• A soft breakline ensures that known z values along a
linear feature are maintained (e.g., elevations along a
pipeline, road centerline, or drainage ditch) and that
linear features and polygon edges are maintained in a
triangulated irregular network (TIN) surface model, by
enforcing the breaklines as TIN edges. They are gener-
ally synonymous with 3D breaklines because they are
depicted with series of x-y-z coordinates. Somewhat
rounded ridges (road crowns) or the trough of a drain
may be collected using soft breaklines.
• A hard breakline defines interruptions in surface
smoothness, for example, to define streams, shore-
lines, dams, ridges, building footprints, and other
locations with abrupt surface changes. Although some
hard breaklines are 3D breaklines, they are often 2D
breaklines because features such as shorelines and
building footprints are normally depicted with series
of x-y coordinates only, often digitized from digital
orthophotos that include no elevation data.
Mass points are irregularly spaced points, each with x-y
location coordinates and z value, typically (but not always)
used to form a TIN. When generated manually (by a photo-
grammetrist, for example) mass points are ideally chosen to
depict the most significant variations in the slope or aspect of
TIN triangles. However, when generated automatically (e.g.,
by photogrammetric automated image correlation, LiDAR)
mass point spacing and pattern depend on the characteristics
of the technologies used to acquire the data and postspacing
criteria selected by the operator.
More information about topographic surveys is discussed
later in this chapter.
Digital Elevation Models. Digital elevation models (DEMs)
have at least three different meanings to different users. For
some, DEM is a generic term for digital topographic and/or
bathymetric data in all its various forms. For the U.S. Geo-
logical Survey (USGS), a DEM is a standard form of eleva-
tion dataset at regularly spaced intervals in x and y directions
georeferenced in Universal Transverse Mercator (UTM)
coordinates (with uniform 30- or IO-meter grid spacing)
or geographic coordinates (with uniform I-arc-second or
1/3-arc-second grid spacing); some data is now available in
1/9-arc-second, approximately 3-meter spacing at the equa-
tor. For others, a DEM has z values at regularly spaced inter-
vals in x and y directions, but with alternative specifications,
such as narrower grid spacing and state plane coordinates.
DEMs always imply elevation of the terrain (bare-earth
z values) devoid of vegetation and man-made features, as
opposed to digital surface models (DSMs) that include the
elevations of treetops, rooftops, towers, and other features
raised above the terrain. In Europe, DEMs are considered to
be synonymous with digital terrain models (DTMs), but in the
United States DTMs include irregularly spaced mass points
and/or breaklines where the slope changes, thereby depicting
the true shape of the terrain more accurately than a gridded
DEM. For more information on this subject, see Digital Eleva-
tion Model Technologies and Applications: The DEM User's
Manual, published in 2007 by the American Society for Pho-
togrammetry and Remote Sensing (ASPRS). DEMs, DTMs,
and DSMs are efficiently used for computer analysis and dis-
play of the topographic surface.
Contours. Contours are lines of equal elevation. Contours
are shown on topographic maps. They are intended exclu-
sively for human interpretation and have little if any value
for computer analyses of the terrain (contours should not
be used to create DTMs). Contours have traditionally been
produced by stereo photogrammetric compilation, where the
operator can see the breaklines (where the slope changes) and
can manually shape the contour lines so that they are aes-
thetically pleasing. When manually compiling maps using
photogrammetry, the compiler also shapes contours (accord-
ing to established rules) where they cross streams and roads.
When contours are generated automatically from DEMs,
they are not as aesthetically pleasing. A DEM has no way of
knowing where a breakline exists between DEM points and,
therefore, cannot automatically shape the contours to depict
streams, roads, retaining walls, and so on, correctly. Break-
lines are added to correct for this limitation.
More information about contours is provided in Chapter 3.5.
Digital Orthophotos. A digital orthophoto has the image
qualities of an aerial photograph but the metric proper-
ties of a map. A digital orthophoto is a digital image from
a perspective photo or image, corrected by an orthorectifi-
cation process so as to remove tilt displacement (caused by
the roll, pitch, and yaw of the aircraft in flight) and relief

displacement (caused by the perspective view of the aerial
photograph, which causes taller objects to appear larger and
closer than they really are to the camera). Digital images are
produced either by acquiring the aerial images with a digital
camera or by scanning aerial film. Processes for removing
tilt displacement and relief displacement are explained in the
section on photogrammetry later in this chapter.
3.2.4. Datums
When compiling a base map, it is important to understand the
different kinds of geodetic datum references that may be seen.
Preliminary information will usually have different datum ref-
erences, or coordinate systems, so it is necessary to understand
the reference requirements of planning documents before the
project design begins. As multiple sources of information and
data are compiled, the datum provide a reference for any nec-
essary translations (movement of data). The datum allow for
different sources of information to be correlated so that all
information is represented in the right location. North Ameri-
can Datum of 1983 (NAD83) is an example of a geodetic
datum. Within a given datum, two numeric values represent a
geographic point, like an x and y value of a graph. The datum
are also used during construction to identify property lines
and proposed infrastructure improvements.
All planning documents, base maps, design documents,
and site plans should include a reference to the horizontal and
the vertical datum of the project. Spatial data deals with loca-
tion, shapes, and the relationships among features (topology).
Site drawings, survey drawings, and architectural drawings are
examples of spatial data normally compiled with CAD tech-
nology. Accuracies are typically depicted in relative terms-for
example, boundary surveys relative to survey corners for which
the geographic coordinates may be unknown in an absolute
sense. Pairs of x-y coordinates may be referenced to an arbi-
trary origin, and accuracies are typically relative-for example,
estimated as n parts per million of the distance surveyed from
one point to the next. The curvature of the earth is often a neg-
ligible factor, and the rules of plane geometry typically apply.
Geospatial data refers to spatial data for which geographic
coordinates are known in an absolute sense, that is, the spa-
tial dataset is georeferenced to true ground coordinates. The
curvature of the earth is important, and the rules of spheri-
cal geometry typically apply. Positioning is relative to geodetic
data, using control surveys having geodetic network accu -
racy, rather than local accuracy relative to an arbitrary origin.
Geospatial data is georeferenced as 2D or 3D coordinates of
points on, above, or below a mathematical model of the earth
(ellipsoid). Horizontal positions may be expressed in terms of
geographic coordinates, that is, longitude east or west of the
Greenwich Meridian and latitude north or south of the equator.
For land development general planning purposes, horizon-
tal positions are normally expressed as 2D rectangular coor-
dinate pairs, that is, easting (x) and northing (y) coordinates
relative to a horizontal datum and coordinate system origin
(where x and y coordinates are zero) normally defined by the
State Plane Coordinate System (SPCS). For detailed planning
purposes, a z value is added to each x-y coordinate pair in
3.2 ■ BASE MAP AND SITE DIAGRAM 149
order to define elevations relative to a vertical datum and ori-
gin where the elevation (z value) is zero. These 3D coordi-
nates may be obtained from ground surveying (as described
in detail in Chapter 5.2) or aerial surveying and mapping, to
include photogrammetry and LiDAR. These 3D coordinates
could also be obtained from various forms of GIS.
Global positions system (GPS) measures heights above a
global mathematical surface model called an ellipsoid. In the
United States, the ellipsoid of choice currently is the World
Geodetic System 1984 (WGS84). The current version of the
global geoid used in the United States is GEOID12B. For GPS
operations, an elevation or orthometric height is the distance
from the GEO ID to the point of interest on the ground.
The types of data to be discussed within this section are
horizontal control system coordinate data; vertical control
data; global positioning system; NGS ellipsoid models; and
geoid models and orthometric heights.
Horizontal Control System Coordinate Datums. The hori-
zontal coordinate systems establish survey control for agen-
cies. These are usually selected from one of the National
Geodetic Survey (NGS) State Plane Coordinate System
geodetic map projections (1927 or 1983) or NGS Universal
Transverse Mercator Zones. There is one or more specific
coordinate systems designed for each state, which has sub-
sequently been incorporated into state law as the approved
state coordinate system by the state legislature.
The most current version of the national horizontal
datum is the NAD 83, with adjustments based on National
Spatial Reference System (currently NSRS 2011). The pre-
vious horizontal datum was NAD 27, which used different
conventions and measurements and also included very dif-
ferent coordinate values.
A point on a site is referenced by the easting and northing
value. Similar to how a point on a grid is defined by the X and
Y values, the easting and northing is a numeric definition for
the location of the point-based the State Plane Coordinate
System. These values define a specific point on a site that can
be referenced back to the design documents.
Vertical Control Datums. The vertical datum is frequently
defined as one of the NGS national (engineering and map-
ping focus versus tidal) vertical datums. Sometimes it is the
older 1929 National Geodetic Vertical Datum (NGVD29), but
increasingly it is the 1988 North American Vertical Datum
(NAVD88). These vertical datums are designed to span the
entire continent with a uniform vertical datum suitable for map-
ping and infrastructure design. It's necessary to understand and
identify the vertical datum used on a project as not all jurisdic-
tions use the same datum. The elevation value that's identified
for a feature will be different if the vertical datums are different
(and the difference is not constant across the continent).
It is critical for the design team to understand that these
datums usually do not match local sea level on the coasts of
the seas, bays, and the Great Lakes. Corrections based on ties
of the engineering datum to local water height monitoring
stations must be made for coastal design work. In addition,
the design team should be aware that it is not uncommon to
find agency-specific assumed vertical datums, especially in
150 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ
older coastal cities, that are not a part of the national datum
definitions.
Vertical datum shifts, which can propagate with global
navigation satellite system (GNSS)-based survey control, are
an important source of error in development projects. This is
especially true when tying two different projects together or
when a subsequent project phase is started years later. Project
vertical datum errors are often economically catastrophic for
a development project and must be guarded against continu-
ally by the project surveyors. Projects with multiple datums
are best served by including a nomograph (diagram) on the
project plan set.
Global Positioning System. Most jurisdictions have cre-
ated specifications for the accuracy of ties to GPS, and
almost all land development projects will make use of GIS
horizontal and vertical control, particularly in metropolitan
areas. Land development surveyors will most likely encoun-
ter this standard and specification if they are involved in the
establishment of geodetic control for the creation of a GIS.
The Federal Geodetic Control Subcommittee (FGCS)
has developed the Geometric Geodetic Accuracy Standards
and Specifications for Using GPS Relative Positioning Tech-
niques. It created new survey categories, including AA, A,
and B order. The corresponding relative position accura-
cies for the new orders are 1:100,000,000, 1:10,000,000, and
1:1,000,000. The traditional first, second, and third orders
are now included in the C group in the FGCS document (as
Cl, C2-I and C2-II, and C3), with the corresponding accu-
racies being 1:100,000, 1:50,000 (or 1:20,000), and 1:10,000.
Using first-order points as an example, network accuracy
in NAD 27 was approximately 10 m, while local accuracy
was 1 part in 100,000. With NAD 83, network accuracy was
reduced to 1 m, while local accuracy remained the same. But
with the addition of GPS into the High Accuracy Reference
Networks (HARN), the network accuracy improved to a tenth
of a meter, and local accuracy for B-order marks improved to
1 part in a million, while A-order marks improved to 1 in
10 million. Finally, with continuously operating reference
station, both network and local accuracies have improved to
1 cm. Both standards are relative accuracy measures.
Ellipsoidal/orthometric heights are also included in the
new standards. The difference between horizontal control,
discussed previously, and vertical control is that horizontal
accuracy is expressed as 2D (x, y) circular error, vertical con-
trol accuracy is expressed as 1D (z) linear error, and both
are expressed at a 95 percent confidence level. Additionally,
these standards meet the needs of GIS users.
NGS Ellipsoid Models. There are two NGS ellipsoids used
for the latitude and longitude determinations of the national
control networks. The 1927 datum is based on the 1866
Clarke Ellipsoid, which is a surface fit (mean sea level), con-
tinental geoid model. The 1983 datum is based on the GRS80
global fit (earth centric) ellipsoid, which at the time of its
formation was very nearly equal to the WGS84 ellipsoid. All
GNSS measurements in the United States are made in the
WGS84 definition.
The older 1927 datum contains many distortions and there
is not a precise, known relationship, between the 1927 and 1983
datums. Free software developed by NGS and the U.S. Corps of
Engineers such as CORPSCON can perform mapping accuracy
transformations between the two systems, but the transforma-
tion accuracies are not suitable for precise surveys.
Geoid Models and Orthometric Heights. From the practi-
cal perspective of project survey requirements, the elevations
used in the project are equivalent to what the NGS terms the
orthometric height. Classical differential leveling is carried out
in the local gravity field. GPS uses a national gravity model
called the geoid model, which closely models the variation in
local gravity fields across the entire continent. This model cor-
responds closely to the national engineering datum NAVD88.
GNSS locates a position on the WGS84 ellipsoid, which
is a mathematical model of the earth and then uses the
geoid model assigned in the processing software along with
the height of the GNSS receiver antenna to develop a best
estimate of orthometric height (elevation) at the position
measured. There can be significant differences between the
GNSS elevation derived from its two models of the shape and
gravity of the earth and the differentially leveled elevation
measured on-site.
Land surveyors working on a development project should
expect to have to comply with local agency survey horizon-
tal coordinate and vertical datum requirements. If these do
not exist, surveyors will use GNSS equipment and methods
to establish appropriate modern NAD83 State Plane coordi-
nates and NAVD88 elevations for the project.
3.2.5. Accuracy Requirements
As information is compiled for base maps, it's important to
document the source as well as the accuracy of the informa-
tion shown. Absent of a reference to potential inaccuracies, the
information presented by a design professional is often consid-
ered accurate. Some sources of information will not have any
guarantee or reference to accuracy requirements, but informa-
tion prepared by a surveyor should follow standard accuracy
requirements. According to the National Mediator Accredita-
tion System (NMAS) (Bureau of the Budget, 1947), horizontal
and vertical accuracy of maps are defined as follows:
• For maps produced at a scale of 1:20,000 and larger
(which includes most land development projects),
"not more than 10 percent of the points tested shall be
in error by more than 1/30 inch, measured on the pub-
lication scale .... These limits of accuracy shall apply
in all cases to positions of well-defined points only.
'Well defined' points are those that are easily visible
or recoverable on the ground, such as the following:
monuments or markers, such as bench marks, prop-
erty boundary monuments, intersections of roads,
railroads, etc.; corners of large buildings or structures
(or center points of small buildings), etc. In general
what is 'well defined' will also be determined by what
is plottable on the scale of the map within 1/100 inch:'

Circular Map Accuracy Standard (CMAS) equals
1130th of an inch; at ground scale, the CMAS equals
1130th of an inch divided by the map scale. For
example, DOQQs compiled at 1 in= 1000 feet have
a CMAS of 1130th of an inch on the map or 33.3 feet
on the ground.
• "Vertical accuracy, as applied to contour maps on all
publication scales, shall be such that not more than
10 percent of the elevations tested shall be in error
more than one-half the contour interval. In checking
elevations taken from the map, the apparent verti-
cal error may be decreased by assuming a horizontal
displacement within the permissible horizontal error
for a map of that scale:' For example, the Vertical
Map Accuracy Standard (VMAS) equals one-half the
contour interval on the map, or 1.0 foot in ground
elevation if the contour interval is 2 feet.
Both the CMAS and the VMAS are standards at the 90 per-
cent confidence level, but these NMAS errors do not neces-
sarily follow a normal distribution-that is, there are no limits
to the size of the errors that exceed the CMAS or VMAS. The
NMAS is now obsolete for use with digital geospatial data.
ALTA/NSPS Standard. For commercial property, another
standard exists. Because there is such wide variation in the
standard of surveying between different locales, clients need
assurance about the degree of accuracy of the survey work.
Members of the American Land Title Association (ALTA),
in cooperation with the National Society of Professional
Surveyors (NSPS), realized that no national standard existed
to judge the accuracy of land title surveys. So, in 1962, the
ALTA/NSPS Minimum Standard Detail Requirements for
Land Title Surveys were developed. Some state boards of
registration have incorporated the ALTA/NSPS Standards
into the accuracy requirements of their minimum stan-
dards, and land development surveyors should check their
local and state requirements to see whether this condition
exists and applies to their projects.
The ALTA/NSPS standard has undergone many updates
after starting in 1962. The original rationale behind these
standards was that the title insurance industry needed to be
held responsible for the legal aspects of accuracy standards,
while the surveying community would be responsible for the
surveying and accuracy aspects. The title industry has gen-
erally not concerned itself with the accuracy portion of the
standards but instead has relied on NSPS to develop them.
With the 2016 changes, ALTA and NSPS separated the sur-
vey accuracy specifications from the rest of the standards to
allow for the adoption of necessary updates without having
to revise and readopt the entire document.
In the most recent version of the ALTA/NSPS Standards,
the organizations have reverted to a positional accuracy
standard. This new standard allows surveyors to employ
appropriate procedures and equipment if a maximum allow-
able amount of positional uncertainty in any corner location
is not exceeded.
3.2 ■ BASE MAP AND SITE DIAGRAM 151
3.2.6. Typical Surveys
The typical surveys encountered on a land development project
are boundary and topographic surveys. These are necessary to
start a project and are an important aspect of defining the base
map. The developer may be reluctant to invest in actual survey
work during the site analysis phase, but survey information (as
opposed to GIS or other public information) is accurate, certified,
and significantly more detailed. There is a significant amount of
information that can only be obtained through survey work and
ordering a site survey is the only way to ensure the information is
current and certified by a professional. More information about
detailed surveys is discussed in chapter 5.2, but the survey types
and basic survey process are introduced in this chapter.
Boundary Survey. A boundary survey is a process to iden-
tify the property lines, true property corners, and easements
within a tract of land. In the land development process, the
determination of tract location and geometry is extremely
important. All future work related to development hinges on
the initial survey work. Should an error occur in the survey,
it will most likely manifest itself in later stages of the devel-
opment process. It is conceivable that errors in the initial
survey could lead to improper location of streets and other
improvements and to incorrectly placed interior boundary
lines. Errors such as these could bring on project delays, pos-
sible project shutdown, and redesign which inevitably cost
both time and money. The results of poor judgment associ-
ated with boundary line location can be severe: clients lose
confidence and can even pull or rescind work as a result.
When the development involves one or more loans, the
lender typically requires certain assurances to be confident
that its investment is as risk-free as possible. One of the tools
to minimize risk is the ALTA/NSPS Land Title Survey. This
type of survey is defined by a set of standards adopted and
periodically revised by the ALTA and the NSPS.
The Minimum Standard Detail Requirements for ALTA/
NSPS Land Title Surveys outline the responsibilities of the
surveyor in conducting a survey that will be used by the title
company and lender in conjunction with the closing of a
commercial loan on real property. The standards also outline
the responsibility of the client or his or her representative
with respect to providing complete sets of documents from
the title research and as may otherwise be required by the
surveyor to conduct a proper and complete survey. In addi-
tion, the optional items allow the client or lender to request
additional information from the surveyor related to certain
specific issues such as availability of utilities.
The ALTA/NSPS Minimum Standards call for the sur-
veyor to resolve the boundary of the property in addition to
providing comprehensive documentation of any facts on the
ground or in the provided records that may be evidence of
otherwise unknown or undisclosed title problems. Such facts
might include, for example, gaps or overlaps with adjoin-
ers, and potential encroachments and uses of the property
by others. The disclosure of these facts allows the title com-
pany, lender, and buyer to weigh the associated risks and to
152 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ

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FIGURE 3.28 Example of a boundary plat. (Reprinted by permission of Uniwest Construction, Inc.)

negotiate or formulate appropriate resolutions to any issues
that might have been found during the survey. An example
of a boundary plat is shown in Figure 3.2B.
Easements. An easement is an area of a parcel that grants
certain rights to an entity for a specific purpose but does not
include ownership rights (as introduced in Chapter 2.1).
An underground sewer pipe may have an easement
that allows the utility provider to access the site and main-
tain the pipe system. Many land and title features may be
located within easements. In addition, easements are often
associated with infrastructure systems; these include, but
are not limited to, easements for streets, wells, drainfields,
stormwater runoff, storm and sanitary sewers, gas lines,
and power lines. Easements do not have to be associated
with a physical infrastructure feature-an easement may
exist to provide access across a site, reserve an area of land
for future roadways, allow temporary construction activi-
ties by others, or provide other rights. Easements are usu-
ally recorded in the local courthouse and referenced in the
plans with a deed book and page number (often identified
as DB/PG).
Two types of easements, namely express and implied,
can lead to land disputes. The law provides for express ease-
ments. The law also recognizes that easements may exist or
be created that are not express. These are implied and pre-
scriptive easements (refer to Chapter 2.1 for more informa-
tion on easement types).
It is important that the project surveyor identify whether
any easements exist at the time the boundary survey is being
conducted, since they may interfere with later development
plans. For example, an easement may exist for a utility sys-
tem that prohibits development of a new structure within
the easement; some easements, such as electric transmission
lines, can be over a hundred feet wide. Therefore, locating
existing easements is an important part of any survey. Various
easements, such as storm, sanitary, ingress/egress, and public
access are shown in the subdivision plat in Figure 3.2C.
Topographic Survey. While the boundary survey is the
delineation of property lines and easements, topographic
survey is the delineation of physical features. A topographic
survey usually includes planimetric features, but Figure 3.2D
provides a graphic representation for how the information
 3.2 ■ BASE MAP AND SITE DIAGRAM 153

I
I

CT '/(,

- .,, ·
.
;,,

~
';
~ '-
If:
~_y'f

FIGURE 3.2C Example of easements on a subdivision plat with easements.

Topographic Map Plan imetric Map

FIGURE 3.2D Example of a (a) topographic map and (b) planimetric (zoning) map.
154 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ
might vary between a topographic and planimetric map.
Although the topographic features of a property may have
some significance to project feasibility and site analysis, their
primary importance is initially realized in the early design
and engineering phase. The horizontal and vertical positions
of natural and man-made features play a critical role in deter-
mining how a site will be engineered to suit the intended use
of the property. Consideration must also be given to the way
these features relate to those lying on adjoining properties
and within street rights-of-way or easements. Determining
how utility services can be provided to the proposed develop-
ment is among the first preliminary design tasks undertaken.
Topographic information for areas well outside of the proj-
ect site boundaries is often needed to make preliminary deci-
sions regarding design considerations such as storm drainage
patterns. When this is the case, the use of smaller-scale topo-
graphic maps, such as those available from the USGS with a
scale of 1 inch= 2000 feet or from local GIS data, is appropri-
ate. As the design process begins to focus more on intricate
details, smaller-scale (e.g., 1 inch = 50 feet) maps are needed
to ensure that site engineering is as balanced as possible with
regard to earthmoving and the use of utilities.
The size and relative detail of a site often determine the
surveying methods employed. For large areas, aerial pho-
tography and photogrammetry are economical means of
providing detailed maps, as is LiDAR. These surveys have
become increasingly more accurate with improved tech-
nology, but they always need to be field verified. Moreover,
there may be site features that will need additional detail
such as areas obscured by tree cover. Field methods employ-
ing electronic survey systems may be used on other sites to
create quality maps in a timely fashion. For small sites, other
methods-such as radial conventional or RTK GPS (real-
time kinematic global positioning system) surveys-may
prove more cost-effective.
The information collected for a topographic survey focuses
on elevations at points around a site. When the elevations are
field measured, the points selected are determined by the sur-
veyor based on what information is required to accurately define
the site topography. The critical elevations include locations
around a building, utility structures, channel sections, vegeta-
tion, and other site features. In undeveloped parts of a site, such
as a large field or forested area, the elevations points are collected
on a grid. These elevations are then used to generate contour
maps for the site, which provides a more legible way to interpret
the topography (see Chapter 3.4 for more information).
With remote sensing processes, like LiDAR, the system
collects all visible information (often millions of points).
The collected points are often referred to as a point cloud,
which provides a detailed geospatial definition of all visible
points. The surveyor (or technician) will identify critical
elevations within the model to create the necessary con-
tour map. In this case, the field time is significantly reduced
but so much data is collected from the LiDAR system that
it requires time to determine what information should be
shown in the plan. Figure 3.2E depicts the point cloud from
FIGURE 3. 2 E Example of LiDAR data.
terrestrial LiDAR survey of a roadway and adjacent areas.
The visible features (buildings, road signs, utility poles) are
comprised of various points.
Because the topographic map is an integral part of the design
process, omission of valuable information in a topographic sur-
vey can lead to costly problems. Detailed description about
how survey work is performed is provided in Chapter 5.2.
3.2. 7. Survey Process
A site survey, whether from terrestrial or aerial methods, is
required to accurately locate topographic, planimetric, and
subsurface utility features on the site. Field (terrestrial survey)
methods are necessary in land development when detailed
location of surface and subsurface utilities is required. For
large sites (often above 20 acres), an aerial survey may be
performed to collect topographic and planimetric features
(subsurface utilities would still require field work). There are
several different methods and tools for gathering the survey
data, as identified in Chapter 5.2.
General Procedures. Land development applications often
require a series of maps showing different data and they are
drawn at different scales. Normally, the site engineer will
specify a scale or contour interval and coverage required for
the mapping, as well as the final product required. When
defining the scope of work for survey, the preliminary design
information should be referenced. Both horizontal and verti-
cal control datums are required.
Research of Boundary Survey. Research for boundary
surveys begins by gathering property descriptions, tax
maps, roadway plans, zoning maps, easements, and other
related information. Gathering of this information begins
when the developer enters negotiations for the future
development of a tract of land. An important depository
of research information is the local courthouse. Local util-
ity companies often can provide valuable maps and infor-
mation. State and federal agencies maintain valuable land
information. Title insurance companies can play a role
in providing deeds, easements, other record title infor-
mation, and previous surveys of the subject property or
adjoining properties; however, title insurance companies
often do not research far enough back in time to return to
the original survey.
 3.2 ■ BASE MAP AND SITE DIAGRAM 155

Existing maps or plats of the land provide visual support
for reaching conclusions that ultimately result in re-creating
boundary locations. Maps may be found during the search
ofland records and from the evidence found during the field
survey. Plotting individual deeds, patents, and grants pro-
vides pieces of a jigsaw puzzle. When the pieces of the puzzle
fit together and form a logical composite map, this may pro-
vide some clues to successfully interpret land ownership and
boundary location.
Two of the primary systems that form the basis of land
descriptions in the United States are the metes-and-bounds
system and the Public Land Survey (PLS) System (later called
the General Land Office, or GLO System). There are other
systems that have historically been used in different areas
within the United States; therefore, surveyors should famil-
iarize themselves with the system that applies to the project.
These systems have an impact on interpretation of evidence
gathered in the research process.
Research of Land Records. The actual process of con-
ducting research varies widely across different regions of
the United States. The project surveyor must seek out all
information from public and private records that may be of
benefit in performing the survey. Ideally this information is
gathered and evaluated prior to commencement of the field-
work. If not, additional trips to the field will be required as
new pieces of evidence from the records dictate further field
investigation.
Research information comes from a variety of sources.
Typically, a visit to the local jurisdiction assessor and/or
auditor (the name and function of county offices differ in
various parts of the country) will help in the search for the
record descriptions of the subject property and its adjoiners.
Most tax maps are geographically inaccurate, but they are
useful in identifying the juxtaposition of subject and adjoin-
ing properties, roads, streets, and other features.
Once the names and property transfer dates are determined,
a copy of the actual transfer document can normally be found
in the registry of deeds, county recorder's office, or clerk of the
court. This office of public record varies from state to state.
All states allow for the recording of deeds when the trans-
fer of real property takes place, and almost all such transfers
by deed are recorded. These recordation statutes provide a
means of giving notice of ownership of the estates disclosed in
the recorded instrument. Unrecorded deeds or other instru-
ments are generally valid only between the immediate parties.
These recordation statutes are not applicable in cases of title
acquired by unwritten means such as adverse possession.
Intentions as to boundary location must be obtained
from the information at the time the lines and corners were
created. Comparison of the deeds of the subject tract should
be made with those of the adjoining property to determine
whether conflicting calls exist.
The type or method of physical record keeping var-
ies across jurisdictions. Many continue to maintain their
records as they have for 200 or more years, in transfer books,
grantee/grantor index books, and deed record books, while
many others have converted modern forms of recordkeep-
ing. With GIS, many more jurisdictions will have records in
a digital format, which is often available online.
The actual process of checking the title begins with the
name of the present owner in the grantee index. The grantor
of this conveyance was the grantee of the previous conveyance.
Looking each previous conveyance up in this manner results
in the development of a chain of title for the property. Using
this chain, a person familiar with reading and interpreting title
documents can determine whether each person in the chain
took title to the property in a regular manner without defect.
The grantor's name, the type of instrument, and the book and
page of the actual recorded document involved in the trans-
action is listed with each entry. In some instances, a brief
description and location of the property are included. A copy
of a partial page from a typical grantee index book is shown in
Figure 3.2F. A grantor book is identical except that the index is
on the name of the grantor rather than the grantee.

GRANTEE General Index To Real Estate Conveyances - Forsyth County, N.C.

d"To locate Names, Open at SURNAME INITIAL TAB and Refer Made By The Cott Index Company, Columbus, Ohio
To Buff Sub-Index Sheet For Page Reference Sold By Observer Printing House, Charlotte, N.C .

DATE KIND OF RECORDED BRIEF DESCRIPTION,

OF
INST.
GRANTEES INSTRUMENT LOCATION, ETC.

GIVEN NAMES GIVEN NAMES GIVEN NAMES

GRANTOR Book Page
SUIINAMES ABC0£FGH IJKLMNO l'ORSTUVWXYZ

1987 Gilder J. Roger James M . & Margret Lipsitt Deed 974 107 George D. Lester Property

1987 DO J. Roger Larry S. & Judy Smith Deed 976 426 Block 1 8, Lot 7-Greenhills

1988 DO Frank L. Mark N . & Sally Johnson Deed 981 331 Thomas Morrison Tract

1988 DO J. R. Robert L. Martin & Wife Paula Lease 984 274 Easement

1988 DO Frank L. P. L. Bandcroff Deed 985 67 Harris 13 Tract

1988 DO Frank L. Kenneth & Mary Spillman D of T 987 493 Lot 41, Block 3-College Park

FIG u RE 3 . 2 F Example of a grantee index book.

15& i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ
Visible evidence of potential encroachments of any kind
must be located and the history of the encroachment docu-
mented if possible, An encroachment may be defined as a
trespass or the commencement of a gradual taking of posses-
sion or rights of another. Encroachments may take the form
of walls, fences, buildings, or other structures representing
occupation or possession, which extend onto another's title
rights. Encroachments may lead to claims of unwritten rights
such as adverse possession or acquiescence when the party
whose land is encroached upon allows the encroachment to
go unchallenged. Such an implied consent may cause loss of
title through certain doctrines.
Often land contemplated for development comprises sev-
eral smaller tracts, which are joined together to form a larger,
more developable tract (consolidation). In such a situation,
it is important for the surveyor to confirm the contiguity of
the parcels involved or to identify the existence of any gaps
between the parcels. This is critical because the record title to
such a gap may lie in the hands of some former owner rather
than in the hands of the owner of the parcels being surveyed.
Gaps can be as troublesome as encroachments if not identi-
fied and quantified before development begins.
Boundary Discrepancies. The project 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 reconciled if possible.
Discrepancies in metes-and-bounds descriptions are
often the result of variation in magnetic north between the
time the legal description was constructed and the present
reference to north, as well as the instruments used to per-
form the survey. Variation in distances can also exist. Both
human error and improvements in technology are 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 sit-
uation is required because bearings are often copied from
older deeds. The origin of the bearing would be the date of
the survey that produced the bearing. The date of the ori-
gin of the bearing must be known so corrections for mag-
netic declination can be properly made. This is necessary in
the proper preparation of the composite map. Reference to
direction in different documents having various dates can
be adjusted to a common north system of reference. This
common reference could be true north, State Plane Coor-
dinate Grid North, or some other local system that might
be prescribed.
Differences in distances can result from a failure to con-
vert units used in original surveys to those of the adjoining
property or those in use at present. Reconstructing an old
survey is not a simple matter. The surveyor must be familiar
with the units of measurement used at the time the original
survey was made. Often these measurements had more than
one interpretation.
Early land grants were often described using differ-
ing lengths of chains and varying sizes of acres. The best
example of this is given by the variation in the acre in dif-
ferent parts of England. In Devonshire and Somersetshire,
the acre was 160 perches of 15 feet, or 36,000 square feet. In
Cornwall, the perches were 18 feet and yielded 51,840 square
feet. In Lancashire, the perches were 21 feet and the acre was
70,560 square feet. When the early settlers of this United States
began to survey the land, they often used the measure with
which they were familiar. Today, an acre is 43,560 square feet.
Courts throughout the United States, particularly in the
western states, have found that many of the original govern-
ment surveys of parts of the public lands were imprecise. The
reasons for these inaccuracies included low land value, dif-
ficulties encountered during the surveys, and, in some cases,
outright fraud. This phenomenon is also true for those early
surveys of the original grants in this country.
Project Control. The first step in planning for the topo-
graphic survey of a land development project is the com-
pletion of well-planned horizontal and vertical control
networks. These networks must be geometrically strong and
well monumented.
Data must be gathered and compiled in such a way that it
can be used for preliminary and final design. Electronic and
robotic total stations, GNSS in all its many configurations,
and electronic data collectors are common instruments for
field-run surveys. Photogrammetry, which uses aerial pho-
tographs combined with ground control points to generate
topographic maps, has become the preferred method for sur-
veying large sites.
The photogrammetric survey method is not appropriate
for determining boundary lines, although it may serve in an
evidentiary capacity, allowing a broad overview of an area
not available at ground level. Small sites, particularly those
with extensive features, are still commonly surveyed using
field methods. Both the field survey data and the photogram-
metric survey data can be compiled into digital topographic
maps to serve as the base layer for design files.
The number and location of the control points depends
on the nature of the project and on the surveying method
used. As a matter of convenience during the design and
construction phases of the project, control points should be
interspersed throughout the site. It may be cost effective to
use traverse points located in the boundary determination
as horizontal control stations for the topographic survey.
Establishing control points as part of the boundary traverse
loop and cross-ties through the middle of the site provide
a network convenient for use throughout the design and
construction phases of the project. To do this, adequate fore-
thought on traverse location is needed at the time when the
traverse is being set for the boundary determination.
Traverse Survey. The traverse may be conducted using
conventional equipment and procedures, such as measur-
ing angles and distances with a total station or theodolite
and an electronic distance-measuring (EDM) device, or the
surveyor may employ the use of global positioning system

(GPS) receivers to establish locations using satellites. Fre-
quently a combination of procedures and equipment is used.
Available personnel, terrain, site features, vegetation, and
traffic often dictate the most logical equipment and proce-
dures to employ.
No matter what procedures and equipment are used, the
lines and points on the traverse should be located on the sub-
ject property when at all possible to prevent the need to work
off-site. Traverse stations on the survey should be placed at
the most advantageous locations and frequencies, consider-
ing they will subsequently be used to locate features on the
property and possibly for other functions later in the devel-
opment process. These uses include topographical surveys,
construction stakeout work, and control surveys for the
development. If points are destroyed, the configuration of
the initial traverse should allow for easy replacement.
The traverse control points serve as the basis for locating
visible, found, or described corners, fences, tree lines, and
other features relevant to the title, lines, and corners in addi-
tion to those improvements called for in the state or ALTA/
NSPS standards or as may be required by the client.
Cross-ties between nonadjacent points of the traverse
should be made as frequently as is practical. This affords
checks on the survey work and allows for better survey
adjustment of results. These cross-ties also provide addi-
tional stations for control and stakeout in later stages of
development. Survey markers set on this traverse, such as
rebar, pipes, or concrete monuments, should be of a length
and diameter to be secure after installation or as required by
state minimum standards. Alternative objects such as "PK"
nails or scribe marks can be used when they are more suit-
able for the conditions.
All traverse stations should be referenced for ease of
future recovery. A minimum of three references is desirable.
The references should be accurately described and recorded
in the field notes. See the illustration in Figure 3.2G for an
example.
j j
8 Traverse Station
Q Tree or Other "Permanent" Object Used for Reference
FIG uRE 3. 2 G Methods to reference traverse stations (transverse ties).
3.2 ■ BASE MAP AND SITE DIAGRAM 157
8=----
------
~I.I - - -
Approx . 90' ~ L Point on
Traverse Line
- ~ , - - -------8
Distance
-- ... --......... eosured <t' :
------
Disi;;;.,~~------ i
---- ---~ - -
' ---
~ Offset
Distance _... ..--- --
---
/C~ . ,,.
FIG uRE 3. 2 H A boundary point is tied to the traverse using a mini-
mum of two references. Shown here is (a) a measured angle and distance
directly to the point and (b) measured distance to POL (point on line) and
offset distance to the point.
Field crews must be sure that the information to be in
relation to the boundary traverse is properly tied to the sur-
vey traverse line using methods that afford redundancy in
measurement to better ensure the integrity of the data. This
is particularly important when locating markers and monu-
ments, which are integral to the resolution of the boundary.
See Figure 3.2H for an example of points to be tied to the
traverse.
Locating Features and Improvements. When physical
features are located with a survey they are depicted and often
annotated, as referenced in Figure 3.21, for abbreviations
used in data collectors. Found iron pipes, concrete markers,
stakes, and other objects used to mark corners and points on
line are evidence and must be located. The locations of tree
lines, old fence lines, walls, ditches, and other features on or
near the division lines must be determined and described
in detail, including the material from which objects are
made and the condition of the objects. Photographs of the
evidence for future reference are helpful. Such photographs
can provide excellent supportive evidence should the survey
result in litigation. Points found during the survey and called
for in the deed should be used as traverse stations when they
are accessible.
Existing streets may have an impact on the boundary
line determination and later development. The locations
of pavement, right-of-way lines, and centerlines should be
recorded in the field notes. When no pavement exists, the
traveled way should be located. Access roads on or across
property, whether in use or not, should be located and
shown. Such roads might be used for access to surrounding
property and as such might be included in an easement.
Cuts or embankments, tree lines, or fencerows, which
might indicate long-abandoned roads, should be located
and shown.
Coordinating Field and Office Procedures. Before field
work begins, office procedures begin with a meeting between
the site engineer, field party chief and the surveyor of the
computing department. A lack of communication between
these two will usually result in error, frustration, and inef-
ficiency. Most topographic surveys are done in concert with
15a iiih3iiili ►irti· i/Oihti\ii,■ ;@iliiiii 1 / 1 ih/i,i-V: 1 i/idtJ
01 - Horizontal Control II - Centerlines 33 - Electric
TRV CL. Centerline Road ELE
PXP - Panel Point ···-----····-----·---·--------·-··--··-····-------------
35 - Building
BLD

OS - Property/Boundary 17 - Pavement 37 - Utilities Misc

IPF EP. Edge of Pavement UTL
EIP Existing Iron Pipe EPL EP Left OU. Overhead U1ili1y
EIR Existing Rod/Rebar/Pin GDR EPR EP Right PD. Telephone l'cdcsial
EPT Existing Pinch Top uu. Underground Utililv
EIO Other (Describe) 18 - Curb CTV Cable TV
MKT Marked Tree TC. Top of Curb MCP Utility Marker l'ost
N Nonh TCL Top of Curb Left UMN Utility Manhole
s South TCR Top Curb Right VLT Utility Vauh
E East BC. Back of Curb (Top) ---·----------
w West FC. Face of Curb (Flow) 42 - Miscellaneous
MON Existing Cone. Mon. MIS
NIP New Iron Pipe 19 - Concrete MB. Mail Box
PK. P.k. Nail CON RS. Road Sign
RW Right of Way Mon. CCP Comer Concrete Pad GL. Ground Light
STN Stone EC. Edge of Concrete
SW. Edge of Sidewalk

07 - Grade Elevations 20 - Shoulder 44 - Wetlands

SPT SHL WET
GR. Ground Spot Shot ·-·-·---·-·-····
GRP Pavement Spot Shot 21 - Parking Stripes/Paint Lines 58 - Break
GRC Concrete Spot Shot PRK BRK
GRG Gravel Spot Shot TB. Top of Bank
22 - Utility Poles BB. Botton of Bank
UPL ------·-·····--
GP. Guy Pole 60 - Walls
GW. Guy Wire WAL
LP. Light Pole CW. Centerline Wall
PP. Power Pole EW. Edge of Wall
SP. Service Pole
TP. Telephone Pole

08 - Stream/Pond/River 23 - Water 61 - Test Pit

TP.
STR Stream WAT
DL. Ditch Line HYD Fire Hydrant .............
WL. Edge of Water MW. Monitoring Well 62 - Unimproved
PIV Post Indicator Valve UNI
WL. Waterline PAT Trail or Path
WE. Well EG. Edge of Gravel
WM. Water Meter DT. Edge of Dirt
WV. Water Valve

09 - Vegetation 26 - Storm 63
FR.
-
Railroad
Frog
VEG STM
OB Ornamental Bush BXC Box Culvert PS. Point of Switch
OT Ornamental Tree CMP Corrug. Metal Pipe RR. Railroad
HOO Hedge CPP Corrug. Plastic Pipe IR Inside of Rail
WDL Woodline DIP Ductile Iron Pipe CL Centerline of Rail
DIG Drop Inlet-Curb Grt. ····-···--------
TR Tree DIS Drop Inlet-Curb Std. Desc. Format for Point
A (Cherry), Size (In.) RCP Reinf. Cone. Pipe
B (Beech), Size (In>) SDM Storm Drain Manhole LL-PPPDS .
C (Cedar), etc ... TCP Terra Cotta Pipe --Sub Desc.
D (Cottonwood) VIG Tard Inlet-Grate --Draw Code
E (Elm) VIS Yard Inlet-Std. --- 2 or 3 Char
F (Ash) N (Tupelo) I (Invert), Size (In.) Point Descriptor
G (Locust) p (Pine) T (Top), Size (In.) -- ,-, Oas Character
H (Hickory) Q (Oak) - 2 Digit Layer Code
J (Burch) R (Dogwood) 29 - Sanitary
K (Sasafrass) s (Sycamore) SAN Use a • ." (Period) as a Place lloldcr When
L (Sweet Gum) T (Poplar) co. Cleanout There Is Only 2 Chars in the Point l>cscriptur
M (Maple) z (Misc.) SSM Sanitary Sewer Manhole and in Place of the Draw Code When Thcr~ Is
None.

10 - Fence 32 - GAS Draw Codes (7th Position)

FEN Fence GAS L - Line
GDR Guard Rail GL. Gas Line C - Curve
GPP Guard Pipe Post GM. Gas Meter z - End Draw Sequence
GV. Gas Valve y - Close into Initial Point

FIGURE 3.21 Codes and abbreviations used for data collectors.


other field tasks such as boundary survey or soil borings. In
most instances, knowledge of foregoing survey operations
will reside within the files of the computing department.
The survey party chief, in collaboration with the com-
puting department 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-
acter. Depending on data collector and computer software
flexibility and compatibility, some or all these values may
be catalogued within the data collector for delivery to the
computer. Point numbers, subject-specific or layer-specific
numeric codes, and physical descriptions and notations are
often used. In most instances, a standard set of codes and
descriptive abbreviations alleviate problems with interpret-
ing field data.
Before entering the field, the computing department may
download existing traverse control and other pertinent coor-
dinate data into the data collector. Whether or not such coor-
dinate data is available or used within the data collector, the
computer must be able to assign a unique identity to each
3D collection point. Most coordinate geometry software uses
point number identification.
The survey party chief should review the project with
the computing department surveyor to set survey priorities.
What datum will be used? What accuracy and precision are
acceptable under the scope of services? What will the hori-
zontal scale and contour interval be? Will extra observations
be needed to demonstrate minute vertical detail (i.e., top of
curb, inlet grates, pond risers and pipe inverts, manhole rims
and inverts, slab elevations, height of buildings)? Is the proj-
ect devoid of detail or is it covered with buildings and roads?
If there are numerous structures, have they been located pre-
viously or will a location survey be part of the task? How
will the data be collected to develop contours along the face
of buildings, walls, curblines, critical section ditches, and
streams? What will the topographic data be used for? Can
the data be collected in a random pattern, minimum grid
interval, or stationed baseline/offset cross section? All these
considerations can have immense impact on the suitability of
the finished topographic map.
Once all field data is collected, all points defining breaks
in the lay of the land must be connected within the digital
model. If an adequate coding system has been devised, the
connection of these points will automatically occur through
the software. These lines that connect the points are referred
to as breaklines. All contours are interpolated along these
lines. A contour of a given value will naturally break in a
certain direction as it runs between the interpolated points
of equal elevation. Examples of breaklines include top or
bottom of bank; top or bottom of curb; building/wall faces;
edge of pavement; centerline of stream, ditch, or road; or
any continuous linear or curvilinear break in the elevation
of the land. Every line segment will have two corresponding
coordinates defining the location and elevation of the ends of
the lines. Using interpolation, the computer can easily locate
where any given contour elevation falls.
3.2 ■ BASE MAP AND SITE DIAGRAM 159
Having set up these known natural and man-made
control lines, the technician initiates a computer network
of similar breaklines, connecting all other miscellaneous
points within the file that are intended for topographic com-
pilation. The technician protects the integrity of the input
data by making use of elevation, numeric, or proximity fil-
ters to eliminate the use of extraneous data points within the
coordinate file. No network line will cross another. Network
lines are constructed in such a manner that they form a
continuous pattern of triangular sections whose vertices are
composed of field points. The maximum allowable length
of the network lines (selected by the technician) dictates the
accuracy of the topography. The density of field observa-
tions, however, limits the length of the network lines. The
computer cannot create a network in areas where data col-
lection is insufficient to accommodate a given line length.
No contours are obtainable in such an area. The technician
must then decide if more field data is necessary or if a longer
network line is acceptable.
When the entire network is complete, and all errors have
been dealt with, the technician has a good network file, or
TIN (triangulated irregular network) file from which con-
tours of a given interval may be derived. Having selected an
interval and scale suitable for end users, the computer cre-
ates (by interpolation) the location of all points within the
network for each contour. Contours are then created within
the triangular network sections by graphical depiction on the
screen. The topographic survey map is then ready for plot-
ting. The TIN file should be kept inviolate; it can be used
again and again to generate additional topographical maps of
varying contour intervals, as well as centerline profiles, grad-
ing scenarios, and earth takeoffs.
3.2.8. Site Diagram
The site diagram is often considered a pre-design effort that
focuses on the spatial relationship of different parts of the
existing site (the diagram may also be referred to as a bubble
plan). This diagram usually compliments the feasibility study
and is prepared as the base map content is collected during
the site analysis phase. The site diagram highlights the con-
straints and opportunities identified on the site. The site dia-
gram can provide the most value to the design team when
survey information is used but in early phases the informa-
tion may be collected from various sources with low confi-
dence in accuracy.
Site constraints should be noted and labeled, using shad-
ing, heavy outline, and other techniques to identify areas of
the site that are totally unusable or usable with significant
corrections. These include floodplain areas, unstable or
erodible soils, or soils of poor bearing capacity, steep slopes,
wetlands, and other environmentally sensitive areas that
local state and federal regulations accord special treatment.
Area measurements of these encumbrances are recorded on
both the map and in tabular form in a report.
The site diagram should indicate those facilities and
improvements that will be necessary, because of function,
1so i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ
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.
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 suggest
potential amenities that could facilitate development and
enhance project marketing. Important views, stands of trees
at property boundaries, and similar characteristics should be
highlighted.
Site data is also compiled in a report form in addition to
the site diagram graphic. The report must be well organized
to present each category of information studied by the site
engineer. Sources of information should be clearly stated,
including public officials who have been interviewed during
the feasibility study. The site engineer should attach copies of
the comprehensive plan or zoning ordinance language that
have unique and direct bearing on the project. The site engi-
neer should identify items for which administrative waivers
appear appropriate and likely to be granted.
Limitations on the reliability and scope of the informa-
tion should be noted. Any opinions of the site engineer
included in the report should be clearly identified as such. In
addition, the report's findings should be qualified as being
preliminary only, withholding any guarantees about poten-
tial problems that could not have been identified because
of the scope or depth of study. The report will be used by
the developer to determine future actions concerning the
property.
The report should clearly identify qualifications to its
conclusions. Sources and timeliness of information, limita-
tions imposed by time and resources, and lack of applicabil-
ity to subsequent projects should be firmly established. The
report will likely serve as a reference document in further
negotiations with the landowner and lender. If the developer
concludes that development is feasible, the documentation is
useful for those engaged to perform subsequent analysis and
design. In addition, the report serves as documentation of
the consultant's findings, useful in case of subsequent claims
of error or omission.
Buildable Area. The content identified on the site dia-
gram will help to identify the buildable area of a site. The
buildable area is simply the net site area suitable for devel-
opment. Undevelopable and unbuildable land is subtracted
from the gross (total) land area of the site. Undevelop-
able land refers to site area that is prohibited from being
developed based on jurisdictional regulations, which could
include floodways, floodplains, wetlands, conservation
areas, and historic features. Unbuildable land may include
portions of a site characterized by physical characteristics
that make construction impractical, which includes prob-
lem soils and steep slopes.
Once the area of encumbrances is subtracted from the
gross area, the resulting area is the buildable area. The build-
able area may be a preliminary first step of design, because it
will be the starting point of conceptual designs (to be intro-
duced in Chapter 4.1).
To define the buildable area, it is important to start with
the environmental and historic areas that were previously
described in Chapter 2.5. Floodplains, wetlands, problem
soils, preservation areas, and historic features should be
avoided. These are the first undevelopable and unbuildable
areas of a site. The site analysis will further identify addi-
tional constraints that may need to be avoided including
steep slopes. As these are added to the base map, the site dia-
gram will form and the usable buildable area will be defined.
It is important to complete this during pre-design to ensure
the site is satisfactory for development. If the site analysis
finds too many constraints (not enough buildable area),
a new site may need to be chosen. While it is undesirable
and costly, it may be possible to use site area encumbered by
unbuildable areas, but the process and conditions should be
carefully evaluated.
A water feature, such as an existing stream, is likely an
unbuildable area. By subtracting the water features from
the property, as undevelopable parts of the site, it is possi-
ble to identify what part of the property is developable (the
buildable area). If a stream flows through a 5-acre prop-
erty, and 2 acres are defined as stream and wetlands, only 3
acres are potentially developable. This analysis can quickly
change the perceived value of the site and the development
program.
Environmental/Historic Content. Environmental and his-
torical features of a site that were identified during the pre-
liminary investigation should be the first content included
on the base map. As discussed in Chapter 2.5, identifying
environmental and historic constraints is an important step
in the site selection process. Red flags, including impedi-
ments to the site or undevelopable areas, could prove too
costly or too limiting to develop upon.
Finding the best way to avoid impacts, minimize dam-
ages, or mitigate impacts is crucial to the success of a project.
The environment will be an important aspect of the entire
design process and through the construction as well. It is
critical to understand how to protect the natural resources
and the local environment when beginning to design a proj-
ect. Design considerations for wetland and then open space
and vegetation is discussed below.
Wetlands. Once on-site wetlands and other bodies of
water have been accurately mapped, they can be overlaid on
a site plan. This will help to determine the buildable area
on the site (avoiding wetlands), or identify where wetlands
may be impacted. In order to obtain permits to impact wet-
lands, the project must demonstrate a process of avoidance,
minimization, and ultimately mitigation for impacts that are
unavoidable. All reasoning for not avoiding or minimizing
must be backed up with defensible justification, including

costs. Costs detrimental to the development (i.e., lost build-
able area) must be balanced with costs of mitigation and
the consequences of the impacts. If wetlands and waters are
present on-site, the final delineation may reduce the num-
ber ofbuildable lots or area originally envisioned.
Wetland mitigation costs vary from region to region and
are normally a product of the cost of the land. The mon-
etary value for mitigation can be hundreds of thousands of
dollars per acre, and hundreds of dollars per foot. It should
also be noted that if the project impacts a forested wetland,
mitigation is normally required at a 2:1 ratio. If a project
is expected to impact a high-quality stream, as determined
by the environmental professional utilizing the approved
stream assessment methodology for the physiographic
region, the mitigation credit ratio could also be higher
than 1:1. Overall costs should be considered; for example, a
stream crossing utilizing culvert directly impacts the stream
and requires mitigation. A pre-cast concrete bridge will
likely have a higher material cost but does not impact the
stream directly and could then be a less expensive option
when factoring in the mitigation cost associated with the
stream impact from the culvert. Additionally, the bridge
option reduces the permit requirements and prevents dis-
turbance of natural features.
For most projects, the best strategy is avoidance. In the
initial site planning effort, it is best to consider layouts where
development occurs in the uplands, while wetlands and
stream valley corridors are avoided.
Open Space and Vegetation. Preservation is best accom-
plished during the early planning or feasibility phase of site
development, as part of the site inventory and analysis. A
review of the existing site conditions from the feasibility
analysis and field investigation provides an overview of the
limits of the existing vegetation, the site topography (refer
to Chapter 3.4), soils locations and descriptions, open fields,
existing buildings, and other existing and/or natural fea-
tures. These living and nonliving factors influence the spe-
cies and quality of vegetation indigenous to the site. A review
of recent aerial photography of the site affords not only an
overview of the site but allows a characterization of existing
vegetative patterns on site as well.
The appropriate analysis of this collected data identifies
and prioritizes the quality of the existing vegetation and its
placement in the landscape. The prioritization of the existing
vegetation in turn helps to define the buildable area of the
property. Areas that should be preserved and avoided should
3.2 ■ BASE MAP AND SITE DIAGRAM 161
be overlaid on a site plan to determine the buildable area of
a site. Together with the overlay of the wetlands and other
bodies of water, this site plan will be a good indication of the
development potential of the property. This in turn will influ-
ence the placement of roads, buildings, parking lots, utili-
ties, and other development program features integrated into
the conceptual design of the site, which will be discussed in
Chapter 4. The objective is to place site improvements where
there will be a minimal impact on the desirable vegetation tar-
geted for preservation. Note that land disturbance adjacent to
preserved areas can still impact the natural environment. For
example, trees have a critical root zone that extends beyond
the tree trunk-when impacted (even with minor land dis-
turbance) the tree may eventually die. Proper tree preserva-
tion should be provided when establishing limits of work.
For open space and tree preservation to be successful,
it must be integrated into the early planning stages of land
development. It is nearly an impossible task to address these
types of preservation issues later in the site design stages
while still achieving the optimum balance between the built
and natural environments. Making the most of natural ame-
nities is contingent upon early consideration of these spaces.
Retro-fitted open space and tree preservation has a greater
chance of failure and can create unwanted liabilities and
costs. Properly planned and implemented open space and
tree preservation can enhance the aesthetic, natural, and eco-
nomic environments for all.
Example. Figures 3.2J through 3.2R show a base map,
series of site diagrams, and a composite map of constraints
and opportunities that may be produced for a project during
the site analysis stage of the land development design pro-
cess. Identifying this information on a map is critical to accu-
rately reflect the site conditions. More information about the
content on these maps was introduced in Chapter 2 or will
be introduced throughout Chapter 3. These site diagrams
will help the developer to make a decision regarding the site
selection. This is also important to have when design efforts
begin. The site diagram is the starting point for conceptual
designs (to be introduced in Chapter 4.2).
Another example of a series of site diagram graphics is
included with the preliminary engineering feasibility study
in the appendix, Chapter 7.6.
REFERENCE
Bureau of the Budget. 1947. National Map Accuracy Standards.
Washington, DC: Office of Management and Budget.
FIGURE 3, 2 J Example of a base map.
FIGURE 3.2K Site diagra m: area classifications.
...
:

,,,,..- - .... __ ,,,.,-,,

·---:-.---· .
-----------

FIGURE 3. 2 L Site diagram: zoning .

 (

.. __ ...

----------

\,'·
)

u :

... FIGURE 3.2M Site diagram·. resource protect1·on areas.

m
...
=
SOILS
□ HYDRIC SOIL

.: :
\\:
__ / ,''

,•C~'.c,§i}f.t·•··.
·\,sc ....

'(
...
_ - -.~:-.:_:

FIGURE 3.2N Site diagram: soils map.

 SLOPE

--
c::::::::J
,;,,,,w,,
0% - 5%
5"' - 10%
10% - 15%
15%- 20%
OVER 20%

. .-: ::·) ·':')__·>

...., \: .>

FIGURE 3, 2 0 Site diagram: steep slopes.

....
=
DRAINAGE
RIDGE LNS
DIRECTION Of
100 YEAR FL MAJOR DRAINAGE
(X)O PLAl'I (
Al-0 SURVEY 8 FROM FEMA MAPS
y OTHERS)
.. ; .·.

/~---:/7 __//.

--
D_.....,.__,,
.

~-.,,_ \

FIGURE 3. 2 P .... Site diagram·. dra1nage

. patterns.
 (

UTILITIES

EXISTING WATER LINE

EXISTING SEWER
PROPOSED SEWER

,' ~ TA CO-.
u ~::
,., .r •.
) \"\ ~--··c
.-:-.- :_)

... FIGURE 3,2Q Site diagram: utilities .

=
.......
Cl

LEGEND
OPPORTUNITIES
CONSTIIA!NTS

0=
A» + POT£NTIAL ENTAY ROAD CONNECTION TO u.s. ROUTE 360.
a8 =
= ~ ~ FLOODPLAINIRPA CROSSING OF PROPOSED ENTRY ROAD.

= ac »_,.
<:::>
OPPORTUNITY TO SELECTIVEL y LANDSCAPE/BUFFER EX ISTING
ENTAY SEQUENCE FROM PHASE I -ASHBROOK .

RC + POTENTIAL TO REORGANIZE AND DISPERSE LOCATION OF

REQUIRED RECREATION FACILITIES.

PLANNING AND ENGINEERING SENSITIVITY TO ACREAGE

DRAINING TO OFF SITE LOCATIONS .

OPPORTUNITY TO MAXIMIZE ON INTERNALLY FOCUSING

;r,
ACREAGE. TERRAIN A ND VEGETATION AESTHETIC ASSETS . :
.
~.\
... ,...
;
DIRECT UNOBSTRUCTED V IEWS TO PHASE 1 · ASHBROOK.
_t '\_~ . . .
:'\._,,./ .
OPPORTUNITY TO ADD SELECTIVE TREE STANDS NEAR LAKE
EDGE TO ENHANCE A ND FILTER VIEWS ACROSS LAKE.

CHAOTIC HARO EDGE DF EXISTING DEVELOPMENT.

-I+ POTENTIAL APA/WETLAND/FLOODPLAIN ZONE . LOSS OF

USEABLE LAND. VALUABLE DEVELOPMENT BUFFER

( / :\ __'.i ····

(
- - -<~. .
,,/ ;,

_,

''

__ ,'

FIGURE 3.2R Site diagram composite map.

 CHAPTER 3.3

TRANSPORTATION FUNDAMENTALS

3.3.1. Introduction The components of the road cross section are discussed
Transportation systems, such as roads, must be identified in this chapter when identifying the typical roadway char-
and analyzed when considering a project site. This is criti- acteristics. The road alignment and profile are introduced in
cal to ensure that the access into the site is feasible and to Chapter 5.3.
understand local transportation requirements (as defined in
the local comprehensive plan and development ordinances 3.3.2. Functional Classifications of Roadways
as discussed in Chapter 2). New transportation systems will
Several different classification systems exist for grouping
also often establish the pattern for the site layout---grids of
highways and streets. These systems are used to establish a
streets are common for urban areas, whereas meandering
common base according to an interest, function, or opera-
streets are common for suburban communities. The design
tion of the road. The classification is used by municipalities
of the streets, both in size and alignment, can establish the
to establish access and design criteria of the roadway. With
character of the site. Narrow streets with sidewalks and
a land development project, the classification of the road-
street trees will enhance the aesthetics of a neighborhood,
way can determine whether a turn lane is required into the
whereas wide multilane roads may be appropriate for an
site, if a traffic signal can be installed, how far the entrance
industrial development.
needs to be spaced from another entrance, and the permis-
This chapter begins by introducing typical roadway
sible movements in and out of the site. Access to a site will
characteristics that are important for an initial site analysis.
greatly influence the desirability of the site and success of the
These characteristics are also the basis of design that will be
development.
encountered as site design progresses. The second half of this
The AASHTO (American Association of State Highway
chapter focuses on preliminary engineering design concepts
and Transportation Officials) handbook A Policy on Geo-
that will shape the road design for a project. These design
metric Design of Highways and Streets includes a detailed
concepts will be encountered and utilized during schematic
discussion of functional highway systems (the text is often
design (Chapter 4). The final design of roadways is then
referenced as the Green Book). AASHTO describes a typi-
described in Chapter 5.3.
cal trip as including the following six stages of travel move-
When discussing a road, it is important to be familiar with
ment or service to facilitate vehicular movement:
the road geometry. The geometry of a roadway is generally
defined in three parts: a cross section, alignment, and profile.
1. Main movement
A roadway cross section refers to a detailed cut of a roadway
that's taken perpendicular to the direction of travel and rep- 2. Transition
resents the typical elements of the roadway. The road align-
3. Distribution
ment represents the horizontal geometry of the roadway,
including curves and tangents. The profile represents the ver- 4. Collection
tical geometry of the roadway along the alignment. Together,
5. Access
the profile and alignment define a three-dimensional poly-
line and the cross section is applied along this polyline. 6. Termination

171
112 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ
The roadway functions and traffic volumes are directly
related to the movement hierarchy served. Figure 3.3A illus-
trates the hierarchy of movement and depicts the use of
roadways within a typical trip. In many land development
projects most of the planning and design focus on the roads
pertaining to the latter parts of the travel, that is, terminal
access, collection, and occasionally distribution.
The highway and street network provide travel mobility
and access to property. At one end of the functional category
are the high-access, low-mobility local roads and streets.
The other extreme is the high-mobility, low-access arterial
highways such as freeways. By reducing the access and inter-
sections to a highway, the mobility (design speed, geometry,
travel time) can be improved. Between these two extremes
of highways and local roads are collection and distribution
roads, which link the two functional extremes.
Functional classification is divided into rural and urban
systems, which possess different vehicle and traffic charac-
teristics. The systems differ in travel patterns, the density
of the streets and highways within the network, and the
type of land served by the network. As might be inferred,
the population density sets the distinction. Comparatively
dense areas, as designated by state or local officials, with
populations of 5000 or more people are considered urban.
Population is used to further divide this category into two
subcategories: urbanized areas, those with populations of
50,000 and above, and small urban areas defined by a popu-
lation between 5000 and 50,000. As shown in the AASHTO
handbook, the urban functional system divides streets
into principal arterial, minor arterial, collector, and local
functions.
l functional system. Although collector streets are the main
l opment projects, street classification for new roads will fall
FIG uRE 3. 3 A Hierarchy of movement.
Principal Arterial. A principal arterial is often referred to
as a freeway-roads with controlled access interchanges and
high mobility across major population areas. The principal
arterials provide service to major centers of activity and are
the corridors that accommodate the highest traffic volume.
A high proportion of the rural or urban area travel occurs on
the principal arterial system. In the urbanized areas it is these
streets that provide linkage to the rural arterial roadways.
The principal arterial system is composed of several types of
roadways with full control of access, such as interstate high-
ways and other freeways, and other principal arterial streets
with partial or no control of access.
Minor Arterial. Next in the hierarchy of the functional
system is the minor arterial street system, which is often
referred to as a highway. These distributor streets provide
greater access to adjoining land than that afforded by the
principal arterial system. Traffic movement, as compared to
the principal arterial system, is greatly impeded. Minor arte-
rial streets provide travel between communities and possible
connections to collector roads. Typically, such roads provide
the boundaries of identifiable neighborhoods. Their inter-
section spacing relates to the density of the developed area.
Spacing ranges from ½ to 3 miles. In fully developed areas,
the spacing normally does not exceed 1 mile.
Collector. The collector street system provides for land
access and traffic flow in all land use areas. These streets link
the local street system with the principal and minor arte-
rial street systems. Collector streets through predominantly
residential areas serve as the main access to the development
from the arterial or another collector. The residential collec-
tor street has average daily traffic (ADT) counts of 1000 to
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. As the collector street
traffic volumes approach 3000 VPD, access to single-family
units becomes undesirable; however, access to small public
and local commercial/retail facilities would still be consid-
ered appropriate.
Local Street. Lowest in the hierarchy is the local street
system. The main function of the local street is access to
the land adjoining the roadway and linkage to streets men-
tioned previously that are higher in the order within the
routes that provide access to the development, local streets
provide access to the properties within the development. In
residential areas, the volume of local streets is usually less
than 1000 VPD.
Figure 3.3B schematically shows the functional classifica-
tion of streets and the interconnection of the street hierarchy.
A summary of the characteristics of the AASHTO classifica-
tion appears in Table 3.3A.
Jurisdictional Classifications. Ultimately for land devel-
into the domain of the local controlling body. Some jurisdic-
tions may provide additional classifications of roadways and
 3.3 ■ TRANSPORTATION FUNDAMENTALS 173

__J ~ LJLJULJLJULJLJUULJI
Legend
Arterial street
Commercial area
FIG uRE 3. 3 B Suburban street network. (From A Policy on Geometric
Design of Highways and Streets, 2004, by the American Association of State
Highway and Transportation Officials, Washington, D.C. Used with permission).
assign design requirements related to bike lanes, sidewalks,
and parking requirements. Description and definition of the
street categories are usually found in local subdivision ordi-
nances and standards. In all likelihood the categories will be
defined according to function and in part by anticipated traf-
fic volumes. Regardless of the basis for grouping, classifica-
tion should follow a pattern similar to those outlined in this
section.
Placing priority on function when designing local access
streets requires that the designer consider many related fac-
tors apart from ADT. Land development projects are only
pieces in the regional development scheme. 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 to functionally
well-designed streets.
Public and Private Roads. The road systems throughout
a region may be public or private. A public road is oper-
ated and maintained by a public agency-typically the state,
county, city, or town department of transportation (DOT).
A private road is owned, operated, and maintained by a pri-
vate entity, such as a land owner or the operator of a retail
center. A private road may be open to the public through
express or implied agreements.
Public Streets. A public roadway is operated and main-
tained by a public agency and resides in a parcel of land
referred to as a right-of-way, which is owned by a public
agency (public roadways may also exist within easements).
In some cases, the land may be owned by a local authority,
such as the county, but the maintenance is performed by
state DOT. After a road is constructed, and inspected for
design and construction conformance, the DOT will accept
the roadway into their operation and maintenance system.
When public roads are constructed by a private developer,
Collector street
the roads must be accepted into the public roadway system.
Local street
After acceptance, the developer is no longer responsible for
the roadway. To be accepted into the public system, the design
and construction of the road must follow specific require-
ments that are established by the governing agency-these
roads have little flexibility in unique designs and materials.
A public agency will usually identify whether a road should
be included in the public roadway system based on location
and use of the road.
Private Streets. A private street is constructed, operated,
and maintained by a private entity, but the roadway may be
open to the public through an easement or agreement. The
design and operation of the road is often important for the
local jurisdiction and therefore should follow jurisdictional
design and operation requirements. Private roads may have
less stringent design requirements, lower speeds (less than
25 mph), nonstandard signage, upgraded hardscape, or other
functional differences from a public roadway. Private roads
are often clearly labeled as private roads and are seen in resi-
dential developments, a college campus, industrial parks, or
commercial areas.

TAB LE 3 . 3 A Summary of Characteristics of the Functional System

STREET LOS*/OPERATING
CLASSIFICATION SERVICE AREA RELATIVE VOLUME SPEED ACCESS CONTROL

Principle arterial Through movements; major activity centers High High Full to partial
Minor arterial Lesser activity centers High to medium High to moderate Some limitation
Collector Regional and some local land access Medium to low Moderate to low None
Local Neighborhood land access Low Low None
'Level of service-a qualitative measure of the operating conditions.
114 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iii 1 ,i\MilidtJ
3.3.3. Roadway Components
The components of a road include pavement, travel lanes,
shoulders, medians, side slopes, curb and gutters, drainage
ditches (median and side ditches), sidewalks, and right-of-
way widths. The cross section represents a template for the
roadway that's associated with the road alignment, which is
usually identified in the typical section.
The specific elements included in the design of any road
depend on the function and the jurisdictional requirements
of the road, or may depend on the developer's requirements
for private road networks. Whether a road is public or pri-
vate, there are minimum operational standards for travel lanes
(vehicle, pedestrian, bike). These standards identify minimum
and maximum lane widths and grades, as well as lateral rela-
tionships between elements, such as landscaping adjacent to
a vehicular lane. These standards are different based on the
roadway classifications and operational requirements. Lower
speed roads may allow for narrower lanes, while highway lanes
that are meant for trucks will require large lane widths. These
cross-sectional elements and their dimensions are identified
on a detail drawing called the typical cross section.
It is possible for a project to require several typical cross
sections. One project may include construction of the turn
lane on a highway, an internal boulevard street, and neigh-
borhood streets, which would each have a different cross
section. Several examples of variations in cross-sectional ele-
ments are indicated in Figure 3.3C, while an example of a
typical section drawing that might be included in a site plan
is shown in Figure 3.3D.
Travel Lanes. The local ordinances and traffic studies typi-
cally specify the minimum number of lanes and their widths
for a street, which is a function of the anticipated traffic vol-
ume and functional classification. The lane width is mea-
sured from the edge of the travel for the road, which may
be an edge of pavement at the gutter or a lane marking. A
standard vehicular lane width is 12 feet, which provides driv-
ers with a sense of comfort as they travel adjacent to other
vehicles, especially at high speeds (45 mph and more). A
reduced lane width is often appropriate on lower speed and
lower volume local streets, and may be 10 or 11 feet in width.
The lesser width reduces driver comfort, but may encour-
age adherence to following lower speed limits and promote

I .
3: : 3:
ci I ci
e::: 1 Border Roadwav Border i e:::
Traveled Way
i
: ~
Q)
C Traffic
~
~n~ !~
~I £ i >-
=f i Sidewalk.w I Sidewalki ~
b!:_ _ _.""=====~=====r=========~r:..=..::7,l
l I Residential Commerical j f
..c: : ::E
12!' I-~
'a::
I Bo,do, I Trn,•l•d ... ••dloo ... Trn,•l•d • -~•,d•[I
l~idewal~ • Way Way I
, ....J!. ,...:It ~ .J!. Sidewalk:
~ l • T . 1
r-----1
Median
(Reduced)
Roadway I Roadway

I Left-
Parking Traffic Turn Traffic
rl-L=a=n=e~l====L=a:r:n=e=s==='.~ f-"-'L=--'an--=--=e--i--l------'-'-La-°'-n-'--'e-'-'se..__-----<r-7

J. Traveled Way • I I. Traveled Way • I i

!
i
Roadwa Roadwa i
Traveled Way
!Curb~ Curb
:Offset Offset
!
~
i

FIG uRE 3. 3 C Cross-sectional elements-nomenclature for urban streets.

 3.3 ■ TRANSPORTATION FUNDAMENTALS 175

C/L ROAOWAY
;!' 51 ' R/W 51 ' R/W ;!'
«1-- - -- - - - - " - ' - " ' - " - - -- - - -- --+-- - - - - -- -
27-' C
~L--'
E•~• ~AO
_ A_O_W_AY--- - -----1«
a.'. 27" CLEAR ROADWAY 1 ""'"
~: 25' 28" RAISEb ME'OIAN 25'
G. E.EII. 0A0WAY W.8 , ROA.OWAY
i -~ 10,!_'- +2~·_.!,12~' ~LA~N~E --,-~ ='---fl------!.1•::._•_ _ f-__!1:4e,_
' - --fi--_,.,
12c..
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12"-'' L:::A:,:NE,__f'2't'- --'1"'-0'_ -+---1 ~~CH

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• IJ◄ "/F'T , 1/4 ".tFT.

D G D

Normal Section

C/1. ROADWAY
:!'1-I_ _ _ _ __ _...!Rl!!!...V
1W ~ A~•~1•s~- -- -- - - + l -- - - - -- --"
R 1W""-'v'-"A="'='s~---- - ----1I~
a:: : 2" 25' 28" RAISEO MEDIAN 25' 2' 10' a,:
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FIGURE 3.30 Typical section.

traffic calming. A turn lane is typically set to the same width Other Lane Categories. In addition to standard vehicular
of the through lanes. lanes, there are other road features to consider. Street park-
A "normal crown'' section has a high point in the middle ing, bike lanes, and bus lanes are all common elements of a
(usually at the centerline) with the pavement cross slopes street. On-street parking is usually limited to parallel parking
extending toward the outer edges of the pavement. In most spaces. A parallel parking space is typically 8 feet in width,
conditions the cross slopes are uniform across the total width measured from the edge of travel to the face of a curb, but has
of one direction of the pavement. However, for multilane been implemented with a 7-foot width as well.
roads, the cross slope remains uniform across a lane width, An on-road bike lane may be either shared with a vehic-
and any changes in the cross slope should occur at the edges ular lane or be marked separately. If the bike travel is shared
of a travel lane. For instance, a left-turn lane may cut into with vehicular traffic there might be a shared lane that's a
the center median of the road and would maintain the cross total of 14 feet wide. If the bike lane is adjacent to the vehic-
slope of the adjacent lanes. ular lane it's usually located on the right side of travel, adja-
For many local and collector streets, lanes on a normal cent to the curb or on-street parking. When the bike lane is
crown section are typically sloped at 1% to 2%, toward the separate it's typically 4 feet wide when there's a buffer (e.g.,
outer edge of pavement. This cross slope is sufficient to direct an additional 2 feet from a gutter) or 5 feet for cases when
stormwater runoff into the gutters or to the side ditches it passes between a through lane and a right-turn lane. In
and yet does not cause any significant driver discomfort some jurisdictions, like the City of Portland, the bike lane is
because of the slight tilt of the vehicle. Cross slopes change as wide as 6 feet with a 2-foot shy zone on each side.
when superelevation requirements are incorporated into the Bus lanes and bus stops should be coordinated with the
design. Superelevation, the design of banking the roadway public transportation authorities. In some areas, like New
beyond the typical cross slope, is more common with high- York City, a dedicated bus lane exists within the streets and
ways than land development roadways. is an inherent part of the road network. Other areas may just
11& i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ
include a bus stop adjacent to a normal travel lane or could
have an area for the bus to pull off from the roadway.
Medians. Medians are used to increase the separation dis-
tance between opposing traffic and, in some cases, to provide
refuge for pedestrians. In urban and suburban areas, medi-
ans may be raised, concrete malls or painted areas, approxi-
mately 4 to 16 feet wide. Wider median strips are typically
grass strips with a ditch. In rural areas and high-speed roads,
medians can be 30 feet and wider. Medians are typically not
used on local streets and are only occasionally used on col-
lector streets. Their use is mostly in commercial areas, where
the traffic volumes are much higher and turning movements
are more frequent and complex.
The minimum width of a median (typically 4 feet) is often
governed by a width necessary for road sign placement and
appropriate clearance of the signs. At this width, the median
is generally completely concrete to prevent the need for
maintenance and mowing. Larger medians can be grass and
planted with trees. When a median exists between oppos-
ing lanes of traffic, it is often set to be 16 or 28 feet wide,
which allows for one or two 12-foot turn lanes to extend into
the median while still maintaining a 4- foot median at the
intersection. A separation of 1 foot is usually recommended
between a median and an adjacent lane, so that the edge of
travel is designated by a yellow pavement marking set 1 foot
from the median edge.
Design considerations include the spacing of median
breaks. Median breaks allow traffic turning and crossover
movements into and out of entrances, essentially provid-
ing more accessibility. Median breaks are also necessary for
most intersecting streets. Guidelines for spacing between
median breaks are provided by the governing public agency.
These guidelines may only prescribe minimum distances for
ordinary conditions and may be modified by the reviewing
Median Break Spacing
Left Turn Lane Transition
=
Transition
FIG uRE 3. 3 E Median break spacing.
agency to accommodate the specific conditions. Each juris-
diction has minimum spacing requirements. This spacing
is subject to the traffic volume on the through street, traffic
volume making the turning movement, whether the turn-
ing movements are signalized and the design speed of the
through street. The design engineer must assess the impact
of the median breaks on the level of service (LOS) of the
through street. A high number of median breaks and cross-
overs can significantly reduce the LOS on a given street,
especially during peak hours.
The minimum spacing of median breaks can be viewed
as the sum of the dimensions of median features that are
required between two intersections. These elements include
setback of the median noses to allow for proper turning
radius at the intersections, length of each of the required
left-turn lanes (especially when the median is narrow, elimi-
nating the possibility of overlap between opposing left-turn
lanes), and length of the median transition between the left-
turn lanes. Figure 3.3E illustrates the typical median geom-
etry between two intersections and how it can dictate the
minimum spacing between intersections/median breaks. In
some cases, where a median width is approximately 28 feet or
greater, the required left-turn lanes may be configured such
that they overlap each other for some distance, thus allowing
a reduction in the overall intersection spacing.
In any event, the minimum spacing dictated by the median
features discussed above must be compared to the local stan-
dard for intersection/median break spacing. The greater of
the two should then be used to govern design.
On commercial and retail projects, there will be a desire
to have numerous median breaks to allow for land access.
However, local conditions and the reviewing agency may
restrict the number of openings, which can affect the layout
design of the project. The site engineer needs to verify with
Median
Left Turn Lane

L L
FIG uRE 3. 3 F Common types of curb and gutter.
the review agencies the location of the median breaks early
in the planning stage.
Another situation occasionally overlooked is when a site
has frontage on an existing road with a median. In develop-
ing the site, a median break might be anticipated to promote
site access, but the governing agency will have authority as
to whether a median break is permissible. Again, the site
engineer should verify such requirements with the reviewing
agency early in the planning stage.
Turn Lanes. Dedicated turn lanes may be required on a
highway for vehicles entering a site or located within the site
to accommodate internal traffic circulation. The turn lane is
comprised of the taper and the storage bay. The taper often
varies from a minimum ofabout 100 feet to a length determine
by the lane transition equation, as noted in Equation (3.3A).
The traffic study for the site will determine if a turn lane
is warranted for a site and would designate the required
length of a turn bay based on storage requirements. The
width of the turn lane is often required to match the width
of the main travel lane. Based on timing or available storage
length, there may be a requirement for multiple turn lanes
(dual left turns, dual right turns, etc.). In general, higher
volume highways will often warrant a turn lane into a site,
whereas a small local road may not require a turn lane for
traffic entering a site.
For 40 mph or less
L= s2w7 60
For 45 mph or greater
L= Wx S (3.3A)
where L = length of transition
S = design speed
W= width of offset on each side
Source: 2011 AASHTO Green Book, Page 3-134,
Equations 3-37 and 3-38.
Continuous two-way median left-turn lanes are often
used for lower speed arterial highways. The median of the
roadway effectively acts as a turn lane for traffic in both
directions to make a left turn. There are inherent dangers
in this condition, but the intent is to allow turning vehicles
3.3 ■ TRANSPORTATION FUNDAMENTALS 177
to move outside the travel lanes without required additional
road width.
Curb and Gutter. In most urban areas curb or combina-
tion curb and gutter streets are preferred. Curbs are not
typical on principal arterials or high-speed arterials. Their
purpose is to facilitate drainage, separate traffic lanes from
pedestrian walkways, contribute to the aesthetic appearance,
and reduce maintenance. Several different types of curbs are
often utilized depending on the locality and design speeds.
Figure 3.3F shows various types of curbs. A common curb
and gutter width is 2.5 feet, to accommodate a 2-foot gutter
and a 6-inch curb width.
Barrier curbs, with a vertical height of 6 to 8 inches, are
typically used for low-design speed roads. Roads with high-
design speeds utilize mountable curbs with 3 or 4 inches in
height. A barrier curb protects the adjacent off street areas,
such as sidewalks, from vehicles while also delineating edge
of travel and providing drainage conveyance. The mount-
able curb is often used in urban areas to allow for emer-
gency vehicles to access an area, but most passenger vehicles
would still be challenged to cross over a mountable curb. The
mountable curbs are also used for high-speed roads because
a barrier curb may cause an unpredictable impact trajectory,
especially when located adjacent to a guardrail, bridge, or
other roadside obstruction.
A gutter is often incorporated into the curb, and may range
from 1 to 2 feet in width. The cross slope of a gutter is typically
larger than a road cross slope to provide additional drainage
capacity. Gutter cross slopes are typically set to 1:12, or 8.33%
as compared to the 1:48, or 2.08%, typical road cross slope.
Sidewalks and utility Strips. Sidewalks may be located
adjacent to the curb in retail and residential areas, or a buffer
may be provided between the curb and the sidewalk. When
the sidewalk is located adjacent to a curb the sidewalk width
is measured from the back of curb. A typical buffer width is
3 feet to accommodate utilities (like a fire hydrant) and traf-
fic signs, or 6 feet or more so that landscaping can be accom-
modated. The minimum width of a sidewalk is often 5 feet,
which follows accessibility requirements of the Americans
with Disabilities Act (ADA}--and is comfortable width for
pedestrian travel. In retail areas, the sidewalk may need to be
wider to accommodate concentrated volumes of pedestrian
traffic and provide enough clearance from site furnishings
such as benches, trash receptacles, and vegetation.
110 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ
Cross slopes for sidewalks and the adjacent utility or planting
areas are set at 2%, which is in compliance with ADA. The 2%
cross slope is directed to the street (curb and gutter) and pro-
vides a comfortable walking surface while promoting drainage.
Sidewalk surfaces are commonly concrete or asphalt but may
also be constructed of porous pavement--either open grid, 1
gravel, or pervious concrete--subject to the prevailing design
conditions including soils, climate, ownership/maintenance
responsibility, and accessibility criteria. Material selection for
sidewalks (and trails) is increasingly important especially for
projects utilizing a low-impact or sustainable design approach.
Shoulders, Side Slopes, and Ditches. In some low-density
residential areas and in most rural areas, shoulders, rather
than curbs, are normally used. Shoulders are 6 feet or wider
and typically gravel. Highways will often have wider shoul-
ders and are generally paved with asphalt.
The cross slope of the shoulder is typically steeper than
the cross slope of the normal street section. Typical cross
slopes are two to three times greater than normal pave-
ment cross slope, on the order of 4% to 6%. Where roads
are superelevated, shoulder cross slopes are dictated by
10pen-grid pavement is generally considered to be 50% impervious or less with veg-
etation in the open areas.
PLAN
VIEW
THRC
TRAVEL
SECTION
VIEW II-
l l
FIG uRE 3. 3 G Plan and section of shoulders, side slopes, and ditches.
the rollover between the outside edge of pavement and
the beginning of the shoulder, that is, the algebraic differ-
ence between the pavement cross slope and the shoulder
cross slope. For additional information on the treatment
of shoulder cross slopes in superelevated sections, see the
AASHTO Green Book.
Side slopes are used for connecting the road section to
natural ground. The slope gradient depends on the angle of
repose of the soil and the available right-of-way width. In
many cases, the slopes are constructed at a 3H:1V or 2H:1V
ratio. However, flatter slopes are generally desirable if they
can be provided within the available right-of-way. The type
of mowing equipment also factors into determining the
maximum side slope grades. Drainage ditches at the toe of
the slope control surface water from the pavement in exca-
vated areas or through an adjacent property in embankment
areas. Figure 3.3G depicts a conceptual plan and section of a
roadway with an adjacent ditch.
Right-of-Way Widths. Right-of-way needs only be wide
enough to accommodate the pavement and other facilities
that are operated and maintained by the local DOT. The
right-of-way is important to show because it identifies if all
the road improvements are accommodated within an exist-
ing right-of-way or ifland acquisition is required. The width
l l
 3.3 ■ TRANSPORTATION FUNDAMENTALS 179

of the right-of-way may be prescribed by the type of road,
such as a subdivision street with a SO-foot right-of-way, or
may be set just beyond the sidewalk (usually about 1 foot
beyond the sidewalk). A newer development may have a
consistent right-of-way width, but older road networks often
have variable width right-of-way, which can make new road
construction a challenge.
Profile Grade Line. One important element identified on
the typical section drawings is the profile grade line (PGL)
or theoretical grade line (TGL), an arbitrarily selected
reference point showing the proposed street elevations.
While the PGL appears as a line in the profile view, in the
typical section the PGL appears as a point (labeled as P in
Figure 3.3D). The PGL is selected for the convenience of
design, stakeout, and construction. It can be the centerline
of the road, edge of pavement, top of curb, or any other
designated point as long as the horizontal and vertical rela-
tionship between the selected point and other elements of
the typical section are known. For a new roadway, the PGL
is usually set at the centerline of the road, whereas a road
widening project may set the PGL along the existing edge
of pavement. The PGL provide reference to the alignment
and profile geometry.
Example Road Sections. The roadway components are
used differently based on the project requirements. An exam-
ple of a few different road sections for various road types
(urban, suburban, and rural) are shown in Figures 3.3H, 3.31,
and 3.3J in both a conceptual and illustrative context.

.-----..

SIDEWALK TRAVEL LANE CENTER TRAVEL LANE SIDEWALK

PARKING TURN LANE

12' 2.5' 6' 4' 11' 12' 11' 6' 6' 2.5' 12'

87'

R/W RJW
B
FIG uRE 3. 3 H Example of roadway components in an urban section, shown as (a) a two lane section with on-street parking and (b) a two lane with a
center turn lane section.
100 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ

....,,..........
11_, ,-1•
~

~~~J

11 11
i
A

I I
UTILITY I I TURN
BIKE PATH TRAVEL TRAVEL TRAVEL TRAVEL UTILITY SIDE
STRJP I I LANE LANE LANE LANE LANE STRIP WALK
I I
10' 6' 12.sJ 9.5' .5' 12' 12' 12' 12' 2.5 6' s· 12'

104'

R/W MV
B
FIG uRE 3. 31 Example of roadway components in a suburban section shown as (a) a four lane road with bike lanes and a median for turn lanes and
(b) a four lane section within a subdivision.

3.3.4. Intersection Types the LOS of the intersection. Design features that affect the
Intersections are points where two or more streets join or design of at-grade intersections include the following:
cross. The three basic categories of intersections in use are
1. Adequate intersection sight distances
at-grade, grade-separated, and interchange. At-grade inter-
sections are used for joining local, collector, and many minor 2. Angle of approach
arterial streets, whereas the latter two types are more gen-
3. Matching pavement grades on approaches
erally used on high-speed highways or arterials. Except for
certain unusual situations, the number of legs at any one 4. Width of the intersection
intersection should not exceed four.
5. Radius of curvature of the curb returns
Intersections affect the overall performance of the inter-
secting roads. A measure of the operational performance 6. Need for auxiliary lanes (e.g., turn lanes) or
includes the speed of movement through the intersection. channelization
The movement speed determines the capacity and thus
7. Intersection control
affects the suitability of a street to function as intended.
In other words, the LOS of a street is greatly affected by 8. Need for traffic-calming measures
 3.3 ■ TRANSPORTATION FUNDAMENTALS 181

/ ,. /
.,._ P: -~ ../
a.~1.,;.1.n
r .

10' 10' 10' 13' 13' 13' 1T

TRAVEL TRAVEL TRAVEL TRAVEL

MEDIAN
CLEAR ZONE LANE LANE LANE LANE CLEAR ZONE

30' 12' 1 2' 28' 1 2' 1 2' 30'

136'

RJW

B
FIG uRE 3. 3 J Example of roadway components in a rural section shown as (a) two lane road with shoulder and (b) a four lane section with roadside
ditches and a planted median.

Physical elements, traffic, human factors, and economics
encompass items for consideration in the design process of
at-grade intersections. For local streets in residential areas,
the major design considerations are adequate corner sight
distances, matching street grades, and minimum radius of the
curb returns. The complexities of intersection design increase
as the traffic, bicycle, and pedestrian volumes increase, and
the potential rate of conflicts (pedestrian-vehicle, pedestrian-
bicycle, vehicle-bicycle, and vehicle-vehicle) increases.
The three basic types of at-grade intersection are the "T"
intersection, the four-leg intersection, and the multileg inter-
section. Each type has numerous variations. The "T" inter-
section and four-leg intersection are the most prevalent in the
lower-category streets. In addition, the use of roundabouts,
which can accommodate all at-grade intersection configu-
rations, is a common alternative to traditional intersections.
"T11 Intersections. The "T" intersection, or three-leg
intersection, consists of three approaches, often with one
approach that is not stop-controlled. The "T" intersection
has the least number of conflict points of any of the various
types of intersections and therefore provides a high level of
safety. Figure 3.3K illustrates some of the basic "T" intersec-
tion variations.
The intersection shown in Figure 3.3K(a) is the most com-
mon in residential land developments where minor or local
roads are prevalent and may be used when minor roads inter-
sect important highways with an intersection angle less than
30° from normal. At locations with higher speeds and turning
volumes, which increase the potential for rear-end collisions
between through vehicles and turning vehicles, an additional
area of surfacing or flaring should be provided, as shown in
Figure 3.3K(b). In cases where left-turn volume from the
through road onto the minor road is sufficiently high but does
not require a separate left-turn lane, a bypass lane may be pro-
vided. This provides the space needed for through vehicles to
maneuver around the left-turning vehicles, which must slow
102 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ

- - - - -A~- - - - -
-L
Single-Lane Approaches

- A-

- - - - - - - - - - ---..,A;..,
,--------~
- - - - - - - --
- _j
---
Right-Tum Lane and Bypass Lane

- B-

>',)
------------- - - - - - - :::::,,,..

Designated Lanes for Each Movement

- C-
f I Gu RE 3. 3 K Types of "T" intersections. (From A Policy on Geometric Design of Highways and Streets,
2011, by the American Association of State Highway and Transportation Officials, Washington, D.C. Used with
permission.)

down before making their turns. Figure 3.3K(c) shows the
addition of auxiliary lanes on each side of the through high-
way approaching the intersection. This type of intersection is
suitable for locations where turn volumes onto the minor road
are high, from both directions of the through road. An inter-
section of this type will generally be signalized.
Four-Leg Intersections. The four-leg intersection may
or may not have an automatic right-of-way assignment.
Depending on the design volume of traffic at the intersec-
tion, control can be as simple as yield/stop at the lesser cat-
egory street to signal control with auxiliary lanes and islands
to channel the turning movements. Variations of the latter
situation typically occur at intersections of major roads,
such as collectors with minor arterials. Such intersections
frequently are necessary at the fringe of large development
projects in high-density areas. Figure 3.31 illustrates some
of the basic configurations and various levels of the four-leg
intersection.
The unchannelized intersection shown in Figure 3.3L(a)
is used mainly at locations where minor or local roads cross,
although it can also be used where a minor road crosses a
major arterial or collector road. In these cases, the turning
volumes are usually low and the roads intersect at an angle
that is not greater than 30° from normal.
When turning movements are more frequent, a flared
intersection with additional capacity for through and

II
--A-- --B--
Uncho.nneli zed, Plo. ln Uncho.nnellzed, Flo.red
--D-- --E--
f I Gu RE 3. 3 L General types of four-leg intersections. (From A Policy on Geometric Design of Highways and Streets, 2004, by the American
Association of State Highway and Transportation Officials, Washington, D.C. Used with permission.)
turning movements, such as those in Figure 3.3L(b), can
be provided. The layout shown in Figure 3.3L(c) shows
a flared intersection with a marked pavement area that
divides traffic approaching the intersection and is suit-
able for a two-lane highway that is not a minor crossroad,
where speeds are high, intersections are infrequent, and
the left-turning movements from the highway may create
a conflict.
Figure 3.3L(d) shows a channelized four-leg intersection
with right-turning roadways in all four quadrants. This con-
figuration is suitable in developments where turning volumes
are high. The channelized islands may provide for pedes-
trian refuge; however, this configuration may be criticized
for encouraging a free-flow condition for turning move-
ments that challenges pedestrian safety. The configuration
presented in Figure 3.3L(b) and (c), where additional lanes
are provided for left-turning movements, can be adopted for
channelized intersections as well.
Figure 3.3L(e) demonstrates a simple intersection with
divisional islands on the crossroads. This configuration
accommodates a large range of traffic volumes.
The layout shown in Figure 3.31(.f) is suitable for a two-
lane highway that is not a minor crossroad and that carries
moderate volumes at high speeds or operates near capacity.
3.3 ■ TRANSPORTATION FUNDAMENTALS 183
--c--
Uncho.nnelized, Flo.red nnd Mo.rked
--F--
Complete solutions and variations for various circumstances
are numerous.
Multileg Intersections. Multileg intersections (those
with five or more approaches) should be avoided wherever
practical in land development. At locations where multi-
leg intersections are used, it may be satisfactory to have all
intersection legs intersect at a common paved area, where
volumes are light and stop control is used. At other than
minor intersections, traffic operational efficiency can often
be improved by reconfiguration that removes some conflict-
ing movements from the major intersection. Such reconfigu-
rations are accomplished by realigning one or more of the
intersecting legs and combining some of the traffic move-
ments at adjacent subsidiary intersections, or in some cases
by converting one or more legs to one-way operation away
from the intersection. The distances between the newly
formed intersections should be such that they can operate
independently.
Angle of Approach. Right-angle intersections provide a
better view of traffic and better turning movements than
roads intersecting at acute angles. A recommended practice
is to limit the angle of approach of the intersecting road to
60° (relative to the through street). In those situations involv-
ing intersections of legs at acute angles, the engineer should
104 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ
nature of these designs limits most accidents that do occur
------7~ to sideswipe accidents.
I ,,/ / // One major concern regarding traffic circles is their

1/ //
so·
accessibility to larger vehicles. As the neighborhood traffic
/
/
/ circle is generally implemented within approximately the
/
/ same right-of-way as a standard intersection, the construc-
/
/ tion of the central circle can greatly inhibit the maneu-
1/
verability of trucks or buses, which might not be able to
negotiate the tight radius around the circle. One solution
is to include a "truck apron" around the inner circle. This
is a paved outer ring with a mountable curb that allows
FIG uRE 3. 3M Realignment of intersecting road to obtain 90° the larger vehicles to more easily negotiate the tight radius.
configuration. The mountable curb, which can easily be negotiated by
larger vehicles, helps to prevent smaller vehicles from tak-
ing advantage of the apron to travel through the intersec-
tion at a higher speed.
consider slight changes to provide a configuration closer to There are a number of resources available to assist in
the desired 90° alignment. the design of roundabouts. In the absence of local or state
Figure 3.3M shows how an approach street with an acute
angle of approach can be modified to obtain a 90° intersec-
tion. On local roads, such an alignment is acceptable. On
higher category streets, this type of alignment should be used
cautiously. Although this type of alignment may improve vis-
ibility and turning movements, there are disadvantages to it.
Traffic control devices are obscured, and vehicles approach-
ing the intersection through the short radius curve tend to
encroach into the opposite lane, creating a traffic hazard for
vehicles turning from the main road.
Within a relatively large project, adjusting lot lines and
street configurations can achieve proper alignment of inter-
sections. For those projects that must access near or at an
existing intersection, local agencies may require extensive
modifications of the intersection to accommodate the addi-
tional volume of traffic. This can be costly and should be
identified early in the project planning.
Roundabouts and Traffic Circles. The last intersection
identified in this chapter is a roundabout and neighborhood
traffic circle, or mini-roundabout (Figure 3.3N). These two
roundabout configurations are shown in Figure 3.3N. The
primary difference between the roundabout and the neigh-
borhood traffic circle is scale: roundabouts are designed for
somewhat higher traffic volumes and speeds than traffic
circles, and consequently require additional land to con-
struct. However, both operate on the same principles: traf-
fic within the roundabout or circle has the right-of-way,
with entering traffic controlled by yield signs. By forcing all
vehicles to travel counterclockwise around the central cir-
cle, these measures force vehicles to reduce speed through
the intersection. Roundabouts and traffic circles have been
found to be highly effective at reducing the number of
intersection accidents. In addition, accidents that do occur
tend to be less severe than those for signalized or stop-con- TYPICAL MINI-ROUNDABOUT
trolled intersections. This is primarily because the design of De>igned for 15·20 mph

roundabouts and traffic circles greatly reduces the possibil- FIG uRE 3. 3 N Roundabout and mini-roundabout (neighborhood
ity of head-on and right-angle collisions. The circulating traffic circle).

guidelines, the reader is directed to FHWA (Federal High-
way Administration) publication no. FHWA-RD-00-067,
Roundabouts: An Informational Guide.
3.3.5. Site Access and Intersection Design
A site's transportation accessibility is one of the critical ele-
ments for the desirability of a site. A commercial develop-
ment will seek high visibility and proximity to multiple
points of access from high traffic areas, while a rural resi-
dential development will seek a secluded site that discour-
ages through traffic. The accessibility is important in the
context of vehicular traffic as well as pedestrian or bicycle
traffic. Most land development projects will only use at-
grade intersections, such as a signalized intersection or
stop-controlled intersection. Grade-separated intersec-
tions with ramps and flyovers are typically only provided on
major highway systems.
Access Management. Traffic circulation and ease of site
access often determine a development's consumer appeal. Retail
centers are often interested in corner sites, which allow for
increased visibility and more opportunities for access from arte-
rial and collector roadways. In contrast, a suburban residential
development may be interested in discouraging traffic through
the neighborhood and might prefer a single point of access from
a minor collector roadway. Urban areas with a mix of uses ben-
efit from multiple access points and internal road networks.
B II
• - -.;;:-7"'
. fL . ...
_4t,ii) : .
~g--
-(10 ..-'•·...•· ..................................
•
FIG uRE 3. 3 0 Areas of an intersection and conflict points.
3.3 ■ TRANSPORTATION FUNDAMENTALS 185
Access management is a reference to the controlling sys-
tems that are in place at the entrance into a site. The access
management of a site may govern the location of the site's
driveway along the road, the need for turn lanes, or the
requirement for channelizing devices at the site entrance.
Channelizing devices may include a raised island at the
entrance or modifications to a highway median to prevent
specific turn movements.
The local DOT will often control the site access based
on the road classification, design speed, distance between
other intersections, and traffic characteristics of a site. The
DOT is concerned about preserving the mobility of the pri-
mary roadways to keep traffic moving. This mobility is often
accomplished by limiting the number of entrances and inter-
sections. In contrast, a local jurisdiction and developer are
often interested in providing urban corridors that facilitate
access to development areas. In all cases, safety is a focus and
access management is often prescribed to limit the number
of potential for traffic accidents. Figure 3.30 depicts the
conflict points in relation to the regions of an intersection.
Compare the number of potential conflicts on the left, with
access points A and B and an unrestricted access condition,
to the condition on the right with controlled access from
point C. While ease of access is reduced, the potential for
conflicts and crashes is also reduced for the condition shown
on the right. This is especially critical when access points are
C
...,_......_____.
10& i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ
located in close proximity to all other movements that occur
near an interection.
Access locations are often controlled by the distance from
other intersections and access locations. Most jurisdictions
will set minimum distances between driveways, minor inter-
sections, and major intersections. The length of turn lanes,
intersection queueing, acceleration, and deceleration areas
represent the functional area of an intersection and should be
kept clear of site access points (Figure 3.30). As vehicles enter
and exit a site, the movements introduce conflict points and
increase the opportunities for accidents. The DOT will review
the type of access that can be provided for the site based on the
characteristics of the highway and site. If entrance spacing or
proximity to an intersection is a concern, it's possible the DOT
will restrict turning movements in and out of the site.
It's important to identify all access requirements dur-
ing the early stages of design. The need for turn lanes, the
location of the site entrance, and the restrictions on turn-
ing movements will have a large impact on site design and
desirability. In some cases, the requirement for turn lanes
for a new site entrance may require land from adjacent sites,
which could be challenged by the adjacent property owners.
Intersection Spacing. The intersection control, highway
speed, roadway classification, and access type all influence
the spacing requirements of intersections and driveway
entrances. Signalized intersections should be spaced fur-
ther apart than unsignalized intersections. Partial access
entrances (e.g., right in and right out only) can be located
closer together than full access points. The higher the speed
limit of the roadway, the larger the distance between the
intersections. For example, the Virginia DOT (VDOT)
requires 660 feet between driveways along a 30 mph road,
but 1,320 feet between driveways on a 50 mph roadway
(Urban Minor Arterial Classification). On local streets in
residential areas, the recommended minimum spacing is
generally less at 125 feet. On collector streets, spacing should
be increased to 250 feet. Table 3.3B provides some examples
of intersection spacing requirements based on speeds and
roadway classifications as indicated by VDOT.
In commercial areas, it is common for one site to have
numerous entrances from the main highway into the
office and retail establishment. The volume of traffic and
the numerous turning movements require these entrances
to be treated as intersections. Residential driveways, how-
ever, are not considered intersections because of the low
volume and few consecutive turning movements. Recom-
mended spacing of minor commercial entrances is around
200 feet, depending on the traffic on the serving road and
the anticipated traffic through each entrance. Spacing may
be reduced if the turning movements into and out of the

TABLE 3. 3 B Minimum Spacing Standards for Commercial Entrances, Intersections,

and Crossovers, VDOT Road Design Manual
MINIMUM SPACING STANDARDS FOR COMMERCIAL ENTRANCES, INTERSECTIONS, AND CROSSOVERS

CENTERLINE TO CENTERLINE SPACING IN FEET

HIGHWAY UNSIGNALIZED PARTIAL ACCESS

FUNCTIONAL LEGAL SPEED SIGNALIZED INTERSECTIONS/CROSSOVERS & ONE OR Two WAY
CLASSIFICATION LIMIT (MPH) INTERSECTIONS/CROSSOVERS FULL ACCESS ENTRANCES ENTRANCES

Urban ~ 30 mph 880 660 270

Minor 35 to 45 mph 1,050 660 305
Arterial :::: 50 mph 1,320 1,050 425
DIVIDED UNDIVIDED DIVIDED UNDIVIDED

Urban ~ 30 mph 660 425 440 200 155

Collector 35 to 45 mph 660 425 440 305 250
:::: 50 mph 1,050 495 660 425 360
Rural ~ 30 mph 1,050 880 270
Minor 35 to 45 mph 1,320 1,050 360
Arterial :::: 50 mph 1,760 1,320 495
DIVIDED UNDIVIDED DIVIDED UNDIVIDED

Rural ~ 30 mph 880 570 660 305 200

Collector 35 to 45 mph 1,050 570 660 425 305
:::: 50 mph 1,320 645 1,050 570 425
 3.3 ■ TRANSPORTATION FUNDAMENTALS 187

entrances are limited to the direction of flow of traffic, in
other words, right-in and right-out movements.
Intersection spacing is always a matter for consideration
in maintaining safe streets and avoiding traffic queuing. Full
access conditions are often desired by new developments,
but uncontrolled access points introduce potential vehicle
and pedestrian conflicts. Many traffic projections use pre-
scribed values for estimating the volume of traffic expected
at each entrance. These volumes, in conjunction with high-
way characteristics, are used to determine turn length and
queuing requirements. Local knowledge of traffic patterns or
attraction of the new development can further inform the
design recommendations.
Intersection Sight Distance. Another controlling factor
for intersection location and design is sight distance. Sight
distance is provided at intersections to let drivers identify the
presence of potentially conflicting vehicles and to be able to
stop or adjust their speed, as appropriate, to avoid intersection
collision. The driver of a vehicle approaching an intersection
should have an unobstructed view of the entire intersection,
including any traffic control devices, and sufficient lengths
along the highway to permit the driver to anticipate and avoid
potential collisions. To enhance traffic operations, intersection
sight distances that exceed stopping sight distances are desir-
able along the major road. Intersection sight distance for an at-
grade intersection is subject to the type of traffic control at the
intersection or, where no traffic control devices are present, by
the rules of the road. At an intersection where no traffic con-
trol devices are present, a basic rule of the road would require
the vehicle on the left to yield to the vehicle on the right if they
arrive at approximately the same time.
Clear sight triangles are specified areas along intersection
approach legs and across their included corners that should
be kept clear of obstructions that might block a driver's view
of potential conflicts. The dimensions of the legs of the sight
triangles depend on the design speeds of the intersecting
roadways and the type of traffic control used at the intersec-
tion. These dimensions are based on observed driver behav-
ior and are documented in NCHRP Report 383, Intersection
Sight Distance. Two types of clear sight triangles are con-
sidered in intersection design: approach sight triangles and
departure sight triangles, as illustrated in Figure 3.3P.

II . rn j l II ,+I a - - - -

l I
/
I I ~ngle-

Decision Point
Approaching Sight Triangle for Viewing Traffic Approaching Sight Triangle for Viewing Traffic
(a) Approaching the Minor Road from the Left Approach ing the Minor Road from the Right

11 11 I

l f
l '\ ngle
(IE
_/ i '-
II I II I
Departure Sight Triangle for Viewing Traffic Departure Sight Triangle for Viewing Traffic
(b) Approaching the Minor Road from the Left Approaching the Minor Road from the Right

FIG uRE 3. 3 P Intersection sight triangles. (a) Approach sight triangles (uncontrolled or yield controlled),
(b) departure sight triangles (stop controlled). (Modified from A Policy on Geometric Design of Highways and
Streets, 2011, by the American Association of State Highway and Transportation Officials, Washington, D.C.
Used with permission.)
188 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ
Figure 3.3P(a) shows typical clear sight triangles to the
left and to the right for a vehicle approaching an uncon-
trolled or yield-controlled intersection, The vertex of the
sight triangle on a minor-road approach (or an uncontrolled
approach) represents the decision point for the minor road
driver, where braking to stop should begin if another vehicle
is present on an intersecting approach. The distance from
the major road, along the minor road, is illustrated by the
dimension a in Figure 3.3P(a). The geometry of a clear sight
triangle is such that when the driver of a vehicle without the
right-of-way sees a vehicle that has the right-of-way on an
intersecting approach, the driver of that potentially conflict-
ing vehicle can also see the first vehicle. Being the distance b
away from the intersection, the driver of the vehicle with
the right-of-way should be able to slow, stop, or avoid other
vehicles, if it becomes necessary.
Figure 3.3P(b) illustrates departure sight triangles neces-
sary for a stopped driver on a minor road approach to enter
or cross the major road.
For many land development projects, the most typical
type of traffic control is the stop control. The vehicle on
the minor street is required to completely stop, ensure that
movement through the intersection, either entering the
SITE 1
FIG uRE 3 .3 Q Sight distance for site analysis.
intersecting road or crossing it, can be safely done without
colliding with oncoming traffic, and then proceed.
The ability to ensure proper sight distance will often gov-
ern whether a site entrance can be placed at a given location
along a roadway. Vertical or horizontal obstructions can
prohibit visibility and a site access point would therefore not
be allowed. Many jurisdictions will require a sight distance
easement to ensure the line of sight is kept clear of vegeta-
tion, signs, site furnishings, parked cars, or other obstruc-
tions. If the line of sight crosses an adjacent property, the
developer may be required to obtain a sight distance ease-
ment from the adjacent owner. A conceptual graphic of
intersection sight distance for two different site entrances
is depicted in Figure 3.3Q. For Site 1, the sight distance is
obstructed by a building and the angle of the sight lines are
undesirable. In Site 2, the road geometry and site location
allow the line of sight to exist within the roadway and avoids
horizontal obstructions.
The driver on the minor road must have an unobstructed
view for a sufficient distance to ensure that movement
through the intersection can be safely accomplished. This
sufficient sight distance depends on the speed of the oncom-
ing vehicles and some nominal perception-reaction time
,
SITE2

representative of most drivers as well as the physical condi-
tions of the intersection. For left turns, the number of lanes
in a roadway will govern the length of the sight distance. As
a vehicle makes a left turn they must cross all lanes of traf-
fic, and a median, before reaching the receiving lane--this
condition increases the time of the turning movement that
requires more time. Additionally, steep grades at an inter-
section should be considered when calculating the timing
required to make a turning movement-larger vehicles may
require more time to traverse steep grades.
The three types of movements for the stopped vehicle, the
corresponding sight triangles, and the values of the related
sight distances are explained in detail in the AASHTO
Green Book. These three basic cases are briefly identified
here, while the detailed explanation of these and other cases
(intersection with no control, intersections with yield control
on the minor road, intersections with traffic signal control,
intersections with all-way stop control) can be found in the
AASHTO Green Book.
Crossing maneuver from the minor road: The vehicle
can proceed through the intersection, continuing
along the minor street (four-legged intersections
only). This requires that the vehicle clear traffic
approaching from either direction of the major street
and also vehicles turning left from the opposite direc-
tion on the minor street.
Left turn from the minor road: The stopped vehicle can
turn left onto the major street, which again requires
clearing traffic from both directions.
Right turn from the minor road: The stopped vehicle can
turn right, which requires clearing traffic coming from
the driver's left.
The vertex (decision point) of the departure sight triangle
on the minor road and the corresponding assumed loca-
tion of the driver's eye should be 14.5 feet from the edge of
the major road traveled way (note the edge of traveled way
may be different from the edge of pavement). According to
AASHTO, this assumed vertical location of the driver's eye is
3.5 feet above the roadway surface, and the object to be seen
is 3.5 feet above the surface of the intersecting road. In addi-
tion to AASHTO, the reader is referred to local highway design
criteria to establish the intersection sight distances. Without
the benefit of a specific method, a reasonable 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 requires a sight distance of 350 feet.
The preceding discussions on sight distance for at-
grade intersections assume that grades on approach legs
are almost level. When the grade along the intersection
approach exceeds 3%, the leg of the clear sight triangle along
the approach should be modified by multiplying the calcu-
lated sight distance by the appropriate adjustment factor.
3.3 ■ TRANSPORTATION FUNDAMENTALS 189
Both sets of data are clearly provided in table format in
the AASHTO Green Book. The same publication also pre-
scribes the height of eye and the height of object at 3.5 feet;
therefore, nothing in the line of sight, such as fences and
vegetation, should be higher than this value.
Curb Return Radius. The curb return is the arc of the curb
that joins two roadways. The ability of a vehicle to turn safely
and effectively depends on such factors as type of vehicle,
pavement width, curb return radius, speed through the turn,
longitudinal and transverse pavement slope, and skew angle
of the intersection. Ideally, as the vehicle makes a turning
movement, it remains within the limits of the designated
lane. On local streets, for which the design vehicle is pre-
dominantly small, and the design speeds and traffic volumes
are low, whether the vehicle stays within the confines of the
designated travel lane is of minor consequence. The radius of
curvature of the curb return affects the width of the entrance
of the street. Since pedestrian safety is paramount in resi-
dential areas and speeding is discouraged, short radius curb
returns are more desirable.
In commercial and industrial developments, pavement
widths and curb returns are matched to accommodate larger
vehicles and reduce (or eliminate) the need for the vehicle
to encroach into other lanes during the turning movement.
However, as the curb return radius increases, the entrance
width increases, and consequently lane designations through
the intersection are obscured. Additionally, pedestrians are
forced to traverse larger pavement areas, which is a safety
concern. The need for channelization by islands or spe-
cial pavement markings to delineate the travel lanes then
becomes a consideration.
According to the ASCE!NAHBIULI's Residential Street
Design (3rd ed., 2001), the recommended range for curb
return radii is 10 to 15 feet at local-local street intersections,
15 to 20 feet at local-collector intersections, and 15 to 25 feet
at collector-collector intersections. However, most jurisdic-
tions prescribe minimum radius of curvature for the curb
returns. The engineer should use discretion in setting these
radii. In some cases, the sidewalk adjacent to a curb return
may have a thick section (increased from 4 to 7 inches) to
accommodate the occasional overrun of a large vehicle. The
curvature is based on the largest type of vehicle that will
frequently use the street, pedestrian safety, and the cost for
maintenance of the right-of-way and the loss of usable land
for development.
In some cases the curb return radius does not need to
match the vehicle turning radius--when a road section
includes a bike lane or on-street parking the effective turn-
ing radius is larger than the curb return (Figure 3.3R). In
this case, the vehicle path should be simulated to verify
adequate clearance. Software can simulate vehicle turning
movements assist in checking these provisions. An example
of one template is shown in Figure 3.3S. Other templates
for the vehicles listed in Table 3.3C are provided in the
AASHTO manual. The minimum turning radii values for
20 different vehicle types are listed in Table 3.3C.
190 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ

10.06 m 33 ft Trailer
.37 m 7.77 m
(4 .5 ft)1 (25 .5 ft)

,.,.
0

0 1m
5 ft
I
10 ft
I
2.5m
scale

0.91 rr
(3 ft]

12.20 m [40 ft] ~eelbase

13.87 m[45.5 ft]or reater

* Typical tire size and space between

tires applies to all trailers.

Path of left
front wheel
' ' ' ', \
'

'\ \

\ \
\ \

\\
I

rear wheel
0 5 ft 10 ft
~
O 2.5m
scale

• Assumed steering angle is 20.4 °

• Assumed tractor/trailer angle is 46 °
• CTR = Centerline turning
radius at front axle

2.44m
1--J
(8.0 ft]

FIG uRE 3. 3 R Minimum turning path for WB-40 design vehicle. (From A Policy on
Geometric Design of Highways and Streets, 2011, by the American Association of State High-
way and Transportation Officials, Washington, D.C. Used with permission.)

( (I 11 J ( (I
]I I))
FIG uRE 3. 3 S
__I
Effective turning radius for streets with bike lanes.
Channelization. Wide street entrances at intersections,
such as those generated by large curb return radii or
skewed intersecting streets, create large areas of pavement
that confuse drivers and promote irregular vehicle move-
ments. To mitigate these conditional hazards, painted
pavement markings or raised islands are installed to direct
the traffic flow (Figure 3.3T). Raised islands also serve as
pedestrian refuge points, separate opposing traffic, and
serve as attractive aesthetic focal areas for the develop-
ment when landscaped. In the latter case, however, the
landscaping must not impede sight distances nor obstruct
the driver's view of pedestrians.
The size, configuration, and method of channeliza-
tion are very site specific. Factors to consider include
the volume of traffic, the type of intersection control, the
geometry of the intersecting streets, and, most important,
the requirements and standards of the approving public
agencies.
The islands must be large enough to be visible to driv-
ers for each turning movement affected by the island.
3.3 ■ TRANSPORTATION FUNDAMENTALS 191
II]
(..___ __
CII U)
:=25'
~ffective)
AASHTO recommends the island area to be not less than
50 square feet as an absolute minimum and preferably
100 square feet in size. Triangular islands should be 12 feet
long on a side, not including the rounding at the corners.
Raised curb islands are set 2 to 4 feet from the edge of pave-
ment of the through street on low-speed roads. The setback
increases with increasing design speed on the through street.
Curb Ramps. Curb ramps (or curb-cut ramps) are
required by ADA at most intersections and all crosswalk
locations. According to the ADA, curb-cut ramps shall
be a minimum 3 feet wide and the slope shall not exceed
8.33% (1V:12H). If located along a curb and gutter sec-
tion, the gutter slope should be minimized to prevent a
large grade change across the gutter and into the ramp--a
gutter is usually set to 5% maximum adjacent to a curb. A
detectable warning surface such as truncated domes must
also be provided for 2 feet longitudinally and for the full
width of the ramp for individuals with vision impairments.
Most states and municipalities provide standards detailing
curb ramp dimensions and intersection locations. Issues
192 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ

TABLE 3. 3 C Minimum Turning Radii of Design Vehicles

DESIGN CITY CONVENTIONAL I.ARGE2
VEHICLE PASSENGER SINGLE-UNIT INTERCITY Bus TRANSIT SCHOOL Bus SCHOOL Bus ARTICULATED INTERMEDIATE INTERMEDIATE
TYPE CAR TRUCK (MOTOR COACH) Bus (65 PASS,) (84 PASS,) Bus SEMITRAILER SEMITRAILER

SYMBOL p SU BUS-4O BUS-45 CITY-BUS S-BUS36 S-BUS4O A-BUS WB-4O WB-5O

Minimum 24 42 45 45 42.0 38.9 39.4 39.8 40 45

Design
Turning
Radius (ft)
Centerline 1 21 38 40.8 40.8 37.8 34.9 35.4 35.5 36 41
Turning
Radius
(CTR) (ft)
Minimum 14.4 28.3 27.6 25.5 24.5 23.8 25.4 21.3 19.3 17.0
Inside
Radius (ft)
TURNPIKE MOTOR fARM 3
DESIGN "DOUBLE TRIPLE DOUBLE CAR ANO CAR ANO HOME TRACTOR
VEHICLE INTERSTATE BOTTOM" SEMITRAILER/ SEMITRAILER/ MOTOR CAMPER BOAT ANO BOAT w/ONE
TYPE SEMITRAILER COMBINATION TRAILERS TRAILER HOME TRAILER TRAILER TRAILER WAGON

WB-65**
SYMBOL WB-62* OR WB-67 WB-67D WB-1OOT WB-1O9D* MH PIT P/B MH/B TR/W

Minimum 45 45 45 45 60 40 33 24 50 18
Design
Turning
Radius (ft)
Centerline 1 41 41 41 41 56 36 30 21 46 14
Turning
Radius
(CTR) (ft)
Minimum 7.9 4.4 19.3 9.9 14.9 25.9 17.4 8.0 35.1 10.5
Inside
Radius (ft)
"Design vehicle with 48-ft trailer as adopted in 1982 Surface Transportation Assistance Act (STAA) .
.. Design vehicle with 53-ft trailer as grandfathered in with 1982 Surface Transportation Assistance Act (STAA).
1The turning radius assumed by a designer when investigating possible turning paths and is set at the centerline of the front axle of a vehicle. If the minimum turning path is

assumed, the CTR approximately equals the minimum design turning radius minus one-half the front width of the vehicle.
2School buses are manufactured from 42- to 84-passenger sizes. This corresponds to wheelbase lengths of 11.0 to 20.0 ft, respectively. For these different sizes, the minimum

design turning radii vary from 28.8 to 39.4 ft and the minimum inside radii vary from 14.0 to 25.4 ft.
3Turning radius is for 150-200 hp tractor with one 18.5-ft-long wagon attached to hitch point. Front wheel drive is disengaged and without brakes being applied.

(From A Policy on Geometric Design of Highways and Streets, 2004, by the American Association of State Highway and Transportation Officials, Washington, D.C. Used by permission.)
 3.3 ■ TRANSPORTATION FUNDAMENTALS 193

Through ~
traffic , ,
lanes I I
:t :t ~R•
6Om [2. ft)
I I
0.6 m C2 ftl-1----1---...!
Offset I I R•0.6 m [2 ft]
I I

0.6 m [2 ft)__:_:_]--~- - - -
Offset -------
..-

~ Pointed Stripes

ThrouQh
traffic'\
lanes I I INTERMEDIATE
I I

m---
to 1.5 m [2 to 5 ft]

o.& to 1.0
c2 to 3 ftJ 0.6 to 1.0 m
Offset [2 to 3 ftl Offset
~ - Curb & Gutter
0.6 to 1 m--_-_~ _ _ _ _ _ R•l.2 to 2 m on opprooch
[2 to 3 ft] ..,_ Offset
Offset - - - - - - - C4 to 6 ftl

Through~
LARGE
---
traffic I, I R•0.6 to 1 m
lanes
I I C2 to 3 ftl
I I
I I I
R•0.6 to 1.5 m C2 to 5 ft]

O. 6 to 1 • O m I I
:t :t: , 1I
R•0.6 to 1.0 m [2 to 3 ftl
o. 6 to 1.0 m
C2 to 3 ft l I I 1 [2 to 3 ftl Offset
Offset I I •~~?Z:>72~~~
~ - Curb & Gutter
0.6 to 1 m _ _ _ _ _ _ _ _ _ R• 1. 2 to 2 m on approach
C2 to 3 ftl ..,_ C4 to 6 ftl
Offset - - - - - - - - -Offset
~) TRIANGULAR CURBED ISLAND ON URBAN STREETS
FIG uRE 3. 3 T Detail of corner island. (a) Details of corner island designs for turning road-
ways (urban location), (b) details of corner island designs for turning roadways (rural cross section
on approach).
194 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ

Crossroad ~
SMALL
I I :
II 't• R•0.3 m Cl ftl
:•: ~ ~ R•0.6mt2ftl
I I
I I

Shoulder-----~- _ _ _ _ Moinl ine

Offset .._ Hiohwoy

Note:
Layout shown also could apply to loroe
islands without cur-bs.

~ Shoulder

Crossr-oad ~

I I I INTERMEDIATE
I I I

~ R•0.3 to 0.5 m
Throuoh-{1
Traffic Lone :i: t ~
CI to I. 5 ft l

I I 0.6 to 1. O m
I I [2 to 3 ftl Offset
' ' mm-rn'?T,~·· '-..,,.,..,.,..,..,,.,...,..,,...,,.,..,,.
~b~':,_ ~ S h o u l d e r
Shoulder _ _ _ _ _ _ _ _ Mainline
Offset .._ Hiohwoy

Crossroad-....,_
LARGE
I' I R•0,3 to 0.5 m
I I c1 to 1. 5 ft J
I I
I I
:i:t
I I 0.6 to 1.0 m
I I • •• ~ [ 2 to 3 ftl Offset
' I
,:1/.:,~·:·:.·.:-._"'::'m' Shoulder
_ _ _ _ _•.;_ _ _ _ _ _ Main I ine
..,_ Highway

~) TRIANGULAR CURBED ISLAND WITH SHOULDERS

FIGURE 3.3T (Continued)

for consideration in the placement and design of curb-cut
ramps include the following:
• "T" intersections should not include a curb ramp
unless there is a painted crosswalk or traffic device
(stop sign or signal).
• Low points should be avoided to prevent drainage
ponding.
• Traffic islands provided for pedestrian refuge should
include curb ramps.
• No obstructions, such as parked cars, should be
within the path of a curb ramp.
• Visibility of the pedestrians should be considered.
Typical curb-cut ramp types, and curb-cut ramp details with
recommended dimensions are shown in Figures 3.3U and
3.3V, respectively.
3.3.6. Design Criteria
While the design of streets should follow the standards and
guidance established by the well-known transportation
 3.3 ■ TRANSPORTATION FUNDAMENTALS 195

90" Ramps 45· Ramps

FIG uRE 3. 3 U Curb-cut ramp types. (Source: FHWA. Designing Sidewalks and Trails for Access,
Part I. Federal Highway Administration, U.S. Department of Transportation. Washington, D.C., 1999.)

(a) (b)

(c) (d)

Variable 3'-0" Variable

I , J~jr A 1g::
or
Slope

Back Edge_____,,,/ A
of Sidewalk
ELEVATION VIEW OF b & c

ldewalk
Width
Slope
~12,1

(e) Cone. Sidewalk

SECTION A-A
(f)
FIG uRE 3. 3 V Curb-cut ramp details. (From A Policy on Geometric Design of Highways and Streets, 2004, by the Ameri-
can Association of State Highway and Transportation Officials, Washington, DC. Used with permission.)
19& i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ
agencies and organizations (e.g., FHWA or a DOT), addi-
tional considerations are provided for the design of streets
in a lower speed environment typically associated with
land development projects. Traffic calming measures and
bicycle facilities are a few concepts that designers need
to consider and introduce into their land development
street designs with the intent of creating a safer roadway
environment.
Most of the design guidance for high-speed, high-volume
highways has been established by organizations such as
AASHTO, Institute of Transportation Engineers (ITE), and
FHWA. Design guidance for low-speed roads is typically
established by local municipal or state agencies by adapting
the criteria from highway requirements. However, the popu-
lar AASHTO design manual, A Policy on Geometric Design
of Highways and Streets has incorporated discussions and
provided design guidance regarding local roads and streets
in both urban and rural settings. Many local agencies have
adopted the AASHTO manual entirely or with modifications
to reflect regional philosophies and conditions. AASHTO
guidance represents the consensus of state transportation
agencies, the FHWA, representatives of the American Pub-
lic Works Association, the National Association of County
Engineers, and others. They provide a consistent basis for
street design with appropriate variations for climates, ter-
rain, and economic factors.
The FHWA publishes the Manual on Uniform Traffic
Control Devices (MUTCD). This manual has been officially
adopted by most states and has become an important legal
document because it ensures that traffic control devices
such as signs, pavement markings, traffic signals, and other
devices would be uniformly and consistently applied. Local
jurisdictions, in most instances, are required by state law
to conform to the MUTCD. A local jurisdiction may have
a supplemental document for local traffic control require-
ments. Use of this standard applies to both the selections of
appropriate traffic control devices and for the design and
application of pavement markings and signs.
High-speed, high-volume highway design is mostly
governed by vehicle and driver characteristics. Local street
design is governed by the same criteria but also considers
operation and nonvehicular use. More emphasis is placed
on pedestrian safety, local service, land accessibility, and the
preference by residents for a pleasant environment.
The safety of pedestrians and bicyclists is a major con-
sideration in the planning and design of roadways. This is
particularly important in urban environments where their
interaction with vehicular traffic is high. Both AASHTO
and ITE have published manuals that provide guidance for
the development of safe pedestrian and bicycle facilities. In
addition, the Americans with Disabilities Act Accessibility
Guidelines (ADAAG) must be followed during the design
process especially in public street applications.
In many localities, the actual construction and the cost
of construction of the street network of a development proj-
ect is the responsibility of the developer. Once the streets
are constructed, they are then accepted as part of the local
or state street network system and the costs of repair and
maintenance become the responsibility of public agencies.
Maintenance costs, in most cases, are funded through local
and state taxes. Higher-order roads on the other hand are
typically constructed with state and federal funds and main-
tained with state funds.
It is imperative for the streets to be designed and built
according to the governing criteria. Failure to do so often
results in additional design and construction costs in order
to have the street accepted into public roadway system. Non-
standard design may also cloud liability in accident cases.
Instead of public streets, some developers choose to provide
private streets. These streets are not turned over to the local
or state street network system. In these cases, the cost burden
for repair and maintenance will then be the responsibility of
the collective private owners.
The design capacity, that is, the traffic volume that can
be supported by a street, depends on factors such as width,
horizontal curvature, vertical curvature, longitudinal street
grades, superelevation, roadside obstructions, intersec-
tions, and traffic control measures. These criteria are usu-
ally specified as minimums for development streets and are
determined by the need for fire access and whether on-street
parking is permitted. For collectors and arterials, it is neces-
sary to design the street for the traffic volumes it is expected
to maintain at some future date. These traffic volumes are
determined during the initial traffic studies conducted dur-
ing the preliminary design phases. Traffic data, such as ADT
and peak-hour traffic volumes, are essential to establish the
geometric design features of the street.
Vehicle Characteristics. Roads are designed to accom-
modate the characteristics of the vehicles using it. There is
a wider range of vehicle types using arterial roads as com-
pared to vehicle types using local streets. In addition, the
frequency of occurrence of specific vehicle types is higher
on arterial roads. For example, a large truck (e.g., moving
van) is only occasionally found on residential streets, but
large trucks are common on arterial streets. Therefore, for
economic reasons, streets higher in the functional hierarchy
must be geometrically and structurally designed to accom-
modate larger vehicles. In comparison, the design require-
ments for local streets may not have to be as stringent. For
example, lanes for local streets may not be as wide as for
arterials, curve radii may be shorter, and grades steeper.
Local requirements for pavement structure and operating
room for fire apparatus often provide more than adequate
design for other similar vehicles.
The largest vehicle type that is most likely to use the
roadway with regular frequency is selected as the design
vehicle. The physical and operating characteristics of the
design vehicle are then used to establish critical geometric
and structural design features of the road. Local streets, like
any roadway, must accommodate the predominant vehicles
using this type of functional street. The predominant vehicle
on local streets is the private passenger car, including small,

medium, and large size cars, vans, and pickup trucks. In
high-density developments (e.g., mixed-used developments,
office parks), typically the travel way is not publicly owned
and maintained. Consequently, design criteria for minimum
widths and radius of curvature are even less than those pre-
scribed for local public streets. However, the design engineer
must consider the use of these streets by emergency vehicles,
moving vans, trash trucks, school buses, and other large
vehicles. Typical dimensions and minimum turning paths
for a variety of these design vehicle types can be found in the
AASHTO Green Book.
Driver Characteristics. The characteristics of vehicles
and drivers using the roadway directly affect the geometric
design. Driver behavior and response to various situations
fluctuate based on conditions. Behavior and response for the
same situation and condition vary for the same driver at dif-
ferent times due to physical condition and mental attitudes.
Likewise, the performance of vehicles varies due to size,
weight, power, mechanical condition, and the driver. Road
design must account for some minimum standard of driver
behavior and vehicle performance.
Individuals vary, and therefore as an added measure of
safety designers must account for below-average driver
characteristics, with the presumption that a high majority
of drivers will have these minimum threshold characteris-
tics. Driver's fundamental characteristics include perception,
identification, emotion, and volition (PIEV).
Perception includes seeing and observing objects. Iden-
tification consists of comprehending an encountered object
and its surrounding elements. Emotion involves judgment
and the process of decision making, leading to responsive
actions. Volition or reaction is the driver's will to react to
or execute the actions decided during the emotion process.
The total time elapsed through the PIEV process is referred
to as the PIEV time, or more commonly the perception-
reaction time.
PIEV time varies with the complexity of individual
situations. Factors such as the use of drugs and alcohol,
fatigue, and physical impairments cause increases in PIEV
time. Studies conducted in laboratory situations deter-
mined PIEV time as lying in a range from 0.5 to 7.0 sec-
onds. Highway agencies typically use PIEV times of 2.5
seconds for stopping distance and 2.0 seconds for deter-
mination of adequate sight distance at intersections. The
latter is shortened because the driver anticipates a pos-
sible reaction at intersections. Similarly, familiarity with
common signs and traffic markings reduced PIEV time
because perception identification and emotion occur
almost instantaneously.
Pedestrians. Pedestrian safety is a concern on any road-
way where a combination of vehicular traffic and people
occurs. Pedestrian density substantially increases in the
lower classifications of streets in both residential and com-
mercial areas. In residential areas there is an added empha-
sis on child safety. Not to be overlooked are the safety
concerns of pedestrians in parking areas. Parking areas
3.3 ■ TRANSPORTATION FUNDAMENTALS 197
are complex in that the driver, although proceeding slowly,
must contend with numerous vehicle and pedestrian move-
ments occurring nearly simultaneously. Pedestrian move-
ments along and randomly crossing travel ways, vehicles
entering and exiting parking spaces, as well as the move-
ment and turns of the normal traffic, all contribute to park-
ing area hazards.
Planning for the pedestrian is a high priority in the design
of roadways at the local level. Pedestrian safety provisions
included in roadway planning are sidewalks, crosswalks,
curb cuts, and ramps for the physically disabled. Another
such provision is special walkways for pedestrian freeway
crossings. Traffic control features aid both pedestrian traffic
and vehicular traffic.
Sidewalks should provide a continuous path to service
areas such as community centers, schools, parks, and shop-
ping areas. Most ordinances require sidewalks on at least one
side of the street. In some residential areas, the ordinance
may require a paved trail in lieu of or in addition to the con-
ventional sidewalk.
Conventional sidewalks typically are adjacent and paral-
lel to streets and travel ways, whereas paved trails meander
along natural pedestrian circulation routes. Another provi-
sion is the need for landing and staging areas at bus stops.
Unfortunately, bus routes through new residential develop-
ments are rarely established prior to completion of the devel-
opment. Providing landings and pedestrian circulation to
these locations, when possible, adds to the appeal and safety
of the land development project.
One of the most dangerous maneuvers for pedestrians is
to cross a wide street at an unsignalized intersection. One
option to increase pedestrian safety is to locate bulb-outs at
corners as shown in Figure 3.3W This not only reduces the
pedestrian crossing distance but also creates an illusion of
a narrower street to drivers, who instinctively reduce their
speed. Additional traffic calming measures are discussed in
Chapter 5.4.
Bicyclists. Many existing roads were not designed to
accommodate an ever increasing number of bicyclists shar-
ing the road. However, in areas of new construction, where
a significant number of bicyclists are expected, provisions
should be made by the designer.
Ideally bicycle routes should be located outside the paved
roadway section when sufficient right-of-way is available.
This additional space is not always available or may be occu-
pied by sidewalks and utility strips. As a result, bicycle facili-
ties can generally be designed as one or a combination of the
following types:
Type !--off-street path: These bikeways should be used
on high-volume, high-speed roadways provided right-
of-way space is available. They can be designed wide
enough to accommodate both bicyclists and pedestrians
(10 feet or more). Provisions such as low curbs or plant-
ing strips should be considered to separate these two
modes of transportation.
190 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ
...
FIG uRE 3. 3 W Bulb-outs (Source: FHWA. Designing Sidewalks and Trails for Access, Part I. Federal Highway Administration,
U.S. Department of Transportation. Washington, D.C., 1999).
Type II-bicycle lane: These bikeways are on-street
striped routes. They can be located adjacent to curb lines
or adjacent to parking lanes. In either case a narrow
painted buffer should be considered to separate the bicy-
cle lane from the adjacent travel lane. These bikeways
can be installed where sufficient street width is available
or can be provided without restricting vehicular traffic.
Figure 3.3X shows a typical Type II bicycle lane with sug-
gested pavement markings.
Type III-bicycle route: The least desirable bikeway of the
three is the on-street signed route. They are to be used
where there is insufficient curb-to-curb width to accom-
modate the striped Type II bicycle lane and in some
□
cases to provide continuity to other Type I and/or Type II
bikeways in the area.
When on-street bicycle lanes and/or off-street bicycle paths
are present in the land development, the design of the inter-
sections in the development should be modified to reflect
the presence of these facilities.
The following measures can be introduced:
• Special sight distance considerations
• Wider roadways to accommodate on-street bicycle lanes
• Special lane markings to channelize and separate
bicycles from right-turning vehicles

WHITE
STOP LINE
TYP
PARKING
i
I
X
5' TYP
4" WHITE TYP
10' TYP
FIGURE 3.3X Type II bicycle lane.
• Provisions for left-turn bicycle movements
• Special traffic signal designs (such as conveniently
located push buttons at actuated signals or even sepa-
rate signal indications for bicyclists)
The subject of bicycle facilities is further explained
in the AASHTO Guide for the Development of Bicycle
Facilities.
3.3.7. Site Design
Traffic circulation and ease of access often determine a
land development's consumer appeal. In purely residential
developments, the recommended practice is to discour-
age cut-through traffic, by limiting the number of access
points to the arterials or collectors or by designing the
internal streets in short, narrow, curvilinear, and discon-
tinuous patterns. Although multiple access points might
encourage through traffic, they do provide for less conges-
tion because of more dispersion of the traffic from within
the residential development. In mixed-use developments
and commercial/retail projects, the access and circula-
tion pattern is more complex. Circulation and access are
important to facilitate the traffic flow through the com-
mercial and retail sections. However, the commercial and
retail traffic should not be directed through residential
areas. Proper planning of the development necessitates
that the residential section be located apart from the busi-
ness areas to reduce the high traffic volume's impact. As
previously mentioned, through traffic can be discouraged
by street geometry and configuration, but this strategy is
most effective if the minor arterials have adequate capac-
ity and provide a good LOS.
Internal Street Networks. Street circulation is site oriented
to a degree. Where and how the streets are oriented depend
on the interrelationships of various aspects such as lot layout,
3.3 ■ TRANSPORTATION FUNDAMENTALS 199
CURB
in
CURB
topography, noise levels, accident potential, and other fac-
tors. To accommodate access and circulation demands, street
networks have evolved into grid and/or curvilinear patterns
that fit certain situations and lend themselves to particular
solutions.
Many mixed-use and retail establishments are designed
to promote walking and biking, which can create conflicts
with motorized vehicles.
The safety of all modes of transportation should be con-
sidered with the design of a site. Pedestrian circulation should
be evaluated when providing sidewalks and street cross-
ings should be prominent and accessible. The convenience
of street crossings and the safety of pedestrians should be
balanced-inconvenient crossing locations may discourage
the use of formal crosswalks, while too many crossing loca-
tions introduce additional conflicts.
Grid Patterns. The grid pattern is a series of parallel streets
intersecting at right angles creating rectangular blocks. The
grid is best suited for use in high-density areas with widely
distributed traffic flows. Grid systems provide easily recog-
nizable orientation for users. Their simplicity in providing
access is a definite advantage. The grid system simplifies
surveying and construction while also creating efficient and
uniform building sites.
Grid street systems dictate the topography by forcing
a specific grading design in order to obtain buildable lots.
Therefore, they are best suited for generally flat areas. Impos-
ing a grid system on rolling terrain in most cases requires
extensive grading. Other drawbacks to this type of system
are the monotony of the layout and the lack of differentiation
of function between individual streets within the system.
The system also invites through traffic. These drawbacks
can be overcome with creative design and by variations from
the typical grid. Figure 3.3Y illustrates the simple grid pat-
tern and modifications such as using secondary loop roads
200 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ

J..J Ll..1.l.LJ....LLIJ LL:J.l.:LLi.1..1.J U create a sense of neighborhood on a small scale by collecting

the lots into small groupings through the use of smaller ele-
·-·1'·Tr:t1.rr.·:r..1·•·..·.·17··r:.rrrr.·r'1·•·. [r·
• ments of street patterns such as cul-de-sacs, loop courts, and
~1:;:if;4·-++·FS:H H:8A·++·:PS:H ~+
){iitifii/( /{) }))!) })· ·? short streets (Figure 3.32). Such a pattern's drawback is the
confusion created that may result when attempting to tra-
-.=.=rrrr-rrT)=.-- -•-rrr:1:J-0=\f fil<t:.J-
r-:-!~t:1·-t.t:-ht:H H~:':1.-t.t:·.t;.t!~
1:::: verse the area. Extensive curvilinear patterns are not recom-
mended for commercial and industrial developments.
·.·1 _i-i_ LJ _i- Lt: -: U -i_ LI -1-l:J-:- ·-· Circulation and access may be considered from two dif-
....1::J.F.l:J:J:.f::f.-....•. 171_-_f:}:;1:J:.TJ.-.· [!< ferent scales as they apply to the development's proposed
H---F:Ht.t:-f:-:1:--+1 r-:-!tf➔ t...t.:.•t.::tH 8.r public street system, and as they apply to a specific land
·:[:JTLF-1Tr: ·.-r.:.LLLJ_l·LI·.· -:-
77.:
parcel. In both situations, circulation and access are con-
r-t7·.T rr TT f""l rr•TT 17 TT--17 r=f
i··· ··t· r·1···i··i·r-·f·i···11 -··i· r··f · i···i·· ·1···i-· i· -11 r··1 strained by the existing street network, adjacent prop-
erty, and the intended type of land use for the proposed
A Typical Grid Pattern development.
Frequently, providing for adequate circulation and access
requires improvements to existing infrastructure elements
beyond the limits of the site, and these are often financed by
the developer. Turn lanes added to the existing street or sig-
-.:,j nalization of an intersection to improve capacity and safety
--~ .........
--i-:l ~ are examples of such required off-site improvements. Nec-
-:8 f:- essary considerations for circulation and access include the
:=81~~1 L following:
=] ~ • Will the intersection of the proposed street adversely
b-
f.- affect existing intersections?
• Is there adequate horizontal and vertical sight dis-
fu- tance at the new access point?
:~!::,~-;.~::.~';.~;'..'!-:: ~~~;;;;!.:~~
• Will turn lanes be required?
Modified Grid 1
• Will any intersections require signal control?

JU.,.~:-~._-i::_~:_.:l_L_!::1_.J,_,i::::::1.,.~-i::::_.1._lJ l
j -:-: :< ITl.T:T'I 'l'._17]:<vr_ IC''F'.'l T f-TT -- ~

.·.· .:.L1:.J:LL1:-:.L:tf.JX.h ..T:LLr-T····· l~

4j r.:-:l:-:::H-:++·Ff.:f:-:f:-8·':f.::i·fi.++.FH-.-.l::::1 Cul-de-sac Off-set Cul-de-sac

1R-:-n·::r r-~rT f:-~-::;-.T: rr:r-rr-:-1-n r

Modified Grid 2
FIG uRE 3. 3 Y Grid pattern and variations. (J. DeChiara and
L. Koppelman: Time Saving Standards for Site Planning, 1984, McGraw-Hill.
Reproduced with permission of McGraw-Hill.) /
to provide a more attractive environment while discouraging
nonlocal through traffic.
Curvilinear Patterns. Many medium to large projects
develop a curvilinear type of street pattern. Such a pattern ~
discourages "cut-through'' traffic, optimizes land use, and Loop road
T-type turnaround
minimizes cut and fill grading operations during construc- FIG uRE 3. 3 Z Smaller elements of street patterns. (J. DeChiara and
tion by taking advantage of the existing topography for streets L. Koppelman: Time Saving Standards for Site Planning, 1984, McGraw-Hill.
and, also, lot orientations and configurations. Such patterns Reproduced with permission of McGraw-Hill.)

• Will any streets within the development be required
to terminate at a particular point on the boundary
to allow for access to adjacent properties for future
development?
Considerations for access to a particular parcel such as
entrances (driveways) into commercial/retail sites should
address:
• Is the driveway length (i.e., throat length) adequate to
allow for vehicle queuing into and out of the parcel?
• Is the driveway entrance too close to other driveway
entrances or to an intersection that causes conflicts
in turning movements?
• If there is a median in the driveway, is it visible by the
vehicles turning into the entrance?
• Are the profile and cross section of the drive-
way adequate and compatible with the roadway
conditions?
Circulation within the parcel should also be considered:
• Is a loop road or perimeter road appropriate?
• Does the parking area need to be partitioned or
somehow sectioned to facilitate traffic flow?
• Are the landscaped islands adequately sized (e.g.,
radius and widths) and located for visibility and
circulation?
Cul-de-Sacs and Turnarounds. The cul-de-sac is a popu-
lar street type for use on local streets. Cul-de-sac streets are
open at one end and provide a turning area at the closed end.
Although the circular cul-de-sac and its variations may be
the most widely used, other types of turning areas include
"T" and "Y;' among others. Some of these are depicted in
Figure 3.3AA. The "T" and "Y" type require more incon-
venient backing movements by the user but in low volume
situations conserve land and allow increased flexibility in the
land planning process. The type chosen for a particular situ-
ation depends on the primary type of vehicle being serviced
by the turning area, traffic volume, and, most importantly,
the standards accepted by the approving agency.
Because they are open only at one end, cul-de-sacs are lim-
ited to an ADT volume of about 200 VPD. If it is assumed that
a single-family residence generates 10 trips per day, then 20
residences will generate an ADT of 200 vehicles. Lot widths
range from about 65 feet for small lots to 100 feet for moder-
ately sized lots. Based on these assumptions, the maximum
length of a cul-de-sac street is generally 650 to 1000 feet.
The recommended radius for an all-paved cul-de-sac is
45 feet. Most passenger vehicles require a minimum radius
of 30 feet to turn around. Small trucks and fire equipment
can turn around with one or two backing movements on
40-foot-radius cul-de-sacs. However, this presumes no vehi-
cles are parked within the turnaround area.
3.3 ■ TRANSPORTATION FUNDAMENTALS 201
Other variations or shapes of cul-de-sacs may be pro-
vided to permit vehicles to turn around by backing only
once. Several types [Figure 3.3AA(f-i)] may also be suitable
for alleys, which provide access to the side or rear of indi-
vidual land parcels.
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 vehi-
cle to access adjacent land. A vehicle should be able to turn
around without negotiating steep grades. Maximum pave-
ment grades across the cul-de-sac of 3% to 4% are recom-
mended. The street grade entering the cul-de-sac should be
between 3% and 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 resulting profile aid the contractor in construc-
tion. For more information on grading, see Chapter 3.4.
The lengths of the vertical curves and tangent grades
should be selected to provide a relatively flat area around
most of the perimeter of the cul-de-sac. This would allow
for smoother driveway connections. Site conditions and
drainage considerations are key factors in determining the
lengths, locations, and tangent grades of curves.
Parking. For most land development projects, the avail-
ability of vehicular parking is a critical characteristic of
the site. It's often difficult to accommodate parking within
a site-each parking space (including drive aisles) will
take up about 300 square feet of land area. As a compari-
son, a shopping center may require four parking spaces for
every 1000 square feet of shopping space (or one space per
250 square feet), this means the parking area will often
occupy more space than the actual building area. In an office
building, most employees likely work in a space smaller than
where they park their car.
There are generally three different parking classifica-
tions: surface parking, garage parking, and street parking. A
surface parking is at-grade and usually provided as a large
parking lot that can vary in geometry to fit the shape of the
site. A parking garage is more expensive (20 to 30 times) to
construct than surface parking spaces, but a parking garage
occupies less real estate and is therefore suitable for dense
development areas (Figure 3.3BB shows a surface parking lot
and a parking garage). A standalone parking garage (one not
attached to a building) usually has an efficient layout such as
a rectangle that maximizes the number of parking spaces. If
the parking garage is below a building, the shape conforms to
the building, which may not be an efficient layout but occu-
pies less land area. Street parking is provided with spaces
parallel or angled to a roadway and is common in dense
development areas where parking lots or parking garages
are financially prohibitive. Within a development, such as a
town center, on-street parking can provide convenient park-
ing adjacent to storefronts (Figure 3.3BB).
In addition to passenger vehicle parking, many juris-
dictions require parking for delivery vehicles. The parking
spaces reserved for delivery spaces will generally be larger
202 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ
Path of P Vehicle w

\ I 1 r
! l
(a) (b)

/
\ l I
l

(c) (d) (e)

l
! \
! l J
'
..ILJ,.,)-JL ~ ~
L-Type T-Type Y-Type Branch
(f) (g) (h) (i)

FIG uRE 3. 3 AA Types of cul-de-sacs and dead-end streets. (From A Policy on Geometric Design of Highways
and Streets, 2004, by the American Association of State Highway and Transportation Officials, Washington, D.C. Used with
permission.)

FIG uRE 3. 3 BB Example of surface parking and a parking garage.
(e.g., 15 x 25 feet), but the required number of spaces is sig-
nificantly less with only a few throughout the development.
Retail tenants may have their own requirement for delivery
trucks while a school will likely establish their own require-
ments for parking buses. Bicycle parking may be required in
some regions and is usually separated into short term (bike
racks) and long term (internal bike storage rooms).
The common dimension of perpendicular parking space
is 9 feet wide by 18 feet deep, but this can vary by 1 or 2 feet
in each direction based on local requirements. For context of
scale, a small car is around 6 feet wide by 16 feet long--the
parking space dimension considers ingress and egress from
the vehicle. Some retail tenants prefer larger parking spaces
to accommodate shoppers that are loading goods. Office
3.3 ■ TRANSPORTATION FUNDAMENTALS 203
developments may prefer reduced parking areas because
parking is used primarily by an individual just twice a day.
Requirements. The required number of vehicle parking
spaces is usually dependent on the use of the site and size of
the development based on the local ordinance. Many park-
ing requirements are based on the area of the building, the
number of employees, or the number of homes. Many retail
or office tenants will also have their own requirements for
parking, which may exceed the requirements of a local juris-
diction. A hospital may be interested in additional handicap
(ADA accessible) parking spaces or a grocer might request
more parking than the code requires. A lender or investor
may also have their own requirements for parking based on
how they evaluate a project's marketability.
204 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ

In some cases, a developer may be interested in reducing that occupy parking spaces to provide room for vegetation).
the amount of parking for a site to reduce construction costs Parking visibility and setback is a common concern and there
or encourage alternative modes of transportation. If the site are often requirements for screening of parking areas. These
is located near a rail station, bus stop, or a bike trail network, requirements should be considered during early planning
the site could function with less vehicle parking. In mixed- stages as they can affect the available space for parking.
use development it's likely that the peak demand for park- Layout Options. There are three configurations for pas-
ing alternates between residential uses and office uses, which senger vehicle parking spaces: perpendicular, parallel, and
allows parking areas to be shared. angled. The angled spaces can vary as 45° or 60° parking
When providing parking areas, it's necessary to also pro- spaces. Perpendicular spaces are the most common for park-
vide parking in compliance with ADA. The minimum num- ing lots and garages, whereas parallel parking spaces are
ber of ADA spaces required is dependent on the number of common for on-street parking. Angled parking can usually
total parking spaces provided (Table 3.3D). The location of allow for more spaces (compared to perpendicular), but the
ADA spaces should be as close to the primary entrance of the angled spaces limit how parking is accessed through a park-
building as possible. When providing ADA parking spaces ing lot and is better suited for lots that encourage directional
within a garage, the spaces can be split between levels but movement (e.g., a fast food restaurant).
should then be located near an elevator. If all ADA spaces are Each jurisdiction will identify the geometric requirements
provided within a parking garage it may be necessary to ver- for parking spaces, which is usually identified in the zoning
ify that the parking garage has adequate floor-to-floor clear- ordinance or design standards manual. A perpendicular space
ance to accommodate a large ADA van--this often requires is usually 9 feet wide by 18 feet deep with a 24-foot-wide drive
additional height over standard parking decks. aisle. Parallel spaces are narrower but longer at 8 feet wide
Many jurisdictions also have zoning requirements for by 22 feet long with a drive aisle of 16 feet for one-way or 20
site parking. Landscaping is often required within parking feet for two-way streets. Angled parking spaces require a larger
lots and is provided through parking islands (curbed areas depth dimension than perpendicular, but the drive aisle can be
reduced because the angled parking space requires less space
to maneuver. If the parking drive aisles serve as primary routes
TABLE 3. 3 D Minimum Number of Accessible through the site, it's important to consider requirements for
Parking Spaces (From Americans with Disabilities emergency vehicles, which often have minimum widths of 20
Act, 201 Oby U.S. Department of Justice) to 26 feet. Table 3.3E provides a sample of parking stall dimen-
sions based on parking space alignment.
TOTAL NUMBER OF (COLUMN A) MININUM NUMBER
The optimum parking layout should consider the site use
PARKING SPACES MINIMUM NUMBER OF VAN-ACCESSIBLE
while also maximizing the efficiency of the parking spaces.
PROVIDED IN OF ACCESSIBLE PARKING SPACES
Parking should be convenient to the users while also providing
PARKING FACILITY PARKING SPACES (1 OF SIX a safe configuration for pedestrians. A layout should reduce
(PER FACILITY) (CAR AND VAN) ACCESSIBLE SPACES) the number of dead ends for parking bays and should reduce
the number of drive aisle intersections. If queuing is expected
1-25 1 1
within the site (e.g., highway access, fast food drive through
26-50 2 1 lanes, loading areas, etc.), parking should be provided where it
doesn't impede other prominent site movements.
51-75 3 1 Parking Planning Considerations. Parking generally
76-100 4 1 occupies large areas of a site and becomes an important mea-
sure of site's appeal, but parking demand can easily diminish
101-150 5 1 because of other transportation improvements. New public
transportation, autonomous vehicles, and ride share services
151-200 6 1 can reduce the need for parking on a site. When designing a
201-300 7 2 site, it's worth considering how to future-proof the site so that
parking areas could be redeveloped for higher value uses.
301-400 8 2
401-500 9 2 TAB LE 3 . 3 E Parking Space Dimension Table
500-1000 2% of total parking 1/6 of Column A* PARKING AISLE WIDTH AISLE WIDTH
provided in each lot ANGLE WIDTH DEPTH (ONE-WAY) (TWO-WAY)
or structure
45° 9 19 16 18
1001 and over 20 plus 1 for each 1/6 of Column A*
100 over 1000 60° 9 20 17 19
goo 9 18 24 24
'one out of every 6 accessible spaces
 3.3 ■ TRANSPORTATION FUNDAMENTALS 205

CARLISLE ROAD DIET

Location: Carlisle
Completion Date: 2011
Case Study: Carlisle's downtown, located in Cumberland County, Pennsylvania, was plagued by excessive vehicle speeds
and long crosswalks. The downtown's four-lane streets created an auto-dominance that was challenging for both pedes-
trians and bicyclists alike. The Borough desired to recreate the thriving, walkable downtown it once had. Dewberry was
selected to design traffic pattern changes that would calm traffic, enhance Carlisle's small town feeling, increase safety,
reduce noise and air pollution, and promote walking and bicycling.
Consistent with these goals, Dewberry designed a road diet conversion of High and Hanover Streets from four to three
vehicular lanes with a dedicated bike lane in each direction. The bike lanes provide an added benefit of making parallel
parking easier and making entering and exiting one's vehicle safer. Dedicated left-turn lanes were proposed at each sig-
nalized intersection in the downtown along High and Hanover Streets to improve traffic flow. In order to accommodate
the highly variable traffic volumes through Carlisle, significant upgrades to the existing uncoordinated traffic signal
system were recommended including an adaptive signal system, emergency vehicle preemption, and audible countdown
signals to better serve pedestrians.
20& i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ

The Carlisle Road Diet project features the cutting edge of traffic signal technology. With the first full-scale imple-
mentation of the InSync® Adaptive Signal System in Pennsylvania, traffic in downtown Carlisle will keep moving at a
steadier, calmer pace. An Encom® wireless communication system keeps all 21 intersections synchronized. Pedestrians
benefit from leading pedestrian intervals and audible countdown signals, while Carlisle's first responders are guided
through town via the new emergency vehicle preemption system. Curb extensions were also constructed to shorten the
pedestrian crossing distance and, in addition, truck mitigation signing was installed to reduce the number of trucks in
the downtown. On this project, pedestrians and bicyclists were the primary focus along with safety and traffic calming.
A significant challenge was the need to overcome initial public resistance to the road diet concept. Through many
public meetings, question and answer sessions, and finally the completion of construction, the Carlisle community has
accepted the changes and many now speak highly of the end results. One of the main reasons for the success of this
project was the cohesion and excellent working relationships among the owner, designer, and stakeholders. Everyone
had a strong sense of ownership in the project that was critical to keep the project moving forward and ensure that the
Borough of Carlisle's needs and expectations were exceeded.
 CHAPTER 3.4
GRADING FUNDAMENTALS
3.4.1. Introduction
Grading is configuring the surface of the land by remov-
ing or adding earthen material to shape the land to best
suit the development program. It is accomplished with
both large machines, such as bulldozers, hydraulic break-
ers, and dump trucks down to people, rakes and shovels,
and constitutes a major component of the function and
success of a land development project.
During site analysis it is important to examine the exist-
ing topography of a site. The preliminary information
gathered for the feasibility study and base map will usu-
ally include a topographic map of the site (as discussed
in Chapter 3.2). This is an important indication of devel-
opment potential. It is important to know how to read a
topographic map and to understand the implications of the
existing topography.
This fundamental information will be crucial to be able to
interpret existing conditions and understanding the grading
process. In addition, it is important to know how these con-
tours relate to drainage patterns and drainage divides. This
will be important to consider not only when grading, but
also the impacts for stormwater management, which is dis-
cussed in Chapter 3.5. Next, this chapter discusses an over-
view of grading and earthwork calculations. This process is
vital to apply during the site analysis to ensure that a piece of
property can be developed efficiently and successfully.
3.4.2. Topographic Maps
As introduced in Chapter 3.2, topographic maps display both
the horizontal positions of natural and man-made features
and boundary lines as well as elevation data (depicted as spot
elevations and contour lines). These maps can come from a
variety of sources, including field survey, aerial survey, remote
sensing, and geographic information system (GIS) databases.
Contour lines are a method for graphically depicting
three-dimensional information on two-dimensional media.
A contour is a graphic line connecting points of equal eleva-
tion and is formed by the intersection of a horizontal plane
with the ground surface. Contour lines provide a legible
description of a site's topographic condition. A topographic
map depicts the contours of a site, which provides a refer-
ence to the ground shape. A topographic survey of a site is
prepared by collecting elevation points throughout the site
and contour lines are interpolated from these points-in this
way, a contour map is not a perfect depiction of all details for
a site but a visual reference (Figure 3.4A).
The vertical distance between successive contour lines
is the contour interval. Most topographic maps, especially
those associated with a land development project, have a
constant contour interval. For instance, a 2-foot contour map
means that the plan shows contour lines that indicate a 2-foot
change in elevation. At every 10-foot change in elevation, the
contour line may have a bold or different style to represent
a major interval as compared to the minor 2-foot contour
intervals. The contour interval provides a reference to the
resolution of the data collected, where smaller intervals (such
as 1 foot) mean that more information has been collected
(refer to mapping accuracy information in Chapter 3.2).
When a topographic survey is requested, the contour inter-
vals will set the accuracy requirements. When a contour map
is referenced into a design document, the contour intervals
should not deviate from how the map was prepared-any
additional interpolation that adds contour lines would imply
accuracy that's not available.
State and local agencies, through ordinance and design
standards as described in Chapter 2, often require specific
contour intervals for drawings submitted for review. While
large-scale topographic maps, with 5- to 10-foot contour
intervals, are suitable for feasibility studies, smaller scale
maps, with 1- and 2-foot contour intervals, are used for final
design and detailed studies. As discussed in Chapter 3.2,
contour maps that are developed from a jurisdiction's GIS
207
208 1a1umllill l'1i"n•!i! !lt~tl·!ll I~ll~lilllillill ; 111,1 !1 111111 !H
1 1 1

I I I / V / I
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FIGURE 3.4A A spot elevation map without contours and with contours.

data will likely have a larger contour interval as compared to
project survey.
Characteristics of Contour Lines. The depiction of con-
tour lines should follow established rules that are used when
interpreting the topographic information. The following are
the main characteristics of contour lines:
I. All contour lines eventually close on themselves if
traced in their entirety: Any apparent break in a
contour line is due to the limitations of the map.
Contour lines that extend beyond the limits of the
subject area terminate at the map edge.
2. Contour lines cannot cross or overlap: This would
imply that two elevations occur at a single point.
The exception is a vertical face, where contour lines
will overlap on a two-dimensional plane, or an over-
hang where contour lines will cross to represent dif-
ferent planes.
3. Spacing of contours indicates the general steepness
of the ground: Closely spaced contours indicate
steep slopes. As the ground slope becomes flatter,
the distance between the contours increases. Con-
tour lines that are spaced further apart represent a
mild slope.
4. A contour line cannot split, nor can several lines join
to form one line.
In general, irregularly spaced contour lines designate
rough, rugged landforms; while parallel, equally spaced con-
tour lines indicate a smooth, uniform slope. 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 through a
site but only provide information at set contour intervals.
The actual ground between contour lines may deviate as
much as the contour interval space-the area between
10-foot contour intervals could change nearly 10 feet
from the assumed smoothed ground line, as schemati-
cally shown in Figure 3.4B. When determining an ele-
vation between contour lines, the ground is assumed
straight unless additional information (such as a spot
elevation) is provided.
Contour Line Patterns for Natural Surfaces. Many natu-
ral ground features can be identified based on the patterns
of contour lines. The identification of these natural surfaces
can identify potential areas of concern (depressions without
drainage) or suitable building locations.
Hills and Depressions. A series of contours that close on
themselves within the mapped area indicate either a local-
ized hill or localized depression. Figure 3.4C(a) shows a hill
and Figure 3.4C(b) shows a depression. In Figure 3.4C(a)
the elevations shown on the contour lines increase up to
the summit. Conversely, in Figure 3.4C(b) the elevations
decrease toward the bottom of the depression.
Valleys and Ridges. Valleys and ridges are indicated by
contour lines configured in V-shapes. 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 upstream (i.e., uphill) in valleys.
Overhangs. Technically, contour lines never cross. How-
ever, in the case of an overhanging cliff or cave, where con-
tour lines may appear to cross, the contour lines represent
different planes.
 3.4 ■ GRADING FUNDAMENTALS 209

IRREGULARITIES IN NATURAL GROUND

cl_ _ _ _ _ _ _ _l
40

30

20

40-
/
__/ /
/
_/
DEVIATION DEPENDS ON
CONTOUR INTERVAL AND
MAP SCALE

FIG uRE 3. 4 B Irregularities in natural ground.

Contour Line Patterns for Constructed Surfaces. For an
existing constructed surface, such as a bridge, wall, build-
ing, or channel, the depiction of a contour line will appear
irregular. The contour line will appear to break at the con-
structed surface as it then begins to follow along the face of
the surface.
Culverts or Bridges. At the end of a culvert or bridge there
are, for all practical purposes, two land surfaces to consider.
One is at the level of the invert of the structure (at the bottom)
and the other is the "at grade" (above the structure). Typi-
cally, the ground will slope up and away from a culvert open-
ing and contours will be parallel and rather close together. A
bridge will have a much more complex facial configuration
with possible wingwalls, piers, earth floor, etc. At the face of
a bridge the contours may appear to cross as two separate
ground surfaces are being presented. Figure 3.4D illustrates
this concept.
Retaining Walls. Although it is physically impossible
for several contours to join and form a single contour line,
retaining and exterior building walls can appear in plan view
to do just this. For a vertical slope (wall) the space between
the contour lines disappears. Consider the face of a wall as
a series of contour lines stacked one on top of another as
shown in Figure 3.4E.
In tracing the contour line around a wall, the contour line
intersects the wall at the contact elevation, that is, where the
210 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ

(a)

tDEPRESSION

(b)

FIG uRE 3. 4 C Contour patterns: hill, ridges, depressions, valleys.

·· ·370
···368
··:566

FIG uRE 3. 4 D Contour patterns for culverts and bridges.

ground meets the wall, and then continues along the face of
the wall. The contour line leaves the wall where the wall inter-
sects the ground at that elevation. Many earthen retaining
walls do not have a vertical face and instead have a steep slope,
or batter, along the face of the wall. The batter of the wall
should be accurately considered in a grading plan because the
wall height will govern the projection of the wall face. A batter
of I-inch horizontal for every 8-inch vertical is common for
gravity retaining walls.
Exterior Walls of Buildings. Exterior walls of buildings
serve as earth retaining walls, as well as structural support.
Similar to the conventional retaining wall, the contour
line enters the wall where the ground surface intersects
the wall at the prescribed elevation, shown as points A,

SCHEMATIC
SIDEWALK
EDGE OF PAVEMENT==.,:,
--~-
PLAN
FIG uRE 3. 4 E Schematic and plan view of retaining wall.
B, and C in Figure 3.4F. The contour line then follows the
exposed face of the building wall until it reaches the point
where the ground surface is the same elevation; shown as
points A', B', and C' in the plan view of Figure 3.4F. Since
a contour line is continuous, if it enters the wall, it must
exit the wall.
Conveyance Channels. Four frequently used conveyance
channel sections are trapezoidal, V-ditch, rectangular, and
semicircular. In the plan view of Figure 3.4G, each of the
channels is 2 feet deep. The depth of the channel is evident
by comparing the elevation at the top of bank, with the eleva-
tion at the bottom of the channel. On each type of channel
section, point A, the top of bank, has an elevation of 6 feet.
A line drawn perpendicular to the flow line, through the
top of bank, intersects the flow line at elevation 4 feet, rep-
resenting the elevation of the channel invert. Hence, the
depth is 2 feet. The V-ditch section shows the V-apex point-
ing upstream-a quick indication of the direction of flow.
3.4 ■ GRADING FUNDAMENTALS 211
/
/
/
RETAINING WALL
FACE OF CURB=-::_;;:,
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 contour
lines along the sides of the channel is an indication of the
steepness of the bank. Figure 3.4H shows a 2- x 4-foot-deep
V-ditch with the same longitudinal slopes and the same top
widths, w. The contour lines extend farther upstream for the
4-foot-deep channel as compared to the 2-foot-deep chan-
nel. Because the top widths are the same, the 4-foot-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 develop-
ment projects are the crown street with curb and gutter, and
the crown street with shoulder and ditch. Figure 3.41 shows
the contour line pattern for a curb and gutter street sec-
tion with longitudinal slope S. For a normal crown section
street, the elevation decreases on a line perpendicular to the
212 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ
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 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). The contour line intersects the out-
side edge of the sidewalk at the prescribed elevation. Typically,
sidewalks are sloped toward the street. This is apparent from
the contour line's downhill direction (points D to E) across the
sidewalk. A similar trace of the contour line is shown in the
shoulder/ditch type of street of Figure 3.4J.
Typically, surface drainage on the pavement flows toward
40 40 the curb and gutter (or ditch).
+ Berms and Ponds. Just as natural hills and depressions dis-
42 play contours that close in on themselves, berms and ponds
42 C C'
also have concentric contours. However, man-made features
8 BLDG FF = 47.Q. 8' 44 of this nature are typically less irregular, and the contours
44
tend to be evenly spaced and/ or parallel.
A'
A
Spot Elevations. Often, contour lines alone cannot provide
46
46 sufficient grading information to detail the existing ground
conditions. As a result, the level of precision needed to con-
struct the proposed features detailed on land development
46 46 plans is not afforded by contours alone. Therefore, spot eleva-
FIG uRE 3. 4 F Schematic and plan view of exterior building. tions are used to identify specific elevations at precise locations.

T2'
_L I
SECTION VIEW

08 A A
A
A A
06

02
04

V-SECTION SEMI-CIRCULAR
RECTANGULAR TRAPEZOIDAL
CHANNEL CHANNEL

PLAN VIEW

FIG uRE 3. 4 G Contour line pattern for conveyance channels.

 3.4 ■ GRADING FUNDAMENTALS 213

~-~~
4' DEEP-STEEP SIDE SLOPE V-DITCH
/
/

~ ,o----+--

4' DEEP-STEEP SIDE SLOPE

TRAPEZOIDAL CHANNEL

2' DEEP V-DITCH WITH GRADUAL

SIDE SLOPES
N "<t" tO 00 0
0 0 0 0

~)]~)- FIG uRE 3. 4 J Contour line pattern for shoulder.

2' DEEP TRAPEZOIDAL CHANNEL

WITH GRADED SIDE SLOPE
FIG uRE 3. 4 H Example of 2- x 4-foot-deep channels.
A spot elevation is usually indicated in the plan view
by a "+" or "x" symbol with the elevation written next to
it. Spot elevations identify discontinuous or abrupt grade
breaks in the ground surface, where straight-line interpola-
tion between contours does not give the intended elevation.
Therefore, spot elevations are used when the uncertainties
associated with scaling distances and interpolating between
contours cannot be tolerated.
Typically, spot elevations are used for

• Precise information regarding utility structures

(such as storm inlets)
• Changes in slope that occur between contour
intervals
• Identification of high and low points in the grading
scheme
• Description of retaining walls, that is, top and bot-
A
tom of wall elevations
• Elevations at building entrances and corners

The house-grading plan of Figure 3.4K illustrates the lib-

eral use of spot elevations. Abbreviations are written next to
the spot elevation when the elevation pertains to a specific
feature, for instance top of curb (TC), TC = 105.5. Selected
FIG uRE 3. 41 Contour line pattern for curb and gutter. abbreviations are given in Table 3.4A.
214 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iii 1 ,i\MilidtJ

y League Court

FAIRFAX COUNTY

FIG uRE 3. 4 K House grading plan.

3.4.3. Drainage Patterns which direction the water flows and the low point can then be
A good way to visualize how a site is graded, and to better identified. By picking multiple points, it will be easier to see
understand the contour lines, is to consider the drainage of how the entire site drains and understand the existing grades
the site. Water flows downhill following a path that is perpen- of the site. In addition, the path of a single drop of water can be
dicular to the contour lines. By considering a single drop of traced uphill to find the high point on the site.
water falling onto the site, the drainage pattern can be identi- Drainage Areas. Drainage areas, or catchment basins, are
fied by tracing the path of the water downhill. This will show the delineated boundary of drainage in a site. At a large scale,
for instance when considering a river system, a drainage area
may be referred to as a watershed. All water captured within
TA BLE 3 . 4 A Spot Elevation Nomenclature the drainage area will flow to the outfall at the low point of
the boundary. Drainage divides are the lines separating dif-
ABBREVIATION MEANING ferent drainage areas.
A drainage area can be used to calculate the area of the site
TW/BW Top/bottom of wall
draining to a single storm drain or may show a larger por-
TC/BC Top/bottom of curb tion of the site that drains to a pond. See Figure 3.4L to see
how multiple drainage areas can be depicted on a topographic
FF El. Finished floor elevation map. The drainage divide is the line between each drainage
area and is shown as the (dashed line with arrow).
BF El. Basement floor
Figures 3.4M and 3.4N describe the process to draw a
elevation
drainage area.
HP/LP High/low point Drainage areas are drawn by first identifying the low point
of a site, as can be seen in step 1 of Figure 3.4M. From there,
Inv. El. Invert elevation the divide is traced uphill perpendicular to the contour lines,
as can be seen in step 2. When two lines are drawn in oppo-
MH El. Manhole elevation
site directions from the low point, they will trace back to the
 3.4 ■ GRADING FUNDAMENTALS 215

map terminates, which is often at the limits of the site. It's

-:<~ \ \ l(:;;:. . . , , .,, / / ~ necessary to reference off-site contour information to accu-
"J;~/
. -' \ I I
/ '6'~ /~' .. ,/ rately depict the entire drainage area.

i- ,-!\. --- __ )\ \) '

q;s/I ,,/
· ~I\ \I \.__... / \/ ._ ~ -- On a large site, there may be several drainage areas, as shown
/
/ Cb ,,.,..
,, I I
L-~ .,..-
,,
2 , ~.. ----.. " I . I
in Figure 3.4N. One side of a ridge may flow in one direction,
II II c:::,I / _.,.. -...i, ~ \ while the other side will flow in the opposite, as can be seen in
I I If (
I
I N ,,\ - I \ I
+ :, .-~ \ "\ I
\ '
case B. Separate valleys within a site will each have their own
11
IJtr i I' I/\ 'I drainage areas, as can be seen in case C. Multiple valleys that

I/: //\\,,\ ~\I\ \/ / '

I I ', I I . ', ' \
11/ f '· \ I /1·.~ \ , are connected at one low point, however, will have one outfall
I I I : ', / and thus one drainage area, as can be seen in case D.

9\
',
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The starting point of the drainage area does not neces-
sarily have to be at the low point of the site. A specific start-
ing point can be used to calculate different areas of drainage
within a site. Therefore, as a site is developed, multiple drain-
I J

I ·',
--

/ 1:
FIGURE 3.4L
same high point, and that will form the drainage area, as can
be seen in step 3.
Ridges will usually form the border on the upland side of
the divide. As depicted in the graphics, the drainage divides
are not defined by the property line. The drainage divide for
a site may include off-site drainage. A common error is to
assume that a drainage divide terminates where the contour
\... <
7---. J~
', '
', '· · --2
age areas will need to be drawn to be able to identify how
'6.... ________
' ~ '
.,,, ...............
' ..........
..... ...............
... ..... ..... water is captured across the site. This will be utilized for
stormwater management facilities design, storm inlet design,
and with erosion and sediment control measures, which is
Drainage divides on a topographic map. discussed in Chapters 3.5, 3.6, 5.5, 5.6, and 5.7.
It is important to identify drainage areas during the site
analysis to know the existing conditions and drainage pat-
terns of the site. Generally, existing drainage patterns should
be maintained as the site is developed and graded. This will
minimize earthwork efforts, as well as work to preserve exist-
ing downstream conditions. The low point on a site will be
critical to know when considering stormwater management
strategies, which is discussed in Chapter 3.5.

HOW TO DEFINE DRAINAGE DIVIDES ACROSS STEP 1: IDENTIFY LOW PDINTAND BEGIN STEP 2: CONTINUE TRACING DRAINAGE STEP 3. REPEAT THE PROCESS ON THE
A SITE DRAWING THE DRAINAGE DIVIDE DIVIDE PERPENDICULAR TO THE CONTOURS OPPOSITE SIDE UNTIL A COMPLETE
PERPENDICULAR TO THE CONTOURS UNTIL THE HIGH POINT DRAINAGE DIVIDE IS PRODUCED

FIGURE 3.4M Process to draw a drainage area.

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CASE A: MOUNTAINOUS REGION WITH SIX CASE B: DRAINAGE DIVIDES ON THE RIDGE CASE C: DRAINAGE DIVIDES FOR TWO
STREAM VALLEYS TOPS STREAM VALLEYS AT POINT 'A' AND 'B'

FIGURE 3.4N Multiple drainage areas on one site.

21& i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ
Environmental Impact. The drainage of a site is directly
related to the water concerns that are discussed in Chapter 2.5.
During storm events, water quality and quantity must be con-
sidered as it drains across a site. Naturally, on undeveloped land,
this water permeates through the surface into the ground and
slowly reaches downstream waterways. On developed and more
urban sites, however, impervious surfaces, like buildings and
concrete, decreases the amount of permeable surfaces, which
increases the storm runoff. This runoff is often too much for
the downstream waterways to accommodate-the runoff is also
moving quicker and can be heavily polluted. More information
about water quality and quantity, as well as stormwater manage-
ment strategies to manage runoff, are provided in Chapter 3.5.
During construction, though, specific strategies are required to
manage this runoff (as identified in Chapter 5.7).
Erosion and Sediment Control. For any land development
project, it is critical to develop an erosion and sediment
control plan to manage storm runoff during construction.
Construction activities remove the vegetative cover and
expose the soil underneath to the forces of water from storm
events. Earthwork during construction can change the natu-
ral drainage patterns of the site as well as negatively affect
slope stability amongst other concerns. Runoff can then
erode the soil on the property and pollute downstream sites
with excess sediment conveyance. The drainage across a site
is not limited to the property lines. The consequences of the
construction activities could then affect neighboring parcels,
which must be avoided and/or mitigated.
The erosion and sediment control plan prevents erosion and
the offsite migration of sediments. As a condition of the Clean
Water Act (as described in Chapter 2.5), most states require
the preparation of a Stormwater Pollution Prevention Plan
(SWPPP) as part of every construction project that will involve
land disturbing activities. An erosion and sediment control plan
is required by the SWPPP. A general erosion and sediment con-
trol program must ensure compliance with local code regula-
tions, which will detail the specific requirements of the plan.
To control runoff and sediment on a construction site,
typical elements of erosion and sediment control plans
include stabilized construction entrances; temporary sedi-
ment barriers such as silt fence, stormwater inlet filters,
temporary sediment ponds, runoff diversions, check dams,
dust control measures, temporary stockpile, and soil stabi-
lization; and permanent measures such as permanent veg-
etative cover, conduit outlet protection, slope stabilization,
or armoring. Many "nonstructural" design elements should
also be incorporated into these plans including minimizing
site disturbance during construction, minimizing soil com-
paction in vegetated areas to reduce runoff, and protecting
environmentally sensitive areas, such as wetlands, by estab-
lishing adequate buffers from construction activities.
More information about developing an erosion and sedi-
ment control plan will be discussed in Chapters 4.4 and 5.7.
3.4.4. Slope and Grade
After understanding the drainage across the site and environ-
mental impacts that must be accounted for, it is important to
further analyze the topography of the site. The topography of
the site should be considered early in the design phase as grad-
ing will likely influence the site design. This section introduces
the terminology of slope and grade, which helps communicate
the existing topographic conditions. This terminology is used
to define standard slopes and grades for site conditions.
Grade and slope are often used interchangeably in defin-
ing incline or steepness of terrain. Slope may reference a
numeric ratio whereas grade may reference a percentage, but
this is not a standard format across the industry.
Along a linear path, like a roadway, the terminology oflon-
gitudinal grade and cross slope is used to define directions of
grade. Longitudinal grade refers to the grade along the length
of the path. Cross slope is the grade cut perpendicular to the
path. There are often different requirements for longitudinal
and cross slopes, as well as a maximum slope in any direction.
Ground Slope. Ground slope is the rate of change in ele-
vation, with respect to the horizontal distance, commonly
expressed as a ratio. The ratio is provided in a format of
horizontal:vertical distance. A slope of 4: 1 indicates that
for every 4 feet of horizontal distance the vertical elevation
changes by 1 foot. This is usually spoken as "4 to 1" when
written as a ratio. Traditional nomenclature uses an elevation
change of 1 foot, so it's not common to see a 5:2 slope, which
would instead be written as 2.5: 1.
The ratio format is best used to define steep slopes (e.g., 5:1,
3:1, 1:1), whereas mild slopes are often described with a per-
centage or decimal. If the elevation drops 1 foot across 4 feet,
the percentage is calculated as rise/run, or 1/4 = 0.25 (25%).
Slope is usually written as a positive value with a directional
arrow in plan view. When shown in a profile for a road where
there is defined direction of travel the slope may be written as
negative for downhill and positive for uphill. Because there is
no industry standard, even mild slopes may be written as a
ratio of a different format (vertical:horizontal). A road cross
slope is often referenced as 1:48, or 2.08%.
Table 3.4B provides a list of common grades in both per-
cent and ratio format.
TA BLE 3 . 4 B Common Grades in Percent and
Ratio Format
PERCENT(%) RATIO (H:V)
2
5
10
20 5:1
25 4:1
33 3:1
50 2:1
100 1:1

Note that these values (especially as percent format)
should not be confused with geometric angles. Slope is
rarely referred to with an angle in design but may be used
when referencing geotechnical soil stability. The geomet-
ric conversation is determined by the ArcTan of the deci-
mal format of the percentage slope (for a 25% slope, the
ArcTan(0.25) is 14°).
The slope within a site can vary dramatically and should
be considered when evaluating site features. Mild slopes
(2% to 7%) can provide ideal locations for buildings with
minimal earthwork requirements. Steep slopes (2:1 or 1:1)
may suggest the need for walls.
Given two points in a site (A and B) at a given distance
apart, with elevations ElA and ElB, the average ground slope,
Savg, between the two points is
By calculating the slope between two points, it's also possi-
ble to identify the approximate elevation between those points
through interpolation. For instance, Figure 3.40 shows points
A and B that are 100 feet apart with a drop in elevation of
20 feet (20% slope). Point C is between those points, 40 feet
from point A. The elevation of point C is calculated as
40 x 0.20 = 8, such that point C is 8 feet lower in elevation
than point A. Therefore, point C is at an elevation of 92.
The grade can be easily calculated between contours based
on the contour interval. For instance, if the contours are
shown at a 2-foot interval and the distance between mapped
contours is 20 feet the slope is 10%. This graphic relationship
between the distance of contours and the steepness of the site
can allow for a quick review of the site to identify suitable
building locations and areas of concern (Figure 3.4P).
A
ELEVATION 100
~
u
·•-
~
IU
>
1-
...
IU
IU
Cl
N
100 FEET HORIZONTAL
FORMAT CALCULATED
RATIO: 100:20
PERCENT; 20/100
FIG uRE 3. 4 0 Slope calculation for points A, B, and C.
3.4 ■ GRADING FUNDAMENTALS 217
Standard Slopes and Grades. When establishing the pro-
posed grades the site engineer should consider all national
and local requirements. Some jurisdictions will place limita-
tions on how steep the ground can be graded based on soil
conditions and maintenance (2:1 and 3:1 are common limi-
tations based on soil characteristics and maintenance). Local
jurisdictional requirements are usually found in the Devel-
opment Standards Manual of the local subdivision ordi-
nance, as discussed in Chapter 2.4. A retail tenant or home
builder may also have grading requirements that should be
followed, which may set maximum and minimum grades
throughout the site. In addition, the Americans with Dis-
abilities Act (ADA) sets requirements for maximum grades
of parking and accessible routes for persons with disabilities.
The use of the site should also be considered when devel-
oping a grading plan to provide grades appropriate for the
(3.4A) proposed use. For example, in a retail development milder
slopes would be recommended to promote walkability
throughout the site.
When designing a grading plan, it's important to consider
errors in measurement and construction. The measured grade
on paper should not depict the exact minimum or maximum
grades. Any minor construction (or survey) error would result
in a violation of the grading requirements, and most construc-
tion specifications allow for a tolerance of constructed eleva-
tions. This is especially important to consider when designing
accessible routes that have requirements for maximum grades.
Parking (including ADA). Many jurisdictions will set require-
ments for grades within a parking lot. A 5% maximum grade is
a common limit because it considers the challenge associated
with opening a car door on a hill side. For parking along a ramp
within a parking garage structure, the 5% is also a standard
limit. While 5% may be a common limit for a parking lot or
garage, on-street parking will follow the grade of the street.
ONSO
RESULT
5:1
20%
210 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ
Steep Slopes
FIG uRE 3 . 4 P Example of mild slope areas and steep slope areas.
For a parking space that is marked to meet ADA park-
ing requirements, the grade should be less than 2% in any
direction-a longitudinal slope of2% and a cross slope of2%
violates the maximum grade because it is 2.8% in the diagonal
direction. Some retail tenants will set requirements for mini-
mum and maximum grades of a parking lot as they consider
shoppers with carts-a typical requirement is 1% minimum
(for drainage) and 3% maximum throughout the parking lot.
Roads. A road will typically have a cross slope of 2.08%
(1:48) unless it is super-elevated or a jurisdiction permits
lesser grades. Longitudinal slopes of a road will vary dramati-
cally by geography. In areas with more mild terrain, such as
Texas, the department of transportation (DOT) has a mini-
mum established grade of 0.25%. The AASHTO Green Book
recommends 0.5% as a standard minimum grade, but many
private developments plan for a minimum grade of 1% to
promote constructability and drainage. Maximum grades are
typically restricted by a jurisdiction and should consider the
roadway classification, speed, and the number oflarge vehicles
traveling along the roadway. For land development projects,
it's common to establish a maximum road grade near 5% to
allow for a parallel accessible sidewalk route, but in moun-
tainous terrain it's not uncommon to see grades above 10%.
All road grades and changes in grade are restricted by vertical
geometry requirements, as discussed in Chapters 3.3 and 5.3.
When establishing the longitudinal grades of roads, it is
important to consider the adjacent building frontage. For exam-
ple, a series of retail shops or townhomes along a road will often
seek a constant floor elevation. The constant elevation across
the building reduces breaks or steps in the building but can cre-
ate challenges with how steep the grade between building and
road becomes. Mild slopes or localized high and low points can
provide a nearly flat condition across the building face.
Mild Slopes Steep Slopes
►
When evaluating driveway grades, it's important to con-
sider the grade change between a primary road cross slope
and the driveway grade. As noted in the AASHTO Guide
for Geometric Design of Driveways, the maximum desirable
grade difference is near 8% before a vertical curve is recom-
mended. This guidance considers the effect of abrupt grade
changes on vehicles, which may scrape along the roadway
if the transition is large. Considering a 2% road cross slope
(down), the maximum desired driveway slope (up) should
begin at no more than 6% (for an 8% difference). A similar
design guide should be used when considering site ramps
for loading or parking garages as well as transitions from a
driveway into a garage home.
One other grade consideration for roads, or curbed
parking areas, is to provide a small shelf with a mild grade
behind the curb when possible (Figure 3.4Q). The shelf
should be graded near 2% or 3% for about 2 feet before
steeper slopes are proposed. This shelf provides a level
surface for curb inlets, site lighting, hydrants, and other
site furnishings. Additionally, the shelf provides structural
support for the back of curb. Conversely, if there is a steep
slope toward the roadway or parking area there should be
enough width to transition to the road grades and provide
a swale, which prevents stormwater from running into the
street.
Sidewalks and Trails. A sidewalk and trail will typically
have a requirement for a 2% cross slope, with drainage
toward the street. Sidewalks and trails that are located adja-
cent to a street will likely follow the same vertical geometry
of the roadway. If a road grade is steeper than 5%, it may be
required that the sidewalk alignment deviates from the road
to provide a route that is less than 5%-although this is not
always practical and a ramp may be required.

FIG uRE 3. 4 Q Example of a shelf behind a curb line.
For accessible routes, the ADA requirements will govern
the allowable grades for sidewalks and trails. The maximum
grade along an accessible route is 5% (1:20) before it is con-
sidered a ramp. A ramp may be as steep as 8.3% (1:12) if the
total rise is limited to 2.5 feet, a handrail is provided, and a
5-foot landing area (2% maximum slope) is provided. The
maximum length of a ramp is 30 feet to achieve a total rise of
2.5 feet. The effective or average grade of a route with ramps
and landings, when considering the landings, is near 7%.
Curb ramps, the ramp between the street and a sidewalk,
are also subject to ADA requirements. The 8.3% rule is still
applicable as a maximum grade for the ramp but a handrail
is not required. When a curb ramp is provided with a gutter
section the gutter should not have a grade steeper than 5%
(1:20), which often requires minor deviations from the stan-
dard gutter slope. When designing a curb ramp the longitu-
dinal grade of the route should be considered. If the sidewalk
has a longitudinal slope the length of the curb ramp may need
to be increased to account for the change in relative elevation
between the start and end of the ramp. When a curb ramp is
proposed along a sidewalk route with a steep grade, the ramp
length may be impossible to accommodate. Some jurisdictions
set maximum lengths of a ramp. Figure 3.4R depicts two dif-
ferent scenarios of curb ramps: one on a conceptual flat street
and the other on a street with a longitudinal grade of 4%.
When considering the grade of a sidewalk or trail it is
necessary to consider the effect of curved alignments. The
inside of a curve has a shorter distance and should therefore
be considered when evaluating the grade of the sidewalk.
Building Perimeter. The floor elevation of a building is
referred to as the finished floor elevation. The grading around
a building perimeter should be evaluated to ensure positive
drainage away from the building. Additionally, if the elevation
around the building varies along the perimeter the variations
should be coordinated with the architect to ensure compat-
ibility with building features, such as windows and facade
treatments. Within a retail strip or a row of townhomes the
builder may request mild slopes to prevent steps between
shops or homes-vertical differences between attached units
can add cost and restrict how a retail space can be used.
Many home builders will have criteria for grades adja-
cent to a building. For instance, within the first 10 feet of
the home it's common to see a grade of 5% and beyond that
3.4 ■ GRADING FUNDAMENTALS 219
SHELF ----·I
I
I
I
{2'-3')
distance the minimum permissible grade may be 3% within
the yard. A retail tenant may have requirements for 0.5% to
1% grades within a given distance of the main entrance to
account for shopping carts. Steep grades adjacent to a build-
ing entrance may also create issues with doors opening or
accessibility. Some tenants may also require mild grades near
loading docks to provide a near-level condition for loading
and unloading.
Open Space. Grading within an open space is typically less
restrictive than hardscape areas and building perimeters. As
always, drainage should be considered when establishing
grades. In lawn areas and sports fields, the minimum grade is
often 2% to 3%. Large open space areas should be evaluated to
ensure drainage is accommodated with yard inlets or defined
channels to prevent ponding-lawn areas are often prone to
differential settlement which causes localized depressions.
Steep Slopes. Topography of the site, especially steep
slopes, will influence the developable area of the site and
increase construction costs associated with earthwork. A
steep slope is usually referenced as anything more than 3:1
(33% grade), but the specific threshold will vary based on
soil conditions. Steep slopes are challenging for pedestrians
to traverse and are well beyond grades acceptable for vehicle
travel. After a certain threshold the soil requires reinforce-
ment to prevent failure of the slope. If the site has a large area
of steep slopes in the existing conditions, it is likely that the
developable area will be less than the total site area, and that
walls may be required to develop the site.
For example, a project site has a total land area of 10
acres, but an initial evaluation of the site topography iden-
tifies that large areas of the site have slopes steeper than
15%. This analysis is important because the site will be con-
strained as the internal roads and building pads are estab-
lished at mild slopes (5% or less). The construction of walls
could expand the developable area for the site, but there are
several conditions that should be documented during the
site analysis:
• Retaining walls will add significant cost to the design,
construction, and maintenance.
• Most wall systems require reinforcement behind the
wall (70% to 100% of the wall height is common)
which limits what can be constructed.
220 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ
CURB RAMP - 0% ROAD SLOPE
<
CURB RAMP - 4% ROAD SLOPE
FIG uRE 3 .4 R Example of a curb ramps on various street grades.
• If a wall is located near the edge of the property, the con-
structability and the reinforcement systems may require
the wall to be offset into the site (or permission and
easements may be required from the adjacent parcel).
Steep slopes within a site will also require special mainte-
nance considerations. Vegetation on the steep slope should
not require significant maintenance, but a vegetative cover is
often recommended to enhance slope stability.
3.4.5. Preliminary Grading and Earthwork
The development of final grading plan is typically reserved
until later phases in the design, but a preliminary analysis
of site grading can influence the site layout. Steep slopes
<I
,4 4
:VATION
lADE
<I
+1.1 ' SIDEWALK
ELEVATION
may limit the buildable area or identify the need for walls.
Significant elevation changes may require long access roads
to prevent excessive road grades. At this stage it's important
to carefully analyze the site and begin considering how the
final topography will be established. The grading design
work begins in concept and schematic design phases (refer
to Chapter 4 for more information). The preliminary grad-
ing effort is usually limited to the following actions:
Determine critical points: The critical topographic points
within a site include access locations, desirable building
locations, and drainage outfall points. The elevation at the
road entrances, existing elevation around the property,
and internal access will quickly shape the site topography.

Identify steep slopes: Steep slopes throughout the site are a
sign that significant grading will be required. Most devel-
oped areas, such as sidewalks, parking areas, and buildings
will have mild (or flat) slopes. The steep slopes will need
to be regraded to accommodate proposed development.
Calculate potential walls: The potential for walls should
be identified early as the infrastructure can add signifi-
cant cost. It's important to understand which wall system
can be used for the project because the supporting infra-
structure and construction may require the walls to be
setback from the property line.
Consider geotechnical conditions: While a geotechnical
report may not be available in early stages of design, it's
possible that some information has been collected. The
presence of undesirable material, such as subsurface
rock, should be considered when identifying potential
area of cut in the site.
Aim for balance: There's often an economic benefit to
balancing the site earthwork, meaning that if the site
needs significant grade the amount of cut will be similar
to the amount of fill required.
Avoid drainage issues: Drainage issues can arise iflarge
depressions are created in the site (sags, sinks, or bowls)
with no way for water to escape. Even within storm
drains this scenario should be avoided because drainage
systems can be clogged or overwhelmed.
Understand limits: Most projects will keep all grading work
within the project parcel as permission from adjacent own-
ers is often challenging. The grading limits should consider
the parcel line as an area of the site that can't be changed,
or permission to work off-site should be sought and estab-
lished early in the project. Within the property there may
also be limitations on grading because oflocal regulations-
see Chapters 2.3 and 2.4 for more information.
Keep aesthetics and accessibility in mind: While consider-
ing all else, the form and function of the site should always
be considered. A developer may prefer a more attractive
grading scheme even if it's not the most economical. Addi-
tionally, comfort and accessibility can enhance the site.
Grading Fundamentals. A good design integrates the natu-
ral landforms of the site with the proposed program to create
an aesthetically pleasing, yet functional, and cost-effective
site plan. Because a grading scheme must consider function
and utility, as well as aesthetics, it is both a science and an art.
The grading of a site serves three basic purposes:
I. Grading re-forms the land for the intended use: The
relative elevations and gradients of streets, build-
ings, parking areas, and pedestrian/vehicle accesses
must be mutually compatible if they are to function
as a system. Similarly, they must be compatible with
the surrounding existing terrain. Incompatibility
with the existing terrain, which leads to excessive
3.4 ■ GRADING FUNDAMENTALS 221
earthwork, the use of retaining walls, and drainage
problems, increases construction costs.
2. Grading establishes new drainage patterns. To be
cost effective, the grading design should allow for
the efficient collection, conveyance, and control of
stormwater runoff. Proper grading prevents flooding
structures, soggy yards, foundation damage, erosion,
and muddy stream waters.
3. Grading defines the character and aesthetics of the
site. Site design is the foundation upon which many
other elements of development depend. Proper grad-
ing should be cost effective to the developer, appeal-
ing to the user, and responsive to the opportunities
and constraints offered by the site. In this way, it
enhances property value and contributes to the suc-
cess of a land development project.
Site grading is one of the most important steps of the
land development design process. It determines the extent of
the clearing limits of the project and the potential for costly
infrastructure, such as walls.
Prior to initiating work on the grading plan the design
engineer should review soils mapping and available geo-
technical reports to understand and evaluate existing site
and soils conditions. These investigations should include
a review of information regarding problem soils, ground-
water levels, rock formations, suitability of on-site soil
for reuse, and other conditions that may affect the grad-
ing design. In areas of poor soils it's possible that material
would need to be removed and replaced, which can add
cost. Similarly, digging in areas with significant rock for-
mations will add cost and should be minimized when pos-
sible. Refer to Chapter 2.5 for additional information on
soil classifications.
A grading plan is established through refinement of dif-
ferent schemes over the course of several trials. During the
first few trials, grades are adjusted to accommodate site
constraints, earthwork, different building designs, and the
preferences of the developer. A grading plan should be estab-
lished to meet the following criteria:
I. Drainage: Ensure adequate drainage within the site
2. Earthwork: Balance the site earthwork, to minimize
import and export of soil material
3. Access: Provide accessibility throughout the main
site routes, for pedestrians and vehicles
4. Aesthetics: Create an aesthetically pleasing landform
Experience and creativity both play a role in developing
the grading scheme. As the designer begins to work through
the process, relationships between proposed improvements
and existing conditions begin to coalesce. It's possible to have
a technically correct solution that isn't necessarily the most
desirable solution. Important relationships begin to dictate
222 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ
patterns, such as existing elevations at site entry points com-
pared to ground elevations at proposed building sites.
When possible, it's economically and environmentally
beneficial to minimize the amount of native soil disturbed
when developing a site. Or in the case of redevelopment,
existing impervious areas should be reduced, and native
plant material would be reintroduced to the site. The site
design does not always require clearing and grading of the
entire site, and the grading plan should limit the amount of
disturbed land when possible.
Drainage. Perhaps the most important aspect of grading
is to ensure proper drainage of the site. If water is trapped,
flows toward undesirable locations, or causes erosion, the
grading has failed in its most basic requirement. The design
engineer must consider runoff within the site as well as run-
off that flows onto the site from off-site areas. The drainage
study sets the basic parameters for the grading design and
often influences the site layout. The following is a list of goals
for a site grading plan from a drainage perspective:
• Collect and convey stormwater runoff and direct it to
adequate outfall points.
• Convey runoff away from buildings to protect them
from damage.
• Establish overland relief to prevent localized flooding.
often require slopes less than those recommended, thus, they
are not entirely uncommon. The use of flat slopes should be
carefully considered, and avoided if possible.
Earthwork. The term "earthwork'' refers to the manual
movement of soil. Earth is taken from one location and moved
to another in order to form the land as desired. In general,
moving earth from one location on a site to another can be
expensive. It is even more costly to a project when earth must
be removed from or brought onto a site. Therefore, it is very
important to have a balanced site where there will not be a
large amount of excess soil or, vice versa, soil demand.
The term "cut" refers to an area where soil is removed, while
the term "fill" refers to the area where soil is added. Cut and
fill areas are indicated on the grading plan by comparing the
existing contour lines to the proposed contour lines. Where the
proposed contour elevation is higher than the existing contour
elevation, the area is a fill. Conversely, a cut area is one in which
the proposed elevation is lower than the existing elevation.
Figure 3.4S shows a grading plan of a building with cut and
fill areas. As an example of determining the depth of cut from
comparison of contour lines, consider point A, where the exist-
ing 106 contour line intersects the proposed 100 contour line.
The section view shows the 6 feet depth of cut at this point.
The left side of the building is a cut area and the right
side is a fill area. The plan view shows a line around the cut

Drainage is conveyed either overland or subsurface.

Overland flow in its most benign form is called sheet flow,
where little or no concentration of water exists as it moves
across uniform, fairly level areas. Sheet flow is an ideal way
to convey water because it helps absorption and is nonero-
sive. However, after about 200 feet (or less for steep slopes)
the sheet flow becomes shallow concentrated flow. Shallow
concentrated flow should be directed to adequate convey-
ance systems prior to causing erosion. The designer's job is
to artfully manipulate this transition from sheet flow to shal-
low concentrated flow using sound engineering principles
without cluttering the site with drainage system components.
Within most site there's a condition that will lead to local-
110
ized depressions or sump conditions. These locations will
need to be drained through inlets and closed conduit sys-
tems. But these areas should be graded with consideration
for overland relief-if the inlets and pipe systems are over- 10S
whelmed the localized flooding should not affect buildings.
As discussed in more detail with Chapters 3.5 and 3.6, most
storm drain systems are designed only for 10 year storms, 100
which means they may be surcharged with larger storms.
During the surcharged condition the site should be graded
to allow the overflow to be carried away from the buildings.
9S
Adequate drainage through a site is also important prior
to site stabilization. Construction delays could also occur:
Very flat slopes are difficult to achieve in the field, even
90..__ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __
given the precision of modern construction equipment. Flat
SECTION A-A
areas also remain wet for a longer period of time, which may
cause construction delays following rain. Yet, site constraints FIGURE 3.4S Plan and section view showing cut and fill areas.
 3.4 ■ GRADING FUNDAMENTALS 223

and fill areas known as the zero cut/fill line. This line con-
nects the points where no fill or cut occurs and separates
the cut areas from the fill areas. Additionally, notice that the
line also follows the points where the proposed contour lines
connect to the existing contour lines around the perimeter of
the graded area. Since the basement floor elevation has been
established at elevation 99.0 feet, the zero line follows the
existing 99-foot contour line through the center of the build-
ing. Although this grading plan shows only one cut and one
fill area, other projects may have several areas of both types.
The zero cut/fill lines are helpful for determining earthwork
quantities, which is discussed later in the chapter.
Consideration of cut and fill quantities is very important
when developing a grading plan. For many reasons, a "bal-
ance'' of cut and fill is usually desirable. Balance is achieved
when the quantity of cut is roughly equal to the amount of
fill. For example, in order to create a flat area on a hillside,
it is most effective to cut into the hillside and use the excess
soil as fill on the lower portion of the site.
One of the most compelling reasons to achieve a balance
of earthwork is its effect on project cost. Moving soil around
a site is less costly than either importing fill to the site or
hauling excess cut from the site. Generally, importing fill
onto the site costs more than hauling excess material away.
Balancing the earthwork helps keep costs under control and
often will help the finished site appear more in harmony with
its surroundings.
The relationship between cut and fill is simple in concept,
but other factors must be considered which complicate the
equation. These factors include
Soil conditions: It cannot be assumed that onsite material
may be used as fill, especially in areas where a load, such
as a building or wall, is to be placed. The designer must

Flat Site

a). Berms, mounds and landscaping transform a

mundane flat site into a flowing land forms.

b). Berms can be used to hide unsightly areas,

attenutate noise and divert wind.

c). Emphasizing
picturesque views.

FIG uRE 3. 4 T Grading to improve aesthetics. (Courtesy of Maurice Nelischer, ed., Handbook of Land-
scape Architectural Construction, Vol. 1, 2nd ed. Washington, D.C.: Landscape Architecture Foundation, 1985.)
224 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ
verify the engineering characteristics of on-site soils
rather than assume they may be used as fill material.
Undercut: The cut/fill analysis should consider that the
proposed grade condition might not represent the total
amount of cut or fill. Undercut occurs if the soils are poor
and need to be excavated and replaced with good material.
Topsoil: In undeveloped areas of a site the existing natu-
ral grade (turf or forested conditions) can have nearly a
foot of topsoil. This material is required to be removed
(cut) but can be only be reused in proposed turf and
forested area.
Pavement and building slabs: Pavement and building slabs
have an associated thickness of material below grade, which
reduces required adjustments to the cut and fill calcula-
tions. Areas of the site with proposed pavement or building
slabs will decrease the amount of fill required in a fill con-
dition and increase the amount of cut in a cut condition.
Shrink and swell: Soil, especially expansive clays, will
shrink and swell based on changing moisture condi-
tions. The shrink and swell will modify the volumetric
calculations. Similarly, when reporting the amount of cut
for other soils the contractor should understand that in
situ volumes of material will be smaller than the volume
when stockpiled or transported in an uncompacted state.
Borrow across projects: A site developer (or the contrac-
tor) may have several concurrent projects with different
cut and fill needs. It may be desirable to intentionally
produce a need for fill on one project to dispose of
excess fill from another nearby project.
Additional details on necessary adjustments to earthwork
are described in Chapter 5.4. In all cases it's important to con-
sider the daylight limits for the site are proposed. The daylight
limit represents the point at which the proposed grade is equal
to the existing grade and generally represents the boundary of
the site or the limits of work. If a significant cut or fill condi-
tion exists near the limits of work, it's possible that a retaining
wall will be required to prevent earthwork off-site.
Access. The site's access grading for both pedestrians and
vehicles should be designed based on the proposed use of
the development. A residential site will have different access
requirements than an industrial site because the volume of
traffic and variety of vehicles. Large trucks are impeded by
steep grades or abrupt grade transitions, whereas passen-
ger vehicles can traverse steep terrain without a significant
impact on vehicle behavior.
Grading can also create intentional vertical barriers
that limit access. A berm may be used to limit pedes-
trian access or a retaining wall may establish a separa-
tion between a roadway and an adjacent green space.
When possible, all pedestrian routes should meet ADA
accessibility requirements-existing steep roadways may
prohibit adjacent pedestrian routes and alternate routes
should be developed.
Aesthetics. Drainage and earthwork considerations form
the basis of functionally sound grading; however, form
should follow closely to function. A site must appeal to
a user's aesthetic sense in order to be successful. If a com-
mercial development is set below the road elevation, the
visibility (and marketability) of the site is poor. If a home is
set too high above the road elevation, it may appear unwel-
coming and require an uncomfortably steep driveway. When
designed properly, grading can transform a flat, featureless
site into a visually pleasing series of rolling landforms that
established a visual interest in the site and enhances the con-
sumer's experience.
Figure 3.4T illustrates how grading can be used to enhance
aesthetics. The grading itself can become the feature, as in
the creation oflandforms where none exists [Figure 3.4T(a)].
Grading can also be used to influence what we see, by hiding
a visually undesirable element, as shown in Figure 3.4T(b),
or opening up a view, shown in Figure 3.4T(c). The land-
forms created for aesthetic reasons can simultaneously serve
functional roles. The landform may aid in the balancing of
earthwork by providing an on-site location to dispose of
excess soil or be used to direct wind away from buildings or
outdoor use areas.
However, using the grading to enhance the site aestheti-
cally is not achieved by simply following formulas and rules,
it must be coupled with creativity and a thorough knowledge
of the site. Because most of these grading devices have an
impact on project costs, the aesthetic gain must be compared
to the extra construction expense. Sometimes the designer
can justify the expense, but must be prepared with lower cost
solutions if necessary.
Impacts of Grading and Earthwork. It is important to
consider the impacts of grading and earthwork during early
design stages before the final grading is commenced. Earth-
work is often a major cost of a land development project and
often requires a significant amount of construction time.
When possible, a permit for clearing and rough grading may
allow for earthwork to occur while other site elements are
being final designed.
During construction it's possible that undesirable con-
ditions arise as rock is discovered, or unsuitable material is
identified-the grading plan should consider the site geo-
technical reports to limit costly earthwork conditions. For
example, if the geotechnical report identifies shallow rock
conditions the grading plan should reduce the amount of cut
to prevent the need for blasting.
By removing vegetation from the site during the earth-
work efforts of construction, the runoff from storm events
increases. Vegetation is naturally permeable and allows for
rainwater to percolate into the ground. Compacted dirt across
a construction site does not allow for drainage into the soil
and will instead sheet flow runoff across a site. This can dam-
age the site and existing waterways. To avoid harming the
environment, this runoff is mitigated during construction
through appropriate erosion and sediment control measures,
which will be discussed in more detail in Chapter 5.7.
 CHAPTER 3.5
STORMWATER FUNDAMENTALS
3.5.1. Introduction
The transformation of land results in a change in the hydro-
logic and hydraulic characteristics of the watershed during
construction and after the development is complete. The
natural environment allows for permeation of stormwater
runoff into the ground. Land development, however, has his-
torically increased the amount of impervious area. The built
environment of structures, asphalt, and concrete decreases
the amount of natural permeable surfaces.
This development has resulted in an increase in the post-
development flow rates, the runoff volumes, and frequency of
flooding as well as the degradation of surface water quality. To
convey the increased runoff: systems consisting of curb and
gutter, storm pipes, and channels are typically developed to
safely convey the runoff through the developed basin. These
man-made conveyance systems directly increase flow veloc-
ity that decreases the basin time of concentration, resulting
in higher peak flow rates. This increase can be dramatic-
even moderate development conditions can increase the peak
discharge from two to five times higher than pre-developed
conditions. Perhaps more importantly, the volume of runoff
can be increased by several orders of magnitude.
Figure 3.SA depicts a hydrograph of the same size site before
and after development. In the figure, each line represents the
discharge rate of stormwater from the site, with the peak flow
occurring about midway through the storm. The volume of
runoff is illustrated in Figure 3.5A by the area under each curve.
Along with the increase in water quantity, urbanization
results in an increase in nonpoint source (NPS) pollutants.
Trace metals from galvanized downspouts, flashing and roof-
ing materials, and other pollutants are washed into natural
channels. Other pollutants such as tire particulate, hydrocar-
bon products from pavement and fuels, and mechanical part
flakes can all end up in the surrounding streams, lakes, and
groundwater. The damaging effects of the many pollutants
might not be immediately apparent. It may be years before fish
and wildlife are affected by land use changes or before these
effects become noticed. Damaging effects from other pollut-
ants such as phosphorus and nitrogen promote algae growth as
they are washed into natural water systems. If left unchecked,
eutrophication and water quality degradation are imminent.
Stormwater management (SWM) is the mechanism for
controlling stormwater runoff for the purposes of reducing
downstream erosion and flooding, and mitigating the nega-
tive effects resulting from urbanization. Many localities have
ordinances which require specific action to mitigate such
potential damage. Within the broad scope of the Clean Water
Act (as defined in Chapter 2.5) local authorities are com-
pelled to implement measures such as sediment and erosion
control, stormwater quantity, and quality controls to dimin-
ish the negative effects of land use changes. Best Manage-
ment Practices (BMPs) are those techniques used to control
NPS pollution. Local jurisdictions may also have additional
SWM performance requirements, commonly groundwa-
ter recharge, which can greatly affect the overall site SWM
strategy. While traditional SWM techniques centered on the
detention of stormwater runoff, current techniques look to not
only decrease the peak runoff rate but also the total volume of
runoff. To manage runoff rate and volume, these techniques
utilize infiltration or collect rainwater for reuse to replicate the
pre-development hydrologic conditions of the site.
The modern approach to SWM often involves a com-
bination of facilities and technologies to address the vari-
ous performance requirements in a given jurisdiction and
accommodate the unique characteristics of a site. This chap-
ter discusses the basic concepts for hydraulic analysis, design
techniques for sizing and locating various SWM facilities,
and various types of BMPs that can be incorporated into the
land development program.
This text focuses on two of the most common methods of
hydrology; rational method and Natural Resources Conser-
vation Service (NRCS) methodology. The rational method
225
22& i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ
BEFORE AFTER
DEVELOPMENT DEVELOPMENT
------ ----.,
--~ - - ...0.. '
(

,,\
I
I
I
\
\, \ IAL

s.

23-V·......··... -- l
~ ---------------------- )

TIME (HOURS) t
FIG uRE 3. 5 A Hydraulic and hydrologic effects of urbanization.

is best used for very small drainage areas and provides a
good estimate of peak runoff rate based on a few simple vari-
ables. The NRCS method, in reference to Technical Release
55 (TR-55), is a more robust methodology which uses syn-
thetic storm models over a given duration (usually a 24-hour
storm) to evaluate the quantity of runoff as well as the rate.
Both methods are generally accepted and the differences
between each will be discussed in depth.
Storm Model Units. When evaluating stormwater manage-
ment, it's necessary to understand the source of input values
and the available precision of the calculated values. Hydrol-
ogy and hydraulics analysis uses modeled storm events based
on historical rainfall data-but an actual rainfall event will not
match the modeled event. The values used for the storm mod-
els are determined by statistical methods based on the observed
events. When reporting the results and preparing a design, it's
important to consider the available precision and the appropri-
ate significant figures in documentation. In most cases, a rain-
fall model is built on a value of inches measured to the tenth
of an inch (usually three significant figures). As an example,
the calculated channel flow based on a rainfall intensity of 7.03
inches per hour and calculated as 145.17569 cfs (cubic feet per
second) should be reported as 145 cfs-anything more suggests
a measured accuracy that is not actually available.
An additional concept to consider is the unit of measure-
ment for calculating runoff: cubic feet per second (or cfs).
This unit of measurement is an industry standard, but it may
be easier to visualize the equivalent volume for gallons. One
cubic foot is equal to about 7 and half gallons (7.48052).
For reference, a 24-inch-diameter concrete pipe at a slope of
2% can convey about 32 cfs or 240 gallons per second.
The volume of runoff is usually evaluated based on a given
rain event and measured as inches of runoff for an area to deter-
mine the cubic feet of runoff (for larger systems it's also com-
mon to see a measurement of acre-feet for a unit of volume). In
the example shown earlier in Figure 3.SA, the volume of runoff
from a 10-acre site during a 10-year rain event was calculated at
172,000 cubic feet-this converts to 1,287,000 gallons, or almost
enough water to fill two Olympic sized swimming pools (each
Olympic pool is about 660,000 gallons).
When considering the velocity of stormwater, the common
unit of measurement is feet per second (ft/s). For a common
reference, each foot per second is equivalent to about 0.7 mile
per hour. For most pipe (or man-made) conveyance systems
the maximum recommended velocity is 10 to 20 ft/s (7 to 14
mph), depending on the material. For natural channel systems,
the maximum velocity is based on the land cover conditions
but is often less than 3 ft/s to prevent erosion of the channel.
By considering the units of measurement, it's easy to
appreciate the magnitude of stormwater management sys-
tems. Large storm events can have disastrous consequences
to a community-and even small events can lead to continu-
ous degradation of the natural environment.
3.5.2. Hydrologic Analysis
Site layout, grading, and drainage are interrelated: stormwater
management systems are integral parts of a site and require
3.5 ■ STORMWATER FUNDAMENTALS 227
early planning and design to ensure sufficient space is allot-
ted and an adequate outfall is available. Therefore, consider-
ation of stormwater is important in the planning stages of a
project. To develop a successful stormwater management pro-
gram (one that meets applicable jurisdictional guidelines and
adheres to client/developer expectations and project goals),
the engineer must understand the site hydrologic conditions
and options for stormwater management systems.
Hydrology focuses on the stormwater runoff from a site
(hydraulics focuses on conveyance, which is identified in
Chapter 3.6). The hydrologic conditions of a site are affected
by the characteristics of the site's topography, soils, land cover
condition, and rainfall pattern. These characteristics will influ-
ence the rate, volume, and quality of runoff from a site. A site
is evaluated in a before and after (pre and post) development
condition, which documents how stormwater management
systems provide necessary treatment. This comparison deter-
mines the applicable stormwater management requirements
and reveals feasible strategies for managing site runoff.
Like all components of the design process, the hydrologic
analysis is often iterative, especially when it comes to assessing
the post-development condition. Hydrologic analysis performed
as part of the preliminary engineering effort is often updated,
checked, and rechecked as the site layout and grading scheme are
refined. A larger building, additional parking spaces, or additional
roadways will change the stormwater management requirements.
The preliminary engineering hydrologic analysis (usually
performed during concept and schematic design) should be
performed at a level of detail sufficient to confirm applicable
requirements and ensure that adequate facilities can be pro-
vided to meet those requirements. This typically means that
the size and location of the stormwater management systems
are estimated based on the proposed land cover condition.
Instead of calculating the exact square footage of buildings
the impervious area of a site can be estimate as a percentage-
estimate examples are provided later in this chapter.
In the early stages of design, the location of the outfall should
be identified to verify that the downstream system is adequate
for the post-development condition. A site may have multiple
outfall points, which all must be evaluated. The adequacy of an
outfall is determined by the geometric condition and the capac-
ity. The geometric condition of the outfall should be at an attain-
able elevation such that stormwater can gravity-drain from the
site. The capacity of the downstream system should accommo-
date the post-development flow rate without causing flooding
or erosion. If the downstream system is not adequate it will
require additional SWM systems to control the site discharge,
improvements to the outfall system, or both.
The importance and validity of the preliminary plan is
established by ordinance and, in some jurisdictions, reaf-
firmed through proffers or development conditions often
related to specific infrastructure components such as storm-
water management facilities. As such, it is important for the
preliminary engineering hydrologic analysis and related
design efforts to be accurate but conservative.
The following discussion presents a primer on the popu-
lar methodologies for hydrologic analysis. It is important to
220 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ
understand that certain sites may warrant detailed investigation
and at times, alternate methodologies may be required either
due to site conditions or jurisdictional design standards. The
site engineer should be aware of the jurisdictional requirements
prior to initiating the hydrologic study. The techniques, applica-
tions, and limitations of both the rational and NRCS methods
are identified in this chapter. Before introducing the hydrology
methods, it's important to understand the components that are
common to both methodologies: rainfall and runoff.
Additional information and detailed computations and
examples are presented in Chapter 5.5-this chapter intro-
duces the concepts and fundamentals.
Rainfall and Runoff. Every rainfall event is unique. Tempo-
ral and spatial precipitation vary seasonally as well as within
a storm event due to the prevailing climatic conditions at
the time of the storm. Just as every rainfall event is unique,
the resulting runoff from a storm event is also unique. The
runoff condition of the site will change as the site transitions
from pre-development to post-development.
The site characteristics such as the amount of vegetation,
land use, soil classification, topography, and other factors affect
the rate and quantity of runoff. When designing the individual
components of a storm drain system such as a road inlet, the
effects of the temporal and spatial distribution of runoff have
little impact. However, the temporal effects of runoff must
be considered when designing larger components, such as
stormwater management facilities or major conveyance sys-
tems. With larger drainage areas, the conveyance time could
take hours, which impacts how the peak runoff rate is calcu-
lated based on the corresponding temporal distribution of the
storm (refer to time of concentration content in this chapter).
Hydrologic data is historic by nature-rainfall data is col-
lected through observation of a storm event. When calculating
runoff conditions for a storm event, the rainfall condition is
based on a theoretical storm model that's derived from historic
events. The storm model represents the practical method for
analyzing the runoff condition of a given storm and the docu-
mented results should consider the source of inputs.
Exceedance Probability and Recurrence Interval. Gener-
ally, hydrologic events are predicted by stating their exceed-
ance probability or recurrence interval. The exceedance
probability represents the likelihood that an event of specified
magnitude will be exceeded in each time period. Typically, the
time period is 1 year for most hydrologic events. Similarly, the
return period represents the average length of time that will
pass between events having the same magnitude. For example,
a 100-year frequency return period for a rainfall event means
that on the average, there is a 1% chance (1/100) that this rain-
fall event will be exceeded in any year. A IO-year frequency
return period rainfall event would on average have a 10%
chance (1/10) ofbeing exceeded in any year, and so on.
Specifically, the recurrence interval is
T, =-X100
p
1
(3.5A)
where Tr is the recurrence interval and P is the probability
in percent.
The concept of exceedance probability and recurrence
interval is often misinterpreted. A 100-year storm does not
mean that it will only occur once every 100 years. Likewise,
if a particular event occurs today, then it will not occur for
the next Tr years is not the proper interpretation of the recur-
rence interval. The recurrence interval represents the statis-
tical average number of years between similar events given a
relatively long period of record.
Occasionally, it is necessary to determine the probabil-
ity of a specific event being exceeded within a specific time.
The probability P of an event having a given return period Tr
occurring at least once in N successive years is given as
P=1-(1-;JN (3.5B)
From this equation the probability of a 100-year storm
occurring at least once in 100 years is 63%. A distinction exists
between the probability of an event occurring at least once and
exactly once in a given time period. Another form of the risk
equation determines the probability of an event to occur a pre-
cise number of times in a given period. In this equation,
(N!) (T,1)' (1- T,1)N-/
P=------- (3.5C)
/!(N-/)!
Here, I is the exact number of times the event with Tr occurs
in N successive years. From this equation, there's almost a
19% chance of a 100-year storm occurring twice in 100 years.
A jurisdiction will often use the exceedance probabil-
ity to prescribe the design storm for inlets, channels, and
stormwater management systems. A pipe system may be
required to demonstrate capacity for the 10 year storm,
while a pond should be checked to make sure the system
does not overflow during a 100-year storm event. It is good
practice to understand how larger storms would perform on
a site as well, even if the system is not designed to accom-
modate them.
3.5.3. Design Storms
A design storm is the defined result of a statistically esti-
mated rainfall-runoff event used in the design of hydraulic
systems. Depending on the hydrologic technique selected,
the design storm can be inferred from point precipitation
depths (rainfall data), fabricated (synthetic) hydrographs,
or isohyetal maps using predetermined spatial storm pat-
terns. It is important to note that the design storm is not
an actual storm of record. Rather, it is a fabricated storm
compiled from average characteristics of previous storm
events, and for convenience and standardization, most
review agencies dictate the design storm(s) for use in the
design process.
Every storm produces different peak discharges of runoff,
has different times to the peak discharge and consequently
different volumes of runoff. Therefore, a specific design
storm is often characterized by the following items:
 3.5 ■ STORMWATER FUNDAMENTALS 229

• Duration-the length of time of the storm event (hours)

TAB LE 3 . 5 A Guidelines for Design Storms for
• Depth-precipitation for the duration of the storm Various Hydraulic Systems
event (inches)
HYDRAULIC SYSTEM DESIGN RECURRENCE INTERVAL
• Type-reference to NRCS distribution patterns (I, IA,
II, III) Minor storm drain system 2- to 25-year
• Frequency-design storm based on exceedance prob- Major storm drain system 10- to 50-year
ability (years)
Road culverts crossing minor 10- to 50-year
• Intensity-precipitation depth divided by duration streams
(inches/hour)
Road culverts crossing major 25- to 100-year
Each of these items by themselves will not provide enough streams
information to compute the hydrologic conditions from a
design storm. Duration is usually defined as a 24-hour storm Small on-site 2-, 10-, 25-, 100-year
event, which matches NRCS synthetic rainfall distribution detention/retention ponds
models. The depth is the precipitation depth throughout the Large on-site or regional pond 100-year to PMF*
entire storm duration. It is important to recognize that the
precipitation depth (and volume) is not necessarily equal Floodplains on minor streams 10-year to 100-year
to the runoff depth (and volume). Runoff is the amount of Floodplains on major streams 100-year+
excess precipitation, that is, the amount of rainfall after all
abstractions, including infiltration, evapotranspiration, and 'Probable maximum flood.
depression storage, have been accounted for.
The storm type, as defined by NRCS TR-55, identifies a area closer to the outlet point could travel over dense flat ter-
synthetic storm model that is assigned to a geographic region. rain, thus slowing it down. The hydraulically most distant
This is important to consider because the storm intensity will point would be the area travel through natural terrain (if it
vary over the duration. Even with the same 24-hour duration takes longer than the storm system conveyance). When runoff
and same precipitation depth the peak intensity of a storm from the most hydraulically remote point reaches the outlet,
will be different in southern California than it is in Colorado. the entire catchment area is then contributing to the discharge.
Storm frequency is geographic specific, meaning that a 10-year The time of concentration is the sum of two components:
storm in Illinois does not have the same precipitation depth as (1) the overland flow time (or inlet time) and (2) the channel
Florida (about 4 inches as opposed to about 10 inches). (or conveyance) time (Figure 3.SB). Overland flow is typi-
The storm intensity references the peak intensity, which is cally thought of as a flowing thin layer without any significant
used to determine peak flow rate and evaluate channel capacity. depth, before it concentrates in defined swales and channels.
The peak intensity occurs near the middle of the 24-hour storm This could also be referred to as inlet time, since overland
(depending on the storm type) over several minutes. The peak flow is basically confined to a short stretch often draining to a
intensity of a storm is based on the depth of precipitation as well catchment, such as a street inlet. Channel time is that part of
as the duration and type of storm. A 24-hour storm duration the flow time when the runoff proceeds as concentrated flow
with a precipitation depth of 10 inches does not imply 0.4 inch/ in perhaps irregular but well-defined channels. Often, flow
hour (10/24) of a peak intensity because the intensity of rainfall time is determined by computing the velocity of the stormwa-
varies throughout the duration of the storm event. ter within the channel over the length of the channel.
The appropriate intensity used from a design storm is
determined based on the site characteristics. Intensity is a
function of the time of concentration for the site. A shorter
time of concentration will result in a higher intensity whereas
a larger time of concentration results in a lower intensity.
Table 3.SA provides general guidelines for recurrence
interval storms for selected hydraulic systems typical of
many local, state, and federal requirements. The duration is
specified by the local public agencies.
Time of Concentration. The time of concentration is the
time for water to flow from the most hydraulically remote
point of the drainage area to the outlet point. Recognize that
this does not imply the most distant point in terms of length.
Rather, it is considered as the longest flow time from some
point in the drainage area to the outlet point. For example, the
point most distant could be drained by storm sewers, which
would decrease the travel time to the outlet point, while an FIGURE 3.58 Exampleofaflowpath.
230 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ
The time of concentration varies according to hydraulic
characteristics of the watershed and the storm event itself.
Generally, the time of concentration used in analysis is never
less than 5 minutes-even for the smallest catchment and
nearlyimpervious ground surface. The time ofconcentration
for a developed project will often range from 5 to 15 minutes
where there are large impervious areas and pipe convey-
ance systems. When analyzing a natural area, the time of
concentration could be 15 minutes just for the first 100
TA BLE 3 . 5 B Summary of Time of Concentration Formulas
METHOD AND DATE FORMULA FOR fc (min)
Kirpich (1940) tc = 0.0078L077 5-0-385
L = length of channel/ditch from
headwater to outlet (ft)
5 = average watershed slope (ft/ft)
California Culverts Practice L3 )o.385
(1942) tc = 60 ( 11.9 H
L = length of longest watercourse (mi)
H= elevation difference between divide
and outlet (ft)
Izzard (1946) t = 41.025(0.007i+c)L033
C 50.33;067
i = rainfall intensity (in/hr)
c = retardance coefficient
L = length of flow path (ft)
5 = slope of flow path (ft/ft)
Federal Aviation Lo5
Administration (1970) tc =1.8(1.1-C) 5033
C= rational method runoff coefficient
L = length of overland flow (ft)
5 = surface slope (%)
Kinematic wave formulas t = 0.94Lo.6 no.6
Morgali and Linsley (1965) C i 0.450 3
Aron and Erborge (1973) L = length of overland flow (ft)
n = Manning roughness coefficient
i = rainfall intensity (in/hr)
5 = average overland slope (ft/ft)
SCS average velocity charts
t =-1 <~
(1975, 1986) c 60-V
L = length of flow path (ft)
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, DC.
feet of sheet flow on a mild slope. Large areas (hundreds
of acres) could easily have a time of concentration that
exceeds an hour.
There are numerous empirical methods to determine the
inlet time of concentration. The method selected depends
on the information available and the preferences dictated by
local review agencies and the site engineer. Some of the vari-
ous methods are listed in Table 3.5B. Example computations
are provided in Chapter 5.5.
REMARKS
Developed from SCS data for seven rural basins
in Tennessee with well-defined channel and steep
slopes (3-10%); for overland flow on concrete or
asphalt surfaces multiply tc by 0.4; for concrete
channels multiply by 0.2; no adjustments for over-
land flow on bare soil or flow in roadside ditches.
Essentially the Kirpich formula; developed from
small mountainous basins in California (U.S.
Bureau of Reclamation, pp. 67-71, 1973).
Developed in laboratory experiments by Bureau of
Public Roads for overland flow on roadway and turf
surfaces; values of the retardance coefficient range
from 0.0070 for very smooth pavement to 0.012 for
concrete pavement to 0.06 for dense turf; solution
requires iteration; product itimes L should be ~500.
Developed from airfield drainage data assembled
by the Corps of Engineers; method is intended for
use on airfield drainage problems, but has been
used frequently for overland flow in urban basins.
Overland flow equation developed from kinematic
wave analysis surface runoff from developed
surfaces; method requires iteration since
both ; (rainfall intensity) and tc are unknown;
superposition of intensity-duration-frequency curve
gives direct graphical solution to fc.
Overland flow charts in Figure 3-1 of TR 55 show
average velocity as function of watercourse slope
and surface cover.

Often, large catchments will require the consideration
of several flow paths in determining which represents the
time of concentration. The flow path with the longest travel
time is typically selected for design, but this condition is best
suited for homogeneous drainage areas (i.e., consistent land
use and topography), which increase linearly with length.
Both the shape of the drainage basin and its homogeneity
affect the peak discharge at various points within the catch-
ment. For those situations where catchment area and length
are not linearly related or when the catchment has widely
varied land use (e.g., a large grass area flowing to a park-
ing lot), selecting the flow path with the longest t, does not
always produce the peak discharge at the specified location.
The time of concentration is important in hydrology, for
both the rational method and the NRCS method. Both hydro-
logic methods use the variable when determining runoff con-
ditions based on the storm model. Professional judgement
should be used when selecting an appropriate time of con-
centration, and an early evaluation can provide insight into
stormwater management requirements.
Hydrographs. Runoff from a watershed is graphically shown
by a hydrograph, which is a plot of the discharge as a function
of time. In the most simplistic case a hydrograph has a rising
limb, which reflects rainfall characteristics, a crest segment,
and a recession curve that reflects watershed characteristics.
A hydrograph may be classified as a natural hydrograph, one
which is derived from observed data from a stream flow gage
or it may be classified as a synthetic hydrograph, one which is
derived from presumed characteristics related to the rainfall
CREST SEGMENT
BASE FLOW
Tb
TIME (T)
FIG uRE 3. 5 C Elements of a hydrograph.
3.5 ■ STORMWATER FUNDAMENTALS 231
and the watershed. The area under a runoffhydrograph repre-
sents the volume of runoff from the watershed.
The following parameters define the timing aspects of the
hydrograph (Figure 3.SC):
Time to peak (tp)-the time from beginning of runoff to
the peak.
Lag time (tJ-the time from center of mass of rainfall
excess to the peak rate of runoff.
Time of concentration (t,)-the time of equilibrium
of the watershed. On a hydro graph, t, is the time from
the end of excessive rainfall to the inflection point on the
recession limb.
Time base (TB)-total duration of the direct runoff
hydrograph.
As might be deduced from the hydrograph sketch and the
above definitions, the hydrograph shape is affected by
• The intensity, duration, and distribution (both tem-
porally and spatially) of rainfall
• The size and shape of the watershed
• Factors which influence the time of concentration
(land slope, channel length, and land cover/use)
A short time of concentration results in a higher peak dis-
charge rate and a shorter time to peak while a long time of con-
centration results in a lower peak discharge rate and longer time
232 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ

n
I \_
... - - - - ...

. ... - - ... ~

, '
I
, '

... ----- ... _

r
FIG uRE 3. 5 D Effect of basin shape and tc on hydrograph shape. (Modified for color and style,
TIME

courtesy of Martin P. Wanielista, Hydrology and Water Quality Control, New York: John Wiley & Sons.
Reprinted with permission of John Wiley & Sons, Inc.)

to peak (assuming the land cover conditions and drainage area
are constant). These concepts are illustrated in Figure 3.5D.
Generally, land development activities will decrease the
time of concentration and increase the imperviousness for
a basin. These changes decrease the time to peak discharge
as well as increase the peak discharge and the total runoff
volume; it is these increases which must be mitigated with
stormwater management methods. A low-impact develop-
ment (LID) or sustainable design approach to stormwater
management seeks to replicate the pre-developed hydrologic
conditions and reduce these inherent increases related to site
development. An example of an LID is a bioretention system
(rain garden) or infiltration trench, whereas a traditional
method is an underground detention pipe. By employing a
variety of SWM techniques or other site features that maintain
or even elongate the time of concentration or improves the
land cover condition, the structural SWM facilities required
can be minimized.
Unit Hydrographs. A unit hydrograph is defined as a run-
off hydrograph generated from a unit depth of rainfall excess
occurring at a constant rate over a specified duration of time,
uniformly distributed over the watershed. The area under a
unit hydrograph represents one unit of runoff depth over the
entire watershed. Each unit hydrograph has a specific duration,
that is, time base, which represents the duration of the rainfall
excess. Therefore, a D-hour unit hydrograph is defined as the
hydrograph, which results from a storm with a constant rain-
fall excess of 1 inch over a duration ofD hours (Figure 3.SE).
 3.5 ■ STORMWATER FUNDAMENTALS 233

Depth of D 1 Unit of rainfall excess for duration D.

Rainfall
Excess

.A
0.4
The unit hydrograph (UH) obtained
Ou
from observed data or a synthetic
0.1 UH representing a design storm.

The runoff (OR/0 ) ordinates obtained

0.4 by multiplying the ordinates of the
UH (i.e:,Ou) by the rainfall excess.
OR/o
0.1 ex: at t=2D
D 2D 3D 4D OR/o =(0.4)(1 )=(0.4)

Depth of D 2 Units of rainfall excess for duration D.

Rainfall 2
Excess Units

.A
0.4
Ou
Unit Hydrograph
0.1

I\
I \
0.8
I \ Using the same UH, the runoff
OR/o I \ hydrograph is obtained by
multiplying the ordiantes of the
I \ UH by 2 units of rainfall excess.
0.2
I \ ex: at t=2D
D 2D 3D 4D OR/o =(0.4)(2)=(0.8)

Depth of D 2D
2 Consecutive units of rainfall excess
Rainfall 1 1 each occuring for duration D.
Excess Unit Unit

.A
0.4 Unit hydrograph carresponding
Ou to first rainfall excess.
0.1

0.4 Unit hydrograph translated to

coincide with second unit
rainfall excess.
0.1

A
0.8
/ '\ Direct runoff hydrograph obtained
OR/o by adding the ordinates of
0.5
each UH at each time increment.
/ '\
/ '\
0.1 ex: at t=2D
OR/o =(0.4)(1 )+(0.4)(1 )=0.8
D 2D 3D 4D 5D
FIGURE 3.5E Direct runoff from a unit hydrograph.
234 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ
D 2D
2 Units of rainfall excess occuring for
duration D followed by 1 unit of
rainfall excess for duration D.

0.4
Unit Hydrograph
0.1

A
Hydrograph representing the 2 units
I \
0.8 of rainfall excess with the ordinates
I \ obtained by multiplying the UH
ordinates by the rainfall excess.
Q
I \ ex: at t=2D
0.2 Q =(0.4)(2)=0.8
I \

2D
Hydrograph translated to coincide
/'-
with second unit of rainfall excess.
0.4 Obtained by multiplying the UH
Q ordinates by the rainfall excess.
0.1 ex: at t=2D
2D
Q =(0.4)(1 )=0.4

A
.12
Direct runoff hydrograph obtained
0.9 by adding the ordinates of the
I preceeding two hydrographs at
~lo each time increments.
I
0.6
I \ ex: at t=2D
I \ QR/o =(0.4)(2)+(0.4)(1 )=0.12
0.2 \
0.1 I

D 2D 3D 4D 5D

FIGURE 3.5E (Continued)

The physical features of a watershed vary little from storm
to storm. Therefore, in unit hydrograph theory, a storm event
of equal duration but different intensity produces a direct run-
off hydrograph with an equal base length and similar shape as
that of a unit hydrograph. If the ordinates of the direct run-
off hydrograph are proportional to runoff volume, multiply-
ing the ordinates of a unit hydrograph by the rainfall intensity
generates a hydrograph corresponding to that intensity.
For more complex unit hydrographs, it is necessary to
generate direct runoff hydrographs through multiplication-
translation-addition procedures (convolution) to obtain
the direct runoff hydrograph. This can only be done if the
assumptions of linearity are valid, that is, the time base
remains constant regardless of the runoff depth. Figure 3.SE
shows how to obtain a direct runoffhydrograph using multi-
plication-translation-addition procedure.
3.5.4. Rational Method Hydrology
The rational method is best utilized for determining peak
flows for small drainage areas with homogenous land
cover conditions. Most localities have maximum restric-
tions on the applicability of the rational method, ranging
from 20 to 200 acres. Even at 20 acres, the rational method
may not be appropriate if there is large variation in land
cover (nonhomogeneous). Other jurisdictions also place
time of concentration restrictions on the use of rational
method, limiting the maximum time of concentration to
60 minutes.
For small urban drainage areas, common in minor
storm drainage design, it is assumed that short-duration
high-intensity storms are the cause of flooding. For such
short-duration storms and small drainage areas, the rainfall
intensity is often assumed constant. The peak runoff rate
then occurs when the entire drainage area is contributing
to the runoff. If a storm of constant intensity begins instan-
taneously, the rate of runoff for the catchment steadily
increases until the entire drainage area is contributing to
the discharge at the outlet point. From then on, the drain-
age area is in equilibrium. All precipitation is converted to
runoff and the peak runoff remains uniform for the dura-
tion of the constant intensity rainfall.
Peak runoff from the rational method is given by
QP =CiA (3.50)
 3.5 ■ STORMWATER FUNDAMENTALS 235

where Qp is the peak discharge in cubic feet per second
(cfs), A is the drainage area in acres, C is a runoff coefficient
characteristic of the ground surface (0 < C < 1), and i is the
average rainfall intensity (inches/hour). The precision of the
peak discharge depends on the estimated values of C and i.
The average rainfall intensity is a function of the time of con-
centration of the drainage area. The units in this equation are
not consistent (cfs, inches/hour, acre) but the conversion of
inches/hour and acres is nearly one (1.0083), and common
practice is to ignore the conversion factor.
Runoff Coefficient. In Equation (3.5D), the product iA can
be considered as the inflow to the catchment while also repre-
senting the maximum possible runoff rate. The ratio of peak
discharge, Qp, to inflow, iA, is the runoff coefficient, C. This
coefficient can be considered as a lump-sum parameter that
accounts for abstractions (losses before runoff begins-mainly
interception, infiltration, and surface storage), antecedent run-
off conditions (index of the runoff potential of the soil before
a storm event) and other variables affecting the runoff rate.
Table 3.5C identifies the ASCE's (American Society of Civil
Engineers) version of the runoff coefficient and the standards
used in Austin, Texas, are shown as an example in Table 3.5D.
Note, the coefficient, C, is also a function of the recur-
rence interval of the storm. The reason for this function is an
attempt to approximate soil saturation conditions. For larger
storm events, it is understood that the soil has already been
saturated to such an extent that it no longer has the infiltra-
tion characteristics associated with everyday conditions.
Therefore, since the soil is saturated, the rainfall will produce
more runoff; the greater the saturation of the soil, the higher
the C coefficient and hence, the greater the runoff. The NRCS
method, discussed in this chapter, has a similar mechanism for
adjusting a runoff factor based on a limit of initial abstraction.
Other localities account for the change in C coefficient ver-
sus recurrence interval by using a correction factor. For exam-
ple, using the correction factor, Equation (3.5D) becomes
QP =C,CiA (3.5E)
where the correction factor c1 varies by recurrence interval.
Comparing the City of Austin example in Table 3.5D, the C
coefficient would remain the same for all storms; however,
the C1 factor would change for storms greater than the 2-year
event. C1 would equal 1.066, 1.107, 1.178, 1.233, 1.301, and
1.370 for the 5-, 10-, 25-, 50-, 100-, and 500-year events,
respectively.
Use of hydrologic soil groups is more common in NRCS
hydrology; however, Table 3.5E is useful in that it correlates
the C coefficient to hydrologic soil groups and slope ranges
with various types of land use.
Whenever a single catchment area consists of several
areas with different C coefficients a weighted coefficient is
computed. The weighted coefficient is found by
m
I.CA
C =1=1___ (3.5F)
w A,
where Cw is the weighted C coefficient, A; is the area of the
subarea with C; coefficient, and AT is the total area of the
catchment.

TA BLE 3 . 5 C Runoff Coefficients, C, Recurrence Interval s 1OYears*

DESCRIPTION OF AREA RUNOFF COEFFICIENTS CHARACTER OF SURFACE RUNOFF 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.
'For 25- to 100-year recurrence intervals, multiply coefficient by 1.1 and 1.25, respectively, and the product cannot exceed 1.0.
23& i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ

TAB LE 3 . 5 D Runoff Coefficients for Use in the Rational Method

RETURN PERIOD (YEARS}

CHARACTER DF 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 < 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 50-75% 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 > 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
ForesVwoodlands
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.

3.5.5. Intensity-Duration-Frequency Curves
The hydrologic procedure selected to establish the rainfall-
runoff relationship determines what type of data is required
to generate the design storm. Simple types of computa-
tional procedures, such as the rational method, require
basic intensity-duration-frequency (IDF) curves, whereas
more sophisticated hydrologic approaches require hyeto-
graphs (time variation of precipitation) or hydrographs
(time variation of runoff) as input. Data specific to the
model selected is available from various public agencies.
The engineer should always check with the jurisdiction to
determine the applicable rainfall values to use for design
purposes-the design storm values can vary between an
adjacent city or county.
ID F curves present hydrologic data for use as design storm
information. These curves show precipitation intensity on
the ordinate (y axis), duration along the abscissa (x axis), and
a series of curves representing individual storm frequencies.
The IDF curves are developed through statistical analysis of
long time series rainfall data. They graphically represent the
probability that a certain average rainfall intensity will occur
given a duration. Note: This is quite different from the mis-
conception that they represent an actual duration or actual
time history of rainfall. A single IDF curve represents data
 3.5 ■ STORMWATER FUNDAMENTALS 237

TAB LE 3 . 5 E Runoff Coefficients for the Rational Formula by Hydrologic Soil Group and Slope Range
A B C D
LAND USE 0-2% 2-6% 6%+ 0-2% 2-6% 6%+ 0-2% 2-6% 6%+ 0-2% 2-6% 6%+
Cultivated land 0.08* 0.13 0.16 0.11 0.15 0.21 0.14 0.19 0.26 0.18 0.23 0.31
o.14t 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
Size½ 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 ¼ 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 ½ 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 ½ 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., 1982. Recommended Hydro!ogic Procedures for Computing Urban Runoff in Pennsylvania. Commonwealth of Pa. Harrisburg Pa.: Dept. of Environ-
mental Resources.
'Runoff coefficients for storm recurrence intervals less than 25 years.
1Runoff coefficients for storm recurrence intervals of 25 years or more.
230 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ
from several different storms. The IDF is fabricated from
extracting rainfall depths from selected time segments of
longer storms. Procedures for constructing IDF curves are
discussed in McPherson (1978). These curves are mainly
used in conjunction with the rational method for determin-
ing peak runoff. See Figure 3.SF for a typical IDF curve.
IDF curves are available through many local agencies
such as the state highway departments and the NRCS. In
rare cases where IDF curves cannot be obtained, they can
be developed from current and applicable U.S. Weather
Service Maps or from frequency analysis using local rainfall
information.
Rational Method Umitations. The rational method provides
adequate results for computing peak discharges if it is used
properly, with an understanding of the underlying assump-
become suspect due to the assumption of a steady uniform rain
over a catchment area. Additionally, the inherent uncertain-
ties in the C coefficient are magnified as the catchment area
increases and homogeneity is less likely. There are different
applications for determining the upper limit of the catchment
size that can effectively utilize the rational method. Values of
20 acres, to 200 acres, and up to 1 square mile (640 acres) have
been proposed. Certainly for the relatively small catchments
(less than 20 acres) encountered in minor storm drain design
the rational method should be satisfactory for use.
The key element in using the rational method is proper
determination of the time of concentration. Due to the
hyperbolic shape of the IDF curves, a small error in t, (i.e.,
rainfall duration) causes large discrepancies on the inten-
sity. If the estimated t, is less than the actual t the rainfall
0

tions and limitations. Even with proper understanding of the intensity will be too high, resulting in a high Q. Another
rational method, as the catchment increases in size, the results important consideration, when performing the hydrologic

DURATION OF STORM IN MINUTES

10 15 20 30 45 60 90 120 180
10.0

- -----
9.0
8.0
7.0

6.0

5.0

4.0

3.0
a:
~ 2.5
►
!::
rn 2.0
zw
I-
~
..J 1.5
..J
ct
u.
z
ci:
a:
1.0
0.9
0.8
0.7

0.6

0.5

0.4 l - - - - - - + - - - - 1 - - - - - + - - - - - + - - - - + - - - + - - - - + - - - + - -- --i

BASED ON: RAINFALL FREQUENCY DATA, ANNUAL SERIES

DATA 1913 - 1975
0.3 - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
10 15 20 30 45 60 90 120 180

DURATION OF STORM IN MINUTES

FIG uRE 3. 5 F Intensity-duration-frequency curves.

analysis, is the dynamics of the land use in the catchment.
For projects within a catchment undergoing development,
the runoff coefficient should represent the catchment as it
might ultimately appear, rather than current conditions.
To summarize, the basic assumptions in the rational
method are
• Small drainage basins are appropriate, usually 20 acres
or less, and should have a homogenous land cover
condition.
• Rainfall intensity is uniform and constant over the
catchment and the duration of this rainfall intensity
is at least as long as the time of concentration of the
catchment.
• Peak rate of runoff occurs when constant rainfall
intensity falls on a catchment for as long, or longer
than the time of concentration.
• Runoff coefficient is the same for each rainfall inten-
sity and for all return intervals (or adjusted by event).
This is an assumption inherent in the original pro-
posal by Kuichling in 1877. Runoff coefficients are
typically higher for the less frequent storms because
of the reduction effect of the rainfall abstractions.
Runoff coefficients are also increased for the higher
intensity rainfalls for the same reason.
• Frequency of the peak discharge is the same as that of
the rainfall intensity for the given time of concentra-
tion. Although this may not be necessarily true due
to variations in surface conditions.
3.5.6. NRCS Methodology
For relatively small catchments the rational method can be
used to determine peak runoff discharge. However, designers
often prefer to use more sophisticated rainfall-runoff mod-
els. Although a more sophisticated model does not neces-
sarily provide greater accuracy, there is greater flexibility for
calibrating the model to local observations. One such hydro-
logic model, developed by the NRCS, is widely accepted
and well documented. Underlying fundamentals of this
method are found in the National Engineering Handbook,
Chapter 4, Hydrology (NEH-4) and the computer program
documented in Technical Release 20 (TR-20) and Technical
Release 55 (TR-55) Urban Hydrology for Small Watersheds.
These documents are available from the Government Print-
ing Office, Washington, D.C. and online.
The NRCS method is commonly used with computer
software because there are numerous steps in modeling
a storm event and computing peak runoff (as compared
to the rational method with relatively simple equations).
By modeling the entirety of the storm event, the NRCS
method can be used to determine volume of runoff or eval-
uating multiple sites with different land cover conditions.
The model allows for designing stormwater management
3.5 ■ STORMWATER FUNDAMENTALS 239
systems in addition to determining peak flow (for sizing
conveyance systems).
Many jurisdictions require NRCS methodology for the
design of larger SWM facilities, where downstream safety is
a major concern in the event of dam failure. Local agencies
usually require a hydrologic analysis of large storm events
such as the probable maximum precipitation (PMP), the
probable maximum flood (PMF), or a percentage of the
PMF. The PMF is the flood discharge, which may be expected
from the most severe combination of critical meteorologic
and hydrologic conditions that are reasonably possible in the
region. The PMP is, theoretically, the greatest depth of pre-
cipitation for a given duration that is physically possible over
a given size storm area at a particular geographic location at
a certain time of the year.
Runoff Curve Numbers. The curve number is analogous
to the runoff coefficient used in the rational method. It con-
verts the mass rainfall to runoff and is based on such factors
as the hydrologic soil group (HSG), cover type, hydrologic
conditions, and antecedent moisture conditions. In part,
the curve number (CN) for a particular soil depends on the
HSG classification. Soils are divided into four hydrologic
soil groups, A, B, C, and D, according to their minimum
infiltration rate. Soils classified in hydrologic group A gen-
erally have high infiltration rates (sand), whereas the HSG
D has the lowest infiltration rates (clay). The cover type
describes the surface of the catchment, such as type and
denseness of vegetation and impervious or semi-impervious
pavements. It is determined from field reconnaissance,
aerial photographs, specialized photography (infrared,
etc.), and land use maps. Hydrologic condition (poor, fair,
or good) is a measure of the effects of the cover type on
infiltration and runoff.
Table 3.5F presents CN values for several types of soils
and cover types. It should be noted that these CN values are
based upon an average antecedent runoff condition. The
NRCS publishes soil surveys for the majority of localities
in the United States and contains soil classification infor-
mation. The surveys are found in many different formats,
including databases and GIS layers. The NRCS is constantly
updating information available electronically; refer to the
United State Department of Agriculture (USDA) website for
the latest information.
Once the hydrologic soil group and the cover type and
antecedent runoff condition have been determined, a
weighted CN can be found by determining the areal cover-
age of each set of conditions and consulting an NRCS curve
number table. Figure 3.5G shows the HSG groups overlain on
a land use map. A soil's map is used to identify the soil series,
which is then converted to a hydrologic soil group. This map
was created by referencing the HSG map onto the land use
map. The worksheet shown in Figure 3.5H is used to tabulate
the data and determine the composite CN.
The NRCS curve number is used to determine the depth
of runoff (using basic equations) and can be used within a
240 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ

TA BLE 3 . 5 F (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 50-75%) 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:

½ acre or less (town houses) 65 77 85 90 92
¼ acre 38 61 75 83 87
½ acre 30 57 72 81 86
½ 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.
1Average runoff condition and I,= 0.2S. For range in humid regions, use Table 3.5F(b).
'The average percent impervious area shown was used to develop the composite CNs. Other assumptions are as follows: impervious areas are directly connected to the drain-
age system, impervious areas have a CN of 98, and pervious areas are considered equivalent to open space in good hydrologic condition.
3CNs shown are equivalent to those of pasture. Composite CNs may be computed for other combinations of open-space cover type.

'Composite CNs for natural desert landscaping should be computed based on the impervious area percentage (CN = 98) and the pervious area CN. The pervious area CNs are
assumed equivalent to desert shrub in poor hydrologic condition.
5Comparable CNs to use for the design of temporary measures during grading and construction should be computed based on the degree of development (impervious area

percentage) and the CNs for the newly graded pervious area.
Source: USDA, TR-55.
 3.5 ■ STORMWATER FUNDAMENTALS 241

TA BLE 3 . 5 F ( B) Runoff Curve Numbers for Urban Areas (Continued)

CURVE NUMBERS FOR
COVER DESCRIPTION HYDROLOGIC SOIL GROUP
HYDRDL0GIC
COVER TYPE C0NDITI0N 1 A2 B C D

Pasture, grassland, or range-continuous forage for grazing 1 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 element2 Poor 48 67 77 83
Fair 35 56 70 77
Good 303 48 65 73
Woods-grass combination (orchard or tree farm) 4 Poor 57 73 82 85
Fair 43 65 76 82
Good 32 58 72 79
Woods 5 Poor 45 66 77 83
Fair 36 60 73 79
Good 303 55 70 77
Farmsteads-buildings, lanes, driveways, and surrounding lots 59 74 82 86
1Poor: <50% ground cover or heavily grazed with no mulch.
Fair: 50-75% ground cover and not heavily grazed.
Good: >75% ground cover and lightly or only occasionally grazed.
2Poor: <50% ground cover.

Fair: 50-75% ground cover.

Good: >75% ground cover.
3Actual curve number is less than 30: use CN = 30 for runoff computations.

4CNs shown were computed for areas with 50% woods and 50% grass (pasture) cover. Other combinations of conditions may be computed from the CNs for

woods and pasture.

5Poor: 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.
Source: USDA, TR-55.

computer model to determine the peak runoff for the site
(traditional tabular methods are also an option). Examples of
using curve numbers are provided in Chapter 5.5.
Rainfall Models. The NRCS has developed four synthetic
rainfall distributions, which are indicative of the rainfall
intensities inherent to geographic regions of the United
States. These four standard rainfall distributions, labeled
type I, IA, II, and III, have been developed from numer-
ous publications. Since most rainfall data is reported on a
24-hour basis, the NRCS used 24 hours as the duration for
these distributions. The location of the peak rainfall inten-
sity (early, center, or late peaking) in each storm is intended
to mimic the location of the peak intensity for the particu-
lar region of the United States. For example, peak intensi-
ties for type I and IA storms occur around 8 hours, similar
to the storms in the far western part of the United States.
Type II and III storms have peak intensities occurring
around the midpoint of the duration. Specific geographical
areas are shown in Figure 3.51.
Computer Models for NRCS Method. Computer software
applications have made hydrologic modeling easier and
quicker. The designer should have a strong understanding
of the hydrologic processes as well as knowledge of the fun-
damental limitations of the programs. The reliability of the
242 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ

HYDOLOGIC SOILS GROUPS

CONVERSION OF SOIL TYPES TO SOIL GROUPS
SOIL SOIL SOIL SOIL
TYPE SOIL NAME GROUP TYPE SOIL NAME TYPE

1 Mixed Alluvial C 52 Elbert D

10 Glenville C 55 Glenelg B
14 Manassas B 67 Penn C
20 Meadowville B 69 Enon B
21 Manor B 72 Bucks B/C
32 Mayodan B 80 Croton D
50 Iredell• CID
Mecklenburg

FIG uRE 3. 5 G Hydrologic soils designation on topographic mapping.

output from any computer program is only as good as the
input data. The designer should be familiar with the inherent
assumptions associated with the model as well as the numeri-
cal techniques used to simulate the model.
A number of computer models are available, well doc-
umented and supported, and powerful in terms of their
ability to perform hydrology and manipulate hydrographs.
These models may be used to generate hydrographs from
either synthetic or historical design storms, combine
hydrographs together, and perform storm drain design and
channel and pond routings. The type of computer model
selected depends on the user, available data, and possi-
bly any preferences by the reviewing agencies. The NRCS
WinTR-20 is a popular application, but there are numerous
options available.
3.5. 7. Stormwater Management
To mitigate the effects of development, stormwater man-
agement systems are usually required for new projects.
These systems provide a storage volume that mitigates peak
flow conditions to reduce the rate of flow (and sometimes
the volume) from a storm event during post-development

FIGURE 3.56 (Continued)
conditions. Designing stormwater management facili-
ties should be considered during the concept design
to determine the required site area for the system. This
preliminary engineering effort will help the designer to
understand the characteristics of the site as they prepare
initial plans. In order to size the facilities, it is important
to determine the specific performance requirements for
the facility. As mentioned previously, these may include
water quality or pollution removal, groundwater recharge,
and quantity control (detention/retention) requirements
for the proposed development. These requirements vary
greatly from region to region through the United States
and even at the state and local levels. Although the exact
configurations and grading of such facilities are subject to
change during final engineering, it is important to ensure
that adequate provisions have been made to accommodate
and locate these facilities to achieve the required storm-
water management objectives.
Stormwater management facilities are commonly grouped
into several facility types which are selected based on site
considerations, performance requirements, aesthetics, and
other factors (cost). These facilities usually fall into one of
the following types:
3.5 ■ STORMWATER FUNDAMENTALS 243
• Detention basin (i.e., dry pond for the temporary
impoundment of surface water runoff)
• Retention basin (i.e., wet pond that maintains a per-
manent pool of water with additional storage volume
above the permanent pool for detaining runoff)
• Infiltration facilities
• Reuse systems (i.e., cisterns for irrigation or building
graywater)
• Structural facilities (i.e., underground manufactured
system)
Exact design parameters for each of these facility types
may vary depending on local requirements, and often com-
binations of these generalized facility types are used together
to achieve performance goals. For instance, a stormwater
management facility may employ infiltration of runoff as
a means to provide groundwater recharge and water qual-
ity functions, while providing controlled outflow for larger
storms. Similarly, a wet pond may be used for water quality
treatment in conjunction with extended detention to reduce
peak runoff rates. If runoff volume control is required, the
244 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ
Worksheet 2: Runoff curve number and runoff

Project _ _ _ _ _ _ _ _ _ _ _ _ __ By _ _ _ _ _ Date_ _ _ __ _

Location _ _ __ _ _ _ _ _ _ _ _ _ _ Checked _ _ __ Date _ _ _ _ __

Circle one: Present Developed

1. Runoff curve number (CN)

Soil name Cover description CN 1 Area Product

and hydrologic of
group (cover type, treatment, and □ acres CN x area
";'
hydrologic condition;
percent impervious;
....
II')

Cl)
~
C)
:t
C)
□ mi'
□ %
unconnected/connected JS
(appendix A) impervious area ratio) ~ u:: u::

Totals=

CN (wei hied) = total product = - - = UseCN =

9 total area ----

2. Runoff Storm#l Storm#2 Storm#3

Frequency.......••...•.•....•..........•.••.•..••••.......••• yr
Rainfall, P (24-hour) ...................•....•......•.....in
Runoff, Q .....................................................in

FIG uRE 3 .5 H Runoff curve number worksheet. (Source: TR-55.)

post-development stormwater management program will
have to include permanent storage facilities (retention),
infiltration facilities, stormwater harvesting/reuse facilities
(typically structural), or some combination of the three in
order to minimize the total volume of runoff leaving the site.
The designer must evaluate and determine the most appro-
priate facility or combination of facilities to achieve the
applicable performance requirements.
Locating SWM Facilities. The location of SWM facilities
should be integrated with the site design, either to minimize
the impact on the development project or to enhance the
development in terms of function and aesthetics. It's important
to understand the scale, location, and strategy of stormwater
management systems during early design phases. If possible, a
SWM facility should be located so that runoff will drain into it
naturally, without requiring additional engineering measures
such as storm sewers or channels to artificially force drainage
divides. The most economical design for any SWM facility is
one that requires the least earthwork and structural compo-
nents. Further, facilities should be located with respect to out-
falls in order to maintain natural (existing) drainage divides as
well as protect and improve the condition of outfalls through
adequate capacity analysis and erosion reduction.
When designed properly, stormwater management sys-
tems can also enhance the site aesthetics. For large sites, a wet
pond can act as a prominent feature of the site (Figure 3.SJ).
In smaller sites, bioretention systems (rain gardens) can pro-
vide stormwater management benefits while also adding to

,:/'
"""'
•• -o"'
FIGURE 3,51 Approximate geographic boundaries for NRCS rainfall distributions. (Source: USDA, TR-55.)
the aesthetic character of the site. The shape of these systems
may also benefit from a natural formation, as opposed to an
engineered geometric shape.
Estimating the Volume of Storage Required. When initially
sizing an SWM facility, the required storage volume to meet
detention requirements is unknown. An initial estimate of the
required storage volume may be made based on the inflow
hydrograph and the required outflow rate. The amount of stor-
age required for a given design storm is equal to the represen-
tative volume between the inflow and outflow hydrographs.
To obtain a first estimate of the storage required, the out-
flow hydrograph can be approximated by drawing a straight
line from the beginning of substantial runoff on the inflow
hydrograph to the point on the receding limb corresponding
to the allowable peak outflow rate. Alternatively, TR-55 pro-
vides a dimensionless graph relating the ratio of storage vol-
ume to runoff volume to the ratio of peak outflow discharge
FIG uRE 3. 5 J Example of a stormwater management facility.
3.5 ■ STORMWATER FUNDAMENTALS 245
Rainfall
Distribution
~ Type
mill' Type IA
D Type II
~ Type Ill
to peak inflow discharge for the four types of synthetic
storms (Figure 3.SK).
Once an initial estimate of the required volume has been
made and the location determined, a preliminary grading
plan (for earthen or surface facilities) or volumetric design
(for structural or infiltration based facilities) can be per-
formed. This usually occurs during concept and schematic
design phases. In preparing the grading plan, the objective
is to obtain the preliminary storage volume while keeping in
mind such things as minimizing earthwork, nominal height
requirements of the embankment, depth and clear height
(confined space) limitations for safety, sediment storage,
aquatic vegetation, depth to groundwater table, cost and aes-
thetic considerations.
Many stormwater management system design software
packages can perform preliminary sizing estimates for
detention basins, utilizing the above methods. These can
be helpful in streamlining the evaluation of various basin
designs. The graph published by NRCS in TR-55 also pro-
vides a volume estimate that can be used with an anticipated
depth to determine a size requirement. For instance, if the
estimated storage volume is computed as 10,000 cf and the
outfall elevation allows for a system of 5 feet deep, a land
area of about 2000 sf would be required. When estimating
the size of a system, it's important how the size is impacted by
grading, freeboard requirements (additional system depth),
dam height limitations, or pretreatment requirements. For
instance, once the grading and freeboard parameters are
considered the estimated land area should be larger than the
simple computation of volume divided by depth.
3.5.8. Stormwater Quality Control
The Clean Water Act (as introduced in Chapter 2.5) reg-
ulates the restoration and maintenance of the chemi-
cal, physical, and biological integrity of the Waters of the
24& i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ
.6

r,....
'-
~
.5
I'\. '-
\. ~

.,.-1...
> >
l'I.
'I
' I',..

- .4
'\
I'\ ' ....
e 41
e ;'\.
' ~,
1g
.:o -
> 0
>
:,

41 ....

~ .3
I
i
I'\.

" 1'-
......
.... ~ Types rr
.,...__
& IIII

---
0 :,
i--,.,
~ a: r-,...._
I'..
......
,

~I'-.. Types I & IA

I ....
....
---
i--,., "'-
.2 r-....
.... _
~

- -- I

.1
.1 .2 .3 .4 .s .6 .7 .8
Peak outflow discharge (Clo)
Peak _inflow discharge ~

FIG uRE 3. 5 K Approximate detention basin routing for synthetic rainfall distribution. (Source: USDA, TR-55.)

United States. When first enacted, the Clean Water Act directly to the natural waters without being processed
was primarily aimed at point-source discharges. However, through a treatment plant (as is seen with wastewater). The
as point-source discharges decreased, the awareness of EPA regulations focus on stormwater quality control for a
the detrimental effects from non-point-source discharges constructed site as well as management during construction
increased. NPS discharges are, as the name implies, pollut- activities (often referred to as erosion and sediment control,
ant discharges emanating from a dispersed area. Figure 3.SL described in detail in Chapter 5.7).
illustrates some of the NPSs. One of the difficulties with NPS Pollutants. NPS pollutants include sediments, oxygen
standardizing and implementing specific controls for NPSs demand, bacteria, nutrients, metals, and other toxic chemi-
of pollution is that many of the sources are transient with cals. In identifying the source and the type of pollutant, the
respect to time. engineer is better able to recommend a suitable best manage-
In 1978, the EPA provided funding and guidance to a ment practice (BMP) and its appropriate placement in con-
5-year study called the Nationwide Urban Runoff Program text of the site and outfall. The national distribution of the
(NURP). NURP studied the runoff from commercial and following described selected primary types ofNPS pollutants
residential areas across the United States. These studies con- is shown in Figure 3.SM.
cluded that the effects of urban runoff on receiving water Sediment is one of the largest contributors to NPS pollu-
quality are highly site specific. They depend on the type, size, tion by volume. Too much sediment in the receiving waters
and hydrology of the water body, the characteristics of the may cause fish gills to clog; reduce the size of spawning areas;
runoff quantity and quality, the designated beneficial use of block sunlight, preventing plant growth; reduce organism
the receiving water, and the concentration levels of the spe- species and numbers because of food-chain perturbations;
cific pollutants that affect that use. Certain types of water and reduce aesthetic values. Construction sites and agricul-
bodies are more vulnerable to NPS pollution than others. tural areas are primary generators of sediment. Sediment
For example, lakes, reservoirs, and estuaries, which have long buildup in existing ponds (including manmade stormwater
residence times, may be subject to accelerated eutrophica- management system) will reduce the volume of the systems
tion because pollutants and sediment may be retained, lead- and decrease the effectiveness.
ing to nutrient buildup. Oxygen demand, free oxygen, or dissolved oxygen (DO)
For jurisdictions that have a municipal separate storm is necessary in water to maintain aquatic life. DO is an
sewer system (MS4s) stormwater is ultimately discharged indicator of the health of lakes and streams. If the oxygen
 3.5 ■ STORMWATER FUNDAMENTALS 247

Dry Fallout Precipitation

~c:=J
Woodlands
(Silvaculture)

~
Waterfowl
G

Agricultural

Construction

Recreation

Mining

,illL
,._,,I~ I_
,illL ~--,illL

-,illL ,illL "'11,,

------
Wetlands

Salt Water
Intrusion

Non-Point Sources
FIG uRE 3. 5 L Non point pollutant sources. (Adapted from Martin P. Wanielista, Stormwater Management, New York: John Wiley & Sons. Reprinted
with permission of John Wiley & Sons, Inc.)

demanding bacteria exceed the oxygen replenishing algae,
the DO will be depleted. DO is consumed by microorgan-
isms as they decompose organic matter. A low-DO can lead
to fish death and to a reduction in aesthetic values.
Common bacteria are coliform, fecal coliform, and spe-
cific pathogens, such as Shigella, Salmonella, and Clostridium.
Bacteria, in addition to causing a low DO, may be a health
hazard. Generally, surface waters are tested for coliform bac-
teria. While coliform bacteria are not pathogenic, their pres-
ence is an indicator that more pathogenic organisms may
be present. Sources include animal droppings, garbage, and
sanitary wastewaters.
Nutrients are chemicals that stimulate the growth of
algae and water plants, which in excess can contribute to
the degradation oflake and stream water quality. Micronu-
trients are nutrients that are needed in very small quantities.
Nitrogen and phosphorus are the most common micro-
nutrients. Water quality problems that result from excess
nutrients include algal scums, water discoloration, odors,
toxic releases, and overgrowth of plants. Sources include
240 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ
Toxics
Salinity
3%
Oxygen Demand
3%
~ - - - Pesticides
Acidity
4%
Physical
Habitat
Alteration
4%
Sediment
22%
FIG uRE 3. 5 M Primary types of NPS pollution in lakes in the United States.
(Courtesy of Engineers & Surveyors Institute Northern Virginia.)
gardens, lawns, golf courses, and other areas that are fre-
quently fertilized.
Metals are widely varied and may be present in stormwa-
ter. An ingestion of excess metals may cause health problems
and birth defects; this is a primary concern in waters used
for recreational purposes and in terms of fish and seafood
cultivation. The most common metals in urban runoff are
lead (Pb), copper (Cu), and zinc (Zn). Sources include flash-
ing, gutters, downspouts, brake linings from vehicles, paints,
catalytic converters, and tires.
Other toxic chemicals found in surface waters may include
phenols and creosols (wood preservatives), pesticides and
herbicides, oils and greases, petroleum products, and many
other manufactured chemicals.
Because of laws such as the Clean Water Act, design-
ers are often required to reduce the amount of pollutants
leaving a development area to some percentage of pre-
development levels. This generally involves quantifying
the pre- and post-development pollutant loads from some
key pollutants (frequently nutrients). The method for cal-
culating pollutant loads is identified in Chapter 5.5. The
engineer then attempts to reduce the post-development
loads by implementing some form of best management
practice (BMP).
Best Management Practices. Best management practices
(BMPs) are policies, practices, procedures, and structures
implemented to mitigate the adverse impacts to surface water
quality resulting from development (they may also provide a
benefit to volume or water quantity). There are many differ-
ent BMPs that can be used within a site and the appropriate
3%
Pathogens
2%
1%
Nutrients
58%
BMP will be based on site characteristics and the jurisdic-
tion's pollutant removal goals. In terms of land development
engineering, either structural or nonstructural BMPs may be
utilized. Structural BMPs include such controls as extended
detention ponds, dry ponds, infiltration trenches, shallow
marshes/wetlands, porous pavements, and water quality
inlets. Nonstructural BMPs include street cleaning, fertilizer
application control, and certain vegetative practices such as
grass swales and filter strips.
The primary mechanisms for pollutant removal in BMP
facilities are
1. Settling of pollutants
2. Filtering pollutants
3. Infiltration of soluble nutrients through the soil
profile and biological and chemical stabilization
of nutrients
A list of common systems is included in Appendix Chapter 7.2.
The selection for and effectiveness of a BMP facility
depend on numerous site conditions such as climate, water-
shed size, soil permeability, ground slope, subsurface condi-
tions (e.g., bedrock and groundwater), and land use to name
a few (Figure 3.5N). Figures 3.50 through 3.5Q recommend
various restrictions to specific BMP facilities.
Another factor influencing the design and selection
of BMPs is the governing criteria for efficiency. Local cri-
teria prescribe the allowable post-development pollutant
loading. Typical policies range from "no net gains;' that is,
 Table 10-1. BMP Selection Criteria
Area Served (AC) Soil Type and Minimum Infiltration Rate (in/hr)
Sandy Silty Ground-
Best Management Loamy Sandy Silt Clay Clay Clay Sandy Silty water
Practices (BMPs) Sand Sand Loam Loam Loam Loam Loam Loam Clay Clay Clay Table
8.0 2.5 1.0 0.5 0.25 0.15 0.08 0.04 0.04 0.04 0.02 (ft)

-■■-- ----
0-5 5-10 10-30 30-50 50+ A A B B C C D D D D D
Biofi ltration 1-2

Infiltration Trench 2-4

Infiltration Basin 2-4

Grassed Swa les

1-2
(with Check Dams)

Filter Strips 1-2

Water Qua lity Inlet

Detention Ponds
Retention Ponds
Extended Detention/
Retention Ponds
Detention/Retention
with Wetland Bottoms

FIG uRE 3. 5 N BMP selection criteria.

250 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ
BMP AREA SERVED

DRY EXTENDED DETENTION POND

WET EXTENDED DETENTION POND

WET POND

INFILTRATION TRENCH I

INFILTRATION BASIN I

POROUS PAVEMENT I

WATER QUALITY INLET

GRASSED SWALE
- I

FILTEA STRIP I
., I I
0 5 10 15 20 25 30 35 40 95 100
WATERSHED AREA (ACRES)

LEGEND:
Feasible Mar9inal Not Feasible

FIG uRE 3. 5 0 Watershed area restrictions for BMPs. (Courtesy of Thomas R. Schueler, Controlling Urban Runoff:
A Practical Manual for Planning and Designing Urban BMPs, Washington, D.C.: Metropolitan Washington Council of
Governments, 1987.)

BMP SOIL TYPE

EXTENDED DETENTION POND

WET POND

INFILTRATION TRENCH

INFILTRATION BASIN

POROUS PAVEMENT

SWALE/FILTEA STRIP

SAND LOAMY SANOV LOAM SILT SANOV CLAY SILTY SANOV SILTY CLAY
(8.27) ft~,~ ~f~ (0.52) LOAM CLAY LOAM LOAM CLAY LOAM CLAY
(0.27) (0.17) (0.09) (0.06) (0.05)
CLAY
(0.04)
(0.<Yl)

SOIL TYPE
(minimum infiltration rate inches/hour)

LEGEND:
Feasible Mar9inal Not Feasible

FIG uRE 3. 5 P Soil permeability restrictions for BMPs. (Courtesy of Thomas R. Schueler, Controlling Urban Runoff: A
Practical Manual for Planning and Designing Urban BMPs, Washington, D.C.: Metropolitan Washington Council of Governments,
1987.)

post-development pollutant loading must be less than or
equal to pre-development pollutant loads, to reducing the
post-development pollutant loads to a specific percent-
age of the pre-developed conditions. Other criteria may set
the allowable loadings on a site-by-site basis, which may be
contingent on location within a water or sewer district. The
pollutant removal efficiencies shown in Figure 3.SR might
be considered for ideal conditions. These values are to be used
as a guide since some studies have shown substantial differ-
ences from these efficiencies. Of the types of BMP measures
listed in Figure 3.SR the most effective types of facilities,
according to a study done in Maryland (John, 1982), are the
 3.5 ■ STORMWATER FUNDAMENTALS 251

High
High Waler Close to Proximity to Space Maximum Restricted Sediment Thermal
BMP Slope Table Bedrock Foundations Consumption Depth Land Uses Input Impacts

Extended Detention Pond

• • • • 0
• • • •
Wet Pond
• • • • 0 0
• • 0
Infiltration Trench 0 0 0 0
• 0
• 0
•
Infiltration Basin
• 0 0
• • 0
• 0
•
Porous Pavement 0 0 0 0 0 0 0 0
•
Water Quality Inlet
• • 0 0
• 0 0 0
•
Grassed Swale 0 0
• • • • 0 0
•
Filter Strip
• • • • • • • 0
•
LEGEND • May preclude the use of a BMP

e Can be overcome with careful site design

0 Generally not a restriction

FIG uRE 3 . 5 Q Other common restrictions on BMPs. (Courtesy of Thomas R. Schueler, Controlling Urban Runoff: A Practical Manual for Planning
and Designing Urban BMPs, Washington, D.C.: Metropolitan Washington Council of Governments, 1987.)

wet ponds, extended detention ponds, artificial marshes, and
infiltration trenches (Table 3.SG).
Settling. For a BMP to use settlement practices the storm-
water is detained in a basin and slowly drained over 24 to
48 hours, which provides time for the pollutants to settle.
Settling column experiments have been performed to esti-
mate the removal of pollutants from urban runoff. Sus-
pended sediment removal frequently forms the basis of BMP
designs. It should be noted that the efficiency of removal of
pollutants through settlement is related to
1. The particle size of the pollutants (which affects the
settling velocity)
2. The velocity of flow through the storage area
3. The depth and total storage volume available (related
to the hydraulic residence time, or the length of time
during which settling may occur)
Examples of BMPs that use settling practices are wet ponds
and dry ponds, but some filtering systems also rely on set-
tling practices in addition to filtration.
Filtering. Filtering mechanisms allow runoff water to
pass through an engineered media, such as sand, gravel,
or a proprietary manufactured filter. Unlike a practice that
retains runoff for to allow settling, a filter system may not
reduce the discharge rate of stormwater runoff. Many of the
filtering systems require extensive maintenance to replace
the filters after a certain number of years. These systems are
commonly designed as subsurface systems (as opposed to
most settling systems), which increases cost but decreases
the land area occupied by the BMP. Underground systems
can usually be installed below parking areas or private road
networks.
Examples of filtering systems are sand filters, tree box soil
media filters, porous pavers, and bioretention systems.
Runoff Reduction. Runoff reduction systems provide
quality control by removing the runoff volume from entering
the downstream waterway. Runoff reduction can be achieved
through infiltration, where runoff is collected and allowed to
seep back into the soil-this condition relies on soil testing to
verify the soils can infiltrate the stormwater at an acceptable
rate. Stormwater can also be reused within the development.
Water reuse is often implemented for irrigation systems or
nonpotable uses (washing vehicles, lavatory water, etc.).
Many vegetative BMP systems have inherent runoff reduc-
tion benefits because of evapotranspiration and vegetative
uptake to support plant growth.
Examples of runoff reduction include infiltration
trenches, water reuse cisterns (irrigation or building reuse),
and vegetated BMPs.
REFERENCES
John Galli, Analysis of Urban BMP Performance and Longevity in
Prince Georges County, Maryland, Washington, D.C.: Metropoli-
tan Washington Council of Governments, 1982.
McPherson, M.B. 1978. The Design Storm Concept. Urban Runoff
Control Planning Miscellaneous Report Series. U.S. Environ-
mental Protection Agency. Washington, DC: U.S. Government
Printing Office.
252 iiih3iiili ►irti· i/Oihti\ii,■ ;@iliiiiiiliih/i,i-V:ii/idtJ

~ (/)
w :::, ..I
::E a:
2i 0 zw 0
z ~
w 0
(/)
:J::
0. CJ
0
;w (/)
..I ::E
w
0 (/)
a: ~ a:
w
0
0
:J:: t: 0 w cc ..I ~
zw 0. z z ::E ii: ..I ..I
..I ..I w w w cc iii
a:
CJ I-
0.
(/) ~ ~ >
><
(.)
cc
a:
(.)
cc
w
>CC
f
BMP/Design :::,
u, ~ ~ 0 I- m 0 (J

EXTENDED DETENTION POND

DESIGN 1 a ~ ~ ~ 0 ® MODERATE
DESIGN 2
DESIGN 3
•• 0
a
~
0
0
0
a
a
®
®
MODERATE
HIGH
WET POND
DESIGN 4 a 0 ~ ~ ~ ® MODERATE
DESIGN 5 a 0 ~ ~ a ® MODERATE

INFILTRATION TRENCH
DESIGN 6
• a 0 0 a ® HIGH

DESIGN 7 a 0 0 a a a MODERATE

•• • •• •
DESIGN 8 0 0 a a HIGH
DESIGN 9 a a HIGH
INFILTRATION BASIN
DESIGN 7 a 0 0 a a 0 MODERATE
DESIGN 8
DESIGN 9
••
0
a
0
a
a •
• • •
a HIGH
HIGH
POROUS PAVEMENT
DESIGN 7 0 a 0 a 0 a MODERATE

•• • •• ••
DESIGN 8 a a a HIGH
DESIGN 9 a a HIGH
WATER QUALITY INLET
DESIGN 10 0 ® ® ® ® ® LOW
FILTER STRIP
DESIGN 11 ~ 0 0 0 ~ ® LOW

GRASSED SWALE
DESIGN 12
• 0 0 a • ® MODERATE

DESIGN 13 0 0 0 0 0 ® LOW
DESIGN 14 ~ ~ ~ ~ 0 ® LOW

Design 1: First-flush runoff volume detained for 6-12 hours.

KEY:
Design 2: Runoff volume produced by 1.0 inch, detained 24 hours.
Design 3: As in Design 2, but with shallow marsh in bottom stage. 0 0 TO 20% REMOVAL
Design 4: Permanent pool equal to 0.5 inch storage per impervious acre. ~ 20 TO 40% REMOVAL
Design 5: Permanent pool equal to 2.5 (Vr); where Vr mean storm runoff. 0 40 TO 60% REMOVAL
6: Permanent pool equal to 4.0 (Vr); approx. 2 weeks retention.
Design
Design 7: Facility exfiltrates first-flush; 0.5 inch runoff/impervious acre.
a 60 TO 80% REMOVAL .
Design 8: Facility exfiltrates one inch runoff volume per impervious acre. • 80 TO 100% REMOVAL
Design 9: Facility exfiltrates all runoff up to the 2 year design storm. ® INSUFFICIENT KNOWLEDGE
Design 10: 400 cubic feet wet storage per impervious acre.
Design 11 : 20 foot wide turf strip.
Design 12: 100 foot wide forested strip, with level spreader.
Design 13: High slope swales, with no check dams.
Design 14: Low gradient swales with check dams.

FIG uRE 3. 5 R Comparative pollutant removal of urban BMP designs. (Courtesy of John Galli, Analysis of Urban BMP Performance
and Longevity in Prince George's County, Maryland, Washington, D.C.: Metropolitan Washington Council of Governments, 1982.)
 3.5 ■ STORMWATER FUNDAMENTALS 253

TA BLE 3 . 5 G Summary: General Attributes of BMP Systems Field Surveyed

I. BENEFITS

POROUS GRASS
INFILTRATION PAVEMENT ANO INFILTRATION FILTERS/ ED DRY WET ARTIFICIAL POCKET O1L/GRIT DRY
FACTOR TRENCHES DRY WELLS BASINS SWALES PONDS PONDS MARSHES WETLANDS SEPARATORS PONDS

Downstream channel
protection
• 0 0 0
• • • • 0 0

Removal of particulate
pollutants
• 0
• 0
• • 0
• 0 0

Removal of soluble
pollutants
• 0 0 0 0
• • 0 0 0

Aquatic/wildlife habitat
creation
0 0 0 0 0
• • 0 0 0

Wetland creation 0 0
• 0 0
• • • 0 0

Thermal impact
protection
• • • 0 0
• 0 0 0 0

II. DISADVANTAGES

Soils limitations
• • • • • • • • 0
•
Maintenance
requirements
• • • • • • • • • •
Space consumption
• 0
• • • • • • 0
•
Public safety hazards 0 0
• 0
• • • • 0
•
Functional life/reliability* 0 0 0
• 0
• • 0 0 0

(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).
o Low
• Moderate
e High
• General ability to provide water quality/quantity control benefits for 5 years or more without regular sedimenVtrash removal.
254 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ

OAKWOOD BEACH FLOOD RESILIENCY STUDY WITH NATURE BASED INFRASTRUCTURE

Location: Staten Island, NY
Client: New York State Department of Environmental Conservation (NYSDEC) through the New York State Office of
General Services (NYSOGS)
Completion Date: April 4, 2014 (Design)
Case Study: After Superstorm Sandy impacted the Oakwood Beach area, the New York State Department of Envi-
ronmental Conservation (NYSDEC) had the opportunity to infuse natural infrastructure solutions into USACE's hard
infrastructure coastal flood protection system. The low-lying portion of Oakwood Beach on the south shore of Staten
Island, New York is subject to flooding from coastal storm surge and heavy rainfall.
For this high-visibility project, which was mentioned in the NYS Governor's State of the State address, Dewberry
worked with stakeholders to prepare a Feasibility Study and Conceptual Design Plan for a combination of natural
and gray infrastructure to provide storage for a 100-year rainfall event and reduce damages from the 500-year coastal
storm event. This comprehensive conceptual design plan would provide environmental/recreational benefits and
help to improve flood resiliency by protecting 1,843 houses along with DEP's critical infrastructure within Oakwood
Beach community.
Dewberry's study evaluated stormwater Best Management Practices (BMPs) and freshwater and tidal wetland resto-
ration opportunities in concert with storm damage reduction strategies. Coastal hydrodynamic and wave modeling
assessed tidal wetland restoration alternatives. Hydromorphic assessment and hydrology and hydraulic analyses were
also performed. Alternatives were based on availability of parcels, wetland restoration benefits, ability to manage storm-
water runoff, mitigation of storm surge, and resiliency offered from projected sea level rise.
 CHAPTER 3.6
UTILITY FUNDAMENTALS
3.6.1. Introduction
Most urban land development projects will be served by
public utility systems, whereas smaller rural sites will have
private on-site systems. The site engineer is typically focused
on the design of the storm, sanitary, and sewer utility systems
for a site. Other utilities, such as power, gas, and communica-
tion, are often coordinated with the utility provider but may
be designed by the site engineer. Large facilities, such as a
university campus or hospital, may have a central plant with
steam, chilled water, and hot water systems. There is gen-
erally one public utility provider for a region's water, sewer,
and power, but there may be more than one provider for
communication.
The availability and existing capacity of utilities, such as
sanitary and water, can impact the development potential for
a site. If there is no public water or sewer available near a new
residential community the development will need large lots
to accommodate septic systems and well systems. In some
cases, a public utility may be available, but the capacity would
not support the desired development-in this case the devel-
oper would need to consider upgrading the system (which
could be prohibitively expensive) or they may be required to
decrease the desired density.
Each utility system has individual design, construction,
maintenance, and operation requirements. Each utility pro-
vider and jurisdiction will have a set of requirements, and
often a set of unique details, for the utility systems. In dense
development projects, one of the challenges is to accommo-
date the utility systems within a confined space. Water and
sanitary systems are generally smaller diameter pipes (less
than 10 inches is large enough to serve most developments).
Storm drainage systems usually have a IS-inch minimum
pipe size, and can quickly grow to 60 inches-very large
systems may require larger pipes (96 inches is a common
maximum) or box culverts, which range from 4 x 4 feet up
to much larger sizes.
In addition to the physical size of each utility, there are
separation requirements (both horizontal and vertical). A
public utility may also require an easement, which can vary
from 10 to 25 feet in width along the center of the utility.
For major utility systems, such as power transmission, the
easements can be over 100 feet in width. These easements
are required to protect the utility system and accommodate
maintenance activity. The easements often include restric-
tions on development. Many easements must be clear of
vegetation, buildings, or other site furnishings. These con-
ditions are especially challenging as utility systems compete
with other site requirements like landscaping and screening.
The required separation and easement requirement should
be determined early in the design phase.
Utility design should be carefully coordinated with build-
ing requirements. The connection between a building and
the site is critical, and each discipline will likely have differ-
ent design requirements. An estimate of utility requirements
is important in the early phases of design so that the capacity
can be verified. If capacity does not exist in the utility sys-
tems, there may be a need for costly upgrades and in some
cases, it may not be possible to modify the system.
This chapter is separated into four parts: (A) Storm
Drainage, (B) Sanitary Sewer, (C) Water Distribution, and
(D) Dry Utilities. These utilities are often the focus of site
engineering design work, but all other utilities should be
considered and carefully coordinated. This chapter intro-
duces the terminology, materials, and design strategies of
utility systems. Design examples and detailed equations are
provided in Chapter 5.6.
255
256 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ
PART A-STORM DRAINAGE
3.6.2. Introduction
After the planning of the site layout and initial hydrologic
analysis of the site, the horizontal placement (and later, the
sizing) of the storm drainage system is performed. Con-
veyance systems may vary from nonstructural systems
such as grass channels to structural systems comprised of
pipes, culverts, and inlets. The selection of conveyance sys-
tems may vary due to development conditions, low-impact
development (LID) goals, available site area, topography,
soils, as well as local jurisdictional requirements. The
implementation of LID techniques is often encouraged
for storm conveyance systems as additional measures of
stormwater management. The design team must evaluate
and consider these objectives and incorporate these various
design elements as appropriate. In some cases, the other site
infrastructure may govern the type of conveyance system
used. For instance, a road with curb and gutter will require
inlets and pipes, while a road with just a paved shoulder
would require a roadside ditch.
Once the type of conveyance and collection system has
been established, these systems are incorporated into the site
plan as the grading and drainage plan is developed. But this
may require iterations of design to determine the best storm
network layout. Preliminary grading leads to the placement
of stormwater management facilities, which leads to the
• -I"-
-- ___
-----~
-- ·--..,_..,_·-·
---------
__
-.-
FIG uRE 3. 6A Example of a storm drainage system.
design of the conveyance system. But the ultimate routing
of the conveyance system may alter the stormwater manage-
ment facility locations, which would then change the grading
of the site. The site design and buildings can change, espe-
cially during the site analysis and preliminary engineering
phase of a project, which may require edits to the storm sys-
tem. Figure 3.6A depicts the final design for a storm drain-
age system for a residential community. The design includes
inlets, pipes, channels, and stormwater management systems.
Preliminary sizing of the conveyance drainage sys-
tem should be performed on each component to provide
adequate conveyance of stormwater runoff to proposed
stormwater management facilities or points of discharge
(outfalls). It is important to verify the design storm and siz-
ing requirements for these systems with local authorities
having jurisdiction. A common design storm for convey-
ance systems is 10- to IS-year storm events, but the loca-
tion of the system can require conveyance for larger design
storms (such as 25- or SO-year storms adjacent to a highway
crossing).
The designer must also account for safe runoff convey-
ance either via overland flow, via the collection system, or
via other secondary means of conveyance for storm events
exceeding the required design storm for the collection sys-
tem. This is necessary to ensure that drainage water is con-
veyed to appropriate stormwater management systems even
as the pipes and channels are overwhelmed.
---
__..... --
----~ - 03.202
 3.6 ■ UTILITY FUNDAMENTALS 257

Profiles of the storm sewer system are typically part of TOPS

the final design; however, select profiling should occur dur-
ing preliminary engineering to check vertical conflicts with
outfall systems and other utilities. Additionally, flow capaci-
ties of proposed and existing systems should be checked. It
is important to ensure that proposed developments on a site
do not negatively affect surrounding properties and existing
drainage systems. Since the adequacy of the drainage outfalls
is critical, as-built information of existing storm systems and
field run cross sections of existing drainage channels (natural
or man-made) should be obtained. RISERS
Drainage systems are often divided into two categories:
minor and major. The minor system, which consists of
swales, small ditches, gutters, small pipes and the other vari-
ous types of inlets and catch basins, collect and convey run-
off to a discharge area or impoundment. Components in the
minor system are sized to carry runoff generated by the more
frequent, short-duration, storm events. The major drainage
system includes natural streams, channels, ponds, lakes, I
retention and detention facilities, large pipes, and culverts. ·.',
I
I
Design criteria for the major system are based on significant I
I
I

I
amounts of rainfall produced by the less frequent, long dura- I
I
tion storms and are further governed by the hydraulic con - n:I
cepts related to bridges and large conveyance structures.
This part of this chapter will build from Chapter 3.5 by
introducing the storm system that conveys water into the BASES
stormwater management facility. This chapter begins by
describing the parts of a storm sewer system, including the
materials and preliminary sizes. Then the design and loca - (;;---I~
tion of the system within a property will be discussed, to
allow for the optimal design of a site. A holistic understand-
ing of stormwater will enable the success of a project. I '\
I
1 •
3.6.3. Storm System Materials t
I
I
I
A storm drainage system is generally comprised of concrete I
I
structures (manholes and inlets) and pipes of a variety of mate- I
I

rials. The layout of structured systems (pipes, inlets, manholes, ''

endwalls) generally follows a layout in which straight pipe seg-
ments form connections between storm structures. At each
storm structure the pipe can change horizontal direction or
vertical direction (pipe slope). The layout of a storm network
can often look like a constellation pattern as the infrastructure
meanders around the site. There is a large catalog of storm
structures and the details usually vary by jurisdiction.
Storm Junctions. Manholes are typically precast circular
concrete barrel sections, in 3 to 4 feet lengths, that stack on
top of each other (Figure 3.6B). The elevation of the top of
the manhole is adjusted to meet grade with spacer rings. The
top is covered with an iron ring fitted with an iron cover.
Manholes are used to change horizontal and/ or vertical
direction of pipes, while also acting as a junction, allowing
the convergence of several incoming pipes. Many types of
inlets use the manhole barrel sections but have a precast
throat or grate that fits to the top.
The diameter of the manhole depends on the size of the
pipes connecting to it. Standard manhole diameters are
I
i
~--~----------------*-~
FIG uRE 3. 6 B Precast unit assembly diagram.
approximately 4 feet but can increase to 8 feet or more. When
several pipes converge at a manhole the size and angle of the
pipes should be evaluated to ensure that manhole can accom-
modate the connections. For large systems, concrete junction
boxes may be required to accommodate pipe connections.
In Figure 3.6C(a), the size and angles of the pipes are such
that they can be connected to the manhole without interfer-
ing with each other. Compare this to Figure 3.6C(b), where
the pipe sizes and angles cannot fit into the manhole at the
same elevations (or nearly same elevations). In the second
case the elevations of the pipe should be staggered enough to
provide for the necessary clearance. In each case the thickness
of the pipe walls should be considered when determining the
250 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ
12"

a) 30" 30"
b)
FIG uRE 3. 6 C Pipes connecting at manhole at same elevation.

necessary manhole size, Wall thickness and other details are
often available from manufacturers or in details from local
jurisdictions.
Similar to the preceding discussion, where several pipe
connections to the manhole must be checked for proper
fit, the skew angle of the pipe connection at a rectangular
structure must be checked for fit. Figure 3.6D(a) shows
an incoming 36-inch-diameter pipe properly fitted to a
3 x 5-foot (outside dimensions) structure. In Figure 3.6D(b),
the pipes are skewed and do not properly connect to the
structure. 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-foot
side of the structure.
The angle of the inflow and outflow pipe should be more
than 90° to prevent a U-turn condition of the flow, which
reduces hydraulic efficiency. At the base of a structure, inlet

r.·. .- // shaping is usually provided to promote flow through the

system and reduce energy losses (Figure 3.6E). Inlet shap-
ing is the practice of creating a channel from the inflow
pipes to the outflow pipe. The inlet shaping is most effec-
... :..
tive when pipe inverts are similar for the inflow and out-
.. flow pipes.

L -------..
3' : .
Storm Collection Structures. There is a large catalog of
storm structures and the details vary by jurisdiction. In most
.. _....,_,.,.,,,...--.--~-.,....,..,.---,,.-,-----' cases, storm collection structures will include inlets and end-
~ ·. -! -~4-~ ~~~I~~~~ -"
walls (or headwalls, depending on whether they receive or
(a)
f I
discharge stormwater). An endwall or headwall (Figure 3.6F)
is located where a pipe system connects to an open channel,
and the structure retains the adjacent earth.

1/ Intersects
Storm inlets are generally classified into four categories,
as identified by Federal Highway Administration (FHWA) in
the HEC-22 Urban Drainage Design Manual (Figure 3.6G):
Wall
a. Grate
b. Curb opening
c. Combination (grate and curb opening)
d. Slotted drain
(b) rI Many jurisdictions, including the state department of
transportation (DOT), will have a prescribed catalog of
FIG uRE 3. 6 D Skew angle for pipes connecting to rectangular inlet types. Some jurisdictions limit the use of certain inlets,
structure. such as grate inlets, if they consider them prone to clogging.
 3.6 ■ UTILITY FUNDAMENTALS 259

Shape to
contour
of pipe

" " ' - . _ Slope co drain co Invert of

of outlet pipe
SECTION A-A

METHOD OF TREATMENT IN DROP INLETS

PLAN SECTION B

METHOD OF TREATMENT IN MANHOLES

FIG uRE 3. 6 E Example of inlet shaping, modified from Virginia Department of Transportation Road and Bridge
Standards.

Figure 3.6H depicts various inlet types located along a road-
way. Inlets may be located within the roadway, parking lots,
hardscape, or outside of paved areas based on the grading
and hydraulic requirements. Smaller variations of these inlet
types are typically used for plaza, landscape, or yard drain-
age [usually high-density polyethylene (HDPE) or polyvinyl
chloride (PVC)]. Inlets can be precast or cast in place and
STRAIGHT HEADWALL
FIG uRE 3. 6 F Example of a headwall.
will generally have a manhole or other vertical structure
below the inlet top to allow for pipe connections.
Pipe Materials. Pipe systems (closed channel conveyance)
are common in suburban and urban development, and typi-
cally seen in conjunction with curb and gutter streets that
have inlets. Pipes can be manufactured from many different
materials but the most common are reinforced concrete pipe
(RCP) and HDPE. Other plastic pipe systems may be used
for smaller yard drains or building connections. Corrugated
metal pipe (CMP) is often used for driveway culverts. Each
material will often have a variety of specifications for instal-
lation, trenches, and connections. For example, a storm pipe
that connects to a wet pond and is constantly submerged will
have a different joint specification than a pipe used just for
conveyance.
It is important to determine acceptable pipe materials
selection based on locality specifications and site constraints.
pH levels and resistivity of the soils, high or low fill areas, cor-
rosive environmental conditions, and tidal areas will be some
of the site constraints. Others may be the preference of contrac-
tor, the proximity to manufacturing plants, and the cost of the
different pipe materials. The engineer must be careful to con-
sider the pipe material when designing a storm sewer system.
The various pipes available on the market can have an enor-
mous range of Manning's "n" values (from as little as 0.007 to
as high as 0.033). Since then value plays an important role in
pipe capacity and hydraulic grade line calculations, the selec-
tion of the pipe material could dramatically affect the design.
2so i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ
a. Grate
c;:. Combination Inlet
FIG uRE 3. 6 G Example of storm drain inlets (FHWA, HEC-22, 3rd edition, Urban Drainage Design
Manual).
ON-GRADE INLET SUMP INLET
(FLANKING)
ROAD&
DRAINAGE SLOPE LOW POINT
FIG uRE 3. 6 H Example of inlet shapes.
An acceptable n value for concrete pipe is usually 0.013, and
HDPE may be 0.011 to 0.12. Additional information on 'n' val-
ues and Manning's equation is provided in Chapter 5.6.
Some localities will provide guidance as to the types of
materials preferred. Many other jurisdictions will allow the
contractor to choose the pipe material. When the contractor
is given the option of pipe materials, it will either be up to the
contractor or the engineer to determine whether the mate-
rial selected will still meet the design requirements of the
construction documents. If the design documents use HDPE
with a lower n value (and greater capacity) but the contrac-
tor chooses RCP (higher n value), the design may need to be
b. Curb-opening Inlet
d. Slotted Drain Inlet
ON-GRADE INLET ON-GRADE INLET
(FLANKING)
ROAD&
DRAINAGE SLOPE
modified. Therefore, it is important that the engineer under-
stand the requirements of the local industry before determin-
ing pipe materials to be used for design and analysis.
Pipes are generally circular and will range from small
diameter plastic pipes (3 to 10 inches) for building and
landscape drains with larger diameter options for RCP and
HDPE, as well as other common materials. The pipe size
option usually starts around 12-inch diameter and increases
in 3-inch increments to 36-inch diameter before increasing at
6-inch increments. As with all pipe materials, the wall width
should be considered in the design of the pipe network-
the diameter references the interior dimension but the wall
 3.6 ■ UTILITY FUNDAMENTALS 261

Concrete Pipe Size, Wall Thickness and Weight

INTERNAL PIPE DIAMETER WALL THICKNESS WEIGHT
(in) (8 TYPE, in) (lb/ft)
12 2 93
15 2¼ 127
18 2½ 168
24 3 264
30 3½ 384
36 4 524
42 4½ 686
48 5 867
54 5½ 1068
60 6 1295
72 7 1811
FIG uRE 3. 61 Dimension and weights of pipes.

thickness can add as much add 4 to 18 inches to the outside
diameter for RCP. Figure 3.61 provides a list of common con-
crete storm pipe sizes, wall thickness, and weight.
Alternative pipe size and geometry may provide solutions
to difficult design situations, such as a utility crossing with
other systems. A reduction of a pipe size will have a significant
impact on available capacity. Storm pipes are also available in
elliptical shapes, which can reduce the total height or width
of a pipe while maintaining capacity. Rectangular shapes (box
culverts) are often used for large capacity systems and convey-
ance below a road crossing. Pipes, whether circular, box, ellip-
tical, or arch, can also be used for underground stormwater
detention systems when surface systems (such as ponds) are
not feasible.
Open Channel Systems. Open channel conveyance sys-
tems provide an alternative to pipe systems. Open channels
may be used for stormwater quality (vegetated channels can
remove pollutants) or may be used to reduce construction
costs of a conveyance system (usually at the expense ofland
area). Unlike pipes, open channels can change horizontal
or vertical direction without the need for a storm structure.
Channels often parallel a highway or rural subdivision roads
but can be used for conveyance in other applications as well.
For man-made channels, the geometry is usually trap-
ezoidal or triangular, with side slopes typically ranging from
4:1 to 1:1 based on design criteria and channel material.
Channel geometry can also be irregular, when considering
natural channels, or can be established as parabolic or rect-
angular. Determining the capacity of a channel can be chal-
lenging because the shape, slope, and contributing drainage
area can vary along the channel alignment. Evaluating the
capacity at different locations (minimum slope, maximum
slope, complete drainage area) is often necessary to ensure
the channel is adequate.
Channel material can vary between natural linings, such as
vegetation, or manufactured lining such as concrete, riprap,
or geotextile fabrics. The appropriate lining is determined
by an iterative process of selecting a material, determining
the velocity and shear stress (based on Mannings "n" of the
material), evaluating whether the velocity and shear stress
is permissible, and choosing a different material as needed.
For smaller conveyance systems, vegetated lining is generally
acceptable until a velocity of 3 to 6 feet/second based on the
vegetation, slope, and underlying soil conditions.
Culverts. A culvert is a relatively short length of conduit,
typically less than 250 feet long, used to transport water
through (or under) an embankment. A culvert, which acts
as an enclosed channel through the embankment, serves as
a continuation of the open channel. However, flow through
culverts depends on entrance geometry and depth of flow
at the downstream end. Consequently, flow computations
for culverts are more complex than the open channel flow
analysis associated with pipes and ditches. Culverts through
roadway and railway embankments are designed to pass the
design discharge without overtopping the embankment or
causing extensive ponding, or inundation at the upstream
end. Local requirements may allow nominal depths over the
embankments for lesser frequency storm (greater recurrence
interval) events.
Major components of a culvert design include specify-
ing the materials-the barrel, end treatments such as head-
walls, endwalls, and wingwalls, outlet protection, and inlet
improvements such as debris control structures as well as
determining the environmental permitting requirements.
Except for the barrel, these components are used as the spe-
cific situation warrants.
Barrels. Barrels are available in various sizes, shapes, and
materials. Figure 3.6J shows the commonly used culvert
2s2 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ

Shape Range of Sizes Common Uses

Round

8 6' -26'
Culverts, subdrains, sewers, service tunnels,
etc. All plates same radius. For medium and
high fills (or trenches).

Culverts, sewers, service tunnels, recovery

Vertically-elongated 4' - 21 ' nominal; tunnels. Plates of varying radii ; shop
(ellipse) 5% is common before elongating fabrication. For appearance and where
backfill compaction is only moderate.

Span x Rise Where headroom is limited. Has hydraulic

18' X 11 '
Pipe-arch advantages at low flows. Corner plate radius,
to 18 inches or 31 inches for structural plate.
20' 7' X 13' 2"

Span x Rise
5' 8" X 5' 9' For pedestrians, livestock or vehicles
Underpass· to (structural plate).
20' 4" X 17' 9'

Span x Rise
6' X 1' 9½" For low clearance large waterway opening,
Arch to and aesthetics (structural plate).
25' X 12' 6'

Horizontal Ellipse g Span

20' -40'
Culverts, grade separations, storm sewers,
tunnels.

Span Grade separations, culverts, storm sewers,

Pear 25'-30' tunnels.

High Profile Arch

-0 Span
20'-45'
Culverts, grade separations, storm sewers,
tunnels, Ammo ammunition magazines,
earth covered storage.

Low Profile Arch

0 Span
20' - 50'
Low-Wide waterway enclosures, culverts,
storm sewers.

Span Low-Wide waterway enclosures, culverts,

Box Culverts storm sewers.
3'-20'

For lining old structures or other special

Specials Various
purposes. Special fabrication.

• For equal area or clearance, the round shape is generally more economical and simpler to assemble.

FIGURE 3.6J Common shapes of culverts.


shapes as well as applications of the various shapes. Selec-
tion of shape depends on construction limitations, embank-
ment height, environmental issues, hydraulic performance,
and cost. The most commonly used culvert materials are
corrugated steel, corrugated aluminum, and precast or cast
in place concrete. Factors such as corrosion, abrasion, and
structural strength determine the selection of material. In
cases where the culvert is located in a highly visible area, the
selection of shape and material may be based on aesthetics,
as well as the functional aspects.
End Treatments. Headwalls and wingwalls are examples of
end treatments. They protect the embankment from erosion,
serve as retaining walls to stabilize the bank and add weight
to counter any buoyancy effects. Ideally, the centerline of the
culvert should follow the alignment and grade of the natu-
ral channel. In many cases this cannot be done, and skewing
headwalls and wingwalls help transition the natural stream
WING PH APWA
FIG uRE 3. 6 K Four common end inlet treatments.
3.6 ■ UTILITY FUNDAMENTALS 263
alignment to the culvert alignment. Figure 3.6K shows four
types of end treatments.
Debris barriers are sometimes constructed on the
upstream end to prevent material from entering and clog-
ging the culvert. The barriers are placed far enough away
from the entrance so that accumulated debris does not clog
the entrance.
At the inlet and outlet ends of the culvert, endwalls and
wingwalls serve as retaining walls and erosion protection for
the embankment and help to inhibit piping along the out-
side surface of the culvert. Downstream wingwalls provide
a smooth transition between the culvert and the natural
stream banks.
All culverts that cross underneath roadway embankments
inherently create potential stability concerns for the embank-
ments. The same can be said of storm sewer pipe installa-
tions. This is a function of the construction of the culvert
STRAIGHT HEAPWA L
254 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ
system. Compaction around a pipe, whether it is circular or
rectangular, is more difficult than standard compaction of fill
slopes. The contractor must take care in compacting around
culvert systems, usually requiring several "lifts" (e.g., 6 to
12 inches layers of soil) to compact the surrounding fill mate-
rial to specification. Consideration should always be given,
by the designer and contractor, that storm runoff will seep
into roadway embankments, or groundwater tables will rise
during flood events. If the compaction is inadequate, water
can run along the voids in the soil of the "uncompacted" por-
tion of the culvert. When water continues to flow along a
pipe or culvert, the "uncompacted" material slowly washes
away from the surrounding pipe, and failure of the embank-
ment may occur. This is one of the most common causes of
embankment failures at culvert installations and roadway
pavement failures at storm sewer installations. This type of
failure is referred to as piping failure.
Culverts and storm sewers are typically constructed with a
stone base to provide support and flexibility. For most instal-
lations, this stone base is porous and allows any water inside
the embankment to travel downstream, along the path of the
culvert. Typically, this aggregate base aids in reducing pip-
ing failures, in that it concentrates the water flowing through
the embankment. However, should there be excessive pond-
ing of water behind an embankment, the standard bedding
provided at culvert installations will not be adequate to pass
the seepage flow safely along the conduit, and piping failures
may occur. The designer should consult with a geotechnical
[ criteria and standards, and any impacts to other
J
[ tions of the project.
[ J
FIG uRE 3. 6 L Example of a road with location of inlets.
engineer to determine appropriate countermeasures, such as
concrete cradles, use of impervious materials, or embank-
ment draining devices such as toe-drains to minimize the
potential for piping failures. Permitting requirements for
natural channels may require the countersinking the culvert
3 to 12 inches depending on the local, state, and federal laws.
The depth of countersinking may be dictated by the type of
ground material. Countersinking the culvert will provide a
natural channel bottom through the culvert for aquatic habi-
tat. The culvert analysis must consider the loss of flow area in
the culvert, a modified Manning's "n" value for the channel
bottom, and model the effective opening.
3.6.4. Storm System Layout
The storm system design, like most design processes, is itera-
tive. The results from one iteration provide the details neces-
sary for further refinement of the design in the next iteration.
Each iteration attempts to optimize the design to provide ade-
quate drainage control, without an excessive number of inlets
or length of pipe. The design of the minor system involves:
• Outfall determination-identify all outfall points
for site
• Inlet location-based on preliminary grading and
drainage divides
• Conveyance system layout-connecting inlets, build-
ings, manholes, and SWM systems
• Preliminary analysis-checking hydrologic and
hydraulic assumptions for inlet locations and pipe/
channel sizes
• Verify design-determine if the system follows local
components of the project
Requisite information to begin design of the storm drain
system generally includes on-site and off-site topographic
maps, current and projected land use maps, soil identifica-
tion maps, floodplain delineation maps, floodplain reports,
existing site plans of surrounding property, stream and chan-
nel outfall information, and the plans of the proposed condi-
Location of Inlets. On curb and gutter roads and parking
lots, inlets are placed at all low points, such as sag vertical
curves (low points within the road). In sag locations, where
there is a higher propensity for clogging of inlets, the spread of
ponded water presents a traffic hazard. Flanking inlets should
be considered, if they are not required by code, in the sump
area of a sag vertical curve. The addition of flanking inlets,
which limit the spread and ponding at the low point, provides
relief when the sump inlet is clogged or overwhelmed.
On normal crown street sections the locations of inlets
are usually similar for each side of the road. If the road is
sloped to one side (both lanes drain to one curb), the loca-
tion of inlets will often be limited to the low side of the road;

however, if there is a large area adjacent to the roadway addi-
tional inlets may be placed on the upper side of the road to
capture water prior to spilling across the roadway. Refer to
Figure 3.6L for examples of inlet locations shown on the
cross section of a road. This is important when considering
how snowmelt may drain across a roadway if not captured
with an inlet.
Additional inlets adjacent to the roadway (beyond the
curb and gutter) may also provide relief from drainage across
the roadway.
To properly locate the drainage inlet on superelevated
roadways, the design engineer should check the elevations
of the outer edge of pavement along the superelevation tran-
sition segment to determine the location of any "false low
points:' 1 Most urban streets have curbed or curb and gut-
ter sections. In those situations, where the urban street is
required to have superelevation through horizontal curves,
certain conditions create the situation where a low point
occurs and is not in an obvious sump. To attain full super-
elevation or to go from full superelevation to normal crown
(or reverse superelevation in the case of compound curves)
requires a length of transition. If the rate of superelevation
is greater than the longitudinal rate of grade change, a low
point in the gutter area results. The engineer should be aware
of the conditions that present this predicament and locate
the low point and inlet location.
Inlet placement in an intersection requires detailed
analysis of the intersection street's profiles and cross sec-
tions. Intersections have the potential for creating unusual
drainage patterns and collection networks. The design of an
intersection involves matching the cross slope of the inter-
secting street with the longitudinal profile of the through
street. Sometimes the crowns meet in the intersection but
other times the crown is only carried through on the major
through street. This usually depends on the classification of
the streets in the intersection. Two major roads will see the
crowns meet in the intersection but, for example, an arterial
and a local street will usually only have the crown of the arte-
rial carried through the intersection. Drainage patterns can
be complicated by deviations from the cross slopes shown on
the typical section, which may be relaxed through the inter-
section to fit the pavement from the intersecting street to the
pavement of the through street.
Curb returns (the horizontal curve portion of the curb
used to join the curb of the two intersecting streets) and the
cross sections of the intersecting streets coupled with any
horizontal and vertical curves can create sump areas in incon-
spicuous and unfavorable locations. Additionally, the profile
of the curb return itself may not follow a known mathemati-
cal function, for example, a parabolic curve, and typically
does not exactly coincide with the street profile. Typically,
inlets are placed along the curb and gutter of the downhill
street before the curb return to capture water before entering
1The term false low point is used to indicate a low point location difference from the
low point location given on the PGL.
3.6 ■ UTILITY FUNDAMENTALS 265
the intersection. Detailed grading may be required along the
curb return to force water back to the inlet, or through the
curb return to the next street.
The designer should also consider the location of any
handicap ramps or pedestrian crossings prior to placing
inlets at the end of the curb returns. Depending on the longi-
tudinal street slope and the gutter flow, an inlet just upstream
of this location may also be necessary. Locating inlets at the
ends of curb returns also reduces flows around the curb
returns, which may be a consideration if the longitudinal
gradient of either street is very steep, or if the area is a high
pedestrian traffic area.
After inlets have been placed at the required locations in
sumps and at intersections, the location of all remaining inlets
is dictated by the limitations on spread of flow into the street
(on-grade inlets, as opposed to sump inlets). The location of
on-grade inlets is dictated by the allowable spread of gutter
flow. Most jurisdictions will prescribe a maximum spread for
gutter flow (often half a vehicular travel lane). The spread is
calculated using Manning's equation for channel flow where
the curb, gutter, and road define the channel. A steeper lon-
gitudinal road section will provide a higher capacity (less
spread) than a mild slope-this means mild road slopes will
require more frequent inlets to control the spread. Refer to
Chapter 5.6 for formulas and calculations of spread.
In parking areas, the grading plan determines the drain-
age pattern and inlet location. In commercial building sites,
pedestrian traffic is an important consideration for grad-
ing and drainage. Sump areas should be avoided in pedes-
trian travel ways such as crosswalks or near entrances to the
building. Additionally, sump areas should be avoided in areas
where passengers discharge from vehicles such as bus stops
or walkways. Although there is typically no limitation for the
spread of flow into privately maintained travel lanes and park-
ing areas, good judgment is needed to avoid people parking
in puddles when stepping out of their vehicles and to limit the
spread in cold regions, since the formation of ice sheets is a
concern. Handicap ramps and parking spaces also need to be
considered when locating drainage inlets and sump areas.
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, which
often are a function of the pipe size. Table 3.6A is the recom-
mended spacing provided by AASHTO. This distance is usu-
ally determined by maintenance and accessibility concerns,
verify acceptable distances per locality.
Location of Yard Inlets. Ideally, the drainage system
should accommodate the site or roadway plan, and not be
the driving factor behind other design components. For
example, single-family detached projects favor drainage
patterns toward the rear and side of the houses. Swales and
inconspicuous ditches can convey the water across the rear
of the lots with minimal intrusion and little impact to the
overall site plan. Large grate inlets and concrete channels are
not desirable conditions for a residential yard.
266 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ

The relationship between pipe size, slope, and conveyance

TAB LE 3 . 6 A Recommended Structure
capacity can be seen in Table 3.6B.
(Manhole and Inlet) Spacing
Common practice is to set the pipe at minimum depth
PIPE DIAMETER DISTANCE (FT) (i.e., minimum cover or minimum inlet depth) or at the shal-
lowest depth possible (to ease in constructability) and select
12-24 350 the pipe size and slope that convey the design discharge at
27-36 400 near full capacity. The pipe network is typically designed
to prevent pressure flow (the conveyed flow is below the
42-54 500 pipe capacity). In pressure conditions, the pipe network is
surcharged for storms that generate runoff greater than the
~60 1000 design storm.
Discharge velocity in a pipe should be kept within a
nominal range to prevent scour and eliminate sediment
buildup. Sediment transported by very high velocities
The rate of flow being conveyed across a lot is limited to causes abrasion damage to the pipe. Low velocities cause
nonerosive velocities. Maintenance and ownership of swales sediment to settle out and reduce the pipe capacity. A rec-
and ditches is a factor in drainage design in suburban devel- ommended velocity range is 2 to 12 ft/s, but some materi-
opments. The desirability of a lot is reduced if a drainage als may warrant velocities up to 20 ft/s. Reducing velocity
easement runs through the middle of a rear yard. Drainage within a steep system may require mild pipe slopes with
easements may be necessary to prevent homeowners from drops between manhole structures (the drops would then
inadvertently impeding drainage patterns when improving require steel plates at the base of the manhole, or other pro-
their yards. In most cases, the drainage system should be tective measures).
kept within the public right-of-way.
Open spaces, including parks and plazas, may require
special attention to analyze the drainage patterns and
determine the best conveyance system. Sometimes these
open spaces can drain into the curb and gutter along a TAB LE 3 . 6 B Pipe Size, Slope, and Conveyance
street. But large parks may have too much flow for a street Capacity
inlet to handle. Yard inlets may then be required to capture CONCRETE PIPE INTERNAL DIAMATER (INCHES)
this flow, and swales can be utilized to route the drainage
into a yard inlet. These swales can be innocuous and blend 15 18 24 30 36 48 60
in to the landscaping of a park. Low points could also be a
concern. Yard inlets may again be required in low points, • 0.5 5 7 16 29 47 102 184
but small plazas may have smaller drains to strategically •1 6 10 23 41 67 144 260
capture water.
Pipe Design. After inlet locations are established, the pipe • 1.5 8 13 28 50 82 176 319
conveyance system is determined. The pipe network typically
converges to the outfall point. Occasionally, due to site con-
•2 9 15 32 58 94 203 368
ditions, the network is separated into several systems, each • 2.5 10 17 36 65 105 227 412
discharging at different outfall points or connecting to
another storm sewer network. Outfall points can be nat- •3 11 18 39 71 115 249 451
ural channels of adequate capacity, retention/detention l
Ill • 3.5 12 20 42 77 125 269 487
areas, lakes, and rivers. The size, slope, and depth of the
pipe in the network are controlled by the elevation of the
...
en
II.
Cl
·4
Ill 13 21 45 82 133 287 521
outfall point. This is more of a problem in flat terrain, II.
&:
such as Texas, where systems may also include inverted • 4.5 14 22 48 87 141 305 552
siphons to maintain an outfall location. In flat terrain,
the engineer may have design problems trying to match
•5 14 23 51 92 149 321 582
outfall elevations; whereas in steep terrain, high velocity • 5.5 15 25 53 96 156 337 610
and high energy losses may create a potential problem. In
general, the slope and size of the pipe is kept to the mini- •6 16 26 55 100 163 352 638
mum required to carry the design flows at near full capac-
• 6.5 16 27 58 105 170 366 664
ity. Many jurisdictions have a requirement for a minimum
allowable pipe size and slope (commonly set to 15-inch 7 17 28 60 108 176 380 689
diameter, with the exception of building and landscape
drains that may be smaller). Pipe capacity (cubic feet per second)

SELECT MATERIAL OR
STABILIZED SUBGRADE
MATERIAL IF SPECIFIED
PAVED SHOULDER SECTION
SUBBASE MATERIAL
~ SELECT MATE RIAL OR
8"PIPE
STABILIZED SUBGRADE 2"
MATERIAL IF SPECIFIED
WITHOUT PAVED SHOULDER
FIG uRE 3. 6 M Typical underdrain.
Because storm sewer flow is driven by gravity, any con-
flicts with other proposed nongravity dependent utilities are
usually resolved by redirecting those utilities. Attempts are
made to locate the proposed storm system around any exist-
ing gravity or nongravity dependent utilities. It can be costly
to redirect existing utilities and only in the unavoidable case
is this done.
Underdrain Design. The inlet and storm sewer design
has focused on surface runoff. However, there are many
instances where water collects underneath a pavement sec-
tion, either in locations of cut/fill transitions, or just by infil-
tration. Water will usually collect in the subgrade portion of
the pavement, especially in areas where aggregate or stone
is used in the design. This collection of water underneath
the pavement can be extremely problematic, leading to loss
of stability and strength of the pavement structure, fatigue
based on freeze/thaw conditions, or loss of cohesion and
bearing pressures of the surrounding soil.
Given certain situations, this excess water underneath the
pavement will require that a secondary drainage system be
3.6 ■ UTILITY FUNDAMENTALS 267
~ SELECT MATERIAL OR
STABILIZED SUBGRADE
MATERIAL
CURB AND GUTTER SECTION
~uD-1 --1
TRENCH WITH AGGREGATE
UP TO ELBOW,
PIPE rs PERFORATED
45" ELBOW
CONNECTION
EW-12
(TYPICAL)
PLAN VIEW OF OUTLET PIPE AT FILL
constructed to reduce the water collected underneath road-
ways. This is usually done by placing a combination of small
plastic pipes (sometimes perforated or wrapped in geotextile
fabric) along the aggregates section of the pavement box and
discharging the water either into a ditch or a structure (i.e.,
inlet or manhole) associated with the roadway drainage sys-
tem. These devices are called underdrains.
In most urban situations, underdrains are placed along
the edge of the pavement, below the curb and gutter sec-
tion. Typical roadway design requires that the pavement be
sloped to the edge to facilitate drainage. The same applies
to pavement design as well, such that all layers of the pave-
ment box (top surface course, base course, subgrade, etc.)
drain to the outside. Curb and gutter sections typically are
constructed on stone or aggregate bases, meaning that water
can flow easily along the corridor. Underdrains placed lon-
gitudinally below the curb line, within the aggregate, can
capture the majority of water trapped beneath the pavement
and discharge it directly into the roadway drainage system.
Figure 3.6M shows a typical underdrain.
2sa i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ

GWINNETT COUNTY STORMWATER SYSTEM ASSESSMENT PROGRAM (MULTIPLE

WATERSHED PROJECTS)
Location: Gwinnett County, GA
Client: Gwinnett County Department of Water Resources
Completion Date: December 2012 thru March 2015; Multiple Projects
Case Study: Gwinnett County Department of Water Resources (GCDWR), in Georgia, launched a countywide program
to assess its stormwater pipe infrastructure system for each of its major watersheds. GCDWR spends approximately
$15 million annually replacing and rehabilitating failed pipe infrastructure. The primary driver for this is to address
aging infrastructure-approximately 67 percent of the 1400 miles of county-maintained stormwater pipe is corrugated
steel pipe (CSP) and is rapidly approaching the end of its useful life. In most cases the existing pipe's capacity level of
service (LOS) or upgrade needed is unknown.
GCDWR recognized the next step to enhance its active stormwater infrastructure asset management was to conduct a
comprehensive system assessment to identify the capacity LOS of the county-maintained piped drainage system in order
to better plan system rehabilitation and replacement projects. Dewberry was selected to lead a pilot study in the Level
Creek watershed that included over 24 miles of stormwater pipe infrastructure and 7 miles of open channels. To date
under this program, Dewberry has completed twelve comprehensive watershed studies, which include approximately
900 miles of pipe and 1000 miles of streams and open channels. Tasks include
• Enhanced stormwater inventory geodatabase to include pipe inverts, structure depths, and rehabilitation/replacement
quantities
• Assess construction work areas required for open trench pipe replacements to identify easement needs and conflicts
• Established asset values properly accounting for appurtenant items
• Watershed-wide dynamic rainfall-runoff modeling on an ESRI ArcGIS platform (PCSWMM) for all county-
maintained stormwater pipe systems and appurtenant natural channels to assign pipe LOS
• Scenario-based pipe rehabilitation and replacement modeling to achieve a desired LOS
• Development of Capital Improvement Project cost estimation decision support and planning tool
The aggregate result of these comprehensive system-wide analysis tasks is an asset management decision support tool. This
tool allows daily operational decisions involving stormwater pipe rehabilitation and replacement to be made based on a
comprehensive understanding of the existing capacity LOS, needed upgrades to meet the desired LOS, and associated costs.

PART B-SANITARY SEWER
3.6.5. Introduction
Proper management of wastewater is one of the most impor-
tant factors for ensuring the general health of a community
and its surface water quality. The design of any sewer sys-
tem always involves several parties. Input from all impacted
parties should be organized early in the design. The design
engineer must be familiar with the local, state and federal
laws and regulations as they apply to the proposed design.
Also, it is important to determine if the downstream seg-
ments of the sewer system and the treatment facilities that
will receive the flow have adequate capacity. If not, a treat-
ment plant and disposal of the treated effluent must be a
part of the planning phase.
Generally, there are two common types of wastewater col-
lection and treatment methods implemented on land devel-
opment projects: individual subsurface disposal systems
(septic systems) or public collection and treatment systems.
A less common third type of system is a private community
system that may utilize subsurface disposal or small, often
packaged treatment plants. Ordinarily, the decision as to
which type of system will be utilized is made during the fea-
sibility stage. At this time it is also necessary to make a deter-
mination as to whether sufficient capacity is available when
using public collection and treatment systems.
During the preliminary engineering phase the design of
the collection system begins with a projection of anticipated
sewage flow. These calculations may be based on regulatory
requirements for projected flows, historical data obtained
from similar size and type of facilities, or other accepted
reference sources. See Chapter 5.6 for more information
regarding quantity of sewage. It is important for the design
engineer to recognize that the system must be designed
according to anticipated capacity requirements as well as
regulatory requirements, either of which may end up gov-
erning the design. It is preferable for sanitary sewer collec-
tion systems to be gravity systems to the maximum extent
possible, to eliminate the increased cost and maintenance of
pumping facilities. It is also important to evaluate and assess
the potential need for future expansion of the new system
and make appropriate accommodations if this is anticipated
to occur. If the collection system will be tied into an exist-
ing system, as-built information on the downstream system
should be evaluated as part of the design.
Profiles of the sanitary sewer are normally part of final
design; however, select profiling should occur during prelimi-
nary engineering to locate vertical conflicts with other utili-
ties, and determine whether there is adequate cover over pipes
such as at stream crossings and in roadways. Many jurisdic-
tions will require minimum clearances, cover, separation, and
occasionally encasement of sanitary collection systems from
other utilities and in areas such as stream crossings.
If a pump station is required to convey sanitary flow, a
detailed analysis of the various options for placement of the
3.6 ■ UTILITY FUNDAMENTALS 269
station and the route of the gravity collection piping as well as
the force main should be performed in the feasibility stage. In
the preliminary engineering phase, the pumping station will
need to be sized based on anticipated flows, allowable resi-
dence time, cycle length, and required wet well depth. Careful
consideration must be given to construction feasibility and
cost associated with each element of the pumping station.
In the feasibility phase, downstream treatment plants
should be contacted to confirm that they have capacity for
the proposed flows from the development. If public sanitary
sewer is not available to the project, alternative methods for
wastewater treatment will need to be explored in the prelimi-
nary engineering phase. As an example, if septic systems will
be used for sewage treatment, they should be preliminarily
sized and configured. In order to do this, percolation tests
in the area of the disposal fields will have to be performed
to determine the rate at which the soil can absorb the efflu-
ent. The tests (including number and location) need to be
coordinated with the geotechnical engineer and must be per-
formed per the applicable regulatory requirements.
3.6.6. Sanitary Sewer Materials
A sanitary sewer system is generally comprised of concrete
structures (manholes and inlets) and pipes of a variety of
materials. Similar to storm networks, the layout of generally
follows a constellation pattern, where structures are used for
pipe junctions and to change the horizontal or vertical direc-
tion of a pipe system. The engineer has several types of pipe
and structure material options available for use in sewer con-
struction. It is important that the proper selection be made
for the specific installation conditions.
Manholes. Manholes are a required appurtenance to any
sanitary sewer system. They provide access to the sewer for
inspection and maintenance. Manholes should be placed
at every change in grade or horizontal alignment, at every
change in sewer size, at every sewer intersection, and at loca-
tions between long spans of pipe (jurisdictions often require
manhole access within 400 feet).
Only precast reinforced concrete manholes should be
used except where special field conditions make it necessary
to field construct the manhole with brick or cast-in-place
concrete. Figure 3.6N shows two typical type manholes. The
standard manhole includes a base that is generally cast as a
part of the first barrel section. The base shown is an extended
base, which spreads the manhole weight over a larger area.
Additional barrel sections are used as required to bring the
manhole to where the eccentric cone is added. A manhole
frame and cover is placed at the surface. The manhole sup-
plier should adjust the height of the sections to comply with
installation requirements. The precast supplier tailors each
manhole for the specific site. Rubber boots are available
that can be cast into the manhole at the locations where the
sewers will pass through the manhole wall. A stainless steel
clamp is used to secure the sewer to the boot making a water-
tight connection. The inside of the connection is grouted
210 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ
MANHOLE DIMENSIONS
MANHOLE DIAMETER IN FEET Manhole Frame
& Caver
5'0" 6'0"
~ A 60" 72"
QB 84" 98" Adjustment rings
~ C 6" 7" 12" Max. Adj.
!:;il D
□1--1---+---+---+---I

0-Ring or ~rr:;.;,.,__=....:.:..:.....:::.""-"....-----+< '1

single offset
gasket,
ASTM C-361

12" max.
Individual MH to be adj. rings
Optional - max. 3"
strapped and details tapered lift hole plugged
as to number & location with rubber plug.
Steps to be
of straps to be shown set in line Mortar or mastic
on plans. outside only.
Manhole Step
==!'-"<'r- Cast In place
T'f-----------1-------a

Base sec. to
provide min. 6" Min
clearance between
12"
top of pipe and
bottom of bell +++~----=-+~+;-+-- Max 3" tapered
and spigot joint. lift hole plugged
with rubber plug. Base section to
Mortar or mastic provide min. 6"
outside only. cleara nee between
lop of pipe and precast cone. riser-
and bottom of
bell and spigot
joint.

,___ _ _ _ _ _ _ A
B _ _ _ _ ___,

TYPICAL 4'-0" ID TYPICAL 5'-0" & 6'-0" DIAMETER PRECAST

PRECAST CONCRETE MANHOLE CONCRETE MANHOLE WITH 4'-0" STACK

FIG uRE 3. 6 N Typical precast manhole design. (Source: Handbook of Steel Drainage and Highway Construction Products, reprinted with permission
from McGraw-Hill.)

along with the placement of the bench (only shrink proof
grout is used). Corrosion resistant steps are placed inside the
manhole on a 12 or 16 inches vertical spacing. The exterior
of the manhole is waterproofed using bituminous mastic on
the surface and in the joints.
Figure 3.60 shows two types of drop manholes. A drop
manhole is used to reduce slopes of incoming sewers or
to permit connecting a sewer entering the manhole at a
higher elevation than the main sewer. Generally, if the dif-
ference in elevation is less than 5 feet and groundwater, or
obstacles are not a problem, the slope of the higher sewer
is increased to lower the sewer to where the drop manhole
will not be needed.
Doghouse manholes are typically used when a new grav-
ity sewer will intersect an existing gravity sewer and an
existing manhole is not present. The doghouse manhole
is located at the intersection of the two lines and includes
the construction of the manhole base in the field through
forms and cast-in-place concrete around the existing grav-
ity sewer line, see Figure 3.6P. Additional barrel sections
and a cone section are added to the constructed base sec-
tion until ground elevation is reached. Once the manhole is
constructed, the top is cut out of the existing gravity sewer
pipe to allow the sewage from the new line to enter the pipe,
joining the collection and conveyance system.
An epoxy coating or interior liner may also be used with
manhole construction if, in the opinion of the engineer,
highly corrosive situations may be present that would lead
to the early deterioration of the concrete manhole. Typi-
cally, these conditions could exist at manholes that receive
sewage discharge from a sanitary forcemain. There is a
wide variety of coatings and linings, which include painted-
on epoxies through precast high-density polyethylene
linings that are formed with the original construction of
the concrete barrel sections. These products can also be
used in the rehabilitation of existing manholes that have
not reached their useful life expectancy or are cost prohibi-
tive to replace.
The bench (similar to inlet shaping for storm systems)
is constructed to provide a smooth section through the
 3.6 ■ UTILITY FUNDAMENTALS 271

Use drop connection when

drop exceeds the following:

SEWER DIA. IN MIN. Inside drop connection to be used

INCHES DROP under special circumstances such
FEET as:
Bad soils / rock
8 2.5 High water table
10 2.5 Utlllty conflicts
12 2.5 Excessive depths
15 2.8

Concrete encasement to extend

to first pipe joint beyond MH
drop connection excavation
(Min. 3')

Four #4 rebars to be
placed under pipe to
support joint.
27"

Connection

earth)

Crown of bend shall

Min. 4" compacted grave be 4"min. above
crown of main sewer.

TYPICAL 4' MANHOLE WITH TYPICAL MANHOLE WITH

OUTSIDE DROP CONNECTION INSIDE DROP CONNECTION

FIGURE 3.60 Typical drop manhole design.

STEPS (AS REQ'D.l

WEEP HOLE (AS REO'D.l

STEPS l<AS REQ'D.>

1
H
(LIN. FT. FOR
W-NHOLESl

__ l _
AL TERNA TE JOINT
·•· DET/>JL
'
__j x ,_
, - Y D-------,
__I x~

~ 6" x 6" - W5.5 x W5.5 WELDED

WIRE FABRIC OR EQUVALENT AREA
MONOLITHIC
, FOOTING
y

I---- D + 8" + 2X - - - - - < ~

IB-21
NOTES: DOGHOUSE WITH FOOTING
1. SEE GENERAL NOTES FOR ADDITIONAL INFORMATION ON WEEP HOLES, STEP REQUIREMENTS,
"H" <LIN. FT. FOR MANHOLESl DIMENSIONS, ETC. DIMENSIONS
2. ALL BASE UNITS ARE TO BE IN ACCORDANCE WITH THE

3. CONCRETE SHALL BE 4000 PSI.

REQUIREMENTS OF AASHTO M199.
D
ll< 36"
X
MINIMUM
4"
y
MINIMUM
6"
SUGGESTED
MAX. PIPE SIZE
18"
ABSOL UTE
MAX IMUM
21 "
*
4. WHERE OPENINGS ARE REQUIRED FOR PIPE, THEY SHALL BE FORMED, DRILLED, OR NEATLY CUT 48" 5" 6" 24'' 27 "
AS APPROVED BY THE ENGINEER. THE CONTRACTOR SHALL FURNISH THE FABRICATOR WITH
THE ANGLES BETWEEN CENTER LINES, THE INVERT ELEVATIONS, ANO THE SIZE OF ALL PIPES TO 6D" 5" 8" 36" 42 "
ENTER THE MANHOLE. HOLES ARE TO BE A MINIMUM OF 4" TO A MAXIMUM OF 8" LARGER THAN 72" 6" 8" 48" 54"
THE OUTSIDE DIAMETER OF THE PROPOSED PIPE. 84" 7" 8" 60" 66 "
5. DIMENSIONS SHOWN ARE MINIMUM. ACTUAL DIMENSIONS MAY VARY WITH MANUFACTURER. 96" 8" 8" 66" 72 "

6. "O" IS NOMINAL DIAMETER.

Ji< DEPTH "H" OF 36" DIAMETER BASE UNIT RESTRICTED
7. IN THE EVENT THE INVERT OF THE OUTFALL PIPE IS HIGHER THAN THE BOTTOM OF THE STRUCTURE.
THE INVERT OF THE STRUCTURE SHALL BE SHAPED WITH CEMENT MORT AR TO PREVENT ST ANDING
OR PONDING OF WATER IN THE STRUCTURE. * TO 4'-0" MAXIMUM.
ONE THROUGH PIPE ONLY. IONE PIPE ENTERING AND
ONE PIPE EXITING STRUCTURE)
8. TONGUE AND GROOVE JOINT ARE TO BE OF FABRICATOR'S DESIGN MEETING VDOT APPROVAL.
JOINTS ARE TO BE SEALED WITH MORTAR, 0-RING GASKETS, OR BUTYL RUBBER.
212 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ
manhole so as to reduce energy losses, to prevent the accu-
mulation of solids in the manhole and to provide a place for
the maintenance person to stand when working in the sewer.
The bench should extend to at least the springline (hori-
zontal reference line located at the mid-point of the pipe) of
the sewer. For sewers larger than 10 inches in diameter, the
bench should extend to ½ of the sewer diameter. The specifi-
cations should require that the base section be supplied with
an extended base, that a boot be cast in the section for all
sewer connections and that the channels and bench be cast
as a part of the section. All sewers entering a manhole should
be provided a smooth channel into the main channel. When
there is a change in sewer diameter at a manhole, the invert
depths of the sewers should be placed at the same elevation.
This will prevent any upstream surcharging at full flow. The
change in flow direction at a manhole should not exceed
90°. Where a greater change in direction is required, use two
manholes with a segment of sewer between them.
In the past it has been common practice to allow for a
0.1-foot drop in sewer invert through a manhole where
there is no change in pipe diameter. This is no longer nec-
essary (but might still be required by a local jurisdiction). A
well-constructed channel will not require this drop. Many
manhole suppliers now provide the base section with the
channel and bench cast in place when the manhole was
formed. The channel invert must be smooth, having the
same shape as the sewer. In all instances, the penetrations
(openings in manhole wall for sewers) should be cast in the
manhole or core drilled where an additional penetration
is needed. A penetration made with a jackhammer should
never be permitted.
A short section of sewer is used at the manhole to provide
a joint in the sewer not more than 3 feet from the manhole.
This allows some flexibility for any difference in settlement
between the manhole and the sewer. A pipe joint provides a
connection from the pipe (usually plastic) to the manhole
(concrete). Manufactured rubber compression joints should
be used in sewer construction unless there are unusual con-
ditions. The joint should be free of debris and the rubber gas-
ket lubricated prior to installing the pipe.
The manhole frame and cover should be of cast iron. A
typical frame and cover is shown in Figure 3.6Q. A standard
frame and cover as well as a watertight/locking frame and
cover are also shown in the figure. The engineer's library
should include a catalog on standard manhole castings.
The weight of the frame and cover must be selected to carry
the expected loading. For example, a traffic bearing frame
and cover is required when the manhole is located in a
street, whereas a lighter weight one will be suitable for off-
street locations. Locking frame and covers are available for
use where required. Waterproof frame and covers should
be used at locations where the area is subject to flooding.
Ventilation to the sewer is provided through the manhole
cover. When waterproof frame and covers are used, alter-
nate ventilation should be provided at least every 1000 feet
of sewer.
Many utilities have a specific design on the manhole cov-
ers, such as the name of the utility. These utilities stock the
covers and sell them to the contractor.
Building Spurs. When manholes are placed in the street,
the building spur (also referred to as building lateral) should
be installed from the sanitary sewer to a minimum of 1 foot
inside the property line. A separate spur should be connected
for each lot or building site. Where sidewalks are to be con-
structed, the building spur should be constructed to 5 feet
beyond the back of the sidewalk. It is important that each
building spur be shown on the sewer plan with the station
of the connection being confirmed as a part of the as-built
drawings. SDR-35 or heavier pipe should be used for building
spurs. The spur should enter the main sewer through a manu-
factured wye or tee. An approved saddle may be used when
connecting to existing sewers. Some localities require that the
connecting wye or ell be of ductile iron because mechanical
rodding equipment will bore through a PVC connection if
care is not used. Building spurs should be laid to a grade of at
least 0.5% slope, with a minimum slope of 1% being provided
where possible.
A wye may be installed and the extended line capped at
the surface at the lot line for access in the future as needed.
Where the main sewer is excessively deep the spur should be
brought to a reasonable depth prior to reaching the lot line,
but the spur must be kept deep enough to serve the build-
ing. Figure 3.6R shows typical connections for building spurs
(service connections).
Pipe Materials. Since all pipe material used in sewer con-
struction is essentially smooth wall, there will be little differ-
ence in the pipe roughness and, hence, in the Mannings "n"
value of n to be used in a design for different pipe material.
The selection of the type of pipe to be used in a design and
included in the contract specifications as being acceptable
for use in construction should be based on the long-term
serviceability of the pipe material. Serviceability factors
should include expected useful life, resistance to problems
with infiltration, ease of installation, resistance to corrosion
and erosion, and maintenance requirements. Initial cost
should not be the only determining factor.
Pipe materials are classified as being either flexible or
rigid. Pipe manufactured from materials such as concrete
and vitrified clay are classified as rigid wall pipe. A deflection
of the wall of a rigid wall pipe will result in pipe failure. The
most common type of flexible pipe is PVC. Ductile iron and
high-density polyethylene are also flexible pipe materials.
Rigid pipe is classified based on bursting strength, and for
pressure pipe the internal pressure rating is also included.
The bursting strength is established by standard tests and is
provided by the manufacturer in pounds of external verti-
cal force per foot of pipe. It is listed as the three-edge bear-
ing strength that reflects the type of standard test procedure.
Pipe is designed to withstand both the internal pressure and
the external loading simultaneously. The manufactured wall
thickness is adjusted to provide the required strength. The
engineer should have library catalog data available for the
 3.6 ■ UTILITY FUNDAMENTALS 273

Material:
Gray iron

JA

Foundry to place
orientation mark
on rim of frame
PLAN VIEW PLAN VIEW and cover.

25 }'z"dia. 281/,4"dia.

1"
2 ¾i"

STANDARD ROADWAY WATERTIGHT MANHOLE COVER

MANHOLE COVER

SECTION A-A SECTION A-A

1 Y.z "fll hole in flange

for 1"fll anchor bolts
(typical of 4)

Locking key/
bolt slot
(typ. of 2)

PLAN VIEW PLAN VIEW

2 ¾" gray iron
30 J/2"dia.
6" 3 ½"
½"
25¾"dia. 24"dia.

36"dia. 2 ½" aluminum 36"dia.

STANDARD ROADWAY FRAME WATERTIGHT/LOCKING MANHOLE FRAME

SECTION A-A SECTION A-A

FIG uRE 3. 6 Q Typical manhole frame and covers.
214 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ
C
G) II)

Min. grade to be 2.08% .?: 5

for a 4" plastic lateral and a.
1.04% for cast iron .E(/) C
0
spur. Max. grade to be
4.17% for all laterals.
Red Plastic Locator

r
Ribbon (from Spur
End to Top of Stake)
For Both Offset Stakes Easement or
Property line
Concrete
Offset Cradle unless otherwise
Stake to Joint shown on plans

Lateral material
to be Cl or Standard Granular
PVC Meeting Bedding Throughout
Appropriate
Cocles.
Invert
elevation
Optional Easement or
Riser with
-------+--+----
property line
Watertight 12" min.
Plug •10• max.
Gravel ------'--==-~W·atertight plug
bedding
• Where sidewalk is to be constructed,
Compacted gravel the spur or extension shall be
extended to 5' beyond the sidewalk.

PLAN VIEW

HOUSE LATERAL SPUR

FIG uRE 3 .6 R Service connections showing building spurs or laterals.

types of pipe material being considered for incorporation sanitary main can increase to 10, 12, 15 inches or larger (with
into a design. The strength of rigid pressure pipe will be carrying size increments).
shown by pipe class such as class 150, 200, and so on.
Gravity flow sewer pipe is designed to withstand external 3.6. 7. Sanitary Sewer Layout
pressure loadings. Rigid wall pipe is manufactured in sev- The sanitary sewer networks are deigned to allow connec-
eral wall strengths as may be required for design conditions. tions from each site building to an existing public sanitary
For example, pipe classes are designated as 1500, 2400, 3300, sewer system (or septic system). Sanitary sewer lines are
4000, and 5000. The class strengths represent the design often deeper than other utilities because the elevation at
crushing strength in pounds per linear foot of pipe. a building connection will be deep (especially if there is a
Flexible wall pipe is classified by the ratio of the exter-
nal diameter to the wall thickness. This is expressed as TAB LE 3 . 6 C Characteristics of the Most
dimension ratio (DR) or standard dimension ratio (SDR). Commonly Used Sizes of SDR-35 Pipe
Since limited deflection of the pipe can be tolerated, the
NOMINAL EXTERNAL WALL
strength is expressed in terms of the force required to cause
a defined deflection. Pressure flexible pipe is designated by SIZE LAYING DIAMETER THICKNESS WEIGHT LAYING

pressure class. Flexible sewer pipe, such as PVC, is desig- LENGTH (IN) (IN) (IN) (LB/FT) LENGTH
nated by the standard dimension ratio as noted for flexible
8 8.4 0.24 4.42 20
pressure pipe. The most often used sewer flexible pipe is
SDR-35. Heavier-wall-thickness pipe, such as DR-21, are 10 10.5 0.300 6.93 20
available for use where required to meet laying conditions.
Table 3.6C provides a list of common SDR-35 sizes, wall 12 12.5 0.36 9.91 20
thickness, weight, and laying length.
15 15.3 0.43 14.90 12.5
Sanitary sewer pipes are circular, typically with a mini-
mum size of 8-inch diameter for sanitary mains. Smaller Reprinted with permission from American Society for Testing and Materials. ASTM
diameters are used for building connections. The size of a Standards in Building Codes, Vol. 4.

basement without a pump). The system should be designed
to minimize the number of manholes, where possible, and
monitor the depth to prevent excessively deep manholes (20
feet or more).
Gravity Sewers. Sewer depth is established by the eleva-
tion of the buildings to be served. The sewer should be suf-
ficiently deep to permit gravity drainage from all buildings
if possible. For residential subdivisions, the sewer depth
is based on the building construction. If the homes have
basements, the sewer should be at sufficient depth to grav-
ity sewer the basement. Below the basement, an additional
2 feet of depth is needed to allow for the basement foun-
dation, as the house sewer should be located below the
wall foundation and not through the foundation (pump-
ing would be required if the outfall is not below the base-
ment foundation). The building spur (sometimes referred
to as the house lateral or house sewer) should be placed on
a minimum slope of¼ in per foot (0.0208 ft/ft). Plumbing
codes allow a slope of¼ in per foot (0.0104 ft/ft) for sewers
under conditions where the greater slope cannot be conve-
niently provided.
The design engineer should follow applicable rules in
selecting sewer slope. The slope for each segment of sewer
running between adjacent manholes is selected based on
design conditions. The overall design objective is to design
the collection system that can be constructed most economi-
cally while maintaining good engineering practice. This gen-
erally means keeping the sewer as shallow as possible while
complying with the following criteria:
1. Minimum sewer slope-the slope required to pro-
vide a velocity of2.25 feet per second (fps), or the
slope required to carry the required flow, whichever
is greatest. Most jurisdictions will prescribe a mini-
mum slope for public sewers, which can be 0.5%
or less (allowable slope often decreases as pipe size
increases).
2. Minimum cover
a. Sewers located in streets should have at least
6 feet of cover. If less than 6 feet of cover is pro-
vided, special bedding may be needed because
of the superimposed load from traffic.
b. Sewers located within off-street easements
should be placed below the applicable freeze
depth or at least to a depth of 3 feet.
c. Sewer segments serving a building lateral should
be at sufficient depth to provide gravity drainage
from the building served.
The requisite cover, size, and slope conditions may vary
between jurisdictions and should be determined prior to
design.
Pressure Sewers. A pressure sewer collection system is
used as an alternative to conventional gravity sewer systems.
The technology may be the only feasible means of sewering
3.6 ■ UTILITY FUNDAMENTALS 275
some areas. Pressure sewers are particularly applicable for
sewering less populated areas and developments or commu-
nities 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 avail-
able. The technology requires no modification to the house
plumbing and therefore the use of pressure systems causes
little inconvenience to the homeowner. However, a gravity
system is often the desired solution because there is no reli-
ance on moving parts or power.
The two major types of pressure sewer systems are the
grinder pump (GP) system and the septic tank effluent
pressure (STEP) system. Figure 3.6S shows the basic ele-
ments of both systems. A typical grinder pump is shown
in Figure 3.6T. The GP system consists of a grinder pump
that receives the flow from a dwelling or other facility and
pumps the flow into a pressure force main. The GP system
may also be installed to replace an existing septic tank sys-
tem as shown in Figure 3.6S. The STEP system follows a
conventional septic tank where the flow is pumped into a
pressure force main.
Pumping equipment for the GP technology is well devel-
oped. The pump shown in Figure 3.6T is available in sev-
eral sizes and capacities to serve uses from a single family
dwelling to a small commercial or industrial flow. The unit
is supplied in a pre-piped and wired fiberglass enclosure
that can be installed in a basement, crawl space, or below
ground level in a lawn. The units are available with one or
two pumps, for reliability. The unit is installed, and the
4-inch building sewer connected. Pumps are available for
pumping against discharge heads of more than 100 feet.
Pressure systems are designed similar to force mains, except
a determination of the number of pumps operating on the
main at any one time and the resulting flow. GP suppliers
have developed this type statistical data and it can be found
in the respective catalog.
The normal wet well size for a single-family dwelling is
60 gallons (pump enclosure provides wet well volume). This
constitutes some wastewater storage availability during peri-
ods of power outages. The units are wired to permit placing
a high water alarm at an appropriate location in the home,
usually in the kitchen, so that the homeowner is made aware
that the pump is not operating and that the wet well is full.
The pumping units are designed for easy removal of the
entire unit in case of pump failure. The pumps should give
10 or more years of service under normal conditions. It is
desirable for the community with a GP system to have ser-
vice provided by a utility or by a private plumbing company
that will keep spare pumps in stock for rapid installation. The
nonfunctioning pump is then taken to the shop for repair or
replacement and kept in stock for the next replacement need.
If rapid service is not available, the homeowner should install
21& i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ
Pressure
Pipe

From

Grinder
Pump - .: :- .: :- L
-Sensor

- "77
Septic Tank
Removed Or
, _J L - - 7 Abandoned
I I
On-Off Level
Sensor Storage : :
Tank L_ _ _ _ _ _J

a) Grinder Pump

\ [Main
2" Pipe For
Electricity 1¼"Sm1ca ~

From
House

Existing or New
Septic Tank

Ch eek_/'-------"' 24"0 Concrete Pipe

Valve With Floor And Lid

),3 HP Sump Pump

b) Septic Tank Effluent Pump

FIG uRE 3. 6 S Flow diagram for pressure pumping systems.

the duplex unit so that a backup pump is always available,
allowing time to have the nonfunctioning unit repaired.
The septic tank effluent pressure system (STEP) is a means
of eliminating the need for onsite treatment and disposal,
such as the soil absorption field. In past years, septic tanks
absorption fields have been installed at locations that are no
longer environmentally acceptable. Criteria for siting absorp-
tion fields have improved as more knowledge on soil perco-
lation and potential for groundwater pollution has become
available. The STEP systems are being installed to eliminate
failing absorption fields and as a means of providing cen-
tral sewerage service to both existing and new communities.
The septic tank located ahead of the pump eliminates most
of the grease and solids in the flow to be pumped. The force
main design is similar to the GP system except for the type of
pump required. The homeowner must continue to maintain
a septic tank as a part of the STEP design.
Septic Sewer Systems. If there is not public sanitary
sewer service for a project, which may occur on rural resi-
dential sites, a septic system can be proposed. A septic sys-
tem is installed on the lot. The system includes a septic tank
that holds wastewater and a drain field. The system relies on
soil and groundwater conditions, specifically for the drain
field component.
 STRAIN A!'ELJl!l::F CQHD
WATER TtGHT LID, FRP CONNECTOR
WITH PADLOCK (ST.M0AA0J - - -
PROTECTIVE CABLE SHROUD
(F,R?)

F!ELO JOINT, REQUIRED

FOR MODELS TA!LiLER POWER/Al.ARM CABLE
THAN 2010 - 93 12·6
(1 2FTL0NG)

INmERNAL WELI. VENT

2;0" DIA.

NLEJ, 4.0' GROMMET

TO ACOEPT 4.50• 0 .0 .
PVC P fPE (STAND~RDj.
OUST COVER SUPPUEO
FOR SHIPMENT ,(NOT
DISCHAR.G E SUITABLE FOR ,au
RIAL)
11 1/◄" FNPT

l
28 1n.

'
701 rmm.
51~.
18in. 195 l
447mm,

~Pr·
14 in.
345mm.
i~~t
SEMJ-POSITIVE OISP-LACEMENT TYPE PUMP
OlRECTLY DR™EN BY A 1 HP M:OT0R
CA?ABI.E OF DELIVERING 9 gpm AT 138" T .DJH.
(34 lpm AT 42rn T.D.ti.J

FIG uRE 3. 6 T Typical grinder pump complete with housing. (Reprinted with permission from Environmental One Corp. 1994, Grinder Envi
One product catalog, Schenectady, NY.)

........N
210 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ

GOOSE CREEK INTERCEPTOR PIPELINE REPLACEMENT/REHABILITATION

Location: Boulder, CO
Client: City of Boulder
Completion Date: September 2016 through March 2017
Case Study: The City of Boulder, Colorado, operates and maintains an expansive wastewater collection and transmis-
sion system that services the city. Based on work performed as part of the City's 2016 Wastewater Collection System
Master Plan update, a few areas within the city's wastewater collection and transmission system were identified as requir-
ing upgrades, either due to pipe capacity limitations, pipe condition, or both. One of these areas identified by the city
includes a portion of the Goose Creek Interceptor pipeline.
The city contracted with Dewberry to provide engineering services to perform preliminary design tasks for replacement
and/ or rehabilitation of the interceptor segment. These tasks included analyzing the pipeline hydraulic conditions of the
interceptor segment, reviewing third party CCTV footage to categorize the current condition of the interceptor segment,
and developing and evaluating replacement or rehabilitation alternatives to correct both existing hydraulic/capacity
issues and the existing pipe condition issues.
Dewberry collected survey data on the manholes and pipe inverts of the interceptor, and in combination with exist-
ing GIS information, constructed and analyzed a hydraulic model at various flow rates to confirm all areas of hydrau-
lic concern were identified. Dewberry reviewed the existing CCTV footage to identify and categorize the physical
condition of all pipe segments. With the hydraulic model results and physical condition assessment complete, Dew-
berry then used existing Lidar elevation data and existing GIS mapping data to develop design alternatives utiliz-
ing a combination of replacement and rehabilitation methodologies to provide the necessary improvements for the
interceptor segment.
The design replacement and rehabilitation alternatives were evaluated using economic (quantitative) and noneconomic
(qualitative) criteria to define a preferred approach for rehabilitation and/or replacement. The findings of the evalua-
tion were documented in an alternatives analysis report, which was delivered to the city for their use in future project
planning.

PART C-WATER DISTRIBUTION
3.6.8. Introduction
Water supply is ordinarily facilitated by either connection
of the development to a public water distribution system or
installation of an on-site groundwater supply well. In most
cases, it is preferable to provide a connection to public water
supply if it is available to the site or can be extended to serve
the site at a reasonable cost. The decision as to which type
of system will be utilized to serve the development is made
during the feasibility stage along with a determination as
to whether sufficient capacity for fire and domestic flow is
available from the existing water system.
A water supply system includes the water supply, treat-
ment facilities, pumping facilities, transmission lines, and the
local distribution network. The distribution network consists
of pipes, fittings, valves, and other appurtenances designed to
convey potable water at adequate pressures and discharges.
The water utility company is responsible for the water qual-
ity and operation of the distribution system. A water utility
company can either be a public entity that, like many other
public bureaus, exists for the health, safety and welfare of the
public, or it may be a privately owned utility providing water
for profit. In some of the larger metropolitan and suburban
areas, the water utility company heavily controls the design of
a water distribution system. Personnel within the water com-
pany perform most of the design, analysis, and layout. In this
case, the site designer of the land development project only
performs the lesser water works design aspects and incorpo-
rates the analysis, along with the water company's information,
into the construction drawing set. In smaller locales, the analy-
sis and design may be performed entirely by the private con-
sultant working for the developer. Typically, the water supply
company, to ensure conformance with local standards, reviews
the private consultant's design. Regardless of whether the water
supply company is public or private, the design must conform
to the state health department's criteria, as well as any other
controlling public agencies. Design parameters and regulations
for water works are available from state board of health and
the local city/county health departments. Additional informa-
tion on water quality, as well as material and construction stan-
dards, are available from the Environmental Protection Agency
(EPA), the American Water Works Association (AWWA), and
the American National Standards Institute (ANSI).
The overall waterworks system consists of the following
elements:
The water source, usually a lake, river, or aquifer, which
serves as the municipality's main supply. Larger munici-
palities may have more than one source. Lakes and res-
ervoirs are located in outlying areas to take advantage
of runoff from large catchments and where there is less
pollution. Along rivers, water is usually extracted on the
upstream side of the population centers. The minimum
supply volume at the source must coincide with the pres-
ent and projected demand, which it is to serve.
3.6 ■ UTILITY FUNDAMENTALS 279
A treatment facility to purify the water for safe use. Since
pumping clean water is less expensive than pumping
sediment-laden water, the location of the filtration plant
should be near the source. The treatment facility treats
and disinfects the water to meet the water quality stan-
dards set by government regulations. The law mandates
that the water supply company provide quality potable
water and consumers expect and rely on the water com-
pany to do so.
Transmission lines convey the water leading from the
source to the treatment facility, as well as from the
treatment facility to the distribution network. For
moderate to large population areas, transmission lines
can be 6 feet in diameter (and larger) and operate at
pressures in excess of 200 psi. They serve as the link
between the source, the treatment facility, and the dis-
tribution network. Therefore, transmission lines have
limited branches and service taps.
Pumping facilities provide necessary energy to move
the potable water to consumers. Pumping facilities are
needed to convey the water through transmission lines
to the distribution system. These pumping facilities
can be simple, such as the well pumps in small systems,
or they can be complex, high-capacity pumping sta-
tions needed for large municipalities. Pumping sta-
tions within the distribution network, called booster
stations, are used to maintain required minimum
pressures.
Intermediate storage facilities (e.g., water tanks) are
located near the distribution network. Intermediate stor-
age facilities stabilize the line pressures, serve as reserve
for peak demand periods, and storage for fire flow
requirements. All domestic water line systems operate
under pressure. In times of high demand, the pressure
in the network is decreased, requiring the water supply
to be supplemented from the storage tanks along with
the water from the treatment plant. During low-demand
periods, when supply pressure in the distribution lines is
high, the storage tanks refill. Discounting fire flow stor-
age, water storage volumes fluctuate 40 to 70% on a daily
basis.
Distribution lines are used to link the intermediate
storage facilities and the feeder lines that connect the
residential, commercial, and industrial service areas.
Typically, distribution networks are laid out as inter-
connecting loops. The looped (grid) layout allows for
bidirectional flow of water. Since water travels toward
the area with the lowest pressure, which is often the area
of highest demand, looping delivers twice the volume of
water for fire flows and other heavy demands. Addition-
ally, grid layout allows for isolation of small areas during
repairs. A branching type of configuration consists of a
main feeder line with single-dead-end branches to ser-
vice areas. In comparison to the grid system the branch
200 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ
system is not as economical for several reasons: (1) clos- electric, pneumatic, or hydraulic. Whereas automatic valves
ing down a branch for maintenance disrupts service to a are more commonly used at the treatment facilities or pump
larger area, (2) poor water quality resulting from stagna- stations, most valves used in the distribution pipe network
tion and sedimentation in the branch ends requires peri- are manual.
odic flushing at the ends. Although dead ends cannot be In addition to their function, valves are also described by
avoided, they should be minimized. Fire hydrants, flush- their numerous characteristics such as size, material, fitting
ing hydrants, or blow-off valves at the dead ends allow end, pressure rating, and actuator. The five most common
for such periodic flushing. types of valves used in water lines along with their specific
characteristics, provide an extensive list for specifying a par-
Appurtenances such as fire hydrants, valves, auxiliary ticular valve. These are identified as follows.
pumps, and fittings such as wyes, elbows, crosses, and A ball valve (Figure 3.6U) has a slotted spherical or section
tees augment the operation of the distribution system.
of a spherical closure element that rotates within the casing.
The arrangement of the appurtenances and fittings is The valve is opened when the opening is parallel to the flow
specific to the local area they serve. Valves allow the
direction. A ¼-turn of the opening closes the valve. Typically,
system to isolate small service areas when repairs are
ball valves are used for on-off service and throttling the flow.
needed. Other fittings are used to change flow direction
and provide economic flexibility in sizing pipes.
HANDLE& NUT
The design of the entire system requires an evaluation of
numerous factors. Location and size of main water supplies
depend on general characteristics of the region such as climate,
hydrology, geology, and topography. Design of treatment facil-
ities, transmission and distribution lines depends on existing
water quality at the source, existing and projected population
and its spatial distribution. Additionally, as the municipality
grows, the increasing population and expanding development
inevitably influences hydrologic and topographic factors as
well as others, which in turn affect water demand.

3.6.9. Water Supply Materials

Typically, pipes used in waterworks systems are classified
according to its design working pressures. The four most
common classes of working pressures are 100,150,200, and
250 psi. Other parameters for identifying pipe strength are
the bursting strength rating, which identifies the strength
against internal forces caused by hydrostatic and hydrody-
namic pressures, such as pressure surges and water hammer, BODY
and the crushing strength, which deals with the external
FLANGE
forces related to soil, vehicles, and impact loadings. PORT
BOLT
Essential to a distribution system are such components as OPENINGS
valves, fire hydrants, meters, thrust restrains, joints, and fit- (a)
tings. The location and size of these components impacts the
system's hydraulic efficiency and cost-effectiveness as well as
the health, safety, and welfare of the public.
Valves. In a waterworks system, valves are used in control-
ling flow directions, regulating flow rates, pressure control,
isolating flows, and transient wave suppression. Typically fau-
cets, bibs, stoppers, and plugs are types of valves used in the
water supply lines within a building, while gate valves, butterfly
valves, and check valves are those typically used in water dis-
tribution lines.
A valve is completely closed when some type of operating
mechanism, such as a wheel, forces the gasket or plug tightly
against the fixed seat. The operating mechanism, that is, actu-
ator, for a valve is either manual or automatic. Manual actua- (b)
tors include wheels and levers; automatic actuators can be FIG uRE 3. 6 U Ball valve. (Courtesy of Flowerve Corp.)

A plug valve (Figure 3.6V) 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 direction of flow. Eccentric plug valves
use a seat that consists of only part of the cone or cylinder to
ACTUATOR NUT
~ - - PLUG
(a)
(b)
FIG uRE 3. &V (a) Schematic diagram of a plug valve, (b) eccentric
plug. (Reprinted with permission of DeZurik, Sartell, Minn.)
3.6 ■ UTILITY FUNDAMENTALS 281
close the valve. The shaft rotates the seat over the pipe open-
ing 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 typi-
cally cost more than gate, globe, and butterfly valves.
Gate valves, a type of the broader classification of
slide valves, are the most frequently used when trying to iso-
late flows in the pipe network (Figure 3.6W). The gate valve
(shutoff valve) is used to completely stop the flow through
the pipeline. They operate by raising or lowering a plate
or disc into the flow path. Note, a shutoff valve's intended
use is to operate in the full open or full closed positions
only, and not as a throttling valve (partially opened state).
Considerable wear and tear on the mechanism occurs in the
partially opened position and the head loss, at this position,
is very high. Typically, gate valves are placed in valve boxes
that extend to the ground surface to permit 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.
As shown in Figure 3.6X, a butterfly valve, also a type of
rotary valve, consists of a thin disk that rotates about a thin
shaft. When the face of the disc is parallel to the flow direc-
tions the valve is fully opened. Butterfly valves can be used
for either shutoff or throttling purposes. Although these
types of valves have relatively low head loss, they present
problems when cleaning, since the disk is in the flow stream.
The globe valve, which is another type of slide valve, con-
sists of a flexible disk attached to a screw-operated stem. A
schematic diagram of a globe valve is shown in Figure 3.6Y.
Raising and lowering the disc onto a horizontal seat controls
the flow. Use of globe valves is most common in smaller
domestic water lines; a familiar globe valve is the household
faucet. High-pressure losses are typical of most globe valves.
A summary of the important characteristics for these par-
ticular valves appears in Table 3.6D. In addition to the basic
valves just described, there are other specialty valves used in
waterworks systems:
Check Valves are pressure-activated valves. Typical
water main systems are bidirectional in that water flows
according to the pressure differential in the pipes. Check
valves are inserted to restrict flows to one direction. For
example, a check valve on the discharge end of a pump
or treatment plant prevents the water from reversing
directions and flooding out the facility when the facil-
ity shuts down operation. Check valves are also used to
control flows at the boundary of different water supply
districts and service areas of different pressures.
Pressure reducing valves (PRV) are automatic valves that
protect against excess pressure in the water lines. Pres-
sure reducing valves reduce pressure by controlling the
flow and intentionally causing high head losses. Large
pressure-reducing valves are operated by a smaller pilot
valve. A wheel on the pilot valve sets the internal spring
tension, which in turn sets the activating pressure.
202 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ

GLAN

STEM
PACKING-- ---.

BODY

w ~
FIG uRE 3. 6 W Gate valve. (a) Schematic diagram, (b) resilient seat gate valve. (Reprinted with permission of Mueller Co., Decatur, Illinois.)

w ~
FIG uRE 3. 6 X (a) Butterfly valve, (b) AWWA butterfly valve. (Reprinted with permission of DeZurik, Sartell, Minn.)
 WHEEL

BONN1 BOOY

FIG uRE 3. 6 Y Schematic diagram of a globe valve.

TABLE 3.6D Valve Summary

COMMON SIZE PARTICULARLY
VALVE TYPE RANGE (IN,) ADAPTED TO MAIN ADVANTAGES MAIN DISADVANTAGES

Gate ½-24 Isolation services in Low cost in small sizes High cost in large sizes
distribution grids Low friction Large sizes are quite heavy
Good service life Poor for throttling; should not be used
Ease of installation where frequent operation is necessary
Butterfly 3 & up Isolation and automatic Low cost in larger sizes for Higher friction loss than gate valve
control normal service pressures
Some types have very short Difficult to open in lines where differ-
lengths ential pressures exist
Ease of operation May cause problems when relining pipe
Leaks because of seat damage
Globe ½-24 Isolation in smaller sizes Simple construction High friction loss
Flow control in larger Dependable, can be used for Very heavy and expensive in large sizes
sizes throttling
Pressure control Good for pressure control
Sediment or material unlikely
to prevent complete closing
Ball and plug ½-3 Isolation and throttling Dependable High cost in large sizes
½-12 Very low friction loss Very heavy
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© 1976, American Water Works Association.)

283
204 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ
1'-0"
Finish
Grode
Water Main
(Size Varies)
Tapped Plug
FIG uRE 3. 6 Z Two-inch blow-off valve detail.
Larger PRVs are placed on line between service areas
of different elevations. Smaller PRV (less than 2 inches)
valves are used to protect residential plumbing from
excessive pressures in the main line. The valve acts as the
transition between high-pressure zones and low-pressure
zones. For example, ifline pressures are greater than
70 psi, a pressure-regulating valve installed on a domes-
tic service line reduces the service line to pressures so
that the pressure will not damage household fixtures.
Altitude valves are automatically activated according to
the pressure differential on either side of the seat. This
type of valve is usually used to control the flow to and
from an elevated storage tank. The valve opens, allowing
the tank to refill, when the pressure in the distribution
line is greater than the static pressure of the water in the
tank. In times of high demand, when the pressure in
the main decreases, the valve opens to allow the water
in the storage tank to equalize the distribution system.
Blow-off valves and drain valves are used to dewater lines
for repairs or remove accumulated sediment. These
valves are most commonly used at the end of branches
and at low points of the water main (Figure 3.6Z).
Air release valves-water at standard conditions contains
about 2% to 3% dissolved air by volume. The amount
of dissolved air in a water line system is governed by
the turbulence before it enters the system and the pres-
sure and temperature within the system. Pressurized
2'-0"
Valve -
Boxes Male Thread
Adaptor w/
Brass Cop
2" Bross Pipe, or Cleon, Washed
Type K Hard Temper Gravel
Copper Tube, Typ.
2" £11 - Drill Two (2) J,B''
Holes For Drainage Purposes
distribution systems change elevations as the pipe
follows the terrain. In effect, the changes in elevation
change the pressure in the system. Consequently, 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 system. As shown in Figure 3.6AA,
a peak is any section of pipe that slopes up toward the
hydraulic grade line or runs parallel to it. Air release
valves should also be considered in sections where there
is an increase in the downward slope or decrease in the
upward slope 2 of the pipe.
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 points, or peaks, on
the main. This, at first, exerts a tremendous negative pres-
sure (or vacuum) on the main that can cause it to collapse.
If the system does not collapse, the vacuum will be followed
immediately by a pressure spike, which occurs as the sepa-
rated water columns reunite, that also can rupture the pipe.
2Golden Anderson Automatic Valve Reference Manual, Golden Anderson Industries,
Inc. Pa.
 3.6 ■ UTILITY FUNDAMENTALS 285

Air Release
Valve

Flow

a)

Hydraulic Gradient

Flush~Z-
When Emptying Or

Air Valve At In
Change In Slope Long Ascending
Downward Slope. Stretch Without
Vacuum Likely Summit
When Emptying Line. DATUM LINE

Long Horizontal
Stretch Without
Summit

Stretch

Downward Grade Approaching The

Hyd. Grad. Air Valve At Peak

b)
FIG uRE 3. &AA (a) Typical bubble behavior, (b) suggested air release valve locations. (Reprinted with permission of GA Industries, Inc., Cranberry
Township, PA.)
206 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ
To prevent this, vacuum relief, or combination air release
and vacuum relief valves, are used at points on water mains
where analysis indicates water column separation might
occur. The vacuum relief valve lets air into the pipeline dur-
ing hydraulic surge to both relieve the vacuum and provide
a volume of air that cushions the pressure spike caused by
the two water columns coming together again. Note, hydrau-
lic surge analysis is a specialized field and must be done by
qualified personnel.
Fire Hydrants. A fire hydrant consists of the above ground
barrel that extends below grade to the water supply line. The
supply line connecting the barrel to the water main is a mini-
mum 6-inch-diameter pipe. Typically, a gate valve located
in an underground valve box allows for shut-off and repair.
Maximum recommended friction losses in the hydrant are
2.5 psi, and 5 psi in the water supply line, from the main to
the hydrant, for flows of 600 gpm. Hydrants have various
nozzle arrangements, but the most common hydrant has two
2.5-inch hose connections and one 4.5-inch pumper connec-
tion. The bend directly below the barrel connects the barrel
to the supply line. A thrust block prevents movement from
lateral forces and a concrete block underneath the bend pre-
vents excessive settling. After use of the hydrant, the barrel is
drained by way of a drain near the base of the barrel. A gravel
bed surrounds the thrust block or bend to allow for draining
of the barrel.
Meters. Meters are commonly used to measure water for
setting cost, collecting payments from customers, and deter-
mining fair distribution of water delivery costs. Other uses
for meters include flow measurements to and from treatment
plants and reservoirs, blending of water and chemicals, and
measuring water sold to other jurisdictions.
Meters used to measure usage for residential dwellings
and commercial use are located in areas easily accessible to
the water utility company. They should not interfere with
public safety nor act as a hazardous obstacle. Most meters are
located below ground surface levels for safety and to reduce
damage due to weather and tampering. Occasionally meters
will be located inside the building with a remote recorder
mounted on the outside.
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 signifi-
cantly more. Downsizing the meter also down sizes succeed-
ing appurtenances and fixtures thereby reducing costs. The
increase in accuracy in using the smaller size meter is coun-
terbalanced by an increase in the head loss. Usually the cost
savings and the accuracy offset the drawback incurred from
the increased head loss.
3.6.10. Thrust Restraint
Two basic forces associated with flowing water under pres-
sure are the hydrostatic forces and hydrodynamic forces.
This pressure force acts perpendicular to a surface. Thus, for
a pipe with full flow the pressure acts radially outward and
along the longitudinal axis of the pipe.
Hydrodynamic forces are the result of changes in momen-
tum of the moving fluid. Any change in direction or mag-
nitude of flow velocity results in a change in momentum of
fluid. Fittings such as bends, tees, and wyes change the direc-
tion of flow; nozzles, valves, and reducers change the cross-
sectional area of the flow path. Each of these fixtures has
force acting on them due to hydrostatics and hydrodynamics.
On horizontal bends, the placement of the thrust block is
against the outer edge of the bend. On vertical down bends,
similar placement would put the thrust block on top of
the pipe. In situations where thrust blocks cannot be used,
another common method for thrust resistance is the use of
restrained joints. A restrained joint is a specially designed
joint that provides longitudinal restraint. The thrust force
at the component is transferred to the surrounding soil
through frictional resistance and bearing from a predeter-
mined length of pipe.
3.6.11. Pipe Materials
Standard pipe diameters used in distribution systems range
from 6 through 20 inches in 2-inch increments. Then, begin-
ning with 24 inches, diameters increase in 6-inch incre-
ments. For residential plumbing pipe, diameters begin at ½
inch and increase in ¼-inch increments. Since manufactur-
ers and pipe material dictate the available pipe diameters,
diameters other than those mentioned here might be avail-
able. The supplier should be contacted to verify what pipe
diameters are available and if they are in stock.
Although ductile iron pipe (DIP) is the most popular cast
iron pipe, other common pipe materials for water distribu-
tion lines include grey cast iron, steel, plastic, and polyeth-
ylene. Note that this same type of piping is used for water
service lines larger than 2 inches. Copper or plastic tubing is
commonly used for service lines smaller than 2 inches.
Plastic pipe-distribution lines for small water sys-
tems are normally constructed of PVC pipe because of its
ease of construction and economy. Plastic pipe used for
drinking applications should be certified by an accept-
able testing laboratory (such as the National Sanitation
Foundation) as not producing objectionable taste, and as
being nontoxic. Standards for PVC pipe (up to 12 inches)
for underground service are ASTM D1785, ASTM D2241,
and ANSI/AWWA C900. ASTM D1785 pipe is available in
schedule 40, 80, and 120 thickness. ASTM D2241 pipe has
pressure ratings up to 250 psi, while AWWA C900 pipe is
available in pressure ratings up to 200 psi. AWWA C900
pipe is manufactured to ductile-iron pipe outside dimen-
sions, and both ASTM D2241 and ASTM DI 785 are man-
ufactured to steel pipe outside dimensions. Joining these
pipes requires a transition gasket used with standard duc-
tile-iron fittings.
Ductile-iron pipe-is standardized in ANSI/AWWA
C150/ A21.50-96 and is available in sizes from 3 to 64 inches,

in various pressure classes. Push-on or mechanical joints
are used on DIP for underground service. For water service,
DIP is normally lined with cement-mortar. Soft water will
leach the cement-mortar lining if not properly conditioned.
Depending on soil conditions, DIP is often installed in poly-
ethylene wrapping to aid in corrosion protection.
Steel pipe-steel pipe is normally used for large diam-
eter installations beyond the sizes of which DIP is available,
and is not often used for small water systems. However, it is
available in various sizes and thickness classes. It is covered
under AWWA C200 standard. Note buried steel pipe is more
susceptible to corrosion than DIP, and must be adequately
protected. It is usually installed underground with a tape-
wrap coating as a minimum, and the pipe interior is nor-
mally 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-inches and
the standard for PE is AWWA C906.
High-density polyethylene pipe (HDPE)-HDPE is popular
in directional drilling applications. The pipe is fused together
with a machine that provides a "jointless'' connection. The
pipe is flexible and can be installed around a radius without
the use of joints. The pipe is covered under ASTM Dl248,
ASTM 3350, AWWA C901, AWWA C906, and NSF Stan-
dards 14 and 61. It can be used in a direct burial applica-
tion or with a directional drilling machine that bores a hole
through the ground for a specified distance and then pulls
the pipe back into the void.
Additionally, it is important to note that DIP and pre-
stressed concrete cylinder pipe (PCCP) are also typically
used for larger diameter water lines such as transmission
lines from treatment facilities to the distribution network.
Joints. Distribution pipes are connected by either of the
several different types of joints shown in Figure 3.6BB.
The push-on joint is a compression joint that creates a
pressure-tight seal when a gasket, inside the bell end, is
compressed by the plain end of the pipe. This type of joint
allows for fast and easy installation and is low in cost, which
probably accounts for its popularity. However, this type
of joint does not restrain the individual lengths of piping
from separating under pressure, so concrete thrust blocks
are cast at elbows and other turns to restrain the pipe. Soil
friction on the pipe also acts to prevent join separation. The
push on joint is not suitable for above-ground use in pres-
sure piping.
For the mechanical joint, the pipes fit together as a
plain end inside a bell-shaped end. A pressure-tight seal
is created by a gasket tightened between the flange on
the bell end and the gland, a flange-like collar that slips
over the plain end. The flange and gland are held together
with bolts. The mechanical joint is considered a "semi-
restrained" joint in that friction, in the highly compressed
gasket, provides some restraint against pipe separation
under pressure. Where joint restraint is not provided by
3.6 ■ UTILITY FUNDAMENTALS 287
thrust blocking, as for the push-on joint, a restraining col-
lar with locking bolts is used to hold the joint together.
The mechanical joint is easy to assemble and is intermedi-
ate in cost.
The ball joint is used for crossing waterways, as a restrained
joint, and where free turning deflections are needed. The
gasket is inserted into the bell and compressed by the enter-
ing ball. The joint is secured by locking the bayonet-type
retainer over the lugs on the bell. A retainer lock inserted
between the lugs prevents the retainer from rotating.
The flanged joint is used for the larger sizes of above
ground distribution piping, such as in pump stations. This
joint is seldom used for underground distribution piping
because of its cost and difficulty of installation. The flanged
joint has a flat-faced or flat-faced with gasket groove bolt
collar or flange on each end of the pipe. A suitable gasket is
placed between the flange faces and compressed by the bolts
to form a pressure-tight joint. The flange joint is the stron-
gest of the joints. The chief disadvantage of the flange joint
is that usually some type oflength compensating joint must
be included in the pipe run, because as the flange bolts are
drawn up, the overall length of the pipe run is shortened by
the compression of the gaskets.
The threaded or screwed joint is formed by cutting threads
into the end of the pipe on a tapered diameter, that is, "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 distribu-
tion piping because it is difficult to make in larger pipe sizes
and due to the loss of metal in the pipe wall at the threads, it
is weaker than the flanged joint.
The ball, flanged, and threaded joint are considered
"restrained" joints in that the joint 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 ½0 bends, 22½ 0 or ¼ 0 bends, and 11 ¼ 0 or ¼ 0 bends.
Fittings are readily available in standard sizes. Nonstandard
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 necessity in
design should be avoided except in the most extreme cases.
Typically, the AWWA, ANSI, and ASTM designate accept-
able standards and specifications for various pipes and fix-
tures for supply water systems. Examples of various fittings
are shown in Figure 3.6CC.
Most manufacturers and water distribution agencies
provide an allowance in in deflection with the fittings. The
range is minimal, usually about 2° to 3°, but allows for an
additional range beyond standard fittings. Additionally, the
deflection can be applied between pipes (without a fitting) to
288 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ

SUPER BELL-TITE PUSH-ON JOINT BALL JOINT

The Super Bell-Tile Push-On joint is Ball joint iron pipe is designed espe-
a rubber ring gasket, compression cially for submarine and submerged
type joint whose only accessory is a piping and for pipe lines installed
molded rubber gasket. Fitted into the across hilly terrain. Easy joint assembly
gasket recess of the bell, the gasket and long lengths make this pipe ideal
forms a pressure-tight seal with for such purposes.The joint provides a
ample deflection when compressed maximum 15° free turning dellection
in position by the entering plain end wtth no reduction in the internal open-
of pipe. ing area at any deflection.

c:===~~ ~:_-_-_-_-~-,
Super Bell·Tlte Push-On Joint Bal/Joint

MECHANICAL JOINT FLANGED JOINT

Mechanical joint is used extensively
for underground water, sewage, and
gas lines and for conveying liquids
and semi-solids, both outside and
inside buildings. The joint consists of
an integral bell with flange, and is
made up with a rubber ring gasket,
follower glands, nuts and bolts. When
assembled the joint provides for nor-
mal expansion, and contradiction
and permits adequate deflection in
all diameters
Flanged joint cast iron pipe is ideally
used for exposed piping inside and
outside of buildings for conveying
water, sewage, sludge and other flu-
ids corrosive to steel but not to cast
iron. It also is used for low pressure
air, steam, oil, gas and other ser-
vices.
Meehan/cal Joint Flanged Joint

THREADED I.P.S. JOINT

Cast iron I.P.S. (Iron Pipe Size) is cast to the

same outside diameter as steel pipe, and is
used for plumbing and drainage services,
such as downspouts, waste and vent lines.
The pipe is used with regular screwed,
drainage and soil fittings, and can be cut,
threaded and fitted on the job wtth the ordi·
nary tools of the piping trade.
Threaded /,P.S. Joint
FIG uRE 3. 6 BB Joint connections for cast iron pipe. (Reprinted with permission of McWane Cast Iron Pipe Company, Birmingham, Alabama.)

effectively curve the pipe along a large radius (several hun-
dred feet).
3.6.12. Water Distribution Layout
The preliminary water supply system design begins with a
projection of anticipated domestic and fire flow demands.
These calculations may be based on regulatory requirements
for projected flows, historical data obtained from similar size
and type of facilities, or other accepted reference sources. The
potential need for future expansion of the new system should
be considered and appropriate accommodations made if this
is anticipated to occur. The horizontal configuration of the
 3.6 ■ UTILITY FUNDAMENTALS 289

BTee
n
Reducing on
One Run
D
Reducing on
Both Runs
other subdivision and zoning constraints; for example, the
water line must meet the criteria for minimum distance to
dwellings and other structures.
Location of water mains in commercial areas and high-

m
density residential areas (e.g., townhouses and condomini-

Cross
0
Reducing on
One Outlet
0
Reducing on
Both Outlets
0
Reducing on
One Run a:
ums) is dictated, in part, by other utilities, their structures,
location of fire prevention and control devices for the internal
parts of the building (e.g., fire hose connections, sprinkler
One Outlet systems), location of fire hydrants and type of metering
system. Generally, these sites contain a more complex maze

~
Laterlal
D E>
Reducing on
Branch
Reducing on
One Run
~Reducing
True Y
of underground utilities within the travelways that present
obstacles in the layout. To illustrate, the travelways are nar-
rower than public street right -of-ways; the sites contain higher
impervious areas which translates to more storm sewer pipe
and inlets; and the higher density usually means more sani-

~
90- Elbow
~
45" Elbow
ftl
22Y.z· Elbow
a
Concentric
Rtdu<:tr
FIGURE 3.&CC Various types of fittings.
water supply system should be determined. Water system
pressures in the immediate vicinity of the proposed develop-
ment should be checked as well as available fire flows.
If the site will be served by an on-site water supply well,
borings and pumping tests must be performed to verify
available capacity.
In many developments, distribution lines typically follow
the street network and are usually located within the public
right-of-way. Some localities require the location of the water
line to be a fixed distance from the centerline, curb line, or
right -of-way line and on the same side of the street for uni-
formity. For instance, in some parts of the United States the
water line is laid on the north and east side of the centerline.
Whether the water main is located under the pavement or
behind the curb line is a matter of preference set by the local
standards.
Although the grid layout is preferable to the branch-
ing layout, dead-end lines cannot always be avoided.
Therefore, most distribution systems are a combination of
loops and branches, with the branch lines kept to a mini-
mum. Many branch lines are temporary, and are built for
the convenience of future connections needed when new
developments are added and streets are extended. Cul-de-
sac streets, common in residential developments, make
looping of distribution lines difficult since easements are
required to extend the water line through private prop-
erty. The water supply company, in its desire to mini-
mize dead-end water lines, may require the developer to
provide easements through the project for interconnect-
ing the water line. The easements should preferably run
through out-parcels and common land rather than indi-
vidual lots. However, if the water line must pass through
a lot, the preferred location is along lot lines, with the
lot lines coincident with the edge of the easement. Note,
this method of locating the easement must comply with
tary connections. Since water lines are normally nongravity
dependent, the water line can be adapted to weave over, under
and around the other gravity dependent utilities.
Although water mains are usually no smaller than 6 inches
in diameter, since this size is common for stub lines serving
fire hydrants and lines that only serve a few residential units,
4-inch lines may be acceptable for special situations. Typical
pipe sizes for water mains are 4-, 6-, 8-, 12-, 16-, 18-, and
24-inch diameters. The size varies according to the specifi-
cations of the jurisdiction and the availability of pipe mate-
rials. Since the velocity increases as the diameter decreases,
smaller diameter pipes result in higher headlosses for the
same discharge. Velocities of 3 to 6 fps at normal working
conditions are preferred, although higher velocities in short
lengths of pipe for short periods are tolerable. Sustained high
discharge velocities scour the interior of pipes.
Water lines are set at a depth of 3 to 4 feet, which is 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.
The depth of the water line is generally constant, but may
deviate in cover conditions to avoid other utilities. Most ver-
tical adjustments can be accommodated by pipe curvature,
but vertical bends are proposed to minimize the length of
deeper pipe systems.
Water lines can also be installed using directional drilling
machines that facilitate "trenchless" installation. This type
of installation is beneficial in several different scenarios. For
example, when the water line must be extended across water-
ways such as streams to serve another section of the distribu-
tion system, a directional drilling machine will allow the line
to be installed without impacting the stream or other environ-
mentally sensitive areas such as wetlands. A directional drill-
ing machine can also be used to extend a water distribution
line across a congested roadway in a manner that avoids sig-
nificant disturbance to everyday vehicular traffic that would
otherwise be experienced with typical open trench excavation.
Valve Locations. Isolation valves are placed on line for
shutting down a section of the system for repairs and main-
tenance. Recommended valve spacing ranges from 500 to
1200-foot intervals. Since the purpose of isolation valves is
290 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ
to shut down a section for repairs, the objective of valve
locations is to balance the economics of using as few valves
as possible to inconvenience the smallest number of cus-
tomers when a section is shut down.
Most water main systems follow a community's public
road. In moderate to high-density (i.e., more than 3 DU/ AC)
residential and commercial areas, the frequency of street
intersections is typically less than 1000 feet and in many
developments 500 feet and less. At these intersections, tees
and crosses divide the water line into other feeder lines.
Included with these tees and crosses are valves that allow
for various ways to segment small service areas. Gener-
ally, valves are placed on two sides of a tee and three sides
of a cross. At tees one valve is placed on the minor line.
Likewise with crosses, valves are placed at each side of
the minor connection [Figure 3.6DD(a)]. The location of
the remaining valves for the cross and tee depends on the
location of the valves at the next junction upstream and
downstream from the point under consideration. Referring
to Figure 3.6DD(a), recognize that two valves at each tee
can accomplish the same results as three valves. The water
main segments ofB-D, D-F, and C-E can be isolated without
the need for a valve at P.
The exception to the above noted rule occurs on tees
where the stub side connects to either a reasonably large
commercial building or a fire hydrant. In these cases,
valves are placed on all three sides of the tee as shown in
Figure 3.6DD(b). The two valves along the distribution line
6" Waler 6" Waler h.loln
h.loin
G 6 inches. A vent stack may also be connected to the vault.
Segments B-0, D-f", and C-E con be
Isolated without valve P.
a)
C
0 BLDG
.
::::E
.!
~
0 and component location on the plan sheets.
io
Service Line
8" Water h.loln
3 Valves Required 3 Valves Required
b)
FIGURE 3.60D Valve placement.
allow flows to the building or hydrant although part of the
nearby distribution line is shut down. The third valve on the
stub side allows the building or hydrant to be isolated with-
out disrupting flows along the water main.
Valves are also commonly located where the distribution
line has been downsized. As the number of service con-
nections decrease on the line, for instance at a terminating
street, the distribution line's diameter can be reduced due to
the reduced demand. A reducer is a component that allows
for the connection of a large pipe to a smaller pipe. Typi-
cally, valves are placed after the reducer on the side with the
smaller diameter as an economic consideration.
The number and location of valves in a development
project is a function of the density. In the low- and mod-
erate-density areas the placement of valves every ±500
feet is inherent due to the street layout. In areas of higher
densities (e.g., 10 DU/ AC, or apartment complexes), the
placement of valves at 500 feet intervals would mean
inconveniencing numerous households when a section is
shut down. In such cases the location of valves will depend
on the number of service lines that can comfortably be
shut down. A reasonable range is 15 to 25 service lines
between isolation valves. To do this requires intermediate
valves placed on line to limit the number of households to
a reasonable level.
Valves are installed in cast iron or PVC valve boxes-a
sleeve placed over the valve that prevents backfilling over the
valve and allows access from the ground level. The valve box
and its lid present a nuisance when located in lawns. When
possible, the valve should be placed in accessible areas, but
not where the valve box would be covered with soil and
overgrown vegetation (e.g., wooded areas). Although locat-
ing valves in such areas should be avoided, this is not always
possible. In such instances, the valve is enclosed within a
vault. The vault may be concrete or another permanent
enclosure that protrudes above the ground surface at least
The protruding vault and vent stack allows for locating the
valve much easier.
Placement of valves for isolation purposes can be very
subjective. Occasionally, the water supply company dictates
the location of valves and other controlling components. The
water supply company has immediate access to information
not readily available to the project engineer. The project
engineer can then only make the best guess using the forego-
ing concepts and personal experience for showing water line
Fire Hydrant Location. Fire hydrants need to be conspic-
uously located and highly accessible. Fire fighters in the
throes of fighting a blaze need to locate a hydrant by quick
glances in obvious directions. Typically, fire hydrants are
located 2 to 3 feet behind the curb or edge of pavement.
The hydrant is oriented so that the pumper connection
faces the street or travelway and is set far enough behind
the face of curb to avoid damage from vehicles. Hydrants
 3.6 ■ UTILITY FUNDAMENTALS 291

are placed to be accessible for hose connections and the
pumper truck and therefore should not be placed high on
embankments, in depressions or ditches, or near trees,
poles, walls, or where there is insufficient clearance for
hose lines (Figure 3.6EE).
In high-density residential areas (e.g., townhouse and
condominium sites) fire hydrants are frequently placed on
parking islands near buildings. Consideration is given to
the minimum distance between the fire hydrant and closest
building it is intended to serve. Local codes prescribe the safe
distance for which the fire fighters can access a hydrant with-
out sustaining injury from the burning building, approxi-
mately 50 to 75 feet. Therefore, several hydrants may be
needed throughout high-density and commercial areas to
protect the building. Another consideration, when locating
hydrants is the placement of fire hoses. For example, Build-
ing Officials and Code Administrators (BOCA) fire codes do
not recommend placement of unprotected fire hoses across
travelways. Placement of fire hydrants on both sides of the
street to protect the building opposite from the fire hydrant
will not suffice because of the BOCA restrictions on place-
ment of fire hoses.
On commercial sites, hydrant spacing is governed by the
estimated coverage as determined by fire flow requirements,
the course of the unrolled fire hose, and the location of fire
hose connections on the building (in addition to any other
local requirements). Since fire hoses are unrolled along the
travelways and grassy areas, the distance between hydrants is
not measured along a straight line connecting the hydrants.
Subsequently, for streets and travel ways with many short
radius curves and obstructions (e.g., fences and walls) more
fire hydrants will be needed. Commercial buildings may be
required to have an exterior fire hose manifold (e.g., stand-
pipe, fire department connection). The location of this
manifold on the building must be near a fire hydrant, usually
within 100 feet of a fire hydrant.

r- 2' -6" ----j

liQ1n;
.r.-r---.--... • :~ ·. 1
Fire Hydrant Must Be Plumb In All Directions
Use Two Straps As Shown, Same Diameter
As Fitting Bolt, At Or Near Horizontal Plane
Through Pipe Centerline
~.----~~-~
•

·· 1
.. .
2'

Concrete Base
Hydrant Has
Been Set
Min Cover
Below Frost
Line

Iron Tee Gate Valve .

It ": • ·_ 6 -- ~ - ..

ELEVATION ,liQ!§_;
Ample Gravel Sholl
Be Placed Around
Hydrant Drain To
Allow Proper Drainage
FIG uRE 3. 6 EE Typical hydrant settings.
292 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ
The ISO recommends hydrant distribution according to In placing fire hydrants in a residential subdivision, a sys-
the coverage presented in Table 3.6E. Hydrant spacing ranges tematic method would be to start on the cul-de-sac streets.
from 300 to 1000-foot intervals. Actual spacing considers the Determine the fire flow coverage or the maximum distance
type and size of the dwelling, land use, and risk (e.g., high- from fire hydrant to the farthest buildings as prescribed
value district in terms of property cost and public safety) and by local codes. Using this distance, place the fire hydrant
local controlling ordinances. as far away from the houses within the cul-de-sac as this
To the extent possible, placement of hydrants should not distance allows. Proceed along the cul-de-sac street toward
detract from the streetscape. The fire hydrant needs to be vis- the through street, placing fire hydrants at the appropri-
ible and accessible to the fire fighters and yet not be obtrusive. ate distances, considering hydrant spacing and prescribed
For example, in single family detached subdivisions a hydrant maximum distances to dwellings. After all cul-de-sac streets
placed behind the curb at the side property line extended have the appropriate number of hydrants, the hydrants
would serve both purposes. A fire hydrant in the middle of along through streets are located to provide fire protection
the front property line may be unattractive-especially if the not covered by the cul-de-sac fire hydrants or any existing
house sits close to the front property line. fire hydrants.
A map, such as the one of Figure 3.6FF, showing hydrant
and valve locations might be available from the water utility
company or Department of Public Works. A copy of a map
TAB LE 3 . 6 E Standard Hydrant Distribution
such as this for the project area should be obtained prior to
FIRE FLOW REQUIRED AVERAGE AREA PER HYDRANT beginning the design. This provides information for assess-
(6PM) (FT2) ing water availability and hydrant location during the site
analysis phase.
1000 or less 160,000 Pipe Curvature. Gradual change of direction with pipe
is accomplished by using bends or simulating curvature
1500 150,000
through succeeding deflection of pipe joints. The approxi-
2000 140,000 mate radius of curvature depends on the type of pipe joint,
length of pipe, and pipe diameter. Figure 3.6GG shows
2500 130,000 details for joint deflections for mechanical and push-on type
pipe joints.
3000 120,000
Connections. During construction, building service
3500 110,000 connections are extended from the water main to the
right-of-way line. Whereas the water main may be 6- to
4000 100,000 12-inch-diameter pipe, the service connections for residen-
tial dwellings are typically 3/4 to I-inch diameter and less
4500 95,000
than 6 inches for other buildings. A corporation stop assem-
5000 90,000 bly (Figure 3.6HH) connects the service line to the water
main at a point above the horizontal center of the water
5500 85,000 main. This location does not draw off any sediment from the
6000 80,000 bottom of the water main, is an easily accessible location for
repairs, and allows trapped air to escape from the water main
6500 75,000 and be expelled through water fixtures. However, the specific
location of the connection depends on the policy of the util-
7000 70,000 ity company.
7500 65,000 The service connection ends at the meter box or curb
box. The meter box contains the shutoff service valve, a
8000 60,000 yoke, and the water meter. The yoke is a special fitting to
hold the service pipe stubs at the proper alignment for con-
8500 57,500 necting the meter. The service box contains only the service
9000 55,000 valve. In some areas, the building contractor is responsible
for installation of the meter and the service line leading to
10,000 50,000 the house and in others the water utility company man-
ages the installation of the water main and service lines.
11,000 45,000 The stubbed service lines are installed during construction
12,000 40,000 of the water main. This allows the house connections to
be made as the houses are built without cutting into new
Reprinted with permission of Insurance Services Office, Inc. Copyright© 1974. pavement.

FIG uRE 3. 6 FF Municipal map showing water line and valve and hydrant location in
residential area.
3.6.13. Connecting to an Existing Water Line
Special types of construction methods are used to con-
nect the proposed water main to an existing water main,
when the existing service cannot be shut down-even for
the short time needed to make the connection. The type of
method selected depends on the specific site conditions and
the locality.
One common method uses a tapping sleeve and valve.
As illustrated in Figure 3.6II, the tapping sleeve and valve
consists of two half sections of pipe that are strapped over
the existing line. Special equipment designed to fit over a
valve cuts a hole in the existing water main through the
opened valve fixture. After the hole is cut the equipment
is withdrawn and the valve is closed. The water main is
3.6 ■ UTILITY FUNDAMENTALS 293
extended and the valve is opened when the extended water
main has been approved for service. The advantage of the
tapping sleeve and valve is that it does not require exist-
ing service to be shut down while the connection is made.
However, this type of connection, sometimes referred to as
a wet-tap, can be expensive.
If isolation valves are located in close proximity to the
proposed connection, they can be closed while the connec-
tion is made. While the valves are closed the existing pipe
can be cut. The cut section is removed, and a tee and sleeve
is inserted in its place. Note, this method requires inconve-
niencing the customers while the construction is performed.
Another method consists of inserting valves onto the
existing line in the area where the connection is to be made.
294 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ

Pipeline Curve Geometry

e = deflection angle
S = joint deflection offset
L = laying length
R = radius of curve

R= L
2 tan .JL
2

Maximum Joint Deflection Full-Length Pipe-Mechanical-Joint Pipe

Approx. Radius of Curve-A
Maximum Offset-S Produced by Succession of Joints
Nominal Deflection in. (m) ft. (m)
Pipe Size Angle-e L = 18 ft L = 20ft L:18ft L = 20 ft
i11. deg (5.5 m) (6.1 m) (5.5 m) (6.1 m)
3 8-18 31 (0.79) 35 (0.89) 125 (38) 140 (43)
4 8-18 31 (0.79) 35 (0.89) 125 (38) 140 (43)
6 7--07 27 (0.69) 30 (0.76) 145 (44) 160 (49)
8 5-21 20 (0.51) 22 (0.56) 195 (59) 220 (67)
10 5-21 20 (0.51) 22 (0.56) 195 (59) 220 (67)
12 5-21 20 (0.51) 22 (0.56) 195 (59) 220 (67)
14 3-35 13.5 (0.34) 15 (0.38) 285 (87) 320 (98)
16 3-35 13.5 (0.34) 15 (0.38) 285 (87) 320 (98)
18 3--00 11 (0.28) 12 (0.30) 340 (104) 380 (116)
20 3--00 11 (0.28) 12 (0.30) 340 (104) 380 (116)
24 2-23 9 (0.23) 10 (0.25) 450 (137) 500 (152)
30 2-23 9 (0.23) 10 (0.25) 450 (137) 500 (152)
36 2--05 8 (0.20) 9 (0.23) 500 (152) 550 (167)
42 2--00 7.5 (0.19) 8 (0.20) 510 (155) 570 (174)
48 2--00 7.5 (0.19) 8 (0.20) 510 (155) 570 (174)

Maximum Joint Deflection* Full-Length Pipe-Push-On Type Joint Pipe

Approx. Radius of Curve-A
Maximum Offset-S Produced by Succession of Joints
Nominal Deflection in. (m) ft. (m)
Pipe Size Angle-B =
L 18 ft =
L 20ft =
L 18 ft =
L 20 ft
in. deg (5.5 m) (6.1 m) (5.5 m) (6.1 m)
3 5 19 (0.48) 21 (0.53) 205 (62) 230 (70)
4 5 19 (0.48) 21 (0.53) 205 (62) 230 (70)
6 5 19 (0.48) 21 (0.53) 205 (62) 230 (70)
8 5 19 (0.48) 21 (0.53) 205 (62) 230 (70)
10 5 19 (0.48) 21 (0.53) 205 (62) 230 (70)
12 5 19 (0.48) 21 (0.53) 205 (62) 230 (70)
14 3• 11 (0.28) 12 (0.30) 340 (104) 380 (116)
16 3• 11 (0.28) 12 (0.30) 340 (104) 380 (116)
18 3• 11 (0.28) 12 (0.30) 340 (104) 380 (116)
20 3• 11 (0.28) 12 (0.30) 340 (104) 380 (116)
24 3• 11 (0.28) 12 (0.30) 340 (104) 380 (116)
30 3• 11 (0.28) 12 (0.30) 340 (104) 380 (116)
36 3• 11 (0.28) 12 (0.30) 340 (104) 380 (116)
42 2· 7.5 (0.19) 8 (0.20) 510 (155) 570 (174)
48 2· 7.5 (0.19) 8 (0.20) 510 (155) 570 (174)
54 1 ½* 5.5 (0.14) 6 (0.15) 680 (207) 760 (232)
• For 14-in. and larger push-on joints, maximum deflection angle may be larger than shown above. Consult the manufacturer.

FIG uRE 3. 6 GG Joint deflections for mechanical and push-on joints. (Reprinted by permission from American Water Works Association
Standard for Ductile Iron Water Mains and Their Appurtenances. Copyright© 1993, American Water Works Association.)
 3.6 ■ UTILITY FUNDAMENTALS 295

nnl•h•d Grad•

.I!
Q. Meter Box
e
Q

Corporotlon ~
Cock or Stop \
~ ---t-t- ~"x 1/i' or~"
Water Meter
~--tt-- Copper■■tter or
Curb Cock Meler Yoke
or Stop With Double
Caulked Check Valve
Pipe
s1..ve
¾"Pigtail
Coupllng at
Une Property Lin•

a) b)
¾" Coupling on Inlet
and Outlet

FIG uRE 3 . 6 HH Typical service connections.

The valves are installed similar to the wet tap method. The
valves are closed and the existing water line is cut and replaced
by the fixture. However, like the wet-tap, this method can be
expensive.
Many connections of appurtenances require addi-
tional stability due to pressure forces. Besides using thrust
blocks, stability is attained by strapping the appurtenances
to other stable parts. Strapping consists of connecting one
fixture to another fixture or pipe by using several rods
attached at the flanges.
3.6.14. Cross Connections
A cross connection is a link through which contaminated
water enters the potable water supply. The most obvious sit-
uation in which this occurs is when the potable water sup-
ply is directly connected to a contaminated source, either
through an error during construction or poor hydraulic
design. Although, the system of checks and balances that
exists during the design and approval process minimizes
the chances of such a connection occurring, the repercus-
sions of even one occurrence is costly both in human safety
and monetary damages. Even if not physically connected to
the water supply system, cross connections can occur when
back siphonage and back flows of contaminated water enter
the potable water system. Back siphonage, a type of back
flow, results from negative pressures within the distribut-
ing pipes of the potable water supply, which draw water
from the surrounding area into the system. Back siphonage
can occur from inadequate pressure at the suction side of
a booster pump, a water main break causing significantly
reduced pressure in the system, and reduced pressure in the
system caused during repairs.
An actual situation where contamination of the water
supply resulted from back flow occurred as reported by
the EPA:
A contractor using a tank truck with a rig designed to pump
and spray a mixture of water, fertilizer, grass seed and wood
pulp was working on the grounds of a subdivision. The con-
tractor was using a direct connection to a fire hydrant to fill
the tank with water, which was then mixed with the fertilizer,
etc. A high-pressure pump then sprayed the mixture onto
the ground. As the wood pulp circulated through the tank
piping system, it plugged one of the lines while the pump
continued to run creating a very high pressure in the tank.
This pressure was higher than the water supply system pres-
sure 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 discovered
and quick action in flushing and disinfecting the lines elimi-
nated the danger. 3
Although certain precautionary measures can be used to
reduce the potential for cross connection during the design,
as long as the human element is present in design and con-
struction, the potential for cross connection will always
exist. The most direct and easiest method for back flow
prevention is the inclusion of an air space between the free
flowing discharge end of the pipe and the flood level rim
of the fixture. Other mechanical methods, used mainly in
the smaller distribution and service lines, include vacuum
breakers, double check valve, and reduced-pressure-principle
device.
Cross Connection Control Manual, USEPA 1975.
3
29& i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ
The MUELLER method for making a lateral connection using the MUELLER CL-12 Drilling Machine

1 The tapping sleeve and valve are first attached to the main
and tested. Then the drilling machine, with a shell cutter at-
2 bar
With the tapping valve open, the shell cutter and boring
are advanced to cut the main.
tached to the boring bar, is attached to the tapping valve
using an adapter. The assembly should be pressure tested
prior to making the cut.

3 contain
The boring bar is retracted and the tapping valve closed to
the water pressure.
4 With the machine removed, the lateral is connected and
the tapping valve opened to pressurize the lateral and
place it in service.
Large drllllng machine selection guide
Machine Tapping valve size range Maximum pressure Operation Recommended uses
CL-12 2"-12" 250 oSil! ( 1724 kPa) Hand or oowcr For making lateral connections
Cl-36-99002 2"-24" 500 PSil! (3447 kPa) Hand or oowcr or inscning valves under
CC-25 2"-12" 500 PSil! (3447 kPa) Hand pressure

FIGURE 3. 6 II Tapping sleeve and valve. (Reprinted with permission of Mueller Co., Decatur, Illinois.)

PART D-DRY UTILITY SYSTEMS
3.6.15. Introduction
Underground dry utilities are generally comprised of gas,
electrical power, and communications infrastructure. Elec-
trical power is typically in the form of low-voltage and/or
medium-voltage installations. Communications infrastruc-
ture includes voice, data, and video services transmitted over
copper and fiberoptic cabling. Each category of power and
communications infrastructure has its unique requirements
for installation, access, and separation from other utilities.
These requirements can differ from one service provider to
the other or from one area of the country to the next. Proper
design and coordination of underground dry utilities begin
with a conceptual understanding of the project's needs in
terms of power, system voltage, and communications con-
nectivity. This rough data is conveyed to the various service
providers that will deliver power, phone, data, and video to
the site. The service providers will share with the designer
the available infrastructure and their installation require-
ments. From this information, the designer can then proceed
with detailed engineering.
Communication and coordination are the key to success-
ful dry utility design. The site engineers are often the link
between the building engineers, the utility companies, and
local municipalities. These utilities have requirements for
clearance, bend radius, and burial depth that are very dif-
ferent from gravity or pressure utilities, but they also offer
unique opportunities. Dry utilities can be offset over, under,
and around conflicts; they have much more flexibility with
burial depth and are generally much easier to locate once
placed underground. Understanding the design require-
ments of these utilities allows the site engineer to effectively
plan the integration of these systems into a project and pro-
vides a better overall site design.
3.6.16. Dry Utility Materials
Manholes. Manholes serve several purposes within the
electrical distribution system: They provide access to the
conductors, they provide a location for splices, they pro-
vide pulling points along the ductbank route, and they allow
changes in direction. A dry utility manhole is often a larger
concrete structure (larger than the standard 4-foot-diameter
manholes that are common with storm and sanitary) to sup-
port working space for cable installation and maintenance
(Figure 3.6JJ). A manhole will generally include access
cover(s), ladders, grounding for safety, racking provisions
to support cables (Figure 3.6KK), pulling irons to facilitate
installation, drainage or a sump pump. Additionally, the
manhole is often designed to support vehicle traffic. Most
manholes will also have several knockout panels to allow for
the conduit (ductbank) entry.
Most development projects will require various dry
utility services such as natural gas, electrical distribution,
telephone, and data communications services. Availability of
3.6 ■ UTILITY FUNDAMENTALS 297
these services should be determined in the feasibility phase.
It may be necessary to contact the utility providers during
the preliminary engineering phase to determine the limits
of design responsibility, upgrades that may be necessary,
and load information that will be required to perform final
design and engineering of these systems.
Cables and Ductbank. Electrical power is typically dis-
tributed underground via direct buried cables, direct buried
conduits, or cast-in-place, concrete-encased conduits called
ductbank. Protection increases from cable to conduit to
ductbank but so does cost. Direct buried cables are typically
used in residential developments for their ease of installation
and cost savings. Direct buried conduits are typically used in
areas that would be difficult to excavate in the future-under
roads, sidewalks, and structures. When added physical pro-
tection is required or when minimum direct bury depth is
not obtainable, ductbank is used. Ductbank offers the flexi-
bility of planning for future growth and replacing or upgrad-
ing cabling without further excavation. It is commonly used
in public rights-of-way and in campus environments. This
discussion focuses primarily on ductbank design, but many
of the design principles are applicable to direct buried cables
and conduits.
The purpose of the concrete-encased ductbank is to
provide physical protection against future excavation and
to add structural strength to the conduits (ducts) should
the soil below settle or be undermined (Figure 3.611). PVC
conduits are generally used in ductbank in lieu of metal
conduits for several reasons: ease of installation, lower cost,
and corrosion resistance. The keys to good ductbank design
include steel reinforcing bars (rebar) and spacing between
the conduits. Steel #4 rebar should be installed along the
entire length of the ductbank-a minimum of one in each
corner with #4 stirrups installed every 5 feet. PVC con-
duits are tied to the steel reinforcing to prevent "floating"
when the concrete is poured. Spacing the conduits allows
concrete to settle between the conduits and results in a
much stronger system. Figure 3.6MM shows duct spacers
used in a ductbank. Spacers are generally installed every
5 feet along the conduit run. Couplings should be staggered
12 inches apart to prevent a weak spot in the ductbank. The
National Electrical Code (NEC, NFPA 70) requires a mini-
mum of 3-inch separation between conduits and a mini-
mum of 2 inches of concrete cover. Figure 3.6NN shows
a typical ductbank detail with dimensions. Figure 3.600
illustrates the installation of direct buried conduits. Direct
buried cables and conduits are laid on a 3-inch bed of sand
and then covered with 3 inches of sand to prevent damage
to cables or conduits.
Additional Equipment. Eventually, the electrical power
conductors terminate at a piece of electrical equipment. This
could be a medium-voltage transformer, a medium-voltage
switch, an electrical meter, or switchgear located within a
building. Placement, access, and working clearances for
this equipment are dictated by the NEC, the NESC, and the
local utility. The generally accepted standard for clearance of
290 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ

~EMOVA BLE GALVAN IZED STEE L

~RESSURE-LOCKED BANDED
GRATIN G OVER SUMP.
GRATIN G SHALL CONFORM TO
ATSM A-569 WITH 3/4" x 1/ 8"
3EARING BARS AT 1-3 /1 6"
'.lN CENTER SPAC ING AND
WITH CROSS BARS AT
4" ON CE TER.

A A

L _j

NOTE: MANHOLE
ROOF SLAB, BASE,
PLAN AND WALLS SHALL
BE MINIMUM 1O"
THICKNESS

ROOF PLAN

MANH OLE

OUCTBAN K DUCTBANK

SLOPE BASE SLAB 1- 1/ 2" FRO M

MANH OLE PERIM ETER TO SUMP
(NON-SHRIN K GROUT MAY BE
USED TO CREATE SLOP E) SECTION A-A

TYPICAL PRE - CAST CONCR ETE MANH OLE DETAIL

NO SCALE

FIG uRE 3. 6 J J Electrical manhole details.

 3.6 ■ UTILITY FUNDAMENTALS 299

MAGNETIC CABLE MARKING TAP E

:. •';•·. .
co
I"")

~
·. . ·. ·-~ ~ _l
.::i ·• ·
.,, ·. •.

FIG uRE
wall.
3. 6 KK Typical racking arrangement on interior manhole 0- 4 •

4"

#4 REBAR
LONGITUDINALLY 6" ON CENTER
HORIZONTALLY 5' ON CENTER

TYPICAL CONCRETE ENCASED DUCTBANK

NO SCALE
FIG uRE 3. 6 N N Typical ductbank detail.

medium-voltage equipment is to maintain 10 feet from any

building opening (doors, windows, or louvers), 3 feet on all
nonoperable sides, and 10 feet on all operable sides. Oper-
able sides are sides that have doors for access to components
FIG uRE 3. 6 LL Ductbank photo.
within the equipment enclosure. The IO-foot clearance is
required to allow the use of a hotstick, a long insulated pole
used to operate medium-voltage equipment while energized,
or hot. The local utility can provide the dimensions of the
medium-voltage transformer or switch to be used, but most
will fit on a 10 x IO-foot concrete pad. To conservatively esti-
mate the required space and clearances, designers assume a
10 x IO-foot pad and lay out clearances from it, knowing the
actual equipment will be smaller. Often it is desirable or even
required to screen electrical equipment from view; however,
it is important that bollards, shrubs, fences, parking spaces,
and other obstructions remain outside of the required clear-
ances. It is also important to provide access for a flatbed
boom truck to allow removal and replacement of the equip-
ment. Electrical equipment space and access considerations
are based on public health and safety measures; thus, it is
important to work closely with the utility provider and the
authority having jurisdiction to balance the technical system
FIG uRE 3. 6 MM Duct spacers. needs with the site aesthetics (Figure 3.6PP).
300 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ
FINISH GRAD E
T 30"
MIN IMUM
NO ROCKS OR
DEBRIS IN
BACKFILL - - - + - - ----e
TYPI CAL DIRECT BU RIE D CABLE OR CO N DU IT
NO SCALE
FIG uRE 3. 6 0 0 Direct buried conduit installation.
Low-voltage equipment clearances are based on the
system voltage to ground and the physical surroundings
or context in which the equipment is placed. This gener-
ally applies to meter bases, disconnect switches, panel-
boards, and switchboards. The system voltage to ground is
the lower of the two numbers in any given cell within the
table included in Figure 3.6QQ. The context defines what is
behind a person as he or she faces the equipment: Is it insu-
lated, grounded, or energized? In brief, if the system volt-
age to ground is 150 V or less, a 3-foot clearance is required
regardless of the context. If the system voltage exceeds 150 V
to ground, the clearance requirement grows from 3 to 4 feet
depending on the context.
3.6.17. Dry Utility Layout
The ductbank system should be designed using bends with
the least curvature possible while avoiding abrupt direction
changes. Schedule 40 PVC is sufficiently flexible to allow
minor changes in direction or elevation without the use
of factory-made fittings. Where possible, lay out the duct-
bank system both horizontally and vertically with minimum
25-foot radius bends. Where an abrupt direction change is
required, use factory-produced fittings with a minimum
bend radius of 48 inches. Bend radii between 48 inches and
25 feet can be accomplished in the field using a hot box (see
Figure 3.6RR).
To prevent water accumulation, conduits and ductbanks
are sloped to drain at a minimum of 3 inches per 100 feet or
PAVING OR TOPSOIL TO
MATCH SITE CONDITIONS.
COMPAC T BACKFILL TO
MATCH SURROUNDING
CONDITIONS
MARK IN G TAPE
0.25 percent. Conduits should always be sloped toward man-
holes and away from buildings.
There are times when the geometry of the ductbank must
be altered along its route to avoid obstacles and to facilitate
entry into a structure. For example, a 12-way ductbank of
4-inch ducts will usually be arranged in three rows of four
ducts that can be approximately 29-inch width by 22-inch
height. When crossing a water line buried at 36 inches, the
ductbank must maintain 6 inches of cover and 12 inches
of separation from the water line. Therefore, the ductbank
can pass below and require 70 inches of excavation, or it can
transition to two rows of six ducts, pass above, and require
only 24 inches of excavation. Similar situations arise when
entering manholes and buildings. Often entry points require
the ductbank to transition to a vertical rectangle that is only
two or three rows wide.
Burial depth of electrical conduits depends on whether
they are concrete-encased and where they are routed.
Concrete-encased conduits may generally be buried at
shallower depths than nonencased conduits regardless of
routing, and conduits routed under roadways generally are
buried deeper than conduits located beside a road. Table 3.6F
indicates burial depths dictated by the NEC.
When considering separation from other utilities,
access and heat are the major concerns. Ductbanks should
maintain a minimum of 12-inch separation (horizontal
and vertical) from other utilities such as water lines, sewer
lines, and gas to allow adequate access to repair these lines
 3.6 ■ UTILITY FUNDAMENTALS 301

1
LEGEND

~
Aviod Placing Transformer
Beneath Window
1 Fireproof Window
Fireproof Door
Whenever Possible 4
: Ventilating Exhaust Duct
Ventilating Intake Duct
.S Transformer
::.
'o
I

I-
0
Door

@ II
*1 o· -O"Min .
10'-0"Min.
II
©

* If This Is An Exit of A Public

Assembly Room Such As An Sol id Wall of
Auditorium, Change to 25 Feet. Build i ng or Structure

If This Is A Non-Fireproof Opening

Change To 25 Feet.
@
*10'-0"M in . '-O"Min .

NOTES:
1. THE PRECEDING ARE MINIMUM CLEARANCES BETWEEN THE TRANSFORMER
AND WINDOWS, DOORS, FIRE ESCAPES, ENTRANCES AND VENTILATING
DUCTS.

2. PLACE TRANSFORMER SO THAT DOOR FACES AWAY FROM WALLS,

FENCES, OR OTHER FI XED STRUCTURES. ACCESS REQUIRED FOR
OPERATING LBTs WITH 8 FOOT HOT STICK HELD HORIZONTALLY.

3. NO BUSHES, TREES, OR OTHER OBSTRUCTIONS SHALL BE PLANTED OR

INSTALLED IN FRONT OF TRANSFORMER DOORS.

4. NO OPENINGS IN BUILDINGS OR STRUCTURE WILL BE PERMITTED

WITHIN 10 FEET OF TRANSFORMER. BUILDING MATERIAL, INCLUDING
DOOR AND WINDOWS LESS THAN 25 FEET FROM TRANSFORMER SHALL BE
FIREPROOF IN ACCORDANCE WITH NATIONAL FIRE CODE.

5. CLASS 1, DIVIS ION 1 and 2 LOCATIONS SHALL REQUIRE A MINIMUM

OF 25 FEET CLEARANCE (e .g . PROPANE TANKS, GAS PUMPS, ETC . OR
ANY PLACE WHERE VOLATILE LIQUID / GA S TRANSFER FILLING OCC URS)
[SEE NEC ARTICLES 500-5(a)(3) and 450-27]
REFERENCE DRAWINGS
CS 3960 10 PADMOUNT TRANSFORMER 25-167kVA
CS 5315 30 13kV-4kV 1500kVA STEP-DOWN TRANSFORMER
CS 5322 500 and 1000kVA NETWORK TRANSFORMERS
CS 5325 1500 ond 2000kVA NETWORK TRANSFORMERS
CS 5362 30 4kV OR 13kV 75 - 1500kVA "DEAD FRON T" TRANSFORMER
APPROVED BY REVI SION ◄ CONSTRUCTION STANDARD
TRANSFORMER INSTALLATION AND HOUSING
DRAWN BY ETK
8. 03/01: KEYSPAN FORMAT. CONSTRUCTION: PAD AND EN CLOSURE HOUSED
NUMBER SHEET NO REV
DATE TRANSFORMER PAD LOCATI ON
LONG ISLAND POWER AUTHORITY AD JACENT TO BU ILDINGS
,,,..,.,.. -. KEYSPAN ENERGY
0dg1Dal Sl.gned S tandard Oll fil e at T&D!lll

FIG uRE 3. 6 PP Electrical equipment clearances.

302 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ

Effectively insulated
: / / I .---Electrl_c___,
/ switchboard
Exposed 150 V,
live parts I nominal,
or less
I +--3ft-
i
.... .. .., 1'I
Condition 1
(3 ft min. for 151-800 V)

Grounded parts, concrete, etc.

'" / I Electric
switchboard
/
Exposed
150V,
nominal,
- live parts I or less
-3tt---
I ••.•• .... ; :• -. • . •.: ~-:' I
Condition 2
(Space Would Increase to 3½ ft for 151-800 V)

Exposed
Electric live parts Electric
switchboard switchboard
150V,
nominal,
/~ 150V,
nominal,
or less or less
3 ft
.' .'
Condition 3
(Space Would Increase to 4 ft tor 151 - 800 V)

Working paces

Nominal Minimum Clear Distance

Voltage to
,round Condition I Condition 2 Condition 3

~I 0 900 mm (3 ft ) 900 mm (3 ft) 900 mm ( ft)

151 - 600 900 mm (3 fl) 1.1 m tJ½ ft ) 1.2 m (4 fl)

Nocc : Wh ere the coodition~ a.re as follo ws:

Condition I - Exposed live part on one side uf the working spaa:
and no live o r grounded pans on 1he other side of 1bc working space.
or exposed live parts on both sides of the working space that arc
e ffectively guarded hy insulating material s.
Condition 2 - fa po d live part on one sick: of the working space
and grounded pait s on the ocher side of the working space. Concrete.
brick . o r tile walls shall be considered as grounded.
C-Ondition l - Ex ed live part o n both side of lhe work.in
space.

FIG uRE 3 . 6 QQ Low-voltage working clearances.

 3.6 ■ UTILITY FUNDAMENTALS 303

Optional
PVC Plug

Long Cover

Short Cover

Optional 857
PVC Roller Support
Timer

F IGuRE 3 • 6 RR Hot box.

TA BL E 3 . 6 F Recommended Burial Depths

MINIMUM COVER* REQUIREMENTS, 0 TO 600 VOLTS, NOMINAL, BURIAL IN MILLIMETERS (INCHES)

TYPE OF WIRING METHOD OR CIRCUIT 11• §

NONMETALLIC RESIDENTIAL BRANCH CIRCUITS FOR CONTROL OF

RACEWAYS LISTED CIRCUITS RATED IRRIGATION ANO LANDSCAPE
FOR DIRECT BURIALt 120 VOLTS OR LESS WITH LIGHTING LIMITED TO NOT
RIGID METAL WITHOUT CONCRETE GFCI PROTECTION ANO MORE THAN 30 VOLTS ANO
DIRECT BURIAL CONDUIT OR ENCASEMENT OR MAXIMUM OVERCURRENT INSTALLED WITH TYPE Uf
loCATI0N OF WIRING CABLES OR INTERMEDIATE OTHER APPROVED PROTECTION OF OR OTHER IDENTIFIED
METHOD OR CIRCUIT CONDUCTORS* METAL CONDUIT RACEWAYS 20 AMPERES CABLE OR RACEWAY

MM IN MM IN MM IN MM IN MM IN

All locations not 600 24 150 6 450 18 300 12 150 6

specified below
In trench below 450 18 150 6 300 12 150 6 150 6
50-mm (2-in) thick
concrete or equivalent
Under a building 0 0 0 0 0 0 0 0 0 0
(in raceway only) (in raceway only) (in raceway only)
Under minimum of 450 18 100 4 100 4 150 6 150 6
102-mm (4-in) thick (direct burial)
concrete exterior slab
with no vehicular traffic 100 4
and the slab extending (in raceway)
not less than 152 mm
(6 in) beyond the
underground installation
Under streets, highways, 600 24 600 24 600 24 600 24 600 24
roads, alleys, driveways,
and parking lots
(Continued)
304 i➔ ih$liifl ►Ml·i:OihfY.i/i,■ ;1rn 1 / 1 iiii 1 /ii#iiii,i\MilidtJ

TABLE 3. 6 F Recommended Burial Depths (Continued)

MINIMUM COVER* REQUIREMENTS, 0 TO 600 VOLTS, NOMINAL, BURIAL IN MILLIMETERS (INCHES)

TYPE OF WIRING METHOD OR CIRCUIT 11• §

NONMETALLIC RESIDENTIAL BRANCH CIRCUITS FOR CONTROL OF

RACEWAYS LISTED CIRCUITS RATED IRRIGATION ANO LANDSCAPE
FOR DIRECT BURIALt 120 VOLTS OR LESS WITH LIGHTING LIMITED TO NOT
RIGID METAL WITHOUT CONCRETE GFCI PROTECTION ANO MORE THAN 30 VOLTS ANO
DIRECT BURIAL CONDUIT OR ENCASEMENT OR MAXIMUM OVERCURRENT INSTALLED WITH TYPE Uf
loCATI0N OF WIRING CABLES OR INTERMEDIATE OTHER APPROVED PROTECTION OF OR OTHER IDENTIFIED
METHOD OR CIRCUIT CONDUCTORS* METAL CONDUIT RACEWAYS 20 AMPERES CABLE OR RACEWAY

MM IN MM IN MM IN MM IN MM IN

One- and two-family 450 18 450 18 450 18 300 12 450 18

dwelling driveways and
outdoor parking areas,
and used only for
dwelling-related purposes
In or under airport 450 18 450 18 450 18 450 18 450 18
runways, including
adjacent areas where
trespassing is prohibited
'Cover is defined as the shortest distance in millimeters (inches) measured between a point on the top surface of any direct buried conductor, cable, conduit, or other raceway
and the top surface of finished grade, concrete, or similar cover.
1Raceways approved for burial only where concrete encasement shall require concrete envelope not less than 50 mm (2 in) thick.
1Lesser depths shall be permitted where cables and conductors rise for terminations or splices or where access is otherwise required.
11 Where one of the listed wiring method types is used for one of the listed circuit types, the shallowest depth of burial shall be permitted.

§Where solid rock prevents compliance with the cover depths specified in this table, the wiring shall be installed in metal or nonmetallic raceway permitted for direct burial. The
raceways shall be covered by a minimum of 50 mm (2 in) of concrete extending down to rock.
© Reprinted with permission from NFPA?0®-2008, National Electrical Code®, copyright 2007, National Fire Protection Association, Quincy, MA. This reprinted material is not
the complete and official position of the NFPA on the referenced subject, which is represented only by the standard in its entity.

should a break occur. When routing in the proximity of
steam lines, a 24-inch minimum separation is required to
avoid thermal damage to the conductors within the duct-
bank. When crossing steam lines, always route ductbanks
below rather than above the steam lines. Where adequate
separation from steam is not possible, a suitable thermal
barrier must be used such as 6 to 12 inches of rigid or
expanding foam insulation. When utilities cross, each util-
ity must be self-supported so as not to transfer load from
one to the other.
When considering separation from other utilities,
access and heat are the major concerns. Ductbanks should
maintain a minimum of 12-inch separation (horizontal and
vertical) from other utilities such as water lines, sewer lines,
and gas to allow adequate access to repair these lines should
a break occur. When routing in the proximity of steam lines,
a 24-inch minimum separation is required to avoid thermal
damage to the conductors within the ductbank. When cross-
ing steam lines, always route ductbanks below rather than
above the steam lines. Where adequate separation from
steam is not possible, a suitable thermal barrier must be used
such as 6 to 12 inches of rigid or expanding foam insulation.
When utilities cross, each utility must be self-supported so as
not to transfer load from one to the other.
PART Ill

DESIGN
This page intentionally left blank
 CHAPTER 4
CONCEPTUAL AND SCHEMATIC
DESIGN
Chapter 4.1 introduces the preliminary design phase of
the project, conceptual and schematic designs. This stage
begins after the pre-design efforts of due diligence and site
analysis, as part of the developer's site selection, have been
completed. Additional studies that may be required during
these preliminary design efforts will be introduced as well,
including the site selection study, yield study, and impact
studies.
Chapter 4.2 introduces product types and development
principles. This is an overview of typical types encountered
and consideration for design decisions. The single most
influential and guiding framework for any land development
project is the context of the site and how it relates to the sur-
rounding community and environment.
Chapter 4.3 discusses the conceptual design. The objec-
tive of the conceptual design is to establish a preliminary
PRE-DESIGN
CHAPTER2 CHAPTER3 CHAPTER4
Due Dilligence Site Analysis Conceptual &
Schematic Design
FIG uRE 4. 1 A The land development design process.
framework depicting the distribution, organization, and
arrangement of the development program. The concep-
tual design should honor the development constraints
yet take advantage of opportunities identified during the
due diligence and site analysis. Often an iterative process,
the site diagram is utilized to produce a series of concept
plans.
Chapter 4.4 discusses the schematic design. The schematic
design is a refinement of the conceptual design that provides
more precise scale and site detail of program components
and supporting site improvements. The detail included in the
schematic design is based, in part, on information obtained
during the due diligence and site analysis stages and pro-
vides further assurance that the development program can
be achieved. Preliminary engineering is required in this stage
to produce preliminary plans.
DESIGN POST-DESIGN
CHAPTER 5 CHAPTER 6
Final Design Permits &
Construction
307
 CHAPTER 4.1
PRELIMINARY PLAN SUBMISSION
AND SITE STUDIES
4.1.1. Introduction
The due diligence and site analysis of the site selection pro-
cess (as seen in Chapters 2 and 3) identified site constraints
and development opportunities for the project. If a site was
selected from these pre-design efforts, the project contin-
ues into the next stage of preliminary design. All informa-
tion from the pre-design will help to shape design decisions
within the preliminary design.
Conceptual designs begin with the site diagram to
achieve the development program on the site. As described
in Chapter 3.2, the site diagram defines the buildable area
for the site. These designs are produced based off the site
diagram to satisfy regulatory requirements, overcome site
constraints, and identify the opportunities. The concep-
tual design effort is the first layout of the site intended to
achieve the development program, as described in Chapter
2.1. The deliverables produced during conceptual design
efforts are referred to as concept plans, or sometimes as
sketch plans. This work is predominately a planning effort
more than engineering; however, engineering analysis is
critical when preparing a concept plan that will be realis-
tic for final design. The conceptual design process will be
detailed in Chapter 4.3.
Schematic design begins with the preferred concept
plan-this concept plan is refined with additional engineer-
ing efforts to produce the preliminary plan. The preliminary
plan may also be necessary for the entitlement review, the
first stage in the review process as described in Chapter 2.4.
A preliminary plan will depict additional engineering detail
and may include annotations about initial design assump-
tions for estimating infrastructure requirements. The sche-
matic design effort details are in Chapter 4.4.
308
After the preliminary plan is approved by the developer,
or initial approval through the local jurisdiction is achieved
during the entitlement review, final engineering design can
commence (to be discussed in Chapter 5). This entire pro-
cess from the site analysis, into the conceptual and schematic
design, and eventually into final engineering design is a
cohesive effort but is an iterative process. Initial assumptions
and preliminary designs will be refined throughout this pro-
cess. It is important to understand that generally the design
process is not linear, and initial concept plans never make it
to construction in their entirety.
A land planner is vital in this preliminary design stage
of the land development design process. The role of a land
planner may be held by the site engineer, a landscape archi-
tect, architect, or even a dedicated planner depending on the
project. Larger and more complicated projects may require
a dedicated planner to be a part of the design team. This
land planner may produce the conceptual designs and get
the project through entitlement review before a site engineer
is involved. Every project is different, but it is important to
understand the basics no matter who is responsible for the
planning effort.
Plan Submission. Guided by the jurisdiction's administra-
tive regulations and development ordinances (as discussed
in Chapter 2.4), the plan submittals are the developer's actual
representation of the proposed development. Comprised of
drawings and other design information, the plan sets or sub-
missions show (with increasing detail) the arrangement of
property lines, lots, buildings, infrastructure, and other fea-
tures that will occupy the site. Plans and plats identify the
public and private facilities to serve the intended uses. These
plans also provide information on how those facilities will

be constructed through grading of the property, connection
of utilities, and pedestrian and vehicle access arrangements.
Within their review process (as described in Chapter 2.4),
many communities have established three submission
checkpoints:
• Concept plan (or pre-application)
• Preliminary plan
• Final plan
The entitlement review requires a concept plan (optional
in some jurisdictions) and preliminary plan. The entitle-
ment review processes often includes the subdivision plan,
comprehensive plan amendments, and/or rezoning efforts.
This could also include review of special exceptions and
variances under Euclidean zoning, planned unit develop-
ment approval under negotiated zoning, a form-based
code review, and more. The final review then requires a
final plan, which is described in Chapter 5.1. Therefore,
these submission checkpoints generally correspond to the
land development design stages of conceptual, schematic,
and final design efforts as described within this book.
Early project efforts like due diligence and site analysis, as
described in Chapters 2 and 3, often occur outside the pur-
view of jurisdictional review as the focus is geared more
toward development feasibility.
Another outcome of the submission of the preliminary
plan is a memorandum of understanding (MOU). The
MOU can be based on preliminary engineering plans and is
a letter that identifies assumptions and the design require-
ments, which is intended to reduce major changes with the
final design submissions. The MOU is presented in a narra-
tive format because the information shown on the plans is
likely not sufficient to cover every detail of the project. The
MOU process is something that has become more preva-
lent in projects (especially road projects) because different
reviewers during later phases of design can interpret codes
differently.
For instance, a new mixed use development might
have an option of using subdivision street requirements
or urban street design requirements. Each design stan-
dard (subdivision or urban) may have different minimum
lane widths, sidewalk requirements, intersection spacing,
and design speeds. Early in the project an MOU should
be developed and agreed upon by Department of Trans-
portation (DOT)/jurisdiction/developer to agree on which
design standard will be used for the project.
Concept and Preliminary Plan. While the concept plan
is developed to discuss ideas and document construction,
the preliminary plan could be considered as the first formal
submission. The concept plan is the result of the conceptual
design, while the preliminary plan is the result of the sche-
matic design. It's possible that some projects may not require
a significant effort in the early design phases, while others
4.1 ■ PRELIMINARY PLAN SUBMISSION AND SITE STUDIES 309
will require concept or preliminary plans for specific project
milestones.
The preliminary plan is perhaps the most important as
it represents the parameters by which the site will be engi-
neered, and construction plans prepared. Many developers
refer to this as the entitlement document and it is typically
the first critical path element for most land development
projects. In addition to the plan itself, many preliminary
plans are associated with development conditions or proffers
that further clarify the proposed development program and
outline the various exactions the developer is obligated to
fulfill. This plan and its affiliated documents will be reviewed
by the agencies for compliance with all applicable codes and
ordinances as well as compatibility with surrounding areas.
The information that is submitted and approved as part
of the preliminary plan must be adhered to throughout the
life of the project. To change what is shown on the approved
preliminary plan may require starting the time-consuming
process from the beginning which may be very costly to the
developer. The preliminary plan usually does not give the
developer any right or privilege to begin construction opera-
tions on the site. It is merely a method of communication by
which the developer shows the local government and other
regulating agencies, in more accurate detail than a concept
plan, how the proposed development will be accomplished.
It is not uncommon for the preliminary plan to accompany
or even form a component part of the rezoning application.
The preliminary plan depicts information for the entire
project; it shows relationships and ties to each section or
phase of construction for large sites. Regulations often spec-
ify the minimum area that can be sectioned or phased from
a larger project for independent preliminary review. Each
section is usually required to form a self-sustaining project,
capable of standing alone in terms of regulatory compliance.
This condition is common to protect the locality in case the
developer delays or abandons future sections-the previ-
ously approved sections or phases should satisfy ordinance
and functional requirements. The coordinating agency
often maintains, or in some cases requires the applicant to
maintain, an accounting of critical elements of the project
that are intended to support the development through vari-
ous phases (parking counts, stormwater management, etc.).
Regardless of regulation, the sections should be selected to
ensure that access and infrastructure can be constructed
without exceedingly long connections to existing facilities.
The preliminary plan is drawn to a scale sufficient to show
the necessary detail. A preliminary plan typically includes
the following information:
• Soils, geology, and field-verified topography
• Field surveyed site boundary
• Adjacent property owners, zoning, and use
• The proposed lot layout of the project showing area,
dimensions, and other property line information
310 i@Uhili F%1BU/ii,i/i¥%: 1Hifoi41 1M
• Information regarding height, bulk, and area require-
ments of any existing and proposed structures
• Street layout including off-site improvements, center-
line alignment, profiles, typical cross sections, turn
lanes, intersections and entrances, sidewalks and
trails, traffic control signs and devices
• Proposed street names
• Location of existing utilities and easements
• Location of proposed public utilities, including sizing
and alignment of sewer, water, and fire hydrants, and
conduit runs
• Sizing and location of proposed major drainage sys-
tems, including outfall and drainage area analysis,
accurate floodplain delineation, estimated pipe siz-
ing, and existing and proposed stormwater manage-
ment facilities
• Proposed easements, both temporary and per-
manent, for access, utilities, construction, and
maintenance
• Information regarding buffers, landscaping, clearing
limits, and impact mitigation
• Septic drainfield and perc information, and well sites
for projects using package water treatment systems
and/ or individual wells
4.1.2. Additional Studies
Additional studies may be performed during the preliminary
design phase. These will sometimes be required with the
conceptual design, schematic design, or both. Often the land
planner and the site engineer perform these studies in coor-
dination with other specialists or consultants. It is important
for all members of the design team to understand the inves-
tigation process and the study results.
The additional studies to be introduced in this chapter are:
Site selection study: This study is intended to provide
an analytical comparison between several alternative
sites. The site engineer is primarily responsible for
gathering information relevant to land use and infra-
structure. The developer can use this information, in
addition to financial information, to choose a project
site.
Yield study: A yield study identifies the potential
number of units or building size that can be accom-
modated within the project site. Site plan layouts are
necessary when determining the reasonable yield for
a site so that all constraints and opportunities are
considered.
Impact studies: Several different impact studies are com-
pleted to evaluate how the new development will change
the traffic, community, financial, and environmental
conditions of the community.
An abbreviated study approach: This approach aims to
provide an efficient method of the primary study ele-
ments, which is often beneficial for projects that want to
move forward faster (but with less information).
Site Selection Study. Occasionally, there may be several
sites available with the potential to fit the development pro-
gram that have passed due diligence (Chapter 2) and satisfy
site analysis criteria (Chapter 3). In such cases a process needs
to be used to compare and contrast the physical and regula-
tory factors which affect the development program for each
of the properties. This process, a site selection study, deter-
mines which property, if any, is best suited to the develop-
ment program. To present the information and data collected
in a fashion that allows the developer to evaluate different
sites, a standardized narrative and graphic format needs to be
developed. The site selection study involves an engineering
feasibility study for each property. However, the information
contained in the site selection study must be obtained in a
consistent manner to compare the properties equally.
To determine the development opportunities and con-
straints associated with each property, the following site
related issues need to be reviewed:
• Property location and ownership
• Existing land use, current zoning, and master plan
for the property
• Physiographic and environmental characteristics
• Order of magnitude development costs
Information is obtained in a similar fashion as in an
engineering feasibility study for a single site: desktop review
of private entity and government (federal, state, and local)
resources, review of public records, site inspection, relevant
interviews, and other research. This information-gathering
process is carried out systematically for each site in the study
to have consistent metrics by which to compare.
As in any engineering feasibility study, but most important
in the site selection study, the elements that are critical to the
client's program need to be identified and prioritized. While
many criteria have an equal weight in importance, often the
land use criteria is the first reviewed. Zoning is a major fac-
tor on whether the program can be located on the property.
Consideration must be given to the time necessary to amend
the land use map or rezone the property if the intended use
is not permitted by right. This should be documented and
presented to the developer in early phases of site selection
studies. The time to amend a comprehensive plan or rezone
a piece of property (which involves interaction with the gov-
erning body and coordination with the citizens) may elimi-
nate a site for consideration early in the evaluation process.
After zoning and land use issues, there are many other
factors that can affect the selection of the site. Some site char-
acteristics can be overcome during the development of the
site. For instance, challenging terrain can be overcome by
grading the site, but the soil conditions must be considered

when evaluating the project cost and feasibility. Additionally,
substantial grading efforts should be weighed against the
value of the natural site conditions-grading the entire site
often destroys stands of vegetation and natural habitat.
Environmental characteristics of the site also need to
be determined and evaluated against the client program.
Wetlands, floodplains, and Phase I Environmental Assess-
ments (ESAs) often determine the available area suitable for
development. When green building certification is a project
priority, the site selection study should specifically evalu-
ate the common site location credits: is the site located on
prime farmland, habitat for threatened and endangered spe-
cies, parkland, a brownfield? And what is the proximity of
the site to floodplains, wetlands, natural water bodies, transit
and other developed communities? Much of this informa-
tion will be available from the engineering feasibility study,
but it needs to be presented in a consistent manner for com -
parison. A site selection study is one of the instances where
the site engineer can help a developer make an informed
decision regarding site location. These are important con-
siderations, beyond just the existing physical conditions of
the site, that affect the value and character of the ultimate
product and should be considered as part of the decision-
making process. A more detailed description of the specific
green building criteria is provided within the Environmental
Impact Studies section at the end of this chapter.
Capacity of the infrastructure is another critical factor
influencing the development potential of a site. The major
components of the infrastructure are the utilities and trans-
portation. The availability of water, sewer, power, and com-
munications are usually determined in the site feasibility
study but the unique aspects of the client program resulting
in special utility requirements should be assessed as a por-
tion of the site selection study. Additional power capability
for computers, dual feeds, telephone expansion, and security
are all possible elements that may need to be considered as
part of the site comparison. Again, these factors are to be
compared on a site-to-site basis.
The ability to provide adequate access to the site is also a
consideration in any site selection study. Not only does the
existing and proposed road network need to be considered, but
also rail, bus, air, and water or any other means of transporta-
tion that might be critical to the client's program. Such access
may be a part of the overall master transportation plan for the
jurisdiction. While some master planning efforts may eventu -
ally provide the improvements necessary for the development
of the property, the timing of the improvements is crucial.
The ability of the developer's program to be flexible and
adjust to the site is important. A rigid site layout or program
could, by itself, eliminate a site from the selection process.
The engineering feasibility study and associated yield study
will present the development potential of the site. A com-
parison between the yield study and the client program will
determine the amount of adjustment, and the ensuing flex-
ibility, required to merge the client's program to the different
sites. The greater the flexibility in the program, the better the
chance the program can fit to a site. Last, as stated earlier as
4.1 ■ PRELIMINARY PLAN SUBMISSION AND SITE STUDIES 311
part of the engineering feasibility study, the cost to develop
the site is a critical element in the feasibility of the site.
Not only are the developments' construction costs impor-
tant in a site selection study, but so are the relative construction
costs associated with bringing the sites to a comparable level.
If a few additional dollars need to be spent on a site (or on the
infrastructure for a site) that does not require rezoning or any
land use time, then the additional dollars may be less expen-
sive than the time to go through the planning process. While
the client does not often own the property until it is zoned and
does not have a great carrying cost on the land loan, rezoning is
still a time-consuming process that results in a lost (or delayed)
opportunity. In some cases, the site selection study may have
criteria for site availability. Is the site available now or are there
steps and time required before development can begin? In
which case, the only way to make the site immediately avail-
able may be through expending resources to make it accept-
able as an element of review. Costs may have to be incurred to
improve the access or provide utilities and thus avoid having to
go through the time-consuming rezoning process.
Once all the data is collected, a value or rank is assigned
to each factor. A matrix can then be used to collectively show
the information and evaluate each property. An example of
the procedure is shown in Tables 4.lA and 4.lB. Table 4.lA
lists the criteria pertinent to one particular development
program. The symbols used in the table indicates the basic
differences of each item. Each potential tract of land is then
evaluated based on the listed criteria. Table 4.lB is a compi-
lation of the criteria for each alternative site. Selecting the
property best suited for the program is ultimately a business
decision for the client. Each item does not necessarily have
equal weight in terms of importance or priority and only
the client knows what the relative weight of the items are in
terms of his best interests or situation. The site engineer sup-
plies the data for the client to analyze to make the selection.
Yield Study. A yield study is often performed, upon request
of the developer, to determine the potential intensity of
development for the property. By knowing the total develop-
ment potential that can be achieved on a site, the developer
can determine if per unit costs are within an acceptable range
for local market conditions. The study will also be used as a
guideline during the conceptual layout stage to determine if
the land is being used to its greatest efficiency.
The simplest approach to a yield study is to apply maxi-
mum densities to the project area. Density of development is
simply the number of new dwelling units permitted per acre of
available land for residential type development, or new build-
ing area per acre of land for nonresidential development. For
nonresidential development the density is often referred to as
floor area ratio or building coverage and specified as a ratio or
percentage ofland area. Maximum densities are prescribed in
the zoning ordinance, as described in Chapter 2.3. An ordi-
nance may not have a prescribed density to land area ratio,
and instead use minimum lot sizes, minimum open space
requirements, or maximum building sizes to control density.
The yield study first subtracts all "undevelopable'' land
from the gross (total) land area, to arrive at the net site area
312 i@Uhili F%1BU/ii,i/i¥%: 1Hifoi41 1M
TA BLE 4 . 1 A Criteria and Values for Elements of the Site Selection Study
PLANNING CRITERIA

Existing zone ® Zoned for intended use

0 Zoned for nonresidential use
0 Zoned for agricultural/residential
Adjacent land use ® Adjacent uses office/mixed use
0 Adjacent uses nonresidential
0 Adjacent uses agricultural/residential
Consistency with comprehensive plans ® Specific use consistent with comprehensive plan
0 General use consistent with comprehensive plan
0 Use not consistent with comprehensive plan
SITE CHARACTERISTICS
Topography ® Relatively flat site <5%
O Moderate slope constraints 5-15%
0 Significant slope constraints >15%
Drainage ® Single drainage shed
0 Several drainage sheds
0 Numerous drainage sheds
Soils/Substances ® Minimum grading/excavation problems anticipated
0 Moderate grading/excavation problems anticipated
0 Significant grading/excavation problems anticipated
Vegetation ® Significant native vegetation for landscape buffer/character
0 Moderate native vegetation for landscape buffer/character
0 No native vegetation for landscape buffer/character
Structures ® No existing on-site structures
0 Existing structures of marginal value/concern
0 Existing structures of significant value/concern
ENVIRONMENTAL CHARACTERISTICS

Wetlands ® Minimum wetlands constraints (approx. less than 1 acre of care area)
0 Moderate wetlands constraints (approx. between 1and 10 acres of care area)
0 Significant wetlands constraints (approx. more than 1Oacres of care area)
Floodplain ® No floodplain
0 Floodplain but no impact on care development area
0 Floodplain within care development area
INFRASTRUCTURE-UTILITIES

Power ® Available capacity on-site or immediate proximity

Water supply 0 Available in general vicinity
Sanitary sewer 0 Capacity not available in general vicinity
Communications
Natural gas
INFRASTRUCTURE-TRANSPORTATION

Existing roads ® Two or more existing roads available to access/egress site and major regional
arterial/freeway in close proximity
0 Two or more existing roads available to access/egress site
0 One existing road available to access/egress site
(Continued)
 4.1 ■ PRELIMINARY PLAN SUBMISSION AND SITE STUDIES 313

TABLE 4 .1 A Criteria and Values for Elements of the Site Selection Study (Continued)
Site access ® No encumbrances to two points of access/egress
0 Limited encumbrances to two points of access/egress
0 Both access/egress points significantly encumbered
Proposed roads ® Multiple master planned or existing roads adjacent to core development area
and regional arterial/freeway in close proximity
0 Two master planned roads or existing road adjacent to care development area
0 One master planned road or existing road adjacent to care development area
Mass transit ® Rail and bus available
O Bus available
0 No mass transit available
Rail ® Rail line immediately adjacent to site
0 Rail line in general vicinity
0 No rail line in general vicinity
Flight paths ® No flight path near site
0 Flight path near site flight altitude restrictions
0 Flight path nearby and low altitude
PROGRAM FIT

® Program fits/additional acreage provides location flexibility

0 Program fits/limited location flexibility
0 Program does not fit
ROUGH COST ESTIMATE

0 Ranking 1 through 9, low cost to high cost

® Excessive or unusual cases
0 N/A-nonapplicable

(the buildable area as described in Chapter 3.2) suitable for
density calculation. Note the distinction between undevelop-
able and unbuildable land. The former accounts for acreage
not eligible for density calculation as defined by the local
zoning ordinance. The latter is land that is comprised of cer-
tain physical characteristics that cannot be (easily) modified
and that make construction impossible or impractical. The
resulting net area is multiplied by the density allowed in the
zoning regulations for the proposed zoning district. For non-
residential land, total building area is derived by multiplying
the countable area by the floor area ratio or building coverage
permitted in the district.
Undevelopable land refers to site area that is prohibited
from being developed based on jurisdictional regulations,
such as in the zoning ordinance. This may include flood-
plains, stream protection buffers, or areas reserved for future
public roadways. Each of these conditions can impact the
yield of the site. The zoning ordinance may require a reduc-
tion in the allowable site density by subtracting the undevel-
opable land from the site area, while other conditions may
honor the allowable density. For example, a IO-acre site may
be required to dedicate 1 acre for public roadway improve-
ments. The dedicated land area creates a 9-acre site but the
jurisdiction may still honor the original 10 acres for density
calculations. Alternatively, if that same site has 2 acres of land
within a floodplain, the local jurisdiction may reduce the
allowable density by 2 acres.
Unbuildable land may include portions of a site character-
ized by physical conditions that make construction imprac-
tical. Site conditions such as poor soils, underlying bedrock,
or excessively steep slopes may reduce the buildable area of
the site. In this case, the land area may still be used for den-
sity credits but the effective density of the site is increased. For
example, a IO-acre site may have 3 acres of excessively steep
slopes with underlying bedrock. The developer may be per-
mitted to build to a density based on the IO-acre site, but they
are effectively limited to only 7 acres ofland to build on.
The number of units derived by applying the maximum
densities usually establishes the high end of the probable
yield range. It does not account for open space, subdivision
streets, stormwater management facilities, area required for
off-street parking for nonresidential development or other
components of a development that occupy land to the exclu-
sion of other uses. Other factors affect the achievement of full
development potential. Characteristics of parcel size, shape,
and topography also limit the number of lots or area of new
building that can be achieved. Small, irregularly shaped par-
cels are difficult to develop efficiently; hilly terrain also limits
314 i@Uhili F%1BU/ii,i/i¥%: 1Hifoi41 1M
TA BLE 4 . 1 B Matrix Comparison of Properties
ALTERNATE SITES
CRITERIA A B C D E F G H
Planning criteria
Existing zoning 0 0 0 0 0 ® 0 0 0
Adjacent land use ® ® ® ® 0 0 0 0 0
Consistency with comprehensive plans 0 ® 0 0 0 ® 0 0 0
Site characteristics
Topography ® 0 0 0 ® ® ® 0 ®
Drainage 0 0 0 0 ® ® 0 0 0
Soils/subsurface 0 0 0 0 0 0 ® 0 ®
Vegetation 0 ® 0 ® ® 0 0 0 0
Structure 0 0 0 0 0 0 0 0 0
Environmental characteristics
Wetlands 0 0 0 0 ® 0 ® 0 ®
Floodplain 0 0 0 0 0 ® 0 0 0
Infrastructu re-uti Iities
Power 0 ® 0 0 0 0 0 0 0
Water supply ® ® ® 0 0 ® 0 0 0
Sanitary sewer ® 0 0 0 0 ® 0 0 0
Communications 0 0 0 0 0 0 0 0 0
Natural gas ® ® ® 0 0 ® 0 ® 0
Infrastructure-transportation
Existing roads ® ® ® 0 0 ® 0 0 0
Site access ® ® ® ® ® ® 0 0 ®
Proposed roads ® ® ® 0 0 ® 0 0 0
Mass transit 0 0 0 0 0 0 0 0 ®
Rail 0 0 0 0 0 0 0 0 ®
Flight paths 0 0 0 0 0 ® ® 0 0
Program fit ® ® 0 0 ® ® ® ® ®
Rough cost (ranked; #1 = lowest cost) 3 4 N/A 6 1 5 7 8 2

opportunities to maximize development potential without
extensive, and expensive, clearing and grading.
A more accurate reflection of residential site yield results
by determining total buildable area of a tract. This calcula-
tion is then adjusted to account for land that will be used for
streets and other public dedication or lost to inherent inef-
ficiencies in layout. An adjustment factor of 20% is reason-
able. The resulting area is then divided by the lot size either
allowed in the zoning district (which may be specified as a
minimum or minimum average) or required by the builder
(in order to accommodate the product), to arrive at probable
yield. Table 4.1 C is useful as a rule of thumb for estimating
site yield per acre for a single-family detached development.
For greatest accuracy, and for non-single family or non-
residential projects, a series of trial sketches prepared on an
overlay of the base map is often the best approach to a yield
study, as is discussed through the conceptual design phase in
Chapter 4.3. This is especially important for residential proj-
ects where alternative development techniques such as cluster-
ing or transfer of development rights are possible or desirable.
Cluster development allows for reductions in lot size while
maintaining the density permitted by the property's zoning.
The area removed from lot development is typically preserved
as open space for passive or active recreation. Quick calculation
and rule of thumb methods assume that a conventional subdi-
vision layout is proposed. If the local subdivision (or zoning)

TA BL E 4 . 1 C Estimating Single-Family
Site Yield
CONVENTIONAL SUBDIVISION LAYOUT
AVERAGE LOT SIZE AVERAGE YIELD (LOTS PER
(FT2) BUILDABLE ACRE)
6,000-8,000 4.5
8,000-10,000 3.5
10,000-12,500 3.0
12,500-15,000 2.7
15,000-20,000 2.3
20, 000-25, 000 1.5
25, 000-30, 000 1.2
30,000-40,000 0.9
40 000-50 000
I I 0.7
Reproduced with permission from J. Dechiara and L. Koppelman. 1978. Site Planning
Standards. New York: McGraw-Hill.
regulations have provisions for cluster development, a trial
sketch is needed to estimate project yield. Using cluster meth-
ods, greater flexibility in street and lot layout can be achieved.
This technique encourages the developer to avoid and pre-
serve sensitive and other unbuildable areas while acknowl-
edging that those areas are a part of the parcel and project.
Using cluster provisions of the zoning or subdivision regula-
tions, the site layout can often approach full yield while mini-
mizing the construction of new infrastructure such as roads
and utilities. Cluster allows for the recapture of units that oth-
erwise may be lost due to unbuildable land or unusual con-
figuration. In some instances, local zoning regulations may
even allow for a slight increase in permitted density if cluster
provisions are utilized in the design of the project.
Transfer of development rights (TDR) is a "purchase'' of
density within a jurisdiction. Landowners in areas targeted
for preservation (sending areas) can separate the development
rights (and density) of their property from the property itself
and sell them to developers in receiving areas who then receive
density bonuses on their own property. The TDR program
may be isolated to individual municipalities or span regional
areas. For example, in the New Jersey Pinelands Preserve the
purchase of 0.25 "Pineland Development Credits" allows an
additional one unit to be included in the development of a
parcel within specified regional growth areas of the Preserve.
Although the purchase of development credits is an option
open to developers for increase in density, the cost is market
driven and currently costs tens of thousands of dollars. Several
trial sketches may be necessary to determine if the additional
units gained will offset the cost of the credit( s) purchased.
4.1 ■ PRELIMINARY PLAN SUBMISSION AND SITE STUDIES 315
For nonresidential development, yield of new building
area is not only dependent upon the permitted floor area ratio
or building coverage, but is highly dependent upon require-
ments for off-street parking. Local zoning regulations typi-
cally specify the size and number of parking stalls required
for differing nonresidential uses, with more intense uses such
as office, retail, or service establishments needing more stalls.
Conversely, uses such as warehouses and industrial facilities
are generally less intense and require fewer stalls. The require-
ments for off-street parking are typically designated per square
foot of nonresidential building space, although other meth-
ods such as "per seat" or "per employee" may also be encoun-
tered. Since the number of parking stalls required is directly
proportional to the amount of building area or intensity of
development proposed, several trial sketches may be neces-
sary to find a balance on site that will yield the maximum new
building area while providing the requisite amount of parking
and area for other design elements (e.g., stormwater manage-
ment basins, landscape buffers, loading areas, etc.).
Considerations of the Yield Study. Conceptual design and
creating trial layouts is an iterative process. These layouts
and the corresponding yield studies may be time consuming,
and the time available during the preliminary engineering
phase may be limited. By considering a site's physical, loca-
tional, economic, and regulatory characteristics, they provide
the developer with the most realistic assessment of a parcel's
value and potential. The opportunity to consider several lay-
outs offers an early indication of the type and form of devel-
opment possible. When coupled with an early estimation of
potential development costs and evaluation of the likelihood
of project approval, inclusion of trial layouts in the feasibility
study (introduced in Chapter 3.1) is an important tool.
Estimating project yield by any method requires skills and
confidence that evolves only through experience. Without
that experience, both with project design and local regulatory
involvement, unrealistic estimations can be misleading to the
developer. False estimations, at either extreme, can result in
financial loss or lost opportunity. Therefore, the site engineer
must avoid the temptation to use shortcuts and conjecture. In
addition, site yield varies with the ability of the development
team, resources of the developer, and market demand for a
product to accommodate difficult site conditions. Thus, any
yield study that is performed should be reflected as a range
of units or area of new building space, specifying conditions
that must be overcome during project implementation.
Because of the importance of construction costs in proj-
ect feasibility, and the impact of environmental and proce-
dural regulation on those costs, a site engineer should have a
general understanding of construction economics. The final
price of units should be weighed against the cost of acquisi-
tion, engineering, and construction. There are always several
alternatives for developing the site and certain tradeoffs. The
assessment of these tradeoffs requires knowledge of relative
costs. In addition, certain characteristics of development
projects affect market absorption, the rate at which units are
sold or leased, and the period within which the developer
31& i@Uhili F%1BU/ii,i/i¥%: 1Hifoi41 1M
recoups the investment. The developer will base the decision
to continue or abandon the project on an estimation of costs
to correct site problems. The cost analysis performed at this
time will be general because of the nature of the informa-
tion researched. However, it should be sufficiently detailed to
enable the developer to make a well-educated decision. More
information about feasibility and preliminary cost estimates
will be described in Chapters 4.3 and 4.4.
The developer anticipates a certain intensity of develop-
ment in order to recover costs and earn a profit. These costs
include land acquisition, project engineering, hard construc-
tion costs for public facilities and the building product, fees
and interest carrying charges for the land throughout the
project. Using proprietary formulas that correlate investment,
demand, preference, and return, the developer can evaluate
finished costs, project unit size, and price range in order
to recover these costs. If the projected selling price needed
to recover cost is out of line with either market demand or
affordability, then reevaluation of the project is needed.
If the developer concludes that the project is economically
viable, he may elect to proceed with the development applica-
tion process. The information assembled in the feasibility study
is an important foundation upon which to build subsequent
investigation. Having identified issues for further analysis, it
enables the site engineer to assemble a team of development
specialists whose expertise is specifically geared to solving
problems essential to project design. Further, the site engineer
can develop an appropriate project work program and bud-
get based on a clear understanding of the design requirements
and an informed estimate of staffing and resources needed to
resolve the issues and procure plan approval.
Impact Studies. Impact studies may be required by the
local governing body to determine the impact of the pro-
posed development on the community, environment, or
public infrastructure. These typically are performed after the
proposed use and development plan has progressed toward
its final stages. However, in many cases, the outputs from
these studies are considered during development applica-
tions to determine the appropriateness of the use or intensity.
Often, they are used to determine appropriate dedications or
improvements, assessment of impact or similar fees, or to set
a timetable for the staging of development.
Land development specialists other than the site engineer
often perform these studies. However, they are mentioned
here because many of the data inputs collected for the fea-
sibility study (introduced in Chapter 3.1) are used in sub-
sequent analysis. In addition, the outcome of these studies
could affect project feasibility and further design efforts. This
is especially true where known constraints in public systems
or issues of community priority may have direct bearing on
the use and yield of development sites.
The impact studies that will be discussed in this section
include
• Traffic impact study
• Community impact study
• Fiscal impact study
• Environmental impact study
Traffic Impact Study. Traffic studies often are required as
part of the submittal package for a rezoning or special excep-
tion application. They serve two primary purposes. The first is
to identify potential impacts of the proposal on the transporta-
tion system in the general area of the development. Second, the
study looks specifically at potential impacts on roads and inter-
sections in the immediate vicinity of the project. In communi-
ties that assess impact fees on development or operate under
an adequate public facilities ordinance, a traffic study may be
required for subdivision and building permit approval as well.
In addition to its review in consideration of project
approval, the results of the traffic study serve to indicate sys-
tem improvements to mitigate project impact. For instance,
the need for additional right-of-way for road widening or
turn lanes may be a consequence of the study. This may affect
project yield by encumbering otherwise developable land.
The local governing body also may use the study to support
operating restrictions on certain uses to increase the effi-
ciency of the existing system.
The traffic study consists of four basic elements. These are
1. System capacity and level of service analysis
2. Background traffic assessment, an analysis of exist-
ing traffic that also considers traffic generated by
pending projects and potential projects for which
rezoning approval is not required
3. Projected traffic generation for the proposed devel-
opment, including probable origins or destinations
and modes of transportation
4. Analysis of adjoining roads and nearby intersections
to determine need for right-of-way or pavement
widening, turn lane improvements, and traffic con-
trol signs or signalization
Depending on the nature of the project, its location relative to
the transportation network, and other factors, a traffic study
would include data such as current daily traffic volumes,
existing peak hour turning volumes, estimated site traffic gen-
eration, directional distribution of site traffic, estimated trip
generation for non-site development, estimated total future
traffic, and projected levels of service. Part of the street design,
such as number of lanes, turn lanes, and intersection control
would be based on this data. Figure 4.IB is an example from
a traffic study showing impact of a new project on the traffic.
The traffic study typically projects the volume for four
types of traffic:
Existing traffic-volume of traffic vehicles that are using
the road prior to improvements and modifications
Future background traffic-increase in traffic expected to
occur at the time of development (not including traffic
generated by new development)
 4.1 ■ PRELIMINARY PLAN SUBMISSION AND SITE STUDIES 317

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Site traffic-traffic explicitly generated by new develop-
ment project
Total future traffic-sum of the future background traffic
and site traffic
Traffic volume is a result of traffic demand. Land use,
socioeconomic conditions, and the amount and type of avail-
able transportation affect travel demand. Land use dictates
the location and intensity of the activity and socioeconomic
factors determine the magnitude and extent of population
activity. The two factors are integral components in the
development of trip generation models.
Trip generation models predict how many trips each
activity produces and the origin and destination of such
trips. Forecasting travel demand with elaborate trip genera-
tion models or with tables, such as Table 4. lD, depends on
the level of detail required for the study. The travel demand
analysis is a key element of transportation planning, whether
for long-range wide area comprehensive plans or for short-
range plans for a traffic corridor or specific project.
Methods used for estimating traffic volumes on local and
collector residential streets may be different than those used
for streets higher in the functional hierarchy or for com-
mercial/industrial projects. Whereas the higher order streets
require detailed traffic analysis and future traffic volume pro-
jections, volumes on residential streets are typically based on
averages of vehicle trips per type of dwelling unit. Table 4. lD
provides estimates on the number of trips generated for vari-
ous land uses.
The trip rates shown in Table 4.lD are "trip-ends:' A
trip-end is "a single or one direction vehicle movement with
TAB LE 4 . 1 D Weekday Vehicle Trip
Generation for Selected Land Uses
Single-family detached 9.6/DU
Residential planned unit development 7.5/DU
Residential condominium/town house 5.9/DU
Apartment 6.7/DU
Mobile home park 5.0/DU
General office building 11.0/1000 ft2
Shopping center (excluding Christmas 42.9/1000 ft2
season)
Business park 12.8/1000 ft2
Industrial park per employee 3.3/employee
County park 3.0/acre
(Compiled from ITE's Trip Generation, 7th ed.)
either the origin or destination (exiting or entering) inside
a study site:' 1 For example, a person leaves home for work
and returns later in the day constitutes two trip ends for that
dwelling unit. The Trip Generation manual, published by
ITE, contains trip rates for nearly every type ofland use. The
reader should refer to this manual to estimate trip generation
in more specific detail.
Two parameters frequently referred to in the design of
major roads are the average daily traffic (ADT) and design
hourly volume (DHV). The ADT is the traffic volume
counted over a number of 24 hours periods divided by the
number of 24-hour periods. The ADT is a parameter used
to measure and evaluate existing traffic flow and to plan for
future roads. ADT volumes do not reflect the specific varia-
tion in volumes during peak hours. Design for the expected
greatest peak volume would not be cost effective. Therefore
a cost-effective design must be one based on a traffic volume
that may be only occasionally exceeded.
The DHV is the projected hourly volume used for setting
the geometric design. It provides a base to account for change
in demand on a roadway over a projected design period.
Data collected from rural arterial streets for a wide range of
traffic volumes over a wide geographic area has shown that
there are approximately 30 hours in a year where the road
carries the highest hourly volume (HV). The traffic vol-
ume for the remaining hours of the year is nearly uniform
relative to the 30 highest hours. Based on these results the
30th highest hourly volume for the projected design year
is determined as the DHV. That is to say that the projected
hourly volume of traffic will be greater than the DHV only
29 hours in the year. In urban areas the 30th HV is typically
selected as the DHV as a general rule. However, unique land
use and other special situations such as major seasonal rec-
reation areas may warrant deviations from this general rule.
In many instances the DHV is taken as a percentage of the
ADT. On urban highways the DHV is normally between 8
and 12% of the ADT.
Traffic volumes are necessary to determine the impact a
development project has on existing streets. New develop-
ment generates more traffic and consequently may alter pre-
vailing traffic patterns. Traffic volumes fluctuate daily and
seasonally depending on the area served by the street. Major
corridors serving commercial and business areas have peak
volumes in morning and late afternoons. Retail areas have
peak volumes on weekends and evenings especially during
holidays. Many local agencies require off-site construction
or financial contributions to alleviate the impact of develop-
ment on nearby collector and arterial streets. Transportation
impact studies for various types of land development proj-
ects above a certain size, when required, are normally per-
formed by traffic engineering consultants.
1 Trip Generation, 5th ed., Institute of Transportation Engineers, Washington, D.C.,
1991.

It's important to consider that many traffic impact studies
are brand-agnostic, meaning that there is no reference to a
popular or unpopular destination type. While difficult (or
impossible) to calculate, the design team should consider
whether the proposed development may generate unusu-
ally high traffic demand based on the popularity of services
offered. Some grocery stores or restaurants may generate sig-
nificantly more traffic than the average calculation identified
with the Trip Generation manual.
Community Impact Study. In communities experienc-
ing significant growth, local regulations may require anal-
ysis of the potential impacts new development may have
on the entire community. Focus on anticipated population
growth, available capacity of existing utilities, adequacy of
municipal facilities and services, and demand on schools is
typically required. Demonstration that existing public facili-
ties such as community centers and libraries and munici-
pal services such as police and fire protection, emergency
response, hospital and health care, solid waste disposal, and
public works will be able to accommodate the increase in
population generated by new development will be necessary.
Otherwise, the developer may be required to provide mon-
etary contributions to the municipality for improvements
to those facilities and services adversely impacted. In some
instances, the developer may even be required to fund and
construct new facilities or provide improvements to existing
facilities to accommodate the new demands. This is more
common when a project proposes the rezoning of a site to a
more intense use.
In most municipalities where schools are directly funded
from local property taxes, potential overcrowding in class-
rooms is of the most importance. The ability to develop a
residential project may often be jeopardized where project
approval depends on available capacity within the local
school system or the magnitude of the additional tax bur-
den generated by the increase in pupils. The development
application may include requirements for a pupil genera-
tion study to be performed by the development team. This
examines the impact on the public schools system by the
new development. Through the analysis, the developer
may be able to demonstrate that because of characteristics
peculiar to the project, demand for available capacity may
be less than anticipated. Many communities recognize that
factors such as housing type and bedroom count have direct
correlation to the number of school age students that will
occupy a development. In addition, developments geared
to older single-person households are likely to generate few
students. Rather than accept standard local housing unit/
pupil ratios, the developer may have the option of surveying
similar developments in the community. With this study, it
may be possible to demonstrate that the probable impact of
the project on student population is lower than originally
suggested.
Fiscal Impact Study. A determination as to whether the
local municipality can expect sufficient tax revenue from
4.1 ■ PRELIMINARY PLAN SUBMISSION AND SITE STUDIES 319
the project (to offset the costs from the impacts identified
during preparation of the community impact study) may be
necessary. This fiscal impact study will typically be required
as part of the submittal for local approval of the project, but
may be commissioned by the developer prior to full design
to evaluate financial impacts to the affected municipality.
In general, analysis of the fiscal impact of a project
begins by applying the current tax rate within the munici-
pality (available from public records) to the anticipated cost
of new dwelling units or building area to calculate the total
amount of tax revenue generated. Existing census data is
then utilized to project the number of expected residents
and pupils from the development. By applying the total tax
revenue generated to the projected number of residents, the
expected per capita tax revenue from the development is
determined.
An evaluation of the actual current per capita costs to
existing residents for municipal and school services is then
performed. This cost is calculated by simply applying the
most current municipal and school budgets, which are avail-
able through public records, to the population estimate from
the latest census data, or other available records.
If the expected tax revenue per capita is more than the
actual, then a positive impact from the development has
been demonstrated. For those instances where a negative
impact is calculated, the local municipality may require
the developer to provide contributions for improvements
to municipal services or even new facilities. Knowing the
magnitude of potential municipal improvements costs
during the early stages of the project is an important fac-
tor utilized by the developer in determining its economic
feasibility.
Environmental Impact Study. 2 As referenced in Chapter 2.5,
significant amounts of effort and diligence are expended to
evaluate and assess the existing environmental conditions
of a site, including the presence of environmentally sensi-
tive areas, contaminated areas, threatened and endangered
species, prime agricultural land, and historic/archaeological
features. An environmental impact study summarizes the
impact the proposed development may have on these areas
and other areas of concern which typically include air qual-
ity, surface water and groundwater quality, geology, soils,
aesthetics, and noise. Data gathered during the engineering
feasibility study can be used in concert with that informa-
tion obtained in the environmental assessment to prepare
a thorough study in which the environmental impacts are
qualified, quantified, and assessed in terms of avoidance,
minimization, and mitigation strategies and permitting
requirements.
Green Building and Sustainable Design. When consider-
ing the environmental impact of a particular development,
2For the purposes of this chapter, an environmental impact study refers to an initial
assessment for the purposes of the client's feasibility decision-making process and
does not refer to the more formal, federally regulated by NEPA EIS.
320 i@Uhili F%MUM\i,i/i¥%:W:i\ili41iM
it should be determined during the initial planning stages
whether the project is seeking a third-party green build-
ing certification, or if compliance with green building
design guidelines is mandated by federal, state, or local
regulations. Whether a developer priority or jurisdictional
requirement, green building design guidelines are widely
accepted and highly regarded within the land development
profession as sound planning strategies. As such, they
should be referred to throughout the land development
process as a design tool, regardless of the need for third-
party certification.
An Abbreviated Study Approach. Generally, it is not pos-
sible to conduct the depth and detail of analysis required in
a feasibility study, site selection study, yield study, and the
other described studies for every project. Time constraints
are frequently imposed by dynamics of the real estate mar-
ketplace and the competitive nature of the land development
industry. Decisions to move ahead must be made quickly
during short purchase option periods to take advantage of
favorable land prices or other conditions. Monetary con-
straints are always a factor in land development where finan-
cial gain is likely to be several years off and cost containment
is always an essential consideration. The studies described
represent a considerable expenditure of funds, an upfront
expense that may be incurred several times in the analysis of
various sites and projects.
To provide the broadest range of services to the devel-
oper, the design team must learn to develop an abbrevi-
ated approach for an engineering feasibility study. Such an
approach would examine the essential factors related to a par-
cel ofland's development potential including (at a minimum):
• Identification of proper zoning or the ability to
rezone
• Location and adequacy of utilities and essential
services
• Site access
• Topography, soils, environmental and sensitive fea-
tures, that is, defining the usable area
• Yield study to determine amount of new units or
building area possible
• Site visit
Throughout the analysis, the development team seeks to
identify elements of concern, either physical or political, that
suggest the land is unsuitable or that a project is not practical.
The experienced site engineer begins each new study with a
prioritized list of items in the investigation. Through experi-
ence and frequent involvement with local land use processes
and decision -makers, it becomes possible to determine early
in each study when the investigation should be terminated.
Each site engineer arrives at a level of expertise, or comfort
level, that allows relatively educated efficient judgments to be
made. Regardless if the developer then moves ahead with a
particular project or abandons it, the analysis can be viewed
as a justifiable expense.
 CHAPTER 4.2
PRODUCT TYPES AND
DEVELOPMENT PRINCIPLES
4.2.1. Introduction
The most influential and guiding framework for any land
development project is the context of the site and how it
relates to the surrounding community and built environment.
Community in this sense is more than the physical character-
istics of a site. Community is the project's given sociocultural,
political, and economic context for which the site has a direct
and indirect relationship. A development should consider its
surroundings to be successful, and be sensitive to the urban,
suburban, or rural context in which the site exists. The local
context of a site will often offer a guide to the project's design
opportunities and constraints.
Development considerations that are mindful of creat-
ing a "sense of place" or unique character can provide a new
perspective from which the design flourishes. The (re)emer-
gence of traditional neighborhood development (TNDs) and
transit-oriented developments (TODs) has been relatively
successful because they are examples of design patterns that
seek to develop a distinct community personality. Similarly,
projects associated with smart growth and green develop-
ment practices offer meaningful insight into environmen-
tally responsible land development practices. Green building
practices are supported by many communities and review
agencies because they are appropriate considerations for all
types of development practices regardless of the project's
size, density, or location-urban, suburban, or rural.
Development styles vary from one geographic region to
the next, and it is these regional variations that help create
a sense of place as well as establish a unique set of design
characteristics. These variations have been influenced by the
local history, culture, and heritage of an area. These styles
in turn affect the development patterns of an area in terms
of density, aesthetics, and arrangement of uses. Due to these
differences, a variety of names will often be used to describe
similar types of patterns and land use.
A variety of factors determine the type, land-use, and con-
figuration of a development. Some of the more influential
design and development factors include the landowner(s),
community group(s), the availability ofland, the cost ofland
and construction, the natural and environmental attributes
of the site, the local zoning (or overlay district of a property),
and the character of the surrounding community. These fac-
tors are often modified (sometimes to a great degree) by local
regulations, which are largely based on the more encompass-
ing issues of health, safety, and welfare of the public. Local
considerations relative to the nature of commerce, prevalent
community attitude, and past community practice can also
influence development and redevelopment projects.
Examination of a jurisdiction's zoning ordinance reveals
a great variety in the categories of permitted land uses. Typi-
cally, the zoning of a property is either residential, commer-
cial (at times the use is specified as office or retail), open
space, or industrial. Depending on the size, location, den-
sity, and maturity of the community, a jurisdiction's zoning
document may establish other land use categories to reflect
a unique economic base such as manufacturing, agricul-
ture, maritime use, mining, forestry, or institutional use.
Furthermore, the local jurisdiction's zoning ordinance (as
described in Chapter 2.3) normally identifies a series of
dimensional standards or minimum bulk requirements. The
standards may include but are not limited to lot size, build-
ing height, front, rear and side yard setbacks, open space or
impervious coverage. Additionally, supplemental land use
ordinances, commonly a subdivision ordinance, may identify
utility requirements, easement sizes and location, as well as
right of way and road widths. It is often necessary and very
321
322 i@Uhili F%MUM\i,i/i¥%:W:i\ili41iM
helpful to assemble the local specifications for a project in
order to have a thorough understanding of any and all design
constraints that may affect the conceptual layout.
If there is a common denominator throughout contem-
porary development practice, it may be the heavy reliance
of today's society on the automobile. The suburban develop-
ment pattern is often shaped and characterized by a strong
dependence on the car for work, leisure, and day to day-
based trips. Historically, the separate clustering of residential
and employment or convenience centers into different areas
has made public transportation infeasible for many com-
munities. As a result much of the population commutes by
way of the single-occupant automobile, which continues to
be the most prevalent form of transportation in the suburbs.
This phenomenon places a unique set of requirements on all
resulting land use types and development patterns. Because
of this, attention to a common need for both vehicular cir-
culation and on-site parking is necessary. Streets and roads
provide the common linkage between and within land uses
and the principal framework of the resulting development
patterns. Similarly, parking requirements for the automobile
are a major design element often driving the size and orga-
nization of individual land uses. Many of the land use codes
and ordinances support a vehicle-based design pattern; how-
ever, modern reports linking public health to the built envi-
ronment have resulted in renewed interest in and attention
to the pedestrian components (sidewalks, trails, bike paths,
and open space) of development as well.
Conversely, the resurgence of urban locales and more
intense development is also becoming more popular today.
Many suburban locations have exhausted unused and unde-
veloped land. As growth continues, redevelopment with
increased density is common. Many examples of this can be
seen, including regional malls being transformed to mixed-
use town centers or other creative uses. The movement back
to cities has also opened the opportunity for downtown rede-
velopments. Much of this is occurring alongside new transit
projects. As jurisdictions provide new public transportation
options, it is typical for them to plan for and support (re)
development around stations. These urban and more intense
developments pose other challenges to the development prac-
tice. It is important to balance and plan for the people, places,
and things within and around the site. Creating that "sense of
place" is always important but it's necessary to remember to
develop at a scale that is comfortable to the users. Compat-
ible uses and access on a site is important to achieve. In these
developments it is typical for the area to be shared amongst
users including pedestrians, bicyclists, transit lines, and the
all-important automobiles. The movement and interactions
on the site as well as offsite locations is important to plan for.
Developers and the site engineer must consider all of this
when producing preliminary designs.
The growth of autonomous vehicles, rideshare systems,
and alternative transportation systems should be considered
with new development programs. Most projects are designed
to last for more than 30 years and should consider (to the
extent practical) how transportation systems may influence
future development. Large parking areas could be redevel-
oped, if designed appropriately, to allow additional density
when parking demands are reduced.
Whether suburban, urban, or something in between, this
chapter introduces product and development types common
to all. This is a broad overview that should be looked at as
a reference for making design decisions for a project. The
site engineer may not be tasked with the design and plan-
ning efforts, but nonetheless it is important to appreciate and
understand.
4.2.2. Product Types
Land use activity is guided by the local community's plan-
ning process (as introduced in Chapter 2), which represents
a variety of policies, priorities, and practices. Comprehensive
plans for the jurisdiction focus on topics such as population
and economic growth, housing, community facilities, traffic
patterns, education, and the surrounding land uses. While a
comprehensive plan may contain a mapped graphic represen-
tation of what the community might look like, the local zon-
ing ordinance and zoning map are the tools that provide the
day-to-day implementation strategies to form the intended
character of the community and direct land use decisions
relative to the overall comprehensive plan objectives.
A clear understanding of the distinction between the
comprehensive plan and zoning ordinance is imperative to
understanding the land use patterns and development activ-
ity in each community. Decision makers in land development
and design must be sensitive to the rationale behind the com-
prehensive plan and guide the site's design accordingly while
adhering to the design standards and criteria governing the
size, form, character, and density of the proposed develop-
ment, as identified in the local zoning ordinance, subdivision
ordinance, and/or similar jurisdictional regulations.
Zoning ordinances usually rely on the delineation of dis-
tinct geographic zones or districts that allow a certain type of
development. The land use types in these districts typically
include residential, commercial, industrial, and open space
classifications. Product types generally associate with these
allowable land uses. The zoning ordinance will govern which
product types will be allowed in which zone. Subcategories
for each land use may stipulate a range in density within the
zone, prompting alternative development patterns or build-
ing programs.
During site selection, the development team should have
considered the development program with the zoning ordi-
nance to ensure their product type would be feasible on a
site. At the conceptual design stage of the land development
process, the designs begin to form around the developer's
product type. The site planner will be responsible for adapt-
ing the product types to the site to conform to the developer's
intended program and meet all jurisdiction requirements.
It is essential to understand different product types that
can be pursued in a project. These product types will be
the basis of the conceptual design efforts that are discussed

in Chapter 4.3. Each developer will usually be heavily
involved with the site planning based on their own program
and their intended use for the site. Also, development regula-
tions are different for each jurisdiction. Therefore, each proj-
ect is different, so it is not realistic to describe every product
type and configuration that is possible for a site. Instead, a
summary of the most basic types is described in this chap-
ter. Each of these can be adapted to high, medium, or low-
density projects or unique site constraints based on the needs
of the project.
It should also be noted that terminology can vary based
on the jurisdiction. The local zoning ordinance may define a
product type in one way, while the local building codes may
have a different definition. Additionally, the common percep-
tion of the product type may use a different term. For example,
a unit may look like a townhome, but if the row of townhomes
is on a single lot (rentals) the zoning code may consider it
a multifamily building. It is important for the development
team to agree on terminology to avoid confusion.
Land use approval and specific regulations will be depen -
dent on the local comprehensive plan for the jurisdiction,
the applicable zoning regulations, and the subdivision ordi-
nance and other regulations, as described in Chapter 2.4. It is
important to reference these ordinances when determining
the type of development for a project and producing designs.
The product types that will be introduced in this section
relate to these land uses:
• Residential
• Commercial retail
• Commercial office
FIG uRE 4. 2 A Single-family detached plan view (graphic produced from Fairfax County GIS data).
4.2 ■ PRODUCT TYPES AND DEVELOPMENT PRINCIPLES 323
• Industrial
• Mixed use
Residential. Residential includes
• Single-family detached
• Single-family attached
• Multifamily
Single-Family Detached. In a single-family detached resi-
dential dwelling, each individual living unit is a freestanding
structure. Each dwelling unit normally occupies a separate
recorded lot. In a conventional lot arrangement the single-
family home is surrounded on all sides by property or yards
reserved for the occupant's exclusive use. A plan view of a
typical single-family residential area is shown in Figure 4.2A.
A conceptual isometric view of single-family detached home
is shown in Figure 4.2B.
Zero Lot Line House. Like the single-family detached,
the zero lot line house is a freestanding unit on its own
separate lot. The building, however, is shifted to the side
against the lot line (Figure 4.2C). This allows for more
usable space on the opposite side of the house. This unit is
typically found in more urban settings where lots are nar-
row. The occupant has exclusive use of the front yard, back
yard, and one-side yard.
Cottage House. The cottage house, or bungalow court, is
generally a smaller single-family detached home. The cot-
tage house, however, is grouped together with other cot-
tage homes around a shared open space (Figure 4.2D). The
homes are situated tightly together, so the small-side yards
324 i@Uhili F%MUMll·ili¥%:W:i\ili41iM
may not be usable. The occupant may have exclusive use of
their back yard they may be positioned with little or no use-
able rear yard. Instead, they may have no exclusive use of any
of their yards, but instead will have the front yard and com-
mon space to share with their neighbors. Multiple cottage
houses can be located on one lot, or each cottage home could
be on its own recorded lot.
Single-Family Attached. Single-family attached dwellings
include housing types with multiple dwellings in a building
arrangement where two or more dwellings share common
walls, and in some cases common floors and ceilings. Each
unit usually has a separate private entrance at grade level
and/ or a contiguous exterior yard reserved for the occupant's
exclusive use.
Variations may include
FIG uRE 4. 2 B Single-family isometric.
• Duplex
• Townhouse
• Stacked townhomes
• Back-to-back townhouse
• Multiplex

Duplex. The duplex, or single-family semidetached unit, is

comprised of two living units that occupy a single structure,
separated by a common wall. They can be attached either side
by side or stacked one above the other (Figure 4.2E), with each
dwelling having its own exterior entrance. If they are attached
side by side, each dwelling unit is on a separate recorded lot
and surrounded on three sides by property reserved for the
occupant's exclusive use. If they are attached one above the
other, then both dwelling units may be located on one lot
together with common space that is shared between the units.
Townhouse. The townhouse is comprised of three or more
units attached side by side (in a row, also known as a stick of
FIG uRE 4. 2 C Zero lot line house isometric.
townhomes), as shown in Figure 4.2F. The townhouse is a
common urban housing prototype but has become a popular
component of the suburban housing market. A common or
party wall separates individual units, each with an at-grade
entry. Each unit is on its own recorded lot. Property on at
least two sides, normally front and back, is generally reserved
for the occupants' exclusive use.
Townhomes may be parked with rear loaded or front
loaded garages (the latter requires a wider unit to accommo-
date the front door)-or there may be no attached garage.
Stacked Townhomes. A stacked townhome may include
a multistory unit over a single-story flat, or another multi-
story townhouse over a similar multistory unit. A common
variation is the two over two, which is a two-story unit over
another two-story unit (Figure 4.2G).
Back-to-Back Townhouse. While considered an attached
multifamily housing type in many jurisdictions, the back-to-
back townhouse often divides the length of a traditional town-
FIG uRE 4. 2 D Cottage house isometric. house stick with an additional common wall that serves to
 4.2 ■ PRODUCT TYPES AND DEVELOPMENT PRINCIPLES 325

FIG uRE 4. 2 F Townhouse isometric.

separate units organized along opposing facade (Figure 4.2H).

The resulting aggregate building form has two front yards.
The double frontage prompts a need for careful site plan-
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

'-V"

FIG uRE 4. 2 E Duplex variations isometric. FIG uRE 4. 2 G Stacked isometric.

32& i@Uhili F%MUMll·ili¥%:W:i\ili41iM
FIG uRE 4. 2 H Back-to-back isometric.
space, which occupies the same facade. This configuration
can also be stacked as shown in Figure 4.21. A plan view of
this configuration is shown in Figure 4.2J.
Multiplex. The multiplex can be defined as many different
product types depending on the jurisdiction. Some include
all product types with a prefix representing the number of
attached units, such as a duplex, triplex, or quadplex.
Generally, a multiplex includes residences consisting
of three to eight units in various configurations. Some are
located on a single lot with a single entrance. Others are
located on single lot but with each dwelling unit having
its own separate at-grade exterior entrance. Still others are
FIG uRE 4. 21 Stacked-back-to-back isometric.
located on individual recorded lots with each unit having
a separate entrance, similar to the townhome. The yards
surrounding a multiplex unit may be reserved for common
occupant use or portions of the yards may be designated for
an individual unit's exclusive use. Figure 4.2K shows a vari-
ety of multiplex combinations.
Piggyback townhouses and manor houses may be consid-
ered another variation of multiplex units. Figures 4.2L, 4.2M,
and 4.2N depict variations of 3, 4, and 6 unit multiplex build-
ings, respectively.
Multifamily. Multifamily structures are characterized by
four or more units in a single building, with units sharing
access to the exterior by one or more common entrances.
Structures may be one or more stories and multifamily
communities or developments may consist of one or more
buildings on a single tract or lot. Structures are surrounded
by common open space, which often contains on-site rec-
reational facilities for resident use. Private drives or service
roads provide access to surface parking lots or in some cases
structured parking, private garages, or carports.
Multifamily structures are generally categorized as
either garden (low rise), mid-rise, or high-rise struc-
tures. Distinctions and characteristics of each of these are
described below.
Garden Style. Garden apartments, sometimes referred to
as walk-up or low rise, consist of one- to four-story struc-
tures (Figure 4.20). The individual apartment units may
be arranged along corridors or around common stairwells,
which may be enclosed within the structure or open and
integrated into the exterior architectural design. While
some units may have direct private entrances at grade level,
normally units share common entries. As the name implies,
the garden apartment focuses on melding the dwelling unit
to the building grounds. The building units are generally
organized around landscaped open space and parking
areas. Ground floor units may have direct access to exterior
patios or garden areas and upper floors may have balconies
or terraces, providing each individual unit with exterior liv-
ing space.
Garden apartments can include single-loaded buildings
in which the individual unit runs from the front to the rear of
a building (through units), or double-loaded arrangements
wherein each unit has a single (front or rear) exposure.
Figure 4.2P illustrates single- and double-loaded garden
apartment layouts.
Parking is usually accommodated in surface parking lots
surrounding the buildings. Some include sheltered park-
ing options such as carports or individual garages separate
from the building in the parking lot. Sometimes, small struc-
tured parking is included near the building, or the building
could be built atop a garage level. Garden apartment com-
munities increasingly promote amenity packages that
include community centers with pools, as well as expanded
site improvements including tot-lots, court facilities, trails,
and other park areas.
 4.2 ■ PRODUCT TYPES AND DEVELOPMENT PRINCIPLES 327

C
0
E
0
Front Yard u Front Yard
Section

Units have flanking front yards

Pion of 12 Unit Building

Interior units share rear

and side common walls
FIG uRE 4. 2 J Back-to-back townhouse.

Mid-Rise and High-Rise. Mid-rise multifamily residences
are generally four- to eight-story structures. High-rise resi-
dences normally exceed eight stories. Both rely on elevators
for vertical circulation. Individual dwelling units access com-
mon corridors. Units are generally arranged along opposite
sides of the corridor providing a single-exterior exposure for
the principal interior living spaces.
Internally, buildings are organized around the elevator,
utility, and a stairwell core, which may be central to the
building floor plate. Entered at a common lobby, or mul-
tiple lobbies at differing levels if terrain permits, the cor-
ridors penetrate the building extremities providing access
to the individual residential units. Additional stairwells
positioned at the further reaches of the corridor provide
320 i@Uhili F%MUMll·ili¥%:W:i\ili41iM

u u

p p p p

Triplex Quadraplex Eight-plex

U Dwelling Unit
P Parking Area
T Terrace or Patio
FIG uRE 4. 2 K Potential multiplex combinations: triplex, quadplex, octaplex.

FIG uRE 4. 2 L Triplex isometric.

"'V

FIG uRE 4. 2 M Quadplex isometric.

 4.2 ■ PRODUCT TYPES AND DEVELOPMENT PRINCIPLES 329

Double Loaded

rf0n l
U Dwell in g Unit
S Stoirway to Uppe r Uni ts

8acl<

Single Loaded

™ s s
rronl

Pion
s

Section

FIG uRE 4. 2 P Example of double-loaded and single-loaded garden

apartments.

buildings may be internal to the structure, but exterior ele-

FIG uRE 4. 2 N Six-Plex isometric.
an alternate 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.
A conceptual isometric of a mid-rise building is shown
in Figure 4.2Q and a high-rise is shown in Figure 4.2R.
Figure 4.2S is illustrative of a typical mid- and high-rise
multiple family floor plate.
Provision for parking increasingly relies on subsurface
or structured arrangements to maximize land use efficien-
cies and promote tenant convenience and safety. Many of
the amenity provisions of mid- and high-rise residential
ments may include a full range of recreational and leisure
activity areas. In more urban settings, this may include
indoor or rooftop swimming pools, landscaped arrival
courts, and lush-landscaped perimeters. On more expansive
sites, the provisions may include tennis courts, elaborate
pool facilities, and exterior exercise and recreation offerings
in a park-like setting.
Commercial Retail. Commercial retail includes
• Strip centers
• Community retail center
• Power center
• Freestanding

"'-I/

FIG uRE 4. 2 0 Garden apartment isometric. FIG uRE 4. 2 Q Mid-rise isometric.

330 i@Uhili F%MUMll·ili¥%:W:i\ili41iM
FIG uRE 4. 2 R High-rise isometric.
Strip Centers. Strip centers, or neighborhood centers, rep-
resent the aggregation of retail uses in a linear arrangement
most notably with their front facades paralleling roadways.
The retail usually includes small retail tenants and maybe
one smaller anchor tenant, like a drug store, for the center.
Typical small retail tenants include restaurants, convenience
stores, salons and barbers shops, dry cleaners, etc. Sometimes
the centers are positioned in an 'T' configuration at the
FIG uRE 4. 2 T Strip center plan view (graphic produced from Fairfax County GIS data).
u
u u u u u u
u
Corridor
u u u u
U Dwelling Unit
E Elevator Core
S Stairs
FIG uRE 4. 2 S Typical mid-rise and high-rise multifamily housing
floor plate.
intersection of major transportation routes (Figure 4.2T).
Generally, the establishments are one store deep, share com-
mon interior walls, and are linked by a common pedestrian
walkway across the storefronts.
The bulk of parking is aggregated into one or more
principal parking areas normally located between the store
facade and the street. Strip centers rely on a strong visual
relationship to the adjacent street frontage for identity and
marketing.
Community Retail Center. Like strip centers, community
retail centers share in their reliance on common parking
areas, major pedestrian circulation across storefronts, and
maintenance of a reasonable relationship and visibility to
adjacent roadways. The major distinction between the two,
however, can best be found in the size and number of retail
tenants. Community retail centers have at least one large
anchor tenant, or a larger retailer, like a grocery store. They

■■
FIG uRE 4. 2 U Community retail plan view (graphic produced from Fairfax County GIS data).
may have additional smaller anchors and other small retail
tenants throughout. Other differences include an abandon-
ment of sole reliance on a linear arrangement for all of the
retail establishments, and the introduction of smaller pad
sites within the retail center site.
Centers often are arranged in an 'T' or "U" shape with
anchor stores occurring at the building extremities and/or
central to the parking lot (Figure 4.2U). These arrangements
take advantage of parcel depth, and by 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 freestanding retail pad sites such as banks, gas
stations, and restaurants at the center or along the roadway
frontage prompts a functional complexity to a retail center and
requires careful attention to site details to ensure sufficient vis-
ibility, access, convenience of parking, service, and loading.
Power Center. The power center is similar to the previ-
ous retail centers, except it is even larger and contains more
anchor retail tenants. Big box stores are typically located
within a power center as well as other anchor tenants,
smaller anchors, and other small retail tenants. Additionally,
several pad sites (standalone buildings such as banks or fast
food buildings) can typically be found on the periphery of
the power center (Figure 4.2V).
Regional Mall. The distinguishing characteristics of the
retail mall, or lifestyle center, is the large department store
anchors in addition to the other anchor and retail tenants.
Generally, the stores surround and connect to an inter-
nal pedestrian walkway, located between opposing store
facades. The mall may be either open or under roof with
both arrangements providing an opportunity to direct
customers along the central walkway of intervening retail
4.2 ■ PRODUCT TYPES AND DEVELOPMENT PRINCIPLES 331
t
--
establishments. The separation of major pedestrian move-
ments from peripheral vehicular parking and circulation is
another component of the mall.
Parking surrounds the mall building, usually in expan-
sive parking lots. Sometimes structured parking can assist in
reducing distances between parking areas and retail stores. A
normal convention in organizing on-site vehicular circula-
tion is to position a service drive at the building perimeter
and a perimeter road near the outer edge of the major field of
parking (Figure 4.2W). Major approaches to the mall tend to
be aligned with main store anchors. In many instances, pad
sites may occupy acreage between the outer mall loop drive
and the perimeter street network.
Freestanding. The freestanding, also known as an out-par-
cel, retail establishments are associated with individual retail
tenants occupying a single building on a separately recorded
lot. Figure 4.2X highlights the freestanding retail pad within
a larger power center development. These establishments
include restaurants, banks, and gasoline stations, and simi-
lar singular operations may be located on an individual lot.
These lots are sometimes within or proximate to larger retail
or shopping center and may be referred to as pad sites if they
are within the parking area or along the road frontage of
larger retail centers.
Freestanding retail may be an establishment sited on a
separate recorded lot, which 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 represent
a national or local business with a sufficiently unique market
to generate patronage at a location apart from other retail
trade or whose functional requirements are best satisfied as a
freestanding structure.
332 i@Uhili F%MUMll·ili¥%:W:i\ili41iM

•
I

FIG uRE 4. 2 V Power center plan view (graphic produced from Fairfax County GIS data).

The size and functional characteristics of such establish- generally present less difficulty in insuring community
ments vary considerably. However, building visibility, the fit and may afford advantages to the extent parking, street
number and convenience of customer parking, and the size improvements, and other infrastructure considerations may
and location of loading and service requirements generally serve multiple users.
represent the primary site design criteria that establish the Commercial Office. Commercial office includes
pattern for such uses. Where such a facility is contemplated
at isolated locations, one can anticipate a greater need to • Freestanding
ensure measures of compatibility with surrounding develop-
• Garden office
ment. Integration of freestanding retail uses as an adjunct to
neighboring strip, center, or mall retail development patterns • Townhouse office

FIG uRE 4. 2 W Regional mall plan view (graphic produced from Fairfax County GIS data).

FIG uRE 4. 2 X Freestanding plan view (graphic produced from Fairfax County GIS data).
Freestanding. Freestanding office buildings gener-
ally comprise a self-contained building on an individually
recorded lot or parcel. The building may contain single or
multiple users or tenants. Space may be rented or owned by
the tenant or tenants. Its occupancy of a separate recorded
parcel or lot and need to singularly satisfy appropriate zon-
ing criteria is perhaps the only generalization that may be
made of the freestanding office structures. They can range
from multifloor multi-tenant structures with relatively high
floor area ratios and heavy reliance on structured parking
to small single-tenant buildings serviced entirely by surface
parking.
Types of office include Class A, B, and C. Class A offices
are the highest-quality, new construction in the best loca-
tion. Class B are high quality but in less desirable locations.
Class C includes most of everything else. Over time an office
building can be downgraded as the building ages. On the
other hand, the building can be upgraded with renovations
and achieve a higher class.
All classes of freestanding offices can exist in urban loca-
tions as well as suburban and even rural locations. In an
urban setting, the Class A offices include the premier high
rises in the central business district. Class C offices could be
found in an aging suburban location.
The location and context of the surrounding land use
factor heavily into the nature and execution of site design
for office buildings. A more urban siting, with higher land
costs, may confine the size of the building footprint and
prompt a taller structure to secure the desired square foot-
age. Such buildings may demand stronger street presence
to satisfy pedestrian access, increased reliance on struc-
tured or below grade parking, more intensive landscape
4.2 ■ PRODUCT TYPES AND DEVELOPMENT PRINCIPLES 333
development associated with modest residual open space,
and greater restrictions on the number and location of
access points.
Buildings in less urban locations benefit from lower
land costs and may result in larger building floor plates,
lower building height, and more expansive site improve-
ments, including reliance on surface parking. Building
siting may or may not demand a strong street presence.
Institutional and corporate clients may prefer a more
secluded setting in which the building is buffered from
surrounding uses for purposes of privacy or security. A
conceptual isometric of a free standing office building is
shown in Figure 4.2Y.
Other types of office products include the garden office
and the townhouse office.
Garden Office. Similar to the garden apartment, garden
offices, or office condominiums, are low density and gener-
ally provide for multiple tenants in a low-rise assembly of
buildings (Figure 4.22). It is particularly attractive to pro-
fessionals and service-oriented businesses that benefit from
proximity to surrounding residential areas. Its scale is gen-
erally conducive to locations near residential development,
and the architectural style and scale may closely resemble
garden style multifamily residential construction.
Ranging from one to three stories, the tenant space is
normally divided horizontally, by floor, with individual
entry often open to common stairwells. Multilevel struc-
tures may be equipped with elevators. Buildings may be
arranged linearly with common parking areas to the front,
or clustered around parking areas or pedestrian courts.
Where the terrain permits, entry may be gained at different
levels of the building providing the additional benefit and
334 i@Uhili F%MUMll·ili¥%:W:i\ili41iM

FIG uRE 4. 2 AA Townhouse office isometric.

The individual units may be single-story or multiple levels.

'-V"
FIG uRE 4. 2 Y Freestanding office image.
convenience of having associated parking at the same level
as tenant space.
Townhouse Office. Low-rise office space compartmental-
ized vertically may be classified as townhouse office. Simi-
lar to its residential counterpart, each unit is organized to
access directly to the exterior at grade level (Figure 4.2AA).
While normally a single tenant occupies each unit, smaller
businesses may occupy separate floors of the same unit.
Townhouse office, like garden office, benefits from a
scale that is conducive to a location near residential areas.
Its tenant profile focuses heavily on occupations and pro-
fessional services that seek that proximity. Typical layouts
vary from linear to cluster patterns, and topography may
facilitate use of the lower level of the unit to accommodate a
separate tenancy.
Industrial. Industrial includes
• Heavy manufacturing
• Light assembly
• Flex industrial
• Bulk warehouse

Heavy Manufacturing. Heavy manufacturing includes

heavy industrial uses. Precedent activity, proximity to raw
materials, natural resources, power sources, and location at
major transportation hubs and population centers are sev-
eral factors that prompt need for heavy industrial activity
in otherwise urban and suburban markets. Generally, these
activities foster a litany of potential use conflicts.
Zoning criteria normally focus on minimum dimensional
standards and performance criteria to reduce or contain the
impacts of such uses. Facilities may include intense manufac-
turing operations; heavy equipment, construction, and fuel
yards; mining and quarrying and major transportation termi-
nals; and other equivalent concentrations of potential noxious
uses. Heavy reliance on truck transport favors industrial loca-
tions with reasonably convenient access to major arterial or
collector roads or in the case of interstate trade, major free-
"V ways, and highways. Reliance on rail and water access contin-
FIG uRE 4. 2 Z Garden office isometric. ues to be important to certain types of industrial activity.

Light Industry. Light industry includes medium intensity
and light industrial uses. Product fabrication and assembly
operations, storage, and similar industrial operations in sub-
urban locations tend to be categorized as light manufactur-
ing. This may include distribution centers, warehouses, and
data centers. They offer reduced levels of noise, smoke, glare,
and other environmental pollutants normally associated
with the more intense or heavy industrial activity. Devel-
opment considerations and site design issues do not differ
substantially from those previously cited. Characteristics
associated with a smaller scale of operation or activity that
has a relatively less invasive impact on surrounding land uses
often accommodates mitigation of concerns within the con -
fines of the site.
Flex Industrial. One of the more notable and popular
building forms that has emerged in suburban development
markets is the "flex-tech'' or "office showroom'' prototype
that allows for a mix of industrial with office. The overall
building shell is designed to allow the compartmentalization
of separate units depending on the spatial needs of individual
tenants. Generally, unit or "bay" sizes are tied to the modular
dimensions of the building structure (the roof span between
vertical support elements).
The overall length of the building may be divided by inte-
rior walls providing each occupant an exterior exposure on
both the front and service side of the building. The front
exposure is generally devoted to pedestrian access and proxi-
mate parking. Limited retail sales, showroom, or administra-
tive offices may be located at the front of the tenant bay.
The utility or service side of the bay is accessed from a
vehicular service drive. Service drive pavement dimensions
are sized relative to the type of service vehicle required for
the targeted tenant group. Individual or shared loading docks
or service doors generally extend along the service facade
I
oc
I.I
FIG uRE 4. 2 BB
"
Mixed-use plan view (graphic produced from Fairfax County GIS data).
4.2 ■ PRODUCT TYPES AND DEVELOPMENT PRINCIPLES 335
proximate to interior bay storage, fabrication, or assembly
operations.
While buildings are normally single story on slab con-
struction, full or partial second stories (mezzanine levels)
may be incorporated into the building. Upper levels are com-
monly devoted to administrative uses and often are limited
to the front module of the building.
Mixed Use. Mixed-use projects are becoming increasingly
popular in both urban and suburban areas. These types of
developments provide a mix of uses on a given parcel(s) of
land. There may also be a mix of uses within the building
itself. Mixed-use projects regularly include retail within a
residential or office building. Retail will be on the ground
floor of the building, with the primary use on the other floors
of the building. Allowing for retail on the ground floor helps
to activate the street front to create a lively development.
Mixed-use development creates nodes or places of inter-
est and should ideally be placed along or proximal to trans-
portation or other high activity/visibility corridors. These
corridors are not limited to just automobile corridors, but
may include systems of mass transit, pedestrian connections,
or greenways. By creating nodes within the community, it
provides a community with a sense of organization, and
will help facilitate the traffic patterns: pedestrian, vehicular,
or otherwise between nodes. By combining uses, the devel-
opment becomes a vibrant area where the community can
live, work, and play without having to travel between each
activity.
Beyond the mix of uses, signature design elements
include the streetscape and scattered open space areas usu-
ally in the form of pocket parks or plazas. Mixed-use devel-
opments are typically dense and may be complimented by
other dense product types such as town homes and multi-
family products (Figure 4.2BB).
33& i@Uhili F%MUMll·ili¥%:W:i\ili41iM
~
FIG uRE 4. 2 CC Live work unit isometric.
Live Work Units. Live work units may be included in a
mixed-use development. This product is typically composed
of a multilevel structure similar in nature to a residential
townhome or duplex. The difference, however, is that the
first floor is a retail or office component, and the subsequent
floors form a residential unit (Figure 4.2CC). The live work
scenario presents a unique architectural opportunity as the
facade is both a "store front" and a housefront. This may
include two separate entrances, unique window treatments,
signing considerations, and parking considerations. Live
work units would typically be parked at the residential rate as
it is generally assumed that the "work" component is a com-
munity serving establishment and as such would not have
high vehicle demand. Live work units can create a unique
sense of place and provide a community with a greater diver-
sity in product type.
4.2.3. Development Types
Each product type described in the last section can be devel-
oped differently. This is determined by not only the develop-
ment program, but also by the local jurisdiction and what they
will allow. While much land development activity is single
zone, or single-use development, other more flexible develop-
ment patterns exist to foster a framework for greater variety in
the permitted land use arrangements.
The following section includes a summary of typical
development types. It is not realistic to describe every devel-
opment type that is possible for a project. Instead, this should
be a good reference for a list of commonly encountered
development types.
The development types that will be introduced in this sec-
tion include
• Conventional subdivision
• Alternative subdivision
• Office/industrial park
• Campus
• Traditional neighborhood development
• Transit-oriented developments
Conventional Subdivision. Historically, the most common
type of residential development is the conventional subdivi-
sion. Created by the division of a larger land tract or parcel
into smaller land units for both dwelling units and nonresi-
dential spaces, such subdivision commonly requires new
streets and utilities to service the newly created smaller lots.
While subdivisions have become varied in pattern, lot size,
street alignment, open space network, and in some cases a
 4.2 ■ PRODUCT TYPES AND DEVELOPMENT PRINCIPLES 337

mix of permitted land uses, conventional development con-
tinues to thrive on the simple premise of subdivision ofland.
It has been the mainstay of suburban residential develop-
ment and accommodation of proximate retail, employment,
and public facilities. The larger tract of acreage is divided in
a manner that provides the transfer of land ownership to the
subsequent users. Streets are normally incorporated into pub-
lic ownership, and community open space, if provided, may be
deeded to an appropriate public or semipublic entity. Single or
multiple builders may initiate construction on a lot-by-lot basis.
Figure 4.2DD represents a typical conventional subdivision.
It is important to remember that the subdivision (or con-
solidation) ofland requires compliance with the subdivision
ordinance, as described in Chapter 2.4.
Alternative Subdivision. Alternative approaches to
residential subdivision exist to strike a balance between
development demands and resource conservation. By
providing the same density that would otherwise occupy
the subdivision in a smaller or concentrated develop-
ment footprint, these alternative approaches provide a
unique forum for thoughtful design and distinct advan-
tages in terms of optimizing the development potential
of the land. These alternative subdivision planning con-
cepts aim to
• Enhance conservation/preservation of environmen-
tally sensitive areas
• Provide economic diversity within individual devel-
opment projects
• Reduce infrastructure costs by utilizing compact or
concentrated layout patterns

10 25

11 I 24
I

17 2al
I -----1 I

~-- __ _I_ __ --~

1--
'-----7 ,--T---7 1--1
>------- - -----< '----- ___J

ir' ------<
I
T' -- 7 i
ir- --+, L__7 "i
I

~--~j ~--+--~ ~--~

c:: c::i_:J c-_~J
I

Conventional Subdivision
Landuse Tabulation:
I I I I I

- 34 Lots
- 0.0 Acres Open Space
- 38.5 Acres Total Site Area

FIG uRE 4. 2 DD Typical conventional subdivision.

33a i@Uhili F%MUMll·ili¥%:W:i\ili41iM
• Increase the linkages and connectivity between
neighborhood entities, and subdivisions
• Yield economic value from land dedicated to agricul-
tural or other natural resource production endeavors
without obliterating said use
Often jurisdictions that allow alternative subdivision
approaches (such as those discussed in later sections) require
a concept plan for a conventional subdivision to determine
the maximum feasible amount of lots. Thus if the conven-
tional subdivision approach is applied to a SO-acre property
and yields 25 residential lots, the maximum number of resi-
dential lots provided using any alternative subdivision meth-
odology will often not exceed 25.
Cluster Subdivision. Cluster subdivision relies on subdi-
viding larger properties into smaller lots or parcels, but dif-
fers from conventional subdivision in that it typically results
in a land plan with a greater percentage of the overall acreage
set aside in common, communal conservation or open space.
To achieve this type of development the reviewing agency
will generally allow a reasonable reduction in minimum lot
size and setbacks, provided there is no increase in the over-
all number of lots that would otherwise be permitted under
regulations for a conventional subdivision.
Land which is not part of the residential lots is set aside as
community gathering space or open space. A cluster subdivision
commonly places the development on the most usable areas of
a site resulting in the reduction of development costs relating to
site grading and infrastructure development and the preserva-
tion of or reduced impact on environmentally sensitive areas.
Cluster subdivisions require an increased attention to the details
of the design and layout; for instance, the inherently smaller lots
in a cluster subdivision necessitate alternate methods for privacy
between adjacent units. As a result, greater controls are often
placed on the individual unit design and orientation. A typical
cluster subdivision can be found in Figure 4.2EE.

-------- .-
._-

8
,-------
1-

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- :I

j"L7
I. -

•. 6 --
12
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23
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L____
I 29
_;
i:
__ ,
-1 --.·:-_ ··.
_ _ i;;.......;..;a~..;...J

r.:r-,
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13 22
--~[;'_:: 30 -

I~::J:
- I
.- I I -.-_
I I_-_

i~-'[:
,--4
__ _J 7 1--

--- I
-- I
-.
•- I 3
-- 32 1-:

:-:j r-:::
-r---
::,
-J
16 19
1--:_ I -
,_-,,
I -
r _, i - - - - - - - - - 1
17
-- ----------1
18
1 - - - - - - - - - 1 - -1
34
pen Spac

-: . ·- ~ ..

Cluster Subdivision
Landuse Tabulation:

- 34 Lots
- 7.2 Acres Open Space
- 38.5 Acres Total Site Area
FIG uRE 4. 2 EE Cluster subdivision_
 4.2 ■ PRODUCT TYPES AND DEVELOPMENT PRINCIPLES 339

One of the benefits of cluster development rests with the significant lot size reductions granted in exchange for perma-
potential reduction in per unit infrastructure costs, given nent preservation of sensitive environmental space, unique
the aggregation of dwellings on only a portion of the proj- landscape features, productive land (agriculture or forest), or
ect acreage. Similarly, the conservation of community open land of historic relevance. This open space is ideally part of a
space in cluster arrangements and its amenity appeal may larger open space system or green corridor. This land which
offset market concerns with smaller lot sizes and the poten- is set aside as open space could be composed of wetlands,
tial reduction in individual unit privacy. steep slopes, or other environmentally sensitive feature that
Conservation Subdivision. A conservation subdivision is is more costly to develop in terms of site grading, infrastruc-
an extension of the cluster concept: it is similar in many of its ture, and permitting.
characteristics including a reduced lot size and commitment Office and Industrial Park. The office park requires coor-
to preserve open space (Figure 4.2FF). This subdivision dination and control of a property assembly suitable for
model is more common in rural and greenfield applications multiple office buildings and support services. The office
and almost always includes a significant portion of the land park seeks to locate individual freestanding office structures
placed in perpetual conservation via easements, agreements, in a setting enhanced by open space and landscape ameni-
covenants, or other legal restrictions. The allowable density ties. In addition to in-place jurisdictional controls, supple-
is based on the underlying zoning and is achieved through mental guidelines and covenants generally ensure that all

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Conservation Subdivision
Landuse Tabulation:

-34 Lots
-17.2 Acres Open Space
- 38.5 Acres Total Site Area
FIG uRE 4. 2 FF Conservation subdivision.
340 i@Uhili F%MUMll·ili¥%:W:i\ili41iM
development within the park will meet certain predeter-
mined standards. The internal street system and infrastruc-
ture is normally planned and developed by a single entity.
This results in the availability of sites suitable for sale for
individual building construction.
The availability of appropriately zoned office acreage with
in-place infrastructure is attractive to prospective owners
or tenants who may have neither the time, resources, nor
inclination to subject themselves to time-consuming front-
end requirements necessary to transform raw land for office
development. The proximity of similar and related uses cou-
pled with the shared infrastructure and amenity packages,
which may not be economical to any single user, are induce-
ments for location within a well planned and executed office
park. Shared infrastructure elements may include both on
and off-site utility and roadway improvements as well as on-
site amenities. Amenity provisions can range from extensive
woodland preservation areas and water features to common
recreation, athletic, and social facilities. Depending on the
location and scale of the park; hotel, select retail, and day-
care facilities may also be included. Figure 4.2GG depicts an
office park parcel plan.
Industrial parks are constructed for the same reasons
and with similar standards as the office park. Contemporary
development patterns, evolution in building technology, and
opportunities or requirements for the containment of nox-
ious impacts has fostered a radical alteration in industrial
prototypes over the last several decades. This has resulted
in refinements in standard land use controls, which are sen-
sitive to trends focusing on the aggregation of compatible
industrial activities in planned industrial parks.
FIG uRE 4. 2 GG Office park plan view (graphic produced from Fairfax County GIS data).
The emergence of zoned industrial districts qualified
as "institutional;' "research;' "technology;' "warehouse;'
and "distribution'' centers reflects unique sets of operating
requirements, an affinity for like-kind uses to collocate, and
market-driven pressure for elevating the site aesthetics of
select industrial land use activities.
Local public controls may afford opportunities for the
creation of an industrial district that caters to uses that can
demonstrate compatibility with surrounding land activities.
Positioning more compatible activities at perimeter locations
often assists in creating an overall planned industrial devel-
opment that affords considerable variety in tenancy and use
opportunities.
Campus. A campus development type is applicable to col-
leges, universities, hospitals, and extends to large commercial
facilities. The campus development will include several build-
ings, each with different uses, but connected by a common
ground. The uses within a campus can include the primary
use (education, healthcare, etc.) with housing, office, retail,
restaurants, and other support facilities-these uses are often
adjacent or mixed within a single building. Many campuses
will have a central plant for distribution of power, steam heat,
chilled water, or other support utilities.
Each campus will have a unique development type based
on the history, size, use, and planned growth. The develop-
ment patterns and goals are often outlined in master plan-
ning documents or pattern books. A college campus may
have over a hundred years of development history and is
always considering future growth and expansion. Many
campus developments grow to meet the needs of the com-
munity. Development within a campus should plan for

FIG uRE 4. 2 HH Campus plan view (graphic produced from Fairfax County GIS data. George Mason University campus shown).
future expansion and consider impacts to historic site con-
ditions. Figure 4.2HH depicts a university campus plan view.
Operations within a campus, especially education and
healthcare, are continuous. The active uses, safety, and
potential for disruption of services should be considered
during the planning and construction of new projects. Pri-
mary modes of transportation within a campus are walking,
biking, and campus transportation (trolley, bus, shuttle).
Traditional Neighborhood Design. Traditional neighbor-
hood design or TND (sometimes referred to as new urbanism
or neotraditional design) is derived from the contemporary
design of the early to mid-1900s. During that period of time
many cities in America were composed of close-knit com-
munities, defined by usable green space, a variety of hous-
ing types, and active street fronts. TND seeks to recreate this
communal experience through application of specific design
characteristics at the lot, block, and neighborhood level.
TND neighborhoods are characterized by smaller lots and
rear (or alley) loaded homes, thus emphasizing the houses
and the streetscape rather than parked vehicles. Many homes
include front porches-an extension of the house itself-
facilitating social interaction and lively street life. Traffic pat-
terns throughout the community typically follow a modified
grid pattern with primary, secondary, and minor transporta-
tion corridors. These corridors allow for efficient automo-
bile traffic and promote pedestrian activity. Streets may have
on-street parking and when they do, ample space is typically
provided between the street and sidewalk to create a green
buffer, planting strip, or utility corridor.
These communities often include a commercial compo-
nent and a central gathering space. The inclusion of a central
gathering space, pocket parks as well as other public opens
4.2 ■ PRODUCT TYPES AND DEVELOPMENT PRINCIPLES 341
1
\
spaces scattered through the community creates distinct
nodes in the organization pattern that facilitate pedestrian
activity and connectivity throughout the community.
TND neighborhoods can occur in both infill (redevel-
opment) and greenfield development projects. These types
of developments are often driven by community interest,
involvement, and economics as they often result in a variety
of housing types and price points within a single commu-
nity. Through the use of TND developments, designers and
decision-making bodies hope to accomplish a broad range of
goals including
• Revitalize the urban and suburban landscape through
creation oflivable, efficient communities
• Reduce suburban sprawl
• Preserve greenways and provide density in rural or
fringe greenfield developments
• Improve the quality oflife for those who live in or
near these communities
• Reduce the dependence on the automobile as the pri-
mary source of transportation
Transit-Oriented Development. Transit-oriented develop-
ments (TODs) have emerged recently in many urban and
suburban areas in response to extreme traffic congestion.
Communities have begun to focus development around
mass transit hubs, such as a rail or subway stations, airports,
bus terminals, or some other type of transportation corri-
dor. Often the development density tapers from its highest
density around the hub and decreases as the development
radiates out.
342 i@Uhili F%MUM\i,i/i¥%:W:i\ili41iM
These developments promote the use of alternative means
of transportation, other than the automobile. The develop-
ments are often mixed use and commonly composed of resi-
dential, commercial, office, retail, and community open space.
TOD developments focus on creating a pedestrian friendly
environment, where the use of a mass transit system is encour-
aged. A development may be considered transit oriented if it is
within ½ mile or approximately 10 minutes walking distance
of the transit hub. Goals of a TOD development might include
• Reduce traffic congestion and encourage the use of
mass transit or pedestrian forms of transportation
• Revitalize urban settings around an established transit
systems, and reduce suburban sprawl by concentrating
development at transit hubs
• Improve the quality oflife for those who live in or
near these communities by providing a safe environ -
ment that also meets lifestyle needs
• Reduce the dependence on the single-occupancy
automobile as the primary source of transportation
4.2.4. Development Scope
Each development can be designed as a standalone project or
as part of a larger master planned project.
Standalone Project. Most of the development types bring
to mind a large-scale development, with multiple buildings
and many interior site roads. However, that does not always
have to be the case. A standalone project can achieve each of
these development types on a small scale, whether it is a sin-
gle building or simply a small lot. As an example, a new office
building near a train station can be a transit oriented devel-
opment. Or, a subdivision can be a single lot subdivided into
two parcels. The success of the project and the success of the
designs are not determined by the scale of the development.
While the development may be a standalone project,
independent of other nearby developments, it is important
to consider:
• The recommendations with the comprehensive plans
• Interactions with neighboring properties
• Awareness of adjacent development
• Nearby projects and future potential
• Phasing and implementation
Master Planned Project. Each development type can also
be achieved as a large-scale development. Master planned
projects are typically designed as a single comprehensive
entity on a larger track of land, with a mix of product types
and land uses, both public and private.
For instance, a master planned subdivision may include
product types of varying sizes of single-family homes, mul-
tifamily units, commercial retail, or possibly commercial
office components. Ideally, this planning method creates a
balanced hierarchical community. The development often
includes internal transportation infrastructure, an open space
network, or some other type of organizational characteristics.
Amenities in these communities vary and range from unique
environmental features, recreational uses, open space, or trail
systems to the creation of a destination location such as a town
center, community green, municipal building, neighborhood
attraction, or a regional commercial center.
Master-planned projects represent large land assemblies
that attempt to satisfy a full range of lifestyle choices and
provide the requisite support elements to sustain its resident
population. All previously defined development types could
be represented in a master-planned project. Normally, devel-
opment is undertaken by a single owner or master developer
who in addition to orchestrating the financing, planning, and
design of a project may construct the required infrastructure
and community amenities, making sites available to others
for individual building construction.
These master-planned projects may be governed by a pri-
vate master plan or other private development guidelines.
While the comprehensive plan and zoning are public regula-
tions, a private plan may be established to direct the imple-
mentation of a master-planned project. This is common for
campus projects like a university or hospital. These types of
projects may include a master plan document that decides
what kind and where future growth will occur. This may
include a phasing plan to dictate when this growth should be
expected. This master plan may also include design guide-
lines that dictate the architecture, streetscape, or other design
features of a master-planned project.
4.2.5. Product Design Guidelines
There are many different product and development types that
can be considered for a project. It is important to remember,
though, that this is merely a summary. There are many more
types, arrangements, and styles that can be designed for a
project. Every project is different, and every site design is
unique. A good foundation and basic understanding of most
product and development types, however, will allow the site
engineer to be successful.
The next step in this design process would be to decide
which product or development type to use for a project. Cer-
tain decisions will be made by the developer themselves and
their development program. Other decisions are prescribed
by the local jurisdiction in the subdivision and zoning ordi-
nances, and must be followed. These will generally determine
the allowable uses for a site (or a rezone could be initiated
to achieve a more desirable use) and will help to determine
which product types and development types can be achieved.
This section describes guidelines to consider when choos-
ing and designing a product for a site.
Residential Product Types
Design Process. As with all land development activity, resi-
dential site design criteria stems from two principal sources.
The first consists of standards associated with the prospective
use. This includes the spatial characteristics and site provi-
sions requisite to housing and servicing the facility, its ten-
ants and customers. The second set of criteria concentrates
 4.2 ■ PRODUCT TYPES AND DEVELOPMENT PRINCIPLES 343

on local land development plans and controls. While the zon-
ing ordinance is the primary gage for establishing site perfor-
mance, 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 determining that the
proposed use is appropriate for a given property, setback,
height, bulk, other dimensional and performance standards
constitute the principal site design criteria. These standards
are normally contained in most jurisdictional subdivision
and zoning regulations.
Most zoning ordinances specify detailed design criteria and
development standards for multifamily projects. For large mul-
tifamily projects, minimum standards are adopted to guard
against overcrowding, to ensure access to light and air, to pro-
tect privacy, and to ensure compatibility between land uses.
Density. In the zoning ordinance, each residential zone usu -
ally includes an allowable range of density for a site, including
means and method of calculation. Project density is usually
set as a maximum number of dwelling units per acre. In some
instances, the residential density may be expressed as a maxi-
Pipestem or flag lots were originally designed to allow
access to otherwise landlocked parcel acreage. Use of this
technique recognizes the environmental and economic
advantage in substituting private driveway lengths to access
land, which would otherwise require additional street length
and potentially greater site disturbance and infrastructure
costs. The negative attributes of this technique include the
potential burden on homeowners to individually maintain
longer driveways or private street lengths, potential access
constraints for emergency vehicles, and possible undesirable
house-to-house relationships, as pipestem dwellings may be
perceived to be in the rear yards of adjacent residences.
However, judicious use of the pipestem lot arrangements
can pose distinct benefits in residential design when its use,
resulting lot size dwelling orientation and access consid-
erations are based on sound site planning and community
design criteria. Examples of these lot configurations are pre-
sented in Figure 4.2II.
) -,~
: (3)

mum permitted square feet of building or floor area coverage l -- 7 !,--

per acre of land, usually for higher density sites. The density
calculations may require the omission of all undevelopable
land. Instead of density values, the jurisdiction may also use
1 ',
I
(2) (1) : (1) : !:
:
"--~I _J_ liL (1) ,'
(2)
I
, ';

( 1)
I ,/

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(2) 1 '- - Str;et /_
I
geometric requirements to control density by establishing
minimum lot sizes, required open space, maximum impervi- I /
ous area, or other physical constraints. Refer to Chapter 4.1 for I _,/ (2) : (1) : : (1) : (1) : (2) / ~ /
information on density and yield studies.
The ordinance may also describe a minimum acreage
L_ __ ~__ l __H-,(1)//
assembly for select residential types. Often cluster, conserva- (3) ,"-...._ <1) /401/
tion, or other planned development districts require a mini- I (1)-.. . . . . . q'j
' "--I
I
mum amount of acreage to be eligible for that zoning district. ( 1) Conventional Lot I I I

Lot Size. The lot must meet a minimum or average size pre-
scribed in the community's zoning ordinance. For residential
subdivisions, lots are normally square or slightly rectangular.
Lot Dimensions. Minimum lot dimensions, minimum lot
(2) Pie Shaped Lot
(3) Pipestem or Flag Lot /I
Shortened Street Length
widths, and frontage requirements are generally governed
by the local zoning ordinance. This includes distinction
between interior and corner lots, pipestem or flag lots, and
cul-de-sac lots. I

Decisions to exceed that dimension are often prompted

by market demand for additional distance between dwelling
units, the dimensions of the proposed house, or preferred
r--_i, t---1
L _ ------j t-- - ___j __ __J

~--~}--~ ~--~.f--~
driveway approach to the garage. An attached side loaded
garage requires a wider lot than a similarly sized front loaded
facility. These decisions will be made by the developer or the

_t~J~[J__t~J~r-~i
building team.
Lot Shape. For subdivision developments, lot lines nor-
mally run perpendicular to the street frontage. Variations
in lot configuration commonly include "pie-shaped" lots Street Street
around cul-de-sacs, and "flag'' or "pipestem'' lots. The latter
convention provides limited lot width along the public street
frontage to accommodate driveway access and a widening
* Pipestem Lots utilizing
common private drive
of the lot at the building setback line sufficient to satisfy the FIG uRE 4. 211 Example of conventional lot, pie-shaped lot, and flag
desired house type and its yard requirements. or pipestem lot.
344 i@Uhili F%MUMll·ili¥%:W:i\ili41iM
The ordinance may prescribe a maximum number of
pipestem lots permitted. Lot restrictions may also be listed,
regarding inclusion of environmentally sensitive areas and
utility easements. The zoning may determine a maximum
lot coverage, which is the ratio of the built structures (build-
ing footprint and other accessory structures) and total area
of the lot. This is usually listed as a maximum percentage.
Setbacks. Zoning ordinances generally provide setback
and yard requirements for single-family residential develop-
ment to ensure functional side, rear, and front yards. Mini-
mum yard requirements, including front, rear, and side yard
requirements may be expressed as a minimum dimension or
relationship to the height of the building. Traditionally, front
yard setbacks are generally a minimum of 20 feet to accom-
modate the length of a parked vehicle in the driveway. Front
yard setbacks may vary depending on the nature and scale of
the adjacent street.
Lesser setbacks may be acceptable where alternative park-
ing arrangements are provided, as is the case where rear
accessed alleys or service drives are employed. Deeper set-
backs may be required along more heavily traveled arterial
streets than on neighborhood streets or cul-de-sacs with less
traffic volume.
For higher density residential product types, the zoning
ordinance provides specific setback requirements related to
the development type. In some cases, the setbacks may be
limited based on building separation requirements and prac-
tical considerations. For traditional neighborhood develop-
ments and more urban settings, the setbacks will usually be
smaller to allow for the building to better front the adjacent
street. Figure 4.2JJ depicts a conventual lot and setbacks
while Figure 4.2KK depicts a denser cluster lot with reduced
setbacks.
Bulk Regulations. The subdivision and zoning ordinances
will usually prescribe a maximum building height and meth-
ods for calculating height. In attached and multifamily hous-
ing types, considerations may include
• Minimum unit width or size.
• Limitations regarding maximum number of units
that may be grouped together.
R-4 Conventional Lot Standards
(Fairfax County, Virginia)
Minimum Lot Size 8400 SF
Minimum Interior Lot Width 70 Feet
Minimum Front Yard 30 Feet
Minimum Side Yard 10 Feet
Minimum Rear Yard 25 Feet
Remaining Building 3250 SF
~~ __ _J_ _
Envelope
Street
FIG uRE 4. 2 J J Typical conventional lot.
R-4 Cluster Loi Standards
(Fairfax County, Virginia)
Minimum Loi Size 6000 SF
Minimum Interior Loi Width None
Minimum Front Yard 20 Feel
Minimum Side Yard 8 Feel
Minimum Rear Yard 25 Feet
Remaining Building 2420 SF 0
Envelope N
__ _J __
Street
FIGURE 4.2KK Typicalclusterlot.
• Maximum distance between unit entry and parking.
• Variation in architectural facade and setbacks.
• Minimum setback from common property lines.
• Minimum distance between buildings.
• Standards and criteria for determining the number
and placement ofloading and service areas.
Building and fire code requirements must also be followed.
Parking and Access. Criteria governing minimum parking
spaces are normally expressed in relationship to the use and
sometimes the floor area of the proposed building program.
Most low density residential product types can accommo-
date parking requirements with garages in the units and
on-street parking (Figure 4.2LL). Residential units without
garages may need parking lots to accommodate the require-
ments. Higher-density residential product types will require
more attention to ensure the minimum parking requirement
is met. Structured parking garages provide the opportunity
to allow for a higher density product type on a smaller lot,
albeit at a higher cost (Figure 4.2MM).
The subdivision and zoning ordinance may include limi-
tations on public or private street length. Due to the more
intense traffic generation resulting from the higher densities
associated with multifamily housing or from larger mas-
ter planned residential communities, convenient access to
major collector or arterial streets is desirable. Depending on
the size of a development, local fire and public works officials
may require at least two entrances or connections to a public
street. This allows access to be maintained in the event that
one entrance becomes obstructed.
Site planning for multifamily developments requires an
appreciation and understanding of the proposed building
design. The higher densities, size of structures, and relationship
between structures and site elements leaves less latitude than
may be afforded in site design for less dense residential hous-
ing types. The placement of driveways, location and sizing of
parking areas, and other infrastructure considerations require
knowledge of building dimensions, elevations, and orientation.
 4.2 ■ PRODUCT TYPES AND DEVELOPMENT PRINCIPLES 345

SIDE
AR

. z
"'i

PRIVAT[ STRE£TS PRIVATELY OWNED

AND PRIVATELY MAINTAINED _ _ _ _ _ __

Typlcal Townhouse Layout - Non-Garage "'-V"

FIG uRE 4. 2 MM Mid-rise residential building and parking garage.

-r - - i - - r 1 - - , - "'
7
-RrARi YARD
I I I I I I LIJ
I I I I VARIES ' I ~ front, rear, and side yards; dwelling unit design, varia-
~
tion in lot sizes, lot dimensions, and concessions suited
to cluster or unique detached housing prototypes provide
r- "'~ r -
I ~ r - r- opportunities to tailor design to local market and site
1: ~ I r- 1 r- 1
I ~ > 1 1 I 1 I conditions. Figure 4.2NN depicts differences in lot types
I I I I I
I I based on proximity to street types and open space. Several
z
i

10 - _
-- u
"(~j-: ~~ ~ _}□
PRIVATE STR[ETS RIVATELY OWNED
_ _ _ ___ ANO _PRIVATELY MAINTAINED _ _ _
... - - - - L
1 Sire:_! ~ _\..
40 - ,_____ , ' ..:::.-:r=-- 1 \ I \J I -- I
Typical Townhouse with Garage Layout
V' : (2) : "' L
'{.. --":, 1 __ L_ __ _J 10
FIG uRE 4. 2 LL Typical townhouse condition.
~~-=-~-t--=-r
"'-
1 --~-JT __~ ~~~ \_~
\ I (3)
,, I: '' /I '' I ,' _3 1
I OpenI
• Space
1- - -
I

,I "-r>,~ ~''st;-Ji\-~-
Landscape and Open Space. The zoning and subdivision
J " k-_:_:~ \
ordinances usually provide minimum open space provisions,
including potential distinctions between usable open space,
dedicated open space, and common green space. Ordinances I
,,--
I :
,,
r - -r - ~ I ---1'
I :\
1
: I I - - --i
J
\;
dO

may discount or cap the amount of public open space allowed I// : (1) I \ I " -1- -- I I I
as part of the project open space calculation. Similarly, a per-
centage of the total open space may need to meet certain loca-
L ___ l__ j_~i:-~ __ JLJ~
tion, distribution, or performance criteria such as size, shape, Arterial Street or \ Thoroughfare
and topographic considerations, or be exclusive of flood- I
plains, utility easements, or wetlands. The ordinances some-
times also include screening and buffering standards given
.
I
0

(1) Deeper lots backed to arterial street

the specific use or use intensity proposed in relationship to
the nature and density of adjoining uses. The zoning may also (2) Wider lots in areas of steeper slopes
include a minimal landscape or tree canopy requirements. (3) Narrower lots lo increase yield along open space amenity
Residential Design Considerations. While conventional FIG uRE 4. 2 NN Example of variation in lot size due to site
subdivision regulations normally prescribe setbacks for characteristics.
34& i@Uhili F%MUM\i,i/i¥%:W:i\ili41iM
considerations can provide a strong foundation for residen-
tial layout design. These include
• Lot and place houses in a manner that responds to
the site's natural features
• Avoid extremes in either random plan organization
or uniformity to the point of monotony in the pat-
tern of development
• Establish appropriate block lengths to minimize
long views of repetitive housefronts, garages, and
driveways as well as foster convenient vehicular and
pedestrian movement
• Ensure yard dimensions and unit orientation that
promote individual dwelling legibility and sufficient
yard privacy
• Establish a sense of place through a coherent and leg-
ible circulation system
• Reinforce the street hierarchy through practical
application of building setbacks
Nonresidential Product Types. Nonresidential develop-
ment focuses on retail, office, and industrial land uses for
both public and private developers. The design process and
considerations for nonresidential product types has similar
considerations to residential development but the use and
design is inherently different. The following information
highlights the more prevalent building types and site consid-
erations appropriate to nonresidential development.
Market Considerations. The decision by the developer
to pursue retail, office, and industrial development pro-
grams can be prompted by a myriad of factors. They may
include observation of a demonstrated need for local dis-
tribution of goods and services at a neighborhood or com-
munity level; recognition of an opportunity to fulfill a local
jurisdictions development goal in expanding either local or
regional economic base; or recognizing local trends focus-
ing on the growth, consolidation, or relocation of business
ventures within an area. Regardless of the genesis or justifi-
cation for such facilities, site design and site execution must
be simultaneously sensitive to the requirements of the pro-
vider, prospective tenant and patron, site, and surrounding
community.
Design Process. Nonresidential site design criteria stems
from two principal sources, similar to residential develop-
ment: prospective use and local development requirements.
Common Standards. Subsequent to determining that the
proposed use is appropriate for a given property, setback,
height, bulk, and other dimensional and performance stan-
dards constitute the principal site design criteria. These
standards are normally contained in most jurisdictional sub-
division 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
area. The common method of computation is the floor area
ratio (FAR), a method of measurement expressed as the rela-
tionship of total building square feet to the total site area as
discussed in Chapter 2.3.
As a reminder, the number of floors associated with the
built product does not influence the floor area calculation.
In the cited example, the 40,000 square foot building might
be constructed as a two floor building of 20,000 square feet
each, or a four-story building of 10,000 square feet (sf) each.
The FAR for a 40,000 sf parcel is 1.0 for each case. Most juris-
dictions do not include parking structures in floor area com-
putations. Similarly, exclusions may include portions of the
building which are below grade or space programmed for
select circulation, service, and support facilities. It is impor-
tant to be aware of the method for calculating FAR in each
jurisdiction.
Lot Size and Bulk Regulations. Minimum lot size, building
height, bulk, setback, and yard requirements are normally
stipulated in the individual zoning categories for nonresi-
dential uses. The criteria generally vary in relation to the
intensity of the desired development and the characteristics
of the adjacent land use. Areas designated as more urban will
normally require smaller setbacks from parcel boundaries.
While a maximum building height may be stipulated, the
permitted height of a structure may be governed by perfor-
mance criteria.
A common method of control focuses on maintaining a
relationship of building height to peripheral yard setbacks.
By designating an acceptable "angle of bulk plane'' from the
top of building to a given property or parcel line, the setback
can increase proportionately as the building height increases.
Other jurisdictions may express a minimum yard setback
based on a given building height and simply stipulate that for
every additional foot of building height the setback dimen-
sion will increase a set distance.
Parking, Loading, and Service. Criteria governing minimum
parking, loading, and service spaces are normally expressed in
relationship to the use and floor area of the proposed building
program. Typically, the zoning ordinance stipulates this stan-
dard as a minimum number of parking spaces to be provided
on site, although in some cases a portion of the parking may
be provided off-site or in combination with adjacent uses.
Jurisdictions vary in terms of how they express this relation-
ship. It may be based on gross building square footage, or net
building square footage, or net leasable or tenant area. The
parking requirements for some uses are based on number
of employees, seats at restaurant, beds in a hospital, or other
measures of determining occupancy. The designer must
understand the method of calculation, ascertain the mini-
mum requirement based on public standards, and ensure that
such a minimum provision has client and market acceptance.
Unique program requirements or marketing considerations
often prompt a need for parking and loading space provisions
to be in excess of the minimum zoning criteria.
Landscape and Open Space. For nonresidential uses, open
space is typically expressed as a percentage of the total site
 4.2 ■ PRODUCT TYPES AND DEVELOPMENT PRINCIPLES 347

FIG uRE 4. 2 0 0 Plan view of public development with open space areas (graphic produced from Fairfax County GIS data).

area that is not encumbered with the building, vehicular cir- areas (to the retail establishment) should be considered as a
culation, and parking. While it is normally considered the limit on the maximum acceptable distance between the most
residual portion of the site remaining for landscaping, in some peripheral parking space and the center itsel£ Example of differ-
localities it may be more conservatively delineated to exclude ent retail center layouts are shown in Figures 4.2PP and 4.2QQ.
pedestrian walkways, patios, and similar site improvements, Design considerations for retail activities should include
which are deemed impervious surface treatments. Landscape the following:
requirements are generally categorized as two main types.
Peripheral yard and buffer area requirements may be • Orientation to surrounding road network
stipulated for nonresidential projects, which are deemed • Sizing
incompatible with surrounding land uses. These may be pre-
scribed as a fixed dimensional width with certain pro forma
landscape treatments or as performance criteria requiring
a combination of plant material and/or structural elements
that provide an equal or improved buffering condition.
A second set of standards focuses on minimum land-
scape improvements required given specific development
program components. These may deal with shielding or
screening of parking areas, service and loading zones, mini-
mal streetscape standards, foundation planting, parking lot
landscaping, or other specific concerns of the local jurisdic-
tion. Figure 4.200 depicts a public building with open space
along the parking corridor and at the rear of the building.
Retail Design Considerations. Site design for retail cen-
ters should be predicated on overall customer ease in iden-
tifying and locating the individual tenants within the center.
Convenience of vehicular access, adequacy and placement of
customer parking, safety of pedestrian movements between
parking areas, and retail establishments are all fundamen-
tal site planning considerations. A secondary set of criteria
P Parki ng
focuses on the internal servicing and operation of the center R Re t ail Store
particularly in regard to separation of service, delivery, and S Service
loading facilities. Typically, reasonable convenience of parking FIG uRE 4. 2 PP Typical strip center arrangement.
34a i@Uhili F%MUMll·ili¥%:W:i\ili41iM
-.
~
vi
P Parking
PS Pad Site
R Retail Store
S Service
Street
FIG uRE 4. 2 QQ Typical retail center arrangements.
• Vehicular circulation
• Parking
Orientation to Surrounding Road Network. Retail establish-
ments should be positioned to take advantage of visibility to
abutting public rights-of-way. Leasing agents maintain the
greatest market asset of a retail center is unobstructed visibil-
ity from adjacent roadways. In expansive centers, the major
anchors are usually singled out for this elevated position, with
smaller flanking or interior store locations dependent on foot
traffic generated by the anchor. There are ample examples
of successful retail centers, which do not rely on excessive
road exposure. It should be cautioned, however, that many of
these more introspective centers are located in planned com-
munities, governed by site and architectural guidelines, and
operate within an environment where the location of com-
peting establishments is stringently controlled.
Sizing. The distinctions between strip center, community
retail center, power center, regional mall, and freestand-
ing arrangements is generally related to the organization of
retail space and architectural massing. With the exception of
freestanding retail establishments, whose size and location
may be a function of numerous unique circumstances, the
size ofretail project and the profile ofresident tenants relate
to their intended service population. Normal conventions
include a distinction between neighborhood centers, com-
munity centers, and regional centers, although jurisdictions
may actually provide precise definitions for each in their
respective zoning documents.
Vehicular Circulation. Transportation circulation is extremely
important to retail site design. Access and egress points
should be well articulated and smoothly transition to the
adjacent public road system. Ideally, multiple access points,
sufficiently distanced to promote safe alternate approach
routes, should be secured. Traffic routes should attempt to
separate service vehicles from customer traffic. A separate
site entry/egress point for service traffic is ideal, but may
be impractical in many instances. Customer vehicle rout-
ing should provide as near a continuous drop-off zone along
the facade of retail establishments as possible. A perim-
eter circulation route, ring road, or street network to access
and exit the parking area can assist in reducing reliance on
travel ways near the building and minimize the potential con-
flict between through traffic and the discharging of passen-
gers and/ or loading of merchandise. In more conventional
retail arrangements, depending on the depth of the parking
bays and the size of the retail center, intermediate travelways
midway between store facade and perimeter boundaries can
assist high traffic volumes in navigating parking areas and
assist overall traffic flow.
Service traffic should be directed to separate loading
areas and service docks. Normally, this occurs to the rear
of the retail stores, where it can be appropriately screened
and trash containers shielded from public view. Loading
bay approaches and service drive design should conform
to appropriate geometrics for the size and number of
vehicles necessary to adequately serve the development
program. Entry drives should be of sufficient length for
vehicles to adequately enter the site prior to contemplat-
ing major turn movements. Exits should provide suffi-
cient stacking space to accommodate safe transitions into
adjacent roadways.
Retail Parking. As previously described, the minimum
number of parking spaces required to support retail activ-
ity is normally specified in the zoning ordinance, as is the
required number of loading spaces. Criteria are usually
expressed as a ratio of parking spaces to the square footage of
the development program. The standards for retail establish-
ments vary depending on the service characteristics of the
retail establishment. More spaces may be required for enter-
prises with higher customer occupancy, such as restaurants,
than for stores with more extensive display and stock stor-
age space, such as a furniture store. The required number of
parking spaces is normally between 4 and 6 spaces per 1000
square feet of gross leasable area. The local zoning ordinance
should be consulted for specific standards. Requirements for
certain retail uses may require provision of additional spaces
 4.2 ■ PRODUCT TYPES AND DEVELOPMENT PRINCIPLES 349

based on the number of employees, or in the case of restau-

rants and theaters, on seating capacity.
Although freestanding and smaller centers may accom-
modate parking stalls parallel to the pedestrian walkway
immediately in front of the retail store, larger retail cen-
ters generally preclude parking from the vehicular drop-off
and pedestrian approach zone. In these larger retail cen-
ters, the parking area normally begins beyond the frontage
service drive and drop-off aisle. While the configuration of
the parcel may warrant a different arrangement, parking
aisles are generally positioned to run perpendicular to the
store facade. This arrangement promotes ease and safety
in pedestrian movements from their parked vehicles to the
store entries.
Retail parking normally locates the major parking area
between the retail establishment and the major frontage road.
In larger multi-sided centers, such as shopping malls, park-
ing generally encircles the center. In planned communities,
where stringent design standards are in place, parking areas
may be required to be buffered from public view or located
to the rear of the retail area. Such an arrangement minimizes
the visible expanse of parking as well as promotes the retail
building form in a forward position on the site to assist in
defining the street edge. This latter approach is key to tradi-
tional design principles, which gives heightened importance
to pedestrian circulation, the use of building architecture, FIG uRE 4. 2 RR Example of an office park parcel plan.
and massing to enhance street definition.
The sizing of retail use for a particular site and the estab-
lishment of the building floor plate should be done in con- • Efficient floor configurations that are conducive to
sultation with both client and retail marketing professionals. leasing and occupancy requirements
While there are general rules of thumb associated with the
• Sufficient parking given tenant requirements
provision of retail space, rapid changes in marketing prac-
tices, and the unique circumstances associated with many • Parking that is convenient to both occupant and visitors
individual retail establishments, often prompt a tailored
• Site development and amenity provisions that are tai-
response which may vary from the norm.
lored to meet the requirements of developer and tenant
Office Design Considerations. As with retail design, there
are a few governing principles, which are appropriate for • Service and loading design that avoids conflict with
office parcel layout and design. Foremost in this checklist are normal building operations and are adequately
the specific requirements of the local jurisdiction. As men- screened from occupant and community view
tioned, zoning conditions may encompass building setbacks,
buffering and screening requirements, minimum parking The range of land use intensity attributable to conven-
counts, as well as govern the height, bulk, and size of the tional office use can vary considerably. FARs in excess of
building program. Municipal controls may reflect pro forma a 1.0 FAR are not uncommon in proximity to suburban
criteria attributable to the parcel zoning or tailored to the mixed-use centers. However, suburban office intensities for
unique circumstances of a site relative to surrounding land conventional freestanding buildings more commonly range
uses and/or on-site characteristics. An example office parcel from 0.25 to 0.4 FAR, which result in building heights of
layout is shown in Figure 4.2RR. one to four stories. The 0.4 FAR is normally considered the
Design of these elements requires attention to the details threshold at which an office building may be surface parked
of site organization and function. Considerations generally while maintaining reasonable distances between the building
include and outer perimeter parking areas. An FAR greater than 0.4
normally requires significant reliance on subsurface or park-
• Sensitivity in orchestrating an appropriate exter- ing structures (or alternate means of transportation).
nal image given potential roadway and land use Although traditional parking ratios for office use averages
adjacencies 4 spaces per 1000 sf of net leasable space, the requirement
• Site and building access that is legible and avoids may be lessened at locations close to public transportation or
congestion mass transit. In some circumstances, parking demands may
350 i@Uhili F%MUM\i,i/i¥%:W:i\ili41iM
be lessened if a disproportionate amount of building space
is to be utilized for operations that are not employee depen-
dent. On the other extreme, tenancy that requires high visitor
turnover, such as medical office uses, may necessitate higher
parking ratios. Similarly anticipated building occupancy by
tenants employing smaller per employee work areas, such as
telecommunication call centers or 24-hour operations with
overlapping work shifts may require parking that exceeds
conventional office criteria.
Industrial Design Considerations. Local development
standards governing industrial activity have often aug-
mented traditional zoning criteria with specific performance
standards that serve to categorize not only permitted types
of industrial activities, but minimum standards associated
with their operation. Performance criteria may be tied to
standards governing air pollution control; fire and explo-
sion; radiation hazard; electromagnetic radiation and inter-
ference; liquid and solid waste discharge; noise, vibrations,
and light source considerations among others.
The nature, extent, and complexion of industrial land use
has changed dramatically in the last several decades. The
expansive single-purpose facilities focusing on raw mineral
extraction, product manufacturing, and assembly has been
overshadowed with the provision of more flexible space
that focuses on product distribution, research, and service
industries. This transition has had a profound impact on
the location requirements of industrial uses and the physi-
cal characteristics of industrial facilities. It has also lessened
community resistance to a genre of uses that do not pose the
level of incompatibility historically associated with industrial
activity, including potential air pollutants, hazardous waste
by-products, acoustical and vibration impacts, and height-
ened fire and safety considerations.
While heavy industrial, extractive mineral, and expan-
sive processing facilities can be found in suburban locations,
escalating land values combined with new technologies, have
often prompted many of these types of industries to relocate
to areas where land cost and labor supply and use controls
are more conducive to their operations. Instead, activi-
ties focusing on: research and development; smaller scale
electronic assembly, data processing, telecommunications,
product distribution, and warehousing have become more
significant "industrial" components of many metropolitan
areas. The noxious characteristics of traditional industrial
activity located proximate to railroad lines has given way to
expansive industrial and technology parks whose locations
are governed more by convenient access to interstate high-
ways, airports, and population centers.
Building programs associated with industrial activity
generally rely on a strong building to ground relationship.
This is in keeping with their dependence on truck trans-
port as a principal means of product delivery and assembly
operations, which rely on horizontal line arrangements and
on-grade structural conditions to support machinery and
expansive storage and warehousing requirements. An exam-
ple of an industrial flex-tech park is shown in Figure 4.2SS.
Sensitivity to the diversity in industrial uses of both his-
toric and contemporary facility types has prompted most
jurisdictions to adapt their zoning ordinance to provide vary-
ing standards for select classes of industrial activity. Classifica-
tions normally differentiated between "light;' "medium;' and
"heavy" industrial uses. The gradation was strongly related
to the potential level of land-use incompatibility anticipated
between the subject industrial operations and adjacent land
uses. In recent years more fine-tuned distinctions have been
made to accommodate the less onerous industrial character-
istics associated with research and development (R&D) activi-
ties. In R&D Parks and similar institutional environments
promoting scientific research and product development,
training and offices manufacturing or product assembly may
be either nonexistent or only a diminutive part of the overall
facility operation. The potential land-use conflicts and levels
of incompatibility characteristic of traditional industrial activ-
ity may be negligible. Building programs that reflect some of
the more typical industrial arrangements found in the subur-
ban market are illustrated in the following section.
4.2.6. Development Design Guidelines
This section identifies impacts that the entire development
team, including the developer, should consider when pro-
gramming a project. When developing a potential site, the
team must consider the effect that each development type
has on the environmental, aesthetic, financial, operational,
and marketing characteristics of a project.
The development team should understand the relation-
ship between these characteristics and their effect on adjacent
properties and the community as a whole. The effects may
range from the physical limitations a development has on its
immediate site to the community's predisposition to a pro-
posed development and its program. Following are some char-
acteristics that warrant consideration due to their implications
on resulting land use patterns. Generally, there is a direct rela-
tionship between the intensity and density of development
and its impact on the site and surrounding community.
These development concerns focus on the following:
• Environmental impacts
• Aesthetic impacts
• Financial impacts
• Operational impacts
• Marketing impacts
Environmental Impacts
Site Disturbance. More clearing and grading is required
as buildings, site improvements, and infrastructure occupy
an increasing proportion ofland. There is normally a reduc-
tion in the opportunity to retain natural grade as density
increases. Opportunities to preserve existing wooded or
other natural areas are similarly reduced as building pro-
gram coverage is expanded.

5,601 SF
I
Loading
Dock
Area
·· ... ·-r-- ··
Building #4
Tenant Spaces From
3,400 to 29,500 SF
FIG uRE 4. 2 S S Example of a flex-tech park.
Lower building density does not in itself result in less
impact. It is the combination of existing conditions, proposed
program, and resolution of program detail that eventually
delineates the degree of impact. An equivalent program in
a more compact development envelope can have substan-
tially less site disturbance impact than a comparably sized
program dispersed over a greater amount of acreage. Simi-
larly, building programs, which are tailored to unique site
conditions, can have less impact on land than generic solu-
tions. For example, a residential product type designed for a
steep site will have a better "fit" and require less grading than
one originally designed for level terrain.
Stormwater Management. As the impervious surface
associated with a given development program increases so
does stormwater runoff, along with the increased potential
for nonpoint source pollutants. Depending on the jurisdic-
tion's stormwater management regulations, there are a vari-
ety of options employed to collect, treat, and detain/retain
runoff efficiently; structural controls are space efficient but
tend to be more costly whereas natural measures tend to
consume more space but are generally cheaper to construct.
Higher density can assist in financially compensating for
4.2 ■ PRODUCT TYPES AND DEVELOPMENT PRINCIPLES 351
Building #6
Tenant Spaces From
4,800 to 89,000 SF
construction costs associated with more expensive mitiga-
tion measures.
Green Development. Green development (also called sus-
tainable or low impact development) is a term that is used
loosely by local organizations or public groups to describe
environmentally sensitive development characterized by
informed site selection, energy efficient design and con-
struction, mindful material selection, and waste reduction.
These types of development practices might include green
roofs, xeriscaping, passive heating, solar, thermal, or wind
power, water conservation strategies including cisterns or
rain barrels with reuse applications, or some combination
thereof. All of these practices strive to achieve a similar
goal: to create an environmentally sensitive and sustain-
able community. During the conceptual design phase, deci-
sions regarding street, lot, and building layout, effectively
the development pattern, can greatly influence the overall
energy efficiency of the building( s) and the development as
a whole. Passive heating and cooling design is highly depen-
dent on proper building orientation, see Figure 4.2TT.
The designer should utilize the results of the feasibil-
ity study and site analysis, in particular the climate and
352 i@Uhili F%MUMll·ili¥%:W:i\ili41iM
microclimate analysis, to site or layout the infrastructure
and orient buildings.
Aesthetic Impacts. Compatibility with adjoining land
uses can become problematic as proposed development
intensity increases. Careful site planning and design
can assist in mitigating this problem. Structural solu-
tions may be costly and buffering solutions may be land
consumptive.
Architectural Design. More intense development gener-
ally requires more stringent architectural controls to ensure
overall visual coherence. Modest building elements on large
lots or parcels benefit from distance between improvements.
Individual units capture their own identity and are less visu-
ally and functionally dependent on their neighbor. As building
size increases or as parcel size decreases, increased proximity
warrants greater attention to issues of compatibility.

COOL

Temperate Regions

~~
Ob~vea:
Maximize the warming effect of solar radiation In winter
months and maximize ■ hade In the summer months.
~eak Nonh
• Utilize deciduous trees for summer shade and winter warmth
• Orient active living spaces to the south for winter warmth ~ ~ I n a c tive Zones
• Design building overhangs to shield the high summer sun and
expose the area to the lower winter sun

Nor1h
W,ngWallS
ProvideMlclo
. ~

-·-\\\
Clima t e ~ t 17,S' Soulh•SouthEast 2·5H 10·15H
_9P«im um Orienlation South
Primary Outdoor
LM>g Zones
Blank Face
Reduce the Impact of winter winds but maximize summer breezes.
• Steeply pitched roofs on the windward side deflect wind and reduce the roof area
effected by the winds.
• Blank walls, garages, or storage uses on north exposure
• Protect north entrances with earth mounds, evergreens, and walls or fences
South • Allow for natural ventilation with prevailing summer breezes

Cool Regions
Objectives:
Maximize the warming effecta of solar radiation.
• Utilize south to south-west lacing slopes as much as possible North
• Orient active living areas to the south to take lull advantage of
the winter sun
• Utilize exterior walls and fences to capture the winter sun and
reflect warmth Into living zones
• Utilize darker colors which absorb radiation

Reduce the Impact of cold winter winda

• Locate buildings on the lee side of hills in the "wind shadow"
• Utilize evergreens, earth mounds, and exterior walls to protect
the nor1hem exposures
• Flat or shallow pitched roofs collect and hold snow for added
Insulation
• Structures can be built into hillsides or par1ially covered with ear1h
and planting for natural Insulation

FIG uRE 4. 2 TT Considerations for siting a building for different climate regions of the United States. (Courtesy of Gary 0. Robinette and Charles
McClennon, Landscape Planning for Energy Conservation, New York: Van Nostrand Reinhold, 1983.)
 4.2 ■ PRODUCT TYPES AND DEVELOPMENT PRINCIPLES 353

COOL

Hot-Arid Regions
Objectives:
Maximize shade for maximum late morning
and afternoon solar radiation.
• Orient active living areas to the south east 10 collect early
morning sun North
• Glass area should face south with properly designed overhangs
• East and west windows should be avoided to minimize rad iation Inactive Areas - h , .
with low sun ang les
• Clusler buildings and utilize solar panels for shade Ouldoor
Living Zones
MAXIMIZE DESIRABLE AIR MOVEMENTS
Maximize the humidity and cooling effects of ,s• Soo<a-soo,o:~
Orientalion Generally
evaporation across water bodies. Best for Hol Arid Regions
• Utilize the lower hillsides to benefit from cool natural air Bodies ol Waler Otter the
movemenls in early evenings and warm air movements in Oppo~unity lo Plan lor lhe
early morning Cooling Elfecls ol Evapora~on

Hot-Humid Regions
Objectives:
Maximize shade throughout the day. Interactive Zones Reduce the effects ol high humidity by
maximum exposure to air movements.
• Orient aclive living zones to south with properly designed
overhangs, trellis, or other sun control • Orient streets and structures to maximize
Minimiie East and
• East or west window should be provided to minimize radiation Wesl Fad ng Walls
cool breezes prevailing wind vary with
'wilh low sun angles regions and micro climates
• Minimize energy intensive paving and building materials • Ulilize the psycholog ical effects of falling
water of large water bodies but minimize the-
5° South•SouthEasl humidity of small water ponds and low areas
Primary Outdoor Optimum Orientation
Living Zone

FIGURE 4.2TT (Continued)

External Views. Larger buildings or more intense build-
ing programs may impact the extent and quality of exterior
views. More dense development requires careful site plan-
ning to ensure privacy and minimize the visual and noise
impact of abutting uses.
Financial Impacts. In development there are many ways
one can develop a property in a financial and environmen-
tally responsible manner. While higher density development
may require greater total infrastructure costs, depending on
the condition and capacity of existing facilities, it may also
result in lower construction, operation, and service costs on
a per unit or square foot basis. Developing properties at a
higher-density permits land costs to be distributed among a
larger development program resulting in lower per unit land
costs. In terms of the tax benefits associated with develop-
ment, tax revenues generally increase on an acreage basis
as a result of public and structural improvement, increased
density normally results in a higher average per acre assessed
value benefiting both the home owner and the municipalities
that tax the value associated with the home.
Operational Impacts
Maintenance. Occupants realize lower per unit mainte-
nance costs due to economies of scale associated with larger
more intense development patterns.
Energy. Per unit energy cost savings is generally realized in
development that is more compact.
Marketing Impacts
Market Exposure. Increased scale, intensity, or quality
of development may foster a visual presence, which trans-
lates into greater market exposure. Depending on the actual
development program this may increase project appeal to a
broader spectrum of the market or provide increased aware-
ness among targeted consumer groups.
Community Identity. Larger-scale developments can provide
additional justification for amenities, which may, in turn, increase
community identity and resident/tenant affinity with a project.
354 i@Uhili F%MUM\i,i/i¥%:W:i\ili41iM

THE SEVENS
Location: City of Orlando, Florida
Client: New Jersey Department of Transportation
Completion Date: Design-2014; Construction-October 2016
Case Study: The Sevens, located at 777 North Orange Avenue in Orlando, Florida, is one of the "Next Generation'' apart-
ments developed in the new "North Quarter" portion of Downtown Orlando. This site consists of 2.59 acres and is on
the north side of Colonial Drive.
The Sevens was developed by The Pizzuti Companies and has 48 studio units, 218 one-bedroom units, and 67 two-
bedroom units, totaling over 330 units. The Sevens also includes a rooftop pool, nineth floor clubhouse and gym, inte-
rior and exterior courtyards, 8000+ sf of retail, a dog park, a parking garage that accommodates over 600 on-site parking
spaces, off-site parallel spaces, an on-site loading/unloading zone, trash compactor enclosure, and an exfiltration system
for stormwater treatment and attenuation.
Dewberry's services included topographic and boundary survey, master site planning, civil engineering, final plat, and
construction administration, including permitting through the City of Orlando, St. Johns River Water Management
District, Orlando Utilities Commission, and the Florida Department of Transportation. Dewberry also provided con-
struction level survey services for staking of the building corners and as-builts for final certifications of some compo-
nents of the site. Construction administration was provided by Dewberry from the preconstruction meeting to the final
certificate of completion.
 CHAPTER 4.3
CONCEPTUAL DESIGN
4.3.1. Introduction
Conceptual design represents the initial effort to satisfy the
development program (introduced in Chapter 2.1) while
considering the constraints and opportunities identified dur-
ing the site analysis process. It requires full recognition of
the development program components, initial due diligence
(Chapter 2), and the site analysis (Chapter 3).
The conceptual design utilizes the site diagram (intro-
duced in Chapter 3.2) to begin the design process. The site
diagram is representative of the due diligence and site analy-
sis pre-design efforts. The conceptual design is performed by
the site planner, which may or may not be the site engineer.
The responsibility of the planner depends on the size and
scope of work of the project. For example, a site engineer may
be more apt to planning a residential subdivision, whereas
a hospital campus may benefit from an architect and a site
engineer working together. Still other projects may warrant
a professional land planner. Advisory roles from the com -
munity or local jurisdiction will also influence concept plans.
The role and scope of the professional that is involved in the
conceptual design will vary by project.
The final product of conceptual design is a series of alterna-
tive concept plans, or sketch plans. These may be used in the
entitlement review of the project, as described in Chapter 2.4.
It is common, however, for concept plan reviews to be optional
or very informal. Nevertheless, concept plans are important
for internal review to make design and overall development
decisions. The preferred concept plan is then the starting point
for the schematic design (Chapter 4.4). This chapter focuses
on the development of the conceptual design to produce a
series of concept plans.
4.3.2. Conceptual Design
The initial cut at the design effort is often accomplished in
the site diagram, as described in Chapter 3.2. This diagram
depicts site constraints and opportunities for the project as
identified during the due diligence and site analysis. The
intent is focused less on sophisticated graphic technique
and more on fostering dialogue, a preliminary review and
assessment, and confirmation of design direction among the
design team participants.
The conceptual design phase is the first refinement
to add more detail to the initial site diagram. This phase
moves from general intent to actual physical diagramming
of use arrangements. The conceptual design is reviewed in
the context of their preliminary implications on infrastruc-
ture requirements and environmental impacts as well as
economic, functional, and political feasibility. This level of
conceptualization is generally completed in the conceptual
design prior to the investment ofresources and time resolv-
ing more detailed levels of design.
The conceptual design includes hand sketches, functional
diagrams, or drafted plans that illustrate a framework for
the given development program (Figure 4.3A). These help
to depict the potential distribution of land uses and major
circulation requirements. The effort melds all pertinent reg-
ulatory information with site-specific considerations to illus-
trate how the site might best be developed.
The site layout of the conceptual design should provide
an aesthetic and functional layout for the site. Given there
are generally multiple solutions for the design of any one
site, it is common for alternative concept plans to be devel-
oped. The ensuing discussion with other members of the
development team may prompt a dialogue as to the pros
and cons of the various solutions and identify design syner-
gies or problems the planner alone may not have identified
or anticipated. A site may have many technically correct
alternatives, but the best site layout comes from under-
standing project requirements while also considering the
design of the site. A balance of form and function is often
necessary: traffic access into a site should be convenient
but also safe; parking layouts should provide the required
355
35& i@Uhili F%MUMll·ili¥%:W:i\ili41iM
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FIG uRE 4. 3 A Example of a concept plan.

number of spaces but easy to navigate; and the location
and orientation of buildings should be appropriate to the
use and scale of the buildings. In all cases the site layout
should meet programing needs while also considering site
impacts. These design goals should be coordinated with
the entire development team.
The concept plans should be developed to communi-
cate the refined design intent without too much investment
in time; however, a viable concept plan requires the design
team to have a strong understanding of design principles
and development program requirements. It is easier to pro-
vide useful concept plans with a holistic appreciation of the
land development process itself, which comes with time and
experience.
While normally not a formal public submission docu-
ment, concept plans do provide information suitable for
early discussions with appropriate public officials. They
provide sufficient information to obtain an informal assess-
ment of the development plan's compliance with public
comprehensive and land use policies and the local political
climate.
As demonstrated in Chapters 2 and 3, due diligence and
site analysis is an iterative process. The same is true with the
conceptual design process. Concept plans will be prepared,
evaluated, and reworked multiple times until the developer,
development team, and stakeholders believe they have a via-
ble solution. As the design progresses and detail is refined,
additional layout revisions may be required in the later
design stages. Understanding good engineering practices,
design principles, developer requirements, and what will be
requested by the local jurisdiction will help to expedite the
design process.
4.3.3. Process
The process for developing a concept plan will vary and the
level of detail required will be dependent on project com-
plexity. Some projects may only need an informal meeting or
discussion about various concept plans, whereas other proj-
ects will warrant formal submittals, reviews, and discussions.
A typical process for the conceptual design is outlined below:
1. Outline development program requirements
2. Review the site diagram
3. Confirm buildable area
4. Confirm access points
5. Perform a yield study

6. Design the site layout
7. Refine internal circulation
8. Identify parking requirements
Development Program. The concepts for the project will
be expressed by the developer in the development program
(as introduced in Chapter 2.1). The development program is
the scope of work, the client's vision, and goals for the proj-
ect. Different developers will have different requirements
that they want to see achieved in the conceptual designs. For
a public developer, they may require a specific size of school
based on student population. For a retail developer, they may
be interested in a concept that promotes walkability along a
main street or maximizes leasable retail space. All of these
inputs and requirements help to shape different concepts of
the site plan.
Site Diagram Review and Confirmation. As mentioned,
the conceptual design process utilizes the site diagram that
was produced in the site analysis stage. The site diagram
helps to identify and illustrate the constraints and opportu-
nities of the property and determine the buildable area.
The areas mandated as undevelopable or unbuildable
based on the previously completed site analysis should
be reviewed and delineated on the concept plan. Refer to
Chapter 4.1 for information on undevelopable and unbuild-
able land types (yield study). The buildable area will deter-
mine the limits of the site layout. Utility availability to the
site (as described in Chapter 3.6) may also influence density
and development conditions.
It is also particularly important to confirm the trans-
portation access points (as described in Chapter 3.3) to be
able to connect to the existing transportation network and
to ensure adequate access to the site. The future transpor-
tation plans within the local jurisdiction's comprehensive
plan (as described in Chapter 2.2) should also be reviewed.
New facilities and improvement may be required based on
the access points or future transportation plans. A con -
sultant experienced with community policies will know
whether site development will require turning lanes, accel-
eration or deceleration lanes, medians, or traffic control
devices. The plan should note dedications and reservations
that the governing body will require in conjunction with
development.
Yield Study. Next, the conceptual design begins as plan-
ning is required to develop the site layout concepts for the
project. This should begin with the yield study (as intro-
duced in Chapter 4.1). Preliminary yield studies will help to
determine the maximum number of units and/or building
size that can be designed for a site.
Site Layout and Internal Circulation. The site layout
should depict the proposed use(s) of the project, with simple
geometric illustrations. For conceptual designs, a proposed
site road may be a simple line and an area of proposed shops
might be shown as a large box in a part of the site. On a large
site, it may be helpful to show zones of different densities of
4.3 ■ CONCEPTUAL DESIGN 357
development, such as transitions from single-family homes
to apartments. Other infrastructure features, such as utili-
ties and stormwater systems, might be depicted so that they
are considered throughout the later stages of the design
process.
The conceptual design should arrange the distribution
of major land use elements by type. This may be simply
illustrated by highlighting areas of the site for each land
use, without actual building locations. The delineation,
though, should reflect the approximate area requirement
for each use. This will help to gauge the massing or relative
area requirements necessary to accommodate individual
program components. It is important to ensure that these
areas do not exceed the maximum yield allowed for the site.
Additionally, if required, the location of major public facili-
ties such as parks, schools, and other reservations should be
identified on the site layout as required by public planning
documents.
The conceptual design is focused on the macro arrange-
ment of uses. Rather than focusing on individual lots or spe-
cific buildings, the conceptual design may broadly define
locations of each use type. For example, the concept plan
may highlight areas for commercial development in the
front, townhomes in the middle, and single-family homes in
the rear. The layout will be refined with more detail in later
stages of design.
It is also important to ensure that the site layout is within
the boundaries of the previously defined buildable area of
the site. All program components must be located in the
buildable area. The conceptual design should also provide
notations concerning site setback and buffer requirements
along property boundaries.
An initial horizontal alignment of major vehicular circu-
lation routes should then be designed with the site layout.
This should ensure connection from the site access points
to the designated land use areas. Again, the internal road
network should be developed in the context of any public
comprehensive plan policies or recommendations. Reserva-
tion for future transportation network may be required, and
should be depicted on the concept plan.
The relationship to the site of existing roadways, utilities,
and other facilities should be shown with the site layout.
Connections between the existing infrastructure and pro-
posed uses is important. Proposed internal roads should
connect to the existing road network where applicable, and
utilities should connect land use areas to previously identi-
fied existing utilities.
Generally, a series of alternatives of concept plans are
created for a project. Each alternative should try to maxi-
mize the development potential of the site. Sometimes
designs that modify the original development program may
warrant discussion. The actual concept plans themselves are
simple representations without much detail. They should
be quick designs that illustrate what is intended for the site.
More detail and preliminary engineering will be required
in schematic designs. Annotations should be included to
35a i@Uhili F%MUM\i,i/i¥%:W:i\ili41iM
underscore the advantages or disadvantages associated with
the depicted design elements for discussion purposes and to
memorialize for future reference.
At this level of detail, and because of the iterative nature
of the conceptual design, conversations regarding the dif-
ferent concept plans should be documented for future refer-
ence-it is common to inquire about layout decisions during
later phases of design.
Parking. It is important to consider parking during the con-
ceptual design because it often occupies large areas of the site
and needs to be balanced with the development requirements.
Zoning (and tenant) requirements will define the minimum
parking requirements for each product type. It is important
to ensure that the proposed site layout can accommodate the
required parking. The parking check should be preliminary at
this stage and typically does not warrant a full parking layout.
For traditional suburban residential developments, park-
ing can usually be accommodated by a garage or driveway.
Units without internal garages, including multifamily build-
ings, will need to ensure parking. Parking can be accommo-
dated by either a surface lot or a structured parking garage.
A surface lot will reduce the buildable area and could limit
the number of buildings on the site. A structured parking
garage is expensive but will allow more area for residential
buildings. Presenting both options to the developer may be
required for the conceptual design, or the developer may
prescribe the preferred parking option.
For commercial developments, it is important to find a
balance between the size of the building(s) and the amount
of parking. The larger the building (or use), the more parking
that will be required. The amount of parking required will be
determined by the use of the building. If an occupant has
not been determined, it is important to have enough park-
ing for multiple uses. It may take a series of design alterna-
tives to produce a satisfactory concept with an ideal building
and parking arrangement-potentially one that is flexible
enough to accommodate a variety of tenant configurations.
Design Team Coordination. Conceptual design is a team
effort at this stage of the land development design process.
The site planner will coordinate with the site engineer to
design preliminary site layout features, the architect to pro-
duce preliminary building layouts, the landscape architect
for preliminary park layouts, all focusing on the placement
of horizontal attributes. Each design discipline on a project
will have their own priorities and responsibilities but the
entire development team should be aware of site design
conditions. The buildable area and site layout can be signifi-
cantly impacted by site design requirements such as grading,
transportation networks, parking, and utilities. Careful work
and attention to detail will be required to optimize the site
to achieve all aspects of the developer's program within the
parameters of the site.
For example, the building team is working through an
iterative and incremental design process in the same way the
site team is. During early design phases the building team
may identify a preferred location of the building within the
site and access points for the site; however, based on infra-
structure requirements the building and site access locations
may need to be negotiated. The design team should work
together to determine the best solution for the site based on
project requirements and site constraints.
A building layout will often change throughout the design
process, which has impacts on all elements of the site design.
What may be a simple box during conceptual design will be
refined with additional detail in schematic design (and change
again in final design). Changes in building area will impact
parking requirements and stormwater management. Door
locations will modify grading and accessibility requirements.
Building utility connections may change the site utility layout.
For a traditional suburban residential development proj-
ect, the coordination between an architect and site engineer
is minimal. For single-family homes, the site engineer will
often establish a subdivision plan with mass grading of the
site during the entitlement stage of the project. The site infra-
structure (grading and roadways) often govern the site's yield
for developable area and number of lots. The site engineer
will establish home locations within the development based
on a standard template of a proposed home. Later, when
a home purchaser selects a lot and a model, the engineer
will coordinate with the builder and architect to locate the
selected model home within the lot and provide a detailed
lot grading plan. The lot grading plan will identify the exact
setback dimensions of the specified model and determine
the utility connections as well as grading, driveway, walkout
basement condition, front steps, and other detailed elements.
For a nonresidential site, such as a shopping center, the
site engineer and the architect are likely coordinated in early
stages of design. The architect and developer may prescribe
retail space sizes based on requirements for desirable ten-
ants. Additionally, pad sites for banks or restaurants may be
established and should accommodate potential tenants. In
many cases, the tenants for a shopping center are not identi-
fied until final design or even after initial construction has
started. The infrastructure should be designed to accom-
modate varying uses within the site. For example, the util-
ity demand for a restaurant use will be greater than that of
a mattress store and the utilities should be able to support
those uses. The tenant may also change geometry of the
buildings based on standard storefronts or outdoor seating
requirements.
An initial layout from the developer may conflict with
what is feasible for the site. The site planner will have to work
with the design team if there is a conflict to ensure that the
conceptual design can be achieved. This may require provid-
ing information to the developer about the design or sug-
gestions for next steps that may be required. Small changes
to the development program may be necessary to ensure the
success of the site. Or, the site planner may need to work
with the developer to rezone the property if a different use is
desired. If the program simply cannot be achieved on a given

site, the developer would then have to change the require-
ments or find a new site.
Each step in the land development design process is iden-
tified separately in this text. In reality, not only are they inter-
connected within each step, but also the steps themselves can
be overlapping or even repeated. If the initial site chosen for
the project cannot achieve the development program, a new
site may need to be analyzed. The due diligence and site
analysis stages would have to be performed again.
The site planner will present the concept plan alternatives
to the developer. The developer will ultimately choose and
work with the site planner to finalize one of the alternatives.
The preferred alternative of the concept plan will become the
schematic design for the project and is eventually refined for
final design.
Example. In Chapter 3.2, an example of a base map and
site diagram was included (Figure 3.2J) to show how the site
analysis is performed. Figure 4.3B is the composite map show-
ing constraints and opportunities from this site diagram. This
composite map helps to make decisions for the conceptual
design of the project. The development program is important
to consider when producing these designs. Figure 4.3C shows a
concept plan for this example project. This will be the starting
point for schematic designs (to be introduced in Chapter 4.4).
4.3.4. Cost Estimate
Costs are paramount in all land development projects and
necessary for all team members to consider throughout the
land development design process. This is especially true for
the site engineer, who is involved in many different aspects
of design.
Development projects often begin with the developer or
landowner approaching the land development team with a
piece of property, and possibly a development program or
intended use. The following economic or cost questions are
likely to rise almost immediately and demand more precise
answers as the project advances:
• Is the expense and effort involved worth the return,
that is, is the site/project profitable?
• Can the development be completed in a reasonable
amount of time?
• How much risk and potentially hidden costs does the
development have?
• Is the project a good investment-short term? Long
term?
• Will people buy/rent/lease the product in a predict-
able period of time?
• Is adequate financing available to cover design and
construction?
A cost estimate can directly respond to some of the ques-
tions above and facilitate finding the right answers to the
4.3 ■ CONCEPTUAL DESIGN 359
others. Site engineers are commonly requested to prepare
cost estimates as part of the land development design process.
The estimate's intended use largely determines the level of
detail and the information required. In turn, the level of
detail determines the time, and hence, the cost of preparing
the estimate.
This section defines the possible purposes of estimates
and identifies estimate types and their limitations. It is
always important to state the assumptions that were made in
the process of preparing the estimate. When preparing esti-
mates with more detail, the importance of including all ele-
ments cannot be overstated. Therefore, we have provided a
recommended checklist of elements that should be included
in the detailed estimate. Methods of estimating are identi-
fied, as well as sources of obtaining current information on
construction costs.
Purpose of Cost Estimates. Although cost estimates are
prepared for both private and public sector projects, cost
estimates for private land developers differ from those for
public sector clients in a very basic sense: construction cost
estimates prepared for public projects are used to deter-
mine the economic benefit of the project based on public
need whereas cost estimates prepared for private develop-
ment projects are first used to determine whether a project
is economically feasible. The economic feasibility analysis
combines the market analysis and the marketability study
(performed by the developer and business team) with devel-
opment and construction costs garnered from preliminary
designs, debt structure, and the required rate of return, then
tests the outcome in order to arrive at a "go or no-go'' deci-
sion. For a small to mid-size local or regional developer the
decision is frequently based on the conjectures for the mar-
ket place, the cost estimates provided by the consultants, and
previous success with particular project types. In all devel-
opment projects, location, timing, and cost control are the
critical elements that must be evaluated carefully and consis-
tently throughout the process in order to deliver a financially
successful project.
Later, if the decision is made to proceed with develop-
ment, a further refined cost estimate can be used to establish
price points or selling prices of the product(s).
Public Project Cost Estimates. On a public project three
types of estimates are performed:
1. Preliminary cost estimates
2. Detailed cost estimates
3. Engineer's estimate or bid estimates
It is important for the site engineer to understand the pro-
cess by which a cost estimate for a public facility is prepared
since a publicly funded project is frequently an integral part
of the overall land development venture.
The preliminary cost estimate for public projects is pre-
pared prior to the development of detailed engineering plans
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and is used to solicit funding, generally from an annual capi-
tal improvement program, grants, or a voter referendum or
bond issue. It is prepared with only a basic understanding of
the general scope and extent of the project. Additional con-
siderations are included, if known, such as special structures
that are required, additional studies that may be warranted
such as soil, wetland, or floodplain studies, land acquisition
costs, and access considerations. The costs can be approxi-
mated using nationally published reference manuals (e.g., RS
Means) or by using the local governing agency pricing guide-
lines. Often times, costs from recently constructed projects
of similar design are used as a source of cost data for such
considerations. The accuracy of the preliminary cost esti-
mate hinges upon the availability of accurate existing infor-
mation and timely decisions regarding the details of the new
development program. Generally, a significant contingency
is included, as much as 30 percent, and frequently the cost of
inflation is included since it may be several years before the
project is actually constructed.
The detailed cost estimate is performed after the project
is funded and designed. It is based on actual quantities esti-
mated from the design plans. It is very similar to the detailed
cost estimate for private projects. The detailed cost estimate
should have an accuracy range of 10 to 15%.
The engineer's estimate or bid estimate is prepared as the
project is awarded for construction. This estimate is very
detailed and it should be as accurate as possible, within ±5%
of the actual cost. It should be based on a thorough review
of the plans and specifications, the solicitation of prices from
suppliers and specialty contractors, and the most recent cost
of construction of the specific elements of the plan.
Private Project Cost Estimates. For private land develop-
ment projects the types of estimates are
• Feasibility cost estimates
• Preliminary cost estimates
• Bond cost estimates
• Construction cost estimates
The feasibility estimate is used by the developer in making
a go or no-go decision. The preliminary cost estimate is per-
formed after a plan has evolved, but before the preparation of
actual construction drawings. It is used by the developer to
secure funding and to assist in developing alternatives before
a final decision on product details. The bond cost estimate is
used as bonds are prepared. The construction cost estimate
is prepared to finalize loan commitment and to compare bids
from contractors.
In summary, while there are some similarities between pub-
lic and private project cost estimates, the uses to which these
are applied varies. The purpose of the cost estimate for a pub-
lic facility is to justify and prioritize the project components
as well as determine the economic benefit or need as weighed
against the cost to public. The private land development cost
estimate provides the developer with the all-important part
of the development process: the cost to construct, and con-
sequently, the amount that must be charged to recover these
costs and still achieve the desired profit.
Feasibility Estimates. Site engineers are frequently
requested by the client to assist in determining the initial
feasibility of a project. In this process, the general procedure
is to review such elements as availability of services (utility
services and their easements, public services, schools), the
potential yield in terms of number of units or square foot-
age of commercial or office space, potential environmental
impacts and a host of other elements (boundary and topo-
graphical surveys, soil tests and bearing capacity, need for
retaining walls and special structures), all of which can
impact the developer's "bottom line" (profit).
Many of these elements involve substantial expenditures,
both in terms of fixed and capital costs. A well-prepared, all-
inclusive cost estimate for the planned project is essential
for all projects. It can ensure that the project is worthwhile
or can result in a decision to abandon the project before the
incurring of any additional cost, including the development
of detailed plans. Investment decisions by both the developer
and the lender rely heavily on these estimates; however, in
early phases of design there is not enough information for
an accurate cost estimate and large contingencies (20% or
more) are applied to the estimate. The economic or feasibil-
ity cost analysis will often determine if it makes sense for the
project to proceed financially.
Many times, cost feasibility studies can be used to identify
a better economical use of the parcel of land. For example,
in evaluating the different lot sizes that can be placed on a
parcel of land, one may attempt to maximize development
lot yield by minimizing lot size. However, a feasibility cost
estimate can provide information on market potential for
various home types, which may warrant the need to evaluate
alternate concepts. A project may have options for building
single family homes by right or rezoning (adding time and
risk) to develop with more density, such as townhomes. The
developer may use the concept plans and feasibility cost esti-
mate to determine the preferred option.
The feasibility estimate is used for exactly the stated
purpose; that is, to determine the economic feasibility of
any given item. That item can be the entire project or, on a
smaller scale, a variation of a particular roadway alignment,
building layout, or utility extension. Feasibility estimates are
often referred to as rough estimates.
Rough Estimates. Many times during the course of design-
ing a land development project, an engineer is asked to give
an informal estimate in order to determine if a particular item
under discussion should be pursued or given further study. An
accurate cost estimate (even a rough estimate) requires more
than just quantifying the infrastructure elements. Market con-
ditions, schedule, and construction process will heavily influ-
ence construction costs-these variables may not be available
to the site engineer. In some cases, the site engineer provides

the quantities and allows the owner/developer to provide the
unit cost numbers. Alternatively, the engineer may have some
current costing data on which to render an opinion. An engi-
neer may also coordinate with local contractors for their input.
In any case, it is important that the engineer document,
in a memorandum, the assumptions and methodology. That
memorandum can be given to the developer if appropriate
or requested and should be placed in the project files as a
permanent record.
These types of estimates are also called "order of magni-
tude" estimates. Generally, they have a low level of accuracy
and can vary as much as 25% to 50%. While accuracy is sac-
rificed in these types of estimates, they can be useful since
one can evaluate a large number of alternatives in a short
period of time. One must always document assumptions and
be aware of the inherent limitations of this process.
This rough estimating procedure presumes an "upper
end" average cost for the significant items of the project. One
might assume a certain dollar cost per linear foot for instal-
lation of storm sewer pipe, even though the cost would actu-
ally vary according to pipe size and depth. If, however, there
is only a small amount of storm sewer on the project and this
cost, relative to other items in the project, is insignificant,
then it might not even be included in the rough estimate.
4.3 ■ CONCEPTUAL DESIGN 363
Some infrastructure items such as this are lumped together
in the ±50% allowable error.
Timing of the project is a significant consideration: many
projects have fallen victim to financial difficulty because of
changing markets, the inherent effects on interest and car-
rying costs, fluctuating cost of money, rework of improperly
designed or constructed features, and poor project manage-
ment. The safest solution is to identify, during the feasibility
period, the greatest number of variables and learn as much
as possible about their impacts on the project, then sched-
ule and control the process in such a manner that, when the
surprises come, they do not destroy the overall profitability
of the project.
Rough estimates, when used appropriately, can aid in
decision early in the design process. These estimates may
support negotiations of development conditions (obligation
for the developer to construction public facilities) or to assist
in continued feasibility analysis of the project. The estimates
should always show a range of cost to signify the uncertainty
of the values. In later phases of design, such as schematic and
final design, the estimates are refined and the contingency
range should diminish.
More information about producing a cost estimate is
included in Chapter 4.4 with preliminary cost estimates.
 CHAPTER 4.4
SCHEMATIC DESIGN
4.4.1. Introduction
Schematic design occurs after the completion of the due dili-
gence, site analysis, and the conceptual design. The preferred
alternative concept plan from the conceptual design (from
Chapter 4.3) is the starting point for the schematic design
efforts. Preliminary engineering (as introduced throughout
Chapter 3) is an integral component of schematic design as
designs are prepared.
Schematic design focuses on the refinement of the con-
ceptual design to result in a preliminary layout for subsequent
detailed design efforts. During this phase of study, a selected
concept plan is subjected to more detailed analysis of pre-
liminary engineering. As the site layout is evaluated in the
schematic design phase, it's common to revisit concept plans.
Preliminary engineering involves the refinement and
development of the information obtained in the previous
stages of the design process. This refinement ordinarily leads
to the creation of a deliverable, often in the form of a graphic,
such as a site plan or general development plan. This may
also include accompanying narrative reports, checklists, esti-
mates, etc. for review by the developer and local governing
agencies. Generally, preliminary engineering is performed by
site engineers; however, other members of the development
team, reviewers at the local governing agencies, as well as
citizens may be contributors or stakeholders in this process.
The final product of schematic design is the preliminary
plan, which may represent the 30% drawings for the project.
The preliminary plan is the design document that establishes
many of the controlling standards and design characteristics
for actual project level development. This is also required for
most entitlement reviews (as described in Chapter 2.4). With
the conclusion of schematic design, the site engineer is ready
to initiate the last stage of the design process which is final
design, after necessary entitlement approvals are in place. The
preliminary plan is then the starting point for final design
efforts (Chapter 5). This Chapter focuses on the preliminary
364
engineering tasks associated with the development of the
schematic design and producing the preliminary plan.
4.4.2. Schematic Design
During schematic design, it is necessary to refine the site lay-
out by validating the previous assumptions and performing
preliminary engineering analyses and evaluations. This is
especially important if there are specific, measurable devel-
opment objectives that are to be achieved in the design, such
as third-party green building certification. Extensive studies
are normally completed to ensure that the proposed devel-
opment program is realistic in terms of density, product
yield, functional prerequisites, environmental, economic,
and political feasibility. Furthermore, the relative placement
of land uses and infrastructure considerations begin to pre-
scribe the ultimate project character. Figure 4.4A depicts a
preliminary plan that might be produced during schematic
design and represents an evolution of the concept introduced
in Chapter 4.3.
Activity during the schematic design phase may include
a formal presentation to public bodies and regulatory agen-
cies as part of the entitlement review to obtain concurrence
with the site design strategy. This phase represents a major
benchmark in the design process in its testing and confirma-
tion of development intent. Public review at this phase of the
land development design process is extremely important. If
there are to be political or procedural obstacles to the plan, it
is best for them to surface early in the design process.
It is important to understand that the development pro-
gram is always subject to change, particularly when it is pre-
sented to citizens and/ or public review agencies or when a
developer is faced with meeting budget constraints. Hence,
the schematic design process is oftentimes an evolutionary
and iterative process that can last for months or even years as
the development approval process (namely rezoning within
the entitlement process) progresses.

If the local jurisdiction does not require a preliminary
plan for the entitlement review process, in many cases the
developer will still require this level of detail prior to incur-
ring the costs associated with developing the final design.
The deliverables produced during the schematic design phase
represent a validation of the development program before
proceeding with the more detailed final engineering design.
Often, the developer will utilize the information prepared in
the schematic design phase to prepare initial construction
cost estimates to ensure the final design is achievable as orig-
inally envisioned. The preliminary plan may also be used to
identify adjustments to the design that must be made to meet
project budget constraints.
During this stage of the land development design pro-
cess, the developer might not be the owner of the property.
Instead, they may be the contract purchaser with contingen-
cies or options built in to the contract pending obtaining an
approved rezoning or other related regulatory approvals.
The preliminary plans are often used to obtain the requisite
approvals. Other contingencies may include a specific lot
yield, development density, green building rating, or desired
gross floor area of a building. If the developer is a contract
purchaser, timing is important to ensure a decision about a
project can be made quickly. Although on a tight time sched-
ule, the schematic design must be accurate. This is the foun-
dation for all future design efforts for the project.
Regulatory Permitting. Engineers, planners, and most
members of the design team appreciate the complexity
involved in the design and construction of even a simple land
development project. Countless hours of planning, evaluation,
drafting, reviewing, calculation, and design effort go into each
project. It is important that the site engineer be cognizant of the
myriad layers of governing regulations, agency review, public
scrutiny, and other requirements once a project is designed.
The regulatory approval process can often be the place where
a project finds the most challenges (in terms of schedule and
cost) if not planned for and diligently, tactfully pursued.
Every site engineer should work with their client to
develop a regulatory permitting strategy that considers all
the various regulations and layers of jurisdictional over-
sight related to the project. The review process is identified
in Chapter 2.4, and the submission and approval process
is provided in Chapter 4.1. This permit strategy should be
incorporated into the project schedule to set reasonable
time expectations and to identify potential roadblocks to
commencing project construction. This may also facilitate
the identification of ways to expedite the project approval
process and obtain permits, which is often a primary goal
of many developers. More information on final design and
construction permits is provided in Chapter 6.1.
4.4.3. Process
Preliminary engineering is required to ensure the viabil-
ity of the preferred alternative of the conceptual design. The
site engineer is responsible for ensuring that the conceptual
plan can be constructed. The development team may have
4.4 ■ SCHEMATIC DESIGN 365
ambitions for the site, but if they do not meet design standards
or engineering practices, it may not be an effective design.
This step in the process may require the editing or reworking
of the conceptual plans, so again this is an iterative process.
The engineering fundamentals described in Chapter 3
are used to analyze the site and are applied again during the
schematic design process. Each fundamental described in
Chapter 3 will be used to refine the conceptual design and
produce the preliminary plan.
Site design: The site planner should have coordinated
between the disciplines to produce the layout of the
site in the conceptual design process. The site engineer
should verify the layout to ensure it meets jurisdictional
requirements. Access points and intersection spacing
for entrances to the site are important to ensure confor-
mance and adequacy for the site. Parking should also be
confirmed to meet the minimum requirements in the
design standards for each of the proposed uses.
Transportation design: The adequacy of the existing and
proposed road systems should be verified. Any required
transportation improvements should be included in the
design. The site engineer will need to ensure that the
internal road layouts are effective throughout the site
and meet the local jurisdiction's requirements. The types
of streets, intersections, and the typical cross sections
should be selected before final design.
Grading: Preliminary grading can be further refined
from early grading concepts. This is one of the more crit-
ical steps in the schematic design process. The prelimi-
nary grades will ensure that the site is effective for the
proposed uses. It is important to consider grades around
buildings, the appropriate road grades, and Americans
with Disabilities Act (ADA) accessibility throughout
the site. With challenging earthwork conditions, more
expensive solutions may be required to ensure that the
site can be developed for the intended use. For example,
if the site is too steep, walls may be needed and should be
identified.
Stormwater: The stormwater management plan for the
site should be confirmed by the site engineer to ensure
that proper drainage is achieved through the proposed
preliminary grades. The preliminary stormwater
management facilities must be located and sized with
adequate capacity for the proposed development.
Utilities: The site engineer should ensure the layout of all
utility systems is effective and clear of conflict. Adequate
capacity and proper sizing for all systems can be refined
during schematic design. It is important to coordinate
the storm drainage collection system with the stormwa-
ter management to ensure proper outfall and the correct
sizing of the stormwater management facility.
Environmental: Possible impacts to previously identi-
fied sensitive areas should be evaluated. Preservation,
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restoration, or mitigation efforts should be coordinated
with site design. Sustainable design strategies should
be refined and optimized as infrastructure systems are
implemented with increased detail.
Constructability review: Determine any phasing require-
ments that may impact further site design and develop
a permit schedule for site, building, and environmental
permits.
The actual preliminary plans that are produced are more
detailed representations of the concept plans. There may
be multiple preliminary plans to demonstrate the different
aspects of the preliminary engineering that was performed,
but during schematic design there should not be significant
differences between layout options.
Site Design. The first step in developing the preliminary
engineering plans for a schematic design is to formalize the
conceptual design layout into a geometrically accurate lay-
out. This layout may include the arrangement of buildings,
horizontal alignment and configuration of roadways, and
formalization of parking areas. Building setbacks should
be established and building envelopes represented. All pro-
posed on-site and off-site improvements should be shown
with this layout, including easements necessary for utilities
and ingress-egress (access).
The site layout should also focus on the land use. The allo-
cation ofland uses in the layout should be annotated by use
and area. Area is normally noted as the gross acreage of the
individual land units commonly referred to as "land bays:'
In addition, appropriate delineation of areas for public facili-
ties, including schools, public safety, libraries, parks and rec-
reation facilities, day-care centers, church sites, and similar
facilities that have been determined necessary or desirable
support components to the initial development program.
Identification of areas subject to development constraints
should be confirmed, including floodplains, wetlands, and
environmentally sensitive areas; buildings or grounds con-
sidered historically significant; and other acreage that by
unique circumstance has been mandated by public policy
to be subject to development limitations. These should be
depicted on the plan. Figure 4.4B provides an example con-
cept plan for a hospital that anticipates significant expansion
with future development.
Transportation Design. Major transportation systems
(vehicular and pedestrian) should be depicted on the plan
in conformance with the design standards of the local juris-
diction and current comprehensive or master planning con-
siderations. Traffic studies (introduced in Chapter 4.1) for
the site should be performed, and the information should be
used to validate site access requirements and the necessary
transportation systems for the site. Existing roads adjacent
to the site that are inadequate for the new development and
require improvements should be identified at this stage. New
entrances may require turn lanes and should be shown along
with any off-site work that may need to be performed (and
negotiated with adjacent landowners). Access into the site
4.4 ■ SCHEMATIC DESIGN 367
should be defined on the plan as both location and type (sig-
nalized, right in/out only, etc). Sight distance for all access
points should also be confirmed.
Widths of proposed pavements should be developed based
on expected traffic volumes determined from completed traf-
fic studies, or as local requirements may dictate. Curbs, gut-
ters, and sidewalks should also be depicted as appropriate.
The site access to adjacent roadways should be illustrated,
including any provisions for pedestrian and/or bicycle access
improvements or signalization that may be warranted. Inter-
nal and external pedestrian networks should be represented in
the schematic design. These networks are often encouraged to
connect to existing sidewalk and trail systems and should be
coordinated with the local department of transportation.
Grading. The site engineer should develop a schematic grad-
ing plan to determine if there are any problem areas and to
identify grading constraints which will need to be addressed
through the design process. Developing a schematic grading
plan consists of utilizing the schematic layout to confirm the
placement ofbuilding footprints, set the building elevation(s),
road grades, and parking area grades. Spot elevations and
sketching the 5 feet, or sometimes 2 feet, contour lines help to
determine the feasibility of the building elevations.
Each site is unique and the process for developing a grad-
ing plan should not be considered prescriptive. The follow-
ing checks should be performed on the preliminary grading
scheme to gauge functionality and aesthetic performance:
1. Understand requirements from the development
and local jurisdiction for minimum and maximum
grades (maximum slopes for parking, sidewalks, etc.)
2. Analyze the existing drainage patterns-develop a
strategy for proposed drainage patterns and storm -
water management
3. Study the available geotechnical information that may
identify areas of rock, poor soils, or other conditions
that would influence how cut and fill is considered
4. Identify the grading conditions at the limits of the
site (or work area) as well as potential pedestrian and
vehicular access points and the existing elevations
5. Identify sensitive areas where grading is not permit-
ted, such as environmentally sensitive areas or his-
toric areas
6. Establish building elevations based on grades from
the access points into the site
7. Track cut and fill requirements based on different
grading scenarios and evaluate the impact on day-
light limits as well as retaining wall requirements
During this process, several grading schemes may result,
each with its own advantages. Conferring with the developer
may help in establishing the preferred grading scheme to
pursue in final design.
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FIG uRE 4. 4 B Example of a preliminary site plan.

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310 i@Uhili F%MUM\i,i/i¥%:W:i\ili41iM
Environmental. As the site design progresses from the
conceptual design phase to the schematic design phase,
the preservation or conservation plan should be developed
concurrently to detail clearing limits, preservation areas or
protection zones, and protection techniques to successfully
implement the desired preservation. Written detailed recom-
mendations regarding site-specific preservation areas, tree
preservation techniques, and remedial care of tree preser-
vation areas are incorporated into the refined preservation
plan. Refer to Chapter 2.5 for more information on environ-
mental (as well as historic) considerations.
Example. In Chapter 4.3, an example of a conceptual design
for a project was included. This concept plan was the start-
ing point for the schematic design. Preliminary engineering
refined the design and produced 30% drawings. Figure 4.4C
shows the preliminary plan for this example project. This
will be the starting point for final designs (to be introduced
in Chapter 5.1).
4.4.4. Schematic Design Deliverables
At the end of the schematic design stage, the finalized work
product typically consists of a set of preliminary plans, a
design checklist, outline specifications and product data, pre-
liminary reports, preliminary construction cost estimates, and
value engineering recommendations. In contrast to the final
site plan content (defined in Chapter 5.1) the preliminary plan
provides about 30% of the final design content. The informa-
tion at this phase is usually limited to horizontal design ele-
ments with preliminary grading-additional content such as
infrastructure details, full narratives, road profiles, and util-
ity profiles may not be produced until final design. The list
below should be contrasted to the comprehensive list shown
in Chapter 5.1.
This example organizes the plan into sections and consid-
ers multiple disciplines through the prefix (G for general, C for
civil, L for landscape, B for geotechnical, R for reference, etc.).
Some section numbers are not shown (utility plan and profiles)
and they are usually omitted from a preliminary plan.
• Cover sheet (not numbered)
• ClOl-Abbreviations, notes, and legend
• C201-Existing conditions and demolition
• C30 I -Site plan (with preliminary utility layout and
grading)
• C701-Stormwater management (narrative and pre-
liminary sizing calculations)
• C801-Erosion and sediment control (narrative)
o C802-Phase 1 erosion and sediment control
o C803-Phase 2 erosion and sediment control
• L101-Landscape plan
Preliminary Engineering Checklist. Checklists and reports
are often prepared during the site analysis, site selection, and
feasibility stage of the design process. It is good practice to
update and/or prepare new checklists and reports as part
of the schematic design process in order to document the
design progression, in particular any noteworthy changes
to the development program. An example of a preliminary
engineering checklist is provided in Figure 4.4D.
Waiver Preparation. During the preliminary engineer-
ing stage of the design process, it may become apparent that
waivers and/ or modifications to local design standards and
zoning ordinances may be required. Obtaining waivers or
modifications may be critical in meeting the objectives of the
proposed development program, to facilitate the eventual
construction efforts, or to speed up the design review pro-
cess. The review and approval process can take considerable
time and should be started early in the design phase, so the
proposed layout can be validated. Unique or nonstandard
construction details should be preliminarily prepared and
analyzed during this stage of the design process.
Green Building Design and Sustainable Site Evaluation.
Green Building and Sustainable Site design concepts imple-
mented as part of the project should be reviewed, evalu-
ated, and refined at this stage of the design process with the
entire development team. From a site engineer's perspective,
this step includes a review of the individual green building
metrics, in particular those related to sustainable site devel-
opment, and an evaluation of whether or not the site com-
ponents and design are evolving in a manner conducive to
meeting the established project goals.
If the targeted green building goals, specifically the site
components, are not being attained then an assessment of the
specific site metrics as outlined above should be performed to
determine what other measures or design principles should
be incorporated into the design during the course of final
engineering. Changes to the design program are bound to
occur. The site engineer should be aware of and attentive to
the various green building strategies employed on the project.
The site engineer should be able to adapt, refine, and innovate
throughout the design process to optimize the site's potential,
developing strategies that are buildable and sustainable.
4.4.5. Preliminary Cost Estimate
Feasibility cost estimates were described in Chapter 4.3 to
give an initial rough estimate of the cost of a project dur-
ing the conceptual design. Because more detail is put into
the schematic designs, a preliminary cost estimate will give a
more accurate and better representation of the cost.
Preliminary Estimates. Preliminary estimates are devel-
oped during the schematic design phase with the under-
standing that the plans have not yet reached sufficient detail
to derive final construction costs. These estimates are usually
made after a plan has evolved to schematic design but prior
to final design. They can serve as advanced budget estimates
and are usually accurate enough for making decisions regard-
ing the feasibility of a project or for a decision involving a
choice among alternatives within a project. The preliminary
plans can be used to estimate several important design quan-
tities, which when multiplied by the applicable unit costs can
 4.4 ■ SCHEMATIC DESIGN 371

Checklist
For Date:
Preliminary Engineering Study Prepared by:
---------
A. Basic Project Information

1.0 Project Name:

2.0 Project Location :

3.0 Client:

4.0 Project Manager:

5.0 Lead Engineer:

6.0 Planner / Other Team Members:

Yes No N/A Comments

7.0 Has Project Manager visited site?

If so, give date(s):

8.0 Has Lead Engineer visited site?

If so, give date(s):

9.0 Has Planner and/or Other Team Member(s) visited site?

If so, give date(s):

B. Street Design / Site Layout

1.0 Has the horizontal configuration of the roadways

been checked for geometric accuracy?

2.0 Are the pavements widths correct?

3.0 Has sight distance been verified both vertically and

horizontally?

4.0 Are sidewalks and/or trails shown in accordance

with the requirements?

5.0 Have the lots and/or land divisions been computed

and checked for geometric accuracy?

6.0 Are all setbacks and building restriction lines

shown?

7 .0 Are all existing on-site and off-site easements

shown?

8.0 Are proposed easements shown (approximate

widths and locations)?

9.0 Are off-site easements required for the project?

C. Storm Drainage

1.0 Have the horizontal placement and sizing of storm

sewer and storm structures been performed?

2.0 Has select profiling been performed to determine

possible vertical conflicts between utilities?

3.0 Have all existing storm drainage outfalls been checked

for adequacy?

FIGURE 4.40 Example of a preliminary engineering checklist.

312 i@Uhili F%MUMll·ili¥%:W:i\ili41iM
D. Stormwater Management

1.0 Has storm water detention facility(s) been sized to

achieve the required quality and release rate?

2.0 Has the spillway capacity been determined?

3.0 Has a preliminary dam break analysis been

performed?

E. Floodplain

1.0 Is there a floodplain present?

2.0 If so, has it been modeled using field-run topography?

F. Grading/ Earthwork

1.0 Has a grading study been performed?

2.0 Has an earthwork analysis been performed?

3.0 Have the soils been evaluated?

G. Wastewater Collection / Wastewater Treatment

1.0 Is public sanitary sewer available to the proposed

project?

2.0 If so, is there capacity in downstream sewer and

treatment facilities for the proposed improvements?

3.0 Have the horizontal placement and sizing of sewer been

determined?

4.. 0 Has select profiling been performed to determine

possible vertical conflicts between utilities?

5.0 If public sanitary sewer is not available, what method

will be used for wastewater treatment?

H. Water Distribution / Water Treatment

1.0 Is public water service available to the proposed

project?

2.0 If so, is there adequate pressure in the existing system

and are the fire flow requirements met?

3.0 If public water is not available, what method will be

used for water supply?

I. Erosion and Sediment Control

1.0 Has a general erosion and sediment control program

been determined for this project?

J. Cost Estimates

1.0 Have preliminary costs been determined for the

proposed improvements? If so, list them .

2.0 Have fees associated with the development program

been determined? If so, list them.

FIGURE 4.40 (Continued)

 4.4 ■ SCHEMATIC DESIGN 373

K. Miscellaneous

1.0 Are any waivers and/or modifications to local design

standards and zoning ordinances required?

2.0 Are there any wetlands and/or other environmental

constraints associated with this site?

3.0 Is gas service available to this project?

4.0 Is electric service available to this project?

5.0 Is telecommunication service available to this project?

FIGURE 4. 4 D (Continued)

provide a reasonable construction cost estimate. These esti-
mates should be accurate to within 10% to 15%, with better
accuracy occurring during final design efforts.
After the preliminary development plans have been
approved, detailed engineering and preparation of construc-
tion documents will commence. There are costs associated
with these procedures and they can vary greatly depend-
ing on the type of project and client (private or public). An
estimate design cost (effort to completion of final design)
should be prepared as part of the preliminary cost estimate
in order to provide the developer with an accurate idea of
the project's cost to complete-both in terms of design and
construction.
A checklist should be prepared listing all cost items; the
checklist for the preliminary estimates should be at least as
inclusive as that employed for the detailed feasibility estimate.
It is critical that the engineer and the client agree on the units
of measure to be used for each of the elements included in the
estimate. The unit of measure may be obtained from a source
such as the State Department of Transportation, Department
of Public Works, or any other public sector entity engaged in
construction or bond review/approval. Private projects may
not always coincide with public specifications. The devel-
oper may require the units of measure in a certain format for
loan application purposes or for analysis by his contractors;
thus, it is important to have a mutual understanding of the
cost estimate format.
The elements that should be included in the preliminary
estimate are more detailed than those in the feasibility esti-
mate. These estimates have categories for both hard costs
(construction of physical features) and soft costs (consulting
fees, permit fees). The elements to be included are
1. Land costs
2. Clearing, grubbing, and demolition
3. Roadway, sidewalk, trail, and bike path
4. Lighting, traffic signals, and signage
5. Grading and earthwork
6. Soils and geotechnical costs
7. Stormwater management systems
8. Storm drain
9. Sanitary sewer
10. Water supply
11. Other utility (power, gas, communication)
12. Professional fees
13. Financial fees
14. Contingency allowance
15. Other miscellaneous
Land Costs. Land costs are usually expressed in dollars
per acre and are provided by the owner-or this information
may not be shared with the design team. If provided, this
is the line item within the estimate where the initial cost or
price paid to the former owner for the parcel is accounted.
Since the price is usually determined on an area basis, it is
critical that a complete boundary survey be done to deter-
mine the exact parcel size. Boundary surveys were described
in Chapter 3.2.
For complete land cost calculations, the cost of the deed,
title insurance and any transfer taxes should be included in
the estimate. Real estate commissions are usually paid by the
seller but this should be verified since they can be as high as
6% to 8% of the selling price.
Possible rezoning, special exceptions, and other amend-
ments or planning processes that are required to permit the
desired land use will be another cost component under the
land cost. For these actions, usually the new land owner's
legal team fees and the cost of any studies (soils, Phase I ESA,
etc.) and design fees through the entitlement approval will be
the main cost considerations.
Clearing, Grubbing, and Demolition Costs. Typically, the
cost of clearing, grubbing, and demolition is usually a small
portion of the total cost of construction. Most clearing quan-
tities may be estimated on the basis of square yards or for
374 i@Uhili F%MUM\i,i/i¥%:W:i\ili41iM
larger sites, even acres may be appropriate. Depending on the
nature of the clearing and grubbing (light woods versus heavy
forest versus developed areas such as parking lots) additional
costs may be added. Soil remediation or removal to account
for organic or other unsatisfactory material should also be
included in this item.
Where there are a number of structures to be removed,
reused, or salvaged, a demolition plan is recommended in
order to provide direction and clarity for the contractor. The
cost of the demolition can be difficult to estimate because
there may not be a history of unit costs from which to draw;
there may be certain environmental regulations that require
specific attention, for example, removal of asbestos, lead,
or other identified hazardous and contaminated materials
from the building or the site, consequently requiring a spe-
cial subconsultant/ estimator. Demolition costs of buildings
should be estimated based on the number and sturdiness of
the buildings to be demolished. A contractor expecting to
be given the demolition contract may be willing to provide
an estimate.
When estimating clearing, grubbing, and demolition
costs it is important for the engineer to have a thorough
understanding of the proposed construction process in order
to determine the applicable disposal scenarios: waste mate-
rial may be hauled and disposed of in an appropriate landfill,
it may be diverted, salvaged, or recycled on- or off-site. The
disposal scenario will affect prices assigned to haul routes,
landfill dumping fees, and on-site sorting, storage, and treat-
ment of materials. For projects where green building certi-
fication is desired, waste management is one of the metrics;
a waste management plan addressing the disposal scenarios
should be scoped and developed by an experienced profes-
sional in order to accurately determine and effectively man-
age costs in this category.
Roadway, Sidewalk, Trail, and Bike Path Costs. Costs are
usually expressed in dollars per linear foot for roads, streets,
alleys, sidewalks, trails, and bikeways/multi-use paths, and
a lump sum or square yard cost for parking lots. The scope
of work included in linear features should be clarified since
there could be many separate items included in a linear foot
unit cost, including earthwork, pavement, aggregate for the
base and subbase course, curb and gutter, and underdrains.
In addition, if appropriate, the costs associated with street
and lot lighting, street trees and landscaping, and signs and
signals should be included if they are not accounted for as
separate items.
Pavement costs are usually expressed in dollars per ton
of asphalt pavement or per square yard per inch of depth for
concrete pavement and either cost is usually a considerable
portion of the roadway cost. The traffic count or anticipated
traffic load will dictate the street width and pavement design.
It is important to verify the sidewalk or trail requirements of
the jurisdiction early in the design process.
Lighting, Traffic Signals, and Signage Costs. The cost of
installing traffic signals, signing, lighting, guardrail, and traf-
fic markings should be included. An estimate of the number
needed should be based on the type of features and place-
ment required by the jurisdiction. Lights and traffic signals
are typically priced on a per unit basis, while the associated
conduits and wires in-between the units are estimated on
a linear foot basis. Signage may be priced by square foot,
square yard, or in some jurisdictions on a per unit basis.
Guardrail and striping are linear foot quantities. Traffic sig-
nals and their related equipment should be priced by either a
signal contractor or experienced traffic engineer.
Grading and Earthwork Costs. Earthwork costs for the
various infrastructure elements are usually included in the
per foot cost of these elements; however, earthwork costs for
things such as mass, rough, and final grading of the streets
and lots should be estimated separately. The cost of grading
for streets and building pads is based on cutting/filling to the
desired elevation and compacting the soil to the specifica-
tions of the soils engineer. The cost of grading building pads
will be charged at a different rate than the rate for grading
streets and parking lots, so it should be listed separately on
the cost estimate. They are usually expressed in dollars per
cubic yard and include cut, fill, topsoil, borrow, and excess
(earth hauled off the site). Refer to Chapters 3.4 and 5.4 for
consideration of earthwork quantity calculations.
Earthwork costs can be significant, and earthwork engi-
neering is not readily understood by the developer. Care
must be taken during design so that, if possible, phasing of
construction can be done to construct first in areas of cut so
that earth can be moved to areas of fill without a secondary
storage step or in the worst case, earth moved off-site only
to be brought back later for fill. Also, considerations should
be made if rock or groundwater is shallow on the site. The
engineer may consider raising the grade of the proposed
site to eliminate the need to rip or blast through rock and
may need to include provisions for dewatering, groundwa-
ter diversion, or soil drying. Earthwork costs at this stage
of plan development should be based on the most accurate
earthwork model available and the available geotechnical
information.
Soils (Rocks) and Geotechnical Fees. The type of soils
found on the project site can affect project construction
costs. The types of soil can cause significant costs because of
the need to change the existing soil characteristics. If a sig-
nificant portion of the soils cannot be made compatible with
the proposed development program or it needs to be treated
to make it compatible, the costs for replacing the existing
soils or treatment can be extreme. Excavation and the provi-
sion of sufficient suitable backfill can also increase costs.
The presence of rock on the proposed site can also have a
tremendous effect on the construction cost. If excavation of
rock is necessary, blasting may be required.
Stormwater Management Systems Costs. Similar to ero-
sion control, jurisdictions are adopting more stringent
stormwater management system requirements. In some
cases these systems can equal or exceed the costs of the
storm drainage system. Included in this item are the costs
for both water quality and quantity control facilities. Given

the wide range of facility types from natural systems includ-
ing detention and retention ponds, bioretention gardens/
basins, and infiltration trenches to manufactured or tech-
nology based systems such as sand filters, oil/grit separators,
and filter inserts, pricing these facilities is highly specific and
difficult to generalize. Dam construction for ponds or other
embankments may have specific geotechnical requirements
that might require importing material that meets applicable
specifications.
Natural systems must be priced to include excavation,
grading, and embankment construction as well as spillway
and outlet structures, inlet and outlet protection, underd-
rains and dewatering devices, landscaping, and access pro-
visions including roads, paths, fencing, gates, and signage.
Most of these items are unit quantities; however, there is
a wide range of data available for cost estimating specific
SWM facility types (bioretention, infiltration trenches, wet
ponds, etc.) on a cubic yard, square yard, or acre-foot basis.
When it is jurisdictional or client preference to estimate in
this manner, the unit prices should be verified, if possible,
with contractors experienced in the construction of these
types of facilities.
The costs for manufactured systems are best garnered
directly from the vendor; the engineer should inquire about
the system, delivery, and installation costs. Additional or
supplemental features such as manholes, inlets, underdrain,
signage, and maintenance access provisions may still need to
be cost estimated separately.
Storm Drain Costs. Storm drain costs are usually
expressed in dollars per linear foot of constructed pipe or
on a per structure basis for items such as inlets, manholes,
and junction boxes. Quantities for storm drain items includ-
ing inlet and outlet structures as well as conveyance items
(pipes, swales, ditches) should be derived directly from the
preliminary plan.
Included in this cost is the pipe itself, culverts, inlets,
manholes, headwalls, endwalls or end sections, outlet protec-
tion, energy dissipation devices, special drainage structures,
underdrains, box culverts, rock excavation, and special pipe
bedding if needed. Additional costs include backfilling and
any site restoration costs, hauling of excavated material, and
seeding (or sodding) if the pipe is placed outside a hardscape
section. Costs of storm drains can often be reduced through
implementation oflow impact development (LID) techniques
including provisions for porous pavement or other infiltration
facilities, use of natural channels/swales, utilizing the mini-
mum adequate pipe size, using the least number of drainage
structures, and pipe depths set as shallow as possible.
If the proposed storm drain crosses existing utilities the
vertical locations must be thoroughly investigated to ensure
system compatibility. If there is a conflict in vertical loca -
tions, redesign and/or relocation efforts must be scoped
and included in the cost estimate. Utility relocation fees are
usually substantial, thus they should be identified during
the planning and design process in order to be estimated
accurately.
4.4 ■ SCHEMATIC DESIGN 375
Sanitary Sewer Costs. Sanitary sewer costs are usually
expressed in dollars per linear foot. In some cases a land
development project may require a sewage treatment facility
or an existing facility may require enhancements due to the
construction of the project. It may be necessary to install a
sewer main with a capacity exceeding the need of the project
to accommodate future development. In cases when excess
capacity is required, the responsible agency should partici-
pate in the cost sharing.
The basic sanitary sewer costs include the piping, laterals
to the property line (or building sewer), manholes, drop con-
nections, ejection pumps, and special structures. Restoration
costs such as seeding and/or sodding should be included
if the pipe is placed outside the hardscape section. As with
storm drains, costs for sanitary sewers can be reduced by
keeping pipe lengths and sizes to the minimum, locating the
trenches at shallow depths, and minimizing the number of
structures. Additional cost items include rock excavation,
roadway crossings, additional vertical depth (excavation and
structure section), and jacking/boring/tunneling. Existing
utility crossings must be considered and accounted for as
described above in the storm drain section.
Green building techniques have encouraged the on-site
treatment and reuse of grey/black water thus reducing the
demands on conventional sanitary sewer and sewage treat-
ment facilities. While the conventional costs including
impact or tap fees may be removed or avoided, it is equally
important to accurately cost the new technologies imple-
mented to treat and reuse the wastewater; estimating the cost
of a green building sanitary treatment/reuse system requires
the engineer to work with the MEP engineer to account for
all components and ensure the costs are assessed either with
the site or in the building (and not double counted). Regard-
less of the design approach to sanitary sewer the design
must be code compliant and accounted for in the estimate.
Depending on the technology, manufacturer input is likely
the best source for unit price information.
Water Supply Costs. If the water supply company will be
installing the water systems, the cost of providing water ser-
vices should be based on their estimates. If the responsibil-
ity for the design and construction of the water supply and
distribution system is with the engineering consultant, an
estimate must be developed. As with sanitary sewers, costs
for water distribution systems are expressed in dollars per
linear foot. If a water supply and treatment facility, such as a
well, package plant, or a special pumping facility is needed, it
is recommended that the site engineer utilize the services of
a professional that is experienced in this specialty to provide
the cost estimate. Other items included in the water distribu-
tion costs are valves, hydrants, water service line, firelines,
blow off and air releasers, and tees and pumps. Cost mini-
mization methods are similar to storm drains and sanitary
sewer design, and the elements included in the estimate are
pipes, laterals services, fittings, water meters, thrust blocks
and anchors, and special structures such as valve vaults. Tap
fees should also be accounted for in this cost item.
37& i@Uhili F%MUM\i,i/i¥%:W:i\ili41iM
Other Utility (Power, Gas, and Communication) Costs.
Other utility costs such as gas mains, fuel transmission
pipelines, electric supply, telephone, fiber optic, and cable
television should be included. There may be a requirement
(or desire) that overhead power and communication lines
be relocated underground, thus requiring a conduit system.
There may also be a need for equipment such as transformers
and substations which may increase cost and require ease-
ment provisions. Some utility companies pay for the instal-
lation for their utilities (set transformers and pull cables),
some look for the developer to pay costs either entirely or
on a pro-rated basis depending on the foreseeable develop-
ment in the community. Given the great variation in prac-
tice amongst different utility providers, the first step in cost
estimating this item is to determine design/construction
responsibility: often the developer is responsible for design
and construction of the "pathway" (i.e., conduit systems)
subject to the utilities' approval as well as base and aesthetic
features such as concrete pads, landscaping, fencing, or other
screening devices. Conduit is typically priced on a linear foot
basis while structures in the conveyance system are priced as
"each'' or per structure.
The utility companies themselves, which can be either
public or private companies, can best supply the cost esti-
mates for their facilities. An estimate should be included
for these facilities if feasible. There are often additional fees
beyond the infrastructure costs that need to be considered
(inspections, connection, bonds, etc.). Crossing these exist-
ing utilities is typically easily accommodated since the cover
requirements, horizontal, and vertical offsets for these utili-
ties are fairly flexible as they are not gravity driven. Regard-
less, relocation costs for other utilities should be examined
and accounted for especially when conduit systems are
moved from overhead to underground installations.
Erosion and Sedimentation Control Costs. Cost ele-
ments include values for systems such as sediment traps
and basins, straw and maintenance bales, silt and super silt
fence, berms, gravel for truck wash facilities, inlet protec-
tion devices, riprap, dewatering and pumping facilities, seed
and sod, and erosion control matting. Similar to other ele-
ments of design, proper phasing of construction activities
can minimize the cost of these facilities. Many jurisdictions
require these items to be bonded similar to other public
infrastructure components because of the environmental
and aesthetic importance of proper erosion and sediment
controls. Thus in addition to the actual construction cost of
these facilities, an additional bond amount may need to be
included in the estimate as well.
Landscaping Costs. Cost estimating in landscaping appli-
cations is best approached by breaking down the landscape
plan into components such as shade trees, ornamental trees,
shrubs, perennials, annuals, ground covers, sod, seeding, and
mulch. Other landscape architecture elements that are com-
monly coordinated with landscape plans include hardscape
and architectural items such as, gravel, brick and concrete
paving, fencing, custom signage, and lighting.
Most plant material including trees, shrubs, perennials,
and annuals are measured on a per unit basis. Seeding appli-
cations are typically estimated based on an area of coverage
and/or the specified application rate. Hardscape including
pavers (brick, concrete, or asphalt) is estimated based on
area; typically square foot or square yard depending on the
application. Fences are measured in linear feet and retain-
ing walls or other decorative walls are usually included
based on square face footage. Topsoil, mulch, and other soil
products are volume-based quantities-cubic feet or yards.
Specialty aesthetic features such as signage and lighting can
vary greatly depending on the specific application and quan-
tity and may be measured as per unit or often lump sum for
the installation. Quantities can usually be determined from
the plant schedule and details and/or the preliminary plan.
Quantities should be reviewed after construction documents
are prepared to ensure accuracy.
In addition to the proposed construction items, the cost
estimate may need to include a cost for existing plant mate-
rial to be maintained and any special treatment associated
with the preservation effort (trimming, aeration, etc.) as well
as repairs to any landscape items damaged during construc-
tion or that die-off during the warranty period.
Recreational Facilities Costs. Many times the develop-
ment of a project will include the cost of recreational facili-
ties. These may be proposed by the developer to enhance the
project's vitality or in an attempt to seek support for approval
of the development. In addition, the approving jurisdiction
may impose additional recreational facilities during the enti-
tlement process. These facilities may serve only the proposed
development or may serve additional users outside the proj-
ect. For example, the jurisdiction may require the dedica-
tion of land for a regional park and require the developer to
construct a pond. The jurisdiction could construct the park
features such as trails, building and provide for future main-
tenance as the public commitment to the park's develop-
ment. In this example the pond could serve as the stormwater
detention facility for the project and recreational facility for
the jurisdiction. As part of the cost estimating process, only
the developer's costs should be included in the cost estimate.
A well-planned development could take advantage of these
features through good initial planning and design.
Elements which should be included in the recreational
facility costs are park development, sod and/or seeding,
earthwork such as mounding, tennis courts, swimming
pools, basketball facilities, fencing, and tot lots, and any
landscaping elements not previously included. If there is an
excess of earthwork in the project, good landscape design
through the creation of sound berms and mounds in the
park can reduce the costs of hauling away excess, unsuitable
material. On the other hand, if there were a shortage of fill
material, sound landscape design would consider lowering
the future park site.
Off-Site Costs (Special Costs). In order to serve the devel-
opment with adequate utilities or to adequately direct sew-
age or stormwater away from the site, many off-site costs

can be required of the developer. Good engineering design
should identify the condition of downstream outfalls and
determine any requisite improvements required to these sys-
tems. Many times these enhancements are the responsibility
of the developer and should be included in the estimated cost
of the project. Care must be used not to prematurely state
that these are 100% the responsibility of the project devel-
opment. In some instances, the case can be made that these
benefit adjacent future development or the public in general,
and therefore, the costs should be shared. At this stage in the
development, the engineer preparing the cost estimate can
make an assumption and use the assumption in his calcula-
tion, but footnotes should be made to identify the assump-
tion and a brief justification of the assumption.
Special or off-site costs that should be considered are
streets and/ or street widening and reconstruction, traffic
controls, signalization, bridges, sidewalks, hike/bike trails,
stormwater management facilities (in particular, regional
facilities), landscaping, lighting, and signs. The installation
of these off-site features may require temporary construction
easement and permanent easements, which would need to
be negotiated with the landowners-in some cases the cost
could be minimal, but the landowner may also not be inter-
ested in granting an easement. This should be coordinated
early to determine if easement acquisition is cost prohibitive
and the design should be reevaluated.
Permits and Bonds Cost. On most projects, permits
from the local, and sometimes the state, governments must
be obtained before construction can commence. Tap or
"hook-up'' fees are common for most utilities and should
be included under this item if not accounted for under the
individual utility costs. Many kinds of construction activities
require inspections both during and after construction which
are intended to provide consistency in construction activi-
ties and to provide for safety during both construction and
in system use.
The permits associated with developing a tract of land
can be numerous. The cost associated with procuring the
required permits is one that must be accounted for. Permits
are usually required for grading, paving, drainage, sewer
connections, water connections, electrical and gas connec-
tions, wetlands delineation and encroachment, and forest or
tree stand delineation, clearing, and impacts. Additionally,
the local and state governments may have permit require-
ments based on regional considerations. Generally, the fees
charged by the reviewing agency are structured to recover
their costs for review of plans and inspection, but some gov-
ernments use these fees as a way securing additional general
revenue. In any case, it is the responsibility of the engineer to
carefully identify all fees for the required permits.
On most projects of substantial size, the developer and/
or contractor must post a surety bond and in some cases a
conservation bond (covering E&S, landscaping, and other
natural site features to be installed or protected) to ensure
adequate construction quality. While this bond is returned at
the end of the project, it can involve a loan from a bonding
4.4 ■ SCHEMATIC DESIGN 377
company or at a minimum, involve lost interest for the con-
struction period. Many jurisdictions now permit the poten-
tial partial release of bonds as project phases are completed.
While this does not affect cost estimates, it can substantially
reduce the developer's cost and if the engineer can identify
this possibility and move promptly to get the partial bond
release, the client can save in terms oflost interest cost.
Professional Fees. As part of any project, professional con-
sultant fees should be included in any cost estimate since they
can represent as much as 15% of the project cost. These fees
include the engineer's, surveyor's, geotechnical, environmen-
tal consultants, construction manager's, and architect's fees
as well as attorney expenses. Generally these fees are based
on the cost of the facilities, factored by the complexity of the
project. Attorney fees vary widely from a lump sum for the
entire project to an hourly fee. Whatever method is chosen
to estimate the cost, the assumptions should be clearly stated
in the report that accompanies the estimate.
The engineering and architectural fees can be divided
into two categories: (1) design development (usually up to
and including the entitlement process, surveying, planning
efforts, and preliminary engineering) and (2) final design
and construction document preparation and permitting ser-
vices. Construction phase services are typically an "add-on''
or separate category and should be identified as such in the
cost estimate.
Financial Fees. The inclusion of financial fees in the cost
estimate is best left for the developer to estimate, based on
his particular situation. Financial fees are usually based on a
percentage of borrowed money. Interest charges during the
life of the project can be substantial if the project has a long
history from purchase ofland to completion of construction.
The cost of financing may range from 5% to 20% of the total
project cost. These costs should be considered when balanc-
ing engineering design effort and time-a solution that has
a reduced construction cost but takes longer to design and
construct may result in the developer spending more money
on loan interest, lost revenue, inflation, or other financial
impacts.
Contingency Allowance. Allowing for contingencies is an
elemental part of the estimate of project cost to allow for
unforeseen conditions and for variances in design elements.
There is no prescribed value defined by the industry. The
amount can vary by the complexity of the project and the
anticipated time for completion. It is common to see con-
tingencies used from 5% to 30%. If the engineer is unsure of
the contingency to allow, it is recommended that a minimum
of 15% be utilized. If the developer disagrees, the amount
can be altered by the developer. However, it is recommended
that the site engineer's original contingency used by the engi-
neer be documented in the project files. If the project is to be
phased over numerous years, the cost of escalation should
affect the contingency, or alternatively a separate line item
can be included for inflation.
The notes to the cost estimate are particularly important.
Any assumptions used in making the estimate should be
310 i@Uhili F%MUM\i,i/i¥%:W:i\ili41iM
clearly explained, including indication if the costs used are at
current value or include an inflation factor.
Other Miscellaneous Costs. Other miscellaneous costs
should be included if pertinent. Consideration should be
made to such items as marketing analysis, maintenance
cost of project elements constructed but not accepted by the
operating agency until later and other costs not accounted
for in any previous section. These might include such items
as environmental mitigation and special landscaping costs.
The site engineer should elaborate on the possible costs
that are not included, such as sound walls, environmental
impact reports, and soil reports. Where the facilities required
are oversized, the jurisdiction may give partial reimburse-
ment to the developer for improvements larger than what is
needed to serve the project. When this is the case, the antici-
pated reimbursement should be described. Costs that con-
stitute refundable deposits, such as are sometimes required
for water meters until the building is occupied, should be
listed. Other costs include meeting current fire safety codes;
handicapped access (current ADA requirements); other
building code requirements retroactively required for exist-
ing buildings which are part of the development subject to
reconstruction/remodeling; temporary vehicle, bicycle and
pedestrian access modifications to accommodate construc-
tion activities; parking modifications required to accom-
modate the contractor during construction. Restricted site
access, limited material storage space, and a remote loca-
tion may add to the cost of a project. For those projects that
require an archeological survey, up to 1% additional fee may
be needed to cover these costs.
Sources of Unit Cost Data. A developer may have histori-
cal cost data associated with prior development projects or
they may refer to the engineer to determine the appropri-
ate cost data. While there are several sources of information,
a good cost estimate requires a thorough understanding
of means and methods, market conditions, and schedule
impacts. It is common for a contractor (or professional esti-
mator) to provide estimating and consulting services during
this phase of work.
There is published information generally identified as
"Guides to Construction Costs:' These include Building
Construction Data by the R. S. Means Company, the Dodge
Reports published by the F. W. Dodge Company, and
Engineering News Record published by McGraw Hill. Engi-
neering News Record, as a service to its readers, compiles and
publishes an extensive amount of data on material prices
and construction labor costs. A small amount of this data
is then used to calculate two monthly index figures, the
Construction Cost Index, and the Building Cost Index. Each
index is widely used throughout the U.S. construction indus-
try as a benchmark for measuring inflation. These indexes
can also be used to contemporize and correlate aged cost
data with the base year of the estimate.
Additionally, some public agencies will publish the bids
from recent projects, which may provide insight into cur-
rent unit costs-but the format and scope of the unit cost
items can vary across projects and should be considered. For
example, one contractor may establish a bid for pipe that only
include the pipe material (with a separate unit price for trench
excavation, bedding, inspection, backfill, and stabilization)
whereas another bid might show an all-inclusive installation
price. Other sources for cost guides include specialized trade
associations such as the American Concrete Pipe Association
and the Iron and Steel Institute, among numerous others. All
these guides are only that; the unit prices should consider that
conditions vary from region to region, and in fact, from proj-
ect area to project area within the same jurisdiction.
These costs may (and should) be refined again through-
out the design process, but thoroughness is necessary from
the beginning, as the economic success of a project is often
closely tied to the preliminary cost estimates.
Value Engineering. An important part of preliminary
engineering is determining the most economical approach
to design and construction without significantly altering
the development program. The process of economizing the
development program is termed "value engineering" and
should be accomplished before final engineering. For some
design teams, the value engineering work will continue into
final design details and alternatives are evaluated.
The main purpose of value engineering is to identify
cost saving opportunities to the developer. This effort may
include members of the project team, such as the architect
and planner, public agency reviewers, the project attorney, the
construction manager, and the developer/builder. During a
typical value engineering review, it might become apparent
that the site elevation should be raised or lowered to balance
the earth materials, based on the preliminary grading and
earthwork calculations. Reconfiguring lots may reduce street
lengths, and utility requirements. Perhaps regrading or add-
ing retaining walls might preserve more open space and trees.
Performing a value engineering study during the pre-
liminary engineering phase allows design and cost issues
to be reviewed and potential options to be identified prior
to final design. This gives an opportunity to make design
adjustments with less impact to the schedule and the effort
required to complete the design.
 CHAPTER 5
FINAL DESIGN
Chapter 5.1 focuses on the final design phase of the project,
which begins after the preliminary design phase (Chapter 4)
has been completed. Until this phase, the design efforts have
focused on refining the layout to satisfy the development pro-
gram. During this final design phase, it's necessary to under-
stand how a site plan is organized and how design information
should be formatted for a plan. Additionally, the process for
plan submission, review, and approval is described.
Chapter 5.2 extends on the base map information pre-
sented in Chapter 3.2. During final design, the base map
information is refined with survey obtained specifically for
the project (in contrast to the early base map data that likely
used GIS or other public information). This chapter identi-
fies what the design team should be evaluating when review-
ing existing conditions and identifies survey processes.
Chapter 5.3 provides detailed roadway design informa-
tion that builds from Chapter 3.3, which introduced parts
of the road system. This chapter includes design equations
used for horizontal and vertical road design. Additionally,
strategies are identified to describe how to develop the best
designs for roadway systems.
Chapter 5.4 builds on the grading strategies introduced
in Chapter 3.4. The grading methods are separated into two
categories: residential (or lot grading for subdivisions) and
nonresidential (retail, office, etc.). This chapter identifies the
PRE-DESIGN DESIGN
CHAPTER2 CHAPTER3 CHAPTER 4
Due Dilligence Site Analysis Conceptual &
Schematic Design
FIG uRE 5 . 1 A The land development design process.
different tools used for developing a grading plan. Earthwork
methods and adjustment considerations are identified in this
chapter; the earthwork values will often influence the grad-
ing strategies.
Chapter 5.5 uses the stormwater fundamentals from
Chapter 3.5 to provide detailed calculation processes and
example problems for hydrology and hydraulics. Both
the rational and Natural Resources Conservation Service
(NRCS) methods are detailed. The process for designing a
stormwater management system, including a design example
of a detention pond, is included in this chapter.
Chapter 5.6 is separated into parts A, B, and C to focus
on utility system design of storm drainage, sanitary sewer,
and water distribution, respectively. Building from the fun-
damentals of Chapter 3.6, this chapter focuses on computa-
tions used for designing specific system components. Sizing
computations for various utilities are provided for use in sys-
tem design.
Chapter 5.7 introduces erosion and sediment control.
These controls are designed during the final engineering to
focus on managing the site conditions (specifically storm-
water) during the construction phase of work. To properly
design erosion and sediment control processes, it's necessary
to understand the sequence of construction for the proposed
project and consider intermediate construction conditions.
POST-DESIGN
CHAPTER 5 CHAPTER 6
Final Design Permits &
Construction
379
 CHAPTER 5.1
COMPONENTS OF A SITE
PLAN AND THE APPROVAL
PROCESS
5.1.1. Introduction
Final design is the phase where the project goals, intents, and
any sustainable or innovative design strategies (as identified
in the development program in Chapter 2) are fully inte-
grated and detailed in the site plan. The collaborative effort
required to detail, specify, and incorporate such strategies is
extensive; however, efforts in this phase will improve plan
clarity and facilitate construction of the project.
The final design phase is predominantly a detailed engi-
neering effort. By this phase, most of the planning and
program work has been completed (during conceptual and
schematic design efforts, as identified in Chapter 4). The
final design effort focuses on the technical details of the
project as the site plan (and related permit documents) is
prepared for submission and review. Each infrastructure
system (roads, grading, stormwater, utilities, etc.) must be
accounted for, coordinated, and designed with respect to
the requirements of the developer and the governing agency.
Sufficient information in the form of drawings, computa-
tions, details, narratives, and specifications must be provided
such that regulatory agencies can review and approve final
site plan and contractors can implement the intended design.
At this phase, major changes to the designs or requirements
will trigger significant rework and often result in project
delays. The final design effort relies heavily on the research,
communication, and design efforts of earlier project phases.
During final design, it is important to maintain close
and constant communication with other design team mem-
bers [architects, MEP (mechanical, electrical, plumbing)
engineers, landscape architects, utility providers, etc.] to
380
accurately and efficiently coordinate project interface points.
Such interfaces occur between the building and the site
systems, as well as private property and public rights-of-way.
Key design elements such as location, size, elevations, material
preference, maintenance responsibility, and easement require-
ments must be reconciled among the various involved parties
to package all plans together in a single, coherent bid, permit
document, and/ or construction drawings. Other design team
members will be responsible for producing their own design
documents for their work for the project that is included in
this larger package, referred to as construction drawings in
this book (for more information see Chapter 6.2).
Traditionally, there was a strict divide between site and
building design: the building team would design to 5 feet
outside the building where the site engineer would take
responsibility. Today, these design divides are dissipating
as building and site systems become more integrated; this
integration has occurred largely because of sustainable or
green design efforts. For instance, stormwater collection
and treatment systems that support landscape irrigation
efforts and/or building nonpotable water needs represent
a co-mingling of site stormwater design with building
plumbing design. This type of system interaction is not
uncommon for projects pursuing the higher levels of green
building certification, and it extends beyond just storm-
water and plumbing systems to include nearly every infra-
structure system.
The product of the final design is an approved site plan.
The approved site plan is used for final cost estimating,
permitting, and construction. The information required

for approval of a site plan (and ultimately a site permit that
allows for land disturbance) can vary by jurisdiction. Some
jurisdictions may issue a permit for land disturbance based
solely on the content contained with the site plan, while
others will require additional information (e.g., geotechni-
cal report, traffic plans, survey plat, landscape plan, etc.)
before a permit is issued. More information about permits is
discussed in Chapter 6.1.
In addition to the final site plan, the following design infor-
mation is often included with the construction documents:
Photometric plan: A photometric plan, or illumination
plan, is developed by a qualified professional that identi-
fies the fixtures for site lighting along with a photometric
analysis of the lighting levels.
Landscape plan: Often included in the site plan, but
prepared by a landscape architect, the landscape plan
identifies proposed vegetation and details in hardscape
features (patios and plaza) and site furnishings (seat-
ing, rails, stair finishes, etc.). This plan may also include
tables of vegetation quantities, cover calculations, and
preservation plans.
Architectural and building plans: Plans prepared by
the building team (architect, mechanical, electrical,
plumbing, and structural engineer). These plans often
have their own specifications applicable to the project.
The designs will be exchanged regularly with the site
engineer to ensure the building details are coordi-
nated (grading, door locations, footprint, utility con-
nections, etc.).
Traffic studies and plans: These project documents
include additional information pertaining to the
maintenance of traffic during construction opera-
tions and studies used for the basis of proposed road
improvements.
Signage plans: Specialty site signs (as opposed to
traffic signs) are often developed for retail cen-
ters, campus settings, and residential communities.
These designs are often customized and developed
later in the design phase (often by architects or
manufacturers).
Geotechnical plan and report: A site plan will generally
include some geotechnical information to support
infrastructure design (such as pavement, walls, building
foundations, and slope requirements), but a geotechni-
cal report is often authored separate from the design
documents.
Utility reports: In addition to the computations
provided with a site plan document, a drainage report
may be required to provide additional detail on pro-
posed utility designs that are shown in the site plan.
Similarly, computations for water and sewer service
may be required.
5.1 ■ COMPONENTS OF A SITE PLAN AND THE APPROVAL PROCESS 381
Survey plat: The survey plat (or plats) focus on the pro-
posed boundary and easement conditions for the project
site (and possibly adjacent sites). The easement and
boundary lines depicted in the plat should match the site
plan information, but the plat is formatted for recorda-
tion purposes.
Specifications: Some projects may reference standard
specification from a local DOT or jurisdiction, but in
many cases a set of specifications is developed and pack-
aged separate from the drawings. Refer to Chapter 6 for
more information on specifications.
Supplemental site design: Additional plan sheets may be
developed by the design team to provide additional infor-
mation to a contractor or owner. This may include plans
for a temporary sales office or construction trailer site.
Again, within this book, the site plan is referred to as the
design documents specific to site engineering, which are
reviewed by a local jurisdiction in the process of obtaining of
a site permit. The final site plan is used for obtaining permits
and may also serve as the only design documents for site work.
In most cases, other information is included with construc-
tion documents (such as building plans, traffic management
plans, and geotechnical reports). In some cases, supplemental
site design information is also included with the construction
documents to provide design information that is not necessary
for permit but is necessary for construction. The supplemen-
tal site design information may include enhanced landscap-
ing, details for site furnishings, interim phasing conditions, or
other design information necessary for project completion.
Refer to Chapter 6.2 for more information.
5.1.2. Components of a Site Plan
A site plan set includes a series of design sheets that provide
the contractor with the information necessary to construct
the land development project. In contrast with the prelimi-
nary plans (defined in Chapter 4.4), the final site plan includes
100% of the information required for permit and construc-
tion. Jurisdictions may have different permit titles for the site
plan set, and the organization of a plan set may vary across
firms, but generally a site plan set includes the following:
1. Cover sheet
2. Abbreviations, notes, and legend
3. Existing conditions and demolition plan
4. Site plan
5. Water distribution
6. Sanitary sewer
7. Storm drainage
8. Stormwater management
9. Erosion and sediment control plan
302 i@UH¥I F@Hi4Mii
10. Landscape plan
11. Geotechnical
12. Miscellaneous letters
Projects may include varying levels of information within
the plan set, and plans can range from a few pages to hun-
dreds of pages based on the complexity of the project and the
design requirements. Page numbers may be sequential, could
follow NCS (National CAD Standards), or follow a system
prescribed by a design firm. A nonsequential numbering
system allows new information to be added in the middle
of a plan set without changing the page numbers of all other
sheets. An example numbering scheme is listed as follows:
This example is based on NCS guidelines and organizes
the plan into sections and considers multiple disciplines
through the prefix (G for general, C for civil, L for landscape,
B for geotechnical, R for reference, etc.):
• Cover sheet (not numbered)
• ClOl-Abbreviations, Notes, & Legend
• C201-Existing Conditions & Demolition
• C301-Site Plan
o C302-Grading Plan
o C303-Site Details
• C40 I-Water Plan & Profiles
o C402-Water Details
• CS0l-Sanitary Plan & Profiles
o C502-Sanitary Details
• C601-Storm Drainage
o C602-Storm Details
o C603-Storm System Computations
• C701-Stormwater Management
o C702-Stormwater Details
o C703-Stormwater Quality/Quantity
Computations
o C704-Stormwater Outfall Analysis
• C801-Erosion & Sediment Control (Narrative)
o C802-Phase 1 Erosion & Sediment Control
o C803-Phase 2 Erosion & Sediment Control
o C804-Erosion and Sediment Control Details
• L101-Landscape Plan
o L102-Landscape Details
• BlOl-Geotechnical Notes
• RIO I -Miscellaneous Letters
For large projects, it is common to see different chapters
in the plan and use the other sheet designators to separate
groups of information related to the chapter. For instance,
if Chapter 4 is meant for the road design sheets of a new
development:
• C4.101-Typical Sections
• C4.102-Typical Sections
• C4.201-Road Plan & Profile
• C4.202-Road Plan & Profile
• C4.203-Road Plan & Profile
• C4.301-Intersection Sight Distance Profiles
• C4.401-Turning Movements
• C4.402-Turning Movements
• C4.50 I -Marking & Signage Plan
• C4.502-Marking & Signage Plan
• C4.601-Road Details
When organizing a plan set, it's important to consider
how the information will be used. In most cases, a plan set
will be reviewed by different agencies that focus on one infra-
structure element, such as a water authority, a department of
transportation, or a fire marshal. During construction, the
plans will also be used by different subcontractors that may
specialize in one infrastructure element. It's often useful to
organize the plan such that the layout, notes, and details are
within the same section. A site plan is not meant to be subdi-
vided, but grouping specific infrastructure elements is often
appreciated by reviewers and contractors. Most computer-
aided design (CAD) software includes a sheet management
system, which is helpful in managing sheet references across
pages.
Each jurisdiction may have requirements as to what
constitutes a full set of plans and the format of the plan set.
In general, construction-related information is assembled in
logical order toward the front of the plan set, and the noncon-
struction information (administrative letters, calculations,
etc.) is placed at the end of the plan set. The plan sheets in
a typical site plan set will generally fall into five categories:
(1) cover sheet, (2) general information, (3) design sheets,
(4) construction details, and (5) documentation information
(derived from Engineers and Surveyors Institute, 1990).
Cover Sheet. The cover sheet will typically contain a
location (vicinity) map, an index of all sheets, plan identi-
fication (title and/or tracking number assigned by the juris-
diction), submitting engineer data, information considered
pertinent to someone seeing the plan for the first time, and
other general information. Some jurisdictions will require an
original engineer's seal and signature on the plan cover sheet.
Original seals from other licensed/certified professionals on
the design team such as the surveyor, geotechnical engineer,

0 0
0
0 0
1. Project title with jurisdiction/location information
2. Developer (or applicant) name and contact information
3. Engineer contact information
4. Sheet index for site plan set
5. Vicinity map with major roads shown/labeled and site location shown
6. Site information (zoning, size, ownership, etc.)
*A jurisdiction may have a standard cover sheet that is required to be used
FIG uRE 5 . 1 B Cover sheet plan content.
landscape architect, and/or arborist may also be required
depending on the jurisdiction, scope of the project, and plan
type. See Figure 5.lB for a sample cover sheet.
General Information Sheets. These sheets contain all gen-
eral notes not shown on the cover sheet. Typically, general
information sheets contain the plan legend, a list of abbre-
viations used, and general project notes. Information sheets
will also reference the construction applicable specifications.
Tabulations may also be included for such items as parking
spaces, loading spaces, building data, and other relevant site
information. See Figure 5.IC for a sample general sheet with
abbreviations, legend, and notes.
Design Sheets. Specific construction sheets consist of plan
and profiles of the infrastructure (such as streets, utilities,
sidewalks, and trails) as well as grading details and grading
5.1 ■ COMPONENTS OF A SITE PLAN AND THE APPROVAL PROCESS 383
v·
0
::..
_:
plans. It also would include the plan and profiles of storm
water management facilities and overall plans for such items
as water meters, fire hydrants, street lights, street trees, sig-
nage, and other similar types of infrastructure design infor-
mation. All public facilities must be documented in the
appropriate format. Samples of design sheets are provided
throughout Chapter 5.
Construction Details and Supplemental Plans. Additional
construction sheets would contain miscellaneous construction
details such as typical road sections, utility material details,
and stormwater management details. It is a common practice
to show details on the plan set even if they are available from
other publications (DOT details, water authority details, etc.)
to help remove ambiguity when the construction team is read-
ing the plans. The details and requirements from an authority
384 i@UH¥I F@Hi4Mii

M.,
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-- . -~
--"'~- ......,.

B •- N - ....... _,...
..
. =-~·· 0 =- .L , _ _

..,_ -- <ll

0 0

IS.

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,,
I

1. List of abbreviations used throughout the plan set

2. Legend of line types, symbols, and hatch patterns
3. General notes for construction, survey notes and information, and other
applicable regulatory notes (City, County, DOT, etc).

FI GuRE 5.1C General information sheets plan content.

may change over time, and the record of the applicable details
at the time of construction can provide a reference for future
projects. Note that if a detail changes prior to construction, the
authority will often require the most current detail (even if the
plan was previously approved).
Additional plan details associated with the erosion and
sediment control plans, fire lane marking plans, landscape
plans, traffic marking plans, and geotechnical information
may be included in this category. The erosion and sediment
sheets would include the narrative and notes, sequence of
construction, computations with sediment trap sizes and
siltation or drainage divides, and any details necessary
for installation. The landscaping sheets would include the
plant list and landscape construction details. The geotech-
nical plan sheets would show geotechnical notes, founda-
tion drains, or other geotechnical construction details and
recommendations. A full geotechnical report is sometimes
necessary and often included in its entirety with the plan
submission.
Documentation Information. Plans and documents needed
for plan approval include the detailed calculations and meth-
odology used to design the construction plans. This would
include drainage area diagrams and storm water routing
calculations used to size the stormwater drainage and man-
agement systems as well as floodplain studies. Outfall nar-
ratives, ditch cross section computations, and storm inlet
computations would also be included. Fire flow calculations
would need to be provided to the fire and water authori-
ties. Plan approval documents would also include sight dis-
tance calculations and vehicle turning movement diagrams
at intersections and critical driveways. Geotechnical (soils)
reports, and other geotechnical information, are also pro-
vided in plan form as well as in reports if not included in
previous sheets.
In some jurisdictions, verification that appropriate pub-
lic notices have been sent and permits from other agencies
obtained is also needed. Other correspondence and sup-
porting nonconstruction data sheets would include such

information as construction waiver requests/approvals, record
plats, easement plats, and supporting documents such as pre-
liminary plans and development plans already approved by
the jurisdiction. Proffer compliance narratives, or develop-
ment condition narratives that may be warranted to describe
how the conditions have been met, may also be included in the
plans or a separate report.
5.1.3. Plan Submission
Final design efforts work toward producing a final site plan
that is used for permitting and construction. Site plans must
be submitted to the local jurisdiction (or other governing
agency) to obtain approvals through the review process that
was introduced in Chapter 2.4. For many developers, an
approved entitlement, as described in Chapter 4.1, is the first
critical path element of the review process: this is the deter-
mining factor in terms of moving forward with the develop-
ment program and detailed design efforts. The preliminary
site plan (produced with schematic designs in Chapter 4.4)
will usually be the first submission reviewed by the juris-
diction. After entitlement (if applicable), the next critical
path element is often an approved final site plan (or local
equivalent) and permits (to be introduced in Chapter 6.1) as
these are required to commence construction.
Given this frontend emphasis on land development ser-
vices, the value of a qualified, local site engineer is evident.
For instance, some jurisdictions place requirements on when
a project can start (break ground) based on a condition
that the plans are available for public review and comment
for a set duration (for example, 30 days). If this condition
is missed, the project may be delayed, even if the plans are
technically correct and approved.
Knowledge of the local review and approval process,
refined negotiation skills, and a thorough understanding of
project schedules and permit timeframes are important in
procurement of timely approvals. Depending on the juris-
diction, several iterations of plan submission and review
could be required after the preliminary plan. The number of
iterations is often based on size, complexity, public support,
opposition, and jurisdictional regulations. Consultants must
be prepared to defend their work technically but also under-
stand the necessity to negotiate modifications requested by
review staff. In other words, the site engineer must success-
fully adhere to project requirements and schedules while
simultaneously balancing jurisdictional working relation-
ships. It is possible that the requirements introduced during
review can add cost to the project that will be opposed by the
developer, but it's the responsibility of the engineer to fol-
low all regulatory requirements and have open discussions
with the developer and review agencies about the impact of
changes. Therefore, even at the final design stage, it can be an
iterative process as the development review progresses.
This phase of the design process is particularly important
as it is the primary QA/QC (quality assurance/quality con-
trol) opportunity for the land development team, clients, and
review staff. Well-defined QA/QC checks (in-house) prior
5.1 ■ COMPONENTS OF A SITE PLAN AND THE APPROVAL PROCESS 385
to or as a component of formal submissions facilitate plan
consistency and the ability of jurisdictions to process plans
efficiently as well as protects the professional integrity of
the consultants and reviewers who sign, seal, or otherwise
authorize the plans. Further, the review and approval process
is the official documentation of land use or built environ-
ment decisions. Plans, plats, and other documents are legal
instruments that are recorded and available to the public in
perpetuity. Thus the importance of clear, accurate, construct-
ible plans cannot be emphasized enough. More information
about quality control is discussed later in this chapter.
Projects pursuing a third-party review such as green-
building certification (as described in Chapter 2.5) should
submit all design documentation at this stage of the process.
Submissions made at this phase allow for early review, and
revisions (if necessary) can be incorporated prior to the con-
struction process with minimal impact to overall costs and
schedule projections. Depending on the certification sought,
additional submissions may be required during or after con-
struction in order to verify design implementation. Docu-
mentation efforts should continue through construction in
order to ensure certification goals established at the start of
the project are met.
Preparing the Plan Submission. Guided by the jurisdic-
tion's administrative regulations and development ordinances
(as discussed in Chapter 2), the plan submittals are the devel-
oper's actual representation of the proposed development.
Comprised of drawings and other design information, the
plan sets and submissions show (with increasing detail) the
arrangement of property lines, lots, buildings, infrastructure,
and other features that will occupy the site. Plans and plats
identify the public and private facilities to serve the intended
uses and provide information on how those facilities will be
constructed from grading of the property to connection of
utilities to pedestrian and vehicle access arrangements.
Within their review process (as described in
Chapter 2.4), many communities have established three sub-
mission checkpoints:
• Concept plan (or pre-application)
• Preliminary plan
• Final plan
The entitlement review requires a concept plan (optional
in some jurisdictions) and preliminary plan (as described
in Chapter 4). The final review then requires a final plan.
Therefore, these submission checkpoints generally corre-
spond to the land development design stages of conceptual,
schematic, and final design efforts as described within this
book.
Before expending significant time and money for the
preparation of final layouts and detailed plans, the devel-
oper wants assurances that plans will be approved. The
various plans submitted with the reviewing agencies during
each design phase enables the development team to gauge
3a& i@UH¥I F@Hi4Mii
whether its interpretations of local policies, regulations,
and standards match those of local government authorities.
Otherwise, extensive redesign would be needed.
For example, some code requirements are subject to
interpretation, and different reviewers may enforce different
PRELIMINARY
PLAN
design requirements for the project. The preliminary plan
ensures that the project is in conformance with the local reg-
ulations in their development ordinances. It's also possible
that there are other adjacent development projects or planned
public improvements that could impact the conditions of the
site. These discussions and design considerations should
occur as early as possible in the design phases.
Reports, studies, specialty plans, and other miscellaneous
documents (often reviewed and approved separately from
the plan they support) are needed in a certain sequence or
concurrent with the appropriate design plan submission.
The sequencing is dependent on the type of plan being
submitted and on the requirements of the individual juris-
diction. It's recommended that most of the content (even
backup calculations) should be included within the plan so
that a reference of the design information is compiled in a
single location.
Final Plan. The work for the final plan begins from the
designs that were developed during the preliminary engi-
neering phase of the schematic design. As the details of the
plan are refined, discussions about the project can occur
with more certainty and the project evolves one step further
from preliminary plans to final plans. The final design stage
is represented by the drawings and specifications created by
the design team. The final plan is commonly referred to as
the site plan or subdivision plan depending on the jurisdic-
tion, the proposed use, and other procedural factors. This
book uses the site plan terminology as it focuses on the site
engineering required for a project.
The site plan design document is developed with the
final design efforts that are described in Chapter 5. Addi-
tional information associated with each part of the site plan
(survey, demolition, transportation, grading, stormwater
management, utilities, erosion, and sediment control) is
defined throughout Chapter 5. This final site plan, once
approved by the local jurisdiction, is then used to acquire
permits and prepare for construction, which is defined in
Chapter 6.
Record Plat. In addition to the site plan drawings, the final
site plan design document submittal includes the final record
plat. This plat establishes a public record for the project by
which property will be sold or leased and identifies the final
location of property lines and easements. The record plat
contains extensive notes with respect to ownership, dedica-
tion, completion of public improvements and restrictions.
These affect the chain of title, use and enjoyment of the
property, and serve to notify future owners of their rights
and obligations. Typical information required to be shown
on the record plat includes the following:

• Project or subdivision name and section

BOND RELEASE
• Parcel boundaries, including bearings and distances
as well as the legal description
• Adjoining property lines, including ownership
FIG uRE 5 . 1 D Typical sequence of plan submissions. information

• Street right-of-way boundaries, including surveyed
bearings and distances
• Street names both existing and proposed
• Lot lines, including surveyed bearings and distances,
lot and block numbers, lot addresses, building
restriction lines
• Building footprint for certain types of uses
• Existing easements and easements created as a part
of the development, including purpose and deed
references
• Location of survey monuments and markers
• Conservation and other building-restricted areas,
such as septic drainfields
• Ownership declarations and dedications
• Covenants and restrictions, included reference to
separate documents in the jurisdiction's public land
records
• Approval blocks for signature(s) of authorized gov-
ernment officials
• Original seal and signature from the preparing engi-
neer or surveyor
As-Built or Record Drawings. Although not identified as
a primary checkpoint in the development review process,
it is important to note that most jurisdictions require the
development team to produce "as-built" drawings (officially
known as record drawings) upon completing construction.
These drawings usually depict several modifications of the
project's final site plan, intended to reflect field changes by
construction activities. These drawings serve two impor-
tant purposes. First and foremost, they present government
agencies with the final opportunity to verify that construc-
tion complies with local regulations and standards. This is
necessary to ensure that systems will function properly and
not cause unanticipated impacts to the larger community.
Second, the plans facilitate future maintenance and repair,
particularly for underground utilities whose location, sizing,
and method of construction is otherwise hidden from view.
5.1.4. Plan Approval Process
As described within this chapter and in other parts of the
book, the site plans and accompanying documents are pre-
pared, submitted, and reviewed in a predetermined sequence
of increasing accuracy and detail. This staging of analysis
and design is important. Some jurisdictions require planning
commission review and approval of preliminary plans. Most,
but not all, jurisdictions consider final site plan approvals
as an administrative act of the staff. Additionally, notifica-
tion of community members and stakeholders is often inte-
grated into the approval process. In addition, even the most
prescriptive ordinances allow and necessitate considerable
5.1 ■ COMPONENTS OF A SITE PLAN AND THE APPROVAL PROCESS 387
judgment by design professionals concerning the site and
infrastructure design.
Regulations and procedures for submissions often change.
For this reason, it is beneficial to review the written proce-
dures as well as to coordinate with the jurisdictional review-
ers on the current process, forms, and requirements. In some
jurisdictions, these procedures are typically included in a
subdivision ordinance, site plan ordinance, or within the
Development Standards Manual. As previously indicated,
many jurisdictions welcome a presubmittal conference. It
is good practice to take advantage of presubmittal meetings
and to document discussions (in a Memorandum of Under-
standing, described in Chapter 4.1) and standards; many
projects take years before the work is completed.
The medium of submission can also vary by jurisdic-
tion; some jurisdictions will require several paper copies of
the plan sets, while others are willing to accept electronic
(PDF or image file) submissions. The electronic submission
is often encouraged as it's a more sustainable practice com-
pared to (hundreds of) printed sheets. Many agencies allow
(or require) digital professional license sealing of electronic
documents.
It is necessary to adhere to the approval process and
understand the role of each agency that will be reviewing the
site plan submissions. Prior to submitting plans to a juris-
dictional agency, it is recommended that the development
team perform an internal review to verify the submission
and design requirements have been met.
Internal Reviews. The review process by a public agency
does not relieve the engineer of responsibility for the design.
The infrastructure codes and ordinances (commonly within
the Development Standards Manual of the subdivision ordi-
nance as described in Chapter 2.4) are generally viewed as
minimal standards to be met. Conforming to these standards
is essential to ensure continuity and compatibility with exist-
ing and future infrastructure, but the responsibility of the
project falls to the registered professional who seals the plan
documents. As with all ethical decisions, the engineer sealing
and signing the site plans must make the decision whether he
or she is fulfilling their professional responsibility.
The engineer seal on a set of plans certifies the adequacy
of the design with regard to public good and safety. There
is no such thing as the perfect site plan; the significance
of the engineer's seal and signature is best defined by the
state licensing boards. State licensing boards are explicit in
the engineer's responsibility to the public: "Engineers shall
hold paramount the safety, health, and welfare of the pub-
lic" (National Society of Professional Engineers). They also
are explicit in stating the engineer's obligation regarding
competency: "Engineers shall perform services only in the
areas of their competence'' (National Society of Professional
Engineers).
Maintenance expense of infrastructure is a major cost
to public agencies. This is an important reason why public
agencies take a keen interest in adherence to their adopted
standards and specifications. Even privately maintained
388 i@UH¥I F@Hi4Mii
infrastructure systems influence the publicly maintained
system. Additionally, a jurisdiction is interested in projects
that improve the quality and welfare of the community, even
if they are private systems.
Quality Control. Quality control of the design of a project
is the responsibility of everyone taking part in that design.
Ultimately, the engineer who seals the site plans is account-
able for the quality of the design. Errors and omissions in a
design do not occur because of one team member's work, but
because the quality management system failed. Design firms
can improve the quality of the design, while also improving
the public agency review process, by instituting a quality-
control program.
There are several organizations, such as the Interna-
tional Standards Organization (ISO), that provide guidance
on the development of quality management systems. Every
firm should have a quality management system. The sys-
tem should be tailored to the firm to promote the use and
effectiveness. An effective quality management system often
includes a reference checklist of critical and common errors
or omissions, which is used by a designated reviewer. A com-
mon practice is for an internal plan review to be performed
by someone who is not part of the design team; this estab-
lishes the perspective of an external reviewer of the plans,
which is a similar position for both the reviewing agencies
and the contractor. There is a tendency to rely upon the
reviewing agencies for the design quality control. When this
is done, more time is needed to perform the agency review. A
public agency should not be burdened with the quality con-
trol for a design firm. Each professional engineer should be
responsible and accountable for the published documents.
There are often two areas of focus for quality review:
(1) The plans are designed correctly and consider con-
structability and safety and (2) the plans adhere to the
requirements of the local jurisdiction. While both crite-
ria may share common goals, there is a difference between
them. With the first, there are fundamentals of infrastruc-
ture that govern the design of many systems; this review
focuses on design practices that always fall under the
responsibility of the engineer, regardless of jurisdictional
oversight. With the second, there are requirements spe-
cific to a jurisdiction that must be followed; this process
promotes expedited review and ensures the design is con-
sistent with local expectations.
As an example of the first area of focus for quality review,
consider the design of a private roadways system within a
site. The local department of transportation (DOT) will not
govern the design of the private road, as they would with
the design of a public road; the engineer is responsible for
designing a road system that is safe and follows best practices
of design [based on recognized standards of the industry,
such as the American Association of State Highway and
Transportation Officials (AASHTO)]. The absence of juris-
dictional comment is not an indication of approval, nor does
it imply the engineer is relieved of their responsibility of the
design.
As an example case for the second area of focus, con-
sider the design of a storm drainage system. The capacity
requirements (design storm analysis) for the system are often
prescribed by the local jurisdiction. Additionally, each juris-
diction may have specific format requirements for reporting
computations. While the design may be technically correct
based on the information provided by the engineer, the
reviewers may not approve the site plans if the format is not
in conformance with the applicable standards.
Many firms will implement a way of tracking lessons
learned from project errors and omissions as a measure of
preventing those conditions from occurring again. Addi-
tionally, a list of common errors or best practices is helpful
when evaluating a project design.
The timing of internal reviews can influence the effective-
ness of the review. In early phases of the design, it's best to
review the plans to identify opportunities for improving the
layout or identifying areas of concern. By the final design
phase, a significant change in the layout is challenging (and
costly) and may be resisted by the design team. Additionally,
major changes in the final design phase may result in the prop-
agation of errors throughout the rest of the design documents.
Schedule is a common enemy of quality if the sched-
ule is not managed properly. Sacrificing quality to meet
a submission deadline often results in delayed approvals,
increased design cost for revisions, and additional cost of
construction rework. Most quality management processes
cannot be rushed-adding more people to a project will
often decrease efficiency and increase opportunity for
errors. Implementation of a quality management system
takes time, but the development and effective use will add
value to the design of a project, enhance the reputation of
the firm, and ultimately result in a better product of the
built environment.
Jurisdictional Review. The purpose and requirements for
each submission (concept, preliminary, final) differ consid-
erably from jurisdiction to jurisdiction. Plans must conform
to ordinance specifications for the phase concerning detail,
required information, scale, number of copies, and support-
ing documentation. The site plan package is presented to the
coordinating office for distribution to the agencies that will
conduct the review. In some jurisdictions, a technician will
check the submittal to ensure that it is complete; that is, it has
all the necessary information and studies required by the ordi-
nance. In several jurisdictions, there are checklists associated
with plan applications to ensure completeness of the package.
The number of reviews and submission can vary by juris-
diction and plan complexity. In general, the early reviews will
likely take longer. Some jurisdictions can review plans within
a few weeks, while others may only commit to a period of
several months to turnaround for each submission. It's
likely that a submission will receive comments and require
revisions as it's being reviewed, but the final plans should be
submitted as if they will be used for construction.
Many of the agencies involved in early design reviews
are also involved in final design review, but the review will

be more thorough to ensure that all technical requirements
have been met. As all agencies review the final plans, they
will either approve the submission or issue comments that
require plan revisions. Comments are often issued as nar-
ratives provided as a formal letter or as graphic notes on
the plans. Any vague comments should be discussed with
the reviewers. When the plans are resubmitted, they should
include a narrative (often referred to as a comment response
letter) that describes how the comments have been addressed
through plan revisions.
The typical agencies involved in the plan review process
include the following:
1. Planning
2. Engineering & Public Works
3. Department of Transportation (DOT)
4. Stormwater
5. Utilities
6. Fire & Safety Protection
7. Health Department
8. Parks and Recreation
9. Soil Conservation (Erosion and Sediment Control)
10. Building
The different agencies may review the plans concurrently.
One method for managing concurrent review is for one
agency, usually the local jurisdiction, to assume the role of
"lead review agency;' while other agencies assume the role
of "referral agency:' All comments from the referral agencies
are sent back to the lead agency to generate a consolidated set
of plan comments to the developer's engineer. This process
mitigates any conflicting comments.
In some municipalities, courtesy copies of a submission
are sent to elected or appointed officials who represent the
area in which the project is located. Occasionally, plans
may be delivered to adjoining municipalities in areas where
regional planning efforts are impacted. Public notices may or
may not be required. If notice is required, as with rezoning
applications, it may be accomplished by mailing notices to
adjoining property owners and posting signs on the property
describing the application. Each agency that receives a pack-
age is asked to review the submittal and return comments
or a marked plan by a certain date. In some municipalities,
the coordinating agency is required by law to complete its
review and render a decision within a specified time. The
engineer should coordinate with the agency to verify that all
applicable comments have been received.
Planning. Long-range planning review generally deter-
mines whether the street and system layout adheres to
development patterns proposed in the comprehensive plan.
Personnel in zoning administration will determine compli-
ance with zoning ordinance requirements, such as allowable
5.1 ■ COMPONENTS OF A SITE PLAN AND THE APPROVAL PROCESS 389
use, density, and other dimensional standards requirements.
In addition, the submittal will be reviewed for compliance
with the design guidelines and standards in the Develop-
ment Standards Manual of the subdivision ordinance for
street and lot layout, environmental protection, and other
planning issues. School districts may also provide input with
planning review as new demand from residential projects is
evaluated.
Engineering and Public Works. The public works depart-
ment typically holds responsibility for local streets, storm
drainage facilities, sewer and water systems. However, in
some communities, streets may come under the jurisdic-
tion of a separate transportation department or a state-level
transportation agency. Similarly, water and sewer systems
may be run by a regional authority serving several jurisdic-
tions. A drainage district may also have a separate level of
authority. Other elements of a development may also fall
within the department's purview, such as placement of sur-
vey monuments and markers.
Department of Transportation. The Department of
Transportation (DOT) will review new public road sys-
tems and the interface of private and public road systems.
The review will include geometric design conditions for
both new roads and adjustments (e.g., adding turn lanes)
to existing roads. Requirements such as intersection sight
distance will be verified by the DOT, and there may be
requirements to adjust other site features to accommodate
road safety (moving proposed trees, signs, etc). The DOT
will also focus on public pedestrian improvements, such
as trails, sidewalks, and curb ramps. At intersections, the
DOT may request exhibits to demonstrate turning move-
ments for the vehicles anticipated to use new entrances. For
instance, a grocery store development may be required to
check turning movements for large delivery vehicles. Other
reviews for traffic signage, markings, and signalization will
often be processed through the DOT.
Stormwater. The review of stormwater systems will often
focus on the storm drainage network design as well as storm -
water management systems. This review may be combined
with public works or may operate as a standalone review
agency. As noted in Chapter 3.5, hydrologic calculations
rely heavily on an engineer's judgment for variables such as
land cover condition, time of concentration, and when run-
off converts from sheet to shallow concentrated flows. The
review may request clarification of assumptions and state-
ments justifying the variables used.
Utilities. If public utility connections or extensions are
proposed, the local authority will be involved in the review
of the design. In some cases, the utility provider will be the
one to determine whether capacity is available for the pro-
posed utility or whether upgrades are required. During the
review of the plans, the utility provider will often require
design changes based on the preferences or requirements of
the utility system. For instance, the adjustment of a waterline
alignment may be requested to provide additional separa-
tion from other utilities. An additional valve, vertical bend,
390 i@UH¥I F@Hi4Mii
hydrant, or other utility components may be requested.
Local gas, electric, and telephone companies will be involved
in confirming system adequacy, connections, the placement
of utility easements, and coordination of construction with
the street, water, and sewer contractor.
Fire and Safety Protection. Fire protection officials are
frequently involved in the review of site plans to ensure that
clear and adequate access is provided for emergency vehi-
cles. Placement of water lines, fire department connections,
and fire hydrants may also fall under their purview as well
as the monitoring of development activity to assist in locat-
ing future station facilities. In some jurisdictions, the plan
approval from a water authority may require approval from
fire and safety to occur first. Building information is impor-
tant for fire and safety review to identify building access
points, building heights, and means of egress.
Health Department. The health department reviews sub-
missions generally involving wells, septic systems, swimming
pools, and other facilities that propose a potential health risk
to the public. The review will focus on whether the appli-
cable regulations have been adhered to.
Parks and Recreation. A local parks and recreation depart-
ment will review site plans to evaluate recreational needs of
both the new development and impact on existing facilities.
In some jurisdictions, the subdivision regulations and site
plan ordinances contain requirements for the provision of
such facilities through either construction or dedication. The
nature of any such provision would typically be determined
during the rezoning process and reviewed for compliance
during the entitlement review. This department may also be
responsible for preservation and acquisition of important
environmental areas, such as floodplains and wetlands, the
control of which may be included in subdivision regulations.
Preservation of site vegetation may fall under this review as
well to evaluate impacts on existing vegetation and compli-
ance with landscape design requirements.
Soil Conservation. The soil conservation district or simi-
lar entity may review grading and other environmental issues
including erosion and sediment control plans. The review
may identify the need for additional protection measures
based on critical areas (steep slopes, nearby natural waters,
proximity to other developments, etc.). Based on the size and
duration of the development, the review may also request
additional details for sequence of construction.
Building. A building department is typically responsible
for reviewing grading, utility, and construction plans that
are included as part of the submittal package. Often, review
of the site plan is intended to ensure that applicable acces-
sibility criteria have been implemented along with common
safety considerations for such things as handrail, fencing,
and certain material selections (i.e., no-slip surfaces where
appropriate). Additionally, the building department ensures
consistency between the site plan and building plans at util-
ity connection points (building/site interface). This depart-
ment will also be involved in project inspection as the project
proceeds through the construction phase.
The Engineer and Review Agency Relationship. Most
jurisdictions recognize the economic benefits of quality
development. There is generally a conscious effort on the
part of administrators to assist those in the land development
profession. Administrators recognize that responsive staff,
regulations, standards, review processes, and procedures
that support and facilitate land development are more likely
to attract business in that jurisdiction. A simple, predictable,
cost-effective, consistent, repetitive, and efficient regulatory
process is seen as a prerequisite for attracting development.
Even so, there should be a professional relationship between
public agency individuals charged with the responsibility to
review and approve site plans and those engineers designing
and submitting plans. Many professional engineers believe
that their site plans need only be given superficial review in as
much as they are taking full responsibility for the adequacy of
their design. They believe that they have provided reasonable
degrees of safety and adequate public protection (Bright, John
K. 1992). On the other hand, the public agency plan reviewer
has been given the responsibility to decide when adequacy and
reasonableness have been met. Detailed specific design require-
ments adopted by state and local jurisdictions also require that
technical standards be accurately met. Despite potential con-
flicts, the goals of both the private and public sectors are the
same-producing the best possible project for the community.
5.1.5. Plan Approval Processing Considerations
Plan approval is a major step in the land development design
process. As previously stated, this is necessary before permits
can be acquired and construction can begin. The final design
effort produces the final site plan that must be submitted
to achieve this approval. This phase continues the iterative
process, not only through the design and engineering work
but also through the submission, review, and approval of the
project.
Jurisdictional Organization for Review. The agency taking
the lead role in performing plan review varies from jurisdic-
tion to jurisdiction. In larger communities, the planning or
public works department is given this responsibility. In some
instances, a multipurpose agency established to adminis-
ter building and environmental regulations will serve this
purpose. In small communities, an individual such as the
town manager or engineer (sometimes contracted from the
private sector) may be responsible for the review process.
The designated review agency is also generally responsible for
coordinating the review of site plans by other governmental and
quasi-governmental bodies. In a typical developing jurisdiction,
the lead agency distributes copies of the site plan to other agen-
cies for review. Most agencies are asked to review submittals to
identify the location, adequacy, and availability of services and
assess impact on systems for which they are responsible. These
agencies will also review site plans for compliance with ordi-
nances and standards that they may administer.
Their role as the technical reviewer is challenging and is
to ensure proper relationships among systems constructed as
part of the new development and the community's existing and
 5.1 ■ COMPONENTS OF A SITE PLAN AND THE APPROVAL PROCESS 391

TYPICAL DEVELOPM ENT APPROVAL PROCESS

Planned Unit Development

or Conventional?

Planoed Unit Development

Concept Plan

Planning Commission
Public Hearing

Zoning Commission
Public Hearing

Site Development Plan

Negotiate Development
Agreement t
Traffic Study

Planning Commission
Publlc Hearing

Post Construction Bonds +-

I:

Submit Grading Plans,

Obtain Grading Permit

FIG uRE 5 .1E Generic flowchart for land development projects. (Modified from the National Association of Home Builders.)

proposed patterns and networks. Some agencies receive copies
to assist in monitoring developing activity, thereby aiding in
planning and budgeting for workforce and facilities to service
future users. Local ordinances frequently define the reporting
relationships for this review, specifying whether agency com -
ments are advisory or mandatory to the lead department. The
distinction is important to the development team as the differ-
ent departments are responsible for individual programs that
have varied and sometimes conflicting priorities. It is impor-
tant to know who has the authority to resolve conflicts when
competing demands confront the developer.
Administrative Requirements. Administrative require-
ments determine the manner in which plans are submitted
for review. Typical administrative requirements will dic-
tate the types of plans and number of copies needed, plan
sheet size and standard scale, format of the sets of plans,
agencies participating in the review process, the sequence
of review, required supporting documentation, and general
information needed. Administrative requirements may also
specify the need for a construction schedule, a cost estimate,
and any time constraints associated with approvals. Since
administrative requirements change frequently, it is the
responsibility of the engineer to check that the most current
issue of the requirements is being used.
Administrative requirements facilitate the review process
by standardizing information supplied with all plans. This
is most helpful in the review process of large jurisdictions
processing a multitude of plans from many engineers and
surveyors. Since fewer plans are being processed for review
in smaller jurisdictions, there is less need for detailed admin-
istrative requirements.
Some jurisdictions require the submission of a checklist
indicating the completeness of the plan submission. The check-
list will list all the required documents as well as some items
that have been frequently omitted in prior submissions. The
submitting engineer must check the items supplied and sign
the checklist. This serves as a check for the engineer as well as
facilitates the review process by ensuring that important docu-
ments that would delay the review have not been omitted.
Some engineers discount the importance of complying
with the administrative requirements. They have devoted so
much of their time to ensuring that the project is designed
392 i@UH¥I F@Hi4Mii
within the site constraints, complies with technical require-
ments, and considers economic constraints that the adminis-
trative requirements seem trivial. It is important to remember
that failure to adhere to these requirements can delay the
review process and frequently will result in plan rejection or
disapproval. Not adhering to the time frames outlined in due
diligence requirements can result in the expiration of the plan,
necessitating a resubmission or even a new legislative approval.
The public agency rejecting a set of plans will comment
as to why the plan is being rejected noting the corrections
needed. These comments are usually written with a reference
to an applicable code. Meetings and conversations with the
submitting engineer are helpful in establishing direction to
secure site plan approval. Once again, failure to follow the
comment requirements of the reviewing agency can result
in the agency rejecting the plan. Following the suggestions
of the reviewing agency and maintaining good professional
relations will increase the likelihood of site plan approval.
Fees. Fees are usually attached to the review process. These
can be a flat fee for each type of plan or study that is sub-
mitted or, based on the acreage, number of lots or building
floor area, linear feet of roads, sanitary sewers, storm sewers
and water lines, cost estimates of public improvements, or
some other indicator. These fees contribute to the govern-
ment agencies' administrative costs in performing submittal
reviews. Practice also varies as to when the fees are collected.
Some jurisdictions require fees to be paid with each submis-
sion phase while others require an upfront estimate of the
entire development process and maintain an actual account-
ing of time spent throughout the life of project. Reimburse-
ment of excess fees may be due from the developer, or
additional payment may be required at project completion.
Interactions with Citizens. In most jurisdictions, the pub-
lic community has no formal role in the review and approval
process. Nonetheless, the community has an important role
in the project, and many jurisdictions will promote commu-
nity outreach. While it's often challenging (or impossible)
to satisfy all members of the community, it's important to
respect the opinions and views of the citizens.
Many jurisdictions make notification of the public parties
(adjoining property owners, municipalities, and commu-
nity associations) a requirement prior to or immediately
following submission to the agencies for review. Those
notices are sent by the applicants or their representatives
via registered mail with return receipt request as proof of
notification. In addition to the written notification, some
jurisdictions require that signs be posted on the project site,
stating the project name, type of case and case number, and
a phone number for information. Notifications and postings
are means of ensuring that every developer interacts with the
immediate community on at least a very basic level by pro-
viding neighbors the information necessary to become more
informed or involved in the process if they so desire.
Frequently, jurisdictions will require the development
team to meet with citizens as part of the plan submission
process. Some jurisdictions have set up formal processes for
this. Notices of scheduled hearings and/or plan submissions
are often sent by the administrative staff or the developer's
representative to interested civic groups, which are then
invited to review the plans, discuss their concerns with staff,
and attend public hearings to place their comments and con-
cerns on the record. In lieu of attendance at a public hearing,
interested parties may submit letters to the approving agency
for inclusion in the public record. Since the provisions of the
subdivision ordinances and site plan regulations are rarely
free from interpretive discretion, citizen comments often
serve to influence the review staff, as is the case in the rezon-
ing process. This does not suggest that the development team
must employ the same intensity of community relations as
for rezoning. However, the team should consider the poten-
tial impacts on adjacent property owners and attempt to
reconcile them with the developer's own requirements. In
practice, those familiar with the community must judge the
level of involvement that the residents will seek.
Once site plans have been submitted, they can be subject to
review by citizen groups in the immediate area as well as citizen
groups set up for the specific purpose of reviewing develop-
ment plans. Jurisdictions see this process as being responsive
to their citizens. It enables citizens to provide input to the proj-
ect that could overcome objections if discovered later during
or after construction. Opposition can become a major obstacle
or result in delayed project approval; therefore, it is prudent
to resolve conflicts with neighboring property owners early in
the process. Frequently, careful consideration of the road sys-
tems, attention to environmental issues (particularly tree pres-
ervation), additional screening and landscaping, setbacks, or
other aesthetic devices are sufficient to eliminate opposition.
However, it is not always this easy; ameliorating citizen con-
cerns requires communication-most citizens are not familiar
with site engineering deliverables, processes, and terminology.
Additionally, the development team should consider that the
citizens often hold a unique perspective on the needs of the
community. Many jurisdictions have an appeal period built
into the approval process; developing a good relationship with
stakeholders may diminish the likelihood that someone will
appeal the decision of the approving agency.
Some jurisdictions have effectively eliminated the subdi-
vision of land by right and have incorporated its review as a
special exception. Where this process has been implemented,
the public's concerns have a much more direct impact and the
subdivision process takes on an added dimension more closely,
paralleling the discretionary review of a rezoning application.
The significant weight accorded citizen comments in a public
hearing places a greater obligation on the development team
to identify concerns early in the design process.
The development team should be comfortable with
communicating the project design to non-engineers. This
requires sincere listening and then responding to (legitimate)
citizens' concerns. While communicating with the public it's
important to avoid industry jargon and provide graphics that
can be easily understood by those outside the industry of
land development. The development team can benefit from
these meetings by not only adjusting the design to better fit
into the community but to gain support for the project.

Meetings with Review Staff. Jurisdictions that encourage
communications between the site engineer and the review staff
prior to plan development recognize the benefit in attracting
quality development. The ability of the submitting engineer
to understand the regulatory process and subsequently being
able to move plans through the process in a timely manner
benefits both the development team and the jurisdiction. The
sequence of plan type submission, anticipated schedule, and
other important elements can also be determined.
A conversation or formal meeting prior to the prepara-
tion or submittal of a site plan can be beneficial. If the design
team is not familiar with the local process, a request to meet
with the reviewing agency should be made. It is far better to
understand the process in advance rather than have to suffer
through it by experience.
Public agency reviewers must have a broad technical
knowledge as well as knowledge of the review process. They
are responsible for making recommendations on rezoning
development plans, concept plans, preliminary plans, plat
check sheets, grading plans, public improvement plans, waiv-
ers, subdivision plans, site plans, easement plats, and record
plats. They also review and make recommendations on the
environmental impact of proposed development, the need
for drainage studies, floodplain studies, and soil studies. They
determine street design and alignment requirements. They
must have a thorough knowledge of the subdivision provi-
sions, the zoning ordinance, road specifications, and other
technical and procedural texts. Consequently, a reviewer can
reasonably be expected to be able to respond to inquiries of the
submitting engineer. However, this does not relieve the engi-
neer from learning the technical and administrative require-
ments of the jurisdiction in which the engineer is practicing.
Following the initial review of site plans, it is desirable to
meet with the reviewing authority to understand the com -
ments. This will enable the engineer to know specifically what
needs to be changed in the site plan in order to gain approval.
Some jurisdictions arrange to have a representative from all of
the reviewing agencies present at one meeting to better coor-
dinate comments. This allows all questions and concerns to
be addressed in one meeting with the appropriate staff. Some
jurisdictions make these postsubmission meetings mandatory
as they benefit both the development team (providing confi-
dence that the next submission will be approved) and the juris-
dictional reviewers (ensuring the next submission adequately
addresses the comments).
These meetings between the submitting engineer and the
public review staff contribute to a strong relationship, even
if it's often argumentative (hopefully while working towards
a consensus). There should be mutual respect between the
reviewers and the development team. The reviewer has the
responsibility to ensure that the desired plan changes are
properly understood and that the design engineer is willing
to make those changes. The design engineer has the respon -
sibility not to compromise the design based on his or her per-
ception of potential harm to the health, safety, and welfare of
the public in violation of the professional engineer's plan cer-
tification. The design engineer is the client's representative at
5.1 ■ COMPONENTS OF A SITE PLAN AND THE APPROVAL PROCESS 393
these meetings and should have a clear understanding of his
or her limitations with regard to agreeing to design changes.
Of particular concern would be those changes that will have
a financial impact or significantly alter the project.
Incomplete Submissions. Under pressure to meet client
deadlines, some designers may be tempted to submit partially
completed applications. In some cases, incomplete plans are
intentionally submitted, and the design team expects the
reviewers to perform the quality check or essentially finish
the design through review. This practice is unprofessional,
unethical, and burdens the public while also jeopardizing the
reputation of the design firm.
Communities that make a point of checking for complete-
ness before accepting submissions have done so for two rea-
sons: (1) fairness to other developers and (2) reduction of
their own increasing workload. An incomplete plan, or one
that suffers from poor quality management, will take longer
to review and process; this requires more public resources
and slows down the processing of other plans. Some juris-
dictions have institutionalized a partial design phase using
a pre-application, which provides the favorable means of
reviewing a plan that is still under development.
Addressing Review Comments. Site plans are distributed
to the various agencies for review and a determination as to
whether they are in compliance with all appropriate codes.
In addition to narrative comments, review agencies often
write comments directly on the plan documents. Following
all agencies' review, the site plans are returned to the engi-
neer for corrections. The consultant's task is to determine
those review comments that are actual requirements directly
imposed by regulation versus those that are subjective rec-
ommendations. Sometimes, the comments that appear are
simply statements oflocal ordinance or policy often without
identifying the comment is applicable to the site plans.
The consultant addresses the comments either by revis-
ing the design and changing the drawings or by initiating
discussions with the reviewer. Good access and rapport
should be established and maintained with the lead reviewer
at all times. Some comments may appear inconsequential,
but if each and every comment is challenged, the relationship
and future projects on which the consultant and reviewer
may have to collaborate may be jeopardized. However, where
some of the comments received appear to be improper inter-
pretations of the regulations, it may be necessary to seek a
decision from a supervisor or other authority.
After the land development team has addressed the com-
ments by all of the agencies, the site plans are resubmitted for
another review. The resubmission gives reviewers assurances
that the initial comments have been adequately addressed
and changes properly integrated into the original design.
When all of the review agencies have had their comments
addressed, the final site plans will be approved and authorized
for the next stage. Noted here is the extent of the liability of
the municipality and the site engineer who sealed the plans.
Although the reviewing agencies have approved the site
plans, the liability of plan correctness still rests with the site
engineer and not the review agency. A plan that is approved
394 i@UH¥I F@Hi4Mii
does not necessarily mean that it is correct or complete, it
means the review agency has fulfilled the process require-
ments for the plan-the design engineer is still accountable.
Plan Revisions and Record Drawings. It is rare that final site
plans do not need changing once construction commences.
Changing field conditions, discovery of previously unidentified
information affecting design, changes in the building design,
and changing the project due to shifting economic conditions
all contribute to plan revisions. The submitting engineer must
prepare a formal plan revision and submit the updated site
plans to the local jurisdiction for approval. Since construction
may be underway, quick review and approval are essential.
The schedule of these revisions is often challenging for
designers; the need for a plan revision may come with lim-
ited information and an aggressive schedule (often within a
matter of hours). These conditions make it difficult to fol-
low quality management standards. The design team should
communicate realistic schedules that consider the appropri-
ate time needed for design as well as review by the jurisdic-
tion. Most jurisdictions give priority treatment to revisions of
already approved site plans. Some jurisdictions request that
revision clouds be placed around items that have changed
from the approved plans and that all plan revisions be sum-
marized in some form of a narrative. This process makes it
easy for the reviewing agency to focus effort on revised items
and usually expedites the review process.
Local jurisdictions will want some assurance that the actual
construction performed is in accordance with approved site
plans and revisions. For these reasons, a record drawing
plan is usually required prior to the release of the construc-
tion bond. Record drawings show the boundary of the site,
location of all buildings, horizontal and vertical location and
size of pipes and apertures, location of fire hydrants, width of
streets, walks, trails, and other improvements as constructed.
Since the engineer has created a revised plan in the form
of the record drawing, he or she is required to certify record
drawing plans in the same manner as the site plans. Some
agencies require that the engineer certify that the record draw-
ings conform to the approved and revised design site plans
except as shown. Some difficulty may be experienced with
this, depending on what is shown on the record drawings.
Usually the record drawing is created from the original design
documents: "It is the general contractor who is responsible for
supervising the day-to-day work on the site; he or she is the
only one in a position to identify and record changes made
during the course of construction'' (DeJarnette and Paul, Inc.
1991). These documents may contain information that was
not a part of the record drawing survey requirement. In this
instance, caution is necessary with respect to what the engi-
neer is certifying to. A suggested precaution to be stamped on
each sheet of the record drawing, subject to review by attor-
neys, would be as follows:
"These record drawings have been prepared based on
information provided by others. The Engineer has not veri-
fied the accuracy of this information and shall not be respon-
sible for any errors or omissions which may be incorporated
herein as a result" (DeJarnette and Paul, Inc. 1991).
As stated previously, record drawing plans must be
approved prior to the release or partial release of the con-
struction bond. For this reason, there is usually a critical
time constraint on the development of the record drawings.
Durability of Approvals. Completing and securing approval
for one phase of the development process typically means that
the development team is entitled to proceed to the next stage;
however, many jurisdictions place a limit on the length of time
that an approval remains valid. This is done to prevent land
development projects from spanning several years and be
"grandfathered" from new ordinances and laws. In the course
of administering its development regulations, local govern-
ments often identify flaws or deficiencies in its regulations.
When this happens, it usually takes steps to amend those reg-
ulations with new regulations being adopted to protect the
health, safety, and welfare of community residents. Site plans
already in the process are often protected against changes
imposed by subsequently adopted regulations. By providing
an expiration date on its approvals, the local government can
minimize the number of projects that are exempt or "grand-
fathered" from new policies and regulations.
Another motive for providing for the expiration of devel-
opment approvals is to enable the jurisdiction to more
accurately monitor its rate and patterns of development. If
approvals did not lapse, it would be extremely difficult to
make reasonable estimations of growth. Local government
would be unable to properly budget for the provision of pub-
lic services, facilities, or staffing.
While the subdivision and other regulations establish
time limits, they also often provide for automatic exten-
sions as well as extensions for extraordinary circumstances.
These extensions must often be requested prior to the expi-
ration of the approvals and will themselves have a time limit
attached to their approval. Consequently, the land devel-
opment team must closely monitor the project calendar. If
circumstances indicate that a submittal will be delayed or
a subsequent approval is not feasible within the time avail-
able, it should communicate these concerns to the appro-
priate officials. A failed opportunity for an extension may
result in an expired site plan and require a totally new sub-
mission and expose the plan to any and all regulations and
ordinance changes approved since the site plan was initially
submitted. Compliance with new regulations could neces-
sitate a costly redesign and project delay. Additionally, the
developer and the land development team should be cogni-
zant of laws requiring that approved developments be con-
structed or that approved subdivisions be recorded within a
specified period of time.
REFERENCES
Bright, John K. 1992. Reader's Write, Civil Engineering. New York:
American Society of Civil Engineers 62(8), August 1992.
DeJarnette & Paul, Inc. 1991. The Professional Liability Perspective.
Richmond, Virginia.
Engineers and Surveyors Institute. 1990. Post Submission Confer-
ence Format, Recommended Plan Format for Fairfax County.
Fairfax, Virginia: Engineers and Surveyors Institute.
 CHAPTER 5.2
EXISTING CONDITIONS
AND FIELD SURVEY
5.2.1. Introduction
In the final design of a project, or preferably during con-
ceptual and schematic design, the base map (described
in Chapter 3.2) should be refined with site survey infor-
mation. Survey information specific to a site provides a
verified source of information that has been certified by a
Professional Land Surveyor (PLS)-base maps developed
from public information do not have any certification (and
are not usually accurate). A developer may not be motivated
to invest in a site survey in early stages of design, but final
design requires the use of survey information that has been
certified by a registered professional.
This chapter describes the site survey process in detail
and identifies how the survey information is used through-
out final design of the project. The site survey should replace
any base map information that comes from inaccurate or
unverified sources, which may have been acceptable to use
during early design stages.
Topographic maps are an essential part of the design pro-
cess. A sample of a topographic map is in Figure 5.2A. The
construction phases of land development projects rely on
topographic maps for grades and location of important topo-
graphical features. If such maps are not of a high quality, they
can cause costly mistakes and time delays. Time spent plan-
ning the fieldwork and mapping for these surveys reduce the
likelihood of errors and omissions in the final product.
The time for making determinations concerning type or
combination of types of survey methods appropriate for col-
lection of the necessary field data in the most effective and
efficient manner is during the planning process. This is also
the time for establishing a contour interval that will satisfy
accuracy requirements.
The process moves forward from the planning stage to
the fieldwork. Field crews establish a survey control net-
work with the required horizontal and vertical survey accu-
racy requirements. These surveys require coordination with
boundary surveys and in some instances they are combined.
Existing features are located including buildings, roads, utili-
ties, waterways, vegetation, and other features that might
have an impact on the development.
Decisions on the size of plan sheets, scale ratios, labels,
and necessary notes precede the mapping process. The
method for gathering the data used in a topographic map
is a choice based on the circumstances associated with the
site to be mapped. Whether one chooses an electronic sur-
vey system, photogrammetry, or other modern systems, the
concepts for determining what features will be mapped and
what other considerations are to be given remain consistent
and in accordance to the condition of the property.
5.2.2. Existing Conditions
The plan sheet that depicts survey (topographic, planimetric,
and boundary data) is generally titled as the Existing
Conditions sheet but is often combined with the Demolition
Plan sheet. The existing conditions for the site are carried
through all other design sheets in the plan set, usually scaled
back to a light gray color so the information is legible but does
not compete with proposed design information. The source
and date of the survey should be documented within the plan
sheet (usually on the cover or within the notes sheet).
The existing conditions plan information for a site should
have clear notes with standard symbols (defined in the site
plan legend). The design team should study the existing con-
ditions plan to check any assumptions that were made prior
395
39& i@UH¥I F@Hi4Mii

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FIGURE 5.2A Example of a topographic map.


to obtaining the site survey. New features may have been
identified, such as utilities, easements, signs of site contami-
nation, minor streams, or other site features that might not
have been available from public sources of information.
Demolition Plan Content. The site demolition plan may
be incorporated into the Existing Conditions sheet (usu-
ally titled Existing Conditions & Demolition), or may exist
as a separate sheet that focuses exclusively on demolition.
A demolition plan provides information on which existing
features should be removed, relocated, or abandoned. With
greenfield development (new development within an unde-
veloped site), the demolition plan might be limited to only
show removal of vegetation and minor road work at the site
entrance. For redevelopment projects, or work adjacent to
other developments, the demolition plan requires careful
attention to scope and sequence of work.
If a utility system is required to be relocated for the
proposed site, the plans should include notes about com-
munication with the utility provider and customers. This
communication is necessary to coordinate the service inter-
ruption time and duration. When possible, the construction
and demolition should minimize service disruption, which
is especially important for continuously active sites like a
hospital or college campus.
Demolition work associated with transportation sys-
tems, like roads and pedestrian paths, will require plans that
maintain and redirect traffic. These plans are referenced as
maintenance of traffic (MOT) plans and should be prepared
by a professional familiar with traffic engineering require-
ments. Advanced warning signs, lane closure signs, and
detours are common with an MOT. The FHWA Manual on
Uniform Traffic Control Devices (MUTCD) also includes
provisions for temporary traffic control (TTC) plans (some
TTC requirements are modified by a local DOT).
Construction activity throughout the site, including the
demolition work, requires management of stormwater (in
the same way the final development will require stormwa -
ter controls). During construction, the interim stormwa-
ter control devices are referred to as erosion and sediment
controls-this information is provided in Chapter 5.7.
While the means and methods for demolition are beyond
the scope of the design team, it's necessary to provide enough
information and design conditions that are feasible for a con -
tractor. For example, it may be necessary to include a detailed
sequence of construction for utility relocations (building
a downstream storm system prior to connecting the new
upstream system). The demolition work should be included
within the limits of work for the site, even if the area of work
is meant solely for demolition. This ensures that the area is
included in the scope for clearing and environmental protec-
tion requirements.
Most demolition plans include a set of accompanying
notes. A few standard demolition notes are listed below:
1. No demolition can begin until the required demoli-
tion permits have been obtained.
5.2 ■ EXISTING CONDITIONS AND FIELD SURVEY 397
2. No demolition can begin until the required erosion
and sediment controls (and tree protection) have
been installed and approved by the engineer (or
inspector).
3. All work shall be performed in strict compliance
with the most current applicable federal, state,
and local laws and regulations. This includes,
but is not limited to, Environmental Protection
Agency (EPA), Occupational Safety and Health
Administration (OSHA), National Emissions Stan-
dards for Hazardous Air Pollutants (NESHAPS),
and National Institute of Occupations Safety and
Health (NIOSH).
4. Immediately notify the owner's representative
upon encountering any hazardous material dur-
ing demolition and/or construction activities.
Document same to the owner's representative and
obtain direction as to the appropriate action(s) to
be taken in accordance with project specifications.
5. Perform a utility designation for the site prior to
any work. Coordinate with all utility providers for
payment of associated fees and procurement of all
necessary permits.
6. Documentation of the condition of existing adja-
cent areas is recommended prior to commencing
work. Protect from damage all existing adjacent
areas. All adjacent areas damaged during demoli-
tion or construction activities shall be restored to
the original or better condition.
7. Miscellaneous site items (including but not limited
to signs, site furnishings, light posts wheel stops,
etc.) that conflict with proposed conditions are to
be removed-if these items are not identified to
be demolished, they shall be replaced after work is
completed.
8. In all areas where new road and sidewalk (or trail)
construction meets existing facilities, a smooth,
clean, even transition shall be formed. All pavement
match lines shall be sawcut to full depth and prop-
erly sealed.
9. Verify proper shutdown and termination of all
utilities indicated to be removed or abandoned. All
termination shall be performed in accordance with
all applicable codes. Coordinate all required service
outages with utility providers.
10. A safe work environment is required at all times.
Traffic and pedestrian circulation adjacent to the
construction site shall be managed by appropriate
traffic control standards.
These notes are meant to serve as an example of infor-
mation that can supplement the plan sheets and may not
39a i@UH¥I F@Hi4Mii
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1. Plan view with notes identifying items to be demolished and easements
to be vacated
2. Demolition notes for the project, including notes about phasing of
demolition
3. Legend for items to be demolished (linear features and large areas)

FIG uRE 5 . 2 B Demolition plan content.

be inclusive of all direction required to perform the work.
A sample demolition plan with accompanying notes is shown
in Figure 5.2B.
5.2.3. Scope of Survey
The scope of survey required should be identified by the
design team. In some cases, the only information needed is
within the limits of the property, but in most cases it's neces-
sary to extend the scope of survey beyond the property. Some
jurisdictions have a requirement for a minimum survey dis-
tance beyond the site to identify potential impacts to existing
buildings, vegetation, drainage conditions, or other features
of an adjacent site. The scope of work is usually requested
with a graphic depiction of limits, which could be depicted
on the preliminary plan or base map.
Survey may be required for large areas of the adja-
cent highway. For instance, intersection sight distance
requires information for hundreds offeet along the road-
way, and survey information would need to extend along
the roadway based on the design speed of the road (see
Chapters 3.3 and 5.3 for intersection sight distance).
Additionally, if the site requires a new turn lane to be
added to the highway it's important to have all informa-
tion of the road system.
Storm outfall (or other utility systems) should also be
considered within the scope of the survey. The limits of
analysis may extend beyond the site and connection points
to existing utilities may be offsite as well. It's common that
additional survey work is performed during the design, but
a comprehensive scope of work can reduce costs of ordering
additional survey and the associated rework.
In some cases, the scope of work extends to an area that's
not accessible (or escorted access is necessary)-a property
owner may not be willing to grant access, or the terrain may

create a physical hardship. In this case, it may be necessary to
supplement the site survey with public data. If other sources
of information are used, it's necessary to delineate where
the field survey limits end and other sources of information
are used. Notes about assumed accuracy from other sources
shall be identified in the plans.
5.2.4. Planning the Survey
Planning for topographic surveys includes consideration of
the site's physical features and condition, required scale and
accuracy, contour interval appropriate for the type of project,
cost, schedule, and type of instruments available. All these
factors affect the survey methods and equipment used in the
site survey.
Among the most important aspects of planning a site
survey is the communication between the site engineer and
those who will collect the field data on which the map will
be based. A proper level of understanding of the design con-
cept by those who collect the data will result in a more com-
prehensive survey and reduce the likelihood that numerous
data gathering exercises will be required. The responsibility
for ensuring that this level of understanding is adequate lies
with both parties. Neither should make assumptions about
whether the understanding exists, nor be timid about asking
questions to clarify issues.
When a comfortable level of understanding has been
reached, a decision can be made concerning which
method is most effective to conduct the data gathering
survey. Surveys to gather topographic data, like all other
surveys, must begin with an appropriate survey control
network system. Therefore, the first step in planning for
the survey of a land development project is the comple-
tion of well-planned horizontal and vertical control net-
works. These networks must be geometrically strong and
must be well documented.
The number and location of the control points depends
on the nature of the project and on the surveying method
used. As a matter of convenience during the design and
construction phases of the project, control points should be
interspersed throughout the site. It may be cost effective to
use traverse points previously established in the boundary
determination as horizontal control stations for the topo-
graphic survey. Establishing control points as part of the
boundary traverse loop and cross-ties through the middle
of the site provide a network convenient for use throughout
the design and construction phases of the project. To do
this, adequate forethought on traverse location is needed
at the time when the traverse is being set for the boundary
determination. Provisions for the protection of established
survey monuments by contractors are necessary and cost
effective.
5.2.5. Gathering the Data
Data must be gathered and compiled in such a way that it
can be used for (preliminary and) final design, depending
5.2 ■ EXISTING CONDITIONS AND FIELD SURVEY 399
on when the survey work is ordered. The primary collection
methods for land development projects are
1. Field conventional survey
2. Photogrammetry (aerial imagery)
3. LiDAR (remote sensing, Light Detection and
Ranging)
The method selected for gathering data will influence
the specific details of how it is to be accomplished. Regard-
less of the method chosen, it is critical that data is gathered
so that compilation is done in a format acceptable to the
designer. This is particularly true when the data is to be
collected through a field-run survey. A part of the commu-
nication mentioned earlier between designer and surveyor
should focus on the type of equipment and processing sys-
tem the surveyor will use, and the type of design software
the designer will use. Specific attention should be given to
what layering system or data library is required. Data accu-
rately collected and processed is not very useful unless it is
presented in a format the designer can use. The reason this
aspect of the process is so important for field collection of
data is that the coding system for data collection should be
established prior to the survey in order to simplify adjust-
ments that may otherwise be difficult during compilation.
In the case of photogrammetry or similar methods of gath-
ering data, the issues of proper coding and formatting are
addressed during compilation also.
Electronic and robotic total stations, real-time kinematic
(RTK) GPS networks, laser scanners, and unmanned aerial
vehicles (UAVs, often referred to as drones) and electronic
data collectors have replaced traditional instruments for field
run surveys.
Photogrammetry, which uses aerial photographs com-
bined with ground control points to generate topographic
maps, has become the preferred method for surveying
most large sites for land development design purposes.
The maps created using photogrammetry can be either
large scale or small scale. In some cases, the aerial photog-
raphy is conducted in such a way as to allow both large and
small-scale maps to be created, thus providing a broader
view of the project area while serving the preliminary
and final design processes. The photogrammetric survey
method is not appropriate for determining boundary lines
although it may serve in an evidentiary capacity, allowing
a broad overview of an area not available at ground level.
Small sites, particularly those with extensive features, are
still commonly surveyed using an electronic data collec-
tion device. Both the electronically gathered field survey
data and photogrammetric survey data can be compiled
into digital topographic maps to serve as the base layer
for design files.
Field Survey. Field methods require that the surveyor
accurately locate the positions of both the topographic and
planimetric features on the site. Field methods are necessary
400 i@UH¥I F@Hi4Mii
in land development where detailed location of surface
and subsurface utilities is required, where a limited area is
involved, or where slope and drainage are critical. In most
cases, this requires the location of a large amount of data,
which must be presented on a large-scale map.
Instrumentation formerly employed in the topographic
surveying field has generally been replaced by what is known
as the electronic total station surveying system, laser scan-
ning, UAVs, and RTK Global Positioning System (GPS)
equipped with an electronic data collector (Figure 5.2C). This
equipment has the greatest potential for producing high-
accuracy results with a minimum expenditure of time in
any area where detailed topography is required. The robotic
total station and RTK GPS instruments allow one person to
gather data for a topographic map rather than the typical
two or three person field crew; however, it is sometimes still
effective to have crew members performing activities such
as drawing sketches and measuring manhole depths while
the robotic station or RTK GPS "rover" operator is obtaining
other data.
Additional information on the survey process was pro-
vided in Chapter 3.2.
Electronic Mapping Using Conventional and GPS Methods.
To begin a conventional survey using a total station, the
surveyor first occupies an existing control station. He or
she then orients the instrument to another station in the
network. Orientation is typically made by pointing on a
tripod-mounted prism at the backsight station. Alterna-
tively, sighting on a prism mounted on a plumbing pole can
be used (see Figure 5.2C). The height of the plumbing pole
FIG uRE 5. 2 C Total station, data collector, and prism. (Photo Courtesy
of Sam Dougherty and Steve Hall.)
(and the tripod mounted prism if used) must be recorded
in the data collector with other information required for
the job.
Beginning an RTK survey is similar in that the surveyor
sets up the base station on an existing control point; however,
as a check it is good practice to have another control point
nearby. Staking to the check point with the rover ensures that
everything is working correctly before the work begins.
The data collector usually has a series of user prompts
to begin collection at each station. Typically, the prompts
begin by asking for a file name, a user's name, date, tem-
perature, and barometric pressure, which is then followed
with prompts for the setup: instrument base point number
or traverse station number, height of instrument, back-
sight point number in the case of a conventional job, and
prism or receiver height. When the instrument operator
then backsights the prism, the data collector records the
raw data, consisting of the horizontal angle, vertical angle,
and distance. The distance and the difference in eleva-
tions between the two known stations are verified with the
known data.
With the internal data file initiated, the instrument ori-
ented, and the data collector initialized, the topographic data
collection begins. Each type of feature usually has a numeri-
cal or alphabetic code. Codes may be augmented with a
brief description. The data collector prompts the operator
for point number, description and code, prism height, and
a choice of preset measurement sequences. The last of these
entries activate the total station instrument or rover, and the
raw data is recorded. This information is displayed on the
data collector for the operator to approve, reject, or edit. If
approved, the collector advances to the next point number,
ready for the next shot. If rejected or edited, the bad shot is
retained and labeled as such, and the next point number is
utilized for the correct information. This is useful for cross-
checking the data. Sample codes and abbreviations for data
collector use are shown in Figure 5.2D.
For complex sites or features, a detailed sketch must be
prepared to accompany the collector printouts (Figure 5.2E).
The sketch should include outlines of buildings and struc-
tures, dimensions, measurements, types of materials, sizes
of pipe, descriptions, data collection point numbers, and
any other pertinent facts. It is imperative that the field crew
understand that the person that will draft the map may not
visit the site and the sketch is critical for the drafter to under-
stand the site. Therefore, the sketch must be clear, concise,
and complete.
Since surveyors must translate a three-dimensional (3D)
terrain to a two-dimensional (2D) map, the actual success of
a topographic survey depends upon the location of essential
points, which define the terrain. Every ridge, grade break,
toe or top of slope is studied carefully for the exact place-
ment of the location point that best defines the feature. Every
man-made feature is similarly interpreted and delineated by
a series of adeptly placed shots. Because a computer gener-
ates the contour lines, care must be taken to space the shots
 5.2 ■ EXISTING CONDITIONS AND FIELD SURVEY 401

01 . Horizontal Control II . Centerlines 33 . Electric

TRV CL. Centerline Road ELE
PXP • Panel Point ------·---·--
35 . Building
BLD

OS . Property/Boundary 17 • Pavement 37. Utilities Misc

IPF EP. Edge of Pavement UTL
EIP Existing Iron Pipe EPL EP Left OU Overhead Utility
EIR Existing Rod/Rebar/Pin GDR EPR EPRight PD. Tclephone Pedestal
EPT Existing Pinch Top UU. Underground Utilitv
EIO Other (Describe) 18 • Curb CTV Cable TV
MKT Marked Tree TC. Top of Curb MCI' Utility Marker Post
N Nonh TCL Top of Curb Left UMN Utility Manhole
s South TCR Top Curb Right VLT Utility Vault
E East BC. Back of Curb (Top) .. ----
w West FC. Face of Curb (Flow) 42 • Miscellaneous
MON Existing Cone. Mon. MIS
NIP New Iron Pipe 19 • Concrete MB. Mail Box
PK. P.k. Nail CON RS . Road Sign
RW Right of Way Mon. CCP Comer Concrete Pad GL Ground Light
STN Stone EC. Edge of Concrete
SW. Edge of Sidewalk

07 . Grade Elevations 20 . Shoulder 44 . Wetlands

SPT SHL WET
GR. Ground Spot Shot
GRP Pavement Spot Shot 21 . Parking Stripes/Paint Lines 58 . Break
GRC Concrete Spot Shot PRK BRK
GRG Gravel Spot Shot TB. Top of Bank
22 . Utility Poles BB. Botton of Bank
UPL ----------
GP. Guy Pole 60 . Walls
GW. Guy Wire WAL
LP. Light Pole cw. Centerline Wall
PP. Power Pole EW. Edge of Wall
SP. Service Pole
TP. Telephone Pole

08 . Stream/Pond/River 23 . Water 61 . Test Pit

STR Stream WAT TP.
DL. Ditch Line HYO Fire Hydrant -------------------------
WL. Edge of Water MW. Monitoring Well 62 . Unimproved
PIV Post Indicator Valve UNI
WL. Waterline PAT Trail or Path
WE. Well EG. Edge of Gravel
WM. Water Meter DT. Edge of Din
WV. Water Valve

09 . Vegetation 26 . Storm 63 . Railroad

VEG STM FR. Frog
OB Ornamental Bush BXC Box Culven PS. Point of Switch
OT Ornamental Tree CMP Corrug. Metal Pipe RR. Railroad
HOG Hedge CPP Corrug. Plastic Pipe IR Inside of Rail
WDL Woodline DIP Ductile Iron Pipe CL Centerline of Rail
DIG Drop Inlet-Curb Gn. --------------
TR Tree DIS Drop Inlet-Curb Std. Desc. Format for Point
A (Cherry), Size (In.) RCP Rcinf. Cone. Pipe
B (Beech), Siu (In>) SOM Storm Drain Manhole LL-PPPDS ..
C (Cedar), etc ... TCP Terra Cotta Pipe --Sub Desc.
D (Cottonwood) VIG Tard Inlet-Grate •··•Draw Code
E (Elm) VIS Yard Inlet-Std. •·······2 or 3 Char
F (Ash) N (Tupelo) I (lnven), Size (In .) Point Descriptor
G (Locust) p (Pine) T (Top), Size (In.) •• ,·, Das Character
H (Hickory) Q (Oak) - 2 Digit Layer Code
J (Burch) R (Dogwood) 29 . Sanitary
K (Sasafrass) s (Sycamore) SAN Use a" ." (Period) as a Place l loldcr Wh~n
L (Sweet Gum) T (Poplar) co. Cleanout There Is Only 2 Chars in the l'nint Descriptor
M (Maple) z (Misc.) SSM Sanitary Sewer Manhole and in Place of the Draw Code When Thcr~ Is
None.

10 . Fence 32 . GAS Draw Codes (7th Posi tion)

FEN Fence GAS L. Line
GDR Guard Rail GL. Gas Line C • Curve
GPP Guard Pipe Post GM. Gas Meter z . End Draw Sequence
GV. Gas Valve V. Close into Initial Point

FIGURE 5.20 Codes and abbreviations used for data collectors.

402 i@UH¥I F@Hi4Mii
Sketch Sheet
Job Name £TMVCOZ Project Name a May,zc Caauw"i'.sacy
Date l?-17- 93
Notes CY'.1?7/000001,/09,tG ~/0071 Crew No. Root
_ _ _ _ _ _ _ __ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ Sheet No. _L of _,/__

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FIG uRE 5. 2 E Sample field sketch to accompany data collection raw file.

in such a way that they do not appear to cross each other,
particularly in curves (Figure 5.2F). In addition, the prism
handler must select obstruction-free sight lines to the instru-
ment, change the height of the prism or rover as necessary,
and maintain constant communications.
Many data collectors possess a feature which enables one
to reference a shot left, right, back, ahead, up, and down in
relation to the last instrument-shot point.
Topographic mapping using electronic data collection
has become the standard for field run surveys. Software
continues to be developed that improves the field to office
conversion of data into mapping. Purchasing the proper
equipment and developing a system for field and office pro-
cedures that enhance ones ability to make those conversions
faster and more efficiently is critical to the ultimate success
of a land development project.
The use of GPS equipment to collect topographic data
has become more prevalent. Advances in the satellite con-
stellation, real-time computation of point positions, and the
reduction of equipment costs have led to a wider use of GPS

FIG uRE 5 .2 F Data collection shot placement.
equipment for a variety of surveying activities. As the invest-
ment in equipment decreases, and new technologies enhance
the surveyor's ability to use the equipment, the use of GPS for
data collection related to topographic mapping may become
a standard practice. RTK surveying is the primary means of
gathering topographic data by GPS methods. It allows data
gathering in essentially the same way as with a total station,
that is, via a data collector. The methods employed by the
person operating the rover are the same as those of the per-
son operating the prism pole or robotic rover. The major
consideration with using RTK is that it must have an unob-
structed view of the sky. The GPS signal broadcast from the
satellite constellation is relatively weak and cannot penetrate
heavy leaf cover or buildings. It is also subject to multipath,
the reflection of signals off of hard objects such as buildings,
walls, or vehicles, which can distort the positions derived by
the instrument, therefore provisions must be made to avoid
these areas when surveying with GPS RTK and mark them to
be surveyed later by other means such as a conventional total
station. A photograph of an RTK rover and data collector is
shown in Figure 5.2G.
Photogrammetric Survey. Photogrammetry is an art,
a science, and a technology. Aerial photogrammetry uses
stereo aerial photographs or stereo digital images to cre-
ate planimetric and/or topographic maps of features vis-
ible on the imagery and to determine the relative location
of points, lines and areas for determination of distances,
angles, areas, volumes, elevations, sizes, and shapes of
mapped features. Photo interpretation of such imagery
deals with recognizing and identifying objects on the
5.2 ■ EXISTING CONDITIONS AND FIELD SURVEY 403
FIG uRE 5 . 2 G RTK rover and data collector. (Photo Courtesy of
Sam Dougherty and Steve Hall.)
imagery and judging their significance through careful
and systematic analyses.
Stereo photographs or stereo images are those taken of
the same area on the ground but viewed from two perspec-
tives. Aerial stereo photographs are commonly flown with
each image having a 60% overlap with the preceding and
subsequent images; this enables 60% of each photograph to
overlap the same area shown on the preceding photograph,
60% on the subsequent photograph, and 10% of each pho-
tograph to appear on three successive photographs. With
stereoscopic viewing, much greater depth perception can be
obtained. Stereoscopic viewing enables the formation of a 3D
stereomodel for viewing a pair of overlapping photographs,
making accurate 3D measurements and mapping elevations
in addition to planimetric detail.
Terrestrial photogrammetry follows the same general
principles as aerial photogrammetry except that special
metric cameras are mounted on tripods and the line of sight
is generally horizontal rather than vertical, but still photo-
graphing the same area from two different perspectives.
A large percentage of photogrammetric applications have
traditionally pertained to topographic mapping, at various
scales, for planning and design of transportation features
(highways, railroads, rapid transit systems, airfields, bridges,
culverts), pipelines, aqueducts, transmission lines, flood con-
trol structures, river and harbor improvements, urban renewal
projects, shopping malls and housing areas, for example.
Two newer photogrammetric products, digital orthophotos
and digital elevation models, are now often used in combina-
tion to replace traditional topographic maps. An orthophoto
is an aerial photograph that has distortions removed, has a
uniform scale throughout, and has the metric properties of
404 i@UH¥I F@Hi4Mii
a planimetric map; but unlike planimetric maps that show
features by using lines and symbols, orthophotos show the
actual images of features, making them easier to interpret. As
introduced in Chapter 3.2, a digital elevation model (DEM) is
an array of points with x, y, z coordinates. DEMs model the
3D topography or shape of the terrain from which contours,
cross sections and profiles can be computed. Orthophotos
and DEMs are widely used in all fields where maps are used,
but because they are in digital form, they are ideal for use in
geographic information systems (GIS).
Photogrammetry is often used to supplement land surveys.
Although aerial photographs don't show boundary lines, aerial
photos and/or orthophotos can be used as rough base maps for
relocating existing property boundaries. If the point of begin-
ning or any corners can be located with respect to ground fea-
tures that can be identified on aerial photos, an entire parcel
can be plotted on the orthophoto from the property descrip-
tion. All corners can then be located on the photo in rela-
tion to identifiable ground features, which, when located in
the field, greatly assist in finding the actual property corners.
Aerial photos can also be used in planning ground surveys.
Through stereoscopic viewing, areas can be studied in 3D;
access routes to remote areas can be identified, and surveying
lines of least resistance through difficult terrain or forests can
be found. Photogrammetrists map areas without setting foot
on the ground, avoiding the need to gain access to private land
for surveys, avoiding surveys in wetlands and terrain where
ground mobility is difficult, and avoiding surveys along high-
ways where land surveys are either unsafe to surveyors or slow
the flow of traffic while surveys are in progress.
Photogrammetry is especially important for highway
planning and design. Aerial photographs are used in prelimi-
nary planning for selection of corridors for new routes. Large-
scale topographic maps, contours, and/or DEMs are used in
final design. To monitor construction progress, partial pay-
ments, and final payments are often calculated from photo-
grammetric measurements made on photographs acquired
during various stages of construction. Information collected
from photogrammetry is normally compiled in computer-
aided design and drafting (CAD) formats such as AutoCAD
.dwg or MicroStation .dgn formats. Other photogrammet-
ric applications include the mapping of building footprints,
preparation of tax maps, soil maps, forest maps, geological
maps, planning and zoning maps, and land use/land cover
maps. Photogrammetry is used in the fields of astronomy,
architecture, archaeology, geomorphology, oceanography,
hydrology and water resources, conservation, ecology, and
mineralogy, enabling the harsh outdoor environment to be
surveyed, mapped, and analyzed in the comforts of an office.
Aerial Triangulation. Aerial triangulation (AT) has tra-
ditionally been required to control a block of aerial photo-
graphs, to force mapped coordinates to fit surveyed ground
control, and to control other mapped coordinates for which
surveyed ground coordinates are unknown. This tradition-
ally has required many photo-identifiable, surveyed ground
control points. Photogrammetrists often use painted symbols
or paneled survey targets in the shape of an X, T, or Y, prepo-
sitioned on the ground surface and surveyed prior to acqui-
sition of aerial photography. This process ensures that there
are enough photo-identifiable points with known coordi-
nates. When there are already ample photo-identifiable fea-
tures, photogrammetrists may instead rely on photo points
that naturally appear at desirable locations on the overlap-
ping photography, and survey those points after the photog-
raphy has been flown and the images have been processed.
One of the objectives of AT is to determine six exterior
orientation parameters for each of the aerial photographs to
be used; these six parameters include x, y, and z coordinates
(in airspace) of the focal point of the lens when each pho-
tograph was taken, as well as the roll, pitch, and yaw of the
aircraft around the x axis (direction of flight), y axis (cross
direction), and z axis (vertical axis).
When these photo control points are surveyed from
multiple control monuments surrounding the area, the AT
solution may be weakened by the fact that multiple control
monuments are often inconsistent relative to each other;
then, AT residual errors are high. It is preferred that GPS
procedures be used, with a single pair of GPS base stations
of highest accuracy to obtain consistent results, a strong AT
solution, and maps that will be more accurate as a result.
When this is done, then the AT residual errors are small.
Experienced photogrammetrists know how to examine these
residuals to determine if the survey control is strong or weak.
Fully analytical aerial triangulation (FAAT) is generally con-
sidered to yield the highest accuracy and lowest residuals.
Figures 5.2H and 5.21 both show an obvious variation in
the roll, pitch, and yaw of the aircraft between the left and
right photos. Whether variations in elevations or orienta-
tions are major or minor, a strong AT solution is required
FIG uRE 5. 2 H With a strong AT solution, rays of light of features
imaged on both photographs of a stereo pair will intersect and mapped
coordinates will be accurate.
 5.2 ■ EXISTING CONDITIONS AND FIELD SURVEY 405

as shown at Figure 5.21. With a weak AT solution, the 3D

coordinates of mapped points have larger error ellipses and
uncertainty in derived coordinates. Therefore, a strong AT
solution is the key to accurate topographic mapping.
Since the 1990s, aerial survey firms have regularly used
airborne GPS and inertial measurement unit (IMU) technol-
ogy to simplify the AT process, and for mapping projects over
inaccessible or environmentally sensitive terrain. Airborne
GPS can measure the x, y, and z coordinates directly in air-
space, and IMUs are capable of measuring the roll, pitch, and
yaw directly as each photograph is exposed. Some ground
control points are still used for the AT process, but the num-
bers are reduced significantly when airborne GPS and IMU
technology is properly used. However, this advanced tech-
nology is more relevant to large mapping projects than to
small projects for land development applications.

_ _ _ _ __
J ___, x
FIG uRE 5 . 21 With a weak AT solution, rays of light of features
imaged on both photographs of a stereo pair will not intersect and mapped
coordinates will be less accurate.
to determine the six exterior orientation parameters for
each photograph. If the AT solution is strong, rays of light
from the left photo will cleanly intersect with rays of light
from the right photo, as shown at Figure 5.2H. However,
if the AT solution is weak, rays of light from the left photo
will not intersect with rays of light from the right photo,
Photo Scale. Photo scale is a critical factor in planning
aerial photography. Photo scale is a function of the flying
height above the terrain, and the focal length of the map-
ping camera. With a mapping camera having a given focal
length, the required photo scale normally establishes the
flying height to be used. Subsequent scale variations in a
photograph or between successive photographs are caused
by variations in the terrain elevation, by variations in flying
heights, or both.
Figure 5.2J depicts two photographs taken over terrain
having an average elevation of 400 feet above the datum and
a range in elevation from 175 to 600 feet. In each case, the
average photo scale is 1 inch = 200 feet.

H-hq,g=2400 ft
Averaqe Sfole:1~=200'

f=6in.
H=J600fl Scale
Vanaf1on
16% and 19'¼
H.-11,,,g:,, /200 II
Scale Average Scale: / "=200'
Vona/ion
30%ond42%

h=600' h=600'
ll,,v,1 = 400' ,
Datum M=J?S I
fa/ {b)

FIG uRE 5. 2 J The average scale of a typical 9 x 9-inch aerial photograph depends upon the focal length of
the camera and the variation in terrain elevations relative to the height of the aircraft above the terrain. This figure
shows two ways to acquire photographs with the same average scale but acquired with cameras having 6- and
12-inch focal lengths flown at two different altitudes.
4o& i@UH¥I F@Hi4Mii
With a 6-inch focal-length camera, the flying height
would be 1600 feet above mean terrain (amt). At an eleva-
tion of 175 feet, the scale would be 6 inches (0.5 foot) divided
by (1600 - 175) feet, or 1 inch= 238 feet. However, at an
elevation of 600 feet, the scale would be 0.5-foot divided by
(1600- 600) feet, or 1 inch= 167 feet. This is a relatively large
variation in scale.
With a 12-inch focal-length camera, the flying height
would be 2800 feet amt. At an elevation of 175 feet, the scale
would be 1 foot divided by (2800 - 175) feet, or 1 inch =
219 feet. However, at an elevation of 600 feet, the scale would
be 1 foot divided by (2800 - 600) feet, or 1 inch = 183 feet.
This is a relatively small variation in scale.
Normally, long focal-length/narrow-angle lenses are
better for planimetric mapping, allowing higher flying
heights to be used so that views are more straight down,
as looking from space. Lower flying heights with shorter
focal-length/wide-angle lenses are better for topographic
mapping where elevations are critical. The standard 6-inch
lens is a compromise, and subsequent tables assume that
6-inch lenses are used.
Map Scale. Table 5.2A lists the photo scale and flying height
commonly used for planimetric mapping at specified map
scale, assuming a standard mapping camera with a 6-inch
focal length and assuming an analytical plotter or softcopy
workstation is used for the mapping. Mapping photography
is normally flown with a forward overlap of 60% between
successive photos to ensure full stereoscopic coverage, and
sidelap of 30% between adjacent flight lines to ensure con-
tinuous coverage.
Contour Interval. Table 5.2B lists the photo scale and flying
height necessary for topographic mapping at specified con-
tour intervals, assuming a standard mapping camera with a
6-inch focal length.
The most demanding requirement from these two tables
controls the flying height to be used. For example, if maps
with a horizontal scale of 1 inch = 50 feet (see Table 5.2A)
are desired with a I-foot contour interval (see Table 5.2B),
TAB LE 5 . 2 A Photo Scale and Flying Height
for Desired Map Scale
DESIRED
MAP SCALE PHOTO SCALE FLYING HEIGHT
1 in= 20 ft 1:1680 840 ft amt
1 in= 30 ft 1:2520 1260 ft amt
1 in= 40 ft 1:3360 1680 ft amt
1:4200 2100 ft amt
1 in= 50 ft
1 in= 60 ft 1:5040 2520 ft amt
1 in= 100 ft 1:8400 4200 ft amt
1 in= 200 ft 1:16,800 8400 ft amt
TA BLE 5 . 2 B Photo Scale and Flying Height
for Desired Contour Interval
DESIRED
CONTOUR
INTERVAL PHOTO SCALE FLYING HEIGHT
0.5 ft 1:2000 1000 ft amt
1 ft 1:4000 2000 ft amt
2 ft 1:8000 4000 ft amt
4 ft 1:16,000 8000 ft amt
5 ft 1:20,000 10,000 ft amt
then the photography should be flown at 2000 feet above
mean terrain (instead of a higher elevation). Lower alti-
tude photography yields more accurate maps, both hori-
zontally and vertically, but lower-altitude photography
will cost more than higher-altitude photography because
high-altitude photography covers a larger area per photo-
graph, requires fewer photographs, and has a simpler aerial
triangulation.
Digital Orthophotos. Whereas aerial photos have perspec-
tive views of the terrain and normally include some uninten-
tional tilt, digital orthophotos have orthographic views of the
terrain (as though looking straight down on each pixel of the
image from infinity) with all tilt removed. Therefore, digi-
tal orthophotos have the appearance of an aerial photograph
and the metric properties of a map-with one exception. The
one exception is that all features at ground level are correctly
positioned, but elevated features may be displaced outward
from the center of the photographs used to create the ortho-
photography. When a tall building, for example, appears near
the center of a photograph, the orthophoto produced from
that image may look like a "true orthophoto" without build-
ing lean; only the roof is seen. But if that same tall building
appears near the edge of a 9 x 9-inch aerial photo, the side of
the building is photographed and the roof is displaced out-
ward from the center of the photograph and is not located
directly above the building's foundation.
There are several different technical procedures for pro-
ducing digital orthophotos, but the three points most critical
for land development engineers and surveyors to understand
are the following:
1. Digital orthophotos are relatively inexpensive and
are widely considered to be ideal as the base map
for overlay of CAD and/or GIS vectors, points, and
polygons developed by land development engineers
and surveyors.
2. Digital orthophotos contain no elevation data. They
consist of image pixels with x and y coordinates only
(no z values).

3. Digital orthophotos are orthographically correct
only for features at ground level, whereas elevated
features (tops of towers, tall trees, utility poles,
rooftops) are displaced outward from the centers
of the digital orthophotos, as demonstrated by the
orthophoto mosaic at Figure 5.2K. Building lean
is reduced by flying from higher altitudes using
cameras with longer focal lengths and narrow-angle
lenses; however, even satellite images show lean in
the Washington Monument, for example.
The three photos in Figure 5.2K were taken with a conven-
tional aerial mapping camera. All features at the ground
level are correctly positioned, but elevated features (e.g.,
towers, rooftops) are displaced outward from the centers
of the individual photographs used to create the larger
image mosaic. Near the southeast corner of this ortho-
photo mosaic, the Washington Monument is shown with
its dark shadow pointing to the northwest, indicating that
the photo was taken in the morning sometime around
10:30 a.m. The top of the monument is displaced to the
southwest, whereas the monument base and ground fea-
tures are correctly geopositioned. The center of the 9" x 9"
photo that included the Washington Monument is located
somewhere to the north-northeast of the monument itself,
as opposed to the center of this image mosaic which is
northwest of the monument.
Digital orthophotos are produced by digitizing imag-
ery, performing aerial triangulation so as to determine the
x, y, z coordinates of the perspective center of each image
as well as its roll, pitch, and yaw, and then projecting each
FIG uRE 5. 2 K This is a mosaic of three digital orthophoto tiles of the National Mall in Washington D.C.
5.2 ■ EXISTING CONDITIONS AND FIELD SURVEY 407
correctly oriented digital image over a digital terrain
model (DTM) of the terrain. The DTM normally includes
breaklines for the top edges of bridges so that bridges are
not distorted on the imagery. In mosaicing multiple ortho-
images together, care is taken to ensure that seamlines are
as invisible as possible and to balance the radiometry of
images so they appear to be continuous, as in Figure 5.2K
where the three orthophoto tiles were produced from 16
different photos. However, seamlines in water are nor-
mally obvious because of differences in sun glint at the
western edge of one image where it abuts the eastern edge
of an adjoining image.
Oblique Aerial Imagery. Oblique aerial imagery is deliber-
ately acquired to look down at the terrain from an angle (as
though looking out the window of an airliner) rather than
looking straight down for mapping purposes. Several com-
peting commercial firms specialize in oblique imagery, and
they normally fly with multiple cameras, each taking pho-
tographs at set intervals of time and for which the positions
(x, y, and z coordinates) and orientations (roll, pitch, and
yaw) are recorded for direct georeferencing of each image.
If four cameras are used, they are oriented obliquely looking
northward, southward, eastward, and westward. Some have
a fifth camera looking downward.
There are more aerial cameras used today in the
United States for taking oblique imagery than there are aerial
mapping cameras in use for taking vertical aerial photos.
The reason for this is the relatively low cost and increased
interpretability of oblique imagery that make them popular
for public safety applications, tax assessments, and dozens of
other applications.
4oa i@UH¥I F@Hi4Mii
FIG uRE 5 . 2 L Orthophoto of a building in Los Angeles.
Figure 5.2L shows an orthophoto of a building in
Los Angeles, and Figure 5.2M shows an oblique image
of the same building. These images were produced by the
Los Angeles Region Imagery Acquisition Consortium
(LAR-IAC) for which Dewberry performed independent
accuracy and quality assessments. Note the improved ability
to see and understand what the building really looks like from
the oblique view. From the orthophoto alone (Figure 5.2L),
the rooftop of this tall building could have been misinter-
preted as many different things, including a park, a parking
garage, or a short building. The oblique image (Figure 5.2M)
allows the number of stories to be counted. The oblique
image would have significantly more value to a fire depart-
ment responding to an emergency at this address, or to a tax
appraiser needing to assess taxes.
Figures 5.2N and 5.20 show the value of oblique aerial
imagery for post-disaster damage assessment following
Hurricane Katrina. Those communities that have acquired
oblique aerial imagery are much better prepared to perform
accurate and rapid post-disaster damage assessments by
comparing pre-disaster images (see Figure 5.2N) with post-
disaster images (see Figure 5.20). It is important to note that
reasonably accurate horizontal and vertical measurements
can be made on such oblique imagery. In this example, insur-
ance claims were much better documented for rapid process-
ing and approval of payments.
Photogrammetry Considerations
• Photogrammetry is proven, mature, and well
understood; results are consistent, predictable, and
verifiable.
• Stereo imagery is reused for multiple applications,
that is, production of digital orthophotos, planimet-
ric mapping, and all forms of topographic mapping.
Imagery can always be used to correct errors of com-
mission and omission at a later time.
• Steps such as editing and finishing can always rely
upon a stereomodel to resolve discrepancies and
correct errors to the highest accuracy the system
provides.
 5.2 ■ EXISTING CONDITIONS AND FIELD SURVEY 409

FIGURE 5.2M Oblique aerial image of the same building.

FIGURE 5.2N Pre-Katrina image. (Courtesy of Pictometry.) FIGURE 5.20 Post-Katrina image. (Courtesy of Pictometry.)
410 i@UH¥I F@Hi4Mii
• Digital imagery is commonly used for quality control
and to validate data from LiDAR and other sources.
• Using stereo photogrammetry, humans manu-
ally compile breaklines and contours so that con -
tours cross roads and streams in a manner to help
humans to interpret the topography. Such contours
are of cartographic quality and aesthetically pleas-
ing, often preferred over engineering contours pro-
duced by automated techniques that are irregular
and difficult to interpret.
• Using stereo photogrammetry, humans manually
compile planimetric features in 2D or topographic
features in 3D that are very accurate.
• The positional accuracy of digital orthophotos
depends upon the quality of the aerial triangulation
process and the quality of the digital terrain model
(DTM) over which the imagery is orthorectified.
Digital orthophotos have become the preferred base
maps for all forms of geospatial data.
• When automated image correlation is used for
generation of a digital elevation model (DEM), the
resulting surface is a digital surface model (DSM)
LiDAR emits thousands of laser pulses per second to
accurately map features in three dimensions. Airborne
LiDAR uses the same basic technology that is used with ter-
restrial laser scanners on the ground. Both technologies are
explained in detail in "Digital Elevation Model Technolo-
gies and Applications: The DEM Users Manual;' published
in 2007 by the American Society for Photogrammetry and
Remote Sensing (ASPRS).
Airborne LiDAR sensors emit up to 150,000 laser pulses
per second in some form of scanning array as shown at
Figure 5.2P. Airborne GPS allows the x, y, z coordinates of the
sensor to be known continuously. The inertial navigation sys-
tem (NS) inertial measuring unit (IMU) allows the roll, pitch,
and yaw of the sensor to be known continuously. The LiDAR
sensor itself measures the laser scan angles and the times it
takes each laser pulse to travel to the ground and reflect back
to the sensor. The LiDAR "point cloud" data are postprocessed
to classify each return as bare earth, water, vegetation, build-
ings, or other categories in a special laser (.LAS) file format.
The most common scanning array goes back and forth
sideways, relative to the direction of flight, providing a zigzag
GPS
Satellne

rather than a DTM. It takes a human compiler

to compile photogrammetric mass points on the
z
ground only.
• Softcopy photogrammetry is ideal for compilation, x ~ GPS
superimposition, and display of 3D features on top
of base map imagery (digital orthophotos).
• Softcopy photogrammetry is also ideal for cut and
fill calculations and for topographic modeling of
future conditions (postconstruction).
• Photogrammetric mapping is commonly used in
land development design and planning to include
mapping of current and future conditions. Mapping
files are routinely produced in CAD format, or virtu-
ally any GIS format preferred. Architectural drawings
can be merged to depict future conditions in 3D and
for "fly through'' of a proposed development.

LiDAR (Remote Sensing). Remote sensing, or LiDAR

(Light Detection and Ranging), may be used to supplement
survey of surface features (topography, roads, buildings,
etc.), but a field survey will be required for subsurface fea-
tures. LiDAR may be collected from aerial, vehicles, or field
systems. The remote sensing techniques are beneficial when
collecting data in areas that are difficult to access, such as
active highways. The vertical information collected from
LiDAR scans can also benefit the design team when evaluat-
ing existing building conditions or other vertical features like
utility poles, overhead power, and vegetation. Additionally, FIG uRE 5. 2 P LiDAR sensors survey up to 150,000 points per
many scanning techniques can pick up enough detail to read second, collecting high-density, high-accuracy elevation points-often
traffic signage and pavement markings. several elevation points per square meter.
 5.2 ■ EXISTING CONDITIONS AND FIELD SURVEY 411

pattern of points measured on the ground. The scan angle,
flying height, and pulse repetition rate determine the nomi-
nal point spacing in the cross-flight direction, whereas the
scan rate, flying height, and the airspeed determine the nom-
inal point spacing in the in-flight direction. Each laser pulse
has a pulse width (typically about 1 meter in diameter) and a
pulse length (equivalent to the short time lapse between the
time the laser pulse was turned on and off again); therefore,
each laser pulse actually is like a cylinder oflight with diam-
eter and length. Each laser pulse may have multiple returns
from features "hit" at different elevations, creating a "point
cloud" of elevation points including both treetop and rooftop
elevations, as well as elevations of bare-earth mass points.
Several technologies must operate correctly in order to
survey high-accuracy data points:
• Airborne GPS is needed to determine the x, y, z
coordinates of the moving sensor in the air, surveyed
relative to one or more differential GPS base stations.
This establishes the origin of each of the thousands
oflaser pulses emitted each second.
• The inertial measurement unit (IMU) directly mea-
sures the roll, pitch, and heading of the aircraft,
establishing the angular orientation of the sensor
about the x, y, and z axis in flight.
absorbed by the water so there are no returns; however,
sometimes there are returns from water, but those eleva-
tions cannot be trusted. No LiDAR returns are ever thrown
away, but LiDAR returns over water are classified in a water
category so they are not confused with elevations that clearly
represent terrain elevations.
When the primary objective is to use LiDAR data for
mapping the bare-earth DTM, then LiDAR data are acquired
during leaf-off conditions so as to better penetrate vegeta-
tion. Whereas photogrammetry requires two (stereo) views
of the bare earth terrain from two different perspectives
(a major disadvantage in vegetated terrain), LiDAR needs
only a single pulse to penetrate between trees and/or to pen-
etrate through vegetation that does not totally block light
from above (a major advantage).
Post processing of LiDAR data is now largely automated,
although manual editing is still required for quality control. The
primary function of post processing is to classify each LiDAR
return into one .LAS category, that is, a LiDAR data file format
established by the American Society for Photogrammetry and
Remote Sensing (ASPRS) for classification of massive LiDAR
point cloud datasets. As of 2018, the LAS classifications were
as follows:
• Class 0: Created, never classified

• The LiDAR sensor itself measures the scan angle • Class 1: Unclassified
of the laser pulses. Combined with IMU data, this • Class 2: Ground
establishes the angular orientation of each of the
thousands of pulses emitted each second. • Class 3: Low vegetation

• The LiDAR sensor also measures the time neces- • Class 4: Medium vegetation
sary for each emitted pulse to reflect off the ground • Class 5: High vegetation
(or features thereon) and return to the sensor. Time
translates into distance measured between the air- • Class 6: Buildings
craft and the point being surveyed. • Class 7: Noise
LiDAR sensors are capable of receiving multiple returns, • Class 8: Model key-point (mass point after
up to five returns per pulse. For a sensor emitting 150,000 thinning)
pulses per second, this means that the sensor must be capa-
• Class 9: Water
ble of recording up to 150,000 x 5 = 750,000 returns per
second while in flight. The "first return" is the top reflective • Class 10: Rail
surface, that is, the first thing hit by a single laser pulse; this
• Class 11: Road surface
could be a treetop, rooftop, ground point, or a bird in flight.
When a laser pulse hits a soft target (e.g., tree or field of • Class 12: Overlap/reserved
weeds), the first return represents the top or canopy of that
• Class 13: Wire-guard
feature. A portion of the laser light beam continues down-
ward below the canopy and hits a tree branch, for example; • Class 14: Wire-conductor
this would provide a second return. Theoretically, the last
• Class 15: Transmission tower
return represents the bare earth terrain; but this is often
not the case. Some vegetation is so thick that no portion of • Class 16: Wire-connector
the laser pulse penetrates to the ground. This is surely the
• Class 17: Bridge deck
case with sawgrass, mangrove, and dense forests where the
canopy is so thick that a person on the ground cannot see • Class 18: High noise
the sky above.
• Class 19-63: Reserved for ASPRS definition
A limitation of topographic LiDAR is that it normally
does not penetrate water. In most cases, LiDAR pulses are • Class 64-255: User definable
412 i@UH¥I F@Hi4Mii
LiDAR sensors are mounted in both fixed wing aircraft
and helicopters. Fixed wing aircraft are used for larger project
areas; flight lines are straight and parallel, with occasional cross
flights. Helicopters are used for small project areas, including
narrow corridors that meander. In addition to mapping the
terrain (as well as forest canopy for some applications), LiDAR
is excellent for mapping and computing the volumes of stock-
piles, or for determining changes to the terrain as a result of
strip mining or construction activities, for example. Because
of the cost of deploying a LiDAR sensor on site, there is nor-
mally a fixed cost involved even if all data can be acquired in a
single day. Thus, for topographic mapping of a small construc-
tion site for example, it is normally more cost effective to use
photogrammetric mapping-so long as dense vegetation does
not disallow the use of stereo photogrammetry for mapping
the floor of a forest, for example.
LiDAR data also includes intensity imagery that looks (a)
similar to digital orthophotography but instead depicts the
brightness of each laser return. As indicated previously,
LiDAR returns on water are unreliable, and it is frequently
difficult to see the breakline at a shoreline. Whereas ortho-
photos may be used to generate 2D breaklines of shore-
lines (Figure 5.2Q), lidargrammetry is now largely used
to generate 3D breaklines from LiDAR intensity imagery.
Per the example at Figure 5.2R, 3D breaklines are required
for hydro-enforcement of streams to ensure that water
flows downstream in hydrologic and/or hydraulic models.
LiDAR "stereo mates" can be generated with base-height
ratios that provide vertical exaggeration; intensity image
stereo mates appear as though they are stereo photographs
for compilation of 3D breaklines and/or contours using the
very same softcopy photogrammetry tools used for compi-
lation from stereo photographs. Although lidargrammetry
is new, research has indicated that breaklines and contours (b)
produced from lidargrammetry are more accurate than
FIG uRE 5. 2 Q (a) LiDAR DTM does not clearly depict the shoreline
breaklines and contours produced from photogrammetry,
of the river; yet a digital orthophoto clearly shows such shorelines. (b) The
especially in terrain where vegetation obscures the stereo addition of 2D breaklines from digital orthophotos can be used to "burn in"
views required with photogrammetry. the water surface at elevations lower than the terrain.
The high-density, high-accuracy LiDAR mass points can
be a mixed blessing. For example, they cause contours to
appear very noisy and irregular. To overcome this limitation,
• LiDAR is the technology of choice for generation of
it is common to delete LiDAR mass points on road pave-
digital topographic datasets with accuracies equiva-
ments between edges of pavement breaklines. Also, when
lent to 1 and 2 feet contours.
breaklines are generated for road edge of pavement, curbs,
bottoms of drainage ditches, tops and bottoms of stream • Whereas LiDAR had previously been considered
banks, and shorelines, for example, it is common to remove/ weak for generation of breaklines, lidargrammetry
reclassify LiDAR points within 1 to 2 feet of those breaklines has caused a paradigm shift in such thinking.
so that the advantages of clearly defined breaklines are not
• Tools are rapidly evolving for increased automa-
offset by noisy LiDAR data points nearby.
tion in the processing of LiDAR data, causing costs
LiDAR Considerations
to lower significantly since 2000. This technology
• LiDAR has an advantage over photogrammetry is evolving rapidly, and potential applications are
in generating accurate elevation datasets in dense limitless.
vegetation.
• Whereas automation causes costs to decrease,
• LiDAR is ideal for generation of high-density, high- cost competition and demands for rapid delivery
accuracy elevation datasets oflarge areas. of products causes deliverables from LiDAR (and
 5.2 ■ EXISTING CONDITIONS AND FIELD SURVEY 413

FIG uRE 5. 2 R (a) High points on the shore on both sides of the river make this TIN look as though water cannot flow
through this reach of the river. (b) The addition of 3D breaklines from either photogrammetry or lidargrammetry are used to hydro-
enforce the TIN so that water continuously flows downstream.

photogrammetry) to be largely unseen by human
eyes prior to delivery to the customer. This increases
the need for independent quality assurance/quality
control (QA/QC) to ensure that each client receives
the quality data that it pays for.
• Where possible, select the independent QA/QC
specialist and clearly define the acceptance crite-
ria before contracting with any vender to produce
LiDAR or photogrammetric mapping products.
5.2.6. Baseline Topography
A baseline topographic survey relates horizontal and verti-
cal data to a known reference line, that is, a baseline. This
method is particularly suited for long-line surveys, such as
roads, utility corridors, and streams. The baseline is sta-
tioned along its length. For each feature, the station and
the distance left or right of the baseline is noted, and an
elevation obtained.
The baseline can be the centerline of a road, an offset line,
a property line, or a traverse line, whichever is the most prac-
tical. The line is stationed in increments, such as 25 feet, with
a hub or nail set at each one. Elevations are then established
at each station.
Handwritten baseline field notes are unique in that
they begin at the bottom and run up the page. As shown
in Figure 5.2S, the notes are set up with the profile level
run on the left page and the cross section notes on the right
page. To accommodate the cross sections, plenty of space is
414 i@UH¥I F@Hi4Mii

! -

/ lt.50 ,

• + ~ i -- -·· ·---

: ~ey :Fzco~;zd £(et . -:~:=: :=:=

: ~ -- ,/f'ecl ,r~'2'0211_ __
,• = 0 /~f frq rn ,~ __ _:
1

,
. e - :t.oca'hon
.. .. :___ __ _

FIG uRE 5. 2 S Baseline field notes.

left between the profile stations. On the cross section page,
a line is struck from top to bottom to represent the baseline.
Each location is written to the right or to left of the line,
depending upon its location in the field. The data for each
shot consists of a station along the baseline, a rod shot, a
distance off the baseline, and an abbreviated description.
The distances with the descriptions are obtained first, and
the shots are marked with keel or flagging. When all the
horizontal measurements are complete, the leveling run
commences. With elevations established at each baseline
station, they can also be used for benchmarks. On pave-
ment, concrete, storm or sanitary structures the rod is read
to the nearest hundredth of a foot. On ground shots, the rod
is read to the nearest tenth of a foot. After the levels are run,
the rod shots are subtracted from the height of the instru-
ment (HI) and the elevations are written above the rod
shot. In the office, the math is checked, and the profile and
cross sections are plotted to the appropriate scale.
 5.2 ■ EXISTING CONDITIONS AND FIELD SURVEY 415

CA_WEST COAST LIDAR_2016

Location: Complete western shoreline of the United States
Client: USGS and NOAA
Completion Date: November 2016
Case Study: The 2015-2016 El Nino global weather event significantly altered ground conditions along the west coast
of the United States, to the point that the past topographical maps are out of date. Dewberry was selected by the U.S.
Geological Survey (USGS), in collaboration with the National Oceanic and Atmospheric Association (NOAA), and the
U.S. Army Corps of Engineers (USACE), to collect and process new high resolution elevation models, using LiDAR, for
the narrow corridor stretching along approximately 1700 miles of the coastline.
The clients entrusted Dewberry to supply a solution which fit their tight schedule and fixed budget. A unique helicopter
solution was used instead of our standard fixed-wing solution to ensure the least amount of flight lines in the shortest
amount of time to follow the rugged coastline at an altitude of3000 feet. The project was completed within a 6-week time
window and met all the project requirements which delighted the clients. The updated elevation models are now being
used in various environmental and ecological studies, including a landslide in California in May 2017 which destroyed
a large portion of the Pacific Coast Highway near Monterey, CA.
41& i@UH¥I F@Hi4Mii

BEAVER ISLANDS TOPOBATHY LIDAR

Location: Michigan
Client: National Oceanic & Atmospheric Administration
Completion Date: November 2016
Case Study: Dewberry acquired and processed 205 square miles of airborne topographic and bathymetric LiDAR data
and developed LiDAR-derived elevation products for the Beaver Islands Archipelago and South Manitou Island in
Upper Lake Michigan. These data will be used by NOA.A's Office of Coastal Management to enhance coastal forecasting
for inundation, seiches, and flooding and provide accurate digital elevation models for modeling, engineering, and plan-
ning needs. The LiDAR intensity data are being used for aquatic vegetation and habitat mapping to support the National
Park Service's inventory and monitoring program.
Dewberry and its partner Leading Edge Geomatics acquired the LiDAR data with a Leica AHAB Chiroptera II sensor
which was selected based on its excellent nearshore depth penetration. Initially, NOAA expected depths of20 feet, however
Dewberry was able to achieve depths of over 65 feet. The final data also exceeded the vertical accuracy requirements of
19.6 centimeters by achieving a final vertical accuracy of 8.1 centimeters at the 95 percent confidence level (RMSEz =
4.2 centimeters). Furthermore, Dewberry exceeded the 2 point per square meter density requirement by delivering a final
LIDAR point cloud of over 9.7 points per square meter. We delivered data to that was twice as accurate, achieved data
density of 500 percent more than what was stated in the SOW and delivered data at depths 3 times deeper than what was
required, and still completing the project under budget.

Beaver Islands Archipelago

Topobathy Lidar
National Oceanic & Atmospheric Administration I l ake Michigan
 CHAPTER 5.3
TRANSPORTATION DESIGN
5.3.1. Introduction
The final design of the streets follows prescribed geomet-
ric requirements for the horizontal, vertical, and inter-
section design. The design speed of a road will generally
be the governing factor on the geometric design (note that
the posted speed limit is sometimes lower by 5 mph than
the design speed of the road). Higher design speeds require
larger horizontal and vertical curves. Most road designs and
transportation improvements associated with land develop-
ment projects will follow design criteria for 30 mph or less
but could be higher when designing highway improvements
associated with the development (such as a new turn lane).
Internal vehicle paths, even if not formal roads, should fol-
low road design criteria to the extent possible.
The horizontal and vertical geometry should be con-
sidered together when designing the roadway. Even when
following the design requirements established by governing
agencies, it's possible to create unpleasant or dangerous road
networks based on abrupt or disjointed transitions between
horizontal and vertical curves. For instance, if a vehicle is
traveling up a hill, the line of sight is limited and an abrupt
horizontal curve on the other side can create a dangerous
condition (Figure 5.3A). Too many horizontal and vertical
curves connected in series, even when following minimum
design criteria, can create unpleasant driving conditions.
The designer should consider how a road will be used in
addition to the design speed and geometric requirements. The
design speed of a road establishes minimum values for hori-
zontal and vertical geometry. The minimum values should
likely be exceeded during design, but using values that are too
large can also create an undesirable condition. For instance, if
a low-speed neighborhood road is required to have a mini-
mum radius of200 feet, using a value of2000 feet can influ-
ence driver behavior and may promote speeding. Inherent
traffic calming can be accomplished by introducing curvi-
linear geometry with lower radii. As noted previously, this
geometry should also be considered against visibility and
safety.
5.3.2. Pavement Design
Pavement thickness is subject to prevailing soil conditions,
climate, vehicle design loadings, and type of pavement.
There are three basic types of pavement: flexible, rigid, and
composite (Figure 5.3B).
Flexible and composite pavements consist of two or more
of the following layers:
• Subgrade-the natural soil material where the upper
layers rest.
• Subbase-optional layer used to augment the
strength of the sub grade. It consists of a compacted
granular material that may be treated with admix-
tures to achieve certain strength characteristics
required in specific conditions. Additionally, the
subbase acts to reduce frost action or as a filter to
prevent intrusion of fine-grained roadbed soils into
the base course.
• Base course-constructed on top of the subbase or
subgrade. For flexible pavements, it consists of granu-
lar material such as crushed stone or gravel. The spec-
ifications for the flexible pavement base course are
more rigorous than those for the subbase in terms of
strength, hardness, gradation, and aggregate types. In
composite pavements, the base course consists of a
concrete base slab, typically unreinforced and placed
directly on the subgrade without a subbase course.
• Surface course-top course of the pavement sec-
tion consisting of a mixture of mineral aggregates
and asphaltic materials. The purpose of the sur-
face course is to provide a smooth riding surface,
resist the wear and tear from traffic, provide skid
417
410 i@UH¥I F@Hi4Mii
Horizontal and vertical curves should be considered together. Horizontal curves that occur along a vertical crest
can create an uncomfortable, disjointed, and dangerous co ndition.
FIG uRE 5. 3 A Issues in road design.
resistance to vehicles, and prevent excessive water
from penetrating into the base course. The surface
course may be further subdivided into binder and
top courses. The binder course typically consists of
an asphaltic mixture with a larger aggregate size for
additional strength, while the top course utilizes a
smaller aggregate mix to provide a smoother riding
surface.
Depending on the site conditions and the performance of
the subgrade, the reasonable range of thickness of the sub-
base is 6 to 8 inches. Base course thickness ranges from 3 to
6 inches for flexible pavements and 6 to 9 inches for compos-
ite pavements, while the surface course is 1 to 3 inches for
lower-category-type roads.
1■1
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
reinforced concrete, and continuously reinforced concrete.
Subbase depths under reasonable conditions may range from
4 to 8 inches, and the concrete thickness can range from 6 to
12 inches.
In addition to the aforementioned pavement types, which
are considered to be impervious surfaces (i.e., storm water will
run off rather than seep through), a porous pavement design
could be considered under certain circumstances. Porous
pavements may be constructed of either porous asphalt or
pervious concrete. In both cases, the finished pavement is

Seal Coat
Binder Course Surface Course
Prime Tack Coat
Natural Subgrade
a)
. .•
• design is usually developed in the early stages of design and
• • Portland;:-Ceme11t Concrete
.. C, .. "t> •
-=-=- =-=-=-=-=-=-= Base Course (Optional) .-=-=-=-=-=-=-
------------------- ------- ----
b)
FIG uRE 5.3B Typical pavement sections.
placed over an infiltration bed consisting of open-graded
gravel with a high percentage of voids. The advantages of
utilizing porous pavement include the following:
• Filtering of storm water runoff
• Fewer pipes/inlets need be constructed
• Better skid resistance (due to the open-graded nature
of the surface and the fact that water does not sit on
the pavement surface)
However, in order to be successfully implemented, care
must be taken in site selection and construction. Porous
pavements are not recommended in areas with poor geol-
ogy (i.e., high groundwater tables or low permeability
underlying soils); in areas that would be susceptible to a
high incidence of contaminant spills (such as a refueling
station); in high traffic areas; or in areas that might be
coated or paved over (such as private driveways). In addi-
tion, to maintain effectiveness, porous pavements should
be vacuum swept and/or power washed twice per year, and
sand or gravel should not be used for de-icing/traction in
cold weather climates. For these reasons, porous pavements
are most applicable for use in parking lots and low-volume
access roads.
Some local criteria may provide a range of alternative pave-
ment designs for local and residential streets that can be used
directly or modified, if necessary, to accommodate specific
5.3 ■ TRANSPORTATION DESIGN 419
site conditions. Not all pavement designs require all types of
pavement materials. For example, an intermediate course is
often included for strength during interim traffic conditions
(e.g., a subdivision has some homes built but some under
construction). The total thickness of pavement can vary but
is typically between 6 and 24 inches for site roads.
The composition of the layers is referred to as the pave-
ment section. The selected materials and thickness of the
materials are designed to accommodate the projected traffic
volume and type of traffic. The soil beneath the pavement
also has an influence on the pavement materials used for the
proposed roadway. A single project can include several dif-
ferent pavement sections for different uses such as parking,
driveways, roads, highways, dumpster pads, sidewalks, and
other transportation surfaces.
The pavement design can have a significant impact on
the infrastructure cost of the project. Even similar road types
may require different pavement sections, which could double
the cost of pavement between projects. The pavement design
should be specific to the project. An estimated pavement
refined once geotechnical studies have verified the soil con-
ditions of the site (usually during the construction phase).
Most jurisdictions will provide guidance on how to estimate
the pavement section during the design based on typical soil
conditions of the region and how to finalize the design dur-
ing construction.
Pavement Design Plan Content. A typical plan sheet for
pavement design will include the applicable conditions for
the pavement design, such as the vehicles per day, vehicle
distribution type (passenger, trucks, buses), and the geotech-
nical information. A section view of the road is often shown
with notes identifying the various pavement depths and sec-
tions of pavement.
5.3.3. Horizontal Alignment
The street layout is constrained by such things as topogra-
phy, needed connections to existing street networks, and
required access to adjacent land. The optimal layout of the
development must produce maximum development yield
(such as subdivision lots or retail areas) with consideration
for aesthetics and market attraction. Additionally, required
improvements to any existing streets may affect the proposed
street layout. These constraints factor into the horizontal
alignment of the proposed streets. The geometric consider-
ations of site roads can also be applied to internal transporta-
tion networks such as long driveways and parking areas.
Circular Curves. Horizontal alignment of streets and
roadways is critical in land development projects, espe-
cially subdivisions and town centers. For arterial streets and
highways, this alignment has an effect on design speed and
sight distance. The horizontal alignment is comprised of a
series of two basic types of geometric sections: straight tan-
gents and curves. The curve used on local streets is a simple
circular curve. This is a section of a circle having a constant
radius, as opposed to spiral curves, which are curves of
420 i@UH¥I F@Hi4Mii
Deflection Angle
(ti)
FIG uRE 5. 3 C Elements of a circular curve.
varying radius. Figure 5.3C shows the basic elements of the
circular curve that are important to street design.
Two tangents of different direction are joined together by
a circular arc of constant radius (R) at two points. The point
at which the tangent ends and the curve begins is labeled the
point of curvature (PC). The point at which the curve ends
and the next tangent begins is labeled the point of tangency
(PT). The tangents intersect at the PI, point of intersection.
The deflection angle (Ll) is the exterior angle formed between
the two tangents at the Pl. The angle formed by a tangent and
a line from the PC or PT to the curve center (CC) is always
precisely 90°. Any angle other than 90° produces a flaw in
the geometry and is not a true representation of the circle-
tangent relationship.
There are seven basic components of the circular curve.
Two have been identified: radius (R) and deflection angle
(Ll). The remaining components are as follows:
Length of curve (L) is the arc length from PC to PT.
L = '1(in radians) X R or L = ,1(in degrees) X ,rR
180
Tangent distance Tis the distance from the PC or PT to the
PI (both distances are equal).
T =Rtan( %)
Long chord C is the distance measured along a straight line
from the PC to PT.
C= 2R sin ( %)= 2T cos ( %)
External distance Eis the distance from the PI to the mid-
point on the curve.
(5.30)
Middle ordinate (MO) is the distance from the midpoint on
the curve to the midpoint on the long chord.
MO=R (1-cos (%)) (5.3E)
The length of arc of a simple curve bears the same proportion
to the circumference of a full circle of same radius as the cen-
tral angle subtended by the arc bears to 360°.
Simply stated,
A-8 D (5.3F)
2,rR 360°
The degree of curvature, like the radius, is a measure of the
sharpness of curvature. The degree of curve by arc definition
is the amount of central angle Ll subtended by 100 feet of arc
(Figure 5.3D). Letting the arc distance A - B = 100 feet in
Equation (5.3G) defines the degree of curve Das
D= 5729.58 (5.3G)
R
As an example, a curve with a 1637-foot radius is equivalent
to a 3½ 0 curve (i.e., 5729.58/1637). A smaller 572.96-foot
radius would require a 10° angle to create a 100-foot arc
length, that is, D = 10° (Figure 5.3E). Notice that according
to Equation (5.3H) and the preceding example, as the radius
decreases the degree of curve increases.
There are two things worth noting regarding degree of
curvature. First, the definition described previously is appli-
cable for streets and highways and is known as the "highway
definition:' (A separate definition based on a 100-foot chord
length instead of arc length defines degree of curve for
railroad curves and is known as the "railroad definition:')
Second, degree of curvature is restricted to English units of
100'
(5.3A)
B
(5.3B)
Cl.lrve Center
(5.3C)
FIG uRE 5. 3 D Degree of curve by arc definition.
 5.3 ■ TRANSPORTATION DESIGN 421

TAB LE 5 . 3 A Minimum Curve Radii Based on

Design Speed
DESIGN SPEED MINIMUM RADIUS

15 50
20 107
25 198
-
,..._ 30 333
,,,
CD

II
35 510
a::
40 762

computing elements of the compound curve with respect to

the nomenclature of Figure 5.3F.

~=~1 +~s
T. = Rs -R1 COS~+ (R1 -Rs) COS ~s
1 sin~
T. =R1 -RsCOS~-(R1 -Rs)COS~1 (5.3H)
s sin~
tan(~1J= Tssin~-Rs (1-cos~)
2 7;_ + Tscos~-Rssin~
tan(~sJ = R1(1-cos~)-7;_ sin~
2 R1sin~-T1cos~-Ts
SCALE (ft)
u, ,,,. I
0 100
FIG uRE 5 . 3 E Comparison of degree of curvature with radius.

measure. In the metric system of measurement, degree of

curve is not defined and not used.
The minimum radius of a horizontal curve (at the center-
line) is established by the design speed of a road as well as the
superelevation. A table of minimum curve radii is provided
in Table 5.3A for a normal crowned roadway, which is typical
for neighborhood and urban streets. Note that a road with
a normal crown (typical of subdivision and urban roads)
should be considered as a -2% superelevation. In practice,
the radius used in design is usually proposed with incre-
ments of 10 or 25 feet. For example, if the minimum radius is
132 feet, a radius of 140 or 150 feet may be proposed.
Compound Curves. The connection of simple curves of
different radii in series with the centers 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 cur-
vature, PCC. As shown in Figure 5.3F, the two curve cen-
ters and the PCC are collinear. In a compound curve, there
are three pairs of tangents: the tangents, t1 and t2, associated
with each individual curve, and the long tangents, T, which
OL
includes both curves. Unlike the simple curve, the long tan-
gents may not be equal. The following equations are used in FIG uRE 5 .3 F Elements of a compound curve.
422 i@UH¥I F@Hi4Mii
Compound curves are typically used near at-grade inter-
sections and to accommodate the desired street alignment,
especially in difficult topographic areas and in high-density
developments where the road alignment may be constrained
by other physical features. At the speeds encountered on
local streets, the effects of a sudden change in curvature at
the PCC may not be as pronounced as on high-speed high-
ways. To decrease rider discomfort through a compound
curve, the radii of the two curves should not differ consider- r
ably. The American Association of State Highway and Trans-
portation Officials (AASHTO) recommends that the ratio of
the two radii be less than 2:1 at intersections.
Reverse Curves. Two consecutive curves with centers
on opposite sides of the common tangent are known as a
reverse curve. These curves join at a common point of tan-
gency called the point of reverse curvature, PRC. To be
geometrically correct, the two curve centers and the PRC
must be collinear. Reverse curves are not recommended
on high-speed highways or roads where superelevation is
required. In such cases, it is desirable to insert a minimum r
tangent length of 100 feet between curves to allow for tran-
sition of superelevation between the curves. This is also a oc
safer design for the driver to negotiate the vehicle through Wv 2
the directional change. When installed with the tangent sec- gr
tion between curves, the result is two simple curves used
to change the direction of travel. Figure 5.3G shows a sche-
matic of a reverse curve.
Superelevation. Superelevation is the tilting or "banking"
of the roadway around a horizontal curve to counter the sinoc
outward centripetal forces on a vehicle as it travels along the
curve (Figure 5.3H). Superelevation is an important element FIG uRE 5 . 3 H Example of a superelevated roadway.
in the design of arterial streets and highways but is rarely a
design requirement for minor roads such as local streets and
collectors. The reason is that in its attempt to improve riding non-superelevated pavement is not significant. However,
comfort, superelevation promotes speeding and hence can others might argue that superelevation is needed on low-
be a safety liability on residential streets. At design speeds speed streets for the safety of the vehicle and occupants.
of 25 mph and below, the reduction in riding comfort for Rather than superelevate the road beyond normal section
cross slopes, a compromise is to superelevate the road only
to the extent where the outside cross slope equals the cross
slope of the inside lanes at normal section. In practice this is
referred to as reverse crown. On some roads, such as major
collectors and minor arterials, superelevation is a require-
ment and the design must conform to the applicable criteria.
For more detailed information regarding superelevation,
refer to AASHTO's A Policy on Geometric Design of Highways
and Streets.
Stopping Sight Distance. Roadway design should ensure
that both the horizontal and vertical alignments of the road-
way provide adequate lines of sight for drivers. These lines
of sight and associated sight distances should provide driv-
ers with the lengths required to see, stop, and/ or maneuver
their vehicles with enough time to avoid striking objects, dis-
abled vehicles, and even pedestrians in the travel lanes. As
Pl 2
can be expected, pavement conditions, speed, fixed objects
on the side of the road, horizontal curvature, gradients,
FIG uRE 5.3G Elements of a reverse curve. sag, or crest vertical curve conditions all influence stopping

sight distances (SSDs). On roads that may involve passing,
sight distance is also affected by the need for enough time to
maneuver back from the opposing travel lane.
Some types of sight distances to be considered during
roadway design are the following:
• SSD on horizontal curves
• SSD on crest vertical curves
• SSD on sag vertical curves
• Passing sight distance, not typically a component
with land development projects (see AASHTO
resources for information)
Note that SSD is different from intersection sight distance,
which was defined in Chapter 3.3. Intersection sight distance
focuses on the line of sight from a vehicle that is maneuver-
ing an intersection (approaching, crossing, or turning). SSD
focuses on the driver in motion and the ability see far enough
along the road to stop.
In residential and urban areas, there is a tendency for a
high density of pedestrians and numerous unmarked loca-
tions where road crossings occur. Such common situations
emphasize the need for adequate SSD. Assessing adequate
SSD is further complicated by on-street parking as well as
__ ... ··· ·····~:~···-
. -~<·- - ~L-------------------~---~
1/ • .,,
•
FIG uRE 5 . 31 Sight distance along a horizontal curve. (.)
5.3 ■ TRANSPORTATION DESIGN 423
trees planted along the side and median of the road-all
site features should be considered when determining if
adequate SSD is available. Other factors impacting sight
distance include barriers to the line of sight such as ground
slopes, signs, buildings, and vertical grades in combination
with horizontal curves.
Sight Distance on Horizontal Curves. SSD for a horizontal
curve is the chord length of the centerline of the inside lane of
the pavement with the stopping distance measured along the
arc length of the curve. This is the actual distance the vehicle
travels during the reaction and stopping time. Figure 5.3I
illustrates the location of the sight distance line and the stop-
ping distance. The relationship between the middle ordinate
distance, stopping distance, and the curvature is obtained
from Equations (5.3E) and (5.3F).
(5.31)
where HSO is the horizontal sight line offset (feet), S is the
stopping distance (feet), and R is the curve radius (feet). One
must recognize that Figure 5.3I shows how to determine
adequate sight distance in the horizontal plane. Vertical
alignment of the street is also a factor, and this method is
not applicable if the horizontal curve is near a vertical curve.
···- .....
~~~~-. . . . _
~
424 i@UH¥I F@Hi4Mii
Horizontal Design Plan Content. The site plan should show
the road alignment with stations. The alignment location
should be coordinated with a typical section to identify if the
alignment is at the centerline or a separate baseline (such as
edge of existing pavement). Geometric labels for the align-
ment should be identified, which often include horizontal
curve radii, length of tangents, and associated stations. The
bearing and distance of each geometric element should be
shown to adequately describe the proposed design; the start-
ing or ending point may be noted with a northing and easting.
In some cases, it's helpful to provide a sheet with all relevant
road geometry across the entire project at a larger scale.
5.3.4. Vertical Design
Ideally, the vertical geometry of a roadway will try to fol-
low existing topography to reduce the earthwork required to
construct the roadway; however, in many cases the geometry
is established by access requirements throughout the site.
CREST VERTICAL CURVES
,. /
....
TYPEl
SAG VERTICAL CURVES
... ....
,. ,.
'
' ,.
TYPE 3
G, and G2 = Tangent Grades in Percent
A = Algebraic Difference in Grade
L = Length of Vertical Curve
E = Vertical Offset at the VPI
FIG uRE 5. 3 J Various types of vertical curves.
The profile of the roadway follows geometric requirements
that are established by the design speed of the roadway.
Vertical Curves. The vertical profile of streets is accom-
plished by connecting straight tangent sections with para-
bolic curves (rather than circular curves used in horizontal
geometry). Parabolic curves allow the street alignment to
better adapt to the topography while providing a constant
rate of grade change for a smooth, safe, and aesthetically
pleasing design. In all but very rare, unusual cases, street
design uses equal tangent vertical curves, called symmetrical
vertical curves.
Figure 5.3J shows four types of vertical curves possible
with different combinations of positive and negative grades.
Crest vertical curves have entrance grades algebraically
greater than the exit grades, while in sag vertical curves the
exit grades are algebraically greater than the entrance grades.
Figure 5.3J shows crest vertical curves at the top and sag ver-
tical curves below.
,,
, -- ,..
-,
TYPE 2
,.
TYPE 4
VPC = Vertical Point of Curvature
VPT = Vertical Point of Tangent
K = LIA
 5.3 ■ TRANSPORTATION DESIGN 425

V2

>
w
N
X
...J
w <l;;l

X
-
Cl MO
PVC
ELEV. PVC
X
~ 91
y 1

STATION
FIG uRE 5. 3 K Schematic diagram for symmetrical vertical curve.

A vertical curve consists of two straight tangent segments

E=MO=AL (5.3K)
with grades designated as g1 and g2, and the connecting verti- 8
cal curve (Figure 5.3K). The curve is tangent to the straight
segments at the PVC (point of vertical curvature) and PVT The relationship between the tangent offset d at any point
(point of vertical tangency). The tangents intersect at the on the vertical curve and the external is given as
point of vertical intersection, PVI. The length of the vertical
curve is the horizontal distance between the PVC and PVT. It
is not measured along the curve itself. For symmetrical verti-
d= 2(~(
2 L x
2 )) =f (_!__)
L/2
2
(5.3L)

cal curves, the horizontal distances from the PVC to PVI and
PVI to PVT are equal.
The general equation for any vertical curve is
Y=2(g
2
2 -g 1) x 2 +g x+PVC
L , Elev
(5.3J)
where y is the elevation of the point on the vertical curve
located at a horizontal distance x away from the PVC. Fre-
quently in highway design manuals the algebraic difference
of grades, g2 - g1> is designated as A.
Figure 5.3K shows the application of the mathematical
terms. The first term, the tangent offset = Ax2 /2L, represents
the vertical distance from the point on the curve to the tan-
gent represented by g1 • The g1x term is the vertical distance
between the point on the tangent and the PVC, and the sum-
mation g1x + PVCElev gives the tangent elevation.
The center of the parabola is midway between the ver-
tex, that is, PVI, and the long chord. The middle ordinate
(MO), the vertical distance from the long chord to the curve,
is equal to the external E, the vertical distance from the curve
to the PVI, and is given as
If x is the distance measured from the PVC, d is the
vertical distance measured from the connecting tangent.
On the other hand, if x is measured from the PVT, d is the
distance measured from the tangent connecting the PVT.
Note that the offsets from the two tangents are symmetrical
with respect to the PVI.
The distance from the PVC to the high point of a crest
curve (or low point of a sag curve) is
(5.3M)
Substituting this value into Equation (5.3J) sets the eleva-
tion at the high or low point. Equation (5.3M) shows that for
types I and III curves, if g1 =g2 the high/low point location is
in the middle of the curve, and if g1 '# g 2 the high/low point is
located on the side of the PVI with the flatter grade.
Sight Distance on Crest Vertical Curves. Design of crest
vertical curves includes the provision for safe stopping dis-
tances, rider comfort, and general appearance. However,
in nearly all cases, SSD is the controlling factor. The safe
42& i@UH¥I F@Hi4Mii

Height
_,....-"",...- - - - t - Of
:.....;.---=-----L---=:!.:--=:~ --4- Object
l-leight
Of -l---Ct~~
Eye

Stopping Sight Distance

(S)

Length of Vertical Curve

(l)

Stopping Sight Distance for S<L

FIG uRE 5 . 3 L Stopping sight distance when S < L.

stopping distance requires a minimum length of curve fitted Case II (shown in Figure 5.3M) occurs when the
to the given tangents and design speed. The greater the required sight distance is greater than the length of the
algebraic difference in grade between the tangents, the longer vertical curve, that is, S > L:
the vertical curve must be to provide adequate sight distance.
Two cases exist with regard to sight distance and the CASE II: Where S > L:
length of a vertical curve:
L= 2S _ 200 (,./fi;+Jfi;.)2 (5.30)
Case I exists where the required sight distance S is less A
1329
than the length of the vertical curve L, as shown in L= 2S - -A- (for H, = 3.5 ft, H2 = 0.5 ft)
Figure 5.3L. The applicable equation is

where L = length of the vertical curve

CASE I: Where S < L:
S = sight distance (ft)
AS 2 (5.3N) A= algebraic difference in grades where A= G, - G2 (grades
L=-----~
200 ($, + -Jij";_) 2 are given in percent)
AS 2 H, = height of eye and H2 = height of object (AASHTO recom-
L = --(for H, = 3.5 ft, H2 = 2.0 ft)
2158 mends H1 = 3.5 ft and H2 = 0.5 ft)

l-leight
Of
Eye

Length of Vertical Curve

(L)
Stopping Sight Distance
(S)

Stopping Sight Distance For S>L

FIG uRE 5 . 3M Stopping sight distance when S > L.

 5.3 ■ TRANSPORTATION DESIGN 427

Finding a minimum curve length given g" g2 , and the design
speed requires knowing the SSD obtained from
v2
SSD =1.4 7tV + 30(f (5.3P)
where SSD = stopping sight distance (ft)
t= reaction time (s)
V= initial travel speed (mph)
f = coefficient of friction between ties and road
G= longitudinal street slope (ft/ft)
Assume either the S < L or S > L case and use the appro-
priate equation [Equation (5.3N) or (5.30) according to the
assumption] to find curve length L. If the computed curve
length is contrary to the assumed condition, use the other
equation to recalculate the correct length.
A frequently used parameter for relating SSDs to the length
of a vertical curve is the ratio of the length of curve to the alge-
braic difference in tangent grades, K =LIA.Parameter K is a
measure of curvature in that the ratio represents the horizon-
tal distance required to generate a 1% change in grade and A
is the algebraic difference of the tangent grades in percent (%) .
In lieu of using the equations to determine the minimum
length of vertical curve, AASHTO provides K values for
various design speeds. These K values can then be used to
determine the minimum length of vertical curve required
for the given conditions. K values are derived from
Equation (5.3N), which can be written as L = KA where
K = S2/2158. Table 5.3B shows design K values (values are
rounded up to depict design values).
Most design standards maintain absolute minimum dis-
tances for the length of a vertical curve when S is greater
than L. For local and collector streets this minimum may
typically be between 50 and 200 feet. Local ordinances or
state highway criteria may require additional increases
in stopping distance based on development density, local
climatic conditions, and other experiences. The engineer
should check the local design criteria to determine the mini-
mum vertical curve requirements.
In addition to SSD on crest vertical curves, another type of
sight distance is passing sight distance. In general, passing sight
distance is required only for two-lane arterial streets and high-
ways. Sometimes it is more economical to create no-passing
zones near crest vertical curves, with proper signing and strip-
ing, to keep costs manageable. For more detailed information
regarding passing sight distance, refer to AASHTO's A Policy
on Geometric Design of Highways and Streets.
Sight Distance on Sag Vertical Curves. Factors control-
ling the lengths of sag vertical curves include sight distance
related to vehicle headlights. Equations for determining
sag vertical curve lengths for minimum sight distances are
based on the illuminated area from the average car head-
light beam. The headlight beam is assumed to be 2 feet high
and directed 1° upward from the longitudinal axis of the
vehicle. Equations (5.3Q) and (5.3R) are for use on sag ver-
tical curves.
AS 2
L=---- (5.3Q)
400+3.5S
When S< L.
L= 2S- 400+3.5S (5.3R)
A
When S>L.
For convenience, Table 5.3C shows design K values
(values are rounded up to depict design values). These are
notably different than crest vertical curve K values because
the controlling factor is headlight distance.
On sag curves drainage is a more critical factor than for
crest vertical curves. AASHTO guidelines suggest providing
a minimum grade of 0.3% within 50 feet of the low point to
ensure adequate drainage. This corresponds to a preferred

TABLE 5. 3 B Crest Vertical Curve KValue TABLE 5. 3 C Sag Vertical Curve KValue
SPEED MINIMUM K VALUE (CREST) SPEED MINIMUM K VALUE (SAG)

15 3 15 10
20 7 20 17
25 12 25 26
30 19 30 37
35 29 35 49
40 44 40 64
45 61 45 79
50 84 50 96
420 i@UH¥I F@Hi4Mii
maximum K value of 167. Sag vertical curves with K values
of 167 and greater are an indication that the curve may be
too flat in the sump area to properly drain. This can create
safety and drainage problems, especially on curbed streets.
The 167 value is not a maximum, but rather a guide indicat-
ing that attention to grade and drainage is warranted.
Profiles at Intersections. At the intersection of multiple
streets, the vertical geometry of the roads should be carefully
evaluated. If the grade of a road is steep as it crosses another
road (with a normal crown), it can influence the geometry of
the crossing road. Ideally, the grade of the roads at an inter-
section is minimized to avoid difficult intersection topog-
raphy. If one of the roads is determined to be the primary
roadway and the other is secondary roadway (e.g., a boule-
vard acts as the primary road to smaller roads that branch
off), the crown of the primary roadway may be held across
the intersection. This minimizes the change in vertical geom-
etry along the roadway with the most traffic volume. In other
cases, the crown can be matched between the two roadways
if there is no clear primary road. Figure 5.3N depicts both
crown condition options as holding a primary road crown or
merging the crowns of the two roadways.
The profiles of curb returns are often evaluated to deter-
mine the grade across the intersection and evaluate the
potential for low points (where stormwater may not be able
to drain). Accessible routes along a roadway can often be
compromised by intersection geometry. The sidewalk loca-
tion following the corner of an intersection has a shorter
distance than the road centerline, which may create grades
above the accessible 5% even if the roadway centerlines don't
exceed the accessible grade.
Proper alignment of street profiles at intersections pro-
vides a smooth transition through the intersection. The
profile requirements of the intersecting side street vary sig-
nificantly depending on the type of intersection control, that
is, whether the intersection is signalized or has a stop sign,
and, to a lesser extent, the design speed of the side street
and whether it's a three- or four-leg type of intersection. If
signalized, a portion of the traffic will arrive on the green
indication and continue through the intersection without
significantly slowing down. In this case, the design speed
through the intersection will affect the profile design. With
0 ,.. .... -~
., "'
-~:::•:~~
',,.
'•.
Primary Road Crown Maintained
FIG uRE 5. 3 N Intersection crown condition options.
stop sign conditions, the design speed is negligible for the
PGL design.
Ideally, the longitudinal approach grade of the inter-
secting street should be the same as the cross slope of the
through street. However, this is rarely accomplished, due to a
mismatch of the main roadway cross slope with the site and
design constraints that may impact the approach grade of the
side street. It is often necessary to provide smooth transition
between the PGL of the side street with the cross slope of
the through street. For practical considerations, there are
three basic methods in establishing the profile grade line
for the intersecting street, as illustrated in Figure 5.30. The
design standards for the review agency dictate the method, if
any, and the acceptable values permitted.
Figure 5.30(a) shows the transition as just a grade break,
that is, the algebraic difference of the grades. This method is
typically used for stop conditions and extremely slow speeds
through the intersection. This also includes the speeds of the
vehicles turning from the through street onto the side street.
An algebraic difference of about 4% to 5% may be permitted.
Higher values of the grade break have been used; however,
the bouncing effects of the car over the grade break could
cause riding discomfort and the underside of some vehicles
to scrape the pavement.
As shown in Figure 5.30(b), a short vertical curve of 50
to 100 feet provides a smoother transition when the grade
break becomes too large. For slow speeds through the inter-
section, the vertical curve sight distance as dictated by
Equations (5.3N) and (5.30) is negligible.
Figure 5.3O(c) provides the best way to connect the two
PGLs for the combined conditions of higher design speeds
of the side street, for signalized control, and for grades with
large algebraic differences. A section of nearly level roadway
at the side street provides a staging area for stopped vehicles,
improves sight distance, and allows the stopped vehicles to
begin their movement without drifting backward or having
to hold the brake pedal too stiffly to keep the vehicle from
rolling during the red indication. Additionally, this method,
with appropriate vertical curves, provides a smoother ride
through a four-leg intersection. Although not specifically
addressed in most design manuals, the length of the stag-
ing section should be based on intersection conditions, good
---
· ,,
Merged Crown Condition

<i
I ~~;1_:·-=·~
_9 - s • or
2-. - - j__
-g,
a) Grade break may be permitted for small values
af (g 1) and (g 2 ) and law design spuds
l
--~1
-g2=s.
ei1
-< I
l.so·-100·.I --_J_
or
vc I ferent sheets). The profile is often exaggerated for clarity,
b) Provide short vertical curve for maderat• values
af (g 1 ) and (g 2 ) and low design spHds
Ci.
I tions, driveways, or entrances. The stations of curb returns
c) Provide adequate vertical curve and staging length
for larg• values (g 1 ) and (g 2)
FIG uRE 5. 3 0 PGLfor connecting streets.
engineering judgment, and, possibly, stopping distance for
the design speed. Finally, note that as a minimum, the tan-
gent point of the vertical curve should be located outside the
edge of pavement (EP) of the through street.
Matching the PGL alignment becomes more difficult
when a superelevated through street must be matched to a
side street with a longitudinal slope in the opposite direc-
tion. Factors such as sight distance, design speed, tangent
gradients, intersection control, and other items must be con-
sidered to determine a safe and cost-effective design. Fre-
quently, a short vertical curve connecting the two opposing
slopes does not allow for sufficient sight distance or does not
provide a suitable landing area. Use of a longer vertical curve
may require extensive grading.
The situation becomes more complex for skewed inter-
sections, or if the intersecting street is on a curve that con -
nects to a through street in superelevation or transition. For
this reason, 90° intersections are strongly recommended to
reduce the design complications associated with these situa-
tions. Furthermore, review agencies are less receptive to such
irregular designs.
Another recurring problem in intersection design is
matching the curb returns, especially when the radius is very
large and the arc length is long. It is not uncommon for the
contractor to have to warp the pavement at the intersections
to match pavements and slopes. For the most part, a good
alignment design minimizes the amount of warping done in
the field to accommodate matching pavements.
5.3 ■ TRANSPORTATION DESIGN 429
It is good design practice in such situations to plot the
profiles of the curb returns. This helps in setting stakeout
grade for construction, ensures positive drainage around
the return, and permits a smooth continuous curb return.
Selecting a mathematical vertical curve to the curb return
profile is desirable, but for the cases where a true mathemati-
cal fit cannot be accomplished, the designer draws a smooth
curve using a parabolic shape. The best-fit curve is com-
monly known as a spline curve. The curb return elevations
should be shown on the plans.
Vertical Design Plan Content. The vertical design of a road
is shown in a profile, often with the relevant horizontal plan
view on the same sheet (but it may be published as two dif-
in many cases 5 or 10 times the normal vertical scale-this
means that the stations on the x axis are shown at 1 inch =
50 feet while the elevations are shown on a grid of 1 inch =
5 feet for an exaggerated view. The existing grade should be
shown for reference. The proposed vertical geometry should
be labeled with grades and vertical curve information (length
of curve, K values, elevation of high/low point, station of PVI).
The profile view often shows the stations of other intersec-
and the respective elevations are often shown to provide
information on transitions between different streets. The sta-
tions of medians, turn lane tapers, and turn lanes should be
provided. The labels for road features, such as curb returns
and medians, require a note about offset distance from the
alignment (centerline). This is usually designated as "L" or
"R'' based on left and right offsets, respectively. For example,
if the curb return is 15 feet from the centerline, the note may
include "STA 12+32, 15' (R) = CURB RETURN:'
In some cases, other utilities (such as water, sanitary, and
storm) are shown in a road profile. This is common when
the utility systems follow the same alignment of the roadway.
Because the road profile is usually shown at the centerline, the
utility systems are noted with elevations and offsets; for instance,
a waterline shown in a road profile may include a note that iden-
tifies the waterline is proposed 6 feet to the left of the centerline.
When a utility is offset from the centerline but shown in the
profile it is important to note that the proposed centerline grade
will not reflect the actual grade above the offset utility.
A reference for the existing and proposed grade is often
shown along the length of the profile at set intervals (25 or
50 feet). These elevations describe the vertical difference
between profiles.
Figure 5.3P depicts a sample plan and profile sheet. The
vertical road design content is depicted in the bottom of the
sample sheet shown in Figure 5.3P.
5.3.5. Traffic Calming Measures
Traffic calming refers to any number of measures used to
reduce the speed and/or volume of vehicles using a street
or roadway network. It is defined by the ITE (Institute of
Transportation Engineers) as "the combination of mainly
physical measures that reduce the negative effects of motor
vehicle use, alter driver behavior, and improve conditions for
430 i@UH¥I F@Hi4Mii
I Dewberry

____ .._ ___ __ _

ii~
"\.,

- - - -.,:-;;. ,. / - -,- - - =-
/
I . _,--
' ~ / ;;,=--
:...,
~=---;::
-:i..-:-~ ,._, ;_;.;;;..- -·-

',. . . ' '"""""''"""""'' '"""""''. 0 . . . . ' ' ' ' ' ' ' ' ' ' ' ' ' ' ' ' ' ' ' '"
~
-~ o i==_-o
·1 0 0 00
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---
Fi 1111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111~

1. Existing and proposed grade elevations shown at grid intervals

2. Profile grid e levations shown at right and left of grid
3. Stations shown along bottom of profile grid
4. Existing and proposed grade lines shown
S. Vertical profile geometry information shown from start to end of curves
6. Point of vertical intersection (PVI) symbol shown for curves
7. Longitudinal road slope shown
8. Utilities shown in profile when parallel to road alignment, or as requ ired

FIG uRE 5.3P Vertical road design plan content.

non-motorized street users" (Lockwood, 1997). A large
variety of measures is available for implementation, rang-
ing from speed humps and tables to street closures. Many of
these measures are intended for implementation on an exist-
ing street network to modify existing driver behavior, and are
frequently installed at the request of residents in response to
what is perceived as unduly high volumes or speeds through
a residential neighborhood. However, there are several mea-
sures which can be utilized in the design stage for a new sub-
division to prevent the unwanted driver behavior in without
the need for specific traffic calming devices.
Traffic calming measures are grouped into two primary
categories: volume control measures and speed control mea-
sures. Speed control measures are further subdivided into
vertical measures, horizontal measures, and narrowings. In
addition, one significant traffic calming measure is particu-
larly effective as both a volume and speed control measure-
the modern roundabout or community traffic circle.
Volume Control Measures. Volume control measures are
those intended to limit the amount of through traffic utiliz-
ing the streets in a community. More so than speed control
measures, most traditional volume control measures are
intended as "retrofit" solutions to disrupt travel through an
existing street grid. However, two of these measures do have
analogous designs that could be implemented in the design of
a grid pattern for new developments. The use of cul-de-sacs
achieves the same effect as full road closures, creating a dead
end, while loop roads are essentially equivalent to diagonal
 5.3 ■ TRANSPORTATION DESIGN 431

Horizontal Measures. There are several horizontal speed

control measures that can be easily and effectively imple-
mented in the design of a new subdivision or develop-
ment. These include chicanes, lateral shifts, intersection
alignment, road narrowing, and intersection bulb-outs or
neckdowns.
Chicanes involve the construction of a series of reverse
curves, as shown in Figure 5.3T. While these can be effec-
tive in restricting driver speed, care must be taken during the
design to prevent drivers from being able to take a straight
line through the curves. The offset between the curves
should be at least one full lane, and preferably the entire
roadway width. In addition, the deflection angles should be

FIG uRE 5 .3Q Median barrier. (©1999 Institute of Transportation

Engineers, NW.)

diverters, forcing drivers to circle back to the original street

they turned in from. In addition, the construction of median
barriers (Figure 5.3Q) through an intersection is an effective
method of restricting through traffic.
Speed Control Measures. Speed control measures are
those intended to reduce speeding through a neighborhood
by using physical forces to induce drivers to slow down (ver-
tical and horizontal measures) or by using a sense of confine-
ment to inhibit speeding (narrowings).
Vertical Measures. There are essentially three different
vertical traffic calming measures that are utilized to control
speeds. The two most common of these are the speed hump
and speed table (Figure 5.3R). These are areas of pavement
3 to 4 inches high and 12 (speed hump) or 22 feet (speed
table) long. While humps and tables are effective in reducing
speeds, there are concerns regarding their installation, par-
ticularly pertaining to emergency vehicle access; additional
noise due to vehicle acceleration, braking, and the jarring
effect, particularly of humps; and the potential for acci-
dents if a driver approaches the hump or table at too great
a speed and loses control of the vehicle. For these reasons,
----a--
these measures are not recommended for use in new street ,!ES
development.
The third vertical measure is the raised intersection,
where an entire intersection is raised several inches above
the elevation of the approaching streets, usually to the level
of the sidewalks at the corners (Figure 5.3S). Raised inter-
sections are effective at slowing traffic on all intersection
approaches, thereby making the intersection more pedes-
trian friendly, although their effect on midblock speeds is FIG uRE 5 . 3 R Speed hump and speed table. (©1999 Institute of
much less pronounced. Transportation Engineers, NW.)
432 i@UH¥I F@Hi4Mii
I Lateral shifts involve introducing a horizontal offset into
a straight alignment. Properly designed, lateral shifts can be
m: I
used not only on local roads but on collectors and arteri-
als as well. The degree of the lateral shift and the angle of
I the deflection are both factors that determine the degree
I of speed reduction obtained. As with chicanes, a lateral shift
I of at least one lane and a deflection of 45° are required. In
addition, the issue of drivers cutting across opposing traf-
fic lanes to circumvent the lateral shift can be a concern.
However, there are design measures to discourage such
---- - ---- behavior (see Figure 5.3U).
CJJ!J Realigned or modified intersections are an effective mea-
sure for controlling speeds along the through street of a "T"
intersection. In the realigned intersection, the intersection is
designed as more of a "Y" than a "T;' by introducing curved
sections that effectively eliminate the straight through move-
ment (Figure 5.3V).
Road narrowing and intersection bulb-outs or neckdowns
are speed control measures that both operate on the princi-
ple of reducing the width of pavement available to motorists.
A bulb-out involves extending the curb lines at the intersec-
tion into the parking lanes (Figure 5.3W). As a speed control
measure, bulb-outs are primarily effective on local streets
FIG uRE 5. 3 S Raised intersection. (©1999 Institute of where there is only one travel lane in each direction. How-
Transportation Engineers, NW.) ever, bulb-outs are also effective at enhancing pedestrian
safety, particularly on wider, multilane streets, as they reduce
the distance that must be traversed to cross the intersec-
at least 45° in order to be sufficient to induce lower speeds. tion. The addition of a median island can provide additional
Properly designed, chicanes can be one of the most effective pedestrian safety at wider intersections by providing a ref-
methods of speed control, as can be a continuous feature of uge, particularly at signalized intersections where the cycle
the roadway, eliminating the driver tendency to speed from length might make it difficult to complete the crossing before
one traffic calming measure to the next. the signal changes.

0
FIG uRE 5 . 3 T Chicanes. (©1999 Institute of Transportation FIG uRE 5 . 3 U Lateral shifts. (©1999 Institute of Transportation
Engineers, NW.) Engineers, NW.)
 5.3 ■ TRANSPORTATION DESIGN 433

slow turning movements by forcing vehicles to stay within

their own lane and not swing into opposing traffic, while
along curved roadway segments, the island prevents drivers
from attempting to "flatten the curve" by crossing the road-
way centerline. Curb extensions, meanwhile, are utilized
primarily on tangent roadway sections. Curb extensions
typically restrict the width of the travel lanes in each direc-
tion (sometimes in conjunction with a median island). While
in some areas curb extensions are designed to reduce a road-
way to single-lane operation, this implementation is gener-
ally discouraged in the United States due to the perceived
increased risk of head-on collisions.

FIG uRE 5. 3 V Realigned intersection. (©1999 Institute of

Transportation Engineers, NW.)

Other road narrowing measures include the construction

of median islands or curb extensions in the middle of the
block to "pinch'' the roadway width and induce motorists to
reduce their speed (Figure 5.3X). Median islands are particu-
larly effective near intersections and along curved roadway
segments. At an intersection, the median island serves to

I
I
I
l

m
- tit:tu. - - - - " - - _SEJI.._ _

l
,I
I

@i
I
FIG uRE 5 . 3 W Bulb-outs. (©1999 Institute of Transportation FIG uRE 5 . 3 X Median island and narrowings. (©1999 Institute of
Engineers, NW.) Transportation Engineers, NW.)
434 i@UH¥I F@Hi4Mii
5.3.6. Traffic Control Devices
Traffic control devices (TCDs), such as traffic signals, road-
way signs, and pavement markings, are used to regulate,
warn, and guide drivers. In theory, the rules for installing
TCDs are generally well defined and are explained in the
Manual of Uniform Traffic Control Devices (MUTCD); the
state laws and regulations; and local governing body (town,
county, etc.) rules, regulations, and statutes. In practice,
placing and maintaining TCDs requires diligence and good
management practices to emphasize public safety.
An effective TCD should meet four basic requirements
as follows:
1. Be warranted (based on traffic study, as introduced
in Chapter 4.1)
2. Command attention
3. Convey a clear, simple message
4. Be located to get the proper response from the driver
It is essential that intersection design be accomplished
simultaneously with the development of signal, signing, and
pavement marking plans to ensure that sufficient space is
provided for proper installation of TCDs. Additional right-
of-way, signal easements, or temporary construction ease-
ments may be required for the construction of new signals.
Additionally, new traffic signals often require work within
the pavement (installation ofloop detectors) or lane configu-
rations, which should be considered during design.
Many internal road networks, such as access roads
through a shopping center, may not be required to follow
national standards like the MUTCD, but consistency in
TCDs can promote safety within a site. The pavement mark-
ing and sign configurations in public roadways are familiar
to drivers, and using similar marking and signage is recom -
mended. Some developers may prefer custom sign styles
(different pole materials or road name font), but the stan-
dards should be followed when possible.
For further guidance on Pavement Markings and Striping,
in addition to the MUTCD, refer to NCHRP Report 356
"Pavement Markings-Design and Typical Layout Details:'
5.3. 7. Design Considerations
The road alignments should be initially established dur-
ing preliminary design efforts (Chapter 4), but refinement
may be necessary during final design. Detailed vertical
road geometry is not always considered during preliminary
design efforts and may influence the horizontal alignment
of the road. The following is a general procedure for street
layout.
1. Verify that the road alignment shown on the pre-
liminary plan meets the physical constraints of the
site, and that horizontal curves are appropriate based
on speed. The radius of the curves must comply with
the given criteria regarding curvature, design speed,
design vehicle, and street category.
2. Prepare a profile view of the existing topography of
the PGL for the road and include all vertical con-
straints such as culvert and utility crossings. With
a profile of the existing ground elevation, draw a
series of straight lines that represent the proposed
longitudinal grade of the street. The maximum and
minimum gradients selected should comply with
local requirements.
3. Select vertical curves to meet sight distance and
drainage constraints. Set the vertical curves on the
profiles using appropriate curve length with the
required vertical curve sight distance. Label the sta-
tions of the PVCs, PVTs, and high and low points.
Show the length of the vertical curve and the K value
(or SSD). General guidelines for establishing vertical
alignment include the following:
a. Avoid long lengths of steep grades.
b. Place steeper grades at the beginning of an ascent
followed by flatter grades at the peak.
c. Reduce gradients at intersections.
4. Determine and depict the right-of-way widths of
the streets as per local regulations based on the final
alignment.
5. Repeat as necessary to optimize the site layout, the
earthwork balances, and other constraints.
The horizontal and vertical geometry should be evaluated
simultaneously during the various design iterations. Con-
siderations for ensuring that the horizontal alignments are
compatible with the vertical alignment are as follows:
• Flatten profiles at intersections to allow for better vis-
ibility, starting, stopping, and turning movements.
• Avoid a series of short vertical curves that give a
rollercoaster effect regardless of the horizontal
alignment.
• Avoid a sag vertical curve at the beginning or end of
a sharp horizontal curve.
• Avoid short vertical curves through compound
curves.
• Avoid a sharp horizontal curve at the bottom of a
long grade (especially a steep grade).
• Avoid a crest vertical curve on a short tangent
between two horizontal curves.
• Avoid a sharp horizontal curve near the top of a crest
vertical curve.
Each site is unique, and all the above guidelines cannot
always be implemented. Compromises will have to be made,
and it is the design team's responsibility to devise a layout
that is safe, aesthetically attractive, and economically viable,
while optimizing land use.
 5.3 ■ TRANSPORTATION DESIGN 435

5.3.8. Typical Street Plan and Profile
The plan and profile of the road drawings (Figure 5.3Y) should
be at an appropriate scale. The PGL reference line (usually the
centerline of the street) shows the stationing at 100-foot incre-
ments. This same stationing is used both in the plan and profile
views. Station equalities at intersections are delineated in both
views along with the stations where the proposed roads meet
the existing roads or end at boundary limits. Many times this
same reference line and stationing are used to locate proposed
utilities, storm sewers, and other construction related features.
In the plan view, basic horizontal curve information
includes stationing of the PC and PT points, radius, arc
length, and delta angle. Tangent length, chord length, and
chord bearing are helpful but not necessary. The vertical
curve information in the profile views shows the tangent
grades and the stationing of the PVC, PVT, and PVI, with
elevations with respect to the PGL. If the road is superel-
evated, the profile should show where normal crown ends,
where the transition to superelevation begins and ends, and
the limits and rate of full superelevation.
Elevations along the PGL are shown on the profile view
every 50 feet along longitudinal tangents. Through vertical
curves the elevations are shown in shorter increments-every
25 feet in normal circumstances and less for short vertical
curves. In addition, elevations are frequently shown for the left
and right EP or for top of curb (TC). In complex situations,
elevations might be shown every 10 feet and at locations in
addition to the PGL, for example left and right EP or TC.
Many contractors construct the curb and gutter section
before placing the pavement. It is helpful to provide the TC
elevations and especially at all curb return points. The curb
return points are often referenced to the centerline stationing.
REFERENCE
Lockwood I. M., "ITE Traffic Calming Definition;' ITE Journal,
Vol. 67, July 1997, pp. 2224.

I Dewberry·

0 0
,I
J
I -
I
, I .E

0 '
IE
I •

r
!~
L

.I 0 -

1. Plan view showing horizontal road geometry with centerline stations

2. Existing and proposed grade elevations shown along top of profile grid
3. Profile grid elevations and stations shown
4. Vertical road geometry shown along proposed grade line
5. Station notes to identify PC/PT of curbs, intersection points, start/end
locations of tapers, changes in typical section, etc.

FIG uRE 5 . 3Y Typical street plan and profile.

43& i@UH¥I F@Hi4Mii

INDEPENDENCE PARKWAY STREET REHABILITATION

Location: Plano, Texas
Client: City of Plano
Completion Date: November 2017
Case Study: ARS Engineers developed the strategy and prepared the plans to rehabilitate 3.7 miles of major six-lane
divided thoroughfare in Plano, Texas. The street was constructed in sections between the mid-1970s and the early 1980s.
It began as a two-lane, two-way street that was widened incrementally to the six-lane street it is today. Increases in traffic
volume, heavier vehicles, and expansive soils contributed to significant cracking, faulting, heaving, and spalling of the
street and sidewalk pavement. The deterioration was significant; however, it was cost prohibitive to totally reconstruct
the street.
An evaluation was performed to chart cracked/broken/spalled concrete curbs, street pavement and sidewalk pavements.
Detailed plans and specifications were prepared to replace the deficient concrete, to resurface a portion of the street with
an ultrathin bonded hot-mix wearing course (UTBHMWC), and to replace the pavement markings.
UTBHMWC (original brand name Novachip®) is a relatively new technology (1990s) and was initially applied to
highways in the United States and more recently to major thoroughfares. The material is a polymerized asphalt with
¼- to ¾-inch-sized aggregrate, no fines. It is applied ¾ to ½ inch thick with a specialized spray machine. The spray
machine is larger than an asphalt lay-down machine, which makes it impractical for residential street applications. The
UTBHMWC has the following benefits over traditional hot-mix asphalt overlays:

• Improves skid resistance

• Does not pothole
• Provides a surperb sealant for cracks and joints
• Reduces over spray of water when it rains

The effective life of UTBHMWC can be expected to exceed 15 years as evidenced by application of the UTBHMWC on
many high volume highways and thoroughfares in the Dallas area since 2003 (Pioneer Parkway, Scyene Road, Midway
Road, Webb Chapel Road, President George Bush Tollway, Dallas North Tollway, and IH-35E).
 CHAPTER 5.4
GRADING
5.4.1. Introduction
The grading of a complex site can be challenging for the
designer, as there are no definite solutions. While some
computer optimization algorithms can analyze the site to
estimate the most economical grading solution it is not nec-
essarily the preferred solution. The aesthetics and character
of the site are often shaped by the topography and should be
considered when creating appropriate design for the project.
This chapter includes sections for residential grading consid-
erations as well as non-residential grading. Each project site
and developer will have unique grading requirements.
Detailed grading during final design should focus
on refinements to the grading strategy identified during
FIGURE 5.4A Exampleofa3Dmodel.
preliminary engineering; however, it's possible that during
final design the detailed grading identifies the need to revisit
the site layout. As the grading progresses, the development
team has more information to evaluate earthwork and infra-
structure costs, which may influence the site design. Some
grading work, such as lot grading for homes within a subdi-
vision, may not be investigated until later in the design phase.
As stormwater management systems are designed, such as
ponds or bioretention systems, the final size and shape may
require adjustments to the preliminary grading. Computer
models of the site, including 3D perspectives, can also influ-
ence the decision on how the site should be graded based on
aesthetics or visibility of buildings (Figure 5.4A).
437
43a i@UH¥I F@Hi4Mii
The strategy for developing a grading plan can vary based
on the designer and the project requirements. Many design-
ers prefer manual drafting of contour lines while others focus
on computer surface modeling. This chapter introduces sev-
eral considerations for site grading, but there is no standard
process for grading a site.
5.4.2. Grading for Residential Purposes
Consumer appeal for a subdivision or a particular house type
depends on numerous factors, one of which is appearance.
The layout of the lots and houses, the style and type of house,
as well as their spatial arrangement affect the overall appear-
ance of the development and combine to form its charac-
ter. The subdivision roads will often set the main grading
parameters of the development. The individual lot grading
is usually secondary to the subdivision roads, but equally
important and should be considered during the initial layout
of the subdivision.
Frequently, residential land development projects incor-
porate several different house types and styles within a simi-
lar price range. This practice accommodates the varying
needs and the aesthetic tastes of buyers. The various house
designs attract a wider range of consumers, thereby enhanc-
ing sales. Additionally, the variation of home styles can take
advantage of the varying topographical features of the lots.
This provides the developer flexibility in the layout of the
houses, which reduces some of the construction costs.
It is imperative that the engineer developing the grad-
ing plan know the house types available in a subdivision.
The engineer must also know the location and elevation of
entrances, windows, garages, decks, patios, and rooflines.
Each lot should be considered individually as well as collec-
tively to determine the optimal spatial arrangement of the
houses along the street and within the development. In many
suburban developments, the cost of land and the demand
for greater living space results in building larger houses on
smaller lots. The higher density produces a higher yield for
the developer, which in turn keeps housing costs down by
reducing infrastructure costs on a per unit basis. However,
smaller lots put houses in closer proximity, making house
orientation a very important consideration. The designer
must consider the views from one house to another, avoid-
ing direct lines of site from one house into intimate areas of
another house when possible. Although grading can be used
to diminish the effects of poor siting, a good layout is para-
mount to a development's success.
Spatial arrangement is part of what is known as the
streetscape. Setbacks, rooflines, utility corridors, street trees
and landscaping, sidewalk and trail locations, and signage
further define the streetscape. These elements work with the
grading to lend the development a uniform character and
create a cohesive, unified design.
House Type and Foundation Type. Classification of a home
by the arrangement of floor elevations, location of entrances,
location of walls, and relationship to property lines (e.g.,
one-story, two-story, basement walkout, and single family
attached and detached) is common.
A residential lot can be categorized according to the direc-
tion of the ground slope using the front property line as ref-
erence. A downhill lot is one in which the ground slope falls
away from the front property line. An uphill lot has ground
sloping upward from the property line, while a side to side
lot has slopes across its width. Efficient land use includes the
selection of a house type that is compatible with the terrain.
Proper design and siting of the house minimizes earthwork
and reduces the disturbed area, which reduces environmen-
tal impact and saves on construction costs.
The development types that are described in Chapter 4.2
provide context to the different residential configurations.
For grading purposes, it is useful to categorize the myriad of
housing styles with the following characteristics:
1. Single level or split level
2. No basement or basement
3. Attached or detached single-family home
These characteristics help determine how the lot(s) will be
graded.
Single Level or Split Level. A single-level unit is con-
structed so that the finished floor elevation will be the same
everywhere. Floor elevations of a split entry house are stag-
gered such that their access from a preceding level is less than
the full flight of stairs typical of the common two-story unit.
Split-entry houses and their variations are ideal for hilly lots.
These houses work best when the grade difference across
the lot is 2 to 4 feet. Houses in this category are frequently
referred to as split levels and split foyers. Split-level houses
have a combined slab and basement foundation system as
shown in Figure 5.4B. Similarly, the basement of a split foyer
is partially exposed. Figure 5.4B shows the basic house types
and their corresponding foundations.
No Basement or Basement. No basement type buildings
are built on a concrete slab or crawl space and are best suited
for flat areas with high water tables or where extensive rock
lies near the surface. They are generally less expensive on
lots with mild slopes due to savings in excavation and con-
struction costs. They are less suitable for hilly sites, since
they require more grading to accommodate the building
footprint. The no basement unit is common in many regions
of the country, and virtually every style of house can be
constructed without a basement (elevated homes in coastal
regions that do not have a basement are not considered in
this categorization).
That part of the house that is wholly or partially bur-
ied is the basement. Basement units are useful on hilly lots
because of their ability to accommodate grade differences.
For instance, the house shown in Figure 5.4B(b) has a grade
change of about 8 feet from front to back, which may enable
the proposed grade to tie-in with existing grade sooner,
thereby reducing the disturbed area.
In addition to enabling the house to blend in with the
site better, the use of basements can also generate small
amounts of excess dirt that can be used elsewhere on a
 5.4 ■ GRADING 439

Rambler or Ranch:
Built on slab or crawl
space. Living quarters
all on same level. May
be L or U shaped.

Two-Story:
Usually with basement
under main area, walk-
out optional. Side
wings & garage are
built on slab or crawl
space.

Split Foyer:
Entrance is between
floors. Lower level is
partially exposed base-
ment.

Split Level:
Side wing is between
levels. One wing is par-
tially exposed. Single
(c) i.2!!2~5;11!~._~~ level wing is on slab or
crawl space or may be
over buried basement.
FIG uRE 5. 4 B Basic house types and their foundations.

project. If a site is slightly deficient in fill dirt, basements
can be incorporated to make up the deficiency. The use
of basements also increases the living space of the house.
This living space is enhanced by the presence of natural
light, so often a partially buried basement that allows for
window space is better than a completely buried basement.
Another design element that enhances basements is the
walk-out, which provides direct access outdoors from the
basement. The typical site layout for a walkout is depicted
in Figure 5.4C(2).
Attached or Detached. Townhouse developments consist
of parking areas, private streets, open space, and blocks of
"attached" residential units. Typically, the blocks, or sticks of
residential units contain approximately three to nine homes.
The interior units share a wall with either neighbor, while
the end units have only one wall common with an adjoining
unit. Typically, 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,
usually they have a constant width. These variations help
avoid the visual monotony that would occur if all the houses
aligned and had the same style (Figure 5.4D). Other varia-
tions include vertical and horizontal staggering, which pro-
vides flexibility in the layout and helps the sticks conform to
sloping sites.
Since each unit is attached to another unit within a
block, there must be coordination in the structural design
with adjacent units (e.g., rooflines, wall framing, etc.). The
minimum or maximum variations in horizontal and ver-
tical relationships may be dictated by local ordinance and
building codes. Restrictions on staggering and vertical ori-
entation will be limited to the structural and architectural
design.
From an engineering aspect, the units have to coincide
with the site constraints. Yet, from a sales perspective the
units have to be appealing to the consumer. For this rea-
son, the layout and design of a townhouse project requires
extensive communication and coordination between the site
designer, developer, and architect.
Setting the floor elevations for townhouses is more
involved than single family detached houses. A certain
limited structural relationship, evident from the archi-
tectural plans, exists among the units of a block. In some
townhouse designs there exists the flexibility to adjust the
stagger distance and the vertical relationship of floor eleva-
tions of adjacent units. This flexibility is needed to allow for
better coordination between the housing units and the site
conditions.
To set the townhouse elevations properly the engineer
needs a complete current set of architectural plans. From
these plans, the site designer determines the relative loca-
tion of the units in a block. As with single-family homes,
a template of the townhouse block may simplify the pro-
cess. This template shows the relative floor elevations of the
units and the location of stoops, patios, decks, and other
440 i@UH¥I F@Hi4Mii
HOUSE TYPE COMMENTS

~EVEL UNIT

Qa 2-Story House
JSlc.Y
1) Used on Flat or
Mildly Sloping Lots.

With Slab on 2-Story House

Grade or With Full Buried
Crawl Space Basement

FULL WALKOUT LOWER LEVEL (FRONT OR REAR)

~ -
g =·
2) Used to Make Up Grade
Difference on Lots With
Severe Front to Rear
Slope Conditions.

2-Story House 2-Story House

With 8' Drop With Basement
and Basement . Entry from Front
Walkout From and 8 ' Rise to
Rear Rear of House

SPLIT ENTRY UNIT (± 4' UP OR DOWN)

Gu Q£h
3) Used on Lots With
± 4' Fall or Rise
Front to Rear
' -
'

2-Story Split 2-Story Split

Entrance Entrance
With Rear With 4'
Walkout From Rise to Rear
Lower Level of House

SPLIT LEVEL WITH SIDE

TO SIDE DROP IN GRADE

h ,..J§.10 4) Used on Lots With

Side-to-Side Grade
·- · ·-- - ~ ½i!hJ.9, Differences of
2' to 4'
Side Split With Grade at
One End of House 4'
Higher Than the Other and
Walkout From Lower Level

FIG uRE 5. 4 C Selection and location of building types to fit natural land forms.

appurtenances. When vertical adjustment between units is
necessary, it is recommended, and usually mandatory with
brick veneer, to raise or lower floor elevations in 8-inch
increments. This recommendation is based on the dimen-
sions of masonry units used for construction. Using 8 inches
or a multiple of 8 simplifies the construction while still pro-
viding flexibility to the designer.
Depending on the experience of the site engineer and
architect, the site engineer may be the one who sets the
pad elevations and staggers the setbacks. This information
is then sent to the architect, who then develops the block
designs. Whether the site engineer suggests the initial unit
requirements to the architect first, or vice versa, communi-
cation between the site engineer and architect (through the
developer) is imperative to exchange the interdisciplinary
information necessary for design.
Another problem encountered in setting townhouse ele-
vations is the number of risers (steps) from the street to the
door. The site designer needs to verify the horizontal and
vertical distance necessary to accommodate the full run of

-,"-,~ -~~"Ir .
. ,'\',),/">/ ... .
b) · ,., .. ·<-..: . - ·
FIG uRE 5. 4 D Townhouse block showing vertical stagger.
the stairs. Zoning ordinances may not allow the steps and
stoop to encroach into the building setback limits. The site
designer must verify that the vertical distance from the door
(or stoop) to the ground, and the horizontal distance from
the door (or stoop) to the property line, is capable of accom-
modating the required number of risers. A safe assump-
tion is to allow a tread width of 1 foot, therefore if 10 risers
are needed, the minimum setback to the stoop is 10 feet.
Furthermore, additional distance may be needed between
the sidewalk and the start of the steps. Although riser
heights can vary, the maximum height is typically limited
to ±7½ inches; building codes require the riser height to be
constant for the run of steps. Therefore, the vertical distance
from the sidewalk/street to the entrance must be a multiple
of the riser height.
Siting the House. When siting a house on a lot, one must
position the house horizontally and vertically in a manner
harmonious with the surrounding structures and terrain,
while ensuring compliance with all appropriate codes and
ordinances.
5.4 ■ GRADING 441
In most residential single-family detached subdivisions of
moderate density, siting a house is limited to the lot layout
of the subdivision and the orientation of the street. Presum-
ably, solar exposure and compass orientation was considered
when the lot and street layout were established in the concept
and schematic design stages, since there is not much practi-
cality in orienting the house for energy efficiency if it contra-
dicts with the street and lot layout.
Further, the topography of the lot and any (aesthetic)
constraints by the client play a part in selecting a house type
(see Figure SAC).
In addition to size and the type of lot (corner, flag, etc.),
its applicable setbacks play a part in how a house is sited.
Usually, the engineer portrays an exact footprint of the
builder's house on a proposed lot, precisely measures its dis-
tance to the property lines, and produces a lot grading plan.
Grading the Lot. There are two types of grading schemes;
lot grading and block grading. Lot grading involves only one
building and one lot. Grading is limited to the constraints
at the boundaries of the lot and any grading beyond the lot
442 i@UH¥I F@Hi4Mii
requires permission from that owner. Typically, lot grad-
ing applies to infill projects and commercial projects. Block
grading involves grading a group of lots, a frequent occur-
rence in residential subdivision projects. Block grading is not
bound by the rigid constraints oflot grading since the whole
group of lots is owned by one entity. Additionally, the spa-
tial arrangement and the drainage pattern can be integrated
much easier.
Using generic building footprints, the engineer produces
the block grading plan, which defines the general grading
patterns for groups of lots. This plan verifies the site's feasi-
bility regarding a fairly specific program, and is often used by
a developer to market the lots to builders.
Drainage. A controlling factor for setting the house eleva-
tion is the street elevation. Typically, the first floor elevation
should be above the street, but limitations on driveway grades
may also control the maximum elevation of the house. The
relationship of the house to the street is a major factor in
its "curb appeal;' and any deviation from general standards,
that is, a very steep driveway, lowers the curb appeal and cre-
ates drainage challenges. Steep grades (approaching 20%)
will often cause erosion issues as water is conveyed through
swales, which then requires engineered conveyance systems.
Generally, lots are graded such that drainage is directed away
from the structure toward the street or other runoff convey-
ance systems such as swales or channels that may be incor-
porated into the proposed grading plan.
The grading for drainage should be evaluated for each lot,
but it is also necessary to consider a larger site program for
drainage. It is rare that a lot is not affected by the adjacent lots
or other site features. For example, one lot may be graded to
convey runoff through an adjacent lot. The lot that receives the
runoff would need to consider the source of stormwater con-
veyance and the capacity required to adequately convey the
runoff. When possible, the drainage from a lot should not rely
on the condition of an adjacent lot because there are inherent
challenges with ensuring an adequate drainage condition. A
homeowner may decide to install a fence, patio, or landscape
element that compromises the drainage path. Some jurisdic-
tions may require an easement when one lot provides storm-
water conveyance for other lots. Using the common space of a
subdivision and pre-defined conveyance alignments can miti-
gate drainage challenges during the final lot grading.
Driveways. A house set 25 to 35 feet from the street
typifies the private suburban driveway entrance, but this
distance can vary dramatically based on the neighborhood
design. The slope of the driveway should be kept in the range
of 2% minimum to about 8%, with 14% as a maximum in
mountainous terrains. As noted in Chapter 3.4, an accessible
route is considered at 5% (or up to 8.3% with landings and
rails) and is a comfortable range. In regions that experience
snow and ice conditions the steep driveways can be danger-
ous for drivers and pedestrians. Walkways from the home to
the street will often be challenging if the elevation difference
is too severe.
The driveway design should consider some of the con-
cepts of vertical road geometry (described in Chapter 5.3)-
abrupt grade transitions can create challenges with vehicle
maneuverability. The grade calculation should consider a
transition length. The driveway slope should not be calcu-
lated simply by measuring garage elevation, road elevation,
and driveway length. Landings with mild grades, around
2%, should be considered at the garage entrance and at the
roadway. Such points of potential concern are illustrated in
Figure 5.4E.
Utility Services. In addition to the relationship of the
house to its lot and surroundings, another relationship that
effects the siting of a house is the elevation and location
of the sanitary sewer. As shown in Figure 5.4F the house
should be sited in such a manner as to provide a gravity
sewer for the lowest level of the house. A quick way to
determine approximate finished floor based on the sewer
line elevation is
• Determine the invert of the sewer main at the con-
nection point
• Multiply the distance from the connection point to
the farthest point of the house by 0.0208 (¼ in/ft), and
add to the invert elevation (the fall fin Figure 5.4F)
• Add the diameter of the sewer main (distance d in
Figure 5.4F)
• Add an allowance for clearance under the foundation
(shown as * in Figure 5.4F)
Typically, the house sewer runs under the footing for
shallow footings and foundations. Therefore the elevation of
the lowest level should be raised an additional 6 inches to
1.5 feet (depending on local construction practices) to allow
for clearance beneath the footing and floors. In situations
where it is not feasible to run the house sewer line under the
footing, the house sewer line can be run through the footing.
Figure 5.4G shows this concept.
When a basement, because of its depth related to the
sewer main in the street, cannot be sewered using a gravity
line, the sewer is referred to as a hung sewer. A pump may
be installed to eject sewage from the basement to the sewer
main if it will not flow by gravity, but this practice may come
under special regulations in many jurisdictions. Other solu-
tions, such as lowering the sanitary main, may be feasible,
but the engineer must consider the impact of such a solution
on the rest of the project. Careful planning while designing
the grading strategy will help avoid awkward situations such
as basements that won't sewer by gravity.
Grading Around the Home. The development of any grad-
ing scheme includes the assimilation of other existing data
and identifying the constraints it imposes. These existing con-
straints are combined with the data available on the proposed
building structure. Ideally, these constraints are obtained
from the approved architectural and mechanical drawings.
 5.4 ■ GRADING 443

Illustration of grading
. strategies for subd1· v1s1ons.
..

·=::Ia
•
....
~ Min. agrade ta be 2.08%
for -4"
1.0-4% fo/~~sttlcl lateral and
spu s ron
r. Max grad
-4. 17% for ~II Ia terals.
e to be
Basement or
Lowest Level to
be Sewered
Concrete
Cradle

Gravel bedding

Compacted
L Distance
Rear of HFrom Sewer Main To H
Fall - ouse If House Connec~~~• p~fn~n~ct~n or to
- .0208 x L + {All s nknown
owance fo 1
Dlameter of Sewer Main r c earance b eneath footing)
d

Clearance Beneath f" oolln9 Varies {6"± to 1'±)

FIGURE 5.4f Sewer line from house to sewer main.

.
444 i@UH¥I F@Hi4Mii
iOPl:S'RI
r---~,
1 OPT. DK I
I - 3.0' I Type A
4- , OPT.
', CHIM .
F.FEL.- 0
r--- .I

1 GAR. - I. 3 1
I OPT.
I S/R B.F. EL. - 8 .6 1
I -1.0'
L__ - .J
-2.7 0.A-r: - 54.0'
0/W

Type A
* OVERALL LENGTH

Type B
FF EL. - 0
OPT. LIB ., .
rr---i"-- GAR. - 1.31
1I '
2 .7' I I -1.5° B.F. EL.- 8.6'
+I t.:to' +OPT. SIDE
I ,- ENT. GAR.
L-~__J 0.A-'!'° - 54.0'
OPT. S/R _,:
OPT. POR.j
W/ COLS.

Type B

r --,
10PT. OKI
I I
Type C
+-2.5

F.F. EL.- 0
GAR. - 2.0'

B.F EL.- 9. I'

0.A-'!' - 43.3'
OPT.
BAY +
WIND. ./

FIG u RE 5. 4 G House template.


The location and relative elevations of doors, garages, and
windows, other appurtenances such as decks, patios, stoops,
walkways, and any utility connections are necessary to
develop an effective grading plan. This information becomes
part of the constraints for grading. From this architectural
information, it is possible to develop a footprint of the build-
ing showing all entrances, windows, and other appurte-
nances at or near the ground level that affect the grading,
often called a template. The relative elevations of these items
with respect to the floor elevations are labeled on the tem-
plate. Figure 5.4G depicts examples of house templates for
three different house types used on a project. The building
template is placed on the grading plan and oriented such that
it best suits the topography, ordinance setback requirements,
and utility constraints. The specific footprint of the desired
house is then transferred onto the grading plan after the best
orientation of the template is obtained. Since a typical sub-
division has several house styles, the use of templates allows
the designer to shuffle the house types around the lots for
quick analysis.
Additionally, siting of buildings on corner lots must allow
for site distances of the intersecting streets. This includes
high walls and steep slopes resulting from the grading that
might impede on the required intersection sight distance
(defined in Chapter 3.3). However, in most cases the required
zoning setbacks and minimum radius of curvature allow for
adequate sight distances.
The height of the earth fill around the house depends
on the exterior surface and type of foundation system. Soil
and accompanying moisture accelerates decay of some types
of construction materials and provides a haven for insects
that can damage the house. Figure 5.4H shows the relation-
ship of the exterior grade for selected foundation systems.
The architectural plans should be consulted for the relation-
ship of the flooring to the foundation wall, since setting the
first floor elevation dictates the maximum ground elevation.
The ground elevation around the perimeter of the house is
adjusted to account for windows, doors, garages, and other
architectural features, all of which are indicated on the house
template.
Once the house is positioned on the lot, the elevations
at all critical points are shown with spot elevations. Typi-
cally, stoop, patio, and ground elevations outside of doors
are 6 inches (minimum) lower than the first floor elevation.
Additionally, elevations are shown at windows located near
ground level to ensure they are not buried. Walkways leading
from the front door to the driveway or street should not be
steeper than 5%. If walkways become too steep and steps can-
not be used, then the overall house elevation may have to be
raised or lowered to account for such constraints.
Rear Yard. When grading out a rear yard, the designer
should seek to provide an area sufficiently level as a place
for lounging and family recreation. A space of 15 to 20 feet
by 30 to 40 feet, graded to a maximum of 5% to 6% slope,
immediately behind the house is reasonably adequate. In
areas of steep slopes, where a flat yard of this size would
5.4 ■ GRADING 445
require expansive fill slopes, the size of the back yard may be
reduced, with perhaps a large deck proposed to provide the
outdoor living space.
Mass Grading. In the case of subdivisions a developer
may only be involved with the initial infrastructure design
and construction and the lots for homes are sold to a home-
builder (often a different company). In this case, no homes
are built and the individual lots are generally graded slightly
lower than final grade. This is referred to as mass grading.
When a lot is sold and a home is built, spoil from the exca-
vated basement is spread on the lot to raise it to final grade.
This not only eliminates the need to remove excess soil from
the site when the home is constructed, but also avoids adding
fill to the site unnecessarily. Therefore, the grading plan for
a subdivision should include mass grade elevations for each
unit in addition to finished grade elevations.
The process of determining how much lower than final
grade a lot should be constructed is one of trial and error.
A given "drop'' in grade is chosen and then the volume of
spoil and the amount of fill required to bring the lot up to
grade are calculated and compared. Several drop values will
need to be evaluated to determine the ideal drop-the one
that will result in the volume of spoil and required fill being
the closest to equal. Mass grade elevation is determined by
Equation (5.4A).
Mass grade = finished grade - ideal drop (5.4A)
When calculating the volume of basement spoil, the
designer needs to consider how the lot is to ultimately
be graded. More specifically, will the grade get lower
around the rear of the unit to provide a walkout or half
walkout basement? Both of these instances will result in
less spoil, as less of the basement will be buried. When
calculating the volume of spoil, it is important to remem-
ber that the depth of the basement (depth that the base-
ment will be buried when final grades are achieved) needs
to be adjusted by the amount of drop being considered.
Approximate spoil volume can be determined by using
one of the following equations:
a. Non-walkout
SV = (DB -Drop)·A
b. Half walkout
SV = [f (DB -DB1 -Drop)-A] + (DB1 ·A) (5.48)
C. Walkout
1
SV = -·(DB -Drop)·A
2
where SV is the volume of spoil, DB is the full buried depth
of basement (portion of full basement buried at final grade),
A is the area on basement and DBi is the half buried depth of
basement (portion of half basement buried at final grade).
44& i@UH¥I F@Hi4Mii
LOAD BEARING
8" BLOCK WALL
W/ EXTERIOR FRAMED WALL W/
MASONRY VENEER EXTERIOR SIDING
GRADE
LINE FINISH FRAMED FLOOR W/
SHELF' FOR VENEER FLOOR 2x12 JOISTS
BELOW GRADE
en (1 COURSE MIN.)
w "!'
ii: "!'I N
FINISH < 4" CONCRETE iio I
> GRADE .I ;..
FLOOR SLAB LINE -
l"-....,OfRRAWL SPAC~
BASEMENT

WATERPROOFED
FOUNDATION WALL

Typical Masonry Veneer-type Typical Wood-Framed and -Sided

Exterior Wall Wall with Crawl Space or Basement

FRAMED WALL W/ FRAMED WALL W/

EXTERIOR SIDING MASONRY VENEER
: z
U) ::IE
-
WATERPROOFED
GRADE CONCRETE OR 4" CONCRETE SLAB
LINE BLOCK WALL - ON GRADE W/
HT. VARIES W/ TURNED DOWN FOOTER
GRADE GRADE
LINE
FINISH 4" CONCRETE
FLOOR SLAB

FOOTER

Typical Wood-Framed Wall With Typical Slab Construction

Exterior Siding Set Into a Slope With Masonry Exterior Wall

FRAMED WALL W/
MASONRY VENEER

FINISH FRAMED FLOOR W/ FRAMED WALL W/

FLOOR 2x12 JOISTS EXTERIOR SIDING
4" CONCRETE SLAB
"!' ON GRADE W/
"!'I N
iio .I TURNED DOWN FOOTER
GRADE .I
LINE - GRADE
LINE

WATERPROOFED
FOUNDATION WALL

Typical Veneered Wall With Typical Slab Construction With

Crawl Space or Basement Frame Wall and Siding
FIG uRE 5. 4 H Foundation systems.

The process for determining the volume of fill required to
raise the lot to final grade is as follows:
1. Draw three "contours" on the lot. Draw the first
(referred to as the 0.0 contour) just inside the prop-
erty line or edge of disturbance. The depth of fill
will be equal to zero foot in this location as this is
where the finished grade meets existing. However,
the mass grade elevation at this location is assumed
to be 0.5 foot below the finished grade elevation for
the purpose of these calculations. The purpose of
making this assumption is to account for the depth
of topsoil that will be spread on the lot. Draw the
second (referred to as the 0.5 contour) midway
between the 0.0 contour and the house footprint. At
this location, the fill depth will be equal to one-half
the difference between the considered drop (at the
unit) and the 0.5 foot assumed drop at the 0.0 con-
tour. Draw the third (referred to as the 1.0 contour)
just outside the perimeter of the house footprint. At
this location, the fill depth will be equal to the con-
sidered drop. Figure 5.4I illustrates the placement of
the 0.0, 0.5, and 1.0 contours.
2. Measure the area within each contour. For the area
of the 0.0 and the 0.5 contours, the entire internal
area and not just the area from one contour to the
FIG uRE 5. 41 0.0, 0.5, and 1.0 contours for mass grading
calculations.
5.4 ■ GRADING 447
next should be measured. However, the area of the
basement footprint is excluded from each measure-
ment because no fill will be spread in this location.
3. Use Equation (5.4C) to calculate the required fill
volume.
F, = [iAa.o + Ao.s + A.o] ·Cl (5.4C)
where Fv is the required fill volume, Ao.o is the area inside the
0.0 contour (minus the area of the basement), A 0 _5 is the area
inside the 0.5 contour (minus the area of the basement), A1.o
is the area inside the 1.0 contour (minus the area of the base-
ment), and CI is the contour interval as shown in Table 5.4A.
5.4.3. Grading for Nonresidential Sites
Nonresidential projects (e.g., office, retail, industrial,
schools, etc.) mainly consist of buildings, parking areas, and
access points. Note that multifamily buildings are analogous
to these building types more than suburban residential grad-
ing described in the prior section. A single developer is often
focused on both the infrastructure and the buildings but in
some cases an area of the site might be leased to a specific
tenant with their own development requirements.
When siting the building( s) and any other structures on
the property, one must position them in a manner that opti-
mizes the area, promotes public safety, is harmonious with the
adjacent properties and ensures compliance with all appro-
priate codes and ordinances. In most cases the lot layout is
created during preliminary design. Refer to Chapter 4.2 for a
complete discussion on planning a nonresidential property.
Site Characteristics. Each type of development has its own
features and needs associated with those features. Prior to
final grading of the site it's important to identify any require-
ments from potential tenants. In some cases, the tenant may
limit the minimum and maximum slopes within a parking
lot (e.g., no less than 1% and no more than 3%). There may
also be requirements for the finished floor elevation relative
to the roadway to allow for visibility.
A pad site is usually associated with a larger development
and is generally established for smaller retail uses such as a
TAB LE 5 . 4 A Contour Intervals for Mass
Grade Calculations
DROP CONTOUR INTERVAL (Cl)
1.0 0.25
1.5 0.50
2.0 0.75
2.5 1.00
Note: Both drop and contour interval have the same unit associated with them
(e.g., a 1-foot drop has a 0.25-foot Cl, etc.).
44a i@UH¥I F@Hi4Mii
bank for a fast food restaurant. These sites may exist within
a larger retail center or be a standalone pad, but in either
case the access should allow for a clean transition into the site
(less than 6% total grade change might be ideal). The uses
within a pad site are anticipating frequent traffic with rapid
turnover. A fast food restaurant might also require the design
of a drive-through facility which would require that steady
grades are held around the building.
Additional considerations include
• Commercial developments will usually have some
type of dumpster pad/enclosure located on the lot
that requires mild grades for access.
• Commercial sites by nature of being public will have
a certain amount of space that must maintain suit-
able grades to provide handicap accessibility accord-
ing to the ADA Accessibility Guidelines.
With a retail strip, a row of storefronts along a street should
ideally have a constant elevation, but this condition is chal-
lenged by providing drainage within the street. The adjacent
roadway will likely have a grade that deviates from the store-
fronts, and the area (sidewalk and landscaping) between the
road and the storefront will need to accommodate the grade
difference. The threshold of the slopes between the store-
front and roadway should be monitored to ensure accessibil-
ity is provided (maximum 2% cross slope) and that drainage
is always directed away from the storefront. In some cases,
the roadway will be designed with a series of mild vertical
curves to create a near-flat condition.
Siting the Building. The location of the buildings should
be established during the preliminary design phases (unlike
house siting, which generally occurs in later design phases)
as described in Chapter 4. As the grading is refined, the loca-
tion of buildings and internal circulation may warrant the
need to revisit the layout-any proposed changes should be
coordinated with the design team and developer. The final
grading may identify conditions that were not apparent dur-
ing the preliminary design phase. A detailed grading study
may identify the need for additional walls or indicate chal-
lenges associated with providing an accessible route to the
main entrance. These conditions may require minor adjust-
ments (horizontally and vertically) to the building. In some
cases, a few extra feet can alleviate a steep grade condition
and provide a more comfortable site condition.
Grading the Site. The controlling factors for grading
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 the architect (and developer) set
for the proposed building.
Drainage. The topography of the site plays a big part in
establishing the site layout. For example, the site would be
configured such that stormwater facilities would be located at
a lower point of the property for ease of drainage. Further, it
is desirable to have the building on higher ground to convey
runoff away from the building and reduce opportunities for
potential flooding. Loading docks often create a localized
sump condition and should consider special drainage and
overflow condition. The grading should direct the runoff
away from the ramp areas, while inlets at the bottom of the
ramps carry the small amount of runoff that does fall in the
ramp and loading area. For many sites, there's an inherent
challenge to provide adequate drainage while also adhering to
mild grading requirements of the development. Many com-
mercial buildings have ramps that lead to underground park-
ing or to loading areas.
Additionally, the designer should locate inlets in areas
where people can access their vehicles without stepping
around the inlet. Figure 5.4J shows recommended place-
ment of inlets in parking areas. A curb inlet at the head of a
parking space, as opposed to the side of a parking space, is
recommended because it prevents a passenger from stepping
near the inlet that is often prone to ponding. Similarly, drop
inlets should be located away from pedestrian travel ways
when they are located between parking stalls. In parking
drive aisles, it is preferred to avoid inlets but if they are nec-
essary they should be located in the center and the localized
depression should be minimized to maintain driver comfort.
Another consideration is that long runs of sheet flow on
steep slopes in parking areas should be avoided, especially
in colder climates where the sheet flow can freeze and cre-
ate hazardous conditions for pedestrians and drivers. Addi-
tionally, runoff should be directed away from sidewalks and
pedestrian travelways as this not only makes it easier for
walking, but also reduces the splash from passing traffic.
Parking Lots. The necessity for large expanses of paving on
commercial projects leads strategies that are unique to this
genre. From the site entrance, recommended pavement slopes
in the travel lanes vary from 1% to 5%. The pavement is sloped
Curb Inlet Curb Inlet
Preferred Location
=J7 I I I
Location Not
1 '"~meodod
Drop Inlet <:J==
om Acceptable
Location
==t>
Dro Inlet
Loco ion
Not
Rec mme ded
mme ded
FIG uRE 5 . 4 J Recommended inlet locations.

to direct runoff to curb inlets, sump areas, or ditches off
the edge of pavement. Placement of all drainage structures
should take into consideration the movement of pedes-
trians and vehicles. Inlets should not be placed in areas
of heavy pedestrian use, such as crosswalks and curb-cut
ramps or where.
Accessible parking spaces are required to adhere to spe-
cific grading conditions. In general, the maximum slope
in any direction is 2% and should be carefully evaluated
when establishing the parking lot grades. The location of
the accessible parking spaces should conform to the Ameri-
cans with Disabilities Act (ADA) recruitments and should
be generally located as close to the main entrance as pos-
sible. Therefore, the grading should consider both mild
slope conditions and direct access to the buildings. The
route from the ADA spaces to the building should conform
to accessible route requirements. Multiple ADA spaces
should be placed throughout the parking lot that serves
multiple buildings. The adjacent sidewalk will often have
a depressed (or flush) curb to provide a continuous curb
ramp and should be considered with respect to grade tran-
sitions for adjacent pedestrian routes.
When devising the grading scheme in larger parking areas,
consideration should also be given to paving operations.
Large area of mild slopes often result in localized depres-
sions from construction challenges. These depressions (often
referred to as bird baths) create a drainage nuisance and are
prone to icing. Parking areas that have extensive wash-board
effects are difficult to pave, especially if there are numerous
grade breaks and relatively steep slopes.
Utility Services. In the description of residential develop-
ments, it was noted that it is best to set the building eleva-
tion to provide for gravity drainage to an existing sanitary
sewer. The same is true in non-residential applications. This
is because gravity drainage of the site's wastewater is the most
economical solution. Many buildings also have a series of
roof downspouts to convey stormwater runoff-these may
below grade and would connect to the site storm drainage
system. These utilities and the associated depths should be
considered in grading and utility design.
Grading Around the Building(s). The grades around
the perimeter of a commercial building do not typically
vary unless the existing terrain has slopes that dictate it.
Figure 5.4K illustrates a possible grading scenario around a
commercial building. Below are examples of possible areas
around the building that may require special grading:
Entrances: In lieu of steps, walkways may be graded
toward the building to meet the finished floor elevation.
Loading docks: Pavement ramps (with possible walls)
may need to be designed/graded to provide access to
either raised or lowered entries to the building.
Drive-throughs: Special care must be given when grad-
ing a drive through where an access road has its edge of
pavement/curb almost touching the face of the building.
5.4 ■ GRADING 449
The variation in building and development type does not
cater to a prescribed grading method. Each site will need to
be evaluated to determine the best configuration that meets
the applicable accessibility requirements and developer
requirements.
5.4.4. Grading and Design Software
The process of grading has transitioned over many years;
most of the concepts presented in text have been in use long
before the advent of computers. These concepts change very
little, and they must be thoroughly understood before trying
to grade a site. Only when the designer has this understand-
ing should electronic tools be employed. Moreover, it should
be remembered that, in many ways, grading is an art. Com-
puters should be considered a valuable grading tool, but not
a substitute for the designer's experience and skill.
Computer aided design (CAD) software is typically used
in production of site plans, including grading plans. While
CAD can be used for traditional drafting techniques (draw-
ing contours), the basis of contour information can also come
from a 3D terrain model. The process of creating models for
use in design, plan production, and construction is referred
to as building information modeling (BIM). A surface model
is the foundation for infrastructure models.
Digital Terrain Models. A digital terrain model (DTM) is
a database of points that each have three spatial coordinates
(x, y, and z) as described in Chapter 3.2. These points are
connected to form a series of adjacent triangles representing
an irregular surface, often referred to as a triangulated irreg-
ular network (TIN). Figure 5.41 is an example of a DTM.
As discussed in the Chapter 3.2, survey points are com-
piled to create a DTM of the existing ground surface. This
DTM is then used to generate the existing contours using
one of the surface modeling software packages. By creating
a proposed DTM (proposed surface), proposed contours can
be similarly generated. This takes away the tedious task of
hand drawing contours after interpolating their configura-
tions based on spot elevation locations and intended drain-
age patterns.
Creating the Proposed Surfaces. BIM process and the
associated software have automated most of the traditional
workflows associated with grading plans. There is an array
of specific grading tools being developed within the differ-
ent surface modeling software packages to model roadways,
ponds, berms, parking areas, etc. However, there are basi-
cally three types of information use for a DTM to define the
proposed surface. These are
1. Points: A single point would be input directly into
the DTM to define such things as the high point of a
hill, the low point of a pond or the top of a drainage
inlet.
2. Breaklines: Breaklines are lines that reside in 3D
space. They represent continuous, defined edges
such as top of ridge, bottom of swale, crest of road,
face of building (at ground surface), walls, etc.
450 i@UH¥I F@Hi4Mii
I
I

I
I
i
I
I
I

I
I

I'
' I

I I

I'
' I

I
'
I' I
I

I
I

I
'
i
I
I

I'
I
I
/ f f I 6
I
I

i I

'
: . Il . ,!
-~·
PQl~CIJ"llal!T

''
FIG uRE 5. 4 K Commercial building grading plan.

Grading tools used to model roadways and parking
areas typically generate a set ofbreaklines, com-
monly centerline or proposed grade line (PGL)
as well as top of curb and flow line, that define the
features. The elevation along the line will vary.
3. Contours: Contours are 3D lines where the z coor-
dinate (elevation) is equal for all combinations of
x and y. Contours are input into the DTM to define
such things as berms, ponds or to define any area
that cannot be adequately defined by points and
breaklines. Technically, a contour is also a breakline.
Using BIM and DTMs for Construction. As technology
has advanced, contractors have obtained the ability to input
digital information into their equipment to facilitate the con-
struction of a site.
For the most part, the proposed grading plan itself does
not provide a contractor sufficient information to grade a
site. This is because the surface model typically only reflects
finished grades. The contractor, however, is interested in
the mass grade configuration as well as finished grades. The
contractor will first mass grade the site to install roads, utili-
ties, foundations, and so on. Therefore, information about
road boxes, trench configuration, basement depth, subbases,
etcetera, are the main concern for initial construction of the
site. The contractor must use profiles and details included
in the plan set in addition to the grading plan. Following
this same logic, the proposed surface (DTM) would also be
insufficient.
A mass grade surface DTM can provide a contractor with
all the required mass grading information in one place and
can be used by the designer to better estimate earthwork
quantities. The requirement to produce detailed earthwork
quantities is often the responsibility of the contractor, but
the design team can also prepare accurate quantities with
a detailed DTM. Most software can calculate the volume

FIGURE 5,4L DTM.
between existing grades and proposed grades, including
identification of cut and fill areas, but this calculation is from
top of ground to top of ground for each surface model.
While a DTM provides value during design and can be
used for construction, the site plan, sealed by a registered
professional, still serves as the contract document. If a con-
tractor chooses to use the DTM for estimates for construction
the contractor will be responsible for how the information is
used.
Feasibility and Liability. A proposed DTM is an approxi-
mate representation of the surface that is to be constructed.
It is defined by the amount of information it contains. The
more information provided, the closer the approximation
is. Consideration must be given to whether or not a DTM
contains adequate information to be used for construction
before providing it to a contractor.
However, on cooperative project construction where the
engineer and contractor work together there may be a ben-
efit for the design team to work with the contractor to use
the DTM. Client cost savings have been shown on projects
where the contractor is included in the design process to
check and validate construction techniques for earthwork
balancing that account for bulking and shrinkage of materi-
als typical for the area to be constructed. The contractor's
knowledge, if leveraged in the design process, can signifi-
cantly improve the cost savings to the client and the speed
to complete the project.
5.4.5. Grading Plan Content
A grading plan will depict the proposed grades (usually at
the same contour interval as existing grades) with proposed
5.4 ■ GRADING 451
spot elevations at critical points. Slope arrows with labels are
often used to track minimum and maximum slope require-
ments or define key slopes such as driveway grades. In many
cases, some areas of the site will warrant a detailed grading
plan (at 5 or 10 scale) to depict features such as ADA parking
grades, loading areas, or curb ramp elevations. As defined in
Chapter 3.4, the contours and elevations will define the grad-
ing requirements for the site-if information is not depicted
(even if it is modeled in the DTM) it will not be constructed
as intended. Figure 5.4M depicts a sample grading plan with
relevant information
5.4.6. Earthwork Takeoff
Calculating the amount of displaced earth material is referred
to as an earthwork takeoff (ETO). Although rarely the case,
the ideal scenario is to have a balance of earthwork, where
all of the required excavation is used to backfill and to bring
the lot to finished grade. In order to attain any semblance
of an earthwork balance, the excavated material must be of
adequate quality to be reusable. In projects with excessive
rock, loam soils, or expansive soils, an earthwork balance, in
all likelihood, is unattainable. Additional considerations for
soils and balancing the site are described in Chapter 2.5 and
Chapter 3.4.
A grading plan may have to go through several itera-
tions before an acceptable earthwork balance is obtained.
Frequently, a rough grading plan is developed as a first
approximation during preliminary engineering (as described
in Chapter 4.4). This rough grading plan shows the build-
ings, streets, and parking areas with spot elevations at crit-
ical points and contour lines with 2 feet or 5 feet contour
452 i@UH¥I F@Hi4Mii
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0 0 0 0
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0
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0 0
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1. Proposed contours with contour labels at regular Intervals
2. Existing contours shown. Labels provided throughout
3. Spot elevations shown at curb corners and along curb as needed
4. Spot elevations at low points, adjacent to inlets
s. Spot elevations at high points
6. Spot elevations where proposed grade meets existing grade
7. Spot elevations near building doors and around perimeter as needed
8. Spot elevations within plaza and specialty landscape/hardscape areas
9. Spot elevations at sidewalk curb ramps (detailed view often required)
10. Grading notes to identify slope limitations, standard cross slopes, etc.

FIG uRE 5. 4 M Grading plan content.

intervals. An ETO is performed to determine the net earth-
work quantity. Since this rough grading plan serves as an
unpolished first guess for design, the earthwork analysis can-
not be extraordinarily detailed. As the rough grading plan is
refined and approaches final design, the detail and accuracy
of the earthwork analysis increases.
Most earthwork calculations are performed with the
aid of software, although occasion does arise when manual
methods are effective early in the design process before
surface models have been created. The method selected
depends on the type of site and the way the project is set up.
For many projects, the ETO is developed from the contour
grading plan, or in the case of roads, the cross section draw-
ings. Of major interest to the developer or contractor is the
net amount of cut and fill material. Therefore, to get a final
quantity, cut and fill values must be adjusted for such things
as topsoil, pavement thicknesses, undercut, large conduits,
soil shrink-swell, and other factors (as defined in Chapter 3.4).
Grid Method. The grid method for computing earthwork
quantities averages the cut or fill depths over a unit area.
The product of the averaged depths with the unit area is
the net incremental volume of cut or fill. A summation of
all incremental fill volumes and cut volumes gives the total
for the site.
Figure 5.4N shows a proposed ground surface and the
existing ground surface for a unit area. (Note that the inter-
section of the two surfaces establishes the zero cut and fill
line). The depth of cut or fill is written at each corner of the
 5.4 ■ GRADING 453

F=2' C=5'
Unit Area
Proposed
Ground Surface

Exisiting
Ground Surface
12

10 5'

8
.c
~ 5'
0 6

Average = _ (2_+_5_)_+_(_-2_-_5_) x Unit Area =0

CuVFill (4 )

FIG uRE 5. 4 N Ground surfaces for unit area of the grid method.

unit area. For this particular unit area the average cut/fill is
zero. That is, the volume of material in the cut area is equal
to the volume of material in the fill area.
However as shown in Figure 5.40, the computations
presume that the actual ground surface is a plane
representing a linear ground surface. The areas which
contribute to the error in the actual volume are shaded.
The accuracy of the computed volume is a function of
the size of the unit area and how close the representative
planes for the existing and proposed ground approximate
the true ground surface. As the undulations of the actual
ground surface increase in number and deviate from the
straight line approximation the precision of the com-
puted volume decreases. To compensate for the irregular

~ -+- Plane for

Average
Existing Ground

Area of Material -+-----'~

Excluded from
Fill Computations

L - -- - Plane for
Average
Proposed Ground

Area of Material Area of Material - - ~

Included in Fill Computations Excluded from Cut Computations

FIG uRE 5. 4 0 Average ground surface by linear approximation.

454 i@UH¥I F@Hi4Mii
topography, the unit area can be reduced to increase pre-
cision. The penalty for this is the increase in number of
grids and the computing time to perform the method. In
some instances decreasing the unit area may not be the
solution either. On extremely flat sites decreasing unit area
size decreases the precision. For each unit area an inter-
polation between contours is necessary to determine the
elevations at each corner. Each interpolation calculation
has an error associated with it. The propagation of this
error contributes to the precision of the volume. In these
extreme cases the grid method may be abandoned in favor
of an earthwork method that is more accommodating.
The mechanics of the method are
1. Obtain the grading plan of the site and create a
grid of uniform sized squares over the graded area.
Using analog methods, the procedure is facilitated
if the grid is created on transparent material and
overlaid on the grading plan. For reasonably
precise earthwork quantities the grid squares
should be 1 inch squares for plans with scales of
1 inch = 100 feet and larger.
2. The grid is overlain on the grading plan. At each
corner of a square a value is entered to identify the
amount of cut or fill at that point. A positive value
indicates fill and a negative value indicates cut.
3. For each square the cut/fill values are averaged and
written in the center of the square the incremental
volume is the averaged cut/fill depths multiplied
by the grid area. Only the corners of grid squares
within the grading limits are used to obtain the
average cut/fill values.
4. Any corner outside the grading limits is not
included in the computational process. The incre-
mental volume is the averaged cut/fill of these
grid corners in the graded area multiplied by the
fraction of the area of the grid within the grading
limits.
5. Summing all averaged values within the grid
squares is the net amount of excess/deficiency
dirt. Summing all positive and negative num-
bers separately is the amount of cut and fill,
respectively.
Figure 5.4P shows the grid method for the same grading
plan with I-inch grids. The cut or fill depths are written at the
corners of each square (negative values indicate cut, positive
values indicate fill). The value written in the center of the grid

1
--~
----7 I

30· o· 30• 60'

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./
,/
-------------~/.1/
Q
FIG uRE 5. 4 P Grid method for ETD.
 5.4 ■ GRADING 455

is the average cut or fill depth for that grid, that is, the sum of
the values at the corners divided by the number of summed
values. The volumes of cut or fill for each grid are determined
by the product of the averaged cut or fill and the area of each
grid. Some squares are not entirely within the grading area.
The volume of cut or fill for these squares is found by mul-
tiplying the averaged cut or fill depth by the fraction of the
area of the grid within the grading area. An estimate of the
fractional area should suffice in most cases.
The grid on Figure 5.4P has four rows and eight columns.
The incremental volume for each grid is given in Table 5.4B.
Summing all of the fractions of the cut values and all of
the fill values multiplied by the area of a grid gives the total
volumes. The sum of the fractions of the cut and fill are 38.3
and 3.2, respectively. This corresponds to
38.3 ft(60 ft x 60 ft)= 5100 yd 3 of cut
27 ft3 per yd 3
3.2 ft (60 ft x 60 ft) 430 yd 3 of fill (5.40)
27 ft 3 per yd 3
The low value for the fill volume (430 yd3) is due to the
large grid size relative to the small fill area of the plan.
Cross-Section Method. The cross-section method is used
to calculate earthwork quantities for roads, utility trench-
ing, and other linear projects. A contour grading plan is not
necessarily needed to use this method since cross sections
for streets and prismatic channels can be obtained from the
sections and the profile.
If the cross-section method is used for a building site, the
grading plan is used to develop the cross sections. A baseline
or reference line is drawn on the plan. Although the location
is arbitrary, it is usually down the center or along one edge
of the project. The baseline does not need to be straight.
Slight curvature or angles can be used when the situation
warrants. Lines perpendicular or radial to the baseline are
drawn where the cross sections are desired and the sections
are then plotted. Distortion of the topography as it appears
on the cross section plot increases when the section line is
significantly skewed relative to the prevailing land slope:
this contributes to errors in the cut and fill values. On the
other hand, the distance is not uniform between two section

TA BLE 5 . 4 B Incremental Cuts and Fills for ETO Grid Method Example
GRID AVG. CUT OR FRACTION FRACTION OF GRID AVG. CUT FRACTION FRACTION OF
(Row X COLUMN) FILL DEPTH OF GRID CUT OR FILL (Row X COLUMN) OR FILL DEPTH OF GRID CUT 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 -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 -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 -0.3 ~ Cut = 38.3 ft
(C,4) -1.5 1 -1.5 ~ Fill = 3.2 ft
(D,4) -1.6 0.2 -0.3
45& i@UH¥I F@Hi4Mii
lines if they are not perpendicular to the baseline which also I
adds to the error in the ETO. Judgment and experience dic-
tate the orientation of the section line relative to the baseline I Begin
and prevailing land slope in order to obtain reasonably pre- Construction
cise ETO quantities.
Section lines do not have to be at constant intervals. They
are located where the cut and fill does not substantially change
and at points where there is an abrupt change between cut
and fill. For example, cross sections located before and after
foundation walls will not account for the excavated volume.
Additional cross sections should be included just inside of
the foundation walls. Precision of the ETO depends on judi-
cious selection of the cross section location and their orien- - c---1---- Incremental
Volume
tation to the baseline.
Once the existing and proposed grades are plotted on
the cross sections, thicknesses for pavement, concrete slabs,
and subbase depths are then added to the drawings. The
gross cut and fill quantities are adjusted according to these
depths. The incremental volume of cut and fill between suc-
cessive cross sections is equal to the averaged area of the cut FIG uRE 5 . 4 Q Wedge-shaped volume.
or fill multiplied by the (average) length between the cross
sections as given in Equation (5.4E), where Vine is the incre-
mental volume of material between two consecutive cross
sections, A; and A; + 1 are the areas of cut or fill on the two The accuracy of this method is determined by the varia-
consecutive cross sections, and L is the average horizontal tion of cut or fill areas of subsequent cross sections. Although
distance between the sections. Summation of the incre- most cross sections are taken at constant intervals, interme-
mental cut and fill volumes determines the total cut and fill diate cross sections may be necessary. If one cross section is
volumes for the site. in total fill and the following cross section is in total cut, an
intermediate cross section is necessary for a higher degree of
V
inc
= A; +A+1
2 X
L (5.4E) accuracy. The intermediate cross section is located where the
fill section transitions to the cut section; the point where the
cut and fill areas are nearly zero. The accuracy of this method
The volume from the average end area [Equation (5.4E)]
can be increased if the interval length is reduced. The trade-
significantly overestimates the volume at the end sections. As
off for this increased accuracy is the time to evaluate more
shown in Figure 5.4Q the solid segment L is wedge shaped.
cross sections. Another factor affecting accuracy is the cost
The volume for a wedge (pyramid) is
for cut and fill. An extremely high cost associated with the
A cut or fill operations will necessitate that the computed
V =-XL (5.4F)
w 3 earthwork quantity be considerably more accurate. Consider-
ation for additional cross sections through a curve is neces-
where A is the area of the first cross section, in this case sary if the length parameter is longer than the arc length of
station A;. A comparison of the volumes for the wedge seg- the curve. In general the average end area equation tends to
ment as computed by the average end area and the wedge overestimate volumes.
equation shows that the average end area volume is 50% A variation of the average end area method considers the
greater. The volume due to this error in this segment must average of the areas within a closed contour loop. The aver-
be weighed against the total volume of earthwork. Since age area is multiplied by the difference in elevation between
the error applies only to the two end segments it is left to the contour lines to obtain a volume. This method is best
the judgment of the engineer which equation is used for the suited for computing volumes oflakes and mounds.
wedge shaped segments. Comparing DTMs. When surface models are used to
Cross-Section Method Example. Figure 5.4R shows three develop the grading plan, typically a proposed and an exist-
cross sections of a roadway where C and F designate the ing DTM have been developed. Rough earthwork quanti-
cut or fill area on the cross section. Table 5.4C shows the ties can be obtained by comparing the two DTMs, which
tabular organization of the data to determine the earth- provides a rapid calculation that be updated as the model
work quantities using the cross-section method. (Assume is refined. The way these volumes are computed may vary
stations O + 50 and 2 + 50 are the begin and end points of depending on what software is being used and each software
construction). package may offer more than one method for computing the
 5.4 ■ GRADING 457

Prop. Grade

--- I h /2
Exist. Grade

-~ -

C=250 ft 2 C=150 ft 2

STA 2+00

I -
~~v / -,- C=200 ft 2
F=3oo tt 2
STA 1 +so

STA 1 +00
FIG uRE 5. 4 R Earthwork example: cross-section method.

volumes. One possible method is illustrated in Figure 5.4S.
In this example, the triangles of the proposed (upper) sur-
face are projected onto the existing (lower) surface, forming
a series of 3D columns. The volumes of these columns are
then calculated and summed by the computer.
The accuracy of the result will vary based on the details
of the models used. A surface model of the proposed site
may only have enough detail so that the resulting contours
provide enough information to the contractor. When using
a surface model it's also necessary to understand how the
model accommodates features like buildings, ponds, stairs,
and walls. In some cases multiple surface models are used to
consider the adjustments required for earthwork quantities.
For instance, one model may use an elevation in the pave-
ment areas that represents the subgrade as opposed to the
top of pavements.
5.4. 7. Adjustments to Earthwork Quantities
The ETO methods previously explained calculate the gross
quantity of cut and fill. That is, the quantities are computed
based on the existing topography and the proposed finished
grades. Computing final earthwork quantities includes adjust-
ments to the gross values of cut and fill to account for soil char-
acteristics, topsoil, subbase allowance, foundations, and other
items that affect the amount of displaced soil. Since earthwork
is a major expense for a project the adjustments are necessary,
considering that the adjustments may affect the computed
gross quantity by 10% to 30%. Frequently the client requests
the adjustment quantities separate from the gross quantities.
These adjustments are shown as separate volumes in a tabu-
lated format. This can be helpful when determining causes for
excess or deficient volumes. After all adjustments are made the
results are the net volumes of cut and fill.
45a i@UH¥I F@Hi4Mii
TAB LE 5 . 4 C ETD by Cross-Section Method
(1) (2) (3) (4) (5) (6)
STATION LENGTH (FT) AREA (FT2) AVERAGE AREA (FT2) INCR. VOLUME (FT3) ACCUM. VOLUME (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 7,500
2 + 50 0 72,500
CUT

0 + 50 0 0
50 0 0
1 + 00 0 0
50 100 5,000
1 + 50 200 5,000
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 23.9.
Column 5: INCR. VOLUME-the volume of cut or fill between the two cross sections. This is equal to column 2 x 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.

-----,sED
- 1CE

-
_ EXISTING
SURFACE

FIGURE 5. 4S Comparing DTMs.


Topsoil. Before any major grading operations begin (on
greenfield sites), the site is stripped of the topsoil. The topsoil
is stockpiled and used for planting and landscaping purposes
when the project is nearly complete. In high density resi-
dential projects and many commercial sites very little area is
available for landscaping. The resulting excess topsoil must
be either hauled away or disposed onsite.
Topsoil depths generally range from 6 to 18 inches. Esti-
mates for topsoil depths can be determined from the soils
report and the soil boring logs of the site. If the soils report
indicates a nearly uniform depth of topsoil, calculate the
topsoil volume assuming a constant depth over the graded
area. Some sites may have a large variation in topsoil depth
over the site. The engineer decides whether to use a uniform
depth or to divide the site into areas of nearly uniform
topsoil depth for calculations. The topsoil volume is the esti-
mated depth multiplied by the graded area. In most of the cases
the earthwork quantity will not be adversely affected if the top-
soil depth is assumed uniform over the entire graded area.
The gross volume of topsoil to be stockpiled is equal to
the topsoil stripped from both the cut and fill areas. The
stripped volume of topsoil from the cut areas is subtracted
from the gross cut volume.
Conversely, the volume of topsoil stripped in the fill areas
is added to the gross fill volume. The sum of these two values is
the volume of stockpiled topsoil. Topsoil reused in vegetated
areas is replacement topsoil. The vegetated areas are deter-
mined for both the cut and fill areas of the site. Calculated
replacement topsoil volumes in the vegetated areas of the cut
areas are added to the gross cut quantity and the replacement
topsoil volumes in fill areas are subtracted from the gross fill
quantity. The stockpiled topsoil volume less the replacement
topsoil volume is the net topsoil remaining.
When using computer modeling to determine earthwork
quantities, the existing grade DTM is modified to represent
the site after the required topsoil has been stripped. The
modified DTM is the surface that will then be compared
to the proposed surface. This eliminates the need to make
manual adjustments to the cut and fill quantities.
Subbase and Concrete Pads. Roads, concrete slabs, and
building pads consist of different layers of gravel, coarse
aggregate, concrete and wearing surface. The total thick-
ness of these layers depends on the bearing capacity of the
soil and the type of structure and ranges from 8 inches to
2 feet in typical situations. In extreme cases the thickness may
be double these depths. Concrete pads and the subbase for
residential houses have a thickness of 8 to 12 inches. Concrete
pads and subbase for parking structures and high-rise com-
mercial buildings typically are 18 to 24 inches thick. The
pavement structure for roads may be 12 to 24 inches thick.
To account for subbase and concrete thickness the earth-
work quantity is based on the subgrade elevation rather than
the finished grade elevation. Therefore in cut areas the base
volume of cut must be increased by the total volume of the
subbase, pavement, and concrete. In fill areas the pavement
and subbase volumes are subtracted from the base value of
the fill volume.
5.4 ■ GRADING 459
When using computer modeling to determine earthwork
quantities, it makes sense to create a DTM that represents
the surface that will result from mass grading of the site. For
example, the elevations defining the roadway would be set
at the bottom of the roadway box and not at finished grade.
This would also hold true for concrete pads and build-
ing foundations. In the case of mass grading for residential
subdivisions-where the lot is initially constructed lower
than finished grade-the mass grade elevations would be
incorporated into the surface.
This DTM, would for the purposes of earthwork calcula-
tions, be considered the proposed surface. This DTM would
then be compared to the modified for topsoil stripping sur-
face (as described above) to determine the earthwork quanti-
ties. This eliminates the need to make manual adjustments to
the cut and fill quantities.
Utilities. Accounting for soil volume for relatively narrow
shallow trenches is not typically done. As an example, the
volume of a trench 6 feet deep and 3 feet wide is equal to
0.67 cubic yard (CY) per linear foot. The volume of a 15-inch
conduit with 6 inches of bedding material is 0.10 CY per lin-
ear foot. If a 15% shrinkage factor is assumed, then the addi-
tional amount of soil required for backfill is compensated for
by the volume of conduit and bedding.
However, when the size of the trench becomes larger
or deeper than the shallow example described above, the
amount of trench backfill should be accounted for. The back-
fill volume is the volume of the trench less the volume of
conduit and bedding plus allowance for shrinkage. This con-
sideration may be necessary on projects that have significant
quantities of large utility systems.
Undercut. Another adjustment to the ETO must account
for the inadequate bearing capacity of the underlying soil
or other bad soil conditions (e.g., high shrink/swell char-
acteristics) or underlying rock layers. Although a thorough
subsurface investigation performed during early planning
stages usually alerts the design team of these undesirable
conditions, small pockets of poor soil conditions and rock
layers may not become evident until excavation exposes
them during construction. Nonetheless, the removal
(undercut) and replacement of this unsuitable material
must be accounted for in the earthwork quantities. If such
conditions cover wide areas and extend to great depths, the
removal and replacement with acceptable material becomes
costly. The undercut quantity is added to the cut volume as
well as the fill volume.
When using computer modeling to determine earthwork
quantities, making adjustments to the earthwork quanti-
ties to account for undercut can sometimes be facilitated by
usingDTMs.
Take for example a site that has bedrock so close to the
surface that rock will need to be removed to achieve fin-
ished grade. Further, assume that there is also rock exposed
at existing grade. In this scenario, the amount of cut would
need to be adjusted by the amount of rock removal and the
topsoil stripping quantity would need to be adjusted per the
surface rock. Figure 5.4T illustrates this concept.
4&o i@UH¥I F@Hi4Mii
_ _ _ _ n------..J r __ _._

FI GuRE 5 . 4 T Cross section of site with rock.

By comparing the proposed (mass) grade DTM to a DTM (a) If a site requires 10,000 yd3 of fill at maximum den-
representing the surface of rock, the volume of rock removal sity, how much borrow material should be excavated?
would be determined (equal to the cut quantity generated by To compute soil volumes in going from borrow
that comparison). The site earthwork cut quantity would be to fill or fill to borrow recognize that density is
adjusted by subtracting the rock removal quantity. inversely proportional to volume. The relative ratios
If there are areas on the site where bedrock is so close of the borrow and fill densities and volumes can be
to the surface that there is a thinner layer of topsoil or no expressed as
top soil at all, the topsoil stripping quantity would need
to be adjusted per the amount of rock encroachment. In Db =!'.t.. (5.4G)
Figure 5.4T, area B represents the volume of rock encroach- 01 vb

ment and can be determined by comparing the rock surface where the b and f subscripts refer to borrow or fill.
DTM to the DTM that represents the existing surface after Therefore, the required borrow volume is
the topsoil has been stripped. The amount of rock encroach-
ment would be the fill volume for this comparison and would 90 pcf 10,000 yd 3
be subtracted from the topsoil stripping quantity. 110 pcf l1i, (5.4H)
Shrinkage. Soil volume increases when it is displaced from or l1i, ""12,200 yd 3
its natural state due to the increase in the amount of voids.
Relative to soil in a natural state, soil used as compacted fill has (b) How much volume will 10,000 yd 3 of borrow mate-
a higher in place density in most cases. If the same dirt exca- rial occupy if placed at maximum density?
vated from a 1 CY hole is placed back into the hole without any
compaction efforts, there will be excess dirt. Later a depression 90 pcf
(5.41)
appears in the hole area due to natural settlement. If the dirt is 110 pcf 10,000 yd 3
placed back into the hole at a density higher than its natural or V, "" 8200 yd 3
state there will not be enough dirt to fill the hole. With the
added compaction, the amount of voids is less than the amount (c) What is the relative change in volume in parts a and b?
of voids of the naturally consolidated soil. Hence the reason
for the deficiency in excavated soil volume. This apparent Part a:
decrease in volume of excavated soil is referred to as shrinkage. 12,200 yd 3 -10,000 yd 3 = 22 %
The ratio of the remaining volume of the excavated hole after 10,000 yd 3
the original dirt has been replaced (with compaction) to the Part b: (5.4J)
total volume of the hole is the shrinkage factor. The amount of 12,200 yd 3 -10,000 yd 3 = 18 %
shrinkage can be measured relative to the volume of excavated 12,200 yd 3
material or relative to the volume of required fill.
To illustrate this last statement consider a soil with a den- Part c shows that relative to the required fill volume 22%
sity of 90 pounds per CY with 21.2 % water content in its more borrow material is required and relative to a given
natural state. Laboratory test results show that this same soil borrow volume the material reduces only 18% in volume
has a maximum density of 110 pounds per CY at optimum when placed at maximum density. Notice that the borrow
moisture content (OMC). volume reduces by the same amount in both cases, that is
 5.4 ■ GRADING 461

(12,200 - I0,000)/12,200 = 18% and (10,000 - 8200)/10,000 =
18%. Careful attention is warranted when specifying vol-
umes for fill and excavation projects. Payment for fill dirt
is typically based on the amount required to fill the hole (as
shown in part a above) and not the volume of the hole itself.
However, in most cases the cost of doing the work is based on
the amount of soil excavated. Since the density of excavated
soil is less than its natural state density, allowances must be
made for computing haul quantities.
Typical shrinkage factors may range from 10% to 30%
depending on the type of soil, the amount of compaction,
and the amount oflosses expected in hauling. In the previ-
ous example, the natural soil density is known. In most cases
the natural soil density is unknown and the engineer must
use judgment in estimating the shrinkage to make an adjust-
ment. This adjustment is typically made by increasing the
amount of fill that is reusable. This accounts for the increased
amount of soil required as a result of compaction.
5.4.8. ETD Plan Content
The earthwork plan can be developed as a cut/fill color map
with color banding, which is easily accomplished through
software processes. A cut/fill color map allows for a quick
interpretation of the site's cut and fill locations. The map
should have a legend with appropriate ranges of cut and
fill depths-cut areas are usually depicted as shades of red
whereas fill areas will be depicted as shades of blue. A mid-
dle range from ±1 foot will show areas of minimal (or no)
earthwork. Additionally, a map with numeric values may be
provided for detailed descriptions of the cut and fill condi-
tions-this deliverable is similar to one that may be gener-
ated with the grid method for ETO (Figure 5.4U).

I Dwwbwar·

D
- .,-~~---------- ,::-:-- ~ ~ . ~
..~o ·: - ~

I ../ • _,..,. • ,•"- •J J~?~ r --

0
I- ::_

I~ .:
l
0 0
1. Plan view showing existing and proposed grades with color-coded hatch
to identify areas of cut and fill. Cut and fill numeric values may be shown.
2. Corresponding legend for intervals of cut and fill depth (typically shown
as red for areas of cut and blue for fill).
3. Notes for total quantities of cut and fill , with qualifies and assumptions
listed
4. Exhibit, as required, to note any assumptions about topsoil depth,
pavement depth, undercut conditions, etc.

FIG uRE 5.4U Cul/fill map plan content.

 CHAPTER 5.5
STORMWATER
5.5.1. Introduction
Each refinement to the site layout can impact the stormwater
management strategy and design requirements. The storm-
water management strategy, developed in early phases of
design, should be monitored throughout the design process
to verify the proposed systems are still suitable.
As identified in Chapter 3.5, stormwater systems focus on
management of stormwater, quality of stormwater, or both.
For stormwater management the goal is to reduce the post-
development runoff condition to match (or improve upon)
pre-development conditions for both flow rates and volume.
Best management practices (BMPs) focus on the quality
of the runoff and are provided to reduce the pollutants in
stormwater runoff. Some systems can provide both manage-
ment (rate, quantity control) and quality benefits.
The design of these systems is directly influenced by the
development of the site; the land cover conditions and drain-
age areas will determine the final design of each system.
After determining the proposed strategy, in earlier phases of
design, the final design will refine any assumptions to model
each proposed system. The final design effort for stormwa-
ter systems is often reserved for the last phases of design if
the layout of the site is still being modified. Even minimal
changes to the building size, number of parking spaces,
or amount of sidewalk can influence the system design
requirements.
The stormwater infrastructure of a project is part of a
much larger network. The changes to land cover conditions,
even when mitigated in accordance with regulatory require-
ments, will still impact the regional hydrologic and hydraulic
conditions. Many jurisdictions will require an analysis of the
impacts from the site to a downstream point, often defined
by a ratio of total drainage area compared to project limits.
462
5.5.2. Hydrologic Runoff Computations
Stormwater management system design is determined by
first evaluating the pre-development and post-development
runoff conditions. In the pre-development condition, the site
is evaluated to determine the existing outfall points based on
the drainage divides of a site. At each outfall point the storm-
water runoff rate and volume is evaluated. The analysis often
focuses on the outfall points of a site because each outfall
system will have a different baseline condition and capacity.
For instance, one outfall point might be a storm pipe convey-
ance system that has been engineered to convey a specific
amount of runoff. A separate outfall point might be a natu-
ral stream that requires additional protective measures with
more stringent criteria on how the runoff rate and volume
can be changed.
In the post-development condition, the drainage areas
are often evaluated when sizing the stormwater conveyance
network (refer to Chapter 5.6). In most cases, the drainage
area for each collection point (inlet or channel) is used to
size the conveyance network. The aggregate of all smaller
drainage areas can be used to determine the total drainage
area and land cover condition to the proposed stormwater
management systems. Ideally, the design of the conveyance
system uses a model that includes the stormwater manage-
ment system. Large conveyance networks can influence the
hydrology and hydraulics of a stormwater management sys-
tem. For instance, the time of concentration to inlets is likely
5 minutes, but the total time of concentration from all inlets
and pipes in a project may be 10 minutes or more because of
the travel time.
Additionally, some stormwater management systems and
conveyance networks are often used in series. A series of
systems may be designed to first treat the runoff for quality,
 5.5 ■ STORMWATER 463

before conveying water to a larger detention system. There

TA BLE 5 . 5 A Roughness Coefficient for
may also be multiple stormwater management systems that
discharge to the same outfall point with varying times for the Sheet Flow
peak discharge, which would influence the total peak rate of SURFACE DESCRIPTION N*
runoff to an outfall.
Time of Concentration Calculation. The time of concentra- Smooth surfaces (concrete, 0.011
tion variable tc is important to compute for both hydrologic asphalt, gravel, or bare soil)
methods (rational and NRCS). With very small drainage area
computations (e.g., area of an inlet on a road), the minimum Fallow (no residue) 0.005
time of concentration of 5 minutes is used. For larger areas, the Cultivated soils:
NRCS method for determining tc consists of computing the
Residue cover ~20% 0.06
travel times associated with runoff over three distinct types of
Residue cover >20% 0.17
flowpaths (sheet, shallow concentrated, and concentrated) as
described below, but there are several acceptable methods for Grass:
calculating the time of concentration. Short grass prairie 0.15
1. Sheet flow is the initial phase of runoff character- Dense grassest 0.24
ized as flow over plane surfaces. The flow depth is Bermuda grass 0.41
very shallow (less than 0.1 foot), and consequently Range (natural)
the Manning's roughness coefficient is modified to
reflect the increased effects of drag from surface Woods:+
irregularities. Sheet flow is assumed to occur for Light underbrush 0.40
distances less than 200 feet. The NRCS has guid- Dense underbrush 0.80
ance suggesting that 100 feet is the likely maximum
distance for sheet flow calculations. The travel time *The n values are a composite of information compiled by Engman (1986).
11ncludes species such as weeping lovegrass, bluegrass, buffalo grass, blue grama
is given as
grass, and native grass mixtures.
1When selecting n, consider cover to a height of about 0.1 ft. This is the only part of
7: = 0.007 (nL) 08 (5.5A) the plant cover that will obstruct sheet flow.
t (~)05 504
Source: USDA, TR-55.

which is the kinematic solution to Manning's

equation. In Equation (5.SA) T 1 represents the travel
time in hours, n is the effective Manning's n as given
in Table 5.SA, L is the flow length in feet (less than
200 feet), P2 is the 2 year-24 hour rainfall (inches)
derived from local rainfall data, and S is the slope
of the hydraulic grade line that is assumed to be the
same as the average land slope (ft/ft).
2. Shallow concentrated flow occurs after sheet flow.
The travel time for shallow concentrated flow is
T=-L- (5.5B)
3600V
where V = 16.1345(s) 05 for unpaved sufaces
20.3282(s) 05 for paved surfaces
where Vis the average runoff velocity (fps), Lis the
flow length (ft), and the travel time Tis in hours.
3. Concentrated flow occurs when runoff collects into
defined open channels, which, according to NRCS,
are visible on aerial photographs, appear as blue lines
on USGS quadrangle sheets, where surveyed cross-
section information begins, or field verification. For
urban drainage conditions (inlets and pipes), runoff
to a drainage system is immediately converted to con-
centrated flow in a pipe. Travel time in open channels
is determined from the average velocity at bank-full
flow. Manning's equation for open channel velocity is
(5.5C)
where Vis the average velocity (fps), Sis the slope of
the hydraulic gradient (channel bed slope in the case
of uniform flow) (ft/ft), and n is Manning's rough-
ness coefficient (values are found in most hydraulic
handbooks). The hydraulic radius R is defined as
the cross-sectional flow area divided by the wetted
perimeter (AIP). The travel time for open channel
flow is determined from Equation (5.SB) using the
velocity obtained from Manning's equation.
When computing the various components of the time of
concentration, the values of the velocities must be carefully
reviewed to determine if they are realistic. Many assumptions
made about the land characteristics (e.g., roughness coeffi-
cient, uniform ground slope, vegetation height, and stream
channel geometry) may give unrealistic values. For example,
4&4 i@UH¥I F@Hi4Mii
given the same slope and distance, the time may be com-
puted as 10 or 15 minutes depending on whether the grass is
classified as short prairie (n = 0.15) or dense (n = 0.24).
There are several acceptable alternative methods for
computing time of concentration beyond what it presented
in this text (some are introduced in Chapter 3.5). For large
drainage areas, where it's difficult to confirm land cover and
conveyance systems, a more general approach to the calcula-
tions may be acceptable.
Time of Concentration Plan Content. Depicting the flow
path and computed time of concentration can justify the
intensity values used for the associated hydrologic method.
A map of pre-development conditions with the time of con-
centration flow path is often shown (a schematic version is
shown in Figure 5.SA). Assumptions about the associated
variables, such as Manning's coefficient and when the tran-
sitions from sheet, to shallow, to concentrated flow can be
shown. In the post-development condition, a flow path can
be shown for large areas, but generally it isn't necessary for
smaller drainage areas into inlets. Additionally, in the post-
development condition, the storm drainage computations
may be referenced when identifying time of concentration
based on velocity and pipe length.
FIG uRE 5 . 5 A Time of concentration plan content.
EXISTING 10 AC SITE
A B
3AC
FIG uRE 5. 5 B Sample plan for example.
Rational Method Example. Using the rational equation to
determine peak runoff rates involves a systematic method
of determining a time of concentration to the design point,
finding the corresponding rainfall intensity, and applying the
rational equation. For each new design point, a new tc and
intensity are computed to determine the corresponding peak
discharge. As noted in Chapter 3.5, the rational method for
determining the peak flow is given by
Op= CiA (5.50)
where Qp is the peak discharge in cubic feet per second (cfs),
A is the drainage area in acres, C is a runoff coefficient char-
acteristic of the ground surface (0 < C < 1), and i is the aver-
age rainfall intensity (in/h). While the range of the runoff
coefficient extends to 1, most impervious areas use a maxi-
mum value of 0.95.
In this design example (schematically shown in
Figure 5.5B), the rational method is used to determine
both the pre-development and post-development peak
flow condition. The site is 10 acres, with an existing ground
cover condition of both forested area and grass fields. In the
developed condition, the site is primarily developed, with
CONCENTRATED FLOW
500'
Slope= 7%
n = 0.03
__... ..,
l POINTOF
ANALYSIS
PROPOSED 10 AC SITE
A B
2AC SAC
 5.5 ■ STORMWATER 465

some open space. The site has two primary outfall points:
TAB LE 5 . 5 C Post-Development Rational
AandB.
To determine the applicable intensity values, the intensity Method Analysis Example
duration frequency (IDF) curves, or table, should be used. In OUTFALL A OUTFALL B
this example, the IDF curve published in Chapter 3.5 will be
used to determine the intensity for 5-, 10-, 15-, and 20-minute Area 2 acres 8 acres
time of concentration values (storm duration). The values for
Runoff coefficient (c) 0.80 0.80
the respective times are 6.8, 5.8, 4.8, and 4.0 in/h.
In the pre-development condition, 3 acres of grass Time of concentration 5 min 5 min
groundcover drains to outfall A, while 7 acres of forested area
drains to outfall B. A runoff coefficient of 0.30 is assigned to Corresponding rainfall intensity 6.8 in/h 6.8 in/h
outfall A and 0.20 to outfall B. The time of concentration
to outfall A is computed at 15 minutes, and to outfall B it is
computed at 20 minutes. These conditions are summarized post-development peak flow rate to a pre-development peak
in the Table 5.5B. flow rate. To achieve a reduction in the peak flow rate, the
These values result in the peak flow calculation of stormwater must be detained, reused, or infiltrated with a
stormwater management system.
QAPre= (0.30)(4.8)(3) = 4.3 CfS
Rational Method Limitation Example. To reiterate the
QBPr, =(0.20)(4.0)(7)=5.6 cfs (5.5E)
limitations of the rational method (usually restricted to a
Next, the site is evaluated under a post-development con- site with a homogeneous land cover condition) the following
dition. The proposed topographic conditions are designed example shows how a nonhomogeneous site can influence
to honor the natural drainage divides as much as possible, the peak flow calculations. Consider the situation given in
but outfall A has a modified drainage area of 2 acres while Figure 5.5C and determine the peak discharge at the outlet
outfall B takes the remaining 8 acres. The proposed devel- using the rational method.
opment is homogeneous in the land cover condition with a In this example the total site area is 6 acres, with half of
runoff coefficient of 0.80 for both outfall drainage areas. In a the site as undeveloped woods and the other half as a devel-
developed condition, with buildings, gutters, pavement, and oped site with parking. The site is sloped such that water
pipes, the time of concentration is significantly reduced to flows through the forested area to the developed part of the
the minimum 5 minutes. This information is summarized site. Assigning a runoff coefficient of 0.20 to the forested area
in Table 5.5C. and 0.85 to the developed area gives a combined total runoff
These values result in the peak flow calculation of coefficient for the site of

C= (0.20)x3 Ac+(0.85)x3 Ac _ 0 (5.5G)

QA Post = (0.80)(6.8)(2) = 11 CfS 6 Ac - ·53
QB Post= (0.80)(6.8)(8) = 44 CfS (5.5F)
Based on the region of the site, the 10-year storm event has
varying intensities based on the time of concentration, such
In this example, the development has created a condi-
that for 5, 10, 15, and 20 minutes, the intensity is 6.8, 5.8, 4.8,
tion in which the peak flow for outfall A is almost tripled
and 4.0 in/h, respectively.
from the pre-development condition. Outfall B receives a
The time of concentration is based on the hydrologi-
peak flow of almost eight times the original peak flow rate.
cally most distant point, the forested area. For the first
The difference in peak flow will likely need to be mitigated,
100 feet of shallow concentrated flow, the time is computed
which will require a stormwater management system. In
as 12 minutes, before transitions to shallow concentrated
most jurisdictions, the requirement is to match or reduce the
flow for the next 100 feet, which adds 3 minutes. The time
within the developed site and the pipe conveyance system
adds another 5 minutes to result in a total time of concentra-
TA BLE 5 . 5 B Pre-Development Rational tion of 20 minutes.
Method Analysis Example Analysis 1 will compute the peak flow by evaluating the
OUTFALL A OUTFALL 8 entire site as one large area with the time of concentration
previously identified. By the rational method, this results in
Area 3 acres 7 acres a peak flow of
Runoff coefficient (C) 0.30 0.20 O=CiA
0=(0.53)(4.0)(6)=12.7 cfs (5.5H)
Time of concentration 15 min 20 min
Analysis 2 will calculate the peak flow by evaluating the
Corresponding rainfall intensity 4.8 in/h 4.0 in/h
site as two separate areas: (a) the forested area and (b) the
466 i@UH¥I F@Hi4Mii
15M IN
Time of Concentration
FIG uRE 5.5C Example site.
developed area. The time of concentration for the forested
area remains at 20 minutes whereas the time of concentra-
tion for the paved area is 5 minutes.
oa = (0.20)(4.0)(3) = 2.4 cfs
Ob= (0.85)(6.8)(3) = 17.3 cfs (5.51)
The peak flow, just from area (b ), is significantly more than
the peak flow when the site was computed as a single area.
The condition occurs because the site is nonhomogeneous,
and the time of concentration significantly influences the
rainfall intensity used to compute the peak flow condition.
The peak flow at the outfall point is not a combination
of the computed peak flows (2 + 17) because those values
represent two different time of concentrations, and therefore
two different times at which the calculated peak flow occurs
(the actual peak flow is about 18 cfs).
This example begins to demonstrate some of the limita-
tions of the rational method. Additionally, the volume of
runoff is not easily computed using the rational method.
Stormwater quality systems (BMPs) are often designed to
provide quality control for a given volume of runoff.
Rational Method Plan Content. With final design plan
sheets, it's important to document the computations, includ-
ing any assumptions that have been made. A map of the pre-
development and post-development conditions is helpful
(especially when shown on the same plan sheet) in identi-
fying the changes to land cover and drainage divides. The
outfall points in the pre-development and post development
should also be clearly identified. A narrative should clearly
explain how the pre-development and post-development
conditions (outfall points, time of concentration, outfall
condition, etc.) were evaluated. Any corresponding compu-
tations and tables should be clearly formatted.
NRCS Method Example. As compared to the rational
method, the NRCS methodology is significantly more com-
plex. The computation of total runoff volume for a given storm
is relatively straightforward, but the determination of peak
flow requires more than a single equation. The complexity of
POINT OF
e 1
ANALYSIS
SMIN
Time of Concentration
manual computations suggests that computer models are the
most effective way to use the NRCS method, but it's important
to understand the underlying assumptions and equations.
NRCS Runoff Volume. The fundamental equation in the
NRCS hydrologic method for computing the volume of run-
off from a catchment area is
O= (P-1.)2 (5.5J)
P-!a+S
where Q is the runoff (inches) over the entire watershed, Pis
rainfall (inches), Sis the potential maximum retention (i.e.,
rain not converted to runoff) after runoff begins (inches),
and Ia is the initial abstraction (i.e., losses before runoff
begins). Values for I. depend on characteristics of the soil,
land use, and vegetation. Empirically, Ia is taken as equal to
0.2S where Sis given as
S= 1000 _ 10 (5.5K)
CN
and CN is the curve number that relates the runoff to land
characteristics. Using these relationships, the runoff can be
expressed in terms of S:
O= (P-0.2S) 2
P+0.8S (5.5L)
While the variable Q is shared between the rational and the
NRCS method equations, the variable with NRCS is used to
define the depth of runoff as opposed to the peak flow condi-
tion. The runoff depth is computed as a linear measurement,
which can be multiplied by the drainage area to determine
the volume of runoff. This equation only provides the run-
off depth in a single storm event; a different methodology is
required to determine the annual runoff volume (an annual
runoff volume calculation may be required when sizing
stormwater reuse systems).
In this design example, the NRCS method is used to
determine both the pre-development and post-development

runoff volumes. Like the rational method example, the pre-
development site is 10 acres with an existing ground cover
condition of both forested area and grass fields. In the
post-development condition, the site is primarily impervi-
ous, with some open space. The site has two primary outfall
points: A and B.
In the pre-development condition, 3 acres of grass
groundcover drains to outfall A, while 7 acres of forested
area drains to outfall B. The hydrologic soil group for the
site is B; the land cover conditions are "good:' Based on
these characteristics, the CN value is 61 to outfall A and 55
for outfall B. The time of concentration is not relevant for
the total volume computation, but the total precipitation
depth is needed. Based on the NOAA Atlas 14 precipitation
data (available online), the precipitation depth of a 10-year,
24-hour duration storm is 5.6 total inches. This information
is summarized in Table 5.5D.
The CN values are converted to S and runoff is calculated
from Equation (5.51) with the given inputs:
Q (5.6-0.2x6.4) 2 1 .
= -'------_:_ = 7 in
APre 5.6+Q.8x6.4 .
Q _ (5.6-0.2 X 8.2) 2
(5.5M)
1.3 in
BPre - 5.6+0.8X8.2
The result in the example identifies the total depth of
runoff as compared to the total rainfall depth of 5.6 inches;
roughly 23% to 30% of the rainfall is converted into runoff in
the pre-development condition. The volume is computed by
multiplying the runoff depth and area (3 acres to outfall A,
7 acres to outfall B) for a value of roughly 19,000 cubic feet
to outfall A and 33,000 cubic feet to outfall B (about 382,000
gallons total).
Next, the site is evaluated under a post-development
condition. The proposed topographic conditions are
designed to honor the natural drainage divides as much
as possible, but outfall A has a modified drainage area of
2 acres while outfall B takes the remaining 8 acres. The
proposed development is homogeneous in the land cover
condition with a new CN value of92 for both outfall drain-
age areas. In a developed condition, with buildings, gutters,
pavement, and pipes, the time of concentration is signifi-
cantly reduced to the minimum 5 minutes (note that the
time of concentration does not influence the volume of
TA BLE 5 . 5 D Pre-Development NRCS
Methodology Analysis Example
OUTFALL A OUTFALL 8
Area 3 acres 7 acres
Curve number (CN) 61 55
Time of concentration 15 min 20 min
5.5 ■ STORMWATER 467
TAB LE 5 . 5 E Post-Development NRCS
Methodology Analysis Example
OUTFALL A OUTFALL 8
Area 2 acres 8 acres
curve number (CN) 92 92
Time of concentration 5 min 5 min
runoff, only peak flow calculations). This information is
summarized in Table 5.5E.
The CN values are converted to S and runoff is calculated
from Equation (5.51) with the given inputs:
Q = (5.6-0.2x0.9) 2 = 4 7 in
APoS! 5.6+0.Bx0.9 .
(5.6-0.2x0.9) 2 .
Q = - - - - - = 4 ?in (5.5N)
BPoS! 5.6+Q.8xQ.9 .
The runoff depth in the post-development condition
for each area is identical at 4.7 inches, or about 84% of the
rainfall depth is converted to runoff. While the depth is
identical (because the CN values are identical), the volume
will vary based on the different size drainage areas. The vol-
ume is computed by multiplying the runoff depth and area
(2 acres to outfall A, 8 acres to outfall B) for a value of roughly
34,000 cubic feet to outfall A and 136,000 cubic feet to outfall
B (about 1,270,000 gallons total).
The post-development volume is more than three times
as much as the pre-development condition. This differ-
ence identifies the importance of stormwater management
systems that reuse water onsite (often for irrigation) or
infiltrate the water. Some stormwater management systems
are designed to match a post-development peak flow to pre-
development peak flow rates, but this additional volume
creates a condition where the peak flow rate is sustained for a
larger duration. The extended duration often creates erosive
conditions for extended periods of time.
NRCS Graphical Peak Discharge. A peak discharge
can be obtained from a direct runoff hydrograph. When
only a peak discharge is needed, the NRCS's graphical
peak discharge method can be used instead of develop-
ing an entire hydrograph. NRCS's graphical method for
determining the peak discharge, appropriate for homoge-
neous (i.e., uniform CN) watersheds and for 0.1 hour ::0: tc
::0: 10 hours, is found by
(5.50)
where qp is the peak discharge (cfs), qu is the unit (hydro-
graph) peak discharge (ft3/mi2 /in), Am is the drainage area
(mi2), Q is the runoff [inches, from Equation (5.5J)], and Pp is
the pond and swamp adjustment factor (Table 5.5F).
4&a i@UH¥I F@Hi4Mii
NRCS Dimensionless Unit Hydrograph. The NRCS and
TA BLE 5 . 5 F Adjustment Factor (Fp) for
others have developed natural unit hydrographs from data
Pond and Swamp Areas That Are Spread collected from catchments of widely varied size and locations
throughout the Watershed that were then converted to an "average" synthetic curvilin-
PERCENTAGE OF POND
ear dimensionless unit hydrograph shown in Figure 5.SE. To
AND SWAMP AREAS Fp simplify calculations, the curvilinear UH may be approxi-
mated by a triangular UH with similar characteristics. The
0 1.00 base of the triangular UH is 813 of the time-to-peak com-
pared with 5 for the curvilinear hydrograph. However, the
0.2 0.97 area under the rising limb of both hydrographs is identical.
1.0 0.87 The unit hydrographs are normalized (made dimensionless)
by expressing the discharge as a fraction of the peak dis-
3.0 0.75 charge (qlqp), and the time values as a fraction of the time
to peak (t!Tp)-
5.0 0.72 With respect to the triangular UH, the total runoff volume
Q (inches) is
Source: USDA, TR-55.
1
Q= 2.q P (Tp + T,) (5.5R)
Before engaging in this method, consider the following
limitations: where qp is the peak discharge (in.Jh), Tp is the time to peak
(hours), and Tr is the recession time (hours), which can be
• The watershed should be homogeneous with respect rewritten as
to the CN.
• The weighted CN should be greater than 40, 0.1::::; tc (5.5S)
::::; 10 hours and 0.1::::; I.IP:=;; 0.5.
where qp is the peak discharge for the unit hydrograph, A is
• The watershed should have only one main channel. If
drainage area in square miles, and 484 is included to place
there is more than one, all channels must have nearly
¾ of the area under the hydrograph under the rising limb.
equal t/s.
Changing the rising side of the UH to reflect watershed
• The method cannot perform reservoir or channel topography requires a change in the 484 peak rate factor. The
routing. peak rate factor has been known to vary from 600 for moun-
tainous regions to 200 in very flat swampy areas.
• The Pp factor is applied only for ponds or swamps not
From the relationship of the triangular hydrograph to the
in the tc flow path.
storm, duration Tp can be expressed in terms of duration of
To compute the peak discharge for a watershed unit rainfall excess and the time of concentration as

1. From appropriate maps, obtain the 24-hour rainfall (5.5T)

P for the design storm

2. Determine the CN for the watershed With proper substitution into Equation (5.5S), qp can be
expressed in terms of tc as
3. Determine I. from
726AQ
qp=-t- (5.5U)
Ia =0.2 ( 1000
CN J-10
(5.5P) c

NRCS Method Plan Content. Similar to the plan con-

4. The unit peak discharge (qu) in cubic feet per square
mile per inch of runoff is determined from
log (qu) =Ca+ C, log (t c) + Cilog(tcll 2 (5.5Q)
where coefficients for C0, C1, and C2 are given in Table 5.SG
for I.IP ratios. Figure 5.SD shows the graphical representation
ofEquation (5.SQ) for the NRCS type II rainfall distribution.
5. Determine the pond factor Pp, if applicable.
6. Use Equation (5.50) to find the peak discharge.
tent described with the rational method, the pre- and post-
development drainage information should be provided within
the plan sheet. Depicting the pre- and post-development land
cover condition provides a record of the assumptions and
variables used in the NRCS calculations. The CN values used
with the computations are influenced by the hydric soil con-
ditions, so it's often necessary to reference a soils map. For
the NRCS method, it's also beneficial to depict the pre- and
post-development hydrographs (if a computer model is used
for the computations). The hydrographs provide a record of
how the peak flow rate has been determined based on the
 5.5 ■ STORMWATER 469

TA BL E 5 . 5 G Coefficients for Determining qu

RAINFALL TYPE '2/P Co Ci ~

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
Ill 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 -0.11500
0.50 2.17772 -0.36803 -0.09525

Source: USDA, TR-55.

varying runoff rates throughout the storm event. The hydro-
graphs may also identify how the time at which peak flow
occurs has changed, which could affect the analysis of other
connected systems.
5.5.3. Stormwater Management System Design
When considering the design of any stormwater manage-
ment detention facility, it is important to understand that the
critical volume of storage needed to detain the flow back to
a certain release rate is based on a simple premise: as flow
enters the facility (inflow, I), it needs to be either stored
(storage, S) or released (outflow, O).
More specifically, as a flood wave passes through a stor-
age facility, it is both delayed (time) and attenuated (peak) as
it spreads over the pool surface. The amount of attenuation
depends on the stage-storage characteristics of the facility
and the stage-discharge characteristics of the outflow struc-
ture. The amount of attenuation and delay is reflected in the
shape of the outflow hydrograph and the position of the peak
outflow. Perhaps the most widely used method of reservoir
routing, where the relationship between the rate of outflow
and amount of storage is nonlinear, is the storage indication
method, also known as the modified Puls method.
To employ this method, the known parameters must
include (1) inflow hydrograph, (2) stage-storage relationship,
and (3) stage-discharge relationship.
Underlying assumptions behind this routing method are
that the reservoir water surface is always level and that the
outflow from the facility 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 Mis the change in storage t:.S. This continuity principle
is mathematically expressed as
1-0 = A.S (5.5V)
M
410 i@UH¥I F@Hi4Mii

800

600
500

400
1,1,1
1::1
ai::
:cc 300
CC-
u::::
!!!E
Cl Ill
:.::~ 200
...
CC...;
:,

=--
II, O"

z
:::,

100

80

60

so~----------------------------------------"""""ll'""'"'l,_
.1 .2 .4 .6 .8 1
....
8 10 2 4 6

TIME OF CONCENTRATION
(Tc), (HOURS)

FIGURE 5, 5 D Unit peak discharge (qJ for NRCS type II rainfall distribution. (Source: USDA, TR-55.)

1.0

.9

.8
C,
0 .7
C,
a: .6
0
Cl.
.5
I
.4

.3

.2

.1

0
4

t-----=======-T
~Tp -b-- Tr ___. .,:,
VTp
FIG uRE 5. 5 E Dimensionless curvilinear UH with NRCS's triangular UH. (Source: USDA, NEH-4.)
 5.5 ■ STORMWATER 471

Inflow Vol = 1" \ 1"+ 1At

Outflow Vol =0"1"+ 1At
Q Q
In+1----,
In-+--.1.1

In+1

In
ft
j
On+1
On

tn tn+1

b) Tim•

FIG uRE 5. 5 F Storage change (a) in a reservoir (b) from inflow-outflow hydrographs.
(Courtesy of Haan, C.T., and B.J. Barfield, Hydrology and Sedimentology of Surface Mixed Lands.
Copyright© 1978 by the Office of Continuing Education and Extension, College of Engineering,
University of Kentucky, Lexington, Kentucky, 40506.)

With reference to Figure 5.SF, the equation in discretized for-
mat where the subscripts n and (n + 1) represent the values at
the beginning and ending points of the M increment is
( ln+ln+1 _ On+On+1)M=S -S (5.5W)
2 2 n+1 n
Rearranging terms to get the known quantities on the left
side of the equality gives
(5.5X)
where I is the inflow, 0 is the outflow, S is the storage, and t
is the time, and the right side of the equation is the storage
indication variable. The increment of l::i.t is selected such
that the hydrograph shape between the values of In and In+I
and On and On+i is approximately linear. The graphical rep-
resentation of this equation is shown in Figure 5.SF. In the
calculation process, the stage-storage and stage-discharge
relationships are used to develop a storage-indication dis-
charge relationship; this curve is then used to find the value
ofOn+I·
Note that these calculations are often performed by com-
puter models, but the site engineer should understand the
methodology used. Additionally, the documentation of the
system design should show stage-storage and inflow/outflow
conditions. This information provides a record of the origi-
nal design parameters.
412 i@UH¥I F@Hi4Mii
Principles of Hydraulic Design. A stormwater manage-
ment facility usually consists of an impoundment area, a
principal spillway structure, and an emergency spillway.
The impoundment area may be a natural depression, dam
embankment, a completely excavated impoundment, a struc-
tural (constructed facility such as a vault with a clearwell),
or some combination thereof. The principal spillway usually
consists of an outlet conduit through the embankment or
from the clearwell, draining to the outfall channel. Often, the
principal spillway incorporates a control structure referred
to as a "riser" structure, with a combination of orifice open-
ings and weirs to regulate the amount of flow passing through
it. The emergency spillway may be a channel cut around/
through a portion of the dam embankment or an overflow
mechanism built into the clearwell.
The design of these control structures is based on the fun-
damentals of hydraulics.
For the spillway configuration, a stage-discharge relation-
ship, that is, rating curve, is developed. To develop the rating
curve, one must understand how water flows over weirs and
through orifices and culverts.
Discharge through an orifice is given by
0= C X AX ✓2 X gx H (5.5Y)
where C is a coefficient (typically= 0.6), A is the area of ori-
fice opening (square feet), g is the gravitational acceleration
that is equal to 32.2 ft/s2, and His the height of water (feet) in
the pond above the centroid of the orifice, or the difference
in water surface elevations on the upstream and downstream
sides of orifice.
Discharge over a weir is computed as
O=C XL X H312 (5.52)
where C is a weir coefficient (usually C = 2.5 to 3.3), Lis the
weir crest length (feet), and H is the height (feet) of water
above weir crest.
If the weir is submerged (water elevation on downstream
side of the weir is above weir crest), the effect of submergence
on the computed discharges should be checked. Values of the
orifice and weir coefficients and the effects of submergence
on weirs can be obtained from hydraulics manuals such as
Brater and King (1976).
For flow through a pipe or open channel, use Manning's
equation. For a culvert, use the equations and nomograph
from the publication Hydraulic Design of Highway Culverts,
Hydraulic Design Series No. 5 (HDS-5) by the Federal High-
way Administration (FHWA) or the FHWA software HY-8
can be used. HDS-5 provides methods for analyzing and
designing pipes of all different sizes, shapes, and materials,
to determine the energy or head loss associated with a given
discharge for both inlet and outlet control conditions. (See
Chapter 5.6 for procedures on culvert design.)
A drop inlet spillway should be designed so that full flow
is established through the culvert and riser at as low head
over the riser crest as practical. This should be measured
against the condition where the head over the top of the
riser becomes so large that the riser begins to act as an ori-
fice instead of a weir. If the top of the riser acts as an orifice,
and the riser and outlet pipe are flowing partly full, surging
and vibration can occur. This unstable situation can result
in damage to the spillway, as well as excessive noise during
operation. To prevent this, the riser should have a larger
cross sectional area than the outlet pipe. To determine if
the top of the riser is flowing as a weir or an orifice, the
discharge is computed for a given water surface elevation
using both the orifice equation and the weir equation. The
equation that gives the lesser amount of flow is the control-
ling equation.
Depending on the hydraulic characteristics of the cul-
vert, there may be certain water surface elevations where the
potential flow through the riser exceeds the capacity of the
culvert. The flow through riser is then restricted by the out-
flow pipe of the riser structure. In such cases the actual flow
through the riser-culvert system is dictated by the capacity of
the culvert at those specific water surface elevations. This is
referred to as culvert control, and the stage-discharge curve
(i.e., the rating curve) must reflect this condition.
The inlet control nomographs or equations from HDS-5
may be used to check inlet control, but it should be noted
that these nomographs were developed for highway cul-
verts; attaching a riser or other clearwell control structure
to the end of the culvert will likely alter the flow conditions
somewhat. The configuration and relative sizes of the riser
and outlet pipe will determine how closely the riser and out-
let pipe resemble a highway culvert in terms of hydraulic
function.
Multiple Stage Riser Design. Depending on the design
objectives for the facility, the outlet structure may consist of a
simple culvert through a dam or it may consist of a drop inlet
spillway with a more complicated weir/orifice riser structure.
Figure 5.SG shows a riser structure designed to meet several
objectives. Table 5.SH shows a spreadsheet set up to calcu-
late the discharge from a multistage riser, specifically the one
detailed in Figure 5.SG.
Riser Calculation Example
Orifice: Columns Q 1 and Q2 represent the discharge
through the 6- and 12-inch-diameter orifice, respec-
tively. The discharge is computed using Equation (5.SY).
Column Q3 is the discharge through the top of the riser
as computed using Equation (5.SY). This is used as a
comparison with Q3 of the weir to determine whether
the spillway is under orifice flow or weir flow control.
For example, the discharge through each orifice for water
surface elevation 111 feet is
01 =(0.6)(0.196J-/2g(111-100.75) =3.0cfs
(5.5AA)
Q2 = (0.6)(0.785).f2g(111-105.5) = 8.9 cfs
03 = (0.6)(28.27).f2g(111-110) = 136.1 cfs
 5.5 ■ STORMWATER 473

TOP OF DAM EL.=116' TOP or RISER

WEIR EL.=110'
EMERGENCY SPILLWAY
3' WEIR INV= 109'
CREST EL.=113'
12" DIA. ORIFICE
INV=105'
6" DIA. ORIFICE
INV=100.5'

0 in
ci ci
0 0
II II
> PRINCIPAL SPILLWAY >
:!: :!:
PROFILE
NOT TO SCALE

RCP

n 6'0

.....-r---.--..
I I
TOPor RISER,
__/ WEIR EL=110'
3' WEIR INV=109'
TOP or DAM
- -~
I
I
O I 12" DIA. ORIFICE
INV=105' ~ ---------------------
SPILLWAY---- ,~~-----~T1
. ,. Exist.

I
EMERGENCY
CREST EL.=113' 3- 1.. 20' .. I
Ground

~
6" DIA. ORIFICE
INV=100.5'
LENGTH
FRONT [L£VATION PLAN VIEW EMERGENCY SPILLWAY
NOT TO SCAL£ NOT TO SCAL£ CROSS SECTION AT CREST

FIG uRE 5 . 5 G Riser structure schematic details.

Weir: Columns Q1 and Q2 represent the discharge
through weirs at elevations below the top of the riser (in
this case there is no weir for Q2 column). The discharge
is computed using Equation (5.52). Q3 is the discharge
over the riser crest as computed using Equation (5.52).
As example, the weir discharges for water surface eleva-
tion of 111 feet are
01 =(3)(3)(111-109)312 = 25.5 cfs
Q3 = (3)(15.85)(111-110) 312 = 47.5 cfs (5.5BB)
Riser flow is the total discharge through the riser without
consideration of culvert capacity. The riser is assumed to
act as either orifice control or weir control, depending on
the discharges computed for Q3 (orifice) and Q3 (weir).
The lesser of these values dictates the type of control. If
Q3 (orifice) is less than Q3 (weir), the total flow through
the riser is Q1 (orifice) + Q2 (orifice) +Q3 (orifice). If the
top of the riser is weir control, the total flow through the
riser is Q3 (weir) + Q2 (weir) + Q3 (weir)+ Q2 (orifice)
+ Q3 (orifice). The riser flow for water surface elevation
111.0 feet is
Riser flow= 3.0 + 8.9 + 25.5 + 47.5 = 84.9 cfs (5.5CC)
Culvert capacity is the maximum discharge that the
culvert can convey for a given water surface (see
Chapter 5.6 for storm drainage design). The culvert
discharge analysis is given in Table 5.51.
Q P.S. W. (discharge through the principal spillway) is the
lesser value of either the riser flow column or the culvert
capacity column.
Q E.S. W. (discharge through the emergency spillway)
is computed using Manning's equation with the control
section.
Total flow is the sum of columns Q P.S. W and Q E.S. W
To summarize the preceding discussion, the spillway sys-
tem consists of the principal spillway (culvert and riser) and
the emergency spillway. The total flow through the system is
the sum of the principal and emergency spillway flows. The
flow through the principal spillway depends on the control-
ling component-either riser or culvert. The greatest flow
through the system can be no greater than the capacity of
any single component for the given water surface elevation.
For example, at elevation 110, the flow through the riser
is 19.9 cfs while the capacity of the culvert is 88.3 cfs. The
culvert would convey 88.3 cfs, if the riser structure were
not there to limit the flow to the culvert. At elevation 111.5,
the reverse is true. The potential flow through the riser is
135.3 cfs while the capacity of the culvert is 96.8 cfs. Since
the culvert is the limiting component, the culvert controls.
474 i@UH¥I F@Hi4Mii
TA BL E 5 . 5 H Spillway Rating Curve for Riser Structure
PROJECT: EXAMPLE RATING CURVE ENGINEER/DATE: GLC/11-19-O3
ORIFICE FLOW CULVERT RATING CURVE
CENTROID SIZE: 36 11 DIA. RCP
ORIFICE No. ELEV. AREA C DESCRIPTION ELEVATION DISCHARGE
1 100.75 0.196 0.6 6" dia. orifice 100.5 0
2 105.5 0.785 0.6 12" dia. orifice 102.6 20
3 (riser top) 110 28.274 0.6 72" dia. riser 103.8 40
105.55 60
WEIR FLOW 108.53 80
CREST EMERGENCY 112.07 100
WEIR No. ELEV. LENGTH C SPILLWAY FLOW
114.06 110
109 3 3 Crest Elev. = 113
Width= 20 116.18 120
2 118.08 130
Z=3
3 (riser top) 110 15.850 3 C= 120.11 140

ORIFICES WEIRS
RISER CULVERT O..sw TOTAL
ELEV. 01 ('2 ('3 ('2 Oa FLOW CAPACITY (CoNTROL) Oesw 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

(Continued)
 5.5 ■ STORMWATER 475

TAB LE 5 . 5 H Spillway Rating Curve for Riser Structure (Continued)

ORIFICES WEIRS
RISER CULVERT O..sw TOTAL
ELEV. Oi Ch Ch Oi Ch Ch FLOW CAPACITY (CoNTROL} Oesw FLOW COMMENTS

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

Note that the flow through the emergency spillway begins c. From site investigations, the 1000-foot length
at elevation 113.0. The total flow through the system is then of stream is rectangular in shape with average
the sum of the flow of the controlling component of the dimensions-bottom width = 4 feet and depth =
principal spillway (riser or culvert) plus the flow through 2 feet. Manning's n "" 0.03 and S = 0.004 ft/ft.
the emergency spillway. The composite rating curve of Using Equation (5.SC),
Figure 5.SH is obtained from the last column of Table 5.SI.
This curve represents the combined hydraulic effects of the V= 1.49 ( (2)(4) )0.61 (0.004)1'2=3.1 f s
individual spillway components. 0.03 2(2) + 4 p
Detention Pond Design Example. A SO-acre parcel covered
T, = 1000 = 0.09 h (5.5FF)
with brush and woods is projected for development into 40 I (3600)(3 .1)
acres of I -acre residential lots and 10 acres of commercial/retail
development. The site is located in southeastern Virginia. The d. The pre-development tc = (0.51) + (0.09) +
HSG is type B (fair condition). Using SCS hydrologic meth- (0.09) = 0.69 hours.
ods, determine a preliminary size of the detention pond and
the spillway to detain the 10-year-24-hour design storm and e. The CN = 65 is obtained from Table 3.SF
to pass the 100-year-24-hour storm without overtopping the for woods-grass category under HSG B (fair
embankment. Allowable discharge rate from the spillway for condition). Using Equation (5.SK),
the 10-year storm cannot exceed the pre-development peak
5= 1000 -10=5.4 (5.5GG)
runoff. Site constraints dictate that the maximum allowable 65
height of the embankment is 10 feet. A schematic diagram of
the project site is shown in Figure 5.SI. f. The 10 year-24 hour rainfall is 6 inches.
Substituting for P and Sin Equation (5.SL), the
1. The time of concentration and CN is needed for depth of runoff is
pre-development conditions to compute the pre-
development peak runoff rate. Q = {6-(0.2)(5.4)}2 2.3 in (5.5HH)
6+(0.8)(5.4)
a. The 2 year-24 hour rainfall depth is 4 inches,
and from Table 5.SA, n = 0.4. From topographic g. Since Ia= 0.2S, Ia= 1.08 and Ia!P = 1.08/6 =
maps of the site, the average ground slope for 0.18. Use Figure 5.5D [or Equation (5.SQ) with
the first 150 feet flow path of sheet flow runoff appropriate coefficients] to obtain qu = 305 cfs.
(shown A to Bin Figure 5.51) is 0.014 ft/ft. From Using Equation (5.50), the peak discharge for
Equation (5.SA) the travel time is pre-development conditions is

= (0.007)[(0.4)(150)] 08 = 0 _51 h
T,
I (4)05(0.014)04
(5.50D)
°
qP = (305{ 6540 }2.3) = 55 cfs (5.511)

b. The travel time for 700 feet of shallow con-
centrated flow (B to C on Figure 5.51) over an
average ground slope of 0.02 ft/ft (from a topo-
graphic map of the site) from Equation (5.58) is
V = (16.1345)(0.02) 112 = 2.3 fps
700
T, = 0.09 h
I (3600){2.3)
2. An inflow hydrograph, that is, direct runoff
hydrograph, is needed to design the principal spill-
way. To determine the inflow hydrograph, the CN
and tc for post-development conditions is needed.
The weighted CN value is
CN = 92(10 ac) + 68( 40 ac) = 73 (5.5JJ)
(5.5EE)
50
 TAB LE 5 . 51 Discharge through the Culvert
PROJECT: EXAMPLE RATING CURVE STATION: CUL\I
SHEET: DESIGNE

HYDROLOGICAL DATA CULVERT TYPE: RCP

METHOD: RATIONAL ENT. TYPE: SQ. EDGE WITH HEADWALLS
DRAINAGE AREA: 40 ACRES
DESIGN FLOWS/TAILWATER NO. OF PIPES = 1
R.I. (YEARS) FLOW (CFS) TW (FT) DIAMETER= 3
0 100
MANNING'S n = 0.013
20 101
Ke= 0.7
40 102
80 104 Eli= 100.5 ~ I-----

120 106 Ela= 100

160 106.5 EL1r=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
INLET CONTROL OUTLET CONTROL
CULVERT DESCRIPTION: TOTAL FLOW PER CONT
MATERIAL-SHAPE-SIZE FLOW Q BARREL Dc+D HI
ENTRANCE (CFS) QIN HW,/01 HW/- EL(H1) 3 TW4 De 2 ffo 5 KE ff& EL(Ho)7 ELEVA

1,3' dia. RCP, sq. 20 20 0.70 2.10 102.60 1.45 2.23 2.23 0.7 0.28 102.51 102,
edge with headwalls
II
30 30 0.90 2.70 103.20 1.5 1.80 2.40 2.40 0.7 0.64 103.03 103,
II
40 40 1.10 3,30 103.80 2 2.08 2.54 2.54 0.7 1.13 103.67 103,
II
50 50 1.33 4.00 104.50 2.5 2.32 2,66 2.66 0,7 1.77 104.43 104,
II
60 60 1.62 4.85 105.35 3 2.53 2.76 3.00 0.7 2.55 105.55 105,
II
70 70 1,96 5,88 106,38 3.5 2,68 2.84 3.50 0,7 3.46 106,96 106,
II
80 80 2.36 7.08 107.58 4 2.78 2.89 4.00 0.7 4.53 108.53 108,
II
90 90 2.82 8.45 108,95 4.5 2,86 2.93 4.50 0,7 5,73 110,23 110,
II
100 100 3.32 9.97 110.47 5 2.90 2.95 5.00 0.7 7.07 112.07 112,
II
110 110 3.88 11.63 112.13 5.5 2.93 2.97 5.50 0.7 8.56 114.06 114,
II
120 120 4.48 13.45 113.95 6 2.95 2.98 6.00 0.7 10.18 116.18 116,
II
130 130 5.16 15.47 115.97 6.125 2.97 2.98 6.13 0.7 11.95 118.08 118,
II
140 140 5.92 17.75 118.25 6.25 2.97 2.99 6.25 0.7 13.86 120.11 120,
II
150 150 6.81 20.43 120.93 6.375 2.98 2.99 6.38 0.7 15.91 122.29 122,
II
160 160 7.89 23.68 124.18 6.5 2.98 2.99 6.50 0.7 18.10 124.60 124,
1HW; based on plynomial best-fit equations from the FHA publication entitled Calculator Design Series #3.
2HW; may not be accurate for values <0.5D and >4.5D.
3EL(hi) = HW; + EL; (invert of inlet control section).
4 7Wbased on downstream control or flow depth in channel.
5h, = TW or (d, + D)/2, whichever is greater.
6H= (1 +K,(n'2L)/W1.33)V'2/2g.
7EL(ho) = E/0 + H+ h0.

........
,II,
41a i@U4ii ifodi41Mli
STAGE VS. DISCHARGE
116
....

r
- ~
114
...
112

E 110 :r ~
z
2 108
~
~
~ 106

104
)'

102

II
100
0 100 200 300 400 500 600
DISCHARGE (CFS)

FIG uRE 5. 5 H Typical spillway rating curve.

The increase in impervious area for the post- Assume the preliminary plans show that the length
development condition results in a decrease in tc and for post-development conditions is 100 feet and also
consequently an increase in peak runoff. It is reason - that there is little change in ground slope. The post-
able to assume a decrease in the length of flow path development travel time for shallow concentrated
for both overland flow and shallow concentrated flow flow is
due to the increase in imperviousness and addition
of pipes and inlets. For overland flow computation V= 20.3282(0.02) 112 = 2.9 fps
estimating L = 100 feet and assuming there is nominal
change in ground slope, the overland flow time for
0 100
(3600)(2.9)
= 0.01 h (5.5LL)

post-development conditions (assuming n = 0.24, i.e.,

dense grasses listed in Table 5.5A) is In computing the travel time for post-development
open channel flow, based on a preliminary layout, part
= (0.007){(0.24) (100)} 08 of the flow path will be in pipes and also part of the
T. 0 _13 h (5.5KK)
t (4) 112 (0.035) 04 existing stream will be improved to increase capacity.
Refined calculations for pipe design and capacity are
The initial 700-foot length used for shallow concen- provided in Chapter 5.6. If the length of flow path in
trated flow travel time will undoubtedly be changed. pipes is estimated to be 450 feet with an average diam-
eter of 2 feet, the travel time in the pipes is

A
0 67
V = ~(~) - (0.02) 112 = 10.2 f s
P 0.013 4 p
B
• 0 450 =0 .01h (5.5MM)
(3600)(10.2)
C
•
The preliminary design projects, the improved
stream to be increased in size to 5 feet wide and
3 feet deep (n,.,, 0.02) with a new channel length of
700 feet. The corresponding travel time is

V. = 1.4 9 ( (5) (3) )(0.008) 112 = 8.2 f s

Proposed st 0.02 2(3) + (5) p
SWM Facility
T. (700) = 0.02 h (5.5NN)
FIG uRE 5. 51 A 50-acre parcel for detention pond design. t (3600)(8.2)
 5.5 ■ STORMWATER 479

The tc for post development conditions: tc = (0.13) +
(0.01) + (0.01) + (0.02) = 0.17 hours.
3. The inflow hydrograph is computed using
TR-55 tabular method. As with the pre-
development peak discharge computations,
values of S, Q, Ia, and I.IP are required. The results
are shown in Figure 5.5J. (Note that the tabular
method only applies to 24-hour storm durations.)
From the inflow hydrograph, the runoff peak dis-
charge is 190 cfs.
In order to get an initial estimate of the storage
volume needed, draw a line from the point where
significant runoff begins to the target discharge
release rate on the falling limb of the inflow
hydrograph. This line represents the rising limb
of the outflow hydrograph. The area between
this line and the inflow hydrograph represents
the storage of the pond. For this example, the
initial estimate for storage is about 4 acre-feet
("" 170,000 cubic feet). This methodology is ben-
eficial in both preliminary design efforts and
final design efforts.
For example, since the embankment height is limited
to 10 feet, the maximum depth of the water is 9 feet
(if 1 foot is allowed for freeboard). Allowing for
2 feet of depth (as a first guess) over the crest of the
weir for the 100-year storm sets the weir elevation
at 147. This limits the depth of water over the low-
flow orifice to 7 feet. Based on these assumptions,
the diameter of the orifice is
55 cfs = (0.6)(A)( ✓2g 7)
or (5.500)
A= 4.3 ft 2
which corresponds to a diameter of 2.3 feet.
A 27-inch-diameter hole is selected.
By the same procedure used to determine the pre-
development peak discharge for the 10-year storm,
the 100-year-24-hour post-development peak dis-
charge is found to be 362 cfs. (Use P 100 = 9 inches,
weighted CN = 73, and tc = 0.17 hours.) Using a
depth of 2 feet over the crest of the weir determines
the length of weir needed to pass 362 cfs.

Before the pond is graded using this as the target 362 cfs = 3.0(L)(2 312 )
volume, the site is assessed as to the controlling con-
or L "' 43 ft (5.5PP)
straint, area or depth, or perhaps other limitations.
To verify the orifice diameter, weir elevation, and
length, the inflow hydrograph is routed through the
pond. Hydrologic routing using Equation (5.SX)
is found in most hydrology textbooks. Long-hand
200 Paok Inflow = 190 eta
calculations are tedious, and although it is good
practice for an engineer to have performed such
175 calculations at least once, routing calculations are
typically done using computers and appropriate
software.
150
Figure 5.5K shows the outflow hydrograph for the
Estimate of Storage
.. 170,000 f!J routed 10-year inflow hydrograph. Note that the
'.!° 125 peak discharge of 51 cfs is less than the maximum
~
•e' allowable peak discharge of 55 cfs. The orifice size
Q and/ or weir length would have been modified if
.
-£
i5
100
the outflow peak discharge had been substantially
higher or lower than the maximum allowable 55 cfs.
75
Allowable RalaoH Raia Similar procedures are followed if the detention
55 cf• facility is required to attenuate peak discharges for
Approximated
Rl1lng Limb other storm events. Multistage riser structures (those
50 Of Outflow
Hydrograph
with multiple weirs and orifices) can be designed for
this purpose.
25
Note this example did not consider any factors that
might reduce the flow through the spillway. In the
analysis, consideration must be given to downstream
11.0 11.5 12.0 12.5 13.0 13.5 tailwater effects that may cause a culvert to function
Tim• (hrs)
as outlet control rather than inlet control or may
submerge a weir structure, thereby reducing the
FIGURE 5,5J Inflow hydrograph. effective discharge coefficient.
4ao i@UH¥I F@Hi4Mii
exiting the spillway. Riprap lining or energy dis-
200 sipators may be necessary. The FHWA's Hydraulic
Peak Inflow =190 efs
Engineering Circular No. 14, Hydraulic Design of
Energy Dissipators for Culverts and Channels gives
175 examples and procedures for design.

The slopes of the embankment must be such that the

150 allowable foundation pressure is not exceeded but is flat
enough to prevent sloughing. Generally, 3H:1V or 4H:1V
Actuol Storage
= 174,240 Ac-ft. slopes are adequate and are flat enough that maintenance
125 (mowing, etc.) can be accomplished.
The minimum recommended dam top width is 8 feet.
•~ Table 5.5J, excerpted from TR-60, lists minimum dam
100
0
I:
top widths for varying dam heights as recommended by
u the NRCS. However, the dam top width may need to be
II
i5
75
increased to meet local standards, allow for different zones
Peak Outflow =51 efs of material within the embankment, or to allow traffic to
cross the dam. A typical profile of a dam embankment is
50 shown in Figure 5.5L.

5.5.4. Stormwater Quality Calculations

25
11.0 11.5 12.0 12.5 13.0 13.5 14.0
Time (hrs)
FIG uRE 5. 5 K Inflow-outflow hydrograph.
Some items to be considered in designing a spillway
structure include the following:
e Reinforced concrete outlet pipes are recommended
and must be of sufficient strength to support the
embankment fill.
e All joints in the riser and outlet pipe should be made
watertight. This is especially important for a wet
pond, but it is also good practice for a dry pond.
e The riser should be designed to withstand buoyant
forces, with a minimum factor of safety of 1.3.
e Vortex action at the top of the riser should be con-
trolled. An anti-vortex plate or a headwall may be
used to prevent a vortex from forming as the water
enters the riser. Anti-vortex devices can often be
incorporated with a trash rack.
• Trash racks or other debris control devices should be
used to prevent the spillway from becoming clogged.
The FHWA's Hydraulic Engineering Circular No. 9,
Debris Control Structures gives examples and guide-
lines for design.
• The outfall channel downstream of the spillway
should be protected from erosive velocities of flow
As discussed in Chapters 2.5 and 3.5, the Clean Water Act
(CWA) regulates the restoration and maintenance of the
chemical, physical, and biological integrity of the nation's
waters. BMPs are systems designed to mitigate pollution.
Each jurisdiction will prescribe a threshold of development
size (or type) that warrants the need for a BMP. A variety of
systems are available with different mechanisms for pollut-
ant removal, as outlined in Chapter 3.5.
Pollutant Loads. As a result of laws such as the CWA,
designers are often required to reduce the amount of pol-
lutants leaving a development area to some percentage of
pre-development levels. This generally involves quantifying
the pre- and post-development pollutant loads from some
key pollutants (frequently nutrients). The engineer then
attempts to reduce the post-development loads by imple-
menting some form of BMP.
There are several methods for estimating the quantity
of pollutants generated from a site. One method involves
using the event mean concentration (EMC) to calculate
TABLE 5.5J Top Width of Dam versus
Embankment Height
TOTAL HEIGHT OF MINIMUM
EMBANKMENT (FT) TOP WIDTH (FT)
<14 8
14-19 10
20-24 12
25-34 14

Typical Dam Embankment Profile
(Not To Scale)
Normal
Pool
/II r, /I
FIG uRE 5. 5 L Typical dam embankment profile.
the mass of runoff pollutants for each rainfall event and
then summing the average number of rainfall events per
year. Other methods for estimating the pollutant runoff
from non-point sources involve the use ofUSGS regression
equations.
EMC is the average concentration of pollutants per
storm event. The mass of runoff pollutants for each storm
event is the product of EMC and rainfall excess, as given in
Equation (5.SQQ).
L= Rx EMC (5.500)
where Lis the total mass load per rainfall event (mass/rainfall
event), R is the runoff per average storm event (volume), and
EMC is the event mean concentration (mass/volume).
To determine the yearly mass load of pollutants, L is
multiplied by the average number of storm events per year.
Table 5.SK lists the median EMCs by land-use category.
A variation of the EMC, or the mass-loading principle,
is outlined in Schueler (1987). This methodology calcu-
lates pollutant yield, in pounds, based on the concentration
of that pollutant per volume of stormwater runoff. Thus,
knowing the concentration of any water-borne pollut-
ant in mass per volume of water and knowing the volume
of stormwater runoff to be expected from a site over any
described period of time, a corresponding pollutant export
value is easily determined by
5.5 ■ STORMWATER 481
Dam Core (for
zoned embankment
only)
Pervious
Foundation
fl
Impervious
Stratum
L = ( (P)({~(R,) )cA(2.72) (5.5RR)
where Pis the rainfall depth (inches) over the desired time
interval over which the loading estimates are desired. For
annual loading estimates, P is the average annual rainfall. For a
load estimate for a specific design storm, Pis the rainfall for that
storm; Pj is correction factor for P that accounts for storms that
produce no measurable runoff. For individual storms Pj = I; R,
is a runoff coefficient to convert rainfall to runoff, equal to the
ratio of the storm runoff to storm rainfall. NURP data from 44
small urban catchments show that Rv = 0.05 + 0.009(1), where
I is the percent of site imperviousness; C is the flow weighted
mean concentration of the pollutant in urban runoff in mg/L as
given in Table 5.SL; and A is total site area in acres.
Each jurisdiction will have a prescribed removal rate and
procedure. The EPA maintains a summary list of state stan-
dards for stormwater, and localities may modify state require-
ments based on local watershed characteristics.
REFERENCES
Brater, E.F., and H.W. King. 1976. Handbook of Hydraulics for the
Solution of Hydraulic Engineering Problems, 6th ed. New York:
McGraw-Hill.
Schueler, T.R. 1987. Controlling Urban Runoff A Practical Manual
for Planning and Designing Urban BMPs. July. Metropolitan
Washington Council of Governments.
402 i@UH¥I F@Hi4Mii
TA BL E 5 . 5 K Median EMCs by Land-Use Category
RESIDENTIAL MIXED COMMERCIAL OPEN/NONURBAN

POLLUTANT MEDIAN CV MEDIAN CV MEDIAN CV MEDIAN CV

BOD (mg/L) 10.0 0.41 7.8 0.52 9.3 0.31
COD (mg/L) 73 0.55 65.0 0.58 57.0 0.39 40 0.78
TSS (mg/L) 101 0.96 67.0 1.14 69.0 0.35 70 2.92
Total lead (µg/L) 144 0.75 114.0 1.35 104.0 0.68 30 1.52
Total copper (µg/L) 33 0.99 27.0 1.32 29.0 0.81
Total zinc (µg/L) 135 0.84 154.0 0.78 226.0 1.07 195 0.66
Total Kjeldahl nitrogen (µg/L) 1,900 0.73 1,288.0 0.50 1,179.0 0.43 965 1.00
N0 2 - N+ N0 3 - N (µg/L) 736 0.83 558.0 0.67 572.0 0.48 543 0.91
Total P (µg/L) 383 0.69 263.0 0.75 201.0 0.67 121 1.66
Soluble P (µg/L) 143 0.46 56.0 0.75 80.0 0.71 26 2.11

(Source: Wanielista, Martin P. Stormwater Management. New York: John Wiley & Sons. Reprinted by permission of John Wiley & Sons, Inc.)

TA BLE 5 . 5 L Urban C Values for Use with the Simple Method {mg/L)
NEW SUBURBAN OLDER CENTRAL NATIONAL HARDWOOD
NURP SITES URBAN AREAS BUSINESS DISTRICT NURP STUDY FOREST NATIONAL URBAN
POLLUTANT (WASHINGTON, DC) (BALTIMORE, MD) (WASHINGTON, DC) AVERAGE (NORTHERN VA) HIGHWAY RUNOFF

Phosphorus
Total 0.26 1.08 0.46 0.15
Ortho 0.12 0.26 1.01 0.02
Soluble 0.16 0.16 0.04 0.59
Organic 0.10 0.82 0.13 0.11
Nitrogen
Total 2.00 13.6 2.17 3.31 0.78
Nitrate 0.48 8.9 0.84 0.96 0.17
Ammonia 0.26 1.1 0.07
Organic 1.25 0.54
TKN 1.51 7.2 1.49 2.35 0.61 2.72
COD 35.6 163.0 90.8 >40.0 124.0
BOD (5-day) 5.1 36.0 11.9
Metals
Zinc 0.037 0.397 0.250 0.176 0.380
Lead 0.018 0.389 0.370 0.180 0.550
Copper 0.105 0.047
(Source: 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)
 5.5 ■ STORMWATER 483

BROOKFIELD PARK WET POND RECONSTRUCTION/IMPROVEMENT

Location: Springfield, Fairfax County, VA
Client: Fairfax County Department of Public Works and Environmental Services
Completion Date: November 2014
Case Study: The project is within a public park in urbanized Springfield, Fairfax County, Virginia. The pond was built in
the 1950s and was rehabilitated once in 1982. Since then, the dam embankment had become overgrown with trees and
was at risk of failure, and the pond was plagued with algae blooms and poor water quality. Fairfax County's goals were
to stabilize the existing dam, increase water quality benefits, improve plant and aquatic habitats, and enhance the quality
oflife for the surrounding suburban community while educating the community on the project's positive impacts to the
environment and water quality.
Dewberry performed conceptual and final design, prepared final construction plans and specifications, and per-
formed construction administration services. Fairfax County desired to test and showcase new, innovative, and
sustainable stormwater treatment practices such as wetland cells (high and low marsh zones), floating treatment
wetlands (islands), a regenerative step pool stormwater conveyance (SPSC) outfall, and porous paving for the park-
ing area and maintenance access road. In addition, the spillway riser was designed to discharge base flow from below
the normal pool level to reduce temperature impacts to the downstream receiving channel and to detain/attenuate
discharges from more frequent storm events to reduce downstream channel erosion. Together these practices result
in a much more sustainable stormwater management system within Brookfield Park which will provide significant
environmental benefits.

Grasscrete
Access Road Forebays/
Micropools
(sediment and
nutrient removals)
Habitat
Logs

Porous Pavement
(Nutrient removal)

Outfall

In addition to the environmental benefits resulting from the sustainable design practices described above, one of the
design intentions was to improve the aquatic environment within the pond area so aquatic inhabitants can thrive-the
floating treatment wetland islands, high and low marsh zones and constructed underwater habitat provide cover, forage,
and spawning areas which will provide long terms benefits to the overall pond ecology.
The project's design and construction was considerate of the existing aquatic inhabitants and the surrounding suburban
community. Prior to construction, care was taken to relocate fish and other aquatic life from the existing Brookfield
Pond to nearby Lake Accotink. Several structures and features associated with the pond retrofit enhanced habitat for
fish and other aquatic inhabitants. The Virginia Department of Game and Inland Fisheries restocked the pond with fish
in 2015.
Both the floating wetlands and the regenerative step pool stormwater conveyance system were relatively new concepts
and Dewberry worked closely with Fairfax to understand the critical design components of these practices and design
484 i@UH¥I F@Hi4Mii
these features to insure successful implementation by the contractor. To assist Fairfax County with public outreach,
Dewberry's key staff supported Fairfax County in arranging and conducting a public information meeting and provided
appropriate information for sharing with the various stakeholders throughout the planning, design, and construction
phases of the project. An interpretative sign was developed that is displayed in the park to inform and educate the public
on the various water quality features of the project.
Dewberry co-presented the project with Fairfax County staff at the 2015 Virginia Lakes and Watershed Association
annual conference. In 2015, the project won 2nd place in the Chesapeake Stormwater Network's Best Urban BMP in the
Bay Award (BUBBA) in the "Best Habitat Creation in a BMP" category.
 5.5 ■ STORMWATER 485

SUMMERFIELD MULTI FAMILY PHASE II

Location: Tallahassee, Florida
Client:
Completion Date: 2016
Case Study: Dewberry was hired to investigate an existing stormwater management facility (SWMF) that was nonper-
forming for a large multifamily development project in Tallahassee, Florida. The site has known bad soils and a high
water table. There was pressure from the client to close out the first phase Leon County Environmental Management
Permit (EMP), to allow for the design and permitting of additional phases of the project.
The primary issue was that the constructed pond did not recover the required volume of stormwater in the required
amount of time. The water quality volume (WQv) of the pond should be recycled within 30 days following a 100-year
storm event. Dewberry monitored the SWMF for 18 months. The WQv of 570,805 cubic feet was unable to drawdown
using infiltration due to the clayey nature of onsite soils and the seasonal high groundwater table influenced by nearby
Lake Jackson.
Dewberry determined that pursuing nontraditional methods can remove and recycle the WQv. The solution was to
connect the SWMF to an existing irrigation system for the 26-acre multifamily development. Stormwater manage-
ment calculations submitted showed that through the combination of (1) limited infiltration, (2) natural evaporation,
(3) evaporation through the use of fountains, and (4) the application of reuse irrigation of 1.5 inches per week over
13.42 acres of pervious area will drawdown the WQv in 28.75 days.
The proposed system essentially adds a new reuse pump that will draw from the SWMF and supply the existing and
future irrigation systems. The proposed pump will provide nonpotable water to the irrigation systems as long as the
pump float switch is ON. When the pump switch is OFF the controller will turn on the existing pump at the existing
well to serve the irrigation system. When the irrigation system is served by the existing well a series of irrigation control
valves will close the proposed pump mainline, and vice versa.
Dewberry's solution successfully met the client's needs as well as set an example of water conservation by considering
the proposed irrigation reuse system.
 CHAPTER 5.6
UTILITY DESIGN
5.6.1. Introduction
The horizontal layout of site utilities (as described in
Chapter 3.6) requires consideration of the site design con-
straints to provide the corridors necessary for utility distri-
bution. In final design, the sizing of the system components
(pipes, structures, appurtenances) is determined based on
calculations associated with demand and capacity for each
utility system. The calculations associated with each major
site utility system are defined in this chapter. Sample calcu-
lations and customary plan production information is pro-
vided for reference.
This chapter is separated into three parts: (A) Storm
Drainage, (B) Sanitary Sewer, and (C) Water Distribution.
Dry utility design in not included in this chapter (like it was
in Chapter 3.6) because final design of dry utility systems is
established primarily by each utility provider and will vary
based on individual requirements. That work will be per-
formed by, and will have to be coordinated with, the utility
provider. In addition to the pipes and structures associated
with each utility system, the installation and associated
trench detail should be considered. This information is
included in the following section.
Buried Conduits. The theory for loads on buried con-
duits states that the load on a buried conduit is equal to the
weight of the prism of earth directly over it, plus or minus the
frictional shearing forces transferred to that prism by adja-
cent prisms of earth-the magnitude and direction of these
frictional forces being a function of the relative settlement
between the prisms. The equation for calculating the load on
a rigid buried conduit as developed by Marston at the Iowa
Engineering Experiment Station in 1913 states:
(5.6A)
where w;, is the load acting on the conduit after settle-
ment has taken place, lb/ft, Cv is a dimensionless coeffi-
cient related to the diameter of the conduit, the width of
486
the trench and the characteristics of the fill material and
the pipe bedding conditions (Cv is obtained from tables or
charts), w is the unit weight of the fill material, lb/ft3 (nor-
mal earth material may be taken as 130 lb/ft3), and Bv is
the width of the trench, feet (note that load increases as the
square of "B'').
The engineering design can mitigate the load on the con-
duit by keeping the trench as narrow as practical as the load
varies as the square of the width and by requiring good bed-
ding and backfill conditions. Figure 5.6A shows the type of
forces effecting the load on the conduit.
Note from Figure 5.6A, the load on the conduit is related
to the weight of the soil in the area ABDC. The upward shear-
ing forces "F" reduce the load on the conduit. If the fill below
the top of the conduit is not well compacted, the load on the
conduit is increased as the material settles. It is sometimes
necessary to slope the ditch walls for construction safety
and convenience. Figure 5.6A(b) and (c) show two construc-
tion means of widening the trench without increasing the
earth load on the conduit. It is important to keep the trench
as narrow as practical from the top of the pipe to the bottom
of the trench because the load on the conduit increases as
the square of the width "B:' "B'' is taken as the width of the
trench at the top of the conduit.
There are four classes of bedding as shown in
Figure 5.6B. The engineer is required to select a bedding type
based on field conditions. Class B or C are suitable except
where unusual loading conditions exists. Class D bedding
should not be used for sewer line construction. This class
bedding is only used for small diameter pipe.
• Class A-concrete cradle-bedding in which the
lower part of the exterior of the conduit is set in a
plain or reinforced concrete foundation of suitable
thickness extending upward on each side for not less
than 25% of the height of the conduit.
 5.6 ■ UTILITY DESIGN 487

p
A B

•Ir
H We lood on pipe
•I
•

o) b) c)

FIG uRE 5. 6 A Typical trench conditions for a rigid conduit. (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.)

• Class B-first class-bedding where the conduit is
set on fine granular materials in an earth foundation
shaped to conform to the lower part of the conduit
exterior for a width of at least 60% of its exterior
diameter. The trench is then backfilled with granular
materials, hand placed and tamped in 6-inch layers
to fill completely all spaces under and adjacent to the
conduit for a distance of at least 1 foot above the top
of the conduit.
• Class C-ordinary-bedding in which the conduit
is placed with ordinary care in an earth foundation
shaped to fit the lower part of the conduit to the
spring line. The ditch is then backfilled with granular
materials, shovel placed and tamped to fill all spaces
to a height of at least ½ foot above the top of the
conduit.
• Class D-impermissible-bedding in which little or
no care is exercised to shape the foundation to fit
the pipe.
The engineer also should specify the embedment material
to be used with the installation of the conduit. This informa-
tion should be included in the specifications and also shown
on the plans. Table 5.6A provides information on the standard
material classification system. The soil types are standard
under the United Soil Classification System (ASTM D2487).
The materials are grouped into categories that are considered
to be most suitable for embedment use.
A flexible pipe yields under an external load by deflecting.
This deflection results in a shortening of the vertical diam-
eter because the load on the pipe from the fill material on
top of the pipe. Excessive deflection results in failure through
openings at the joints and a reduction of internal area for
flow even though the pipe has not collapsed. In conservative
design the allowable deflection is limited to 5%, although
deflections up to 7.5% are used in design.
Figure 5.6C gives an illustration of the embedment
zones and the forces acting on a buried flexible pipe. As
shown by Figure 5.6C(a), the vertical load on the pipe is
distributed evenly over the width of the pipe. The verti-
cal reaction acting on the bottom of the pipe is distributed
evenly over the width of the pipe subtended by the bedding
angle. The parabolically distributed side forces act through
the middle 100° of the pipe. The maximum pressure, found
at the pipe's springline, is passive resistance of the back-
fill around the pipe. Using suitable backfill material and
proper compaction is very important in establishing the
field strength of a flexible conduit, as the vertical diameter
cannot shorten (deflect) without a corresponding length-
ening on the horizontal diameter. The embedment zones,
as shown by Figure 5.6C(b), illustrate the proper bedding
conditions and the common nomenclature associated with
pipe installation.
The terminology associated with the trench system is
defined as
Foundation: A foundation is required when the trench
bottom is unstable. Any foundation that will provide
continuous support without causing loss of grade or
flexural deformation is suitable.
Bedding: The bedding directly underneath the pipe
is required to bring the trench to grade. The bedding
should be shaped to fit the conduit, with a depression
formed to receive the bell of the pipe so the pipe rests on
the pipe barrel for its entire length. The labor to manu-
ally shape the bottom of the trench is expensive, so it is
common practice to over excavate a couple of inches and
bring the trench bedding to grade with granular mate-
rial, such as crushed stone. The bedding should be firm
to support the pipe.
Haunching: The haunching area is most important in
providing good pipe support. The contractor must
488 i@UH¥I F@Hi4Mii
Be+B" min. Plain or
Reinforced
1 ¼Be Concrete

Plain or 12"
Reinforced
¼ D,
Carefully 4" min.,
Concrete 15" max.
Temped
Backfill

Compacted
¼ D, b Granular
4" min.,
Materiel
15" max.
Concrete cradle Concrete arch

CLASS A
Load Factor 2.2 - 3.4

6"
Carefully-,~ ..., 12" Lightly ,
Compacted~ Compacted,
Backfill , Backfill :-<

Compacted
Compacted Granular
b Materiel
Granular
Material
Compacted granular bedding Granular bedding

CLASS 8 CLASS C
Load Factor 1.9 Load Factor 1.5

Note:
Bedding thickness under
pipe barrel, b, shall be
Flat bottom
¼ Be, 100 mm (4") min.,
150 mm (6") max.

CLASS D
Load r actor 1. 1
Classes of bedding for rigid sewer pipes in trench. NOTE: In rock
trench, excavate at least 15 cm (6 in.) below bell of pipe where
concrete cradle is used (in. x 25.4 = mm).

FIG u RE 5. 6 B Bedding methods for trench conduits. (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.)
 TAB LE 5 . 6 A Classes of Embedment and Backfill Materials
PERCENTAGE PASSING SIEVE SIZES ATTERBERG LIM
SOIL GROUP
SYMBOL 1½1N, No.4 No.200
CLASS TYPE D 2487 DESCRIPTION (40 mm) (4.75 mm) (0.075 mm) LL PL
IA Manufactured None Angular, crushed stone or 100% ~10% <5% Nonplastic
aggregates: rock, crushed gravel, broken
open-graded, coral, crushed slag, cinders or
clean shells; large void content,
contain little or no fines
1B Manufactured, None Angular, crushed stone 100% ~50% <5% Nonplastic
processed aggregates; clean (or other Class 1A materials)
dense-graded, and stone/sand mixtures with
gradations selected to minimize
migration of adjacent soils;
contain little or no fines
II Coarse-grained soils, GW Well-graded gravels and 100% <50% of <5% Nonplastic
clean gravel-sand mixtures; "Coarse Fraction"
little or no fines
GP Poorly graded gravels
and gravel-sand mixtures;
little or no fines
SW Well-graded sands >50% of
and gravelly sands; "Coarse Fraction"
little or no fines
SP Poorly graded sands
and gravelly sands;
little or no fines
Coarse-grained soils, e.g., Sands and gravels 100% Varies 5%-12% Nonplastic
borderline clean to GW-GC, which are borderline
w/fines SP-SM between clean and G
with fines
,II,
OQ
ca
 TABLE 5. 6 A Classes of Embedment and Backfill Materials (Continued)
PERCENTAGE PASSING SIEVE SIZES ATTERBERG LIM
SOIL GROUP
SYMBOL 1½1N, No.4 No.200
CLASS TYPE D 2487 DESCRIPTION (40 mm) (4.75 mm) (0.075 mm) LL PL
Ill Coarse-grained soils GM Silty gravels, 100% <50% of 12% to 50% <4 or
with fines gravel-sand-silt mixtures "Coarse Fraction" <"A" Li
GC Clayey gravels, <7 and
gravel-sand-clay mixtures >"A" Li
SM Silty sands, >50% of >4 or
sand-silt mixtures "Coarse Fraction" <"A" Li
SC Clayey sands, >7 and
sand-clay mixtures >"A" Li
IVN Fine-grained soils ML Inorganic silts and 100% 100% >50% <50% <4 or
(inorganic) very fine sands, rock flour, <"A" Li
silty or clayey fine sands,
silts with slight plasticity
CL Inorganic clays of low to >7 and
medium plasticity, gravely >"A" Li
clays, sandy clays, silty
clays, lean clays
IVB Fine-grained soils MH Inorganic silts, 100% 100% >50% >50 <"A" Li
(inorganic) micaceous or diatomaceous
fine sandy or silty soils,
elastic silts
CH Inorganic clays of
high plasticity, fat clays >"A" L
V Organic soils OL Organic silts and organic silty 100% 100% >50% <50 <4 or
clays of low plasticity <"A" L
OH Organic clays of medium
to high plasticity, organic silts
Highly organic PT Peat and other >50 <"A" L
high organic soils
Reprinted with permission from American Society for Testing and Materials. ASTM Standards in Building Codes, Vol. 4.
 5.6 ■ UTILITY DESIGN 491

the trench at the top of the conduit in feet, Be is the external

horizontal diameter of the conduit in feet.
The ratio of the external load for rigid versus flexible con-
duits is given by the ratio ofEquations (5.6A) and (5.6B), and
is equal to Wv!Wc = Bv!Bc. This ratio shows that the load
Side Fill 1-----u on a flexible conduit is significantly less than that for a rigid
Soil
Reoction i - -- - t:l conduit installed under the same conditions (Cv = constant).
This is because the load on a buried conduit is modified by
the response of the conduit. A minor deflection of the flex-
ible conduit can materially reduce the load if the conduit has
been properly installed. "Properly installed" means the con-
duit has been placed in a relatively narrow trench, properly
Vertical Reaction
bedded and that the backfill has been properly compacted
a) Forces On A Buried Conduit above 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
"'
I
placed and compacted to the top of the conduit, the consoli-
dation of the fill material alongside the conduit results in an
i:o
additional load being placed on the conduit as the fill settles.
0
.:
.!
., -~ ,---- Initial The specifications and field inspection must insure that the
a C Backf ill
::I N
0
Spring Line
trench width is limited, the pipe is properly bedded and that
c ., of Pipe the backfill is properly placed and compacted to 6 inches
•E a:a. above the top of the conduit. This will mitigate problems
"0
•
.ll
Bedd i ng ,
Mox . 6" with failing conduits and infiltration .
...E --:-.:i.oc.~ Foundation While it is desirable to keep the trench width as narrow
. L - - - - - ---"+,",,-;.-;...;;..;,...,..;;..,;...;;..,;,....~ (Moy Not
Be Requ ired) as possible, it is necessary to provide space for the workers to
install the pipe. Also, room must be allowed for a trench box.
b) Embedment Zone Normally a 42-inch trench is suitable for sewer diameters up
FIG uRE 5. 6 C Forces on a buried conduit (a); embedment zones to 16 inches. Above 16 inches, the trench width should be the
(b). (Reprinted with Permission from College of Engineering, Utah State pipe diameter plus 24 inches (allows 12 inches on each side
University.) of the pipe for the trench box and the workmen). Figure 5.6D
provides a graphical means for determining Cv for use in
Equations (5.6A) and (5.6B). His the height of the fill from
insure that the haunch area under the pipe is com- the top of the conduit to the surface. Other parameters are as
pletely filled and that the area is compacted to the defined above.
specified density. Most of the pipe support comes from An embankment condition, as opposed to a trench condi-
this area. tion, exists when a conduit is installed in a trench that is so
wide that the sides of the trench have no effect on the load
Initial backfill: The initial backfill begins at the spring- to the conduit. A transition width is where there is no addi-
line and continues to 6 or 12 inches above the top tional load imposed on the conduit, as the ditch becomes
of the conduit. When the conduit is properly installed wider. This transition width depends on the depth and diam-
to this level, problems related to pipe bedding should eter of the conduit. Conduits installed in trenches wider than
not develop. If proper compaction is not provided the transition widths are said to be installed in a "projection
above this point there may be problems with surface condition:' Conduits should not be installed in this manner.
settling for some time. Even in fill, the fill should be placed and a trench excavated
for the conduit. However, where it may be found necessary to
The equation for determining the load on flexible con-
install a conduit under a projection condition, Marston has
duits installed under a ditch condition, as developed by
provided the following equation for determining the result-
Marston, is
ing load to the conduit.
(5.6B) (5.6C)

where Wc is the external earth load on the conduit in pounds
per linear foot, Cv is the load coefficient for conduits installed
in a trench condition (suitable charts are available for deter-
mining Cv, as shown by Figure 5.6D), w is the unit weight of
backfill material in pounds per cube foot, Bv is the width of
where Cc is the coefficient for a projection condition
(replaces Cv as shown for trench condition) and wand Be are
defined above for Equations (5.6A) and (5.6B).
A suitable chart has been developed for use in determin-
ing Cc as shown by Figure 5.6E.
492 i@UH¥I F@Hi4Mii
3J~·o_ _ _1T.s_ _2~._o_ _,.,_3T.o--r-n4._o-r-~5._o_~....,...-,-~~--- -,
Cd (graph on left)

10 1.0
9 0.9
8 0.8
7 0.7
ti::1r4'
0
6 0.6 :i::lr4'
XI 0
:::, 5 0.5 XI
-.; :::,
>
~
4 0.4

3 0.3

Cd for kJL and kµ, 1

2 i - - - - ~ -~ - , r i - - - ; -- -i------ ..,.,....-i------ A= 0.1924 for granular materials 0.2
without cohesion
B=0.165 max for sand and gravel
1.51----MSS'--f---l-----+- + - - - + - - C= 0.150 max for saturated top soil 0.15
D= 0.130 ordinary max for clay
E= 0.110 max for saturated clay
Cd (graph on right)
--------------~-~----~~~---~0.1
0.10 0.15 0.20 0.25 0.30 0.40 0.50 0.6 0.7 0.8 0.91.0 1.5
Values of coefficient Cd

FIG uRE 5 . 6 D Values of C0 for trench conditions. (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.)

Vclues of coefficient Cc

FIG uRE 5. 6 E Values of Cc for positive projection conduits. (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.)

PART A-STORM DRAINAGE DESIGN
Storm drain design requires two types of analyses: the hydro-
logic aspect of estimating runoff and the hydraulic aspect
of sizing the conveyance system. An illustration of a storm
drainage systems is shown in Figure 5.6F. There are numer-
ous techniques to estimate runoff, the one selected for design
of a component depends on
• Input data available
• Output data required
• Size of watershed
• Accepted design standards of the approving
agency(s)
Generally, the design of minor system components
only requires the determination of peak runoff dis-
charges, whereas major system components require not
only the peak discharges but the time variation of run-
off for an effective design. Analysis of major systems may
include detailed hydrology and hydraulic modeling using
one and two-dimensional modeling software. Most storm
drainage computations are solved with the aid of com-
puter software, but the user must understand the selected
method of analysis. Most software systems have numerous
computation methods with a multitude of variables that
can be adjusted. Chapter 5.5 identifies the methods for
determining stormwater runoff and hydrology-the ratio-
nal and Natural Resources Conservation Service (NRCS)
methodology.
--
FIGURE 5.6F Typical urban drainage system.
5.6 ■ UTILITY DESIGN 493
5.6.2. Procedure for Storm Sewer Design
Successful design of storm drain systems is contingent upon
thorough understanding of the outfall conditions, the con-
tributing watershed characteristics (size, topography, land
use, soils) and hydrology (discussed in Chapters 3.5 and 5.5).
Chapter 3.6 identified strategies and sequence for the initial
layout considerations of a storm drain network. Generally,
the outfall locations are identified, inlets are located, and
then conveyance systems are design to connect inlets and
stormwater management systems to the outfall.
After the initial layout, the hydrology is evaluated and the
drainage areas to each catchment are determined. The drainage
area is used to determine runoff values directed to an inlet and
the inlet is sized accordingly. Once the runoff enters the convey-
ance system the cumulative flow value is calculated throughout
the system to provide capacity of all collected runoff.
Capacity of the system is primarily determined by the size
and slope of the channel. As noted in Chapter 3.6, it is rec-
ommended that preliminary profiles of the pipe network are
evaluated during early design phases. The preliminary pro-
files provide guidance to the design team on possible slope
conditions. In some cases, minimum slopes are required
to meet an outfall elevation. Steeper slopes can be used on
conveyance systems to increase pipe capacity, but excessive
depths can significantly add to infrastructure costs. Estab-
lishing the profiles during final design may also reveal util-
ity crossings including sanitary sewer, water main, and duct
bank crossings. The purpose of this profile is to ensure the
pipes have sufficient cover to prevent excessive excavation,
and to avoid utility crossing conflicts. In most cases, the
Detention/Retention
and BMP Pond
- -
494 i@UH¥I F@Hi4Mii
vertical design of the system will follow the grade as much as
possible to minimize construction costs.
As the vertical design of the storm drain is being evalu-
ated with profiles, the sizing of the system can be calculated.
The size requirement of each pipe can be initially estimated
by adding the flows from each inlet upstream of the inlet at
the design point. This analysis approach would only consider
individual system components-capacity of a single convey-
ance element at a time, which is not accurate. It's possible for
pipe to have capacity to convey the design flow but could be
insufficient because of other conditions (e.g., a downstream
stormwater pond may be filled at the same time as the peak
flow condition, which backs up water into the upstream
pipe). Ultimately, models (or manual calculations) of the
entire drainage system are required for a holistic evaluation
of the entire network. The system design can be influenced
by energy losses in the system, velocity and travel time, as
well as stormwater management systems throughout the
network.
Hydraulic grade line (HGL) computations should be the
last step in the design to evaluate energy losses through the
system. Although the pipe size and slope may be indepen-
dently capable of conveying flow through, the energy losses
through structures and other appurtenances may cause pres-
sure flow in the system. In most cases, where pipe velocities
are less than 5 feet per second (fps), energy losses through
manholes are less than 0.5 foot; however, in systems with
numerous manholes or in those pipes where velocities are
10 fps and higher, the head losses accrue very quickly. For
systems with these characteristics, the potential for pressur-
izing the system becomes very likely. Even though a specified
design storm is used to design the system, local criteria may
require the HGL be checked for other storms. Considerable
engineering judgment is required throughout the storm drain
design process in assessing the applicable regulations, deter-
mining and analyzing a myriad of solutions, and ultimately
reviewing the final design to ensure public safety and welfare.
5.6.3. Pavement Drainage
The conveyance of runoff from pavement is affected by the
geometric characteristics of the roadway, such as; longitudi-
nal slope, cross slope, type of curb and gutter section, and
ditch section. These geometric characteristics dictate the
location and spacing of inlets and catch basins.
Flow in Curb and Gutter. Most urban and suburban land
development projects, of moderate to high density, use curb
or curb and gutter. For drainage purposes, the gutter is con-
sidered as that part of the pavement width. In many cases,
streets are constructed with composite gutter and pavement
sections, where the gutter portion has a greater cross slope
than the pavement. A composite gutter section results in a
decrease in elevation of the flow line at the face of curb rela-
tive to where the flow line would be if the pavement were
extended to the face of curb at the designed cross slope. In
these instances, the gutters typically vary between 1 and
3 feet wide depending on local standards. The steeper cross
slope of the gutter concentrates the flow towards the gutter
to improve inlet efficiency and minimize the width of the
runoff as it encroaches on to the travel lanes (spread).
There are some examples, such as on the inside (left) lane
adjacent to a raised median where composite gutters are not
provided, and the roadway surface and slope tie directly
into the face of the curb. These are sometimes referred to as
header curbs, and the engineer should consider the lack of
the gutter section when calculating flow along curb and gut-
ter sections. The Federal Highway Administration's HEC-12,
Drainage of Highway Pavements, is the basis for many local
guidance design standards and criteria.
Flow conveyed in gutter sections with uniform cross
slope is
Q = 0.56 55135112p13 or
n X
T = [(Q x n) I (0.56 x S/67 x 51o 51ia375 (5.6D)
which is a modification of the Manning equation and
accounts for the disproportionate ratio of depth to top width
of water surface. In the equation Q is the discharge [cubic
feet per second (cfs)], n is the Manning's n coefficient, Sx is
the pavement cross slope (ft/ft), Sis the longitudinal slope of
the gutter (ft/ft), Tis the width of flow or spread (ft), which
is the distance from the face of curb to the water line limits
in the pavement. Values for Manning's n coefficient for vari-
ous pavement types are given in Table 5.6B. The nomograph
of Figure 5.6G is the solution to this equation for either
V-shaped or triangular gutter configurations.
TA BLE 5 . 6 B Manning's n Values for Street
and Pavement Gutters
RANGE OF
TYPE OF GUTTER OR PAVEMENT MANNING'S n
Concrete gutter, troweled finish 0.012
Asphalt pavement:
Smooth texture 0.013
Rough texture 0.016
Concrete gutter with asphalt pavement:
Smooth 0.013
Rough 0.015
Concrete pavement:
Float finish 0.014
Broom finish 0.016
For gutters with small slope, where
sediment may accumulate, increase
above values by n of 0.002
Note: Estimates are by the Federal Highway Administration.
Reference: USDOT, FHWA, HDS-3 (1961 ).
 5.6 ■ UTILITY DESIGN 495

Q =o.~6 5 ~.67 5o.5 T2.67 -

~
d
!

s
EXAMPLE : GIVEN:
n=0.016; Sx=0.03
S=0.04; T =6 FT 0.8
--
a
0

0.2 FIND: 40
0 .6
Q =2.4 FT 3ts
an =o.038 FT ~s
0 .4
0. 1 LaJ
z 20
0 .08 _, T ( FT)
0.06 (!)
z
z 30 0.2
,0.04 a::
Sx
'''
'
'' 0.01
::,
....
20
-....
CIJ
;;- 8
10

''
0.02
''
'
'' 0.02
-
LL

C:
0.1
0.08
6

O.OJ '' 0
0.06 4
' 10
0.008 ''
'' o.~
0.006 '
0.0~
8
--- --- --- ---
'' __ 6 -- --- 2

-- - -- -- --
0.004
0.06 ''
0.08 0.02·
4
0.002 0.1
3

0.001 0.0 1

______________
,..._1- T j
I ) For
2

V-Shape, use the 1"10ffl09raph with

0.008
0.006
0.4

Sx = Sx1 Sx2 /( Sx1 + Sx2)

0.004
2) To determinedtschoroe In outter with 0.2
composite cross slopes, f ind Os usino
Ts and Sx , Then, use f ioure 14.28 to
find Eo. The total dischoroe Is
Q =Q 5 /(1-Eo), and Ow=0- 0 1 .

FIG uRE 5 . 6 G Nomograph for flow in triangular gutter sections.

49& i@UH¥I F@Hi4Mii
Face of
Curb
Pavement ·1
~ - - -- -- - ------
Extended

r -----

w
FIG uRE 5. 6 J Flow in gutter section.
FIG uRE 5 . 6 H Composite gutter section nomenclature.

The cross slope of the depressed gutter section measured the gutter flow ratio (Qw!Q) = E WIT, and SwfSx has been
0,

relative to the pavement cross slope is designated as S' w and
is equal to the depression divided by the width of the gutter:
5'=~
w w
Hence the actual cross slope Sw is
5w= 5'w + 5x
The relationship between these terms is illustrated in
Figure 5.6H.
Flow in composite gutter sections is computed by separat-
ing the flow into two prisms: (a) the flow in the pavement
section and (b) the flow in the depressed gutter area. The
flow in the pavement section is
Os= 0.56 d~'3 5112
n5x
where d2 = (T- W) Sx as shown in Figure 5.61, d2 is the depth
of flow at the break point of the gutter-pavement interface
and Wis the width of the gutter.
The flow in the gutter section is given as
Ow= 0.56 (d~'3 - df3) 5112
n5w
where d1 is the depth of flow at the curb and Sw is the cross
slope of the gutter. Note that Equation (5.6H) computes the
flow in prism ABCD' by subtracting the flow in triangle
CDD' from the flow in triangle ABCD of Figure 5.6J.
Because of the numerous variables involved in the compu-
tations of flow in composite gutters, a relationship between
developed. Figure 5.6K is a nomograph depicting this rela-
tionship and assumes that the Manning's roughness coeffi-
cient for the gutter and pavement are the same.
(5.6E) In most urban areas, the allowable spread of the flow
into the street is given in local design manuals-often
limiting the spread to ½ the lane width as measured from
the curb. Some primary road designs, such as Interstates,
(5.6F)
require that the spread does not encroach at all on the travel
lane. The spread is a function of the longitudinal and trans-
verse slope of the pavement. Typically, drainage design of
streets involves the sizing and spacing of the inlets based
on limitations of the spread, with a given geometry of the
street. A common error for inlet design is to increase the
size of an inlet to decrease spread for inlets on grade-but
the inlet size only changes how much water is captured in
an inlet. The spread is a function of the characteristics of
(5.6G)
the roadway as runoff is conveyed to the inlet. To deter-
mine the spread, T, for a composite gutter section involves
a trial and error procedure since no direct solution for T
is available from Equations (5.6G) and (5.6H)-software is
also available to determine spread calculations.
(5.6H)

11 0.2 - - - - - - w-
f--W --1
0 _ __..___.__ _.__....__...____._ _.__ _.__.......___,
0 0.2 0.4 0.6 0.8 1.0
WIT

FIG uRE 5. 6 I Flow in pavement section. FIG uRE 5 . 6 K Ratio of frontal flow to total gutter flow.
 5.6 ■ UTILITY DESIGN 497

Spread Calculation Example. Find the spread of flow the T/W scale gives a value of 4.0. This translates to a spread
for a street section with a gutter width ( W) of 2 feet, curb of T= (2)(4.0) = 8.0 feet.
height = 6 inches, Sw = 1 in/ft, pavement cross slope of
¼ in/ft (Sx = 0.0208), longitudinal slope of 3%, and a 1. Check the depth at the curb:
design discharge of 3.5 cfs (assume n = 0.015 for both d1= TS,+W(Sw-Sx)
pavement and gutter).
= (8.0)(0.02) + 2(0.083-0.02)
Equations (5.6G) and (5.6H) can be used simultane-
=0.29 ft (5.61)
ously to solve for the two unknowns T and Ow (recall that
0 = Ow + 0,). Because a direct solution is difficult due to Since 0.29 < 0.5 foot the design flow will not overtop
the exponential form of the equations the nomograph of
the curb.
Figure 5.6L can aid the computations.
Extend a horizontal line from 0.053[from 3.5 x 0.015] on 2. Often the values for Sx, Sw, and S must be interpolated
the On to intersect the S = 0.03 line. From this point draw a on the nomograph which may contribute to some
vertical line to intersect the W = 2 feet line. Continue hori- error in reading the T/W scale. In these situations the
zontally and intersect the Sx = 0.02 at the bottom left quad- estimated value for T can be used as a beginning trial
rant of the nomograph. Extend a vertical line to SwlSx = value to substitute into Equations (5.6G) and (5.6H).
0.083/0.020 = 4.1. A horizontal line drawn from this point to The value for Tis adjusted to get O, + Ow= O.

I
0.8
0.8

0.4
0.3

0.2

GIV£N; T•8 FT , W•2 FT

Sx•0.02 ,
s ■ O.Q.4 I
s.•O.oe
n •0.016
-....
u,
~
0. 1
0 .08
o.oe

-
0.04
e

5
....~
....
FIND: an• Q.061 lL 0 .05

O• 5.81 FT!yS 0.02

C
0 0,01
0.0011
0.008

0.004
0.003

I 0,002

FIG uRE 5. 6 L Flow in composite gutter sections.

49a i@UH¥I F@Hi4Mii
Inlets. Inlets intercept surface runoff and transfer it to the
pipe network. The three basic types of inlets used with pave-
ment drainage are the curb opening inlet, the grate inlet, and
the combination of the curb and grate inlet. The curb open-
ing inlet collects runoff through a vertical opening, along
the face of curb. These inlets consist of a manhole structure
with a throat and concrete slab fitting on the top. An opening
in the slab allows access to the structure. A gutter (or grate)
inlet lies flat in the pavement or gutter and allows runoff to
fall directly down and into the system. Figure 5.6M shows
these various inlets (as introduced in Chapter 3.6).
An inlet's flow capacity is the maximum amount of run-
off that it can intercept as determined by the combined
effects of longitudinal and transverse slopes of the road,
roughness of the pavement, depth of flow at the inlet and
the configuration of the inlet opening. Flow through an
inlet is either orifice flow or weir flow depending on the
flow depth at the opening. Under either case, the capacity
of the inlet is a function of the depth of flow forcing the
water through the opening. For a given street geometry and
flow conditions (i.e., flow depth) a given inlet has a specific
interception capacity. When the flow exceeds the capacity
of the inlet, a portion of the flow is not intercepted. The
ratio of the intercepted flow to the total gutter flow, Q/Qr,
is the efficiency of the inlet. Any flow not intercepted by
the inlet is termed "carryover" or "bypass" flow. This bypass
flow must be added to the runoff computed for the next
downstream inlet in the analysis.
There can be no carryover from inlets located in sump
(low point) areas, but a greater emphasis is placed on capac-
ity of the inlets in a sump condition. Table 5.6C is the Fed-
eral Highway Administration's recommendation for spacing
of the flanking inlets. Flanking inlets are located upstream
FIG uRE 5. 6 M Various types of curb inlets and gutter inlets.
of a sump inlet (in both directions of the sump) to reduce
the flow directed towards the sump and provide additional
capacity during a sump flow condition. This recommenda-
tion is based on the desired depth at the curb and the vertical
curve length defined by K = LIA, whereas L is the length of
the vertical curve and A =g2 - g1 is the algebraic difference of
the tangent slopes of the vertical curve (refer to Chapter 5.3
for more information on vertical road geometry).
As an example, entering Table 5.6C for depth at curb
value = 0.4 foot and K = 50 gives a distance of 63 feet for
flanking inlets.
Additionally, the designer should limit the carryover
flows in pavement areas where the cross-slope of the road
changes directions, this is to avoid creating an unsafe situa-
tion due to flow crossing or icing of the travel lanes.
The physical characteristics of the street and inlet affect
the flow velocity at the inlet. As gutter flow velocities increase,
the depth at the curb decreases and the amount of bypass
flow increases. This is equivalent to a decrease in both inter-
ception capacity and efficiency for curb opening type inlets.
The effective flow depth at a curb opening inlet is increased
by depressing the gutter along the throat length. Most inlets
have a 2- to 3-inch depression to improve interception
capacity. Everything else being equal, increasing depth at the
curb (by increasing pavement cross slope) increases both the
interception capacity and efficiency. Although grate inlets
may be more effective on higher longitudinal slopes they
present more of an obstruction to pedestrians and bicycle
traffic and are susceptible to clogging.
The type of inlet used is governed by the standards of the
local jurisdiction. The department of transportation and the
local department of public works can be particular about the
types of inlets allowed in right-of-ways.
SLOTTED DRAIN INLET
 5.6 ■ UTILITY DESIGN 499

TAB LE 5 . 6 C Distance to Flanking Inlets in Sag Vertical Curve Locations Using Depth at Curb Inlets
SPEED (MPH): 20 25 30 35 40 45 50 55 60 65 70
K(= LIA): 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.

Inlet Capacity. Typically, the design standards for a local- The efficiency E of a curb opening inlet is given as
ity include capacity charts, nomographs, or equations for
the inlets accepted by the review agencies. Manufacturers
(5.6L)
of inlets often perform their own tests on grate inlets and
provide the capacity information upon request. In some
conditions, the jurisdiction may require that the inlets are
assumed clogged (reducing the effective opening by 50%) or
in the case of combination inlets, grate inlet capacity may Q
be ignored completely. This evaluation considers the practi- (FT~)

cal condition of the inlets as they are clogged by road debris

50
(sand, trash, vegetation, etc.) FOIi COl,l'OIITE CIOOSI Sl..Of'U, 1M s_ FOIi S,. 40
Curb-Opening Inlets on Grade. For curb opening type s. ■ s., +~t. ~ s~,a/w
30
inlets, the length of curb-opening necessary for 100% Ly
( FT)
efficiency in a street section with undepressed gutter, and 20
8_0
constant cross slope is TO
60
s 0 .01

)o. -·- ........ _

so 10

I:~--·" '. - - - - ;
~
1 5 n 0.00! _••• --··· ~ ....... ........... 40
8
Lr=0.6QOA2 s0,3 ( - (5.6J)
nSx 6
io·-----. 5
···-,r
20
where Lr is the curb opening length required for 100% 0 .08 :,

interception (ft), Q is the gutter flow (cfs), Sis the longitu- 0.02 ~ 2
dinal street slope (ft/ft), Sx is the cross slope (ft/ft), and n is 0 .1
10
Manning's n coefficient for the pavement. The nomograph 0 ,2 9
of Figure 5.6N can be used in lieu of the equation. 8
1
For a depressed curb-opening inlet the length of open- 6 0 .8

ing is the same as Equation (5.6J) with the Sx term replaced 5 0,6
0.5
by the equivalent cross slope term, S,. This term is used to EXAMPI..£: 4
GIVEN: n•0.018 ; S•0.01 0 .4
account for the gutter depression. The equivalent cross slope S,.•0.02 ; Q• 4 F~/S
0.3
is given as FIND: L1 • 54 FT

FIG uRE 5. 6 N Curb-opening and slotted-drain inlet length for total

(5.6K) interception.
500 i@UH¥I F@Hi4Mii
situation. There are a few practical considerations in this
example though:

1. The computed inlet length is larger than most man-

0.8 ufactured inlets and could not be specified as com-
'-. E= I- 11-L/Lrl'.e puted (20 feet is a common maximum length).
2. Very large inlet lengths are often challenging to
0.6
... construct because they require a constant grade. An
>
inlet proposed along a vertical curve would create
u
•u
Ill
installation issues .
0.4
......
;;:
3. When large inlet lengths (over 14 feet) are
computed, it's worth evaluating the option to
propose multiple smaller inlets. A large inlet length
0.2 computation may indicate an issue with gutter
spread-multiple inlets will reduce the total flow in
the gutter and decrease spread. In this example, the
0.2 0.4 0.6 0.8 1.0
spread is 7.6 feet and may not be permitted based on
road geometry.
l/LT
4. The inlet efficiency is exponential, as identified in
FIG uRE 5 .60 Curb-opening and slotted-drain inlet interception proceeding equations. An inlet half the size (12 feet)
efficiency. is still about 75% efficient in this example.
5. Many inlets are designed with a local depression
(not computed in this example). A local depression
where L is the actual length of the curb opening. This is of 2 inches in this example would allow a 14-foot
shown graphically in Figure 5.60. inlet to be 99% efficient.
Curb Inlet on Grade Design Example. Determine the
As with many design equations, the computed answer may
throat length required for 100% interception for the values be technically correct but should be evaluated for practical-
of the preceding example. ity. There are alternatives to the excessive inlet computed in
1. Since this is a composite gutter section, the this equation.
equivalent cross slope is used as calculated in Curb-Opening Inlets In Sag Locations. In a sag (or sump,
Equation (5.6K). Given SwfSx= 4.1 and WIT= 0.25, or sink) condition, curb inlets operate as a weir for gutter
Figure 5.6K reads a value of E0 = 0.70; S'w is still flow depths less than or equal to the height of the opening.
required to solve Equation (5.6K). At depths greater than 1.4 times the height of the opening
the inlet operates as an orifice-this condition should be
S' =.!.._= 0·125 =0.063 (5.6M) avoided. Between these depths the flow is in transition. The
w W 2 interception capacity for a depressed inlet as given by the
where weir equation is
8=W(Sw-Sx) 0; = Cw (L + 1.8W)d15 (5.60)
= 2(0.0833-0.0208)
=0.125 (5.6N) where Cw is the weir coefficient (2.3), L is the length of the
opening (e.g., throat length), Wis the lateral width of the
2. The equivalent cross slope is depression and d is the depth of flow at the curb as measured
Se= 0.0208 + 0.063(0.70) from the normal cross slope gutter flow line. For an uncle-
pressed inlet Wis equal to 0.
= 0.065 (5.60)
When flow in the gutter exceeds the height of the curb
3. Substituting the values into Equation (5.6J): opening inlet by a factor of 1.4, the opening acts as an orifice
with the capacity given as
L = 0.6(3.5)042(0.03)03 ( 1 )o.6
T

=22.?ft
(0.015)(0.065)
(5.6P)
0;= Goh L ,j2gdo =Co A )2g( d; - ~J (5.6R)

Since most throat lengths are available in 2 feet incre- where C is the orifice coefficient (usually 0.67), his the height
0

ments, a 24-foot throat length would be specified for this of the opening (feet), Lis the length of the opening (feet), d 0
 5.6 ■ UTILITY DESIGN 501

is the effective head on the center of the orifice throat, A is
the area of the opening (square feet), and d; is the depth at the
lip of curb opening (feet). Typical opening configurations for
curb inlets are shown in Figure 5.6P. The computed capacity
a) Horizontal throat
d0 =di -(h/2)Sin ®
b) Inclined throat
c) Vertical throat
for the inlet depends on proper interpretation of the "height"
of the opening, since the height depends on the configuration
of the throat opening.
Based on the information in the curb inlets on grade
example, the conditions of a sag inlet can be computed. In
this case, the curb opening inlet has a height of 6 inches, and
the same 3.5 cfs flow value will be used, and local depres-
sion is ignored. A 10-foot throat inlet would operate in a weir
condition with a depth of 3 inches at the inlet. The width of
spread (based on the computed depth) at the inlet would be
5.5 feet. The computed width of spread at the inlet is differ-
ent from the gutter spread, which is based on the channel
flow condition of the gutter as water approaches the inlet.
When inlets are required in sag locations it's important
to consider larger storm events in addition to the design
storm used for the inlet. During large storms the convey-
ance systems may be overwhelmed, and the sag location
would receive additional flow. In some cases, the sag inlet
and downstream conveyance could be designed for a larger
storm. Another consideration is overland relief in the sag
location-assuming the inlet and conveyance system is over-
whelmed the flow should be evaluated to determine where
the flow will be conveyed (e.g., overtopping the curb).
Grate Inlets on Grade. The capacity of a grate inlet depends
on pavement geometry, amount of flow and the configura-
tion of the grate. Flow through the grate is affected by the size
and spacing of the bars as well as their shape and orientation
with respect to flow direction.
Any jurisdiction's design standards identify preferred
types of grates. Each type of grate has its own hydraulic capac-
ity chart. The FHWA identifies several types of grates and
their hydraulic characteristics in HEC-12. For those occa-
sions where a standard grate will not suffice, there are manu-
factured inlets that usually include hydraulic characteristics.
Grate Inlets in Sag Locations. Flow through grates located
at the low point of a sag vertical curve operates 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
hydraulic characteristics of the grate. The weir equation for
grate inlets is

(5.6S)

where Cw is a weir coefficient dependent on geometry of

Q 0.67 hl v'2Qd0
the opening (Cw"" 3.0), Pis the effective length of opening
L Length of opening where weir flow occurs, (grates located along the face of curb
d0 Effective head on center have only three sides where discharge passes through as weir
of the orifice throat flow), and dis the depth of flow.
The orifice equation for grate inlets is
di Depth at lip of curb
opening (5.61)
h Orifice throat width
where Cd is the coefficient of discharge (0.67), A is the clear
FIG uRE 5. 6 P Throat configuration of curb opening inlets. opening area of the grate (ft2), g= 32 ft/s 2, and dis the depth
502 i@UH¥I F@Hi4Mii
of flow. Orifice discharge through the grate depends on the
clear open area, which does not include space occupied by
bars, vanes, and other obstructions. Since sag locations are
highly susceptible to clogging by debris and trash, many
localities require an allowance of 50% for clogging.
5.6.4. Stormwater Flow in Pipes and Channels
The two basic forces which act on flow in an open channel
are gravity (pulling it downward) and friction (retarding its
movement). These factors then must be combined with the
basic concept of continuity, that is the flow in one discrete
section of channel or pipe must equal the flow out of that
section. This is the basic premise for estimating open chan-
nel flow in channel and pipes. Therefore, open channel flow
Q is estimated by combining the continuity equation, Q = VA,
with Manning's equation for velocity.
JA
Q = ( 1.4:59 R2l35112 X (5.6U)
where the term in parentheses represents Manning's velocity
for open channel flow. In Equation (5.6U), n is Manning's coef-
ficient of roughness, R is the hydraulic radius (feet), defined as
the ratio of the cross-sectional area to the wetted perimeter, S
is the slope of the energy grade line (ft/ft), and A is the cross-
sectional area of the flow (ff).
Natural conveyance systems (i.e., swales, ditches, and
channels) are often used in residential applications and/
or slower speed roadway environments. Natural channels
are subject to the same theories reviewed in open channel
flow but they can also provide water quality benefits when
designed as stormwater management systems.
The cross-hatched area of Figure 5.6Q shows the cross
sectional area of flow for a circular section and a trapezoidal
section. The wetted perimeter for the circular section is arc
ABC. Line segments ABCD show the wetted perimeter on
the trapezoidal section.
The roughness coefficient represents an estimate of the
resistance of flow. Large n values correspond to high resis-
tance to flow. Table 5.6D provides n coefficients for com-
monly occurring channel materials.
Cross Sectional
Area
FIG uRE 5. 6 Q Cross-sectional area and wetted perimeter for circu-
lar section and trapezoidal section.
Following are some of the factors that affect flow
resistance.
• Surface roughness, due to size and shape of the
grains of the material forming the wetted perimeter,
increases the roughness coefficient as the coarseness
of the grains increase.
• Vegetation is also a form of surface roughness. The
degree to which vegetation impacts flow resistance
depends on density, height, and type of vegetation.
• Channel irregularities such as those found in natural
streams. Channel irregularities include depressions
in the channel bed, humps, sand bars, ridges, etc.
which changes the wetted perimeter size and shape
of cross section. Abrupt channel changes have a
larger effect on the n value than small or gradual
irregularities.
• Channel alignment and curvature has some impact
on flow resistance. Large radius of curvature has less
effect than a short radius.
• Centrifugal forces should be considered for flows in
bends based on the velocity and centerline radius.
• Obstructions such as logs, stumps, debris, trash,
rocks, and other items that interrupt and severely
alter the flow path increase the flow resistance.
• Channel lining should be carefully considered and
evaluated to verify stability of the selected material.
In a circular pipe flowing full with diameter D, the
hydraulic radius (area/wetted perimeter) is D/4. In a pipe
flowing less than full the relationship between depth y, cross
sectional flow area A, wetted perimeter P, and hydraulic
radius R (Figure 5.6R) is given by the following relationships:
0
y =-(1-cos 0) (5.6V)
2
02
A=- (0-sin0cos0)
4
02
=4 (0-1/2sin2 0) (5.6W)
P=00 (5.6X)
R=~=!!__ ( 1- sin 0cos0J
P 4 0
=!!__( 1- sin2 0J (5.6Y)
4 20
Energy Losses in Pipe Systems. Flow in a conduit is
retarded by resistance and turbulence. Resistance and turbu-
lence are measured in terms of the energy consumed to over-
come them, which is mostly in the form of frictional losses
along straight sections of the conduit. Turbulence is also cre-
ated where there is an abrupt change in cross section of the
 5.6 ■ UTILITY DESIGN 503

TAB LE 5 . 6 D Values of 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 meta
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. Vitrified 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 0.012 0.013 0.016
and connections
i. Paved invert, sewer, smooth bottom 0.016 0.019 0.020
j. Rubble masonry, cemented 0.018 0.025 0.030

(Continued)
504 i@UH¥I F@Hi4Mii
TABLE 5. 6 D Values of Roughness Coefficient, n (Continued)
TYPE OF CHANNEL ANO 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 excavate drock 0.017 0.020
8. On irregular excavate drock 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. Cemen trubble masonry, plastered 0.016 0.020 0.024
4. Cemen trubble 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. lncement 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. Vegetallining 0.030 0.500

Reprinted from Chow, V. T. 1959. Open Channel Hydraulics. New York: McGraw-Hill. Reprinted with permission from McGraw-Hill.

Ty
FIG uRE 5. 6 R Nomenclature for pipe flowing partially full.
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 remain
constant. For such stringent conditions to exist, not only
must channel geometry be consistent, but the drop in poten-
tial 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 geometry and
slope remains constant and the reach is sufficiently long, then
for a given discharge there will exist one, and only one, depth
at which the flow will be uniform. This depth is referred to
as normal depth.
The energy at a particular location in a pipe is given by
Bernoulli's equation:
P
E=-+-+z
v2
r 2g
where ply is the pressure head,' V 2 /2g is the velocity head
and z is the elevation head. A plot of points given by
Equation (5.6Z) at every section along a length of a pipe is
known as the energy grade line (EGL). By utilizing the con-
servation of energy principle along with the Bernoulli equa-
tion, the energy at point B downstream of A, is less than
the energy at point A by an amount equal to the energy lost
between point A and B. Mathematically expressed as
(5.6AA)
11n hydraulics the term "head" is synonymous with energy.
5.6 ■ UTILITY DESIGN 505
where the '1:.hi term accounts for the total energy lost between
points A and B.
The energy gradient (hydraulic slope) is defined as the
energy loss per length of channel:
(5.6AB)
D
In closed conduits under pressure flow the potential
energy plus the pressure energy in the system is given as
Z + E_ . This term, also referred to as the static head or piezo-
y
metric head, represents the level to which the liquid will rise
if a piezometer tube were installed at this location. A con-
tinuous line drawn through the tops of these piezometer
columns is the hydraulic grade line (HGL). In open chan-
nel flow, the water surface itself is the hydraulic grade line.
In uniform flow the slope of the channel, the slope of the
water surface, and the slope of the hydraulic gradient are all
parallel.
Head loss is attributed to pipe friction, abrupt changes in
the cross sectional area (due to entrance and exit of flow to or
from a reservoir or manhole) or other types of appurtenances
and obstructions within the flow path. The two most com-
monly used friction loss equations for determining hydraulic
resistance are the Darcy equation and the Manning equation.
The Darcy-Weisbach equation is given as
(5.6AC)
where h1 is the friction energy loss, f is the Darcy-Weisbach
friction factor, L is the length of conduit, D is the diameter
of the conduit, Vis the mean velocity in the conduit, and g is
the gravitational acceleration.
The Darcy-Weisbach friction factor is obtained from the
Moody diagram (see Figure 5.6JJJ), which relates f to the
Reynolds number and the relative roughness of the conduit. 2
Conversion of the Darcy-Weisbach friction factor f to the
Manning roughness coefficient n is given by
n =0.0926 R116 f 112 (5.6AD)
(5.6Z)
where R is the hydraulic radius.
In the Manning equation the slope of the energy line S
is given as S = h/L, where h1 is the friction loss and L is the
length of conduit. Substituting for S and solving for h1 in the
Manning equation gives
-( 29n 2 L)~ (5.6AE)
h,- R4t3 2g
In addition to pipe friction energy losses, there are minor
energy losses through manholes, bends, and other appur-
tenances. Energy losses through such appurtenances are
'The Reynolds number is a dimensionless parameter that is a ratio of inertial forces
to viscous forces. Relative roughness is the ratio of element roughness size to conduit
size. Consult basic hydraulic texts for further discussion.
sos i@UUFI F@di4Mi•
proportional to the velocity head in the appurtenance and
are accounted for as follows:
v2
hL=k- (5.6AF)
2g
where k is an empirical coefficient that accounts for the
energy loss for a particular appurtenance or configuration.
Table 5.6Y gives k values for various conditions).
Minor energy losses through manholes and junctions are
the result of the deflection angle of the flow, entrance losses as
the flow enters the discharge pipe from the manhole, and exit
loss as the flow leaves the incoming pipe. As indicated by Equa-
tion (5.6AF) high velocities result in high energy losses. How-
ever, the energy loss through the manhole can be significantly
reduced through inlet shaping. Inlet shaping provides a flow
through at the bottom of the manhole to direct the flows from
the incoming pipes to the downstream pipe. Exit loss coeffi-
cients, energy loss coefficients and other loss coefficients are
typically identified in the local standards criteria. Figure 5.6S
gives some values for k as prescribed by American Association
of State Highway and Transportation Officials (AASHTO).
In addition, losses for deflection of flows from the incom-
ing pipes to the outgoing pipe have to be considered. When
a junction or manhole has more than one incoming pipe,
each pipe is analyzed for the total head loss of the combined
effects (entrance, exit, deflection, etc.). The pipe producing
the greatest head loss is assumed to be the controlling pipe
and the EGL and HGL are based on this greatest value.
Energy losses also occur at inlets that collect surface run -
off and discharge directly into the storm sewer system. The
water dropping into the bottom of the manhole produces
turbulence within the water that is already flowing through
the manhole, thus disturbing (even further) the flow from
the upstream pipes. These energy losses are added to the
conventional losses attributed to the exit and entrance losses
from the discharge ends of the incoming pipes. Other losses,
which are less frequently encountered in the pipe network,
include diffusor/confusor losses, losses associated with con-
verging or diverging wyes, and bends. Figure 5.6S summa-
rizes the various minor energy losses through structures.
Hydraulic Grade Line in Pipe Systems. Most storm sewers
are intended to operate as gravity flow for the design dis-
charge. Occasionally, due to unavoidable field conditions
like high flow rates or low-lying flat areas where little fall is
available, the system is surcharged (i.e., operates as pressure
flow). Even though the pipes were sized to function under
gravity flow, accumulated head losses can cause surcharge in
the system if, during design, sufficient allowances were not
made to compensate for the accrued head losses. Surcharge
in the system occurs when the hydraulic grade line rises
above the crown of the pipe.
Most localities prefer the storm drainage system to oper-
ate as gravity flow for the design discharge. However, sur-
charge of the system for the design flow is tolerable, if the
hydraulic grade line is maintained below a certain limit. Typ-
ically, this is a specified distance above the crown of the pipe
and below the ground surface elevation (e.g., the inlet inflow
elevation or rim elevation). Some localities have developed
criteria requiring the storm sewer system to be evaluated for
specified storms larger than the design storm, such as in low-
lying areas where there is little to no overland relief where
runoff could surcharge out of the system.
Hydraulic grade line calculations are easily summarized
with the aid of an HGL calculation form of Figure 5.6T. The
hydraulic grade line is parallel to and below the energy grade
line along the length of conduit, a distance equal to the veloc-
ity head, V2!2g. Energy losses through manholes and other
appurtenances are graphically shown as abrupt jumps in the
EGL. Figure 5.6T is a schematic representation of the HGL
calculation form and Figure 5.6U is a schematic representa-
tion of the variables shown in a pipe profile.
Computations for the HGL begin at a position where
the water surface elevation is known or can be calculated.
A known water surface elevation is where the HGL eleva-
tion can easily be determined, such as with the end of a pipe
discharging into a lake. In this case, assuming the velocity
head of the water at the lake's surface near the discharge end
of the pipe is negligible, the starting EGL elevation is equal
to the water surface elevation of the lake as well as the HGL
of the lake. Should the end of the pipe discharge into a chan-
nel the beginning water surface elevation can be found from
backwater computations in the stream channel.
Once the starting point has been established the com-
putations proceed in the upstream direction by adding the
energy losses attributed to exit, entrance, and junction losses
to the EGL.
If storm sewer systems are assumed to operate with veloc-
ities in the 3 to 6 fps range the HGL is approximated by the
EGL. For normal velocities in the storm drain system the dif-
ference between the EGL and the HGL elevations is less than
0.5 foot (i.e., for V = 5 fps, V2!2g = 0.4 foot). Although the
HGL is actually lower than the EGL by this amount, a rela-
tively small velocity head is considered negligible and many
localities assume that the EGL approximates the HGL.
However, recognize that the occasion occurs, perhaps
rarely, where such approximations can be substantially dif-
ferent. One case occurs when the discharge velocity in the
incoming pipe is significantly greater than the velocity of the
outgoing pipe in a manhole. This is illustrated at structure
number 3 in the following example.
HGL Computation Example. Determine the HGL for the
data given in Table 5.6E.
All pipe is reinforced concrete pipe (RCP), n = 0.DIS. A
plan/profile view of the pipe system is shown in Figure 5.6V.
In this example, the water surface is known at the down-
stream side of structure #1. The head loss through the struc-
ture is computed to find the EGL on the upstream side. The
head loss through the section of pipe is added to this to find
the EGL on the downstream side of the next upstream struc-
ture. The process is repeated until the HGL falls below the
crown of the pipe or until the end of the run. Detailed com-
putations follow with reference to HGL computation form
 5.6 ■ UTILITY DESIGN 507

CJ-----o CJ-----o
v2 v2
Htm = (a) H0 = 0.52g (b)
2g
Terminal Junction Losses Entrance Losses
(at beginning of run) (for structure at end of run)
Where g = gravitational constant, Assuming square-edge
32.2 feet per second
per second

---
Lateral

~ 0
l ateral

-91-.
(lateral)
3
0

..Y._ (Outflow) ( C)
2g
2
Junction Losses 04V4 - a,v,2 - 0 2V22 + K01V,2 (d)
Use only where flows are identical to 2g04
abov~, otherwise use Hi 2 Equation.
Junction Losses
(After FHWA)
Total losses to include Hi2 plus losses for
changes in direction of less than 90° (Hb)-

Where K "' Bend loss factor

0 3 = Vertical dropped-in flow
from an inlet
V3 = Assumed to be zero

J>._: or
~-' i "\I,
Friction Loss (H,)
<----___}~
:C H, = s, X L (f)
~ > Where H1 = friction head
6 Where B = 90 - A
S1 = friction slope
12
KV_
_

2g
(e) L = length of conduit

Bend Losses
(changes in direction of flow)

Degree of
Where K Turn (A) in Junction Where a discharge of conduit
0.19 15 n Mannings coefficient of
0.35 30 roughness (use 0.013 for
0.47 45 R.C. pipes)
0.56 60 A = area of conduit
0.64 75
A = hJ.draulic radius of conduit
0.70 90 ( /4 for round pipe)

Total Energy Loss at Each Junction

Hr = H,m + H0 + (Hj1 or Hj2) + Hb + H,

FIG uRE 5. 6 S Summary of energy losses through structures.

 PROJECT: _ _ _ __ _ _ _ _ _ _ _ _ _ __ DESIG. EO BY: _ _ __ _ CE-fECKED
DESIG 'STORM: _ _ __ _ _ __ _ _ __ __ DATE: _ __ __ DA

]. 2 3 41
I
s 6 7 8 9 10 11 12 n I 14 15, 16 J7 18 19
I Friction Loss in Terminal J mm[on Losses
Pipe Sr.TUCture
Loss,e.s

Struct. DIS .h, DIS D Q V L s, Hf H.,. H""" H~ HI H~ H, 1.3 0.5 UIS

HT ttl'
No. EGL out HGL illl cfs fos fl [till It rt fl ft It ft r1 fl ft I EGL

I
I
I
I I I
I

Column Column
1 Structure identification label 1J Contractwn head loss for ou tRo,. Erom a ooruen
2 EGI.. d evation at do,...'1151.ream side of structl!lre = preceding column 19 + 14 Exi:,ansion head l.oss for inflow imo noncerrn.inal
preceding column 11.0 lj &ad h£ad I due co de0ection of flow through
3 Velocity head al the discharge side of the structure = v 2ng ]6 Total head loss mrough the junction = column
4 HGL elevation = column 2. - columlil 3 n Head loss for COf"ltrihuting flow [rom surface rnle
5 Pipe diameter discharge is greater than 10% of lhe mainline 'lllo
6 Discharge 18 Reduclion in head loss of column 16 for inlet sh
7 Discharge velocity co'lumn 17 X 0.5
8- Pipe length betu<een structures. 19 EGL oo I.he upstream side o{ the Jlla.11.bole structt
or column 16, 17, or 18
9· Friction slope = (~1.49 Ru, )' 20 Velocity head of Lhe i111commg pipe = V1111-ag
21 HGL Olil 1he ap ream side o! Lhe ma111hole s.1.mcr
22 Ek\•ati.on of iop of manhole or inlet SIIUcture
10 Friction head loss = column 8 X column 9 (fig. 14.20-0
L] Exil bead loss .rt terminal s.tm>cttire. on D/S end. of run (fig. H -20-a)
12 Emrance head loss a:t terminal S1.mcrure on ~ end of nm (fig. 14.20-b)

FIG uRE 5. 6 T Hydraulic grade line computation form.

 5.6 ■ UTILITY DESIGN 509

/
.,,,,,,,-------
/

~ N
~
~ ':>:,. ....1_ ---- - ---
20
~ ">~ ~• VI
~~--- --
c ~
~
•
+--L-_,__ _ _ _ _ _ _ _++

I
-
/
15 ....1 I _ v3 -o
vi I '- -
,r,L _j\g_'" - - -
.,.---1~---
I
I

Reference Datum

FIG uRE 5. 6 U Schematic diagram for energy grade line and hydraulic grade line.

shown in Table 5.6F. The form is utilized best if each hori- If, as assumed, V = 0, and we use gage pressure as the
zontal line is computed sequentially. reference then ply= 0 and the EGL is equal to the water
surface elevation z. Because V = 0 the HGL is also the
water surface elevation (i.e., HGL = EGL - v2!2g).
STRUCTURE 1
Columns 2, 3, and 4. Structure #1 is a headwall with Column 11. Assuming a loss coefficient k for a square
pipe discharging into a reservoir at water surface (WS) edged headwall= 1.0. The head loss through the head-
elevation = 42.5. The velocity of the water surface of wall is
the reservoir is assumed to be zero if we ignore the
disturbance in the immediate vicinity of the headwall 6·692 )=0.69ft (5.6AH)
Hex =(K) .!'.'.=.=1(
g g
caused by the momentum of the incoming flow. The ex 2 2
EGL at the downstream side of the headwall is
where V is the average discharge velocity in the pipe
P v2 (5.6AG)
EGL=-+-+z (V= QIA).
y 2g
Column 19. On the upstream side of the headwall the
EGL is equal to the EGL at the downstream side plus
the head loss through the structure.
TAB LE 5 . 6 E Data for HGUEGL Example (UIS EGL) 1 = 42.50 + 0.69 = 43.19 ft (5.6AI)
DIAMETER LENGTH SLOPE DISCHARGE
FROM To (IN) (FT) (FT/FT) (CFS) Columns 20 and 21. The HGL at the upstream side of
the headwall is equal to the EGL minus the velocity
4 3 15 200 0.045 15 head in the pipe.
3 2 21 400 0.010 15
2 1 24 300 0.0075 21 (U/S HGL) 1 = 43.19- 6·692 = 42.50 ft (5.6AJ)
2g
510 i@UH¥I F@Hi4Mii

Pla n View

60 ....................... ................................ . ....................................... ... .. .................. 3

PROPOSED
55 ············· · ··········· ··· ···· ·· ··················· ·············~~.~R~ .......... .......................... .

50

40 ····················· ···· ······ ............ g-.;,····························· .... ................. ...........~;;· .. ················ .. ······~··
z~o ~~o z
-N~ o~o -
~•N ~•~ ~o
O 11 • ~II• ~~
~ ~ ~
01-11 1-II c~
115~ "5!!: 11 n
8>> 8>> 0 >
+~~ +!!:!!a ~~
0+00 2+00 4+00 6+00 8+00

Profile View

FIG uRE 5. 6 V Plan and profile view of pipe system for HGL computation example.

Columns 6 and 7. From Manning's equation the maxi- Columns 9 and 10. The friction slope of the water is
mum discharge through the 24-inch pipe is

0 67
(0.0075) 0·5 ( 22tr:)=17.0 cfs
sf= [ (6.69) 10.0:;11'. 0.011 fl/ft (5.6AM)
Q
max
= ~ (~)
0.015 4
.
4
(5.6AK)
(1.49) (¾) j
The pipe is carrying 21 cfs and is therefore under pres-
The total head loss in the 24-inch pipe is
sure, that is, the HGL is above the crown of the pipe.
The velocity in the pipe is H1 = (0.011)(300) = 3.30 ft (5.6AN)

Q 21
(5.6AL) STRUCTURE 2
V=A= n 22 =6.69fps
Columns 2, 3, and 4. The EGL on the downstream side
4 of structure 2 is equal to the EGL on the upstream side
 TA BLE 5 . 6 F 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
TERMINAL
STRUCTURE
FRICTION LOSS IN PIPE LOSSES JUNCTION LOSSES
STRUCTURE D/S H. D/S 0 0 V L s, H, Hex Henr H. H, H. H, 1.3 H, 0.5 H, U/S
No. EGL OUT HGL (IN) (CFS) (FPS) (FT) (FT/FT) (FT) (FT) (FT) (FT) (FT) (FT) (FT) (FT) (FT) EGL
1 42.50 0 42.50 0.69 43.19
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
21 15 6.24 400 0.012 4.80
3 51.72 0.60 51.12 0.15 0.81 096 0.48 52.20
15 15 12.2 200 0.072 14.3
4 66.50 2.31 64.19 1.16 67.66
Column
1 Structure identification label
2 EGL elevation at downstream side of structure= preceding column 19 + preceding column 1D
3 Velocity head at the discharge side of the structure= V2/2g
4 HGL elevation = column 2 - column 3
5 Pipe diameter
6 Discharge
7 Discharge velocity
8 Pipe length between structures
9 Friction slope = (Vn/1 .49 R213) 2
10 Friction head loss= column 8 x column 9 (Figure 21.17()
11 Exit head loss at terminal structure on D/S end of run (Figure 21. 17 a)
12 Entrance head loss at terminal structure on U/S end of run (Figure 21. 17 b)
13 Contraction head loss for outflow from a nonterminal structure= k.l•f-0 ,, /2r!J
14 Expansion head loss for inflow into nonterminal manhole= k.ntr(V 2;n/2ri'J
15 Bend head loss due to deflection of flow through manhole (Figure 21. 17 e)
16 Total head loss through the junction = column 13 + column 14 + column 15
17 Head loss for contributing flow from surface inlet= column 16 x 1.3 if surface discharge is greater than 1opercent of the mainline flow
18 Reduction in head loss of column 16 for inlet shaping = column 16 or column 17 x 0.5
19 EGL on the upstream side of the manhole structure= column 2 + column 11 or column 16, 17, or 18
20 Velocity head of the incoming pipe= V2;n/2g
21 HGL on the upstream side of the manhole structure= column 19 - column 20

......en 22 Elevation of top of manhole or inlet structure

512 i@UH¥I F@Hi4Mii
of structure 1 plus the head loss in the pipe between
structures 1 and 2.
(D/S EGL) 2= 43.19 + 3.30 = 46.49 ft (5.6AO)
The HGL on the downstream side of structure 2 is one
velocity head below the EGL.
(D/S HGL) 2= 46.49- 6·692 = 45.80 ft (5.6AP)
2g
Columns 13, 14, 15, and 16. The head loss through the
structure is the combined effects from sudden con-
traction, sudden expansion, and momentum loss as
the flow is deflected through the 45°. Proceeding in
the upstream direction, the head loss due to sudden
contraction as the flow leaves structure 2 and enters
the pipe is
H0 =ko(r_)=0.25( 6 ·692 )=0.17ft (5.6AQ)
2g 2g
The head loss for sudden expansion for incoming flow
into structure 2 is
H; =0.35( \ 2g42 ) = 0.21 ft (5.6AR)
The bend loss coefficient found on Figure 5.6S is 0.47.
Using the incoming velocity,
2
Hb = 0.47( \ 2; ) = 0.28 ft (5.6AS)
The total head loss through the structure HT= 0.17 +
0.21 + 0.28 =0.66 foot. The head loss coefficients for sud-
den expansion and sudden contraction vary according
to the standard design criteria of the local jurisdiction.
Column 17. Surface water entering through the top of
the structure disrupts the flow in the mainline and thus
creates head loss. The recommendation by AASHTO
is to increase the total head loss through the structure
by 30% to account for this additional head loss. This
adjustment is only applicable for surface water enter-
ing the structure in the amount equal to or greater
than 10% to 20% of the flow in the mainline of the
pipe, based on local criteria. In this case, 6 cfs (10% x
15 cfs) and the adjustment is made: 1.3 (0.66) = 0.86 ft.
Column 18. Efficiency of flow through the manhole can
be improved by constructing a trough through the bot-
tom of the structure to direct the flow. This is known as
inlet shaping. Most design standards for storm sewer
manholes incorporate inlet shaping. If the storm sewer
structure incorporates inlet shaping the total head loss
through the structure, in this case, is reduced 50% (this
value varies according to local criteria). Column 16
(or column 17 for surface inlet structures) is decreased.
For this structure, column 18 = 0.5(0.86) = 0.43 foot.
However, hydraulic experts have questioned the effec-
tiveness of inlet shaping for highly turbulent excessive
surcharge flows.
STRUCTURE 3
Computations for structure 3 are similar to structures
1 and 2. Since structure 3 is a manhole type struc-
ture, and no surface water enters through the top,
column 17 does not apply. Note that the EGL across
structure 3 increases, while the HGL decreases, due to
the high incoming discharge velocity. This is one case
where the HGL cannot be approximated to the EGL.
STRUCTURE 4
Structure 4 is a terminal structure and therefore only
column 12 applies for computing the head loss. Notice
the HGL elevation is above the rim elevation of the
structure. This shows that for the given discharges and
pipe design the top of the structure is inundated by 3 feet
of water. If the design discharges are for a frequent storm
(i.e., recurrence interval less than or equal to 10 year) this
pipe design, in all likelihood, would be unacceptable.
HGL Summary. HGL computations are vital to the proper
design and construction of storm sewer systems. Keep in
mind that the method described in the previous sample
problem is typical; however, many localities have additional
or different 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 (DOT) also take
conservative approaches to bend losses and junction losses,
so always consult the local design criteria if available.
Another conservative approach practiced by many agen-
cies is to assume that the minimum depth of the HGL along
a pipe at the junction location (going upstream) can be no
lower than a certain depth in the pipe, such as normal depth
of (D, + D)/2. For example, if calculated junction losses
shows that the elevation of the HGL is near the bottom of
the upstream pipe, the user would start the HGL for the
upstream pipe at (D, + D)/2, not the calculated HGL value.
5.6.5. Culvert Hydraulics
Culvert design considers both open channel flow and a con-
dition of pipe flow. The channel flow to the culvert and after
the culvert will influence the hydraulic condition within the
culvert. In open channel flow either of three turbulent flow
regimes exists: subcritical flow, supercritical flow, or criti-
cal flow. The discharge energy, relative to the channel bed,
is referred to as the specific energy and is mathematically
defined as
v2
E=y+- (5.6AT)
2g
where y is the depth of flow, Vis the average cross-sectional
velocity, and E is the specific energy.

For one particular combination of depth and velocity, for a
specified discharge, the specific energy is a minimum. This par-
ticular discharge is the critical flow. Alternatively, critical flow
is the condition of flow when, for a given energy content of the
water, the discharge is a maximum. For the same discharge, flows
above this minimum energy may exist as either high depth-low
velocity or low depth-high velocity. In the former case flow is
subcritical, the latter is supercritical flow. The parameter that
distinguishes flow regimes, the Froude number, is a dimension-
less number. The Froude number, as seen in Equation (5.6AU),
is the ratio of inertial forces to gravitational forces of the flow:
V_
F, _ _ (5.6AU)
R-,,jgci;,
In this equation, dh is the hydraulic depth (the cross-sectional
area of flow divided by the width of the channel at the water
surface), V is the velocity, and g is gravitational accelera-
tion. At critical flow FR = I, for subcritical flow FR less than
1 and at supercritical flow FR greater than 1. The location in
the channel section where flow changes from subcritical to
supercritical flow, that is, FR equal to 1, is defined as a control
section. At a control section, there exists a unique relation
between depth and discharge, given as
0
u
=vya (5.6AV)
-fs LL~~::~----
• HW -----~
o) Inlet & outlet unsubmerged. Flow
passes through crltlcal depth just
downstream of entrance resulting
In partly full supercritical flow In
barrel. Flow approaches normal
depth of outlet.
c) A more typical design situation of
Inlet control'. The Inlet Is submerged
& the outlet flows freely. Flow Is
supercritical In barrel & approaches
normal depth near outlet.
FIG uRE 5. 6 W Types of inlet control.
5.6 ■ UTILITY DESIGN 513
where A is the cross-sectional area of flow and B is the width
of the channel at the free surface of the water. Hydraulically,
a control section restricts the transmission of the effect of
changes in flow conditions, either in the upstream or down-
stream 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. Ifthe control sec-
tion 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 configu-
ration, and hydraulic properties of the barrel itself.
Inlet Control. When the control section is near the inlet,
only the headwater depth and inlet configuration determines
the amount 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 than full. Conceivably, for a given inlet configu-
ration, the culvert can flow full if the headwater depth is high
enough to force enough water through the inlet. The head-
water depth necessary to achieve full flow in the barrel of
the culvert is very large, and is usually not achievable given
practical site constraints. Figure 5.6W illustrates the various
types of inlet control.
7 ..;:a,. .iOJ►=
b) Although the outlet is submerged,
flow is still under inlet control. A
hydraulic jump forms os flow goes
from supercrltlcal to subcrltlcal
near lower end.
Median Drain
d) Both ends submerged do not assure
outlet control nor full flow. As
supercrltlcol flow goes to subcritlcal
flow, a hydraulic jump forms. If
the median Inlet did not provide
ventilation, subatmospherlc pressures
would develop which could cause the
barrel to alternate between full flow
& partial flow.
514 i@UH¥I F@Hi4Mii
For flows that do not submerge the inlet, as in a and
b of Figure 5.6W, the flow into the culvert is modeled as
weir flow. For submerged conditions, the flow into the
culvert is modeled as orifice flow. Equations (5.6AW),
(5.6AX), and (5.6AY) were determined from experimen-
tal data on culverts by the National Bureau of Standards
(NBS). Equations (5.6AW) and (5.6AX) are for unsub-
merged conditions and Equation (5.6AY) is for submerged
(orifice) conditions. [Equation (5.6AX) is another form of
Equation (5.6AW)].
D
HW
=He+ K
[ Q
AD05
]M + Cs (for Q/AD 05 :,; 3.5)
0
HW; =K [ -
D
-]M
AD 05
(for QIAD 05 ::;3.5)
2 where n is Manning's roughness coefficient, L is the barrel
HW' =c [ -Q- ] +Y +C
- (for Q IAD 05 :2:4.0)
D ADo5 s length, and Vis the average discharge velocity in the barrel.
where HW; is the headwater depth above inlet control sec-
tion invert (feet), D is the interior height of culvert barrel
(feet), He is the specific head at critical depth (de + v2!2g)
(feet), Q is the discharge (cfs), A is the full cross-sectional
area of culvert barrel (square feet), C, is the slope correction
factor [= 0.7S for mitered inlets and C, = -0.5S for all other
inlets where Sis the culvert barrel slope (ft/ft)], and K, M, c,
Y are constants from Table 5.6G.
The Federal Highway Administration has developed
numerous nomographs for various culvert shapes for inlet
control. Figures 5.6X, 5.6Y, and 5.62 illustrate several of these
nomographs. Others are available in the Hydraulic Design
of Highway Culverts (1985) or from software available from
FHWA Culvert Hydraulics Software, HY-8.
Outlet Control. When the control section is at the
downstream side of the culvert, flow through the cul-
vert is either subcritical or pressure flow. Additionally,
the amount of flow through the culvert is governed by
hydraulic characteristics of both the culvert and tailwater
conditions. In culverts under outlet control, the barrel is
not capable of carrying all the water that passes through
the inlet. Figure 5.6AA shows the various types of outlet
control conditions.
Flow through the culvert is a balance between the energy
available to pass the water through and the energy consumed
by friction and minor losses. The energy balance is given by
HWO + -
v~ = TW + -+
v~ 2, H L (5.6AZ)
2g 2g
where HW is the headwater depth above the outlet invert,
O
Vu is the approach velocity of the water at the inlet, TW =
tailwater depth above the outlet invert, Vd is the discharge
velocity of the water at the outlet, and I.H1 represents the
summation of all energy losses through the barrel.
As with pipe flow, energy losses for culverts are attrib-
uted to barrel roughness (friction), and minor losses at the
inlet and outlet, as well as bends and other appurtenances.
Similarly, minor losses are computed as a fraction of the
velocity head (kinetic energy) as given in the equation:
(5.6BA)
where the factor k is empirically determined and depends on
geometry and hydraulic characteristics. Table 5.6H provides
values of k for various entrance conditions. In most cases the
k value for exit loss is 1.0.
Friction loss H1 in the barrel of the culvert, depends on
culvert material and geometry. Using the Manning equation
(5.6AW) the friction loss is given as
(5.6AX) H
t
=[29n 2
R1.33
L]~
29
(5.6BB)
(5.6AY)
The variable R is the hydraulic radius = A/WP, whereas A is
the cross-sectional area of the culvert, and WP is the wetted
perimeter.
The head loss through a straight culvert of uniform cross
section is
H= ( 1 + ke+~ -
29n 2 L) v2 (5.6BC)
R 2g
where ke is the entrance loss coefficient. For culverts with
bends, sudden expansions, and other features that create
energy losses, additional terms are added to Equation (5.6BC).
Procedure for Culvert Design
1. Determine the culvert alignment. The most desir-
able alignment follows the natural streambed.
Although factors such as economics, environmental
issues, maintenance considerations, and other site
constraints contribute to the alignment selection.
Setting the alignment also determines the length and
slope of the culvert.
2. Select the design storm, which is frequently dictated
by state or local criteria. For culverts crossing road-
ways, the type of roadway affects the design storm.
For secondary roads, the recurrence interval may
range from 10 to 25 year storm. On major high-
ways and interstates, the recurrence interval may
be 50 year or greater. Other criteria affecting design
may be the free board distance or depth of flow
allowed on the roadway for a storm other than the
design storm.
3. Utilizing land use maps, topographic maps, and
whatever hydrologic technique is best suited for the
area (e.g., rational method, NRCS methodology, and
regional equations) determine the design discharge
for the culvert.
4. Select the culvert material and shape that best con-
forms to the constraints of the site. Note, certain
 TAB LE 5 . 6 G Constants for Inlet Control Design Equations
UNSUBMERGED

CHART No. SHAPE AND MATERIAL MONOGRAPH SCALE INLET EDGE DESCRIPTION EQUATION FORM K M
1 Circular 1 Square edge w/headwall 1 0.0098 2.0 0.(
concrete 2 Groove end w/head wall .0078 2.0 .(
3 Groove end projecting .0045 2.0 .(

2 Circular 1 Headwall 1 .0078 2.0 O.~

CMP 2 Mitered to slope .0210 1.33 Q.L
3 Projecting .0340 1.50 o.e
3 Circular A Beveled ring, 45° bevels 1 .0018 2.50 .(
B Beleveled ring, 33.7° bevels .0018 2.50 .(

8 Rectangular 1 30-75% wingwall flares .026 1.0 .(

box 2 90° and 15° wingwall flares 1 .061 .75 .(
3 0° wingwall flares .061 .75 .(

9 Rectangular 1 45° wingwall flared= .0430 2 .510 .667 .(

box 2 18°-33.7° wingwall flared= .0830 .486 .667 .(

10 Rectangular 1 90° headwall w/¾ chamfers 2 .515 .667 .(

box 2 90° headwall w/45° bevels .495 .667 .(
3 90° headwall w/33.7° bevels .486 .667 .(

11 Rectangular 1 ¾ chamfers; 45° skewed headwall 2 .522 .667 .(

box 2 ¾" chamfers; 30° skewed headwall .533 .667 .(
3 ¾" chamfers; 15° skewed headwall .545 .667 .(
4 45° bevels; 10-45° skewed headwall .598 .667 .(

12 Rectangular 1 45° nonoffset wingwall flares 2 .497 .667 .(

box 2 18.4" nonoffset wingwall flares .493 .667 .(
¾" 3 18.4" nonoffset wingwall flares .495 .667 .(
chamfers 30° skewed barrel
13 Rectangular 1 45° wingwall flares, offset 2 .497 .667 .(
box 2 33.7° wingwall flares, offset .495 .667 .(
Top bevels 3 18.4° wingwall flares, offset .493 .667 .(

16-19 CM boxes 1 90° headwall 1 .0083 2.0 .(

2 Thick wall projecting .0145 1.75
...enen 3 Thin wall projecting .0340 1.5
.(
.(
-
en
a, TABLE 5. 6 G Constants for Inlet Control Design Equations (Continued)
UNSUBMERGED

CHART No. SHAPE AND MATERIAL MONOGRAPH SCALE INLET EDGE DESCRIPTION EQUATION FORM K M
29 Horizontal 1 Square edge with headwall 1 0.0100 2.0 0.(
ellipse 2 Groove end with headwall .0018 2.5 .(
concrete 3 Groove end projecting .0045 2.0 .(
r
30 Vertical 1 Square edge with headwall 1 .0100 2.0 .,
r
ellipse 2 Groove end with headwall .0018 2.5 ·'-
concrete 3 Groove end projecting .0095 2.0 .(

34 Pipe arch 1 90° headwall 1 .0083 2.0 .(

18" corner 2 Mitered to slope .0300 1.0 .(
Radius CM 3 Projecting .0340 1.5 .(

35 Pipe arch 1 Projecting 1 .0296 1.5 .(

18" corner 2 No bevels .0087 2.0 .(
Radius CM 3 33.7° bevels .0030 2.0 .(

36 Pipe arch 1 Projecting 1 .0296 1.5 .(

31" corner No bevels .0087 2.0 .(
Radius CM 33.7° bevels .0030 2.0 .(

40-42 Arch CM 1 90° headwall 1 .0083 2.0 .(

2 Mitered to slope .0300 2.0 .(
3 Thin wall projecting .0340 1.5 .(

54 Circular 1 Smooth tapered inlet throat 2 .534 .555 .(

2 Rough tapered inlet throat .519 .64 .(

55 Elliptical 1 Tapered inlet, beveled edges 2 .536 .622 .(

Inlet face 2 Tapered inlet, square edges .5035 .719 .(
3 Tapered inlet, thin edge projecting .547 .80 .(

56 Rectangular 1 Tapered inlet throat 2 .475 .667 .(

57 Rectangular 1 Side tapered, less favorable edges 2 .56 .667 .(

concrete 2 Side tapered, more favorable edges .56 .667 .(

58 Rectangular 1 Slope tapered, less favorable edges 2 .50 .667 .(

concrete Slope tapered, more favorable edges .50 .667 .(

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

 5.6 ■ UTILITY DESIGN 517

□CHART 8 12
600
II ( I) (2) (3)
500 9
EXAMPLE 8 10
10 15'• 2' Boa 7!1 Cfl 8
400 QI 7

9 300 1n11t

(I)
0/8 • HI ch/fl.

o
HW

1.715
..
, ,
HW

l .5
6

5
6

5
7 8
7
6
8 (I!) 1.90 3.8 4 s
200
(3) l!.O!I 4. 1 4
4
7 3
3
3
I-
0 100
6 0
I&.
80 ~ 2

5
II:
"'a.
Cl)
I&.
60
50
3
~
/1-
-- 2
2

(.)
/ ~ 1,5
I-
l&J
z 40 / l&J 1.5
l&J ::c 1.5
I&. ii
z 4 g 30
....~
~/ I&.
0
en
e
><
::c
I-
0 20/
/ :E
II:
l&J
0 1.0
CD i /
I-

I&.
~-- z
1.0
0
.....
::c
0
3
/
/w
0
II: 10
....... ~
Wl•t••II
Flore -
:J:
I-
a.
l&J
.9

.8
.9
1.0

.9
l&J
::c / C
::c
8
0
II:
/ (.)
Cl) l&.I
I- 8 ::..A. -
/ 0 <I .7
6 3:
/ I&.
0 0

/ 0
5
~ SCALE WINGWALL ..,
C
.7 .7
:r
~ I- 4 D FLARE .6
C
II: (I) :,o• 10 75•
3 (2) 9O°Hd 15° .6 .6
(:S) O•1111u1io111 .5
of aidea)
2
.5 .5
To UH 1cal1 (21 or (3) proltcl
llori1ot1to11, to ICOII (I), ,~en
uH 1trai9III iacllHd Ii•• throvt~ .4
0 ..,. 0 1ul11,or rt•••ae
a1
lllu1trot1d.
.8 .4 .4

.6
.35 .35
.5 .30
HEADWATER DEPTH
FOR BOX CULVERTS
BUREAU OF PUBLIC IIOAOS J4N. 19M
WITH INLET CONTROL

FIG u RE 5. 6 X HDS-5 chart 8, nomograph for headwater depth for box culvert with inlet control.
s1a J@U4ii IM·ll41iM

180 10,000
CHART 10
168 8,000 EXAMPLE (I) (2) (3)
6.
Ie6 D• 42 lnclle1 (3.5 fMt)
6,000
O• 120 ch
144 5,000

132
4,000 y• ,... MW

3,000
120
ll)
12)
2.5
2 .1
•••
7.4
2,000 (:S) l!.I! 1.1
108
•o Ill fMt

96 1,000
800
84 /
600
/
500
/ ~ 2.
400 /
....•
72
Cl)

"':c 300 '"'v

~~
:c 1,5 1.5
(,) en
~
f/)
I&.
/ a:
z 60 (,) 200 / "'I- 1.5
~ / "'2<C
§ 54 /
...a: ~ a
/1&1 100
l&I
_,
>
::::,
48
/
/ :
Cl:
80
~

...
:c
(,)
% 60 CL 1.0 1.0
(,)
II.
0
°'42 Cl)
a
50
11.! SCALE ENTRANCE "'
0
1,0
40 D TYPE a:
Cl:
"' "' .9 .9
I-
"'Cl:2 n
38 30 (I) s,Hrl edll wltll
IIHdwell i
0
Cl:
.9

a 30 20 (2)
.........
GrooH .... willl
"':c
,8
.a .8
(3) Gron■ end
,,,1ect1111
27
10
.7 .r
24 •
6
.7
To UH 1cale (2) or (3) preJ ■ ct
e llorlrontan, II 1c■ I ■ CI), ,11,11
21 ~H 1troltlll l11clln1d llo tllroutll
4 D end O ICOIH, If rtwene H .6 .6
illuetratad.
3
18
2

15
.5
.5 .5
1.0

12 HEADWATER DEPTH FOR

HEADWATER SCALES 2 8 3
CONCRETE PIPE CULVERTS
REVISED MAY 1964 WITH INLET CONTROL
BUREAU OF PU8LIC ROADS JAN. ttU

FIG uRE 5 • 6 Y HDS-5 chart 1, nomograph for headwater depth for concrete pipe culvert with inlet control.
 5.6 ■ UTILITY DESIGN 519

0 CHART 2

...
168
156

144
, 10,000
8,000
6,000
e,ooo
4,000
Q•••
EXAMPLE
O• Se lnchH (S,0 fHI)
ch

MW a
(I)

I.

s.
(2)

I.
(3)
MW
132 . 3,000 T (fHI)
6.
:I s.
d
II)
••• &.4
120

106
...,
w
C
2,000 12)
(S)
t .,
t.Z
,.s
••• 4.
e.
Q,
•o IA fHt 3. 4.
...J

96
:.
::, 1,000 3.
0
800 3.
...
::,
Ill:

---
84 600
'" 2.
eoo
---
1
72
400 /4 2. 2.
/ ~
en
l&I
::c
300
/ ~ ,.,
0
z ...en
0 200 ,,._\./
/ ~
60 en I.S
~ ~ ...~ ....I-a::
I.S

§ 54 g /
> l&I
:E
I- l&I 100 / 4
a:: C>
l&I 48 a:: ,, 0 /
8 ci
> 4
..J
:::,
::c, ~
60 1.0
/~ :z: 1.0
...
0

0
42
/ ci
!SO
40
I-
..,
G.
1.0
a:: / 0
l&I
..,
I- 36 30 HW SCALE
D
ENTRANCE
TYPE
..,a::
.9
:E
4
i5
33 20 (I) Mndwo ll
i
4
•• ••
•u 30

27
(2)

ISi
Mlt.,,d to confor•
te atop•
,,o)ectln1
l&I
::c .I
0 10
Ill: .7 .7
C 8
.
0
z 24 .7
C
{I)
6
& To UH acolt (Z) tr (S) project
21 4 horlzontollr to tnlt Ill, tllen .I
UH ,,,,1,111 inclined 11 .. thrHtll ,I
3 0 oftd Q ICOIH, or rtYerH H .6
llluotrot,4.
18
2

IS .e
1.0 .e

12 HEADWATER DEPTH FOR

C. M. PIPE CULVERTS
Bl/REAU Of' PUBI.IC ROAOS JAftl. 1905
WITH INLET CONTROL

FIG uRE 5 . 6 Z HDS-5 chart 2, nomograph for headwater depth for corrugated metal pipe culvert with inlet control.
520 i@UH¥I F@Hi4Mii
Water
Surface L------,
a) full flow condition with barrel ends
submerged; often assumed In
calculations, but seldom actually
exists.
!w~ L ~ "'-s
b) Outlet submerged, Inlet unsubmerged.
l~s. ~wlv L ~-~
cfs.
c) full flow condition with Inlet submerged
and outlet unsubmerged. The extremely
high HW required to maintain this
condition makes this a rare occurrence
and results In high outlet velocltles.
FIGURE 5.&AA Typesofoutletcontrol.
materials and shapes may not be readily available
from suppliers. For example, low embankment
height may warrant the use of elliptical pipe or high
embankments may warrant structurally enhanced
material. Aesthetics may also affect the selection of
material and shape.
5. Size the culvert either using the equations for inlet
and outlet control or the culvert nomographs,
whichever gives the greatest controlling elevation.
The FHWA culvert design form of Figure 5.6BB
provides a guide to the selection of a culvert. For
the design discharge, the headwater depth is com -
puted assuming inlet control and outlet control.
The type of control that produces the highest
headwater depth is the governing control for the
design.
6. After sizing the culvert for the design discharge
check to see that other requirements as dictated by
applicable design standards are met. Such require-
ments might include; freeboard height or roadway
overtopping for lower recurrence interval storms,
effects and impacts of upstream ponding, the need
for erosion control for excessive outlet velocities,
structural stability, etc.
Culvert Design Example. Size a concrete (n = 0.013,
k, = 0.5) box culvert for the following constraints: 25-year
design discharge = 461 cfs with tailwater depth = 2.6 feet;
1-r ~:s~~s.
d) A more typical situation with Inlet
submerged and free flowing outlet.
Barrel length Is partly full with
subcrltlcal flow and partly super-
crltlcal flow near outlet.
~ s.
e) Another more typical situation: neither
outlet nor Inlet ls submerged. Barrel
ls partly full with subcrltlcal flow.
100-year design discharge = 690 cfs with tailwater depth =
4.3 feet. At least 1.5 feet of freeboard is required for the
25-year design discharge, and the maximum allowable
flow depth over the embankment for the 100-year design
discharge is 12 inches. The upstream invert elevation =
314.2 feet, the downstream invert elevation 313.8 feet, and
the top of the roadway elevation = 324.5 feet. The culvert is
140 feet long. Assume flared wingwalls with angle of flare
between 30° and 75° and square edge conditions. The mini-
mum allowable cover over the culvert is 3.0 feet. From the
given data the constraints for the 25-year discharge are
Maximum headwater depth= 324.5-1.5- 314.2 = 8.8 ft
Maximum culvert height= 324.5-3-314.2 = 7.3 ft
Slope= 314 ·2 - 313 ·8 = 0.003 ft/ft
140
(5.6B0)
Sizing a culvert is a trial and error procedure. Estimating
a "first try" size becomes more intuitive with experience. In
this example, select a trial HW/D based on the maximum
headwater depth and culvert height, HW/D = 8.8/7.3 = 1.2
to obtain a first approximation. (Note: When finalizing the
culvert design, the site engineer should consider the physi-
cal characteristics of an installation and determine that the
culvert will fit safely underneath the roadway pavement box.
This should be done by drawing a profile of the culvert with
relation to the proposed ground above the culvert. The thick-
ness of the culvert should also be considered when profiling
 5.6 ■ UTILITY DESIGN 521

TA BL E 5 . 6 H Entrance Loss Coefficients

OUTLET CONTROL, FULL OR PARTLY FULL ENTRANCE HEAD Loss

H. =K.(~;)
TYPE OF STRUCTURE AND DESIGN OF ENTRANCE COEFFICIENT k9

Pipe, Concrete
Projecting from fill, socket end (groove end) 0.2
Projecting from fill, square cut end 0.5
Headwall or headwall and wingwalls 0.2
Socket end of pipe (groove end)
Square-edge 0.5
Rounded (radius = 1/12 fJJ 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
Side- or slope-tapered inlet 0.2
Box, Reinforced Concrete
Headwall parallel to embankment (no wingwalls)
Square-edged on 3 edges 0.5
Rounded on 3 edges to radius of 1/12 barrel dimension, or beveled edges on 3 sides 0.2
Wingwalls at 30°-75° to barrel
Square-edged at crown 0.4
Crown edge rounded to radius of 1/12 barrel dimension, or beveled top edge 0.2
Wingwall at 10°-25° to barrel
Square-edged at crown 0.5
Wingwalls parallel (extension of sides)
Square-edged at crown 0.7
Side- or slope-tapered inlet 0.2
*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.
Reference: FHWA, Hydraulic Design of Highway Culverts, HDS-5, 1985.

the system.) For inlet control conditions use the nomograph Now check the HW depth for outlet control conditions.
in Figure 5.6X. On the scale at the right, for HW/D = 1.2, From Table 5.6H for the given headwall/wingwall configura-
extend a straight line to the left scale (height of box) value tion, the entrance loss coefficient k, is 0.5. Substituting the
of 7 and read QI B = 68 cfs/ft on the middle scale. Therefore values into Equation (5.6BC) gives
a discharge of 461 cfs requires a 461/68 = 6.8-foot-wide box
culvert. The first trial size is 7 x 7 feet. The corresponding H = ( 1+ 0 _5 + (29)(0.013) 2 (140)) (461/ 49) 2 2 _5 ft
headwater depth is 8.3 feet. (49/28) 413 2g
(5.6BE)
522 i@UH¥I F@Hi4Mii
PROJECT : STATION :

SHEET _ __ OF
CULVERT

DESIGNER /DATE :
DESIGN FORM
., ___
REVIEWER/ DATE : I
HYDROLOGICAL DATA
EL114 : _ _ (f117 ROADWAY ELEVATION : (Ill

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SUBSCRIPT DEFINITIONS : COMMENTS /DISCUSSION: CU~t;RT IARRt;!, Sn.ECTED ;

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FIGURE 5.68B Culvertdesignform.

The critical depth, d, for the box culvert using the given data is
d,=0.315~rnJ
=0.315~( 4~1J
=5.1ft
and (d, + D)/2 = (5.1 + 7)/2 = 6.1 feet. The variable h0 is the
greater of either the tailwater elevation or (d, + D)/2. Here
(d, + D)/2 = 6.1 feet> TW = 2.6 feet.
Finally, the headwater depth for outlet control is
HW=H+ho-LS 0
=2,5+6.1-140(,003)=8,1 ft
Since the headwater depth for inlet control (= 8.3 feet) and
outlet control(= 8.1 feet) are both less than or equal to the
maximum allowable headwater depth (= 8.8 feet), a 7 x
7-foot box culvert is an acceptable size. Also, since the head-
water depth for inlet control is greater than the headwater
depth for outlet control, the culvert operates as inlet control.
The second part of the design is to check if the flow depth
over the road embankment for the 100-year discharge is less
than 12 inches. From the nomograph in Figure 5.6X extend
a straight line from the left scale (height of box = 7 feet)
through the QI B = 690/7 = 98 cfs/ft and read HW / D = 1.8 on
(5.6BF) scale 1 at the left. The resulting headwater depth= (7 x 1.8) =
12.6 feet.
Now determine the headwater depth for outlet control
conditions. From Equation (5.6BC):
H j 2
1+ 0. 5 + (29) (0.013)2(140)] (690/49) = 5.6 ft
l 49/2Bt3 ( 2g
(5.6BH)
(5.6BG) This same value can be obtained using the outlet control
nomograph for concrete box culvert of Figure 5.6CC. First
draw a straight line from the dimension of square box scale
(7 x 7 feet) to the length scale value of 140 feet for ke = 0.5.
Next draw a straight line from the discharge scale(= 690 cfs)
through the point where the previously drawn line intersects
the turn line to the head (H) scale on the left. Read a value
of H = 5.6 feet.
 5.6 ■ UTILITY DESIGN 523

CHART 15
□
5000

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12x12 . . .._., -..C.rilNd • ....., -•••P o,oced.,. .4

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.6

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6
5

HEAD FOR
CONCRETE BOX CULVERTS
FLOWING FULL
AU 0, l'Ull lC IIOAOS JAH , 1963 n = 0.012
FIG uRE 5. 6 CC Outlet control nomograph for example problem.
524 i@UH¥I F@Hi4Mii
The critical depth de is
dc=0.315~rnJ
= 0.315~( 6~0 J (5.6B1)
= 6.5 ft
where (de+ D)/2 = (6.5 + 7)/2 = 6.8 feet. Hence the variable
h0 = 6.8 feet. The headwater depth for outlet control is
HW=H+h 0 -LS 0
= 5.6 + 6.8 -140 (.003) = 12.0 ft (5.6BJ)
For the 100-year discharge the culvert operates under inlet
control (i.e., 12.6 is greater than 12.0).
Based on the assumption of no roadway overtopping, the
headwater elevation for the 100-year discharge is 326.8 feet,
which is 2.3 feet above the road. Finding the actual depth
over the road is another trial and error procedure. For a
given headwater (above elevation 324.5 feet) the total flow is
the amount that the given headwater depth pushes through
the culvert plus the amount of flow going over the embank-
ment. The objective is to find the headwater depth where the
combined flows equal the specific design discharge.
Flow over the embankment is typically modeled as a weir.
The length of the weir and depth of water over the weir are
difficult to determine when the road profile is a sag vertical
curve or when the embankment surface has a very irregular
shape. There are various numerical methods to approximate
each of these values. Sometimes a simple approximation of a
broad crested rectangular weir can be used. For more com-
plex situations, many culvert analysis programs will allow
for the input of the roadway profile above the culvert and
calculate the weir flow incrementally over the road until the
resulting discharge balances. Weir flow is
Ow=CwLH 312 (5.6BK)
where Cw is a weir coefficient that depends on the shape and
depth of water above the weir relative to the depth of water
below the weir, L is the length of the weir, and H is the depth
of water above the weir. For a broad crested trapezoidal weir
Cw ranges between 2.5 to 3.1. Refer to hydraulic handbooks,
such as Brater and King, for various other values for different
types of weirs.
To determine if the roadway overtops less than one foot,
as was required in the example problem; assume that a
SO-foot-long rectangular weir approximates the overtopping
portion of the roadway. Using Equation (5.6BK), a Cw= 2.6,
L = 50 feet and H = 1 foot (allowable overtopping) yields a
weir discharge of 130 cfs. Next, we determine whether the
combination of weir flow and culvert flow, at the allowable
elevation of 325.5 (1 foot above the road elevation), is suf-
ficient to pass the 100-year discharge.
Using an elevation of 325.5, the corresponding HWID
ratio of (325.5 - 314.2)/7 = 1.61. From the box culvert with
inlet control nomograph (Figure 5.6X) construct a straight
line from scale HW/D scale 1 for HW/D = 1.61 to the left
scale for D = 7 feet. Read QIB = 90 and find Q = 7(90) =
630 cfs. The total flow of culvert and weir flow is 630 + 270 =
760 cfs. Our 100-year design discharge is equal to 690 cfs.
Therefore, there is sufficient capacity within the culvert and
the 1 foot of allowable overtopping of the road to pass the
design discharge. A trial and error process using the same
procedures could calculate the actual 100-year water surface
elevation.
This example uses the culvert nomograph for inlet con-
trol to calculate the headwater depth. Equations (5.6AW),
(5.6AX), and (5.6AY) could have also been used for the same
purpose. The nomograph is convenient and quick, however,
a variety of computer programs are available to assist and
automate the culvert analysis process.
Major Culverts. The preceding example demonstrates how
a 7 x 7-foot box culvert would meet the minimum design
requirements for the given discharges. Major culverts usu-
ally have different definitions in different localities but are
usually large single and multiple cell culverts with drainage
areas 200 acres or greater. These crossings may not fall under
floodplain requirements mandated by localities or the fed-
eral government, and therefore careful consideration should
be given to the analysis, design, and construction of these
structures.
When analyzing larger culvert crossings, simple single-
basin hydrology or rational method hydrology may not be
appropriate. Developing models to take into account ter-
rain, soil types, land covers and various inflow points may be
necessary, and therefore developing a rainfall runoff model
with NRCS methodology may be appropriate. Regression
equations or other "regionally adopted" approaches may be
suitable and even required by some localities to estimate the
runoff to the culvert. The range of storms required for analy-
sis may vary as well. Larger culverts may need to be designed
for 25-, 50-, or even the 100-year storm events based on the
classification of the roadway, proximity to existing or pro-
posed development, or localized soil conditions.
Hydraulic analysis and design of these major culvert
crossings may also require more complex approaches than
previously described. The nomographs used in the previous
example, although still effective in predicting the appropri-
ate size of a culvert, may be overly conservative. With many
major culvert crossings, a more appropriate hydraulic analy-
sis may be more similar to a stormwater management or res-
ervoir routing process than simple pipe flow. The nomograph
approach does not consider storage on the upstream side of
the culvert. Hand calculations (typical reservoir routing)
or most simple hydrologic computer programs can handle
these calculations and the results give a more realistic answer
to the headwater elevations and discharge through the cul-
vert. The computer models can also provide an approxima-
tion of the amount of time the culvert embankments may be
saturated during a particular storm event. Oversaturation of
water sitting behind a culvert for long periods of time could

cause eventual slope and/or erosion problems with certain
soil types and embankments.
More detailed hydraulic programs (step backwater pro-
grams such as HEC-RAS or WSPRO) may also be helpful in
analyzing the impacts major culverts have on the upstream
property. Major culverts may also have bend losses or be
located in series such that these models can better predict
the water surface elevations for the different design storms.
Upstream conditions may be more affected by the head-
water conditions at the culvert, and as a result, the amount
of impact to the upstream property and where that impact
would dissipate or tie-out can be determined. This type
of analysis may be required (even if a floodplain analy-
sis is not) so that the proper easements can be obtained
upstream to encompass the predicted increase in water sur-
face elevations.
There are other issues when dealing with major culverts
that may factor into the overall size and hydraulic require-
ments. For instance, upstream flood stages may be increased
above what might be acceptable. Besides the local design
criteria, another consideration is the amount of upstream
land inundated because of the increased flood elevation. In
flat areas, with significant land value, a 0.5-foot rise in flood
stage may mean acres ofland impacted by flooding, resulting
in reduced development potential or increased development
costs for grading. Therefore, the cost to increase the culvert
5.6 ■ UTILITY DESIGN 525
size in order to reduce upstream water surface elevations
could be warranted.
Another consideration to culvert sizing includes provid-
ing for the increase in runoff from proposed upstream devel-
opment. Oftentimes, communities will require the designer
to consider the potential for upstream development, usually
based off an approved comprehensive or zoning plan. For
many culvert installations, the required design storm could
be the 10-, 25-, or even SO-year storm. Most localities do not
regulate stormwater management (SWM) controls to miti-
gate for the 25- or SO-year storm events. Many localities only
consider the IO-year and smaller events. Therefore, a culvert
located in the lower part of a watershed, especially where
development potential is high, should be sized to accommo-
date the increase in peak discharges over time.
5.6.6. Plan Content
The storm drainage information shown on a site plan is
depicted in both plan and profile views. The plan views will
show the horizontal alignment of the storm drainage network
while the profiles will depict the vertical information. Sup-
porting computations and results should be included with
a narrative that defines basic assumptions, many of which
will be coordinated with hydrologic calculations (defined
in Chapter 5.5). A sample plan sheet with typical features is
shown in Figure 5.6DD.
52& i@UH¥I F@Hi4Mii
I Dewberry·
,.
I

0 .,
Ii
11

-I

00 0 •

-~ I

0 -
:A

0
I

,.
I •

0
qr.

I· 5
I ~t
""""

1. Plan view with storm sewer alignments shown

2. Notes and profile legend specific to profile sheets, reference sheet where
storm computations are provided
3. Storm structure label, rim elevation, and height of structure
4. Existing and proposed grade line at centerline of pipe network
5. Proposed and existing utility crossings shown. labeled, and dimensioned
6. Pipe label for size, length, slope, and material
7. Structure information for invert in, out, and structure type/size
8. Stations and elevations for profile grid

FIG uRE 5 • 6 DD Storm drain plan and profile.

 5.6 ■ UTILITY DESIGN 527

SPRINGFIELD GARDENS PHASE D

Location: Springfield Gardens, Queens, NY
Client: NYC Economic Development Corporation
Completion Date: Spring 2016
Case Study: The Springfield Gardens Community in Queens, New York, was originally settled in 1640. Today it is
a working-class neighborhood consisting of 40,000 residents with two land use functions, residential and industrial.
Development of the area came in the 1920s with the expansion of Long Island Rail Road. The irrigation system was
originally created to supply water for crops and later incorporated into the city's water system until the ponds became
polluted. Using sustainable green infrastructure principles, stormwater is collected in the newly installed catch basins
and discharged into the wetlands where the water is naturally filtered. The project alleviated flooding and refurbished
the area with vegetative diversity and a thriving wildlife habitat. The residents now have park programs to connect with
nature and experience the wonders of an urban ecosystem.
The NYC Economic Development Corporation, the NYC Department of Environmental Protection (NYCDEP), and
the NYC Department of Transportation collaborated to develop a solution for the chronic flooding and poor roadway
conditions in the Springfield Gardens section of southeastern Queens in New York City. The project included recon-
struction of2.5 miles of roadway, sanitary and storm sewer improvements constructed in tandem with best management
practices (BMPs) and drainage improvements in Springfield and Idlewild Parks.
The purpose of the project was threefold: (1) relieve the flooding, (2) naturally convey and treat stormwater by improv-
ing degraded ecological conditions in the Parks, and (3) improve the flow of traffic along Springfield Boulevard.
Before this project, there were no storm sewers in the area so even small amounts of rainfall caused flooded streets.
Residents would open sanitary sewer manholes during storm events to alleviate the street flooding. Complaints to the
City were not being addressed because the NYC Department of Environmental Protection (DEP) had an official drain-
age plan that called for the roadways to be raised 4 to 5 feet to "legal grade:' This would put the homes and businesses
several feet below the street and would have simply moved the flooding from the streets to the homes and businesses.
DEP recognized that was an unacceptable solution.
Dewberry was able to design a storm sewer system that resolved the flooding without raising the street significantly and
worked with the regulators at DEP to gain acceptance of the system design and revised drainage plan. The strategy was to
direct stormwater to the open water system in the Parks, rather than build a conventional storm sewer system that would
discharge untreated water to Jamaica Bay. Dewberry's design incorporated BMPs that reduced peak flows, provided
stormwater flood control, improved water quality and restored natural areas with native vegetation. This project also
provided enhanced wildlife habitat and improved aesthetics for surrounding communities.
A new storm sewer system with natural drainage structures in the Parks was installed, along with roadway improve-
ments. The storm sewers and natural drainage system preserves wetland areas to perform their natural functions of
conveying, storing and filtering stormwater. The project will treat and convey stormwater through a system ofBMPs and
open water in the Parks before discharging to Jamaica Bay.
Because Springfield Lake flows into Jamaica Bay, the wetland stormwater conveyance system is in accordance with the
Jamaica Bay Watershed Protection Plan. The project included removing sediment and organic debris from the lake,
which deepened the lake, thus reducing algal blooms. This project also created BMPs and restored natural areas, thus
removing a portion of urban stormwater runoff contaminants that flowed into Jamaica Bay.
Springfield Lake is in the middle of the 24-acre Springfield Park, and Idlewild Park contains one of the last remaining salt
marshes in Queens and lost most of its natural habitat benefits. It included a former tidal marsh that was covered with
fill material from previous construction activities.
Springfield Lake lies at the end of a large watershed and receives significant stormwater runoff flowing from impervious sur-
faces in the vicinity that contains contaminants such as particulates, nutrients and pathogens. Consequently, Springfield Lake
and its associated streams had accumulated a large amount of sediment over the years, leading to degraded water quality.
As part of the stormwater management program, three BMPs were installed: SL- I allowed for velocity attenuation and
sediment removal for the stormwater entering the new system from the surrounding areas; SL-2 created a low and high
marsh system to allow sediment and nutrient removal upstream of Jamaica Bay; and SL-3 is a new stormwater outfall
520 i@UH¥I F@Hi4Mii
discharging into a new open tidal channel, bordered by low marsh, a narrow band of high marsh, and a wooded buffer.
In addition, Springfield Lake and its associated inlet stream were dredged to remove accumulated sediments.
The primary functions of the BMPs are velocity attenuation and sediment removal for the storm water that enters the
system from the surrounding areas. SL-1 improves water quality by allowing sediments to settle in the forebay and
micropool before the stormwater enters Springfield Lake. By capturing sediments, where they can be removed, the newly
dredged Lake will maintain that depth for a longer time. The re-vegetated shoreline shelves provide the same benefits in
Springfield Lake. Likewise, the installation of SL-2 and SL-3, downstream of the lake, improve water quality by creating
larger, more robust tidal marsh areas.
The stormwater runoff from Springfield Boulevard and the surrounding streets flows through SL-2 and SL-3. The fill mate-
rials were removed and tidal wetlands were restored to attenuate the additional stormwater from the outfalls discharging to
the BMPs. The BMP wetlands were constructed by excavating and grading the area, placing topsoil/sand and then planting
native species. These BMPs will allow sediments to settle and the planted wetland vegetation will remove nutrients.
 5.6 ■ UTILITY DESIGN 529

SL-1 consists of a forebay, an open water channel with adjacent low/high marsh, and a micropool that discharges to
Springfield Lake. SL-1 was designed to convey the stormwater generated by the 5-year rain event, with its primary
purpose to provide treatment for the "first flush'' of stormwater.
SL-2 was constructed in an overgrown area of historic fill. It consists of two open water channels: one from an existing
outfall and another from a new second outfall with a stilling basin that will merge in a low marsh surrounded by a high
marsh and wooded buffer.
The existing outfall discharges water from Springfield Lake while the new outfall will discharge stormwater from the
surrounding streets. A 30-inch storm drain that collects stormwater from the streets to the west of Springfield Lake, also
discharges into SL-2. To allow for deposition of sediments, a forebay was constructed within SL-2, at the storm sewer
outlets. After depositing sediments in the forebay, the stormwater flows into the reconfigured stream channel within
SL-2, and continues to Jamaica Bay.
SL-2 will redirect the existing outflow from Springfield Lake through a low marsh/high marsh system with increased
sinuosity and storage capacity. This wetland will offer increased hydraulic capacity to the entire system and will act as a
flow through system as opposed to a retention basin.
SL-3 was also constructed in a historic fill area in Idlewild Park. The stream channel downgradient was excavated of
sediment and the eastern bank was re-graded to stabilize it for planting native species to provide treatment of stormwa-
ter during normal flows. The drainage area for SL-3 consists of a tidal stream with low marsh/high marsh areas and a
wooded buffer. The stream will flow out of a stormwater outfall on Springfield Lane, through the BMP area, and into the
existing channel. The new outfall will discharge stormwater from local streets.

INNOVATIVE METHODS AND COST-EFFECTIVE SOLUTIONS

Innovative methods included the way BMPs were used to alleviate flooding, filter runoff and improve the quality oflife
for residents, and the use of Geotubes for efficiency in dredging. This project is the first of its kind successfully using
Bluebelts in the Borough of Queens.
Hydraulic dredging was performed with a floating platform from which the dredge line was lowered to the lake bottom.
The cutting head dislodged the sediments, which were pulled by vacuum and pumped via piping to the stockpile area
within SL-2, thus eliminating the need for hauling sediment away from the lake to a dewatering location. Slurried solids
were collected in Geotubes, allowed to dewater and dry prior to disposal off-site. This operation, conducted outside the
boundaries of Springfield Park at the site of SL-2, was extremely efficient reducing construction time, cost and damage
to the Park and Lake surroundings.
530 i@UH¥I F@Hi4Mii
COMPLEXITY
This project required a complex coordination effort by the engineers, environmentalists and owners to achieve success.
New York City could be considered one of the most challenging environments to advance a project of this nature. A long
roster of stakeholders, many functioning under difficult bureaucratic frameworks, was required to review and accept
these improvements. With the vision of the NYCDEP and PlaNYC behind it, this Infrastructure Improvement Project
leveraged ecological restoration to improve traffic, relieve flooding, and enhance open space-a remarkable precedent-
setting accomplishment.
NYCDEP constructed the new storm sewer system with natural drainage structures in the Parks. NYCDOT imple-
mented roadway improvements along Springfield Boulevard and local streets. Added features included sidewalks and
pedestrian crossings, planted median with permeable concrete pavement, and modifying the roadway section to calm
traffic and add parking. The results are a project that makes the community and city proud. NYCEDC served as agent
for the design and construction of the project; and Dewberry carried out all of the design.
 5.6 ■ UTILITY DESIGN 531

ROUTE 110 DRAINAGE & ROADWAY IMPROVEMENTS

Location: Halesite, Suffolk County, New York
Client: New York State Department of Transportation
Completion Date: September, 2014
Case Study: Dewberry, in a joint venture with L.K. McLean Associates, provided preliminary and final design services
(Phases I-VI) as well as construction support for New York State Department of Transportation (NYSDOT) to evalu-
ate feasible alternatives for roadway and drainage improvements for this $IS-million project. The primary objectives of
the project were to determine the major factors responsible for the chronic flooding of NY Route 110 in the hamlet of
Halesite, New York, by analyzing the contributing watershed and existing storm drainage network; evaluating possible
solutions to flooding; and recommending design alternatives to alleviate the flooding on Route 110.
Drainage concerns are the most significant issue for this project. During the passage of Hurricane Ivan in September,
2004, Newsday wrote: "Cars on New York Avenue [Route 110] in Halesite in Huntington faced water that rose several
feet, forcing police to close the stretch from Spring Road to the harbor:' Among the most important factors causing
flooding are the low and nearly flat elevations of the roadway; a large watershed area; high groundwater table; significant
development of the area; and tidal influence. The analysis and design of solutions to the flooding problems, therefore,
required efforts beyond those of typical drainage projects.

Dewberry was responsible for the design of a 0.9-mile section of Route 110. This included two new roundabouts, in
place of signalized intersections, to reduce congestion and improve safety. The project included the use of24-foot-wide
transverse roadway grate inlets to redirect excessive stormwater away from the roadway's low point, via culverts, pipes,
and streams, to a new filtration basin. This configuration was a unique structure classified as a bridge by New York State
Department of Transportation (NYSDOT), due to its size.
The project also incorporated an off-line articulated-concrete/planted floatables filter system, to keep debris out of the
creek and provide NYSDOT with an easy way to periodically remove the debris with its maintenance forces. The parallel
creek was restored and enhanced as well. Dewberry was responsible for design of modern tidal gates, which allow typical
tidal activity but close upon excessively high tides to prevent upland flooding.
Another aspect of the project was the inclusion of a new small "pocket park" with a relocated historic monument.
New pedestrian sidewalk access, benches, and low maintenance gateway-style plantings were included. These are a
few of the project features which contributed to an aesthetically pleasing solution to nagging drainage, pavement, and
traffic issues.
532 i@UH¥I F@Hi4Mii

(Photo Provided by L.K. McLean Associates.)


PART B-SANITARY
5.6.7. Introduction
Sewage is a water transport means of conveying wastes from
the source. Domestic sewage conveys wastes from dwellings
and the normal business, commercial and industrial activi-
ties associated with any community, such as restaurants,
laundries, and service stations. Sewage also contains the dis-
solved inert chemicals from the water supply as well as dis-
solved and suspended organic matter from the sources. The
primary source of the material in sewage is the bathroom,
kitchen, and laundry. Sewage also contains very high con-
centrations of bacteria and viruses. Sewage should always be
considered as being a source of enteric pathogens.
Since sewage behaves hydraulically as water, the design
engineer is only concerned with the composition of sew-
age when it contains substances that may be damaging to
the sewer system or maintenance personnel. Principal sub-
stances of concern include those that are corrosive, pres-
ent potential fire or explosive hazards, emit toxic fumes or
interfere with downstream wastewater treatment. Normal
domestic sewage does not contain hazardous constituents
other than pathogens. However, poor design or construction
can create hazards. The accumulation of solids can result in
the creation of odors as well as corrosive and toxic gases from
the decomposition of the solids.
Domestic sewage is more than 99.9% water and generally
between 0.05% and 0.075% dissolved and suspended solids.
The broad classification "strength'' is used to indicate the
level of organic matter in sewage. A weak sewage generally
results from high infiltration to the sewer system. A strong
sewage indicates the presence of industrial wastes. There is
little difference in sewage strength that is related to living
standards.
The two most important parameters for defining the
strength of sewage are the biochemical oxygen demand
(BOD) and suspended solids concentration. BOD is a mea-
sure of the amount of organic matter present, expressed
in terms of the oxygen required to biologically oxidize the
material to a stable form. A 5-day period is generally used
for the test. Thus, the 5-day BOD is an expression for the
strength of sewage. The use of a broad test of this type is
necessary because sewage is a mixture of many organic com-
pounds, making it near impossible to conduct a complete
chemical analysis. Furthermore, many of the compounds
present are partly refractory to biological oxidation, making
a chemical analysis meaningless. The BOD test measures
the strength in a manner that most nearly represents treat-
ment accomplishment and potential impact of the flow on
the receiving body of water.
Suspended solids concentration is also an important
characteristic of domestic sewage. The sewer system must
be designed to transport the solids. Suspended solids also
represent a load to the treatment plant. Solids not removed
in the treatment process may accumulate on the bottom
of the receiving stream creating a pollution problem. The
5.6 ■ UTILITY DESIGN 533
TAB LE 5 . 61 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
*Includes the dissolved inorganic material from the water supply
suspended solids in domestic sewage are generally more than
80% organic matter. These solids originate from fecal mate-
rial, laundry, and kitchen wastes. Sewage will contain some
organic material from laundry and kitchen wastes. Inorganic
matter also originates from washing vegetables and from
laundry wastes. Inorganic suspended material is known as
grit or fixed solids.
Table 5.61 presents information on the range of strength
related parameters for domestic sewage that may be of inter-
est to the site engineer. Other sources present more detailed
analysis of sewage as would be of interest in the design of
treatment works.
5.6.8. Procedure for Sanitary Sewer Design
The size and alignment of sanitary sewer is generally less
variable than a storm drainage system. The pipe size is deter-
mined by building requirements and usually does not change
in size within a single land development but could vary in
size for large development projects. Size of the system is
based on building use, as opposed to size. The outfall point
for a sanitary sewer system is critical.
The connection from the new site sewer to an existing sewer
line is important to verify early in design stage (as discussed
in Chapter 3.6). The location and elevation will establish con-
straints on depths and slopes of the sanitary sewer system.
Quantity of Sewage. All wastewater management facili-
ties should be designed to serve the needs of the contributing
area for some time into the future. The design engineer for
a wastewater treatment facility may use several methods for
determining future design populations. These methods will
always include population projections for the design period.
In sewer design, the engineer needs to know the area to be
sewered and the developed density. The developed density
will depend on the planned or zoned activity. The area to
be served can be established from available maps or from
field surveys. Most areas subject to being sewered should be
included in a comprehensive plan or have been zoned for a
specific land use (as discussed in Chapter 2). The use of this
information permits the design engineer to establish sewage
flow for an area at complete development. This information
can then be used to establish sewage flow for each segment
of the sewer to be designed. Sewers are normally designed
to sewer the tributary land area at complete development.
534 i@UH¥I F@Hi4Mii
Specific conditions, such as political boundaries or land use
TABLE 5. 6 K Recommended Design Flows as
planning may also dictate the design area. It is important to
design a sewer with enough capacity to serve the area for Required by the Regulations of Virginia*
at least 25 years. Regulations of the local utility may control the FLOW
area to be included in the design and the design requirements. SOURCE OF FLOW DESIGN UNITS (GPO)
Most states and many local utilities have established min-
imum design standards for sewers. The engineer must be Dwellings Per person 100
familiar with the requirements for the area where the sewer
will be installed. Tables 5.6J and 5.6K present data that may be Schools with showers Per person 16
used in the absence of any local requirement. Table 5.6J pres- and cafeteria
ents the requirements of Fairfax County, Virginia. Table 5.6K Schools without show- Per person 10
is taken from the sewage regulations of the Virginia Depart-
ers and cafeteria
ment of Health. No separate allowance is needed for infiltra-
tion if the design and construction keeps this source of flow Boarding schools Per person 75
below 100 gpd/in-mile of pipe.
Variation in Sewage Flow. Sewage flow from commercial, Motels (rooms only) Per room 130
business, and industrial establishments are generated during
Trailer courts Per trailer 300
the operating hours. Very little flow is generated from many
of these sources between late evening and early morning, Restaurants Per seat 50
as well as on weekends and holidays.
Sewage flow from residential areas is associated with Interstate or through Per seat 180
activities in the homes, with peak flows occurring gener- restaurant
ally from 7 to 10 a.m. and in the evening between 6 and
Factories Per person 15-35
10 p.m. Peak flow hours will vary somewhat for different
sections of the country as they depend on the living habits Hospitals Per bed 300
of the community. Figure 5.6EE shows a typical daily vari-
ation in sewage flow for a home. The sewage flow from a Nursing homes Per bed 200
.....................................................................................................................................
home will be very close to the rate of water use. However,
Doctors' offices Per 1000 square feet 500
Laundromats Per machine 500
TAB LE 5 . 6 J Recommended Average Design
Community colleges Per person 15
Flows from the Requirements of Fairfax County,
Virginia Swimming pools Per swimmer 10
TYPE OF Theaters Per seat 5
DEVELOPMENT DESIGN FLOW (GPO)
Picnic/park areas Per person 5
Residential: General 100/person
Camps with flush Per camp site 100
Single-family 370/residence toilets
Townhouse 300/unit The above flows are considered to be adequate to include limited infiltration.
State and local utility regulations are generally considered as being minimum design
Apartment unit 300/unit conditions.
*Waterworks Regulations, Virginia Dept. of Health (1993).
Commercial: General 2000/acre
Motel 130/unit sewage flow in a sewer system will differ from the rate of
water use in two distinct ways. The peaks in sewage flow are
Office 30/employee less pronounced because the time of concentration to a mea-
0.20/net square feet suring point will be different for different segments of the
system. For example, flow from a section of the community
Industrial: General 10,000/acre that is 0.25 miles away will reach the measuring point after
the flow from 0.10 mile away has passed. The peak sewage
Warehouse* 600/acre
flow at a treatment plant will occur some time after the peak
School Site: General 16/student demand on the water supply because of the flow time in the
sewer. The water supply is a pressure system and a demand is
*Varies with type of industry. placed on the source at the instant water is drawn at a faucet.
 5.6 ■ UTILITY DESIGN 535

15

14

13
Dishwasher
12
Garbage
11
Disposal

Cl) 10
E
0
:::c 9
"i::
:J
0 8
:::c
...
Cl)
C. 7
u,
C:
0 6
cii
C,
5

M 2 4 6 8 10 N 2 4 6 8 10 M
AM PM
Time of Day
FIG uRE 5. 6 EE Hourly variation of sewage flow.

Thus, peaks in flow in a sewer system occur later than what Tables 5.6J and 5.6K must be adjusted for peak flow rates for
is shown in Figure 5.6EE and will be less pronounced. The use in designing a sewer. The periods of minimum flow are
actual conditions will depend on the size and configuration generally not of a concern in sewer design.
of the sewer system. Note from Figure 5.6EE that water use Some local utilities have developed, or adopted from
drops to near zero from about midnight until about 6 a.m. other sources, regulations for establishing peak flow. Most, if
Flow in a sewer system during these hours will be primarily not all, states also have minimum standards. Most equations
infiltration except for some industrial and business areas. for calculating a peak factor are based on population. Two
The design engineer must design sewers to accommodate such equations are given below.
peak flows. Tables 5.6J and 5.6K provide information on daily 5
rates of sewage flow generation. A peak factor is used to account Peak factor= - (5.6BL)
pD.2
for the differences in the average daily flow and the instanta-
14 (5.6BM)
neous flow. Nominal infiltration and inflow is accounted for Peak factor= 1+ - -0- 5
by the daily flow quantities shown in Tables 5.6J and 5.6K. 4+p
The table values are considered to be high for properly con- where P is the contributing population in thousands. The
structed sewers. No additional allowance needs to be made peak factor should be limited to a maximum value of 5 and a
for infiltration and inflow. The average daily flows shown in minimum value of 2.5.
53& i@UH¥I F@Hi4Mii
A more useful approach in sewer design is the use of
curves to establish the peak factor. This type of curve is 10.0
shown in Figures 5.6FF and 5.6GG. The average daily flow
that has been calculated by using the tributary area and 9.0
appropriate densities is then multiplied by the peak factor to
establish the design flow for use in sewer design. 8.0
Hydraulics of Sewers. Sewage is considered to have the
same hydraulic characteristics as water and uses many of
7.0
the same design analysis as storm drainage (as described in
Part A of this chapter). Sewage is an incompressible fluid 0
C) 6.0
having viscous properties like water. Both gravity sewers ::IE

and force mains are generally designed as circular pipes 3:

flowing full. Design practice also assumes that the flow ,..g 5.0
is steady and uniform for each segment of pipe. In instances ...
C)

where building connections are adding flow to a segment of ...<

a:: 4.0
line, the flow at the downstream end of the segment is used ~
for the design of the entire segment. A manhole should be 3.0
installed where sewers other than building laterals connect
to the line being designed. Design segments always run 2.0
from manhole to manhole. Uniform flow applies when the
cross sectional area and slope of the segment are constant
1.0
throughout the length. Manholes are located at all changes
in slope, direction, and pipe diameter.
0
1.0 2.0 3.0 4.0 5.0 6.0 7.0

PEAK rLOW rACTOR

1.0
Notes:
1. Multiply average dally sewage flow
0 .9 by peak flow factor to obtain max.
flow for design purposes.

0.8 2. Peak flow factor Is 2.5 for all flow

greater than 10 MGD.

0 .7 FIG uRE 5. 6 GG Peak flow curve 1.0 and greater mgd.

0
C) 0 .6
::IE The flow rate is equal to the cross sectional area of flow
3: times the velocity at the section. This is expressed by the con-
,..0
...J 0.5
tinuity equation,
...
C)

...><
a:: 0 .4 O=AV (5.6BN)
< where Q is the quantity of flow passing the reference point
0 .3 (cfs), A is the cross-sectional area of flow (ft2), and Vis the
velocity of flow at the section (fps).
0.2 If the flow is steady and uniform as generally assumed,
the continuity equation is applicable and Equation (5.6B0)
0.1
applies.
(5.6B0)
0
1.0 2.0 3.0 4.0 5.0 6.0 7.0 According to the principle of conservation of mass, mass
can be neither created nor destroyed. Since Q remains con-
PEAK rLOW rACTOR
stant along a segment of sewer having a constant slope and
diameter, the velocity remains constant.
Note: Multiply average dally flow A pump is a means of imparting energy to a flow. This
by peak flow to obtain max. added energy is generally expressed in feet and is the height
flow for design purposes.
that the energy grade line is raised by the pump. This is
FIGURE 5.&FF Peakflowcurve0to1.0mgd. shown in Figure 5.6HH.

EGL and HGL Energy Imparted
By Pump {P)
Q cedure for determining the rate of energy loss. A number
HGL
FIG uRE 5 , 6 HH Change in HGL and EGL by a pump.
Flow of fluid in a conduit may be defined as being laminar
or turbulent. Laminar flow is flow of molecular layers of fluid
where one layer is moving with respect to the adjacent layer.
There is zero movement at the conduit wall under laminar
flow conditions. The resistance to movement is the viscos-
ity of the fluid. Viscosity is due to cohesion and interaction
between adjacent fluid molecules. The resistance to move-
ment is an irrecoverable energy loss that is dissipated as heat.
For laminar flow, the rate of energy loss is a function of the
fluid and the velocity of the fluid and not related to type of
pipe material. This resistance to movement is represented by
the hydraulic gradient.
The type of flow present is defined by the Reynolds
number NR
_DVp
NR- (5.6BP)
µ should be designed to function properly at the end of the
where D is the diameter of conduit (ft), Vis the velocity of
flow (ft/s), pis the fluid mass density in lbs-s 2/ft4, andµ is the
shear between fluid layers in lbs-s/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. To provide a
frame of reference, water, which is flowing at a velocity of
2 fps and having a temperature of 68°F, in an 8-inch 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
particles move in a heterogeneous manner causing a com-
plete mixing of the fluid. This movement or turbulence is
primarily created at the conduit wall by the roughness of the
surface and by shear forces between the wall and the mov-
ing fluid. The conduit wall roughness and the shear forces
generate turbulence vortices which move out from the wall
where they are subsequently dissipated by viscous attrition
with other fluid particles. This generation and dissipation
of turbulence consumes energy which is converted to heat.
5.6 ■ UTILITY DESIGN 537
The energy dissipated within the flow is lost as heat. This
loss is known as head loss or friction loss. The slope of the
HGL and EGL shows the rate of energy loss along a length of
conduit. The drop in the HGL over a length of conduit is the
amount of friction loss.
The roughness of the conduit interior wall is of signifi-
cant importance in any hydraulic design. Pipe manufacturers
strive to produce a pipe having a very smooth wall surface,
as this is an important item in marketing the product. The
smoother the pipe wall, the less turbulence generated and
hence the less energy loss in the flow. Most pipes marketed
today are classified as smooth pipes.
The hydraulic design of a sewer system requires a pro-
of equations have been developed for this purpose. Most
of the equations were developed empirically from field or
laboratory data, but some have been developed by dimen-
sional analysis. Since the head loss depends on the level of
turbulent vortices generated at the conduit wall, all calcula-
tions of head loss must relate to the type, height and spac-
ing of roughness protrusions on the pipe surface. These
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
pipe presently available can be considered as being smooth
wall, the engineer needs to consider other characteristics
when selecting the pipe material to be included in the con-
struction. These include resistance to deterioration, ease of
handling and laying, and cost and availability. The charac-
teristics of new pipe should not be used in design because
all pipe material will deteriorate with age and use. There
will be erosion of the surface, growth of slimes on the sur-
face and accumulation of solids with use and aging. Sewers
design life.
In turbulent flow, the conduit wall roughness is the prin-
cipal condition that determines the intensity of turbulent
vortices generated and hence the energy loss associated
therewith. The Manning coefficient or "friction factor" is
found in catalogue material supplied by pipe manufacturer's,
as well as in texts on hydraulics and related subjects. A value
of 0.013 is generally used in sewer design. The Manning
equation may be arranged to calculate the head loss for a
length of sewer L as follows:
VnL112 ] (5.6B0)
HL = [ 1.486R2/3
Information available from pipe suppliers may indicate
that a Manning "n" value as low as 0.009 is appropriate for
their product. This would indicate that for a required veloc-
ity and capacity the required slope of the HGL would be
reduced 48% from that for an n value of 0.013.
009 ] 2 x100=48% (5.6BR)
[·
.013
53a i@UH¥I F@Hi4Mii
Or for a constant hydraulic gradient (HGL slope) the velocity
and capacity would be increased 44.4% (0.013/0.009 = 1.444).
A Manning coefficient of0.013 is conservative for smooth wall
pipe available for sewer construction. This value of n is recom-
mended and generally used because its use allows for erosion
of the pipe wall, slime buildup, and other minor obstructions
to flow. These forms of pipe deterioration, resulting in reduc-
tion of capacity, occur over time. A sewer pipe material should
give reliable service for at least 50 years.
Since all pipe material used in sewer construction is essen-
tially smooth wall, there will be little difference in the pipe
roughness and hence in the value of"n" to be used in a design
for different pipe material. The selection of the type of pipe to
be used in a design and included in the contract specifications
as being acceptable for use in construction should be based
on the long-term serviceability of the pipe material. Service-
ability factors should include expected useful life, resistance
to problems with infiltration, ease of installation, resistance to
corrosion and erosion, and maintenance requirements. Pur-
chase cost alone should not be the determining factor.
Gravity sewers are designed to flow full at the design peak
flow. Figure 5.611 presents the hydraulic properties of circu-
lar sewers for all depths of flow. As shown by the Manning
equation, one of the factors influencing the velocity or capac-
ity is the hydraulic radius "R'' (area/wetted perimeter). The
area of flow and the corresponding wetted perimeter do not
vary uniformly with depth of flow. As shown by Figure 5.611,
the hydraulic radius is greatest at a ratio of 0.8 of full flow
depth. The velocity will also be the greatest at 0.8 of full
depth. While the cross-sectional area of flow is maximum
at full depth, flow Q = AV and the maximum product of A
and Vis at 0.94 depth, as shown by Figure 5.6II. The capacity
at the 0.8 depth is the same as for the full depth. Therefore,
a sewer under gravity flow will never flow full because the
flow will by natural law flow at the lower energy (energy of
flow= surface elevation plus momentum). Any sewer flow-
ing at greater than 0.8 depth is being surcharged by a down-
stream obstruction. Since the velocity of flow at the 0.8 depth
is about 14% greater than at full flow, the hydraulic gradi-
ent required to achieve the equivalent full depth capacity is

y:~
1.00
j
·,
//
.90 ••
.80
/'
'II
J . ••
I

.70
$
~e~/
, ~~
/

/ / I

•'' J
V
clJ .60
V
/' 1/ /1/
0
3:
.50 V V
-
Li:
0
/2
,,,/ /
- / ;
&.
aG).
.40 v/r v;;
~
I,,'
C -~G~
rt;
~-a:
<5,uY,, ;/
.30
G)
> u~'c/" ;'r if~
.:;
C'G
~/' ~1~ _,,,,~'~e\O
Gi .20
a:
~ ,, .... ,,
.10
// ,/
~
/ _. -- ....
---
...
(t'
~
___ .
~
i.,.,,---
..........
0
.10 .20 .30 .40 .50 .60 .70 .80 .90 1.00 1.10 1.20 1.30

Rations of Hydraulic Elements

V Q A ,and R
v,un a,u11 Atull R1u11
FIG uRE 5. 611 Nomograph of selected hydraulic elements for circular pipe flowing partially full.
 5.6 ■ UTILITY DESIGN 539

reduced. However, it is not common to design for the 0.8
depth conditions.
Sewers will flow at less than 50% of full capacity most of
the time. At 50% capacity, the depth of flow and velocity is
also 50% of full flow conditions. Sewers should be designed
to provide a minimum velocity of 2.0 to 2.25 fps at full flow.
A full flow velocity of 2.25 fps will ensure a scouring velocity
of 1.0 fps at about 11 % of full flow (Figure 5.6II). A scouring
velocity of 1.0 fps is considered adequate to prevent deposi-
tion of solids.
Various forms of nomographs and software applications
are available for solving the Manning equation. These devices
are normally used in sewer design to facilitate solving the
equation. A typical nomograph is shown in Figure 5.6JJ. The
nomograph includes lines for five hydraulic elements and a
pivot line. The continuity equation (Q = AV) may be solved
by knowing two of three terms and finding the third from
the nomograph without using the pivot line. The right side
of the pivot line includes "n;' "V;' and "S:' Knowing two of
the three will establish the pivot point from which knowing

0.004 0.5 0.4

0.3
0.005
0.6 0.2
0.006
0.007
0.008 0.7
0.009 0.1
0.01 0.8 0.08

0.9 0.06
0.05
1.0 0.04
20 0.03
0.02
0.02
ft;' 0.03
q

10
9
°
~
0.04
1.5 0.01
0.008
8 'ii
96 0.10 o.os 0 .006
84 7 0 ,: 0.08 0.06 0.005
2 0.004
72 6 ¾! ] ~:o.Ol
E 0.003
60 s B :i: 0.040.08
~ 54
4
8 0.0J°<,~ 0.002
oai °g 48
"'X: 0.02
~ - - ; ; 42 C:
~ 3:9-1s

---,. ---·2
20] i}j 0.001
u ·-
j ; ~~ "· ~ --e"' 0.0008

c: ~ 24 ~ 0.0006
0.0005
10 ·-:. ~ 21 C

8 ~
; o"' 18
"'
::!E
0.0004
0.0003
u
6 i5 15
0.0002
5
12
4
6
10 0.0001
3
0.00008
8 7
2 0.00006
8 0.00005
6
0.00004
9 0.00003

4 10
0.00002

0.00001
0.000008
15 0.000006
0.000005
0.000004
18

FIG uRE 5. &JJ 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.)
540 i@UH¥I F@Hi4Mii
"Q" or "D'' permits finding the other. Likewise, Q and D can
be used to establish the pivot point and knowing either n or
TA BLE 5 . 6 M Common Design Relationships of
S will permit solving for the other. Hydraulic Elements
Sanitary Sewer Design Example DIAMETER (IN) n V (FPS) S (FT/FT) r213 q(GPM)
a) Determine the slope and velocity of an 8-inch pipe 8 0.013 2.0 0.0033 0.303 314
that can convey 1 cfs:
Using Figure 5.6JJ, knowing Q and D, find V = 2.9 fps. 8 0.013 2.25 0.0042 0.303 354
Knowing D, Q gives pivot point, with n = 0.013,
8 0.010 2.0 0.0020 0.303 314
S= 0.0019.
b) Determine the depth and velocity for the pipe in part 8 0.012 2.0 0.0028 0.303 314
a) when the flow is 0.4 cfs: 10 0.013 2.0 0.0025 0.351 489
Knowing Q/Q-full = 0.4/1.0 = 0.4 and using Figure 5.6II
Depth of flow= 43% of 8 inches= 3.44 inches 10 0.013 2.25 0.0031 0.351 551
Velocity= 95% of V-full = 2.75 fps
12 0.013 2.0 0.0019 0.397 705
There are several types of design aids in addition to the
12 0.013 2.25 0.0025 0.397 793
nomograph shown as Figure 5.6JJ for use in solving both
the Manning and the Hazen-Williams equations. These
include special nomographs and various forms of slide rules.
The conventional type nomograph as shown in Figure 5.6JJ Air Testing. The contract specifications should require that
and the slide rule types are generally preferred by design a leakage test be performed to verify the water tightness of
engineers (when software is not used). Some pipe suppliers the sewer. An air test is generally required for this purpose,
may provide these design aids. Some common conversion although an older water test may be used. The air test is eas-
relationships for water are shown in Table 5.61. Some com- ier to conduct and gives good results. The section of line to
mon design relationships from using the Manning equation be tested is plugged and pumped up to a pressure of 4 psi
are shown in Table 5.6M. plus 0.433 psi for each foot of groundwater over the conduit
The data in Table 5.6M show that an 8-inch sewer (pressure should not exceed 9 psi). The pressure is allowed
installed to provide a minimum velocity of 2.0 fps has a to stabilize to the sewer temperature. Pressure drop is then
capacity of 314 gpm (gallons per minute) (0.45 mgd (mil- timed from 3.5 to 3.0 psi (Note: 0.433 psi times the feet of
lion gallons per day)). This flow would be subject to a peak groundwater over the pipe must be added to these numbers).
factor of 5 (see Figure 5.6FF), giving an average design flow Acceptable time limits for the 0.5 psi pressure drop are
of 63 gpm or 90,700 gpd. At a per dwelling unit daily flow shown in Table 5.6N.
of 370 gallons (see Table 5.6J), this 8-inch sewer will serve
243 housing units. Likewise, a 10-inch sewer will serve 389 5.6.9. Pumping Stations
single family units (note that the peak flow factor for the Pumping stations are common to most sewage collection
10-inch line capacity of 489 gpm (0.7 mgd) is 4.8. A 12-inch systems. The collection system that does not include lift
sewer will serve 633 single-family units. Velocities greater or pumping stations at one or more locations is rare. The
than 2.0 fps and smaller n values will provide still greater engineer has available a wide choice of pump types giving
capacity. Many developments are sewered by 8-inch sewers and flexibility in selecting the type of facility most suitable for a
line sizes greater than 12 inches are seldom needed except for particular application.
main or trunk sewers. An 8-inch-diameter sewer is consid- The term "lift station'' refers to a pumping facility located
ered the minimum size line in public sewer design. within a collection system to lift the flow to a higher eleva-
tion. Sewer systems located in relative level terrain may
become excessively deep, making it necessary to "lift" the
TAB LE 5 . 6 L Common Conversion Factors flow up to minimum cover for the sewer. Note in Table 5.6M,
1 cfs = 449 gpm the slope of an 8-inch sewer providing a velocity of 2.25 fps
is 0.0042. This sewer has a head loss and hence a drop in the
1 ft 3 = 7.48 gal sewer invert of 4.2 feet per 1000 feet oflength. If the sewer
is long or if the sewer is not running with the ground slope
1 mgd = 1.55 cfs = 695 gpm
the depth may become so deep that a lift station is needed.
1 gal = 231 in 3 = 8.34 lb The depth where a lift station becomes economical depends
on subsurface conditions. The presence of a high ground-
1 ft 3 = 62.4 lb water table, poor soil, or rock must be considered in mak-
ing this determination. Also the length of sewer that will be
Pressure = 62.4/144 = .433 psi per foot of water
excessively deep must be considered. Utility maintenance
 5.6 ■ UTILITY DESIGN 541

TAB LE 5 . 6 N Air Test Table

PIPE DIAMETER
411* 611 an 10 11 12 11 15 18 11 21 11 24 11 27 11 30 11 33 11 36 11

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
tu
l&,I
II. 150 10.6 14.3 19.6 25.5 32.6 40.1 48.3 57.6
!:
l&,I 175 11.6 16.7 22.8 29.7 37.9 46.7 56.2 67.3
z
::::i
II. 200 8.5 13.3 19.1 26.1 34.0 43.3 53.5 64.4 77.0
0
::c 225 7.1 9.5 15.0 21.5 29.4 38.2 48.7 60.1 72.3 86.7
~
z
l&,I
...I 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-inch house laterals with sewer main, add 2.8 minutes to test time.

personnel generally prefer that sewers not be over 20 feet
deep if greater depths can be avoided.
A pumping station is a facility designed to lift the flow and
convey it some distance, such as from one drainage area to
another or from the collection system to a treatment works.
A lift station is commonly referred to as a pumping station
but pumping stations are not called lift stations.
Location. A pumping station should be located to serve
the entire sewer shed. The station must be located to receive
the sewage flow from the designated sewer shed. Some gen-
eral considerations to be used in locating a pumping station
include
• A lift station or pumping station should never be
located in a public street.
• The station must be accessible by an all-weather ser-
vice road, where the utility either owns the right-of-
way or has a permanent access easement.
• The station must be located to provide protection
from flood inundation. The station should as a
minimum remain fully operational at the 25-year
flood elevation and receive no damage at the 100-
year flood level. The criteria used in determining
flood protection is dictated by local policy and
conditions related to the site, such as the potential
for unacceptable environmental pollution when
overflows or sewer backups occur. In no case should
sewer backup due to pump station failure result in
flooding of buildings with sewage.
• Consideration should be given to problems with
noise and odor. Odor is most likely to be a consider-
ation with flow from large long main or trunk sew-
ers where the sewage becomes septic in the sewer
before reaching the pumping station. The discharge
from a force main will also usually be septic. Equip-
ment is available for removing odors from exhaust
air. Screenings are another source of odors and they
should not be stored at locations where odors will
impact the surrounding area. Accumulation of solids
in a poorly designed wet well may also cause odors.
542 i@UH¥I F@Hi4Mii
Noise will not normally be a problem at a properly
designed facility. The noise level from the operation of
pumps and motors is low and should not be noticeable
outside the station. There will be some minor noise from
the maintenance truck and crew that checks the station
daily. If the station design includes on-site emergency
power, the generator will need to be exercised weekly,
but residential type mufflers are available and should be
used. The exercise period is usually one-half hour and
should be scheduled during the normal workday.
• A buffer area of at least 100 feet around the station
should be owned by the utility. A cyclone type fence
should be installed around the station to minimize
problems with vandalism and more importantly, to
reduce the possibility of accidents involving children.
• The exterior architecture of the station should not
detract from the appearance of the neighborhood.
A pumping station can be located in any residential
neighborhood if it is designed and sited in an attractive
manner. Windows should be avoided to reduce van-
dalism. False windows can be used where needed for
architectural reasons. The owner should always be con-
sulted about the exterior appearance of the station. The
grounds should be properly landscaped for appearance
and drainage. Use slow growing shrubbery, gravel areas
and pavement to reduce maintenance requirements.
Design Types. The engineer should be familiar with the
requirements of the utility that will own and operate the sta-
tion. Utility personnel prefer equipment that they are familiar
with for ease in maintenance. Ifthe utility staff does not like the
type of equipment provided, it probably will not be a success-
ful project. It is also important that the equipment be procured
through a manufacturer's representative that will be available
and responsive if problems occur with the equipment.
A small lift station may serve such uses as a few houses,
a business, church or school. This type of station can be
as simple as placing one or two small pumps in a manhole.
This type station is widely used with submersible pumps,
with the manhole housing the pumps serving as the wet
well. Small grinder pumps are often used, in which case the
force main may be a 1¼-inch plastic pipe. Pneumatic ejec-
tors may also be used for small lift stations, but ejectors
are generally located inside buildings to lift the flow from
floors lower than the public sewer up into the sewer. Ejec-
tors located inside buildings are part of the building plumb-
ing. In most instances these small lift stations should include
two pumps with automatic alternation for station reliability.
Figure 5.6KK shows a typical design of this type.
Moving up in capacity, the second type of pumping or
lift station may be of the same general type as described in
above, except for the size or capacity of the equipment and
the reliability of the station. This size station would always
pump into a force main 4 inches in diameter or greater. The
station should always have two pumps and generally have
on-site emergency power. The engineer has many options
available for selecting the type of pumping facility to be used.
However, the submersible station design will normally offer
the most economical and functional choice for use in sys-
tems serving small communities.
Figure 5.6KK shows a design employing two submersible
pumps placed in a properly sized concrete manhole. The bot-
tom of the manhole is filleted and sloped to direct the flow
to the pump intake and to prevent solids accumulation in the
manhole. The pump mounting design provides for the pump
to be removed and replaced by a lifting chain without the
need to enter the manhole. A lifting hoist is provided as part
of the station design. All valves and controls are located in a
separate vault for ease in maintenance, thus eliminating the
need to enter the wet well. This type pumping station can be
used for designs of any size. Where the average daily flow is
greater than 0.5 mgd, the two pumps may be placed in sepa-
rate chambers that are interconnected with isolation valves
so that either chamber may be dewatered for maintenance.
There are several manufacturers of reliable submersible
pumps. No alternative offers the simplicity, reliability, and
economy that are achieved with a submersible pump station.
Four-foot diameter manholes are normally used as the wet
well in collection systems; however, manholes are generally
available in diameters up to 10 feet. When a large diameter
manhole is needed for locations where they are not available,
reinforced concrete pipe can be placed vertically on a con-
crete pad. When concrete pipe is used, the design must con-
nect the pad and pipe together in a manner that will prevent
leakage at the joint.
While the submersible pumping station is recommended,
there are hosts of "package pump station'' designs available.
Generally, the entire pumping station is shipped to the site
already assembled and is placed on a concrete pad, con-
nected to a wet well discharge, force main piping, and to an
electrical supply. Typically, this type of station is referred to
as a suction-lift pumping station. The name defines how it
operates: a suction pipe is placed within a wet well of simi-
lar shape and size as a submersible station, and the lines are
connected to pumps placed above ground. These pumps
discharge into a force main that conveys the sewage to the
receiving manhole in another collection system or the treat-
ment works. The pumps and associated controls are typically
housed in a prefabricated fiberglass or concrete station which
is easily accessed by maintenance personnel. In addition to
limitations that impact the operation of submersible pump-
ing stations, the suction-lift station has limitations with the
depth of the wet well. Based on the location of the pumping
station in relation to sea-level, the pumps are typically unable
to pull the sewage vertically through a suction line greater
than 25 feet. Suction-lift stations are generally more expen-
sive to construct, but are typically easier to maintain than a
submersible pumping station.
The engineer always has the option of designing a con-
structed in place wet well-dry well design where reinforced
concrete basins are constructed and the pumping equipment,
 5.6 ■ UTILITY DESIGN 543

FLYGT submersible pump

lowerd down guide bars to
automatic engage with fixed
discharge connection
retaining hook for
lifting chain

guide bar ---+-+--~H:-t

discharge connection
for automatic
pump coupling

self anchoring
bOlts

FIG uRE 5. 6 KK Typical submersible pump station. (Reprinted with permission from FLYGT Corporation, 1993,
Wastewater Pumps Catalog Trumbull, Conn.)

piping and associated appurtenances are assembled in place.
The wet well is the receiving chamber for the incoming flow.
The wet well serves as a flow surge basin and as short-term
storage during periods when the pumps are not operating.
The dry well is isolated from the wet well except for the pump
intake pipes. The dry well houses the mechanical equipment.
The electrical equipment, including the pump motors is gen-
erally placed in the ground floor housing located over the
dry well. Both the wet well and dry well must be suitably
lighted, ventilated and have proper access for maintenance
personnel. This type pumping station can be designed to
incorporate all specific requirements of the operating utility,
but it is the most expensive to construct and to operate and is
normally not an option for a station serving a land develop-
ment project.
With designs where the maintenance personnel must
enter the wet or dry wells, a minimum two-person crew
must be present, whereas only one person can carry out the
routine maintenance at a submersible station as no below
ground tasks are required. It is important to note that all-
pumping station designs be checked for flotation. While
more engineers and utilities are using submersible pump
stations as described above, the older accepted practice of
constructing a built in place wet well-dry well pumping sta-
tion remains the standard design for the larger installations.
Submersible pumps can be used in dry well installations.
544 i@UH¥I F@Hi4Mii
lncomin
Sewer
FIG uRE 5. 6 LL Schematic of a pumping station.
Components of a Pumping Station. The flow schematic
shown in Figure 5.6LL is common to all pumping stations,
except the gate valve is not needed between the wet well
and the pump in a submersible design because the pump is
installed in the wet well.
Screening. Screenings are the larger particles of floating
and suspended matter that may clog pumps and other equip-
ment. The quantity of screening normally does not exceed
0.5 cubic feet per million gallons of flow for residential sew-
age. Rags are the most troublesome items in pumping sta-
tions. The quantity of screenings to be removed will depend
on the type of housing and other sources of incoming sew-
age. The screening device should be located such that all
incoming flow passes through the chamber before entering
the wet well. The device should only remove material that
will interfere with the station operation because of the dif-
ficulty of handling removed material. Disposal methods
include grinding and returning the material to the flow,
burial, and incineration. Burial and incineration should be
off-site from the pumping station. Maintenance crews gener-
ally carry the screenings from small pumping stations back
to the treatment plant for treatment and disposal. Macerators
are available for locating on the incoming sewer and should
be considered for use on sewers serving industrial areas pro-
ducing significant fibrous wastes.
The screening device for small to moderate size pumping
stations, serving primarily residential areas, may be a bas-
ket located such that the flow passes through the basket as it
enters the wet well. Daily cleaning should be scheduled until
experience shows that a less frequent schedule is adequate.
The design permits overflow in case of stoppages without
causing a sewer backup. The basket should be designed for
easy removal of the screening. With submersible 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 5.6MM. Hanging hooks are generally more
satisfactory because guides are a maintenance problem.
Fixed bar screens are used in larger pumping stations. The
bar screen is placed in a straight channel, usually located 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 accumulation,
particularly grit. The bars generally have a face dimension of
¼to¾ inch and a depth from 2 to 2½ inches. The bar size for
larger screens is determined by the structural requirements,
with the face dimension limited to ¾ inch. The clear space
between the bars is normally 2 to 2½ inches. The bars are held
together with a welded strip located on the downstream side
at the bottom and top of the screen. A rake, having teeth size
and spacing compatible with the screen, should be provided
for cleaning the screen. The screenings are raked to the top
of the screen where they fall into a can having a perforated
bottom for drainage or onto a drain rack. The top of the bars
may be curved over to facilitate cleaning. Fiberglass racks and
slide gates are available and should be considered for a design.
Mechanically cleaned screens are used at large stations.
The approach velocity to the screen should not be greater
than 2.5 fps at peak flow. The design must allow for the
energy loss in the channel and through the screen so that the
incoming sewer is not surcharged. Also, the maximum oper-
ating level in the downstream wet well must not surcharge
the screen. When the screen is located in a subsurface cham-
ber, suitable hoisting equipment should be provided for lift-
ing the screening to the surface. A typical manually cleaned
bar screen is shown in Figure 5.6NN. Calculations are shown
for sizing a screen to handle an example flow condition.
The average and peak flows are 1.25 cfs (809,560 gpd) and
5.63 cfs, respectively). The approach velocity is to be 2.5 fps
at peak flow. The bars are to be ¼ x 2 inches with 2 inches
clear openings between bars.
Cross-sectional area of flow= QIV= 5.63 cfs/2.5 fps
= 2.25 ft 2
Select channel depth: The incoming 15-inch sewer at 0.8
depth of flow= 1 foot, therefore a I-foot depth is selected
for the approach channel. Width of channel = 2.25 feet/
1.0 foot = 2.25 feet = width of screen. Note in Figure 5.6NN
that free fall of about 3 inches is provided at the influent pipe
and 6 inches of fall is provided through the screen chamber.
The energy loss through a clean screen is small, being less
than 1 inch, but most of the time the screen is partly clogged
which can materially increase the loss. Note the curved bars
that aid in handling the screening. The screenings are raked
onto a drain pad. After draining, the screenings are removed
for disposal.
Sizing of the Wet Well. The wet well is a chamber that
has been sized to receive and accumulate the incoming
flow when the pumps are not operating. The wet well also
provides some flow equalization, thus reducing the peak-
pumping rate from the peak influent flow rate. Some com-
mon design criteria for pumping stations include
1. Pumps are selected to pump 2.5 times the average
daily flow rate with the largest pump out of service.
For example, if only two pumps are provided, each
must have a pumping capacity of2.5 times the
average daily flow rate. If three pumps are provided
that are not of equal size, the two smaller capacity
pumps must be capable of pumping 2.5 times the
average daily rate. All pumping stations should have
at least two pumps so that any single pump can be
removed for maintenance.
 }il'' S.S. Permanently
Sanitary Attached to Hoist
Sewer

1 ~" x 1/16 " S.S.

F'lot Stock (typ.) Stain less
Cable

S.S. Coble
Hooks (Length
to be Field Set)
Influent Pipe

~ "~ Hinge Pin

1" x ~" S.S. Stock W/ Cotter Pin
@ 2" o.c.
(typ.) (Each Side)
-0
-~
::J
Hook Ill
0::
.,
<

1" S.S. Bosket

Hangers

~" S.S. Plate

I
I
I
I
I
----- ~

Miter Full 1Y.. "x 1 Y4 " x 3,/i 5"

Weld (typ.) Angle Frame
a) b)
FIG uRE 5. 6 MM (a) Hook-mounted basket, (b) guide-mounted basket. (Reprinted with permission from Washington Aluminum Company Compo-
nents for Water and Wastewater Plants, Catalog, Baltimore, MD.)

1'-3"

..·.,-. 18"x36"x39" ID
PRECAST UTILITY
VAULT W/OUT TOP
REINFORCED

1- ~"x1 ~"x Y.."

S.S. ANGLE WITH
SUPPORT BOLTS 0
9" O.C.(TYP.)

18" SO. CONCRETE

DRAIN PAD

..:· ii .·.·.·.· .·.·.·.· .'. •J:i • .·.·' '.·,· .-... ·. · ,',• . ·.· . ·.· .·.· .·.· .·.· .·,·~ · . ·, • ' ::---.6,.----
:-·... . ·.. ·.· .·.· .·.· .·.· .·. · ,', · ·il. · .· .·.· .·.· .·.· .·.· ~ -.·,· ,',• ,,,.. ,·,· ,', • .·.· .·, · ,',• .. ,:-:
"""- ....,o. c......... ,,

6" MIN. CRUSHED

STONE

FIG u RE 5. 6 NN Manually cleaned bar screen.

545
54& i@UH¥I F@Hi4Mii
2. There is a heat buildup in pump motors if the fre-
quency of starting is too great. This can shorten the
life of the motor. Most heavy-duty motors of the
type used with pumps can be started up to about
10 times per hour without overheating occurring.
Starting frequency is controlled by the size of the
wet well and this should be coordinated with the
electrical designer to ensure that the proper class
motor is specified.
3. The wet well should be filleted to eliminate corners
where grit can accumulate.
4. The wet well should be divided into sections at
larger stations so that the section supplying each
pump can be isolated and dewatered for mainte-
nance. This can be accomplished with submersible
pumps by placing each pump in a separate man-
hole that is suitably interconnected and valved.
5. If maintenance crews are required to enter a
chamber for routine maintenance, proper ventila-
tion must be provided. The ventilation fan should
be sized to provide 30 air changes per hour. Air
is usually exhausted from near the floor so that
fresh air is brought into the top of the chamber as
the crew descends. The exhaust fan switch should
be located at the top of the stairs or ladder so the
fan can be started before entering the subsurface
chamber.
6. A potable water hose bib should be available at each
structure for use in cleaning. The potable source
should be protected by installing a backflow pre-
venter on the service line serving all outlets except
the drinking fountain and bathroom.
7. A flow-measuring device should be included in the
design. Ultrasonic meters are reliable and widely
accepted.
8. The short intake piping and intra-station effluent pip-
ing may be designed for velocities of 6 to 8 fps, but
force mains are not normally designed for velocities
greater than about 5.0 fps at the peak pumping rate.
Higher velocities scour and erode the pipe and the
energy loss increases exponentially with an increase
in velocity. A minimum velocity of2.0 fps should be
provided at the minimum-pumping rate.
9. Pump stations, except for the very small ones
should have an alarm system for the following
malfunctions: power supply failure, pump fail to
start, high level in wet well, failure of sump pump
to operate, and failure of on-site generator to start.
Other alarms may be needed at specific locations.
The alarm should be relayed, by telephone line or
otherwise, to a central manned location.
10. A check valve should be placed in each pump
discharge pipe to prevent back flow through the
pump. A gate valve should follow the check valve so
that the pump and check valve can be isolated for
maintenance.
11. The top of the pump bowl on horizontal impeller
shaft pumps should contain an air release valve that
is vented back to the wet well.
12. No air should enter the dry well from the wet well.
13. Pumping stations located in an area where sew-
age backup or overflow would result in a health
hazard should include an on-site power genera-
tor. These generators are normally diesel engine
driven and designed to start automatically upon
a failure of the off-site power supply and return
to standby conditions upon return of the off-site
power supply. The units are designed to keep the
facility completely operational. An on-site fuel
supply for 36 to 48 hours of operation is provided
as a part of the design.
Pump Selection. Sewage pumps are typically centrifugal
volute non-clog impeller design. The impeller should be
designed to pass a 2½-inch diameter sphere. Other pumps,
such as grinder pumps, utilize a "cutting" type impeller that
reduces the size of the solids that are being pumped, and
allow for a reduction in the discharge force main diam-
eter. The pump manufacturer provides performance curves
for each impeller available for the specific pump. A typi-
cal performance chart for a submersible pump is shown in
Figure 5.600.
The performance curve shown in Figure 5.600 only
shows the characteristics of the particular pump for a
single impeller. The manufacturer casts the largest impel-
ler that can be used with the pump. Impellers are then
trimmed to the diameter required to provide the head and
flow needed.
Figure 5.6PP provides performance data for eight impel-
ler diameters. The diameters, in millimeters, are shown along
the ordinate of the graph. Efficiency curves are shown for
the operational range of the pump, with the peak efficiency
being 87% for the 870-millimeter impeller. Additional data
available from catalogues include intake and discharge con-
nection diameter, brake horsepower, and rotational speed.
Rotational speed is also an important characteristic in
pump selection. Higher rotational speed will increase flow
and head, but bearing life is generally materially reduced.
A larger lower speed may cost more, but reliability will be
significantly improved. The pump selected should operate
at less than 1700 and specify any diameter between 7.0 and
10 inches. Net positive suction head (NPSH) is the difference
between the absolute pressure at the suction point and the
vapor pressure of the liquid. Failure to maintain the NPSH
can result in vaporization of the liquid being pumped with
 5.6 ■ UTILITY DESIGN 547

CONFIG. SECTION PAGE

CP/CT/CS C-3152 3 15
PHASE VANES SUPERSEDES ISSUED
454 Impeller (6M volute)
3 1 2/88 6/94

22 ~ - - ~ - - ~ - - - - - - ~ - - ~ - - ~ - - ~ 2 2
20 r--,------r--1=::::;;;;;::;:;g;;;;;;:::r=-----r--, 20
18 1-----+------bi---=-----+---+----+-----""'....,.------118
~
0..
:I:

~
0..
~
16

14 l--------=---=---+---+---+----+-----+------1 ::

1--------------+----+-----+-------i 12 □
I
* 12

10 ' - - - - ~ -_ _,___ _____.,_ _ _...____ __,__ _~ - - - - ' 10

120

110

100

90
CAPACITY HEAD CURVE

ti 80
~
C
~ 70
:I: BEST EFFICIENCY
~
0
POINT
I- 60 80
70 l
50 60 z~
w
50 0
u::
40 40 LL
w
(.)
30 :J
30

20
0 200 400 600 800 1000 1200 1400
20

0
10
I
FLOWGPM

------------------------------ -~
FIG uRE 5. 6 0 0 Pump performance curve. (Reprinted with permission from FLYGT Corporation, 1993, Wastewater Pumps Catalog
Trumbull, Conn.)
s48 i@UUFI F@di4Mi•
CONFIG. SECTION PAGE
CP/CT C-3602 3 3
PHASE VANES SUPERSEDES ISSUED
1040 Impeller
3 4 12/91 6/94

HEAD (-) Hydraulic End Efficiency(%) (-·-) Power Limitl

(ft)

110
I I I I
NO CONTINUOUS OPERATION - -
e~,
..... IN DASHED AREA

100 --- -- ....·,

'
'
'
~

90 80.2
- -- ... -:...
835
' "'.... .... , 8~

--- -- -- ....' ,
.......... .... '
'
82~ 85
~
80
58~
-
53~ -
~,,.,
-- -
~-.........
........ .... '...
.... .... ' .... .... .... ...
' .... ' '
'

....
~
~ ~
~
- :,... 88

-.... - --
70 88
' · ... .... ~

.... ' ·
........ .... .... .' -~ 'r-... ~
~
'"- .... ' .... 82' 5

60
480
- ...... ___. " .
..:..' , .... ~
'"
\._84
425

-- -- '~ ........... _
.........
.... ........ ::::--~ ....
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,82
'-.84
2

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..... ........ ..... ....
.... .... .... t2" Kb? ( '\.1c
... -~~
.... _ .... ~ ~ ~
~

~ ~ 0 ~ ;; '
40
',~ ' 0
30
" '· 430 HP -
~ ~K'...
' I
' · 335 HP
I
20 , 250 HP

10

0
0 5000 10000 15000 20000 25000 30000 35000
FLOW
NOTE: Curves are baaed on nominal constant hydraulic-end
(gpm)
NPSHre speed and show pertorrnance wtth clear water.

(ft)
,45
I
40 I
35 /
30 V
25
20
.,,. -- - ~
/

------------------- ---------- ...~

FIG uRE 5. 6 PP Centrifugal pump performance curve. (Reprinted with permission from FLYGT Corporation, 1993, Wastewater Pumps Catalog
Trumbull, Conn.)

the resulting cavitation causing damage to the pump. The
low water pump shut off level is usually set no lower than
the midpoint of the pump bowl so that pump suction is not
a problem. Pump efficiency is shown to vary between 58%
and 72%. Brake horsepower is shown for each of the four
impeller sizes.
The total head imparted to the flow is shown as the ordi-
nate for the indicated flow rate. The head imparted is not
the same as the discharge pressure. The imparted head is
the discharge energy minus the intake energy of the flow.
Note that for centrifugal pumps, as the discharge head
decreases the motor horsepower requirement increases.
Never oversize a centrifugal pump as this may lead to an
overloaded motor.
It is sometimes necessary to install two centrifugal pumps
in series to provide the required energy input. When cen -
trifugal pumps are installed in series, the flow through each
pump is the same and the energy input is the sum imparted
by the two pumps. The two pumps are designed as separate
pumps and piped to operate in series. With water pumps
series impellers can be installed in a single multistage pump
housing (multistage pump has two or more impellers on the
same shaft within a single housing). However, this cannot be
done with sewage pumps because the pump must be designed
to pass solids. Therefore, sewage pumps are designed as sep-
arate pumps where series operation is required to induce the
required head.
When centrifugal pumps are installed in parallel, the
flows cannot be summed to obtain the flow from the two
(or more) pumps. Figure 5.6QQ shows a pump curve that
has been constructed for four pumps installed in parallel.
The pump curve is constructed by selecting a head and
drawing a line parallel to the abscissa. Each pump dis-
charge for that head is added along the line. In the figure,
all four pumps are identical, but the same principal applies
if the pumps are different. When pumps having different
H is shown in Figure 5.6RR. The scale (of the original draw-
Qp
FIGURE 5,6QQ Performance curve for up to four identical pumps
operating in parallel.
5.6 ■ UTILITY DESIGN 549
performance characteristics are installed in an installa-
tion, the smaller pump will not function if the discharge
head of the larger pump is greater than the shut off head of
the smaller pump. Shut off head is the head produced by a
pump at zero flow and is shown by the ordinate-intercept
of the pump curve.
A system curve is then constructed starting with the
static head at the ordinate intercept and adding the system
energy loss at two or more flow rates to permit drawing
the curve. The interception of the system curve with the
performance for the indicated number of pumps shows the
capacity for the respective number of pumps. Note that in
Figure 5.6QQ 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
head. However as more pumps come on line, the energy
loss increases as defined by the Hazen-Williams equation
and shown by the system curve. Thus the flow capacity of
two pumps is less than twice that of the single pump oper-
ating. The capacity of each pump is the same and is one-
half, one-third, or one-fourth of the total, depending on the
number of pumps operating.
Pumping stations serving a long force main should have
a surge relief valve to relieve the surge from water hammer.
This valve is located on the station discharge piping and is
vented back to the wet well.
5.6.1 o. Sewer Plan Content
A plan and profile is prepared showing all utilities includ-
ing the sewers. If the sewer is located within a street, the
lines are a part of the street plan and profile. All existing
and proposed underground utilities should be shown on
these drawings.
A plan and profile sheet is used for presenting this
design. The plan view is shown on the top half of the sheet
and the profile is shown directly below on the bottom half
of the sheet. The plan and profile view for a final plan of
ing) is 1 inch = 50 feet. In the profile view the horizontal
scale of the profile is the same as that of the plan view. The
vertical scale is 1 inch = 5 feet. The larger scale is used to
show the detail needed for construction.
In subdivisions it is common to locate the sewer near the
middle of the street where possible and construct all build-
ing spurs to the property line and cap the end of the line.
It is important to show the location and elevation of each
spur on the drawings for later location. The spur should
enter the sewer through a manufactured wye. House spurs
generally do not connect to a manhole. Submains should
enter the main at a manhole where the connection has been
cast as a part of the manhole.
 i@UH¥I F@Hi4Mii

\6 __
550

' ,. •
(_..,_.. '4 I ~
.~ l - ~ - t 1 ....oo.•<goc1QU-IIIILIU
I Dewberry'

0
0
0
0 ~
I- 0
0
L.

I
l
i
!1l 0 0 0
A
~

j1
1:., ~

1. Plan view with sanitary alignments shown and buildings labeled

2. Notes and profile legend specific to profile sheets
3. Sanitary tables for main alignment (bearing/distance) and lateral table
4. Sanitary structure label, rim elevation, and height of structure
5. Existing and proposed grade line at centerline of pipe network
6. Proposed and existing utility crossings shown, labeled, and dimensioned
7. Pipe label for size, length, slope, and material
8. Lateral labels from main line to buildings (corresponds to lateral table)
9. Structure information for invert in, out, and structure type/size
10. Stations and e levations for profile grid
FIG u RE 5. 6 RR Example of a plan and profile view for a sanitary sewer line.

PART C-WATER
Adequate water discharges are necessary to cover the range
of flows due to the fluctuation in demand. Adequate pres-
sures are necessary for firefighting, general service to resi-
dents, and economic considerations such as leakage and
energy losses. The pressures within a water supply system
must be high enough to overcome the energy losses in the
system yet maintained below the point at which damage to
fittings and other appurtenances occur.
Due to the size and varying topography within many sys-
tems, different pressure zones maybe generated to ensure reli-
ability in meeting the fluctuation in demands. These pressure
zones are typically divided through booster pumping stations
and storage facilities. Pressures and discharges are a function
of the hydraulic characteristics of the system, as well as the
system's service characteristics. Service characteristics include
such items as; demand as it relates to present and projected
population, economic base, fire flow, and climate. Hydraulic
characteristics include the length, size and condition of the
pipe, types and sizes of fittings and appurtenances, and varia-
tions in elevation of the system. Since service and hydraulic
characteristics constantly change, the design must incorporate
allowances for these changes. Dynamic demographics of the
users and deterioration of the system effect how and when the
changes are made. The changes that can be made include relo-
cating or replacing the existing waterline, increasing the pipe
sizes, addition of auxiliary pumps and storage, or adding more
distribution lines to accommodate new development.
5.6.11. Procedure for Water Distribution Design
Waterline analysis and design are done using computers
and commercial software. To model the system accurately,
pipe geometry, system demand, flow, and pressure data for
the existing water services, at the points where the proposed
waterline connects to the existing waterline, are needed.
Pressure and flows, at these connection points, serve as the
boundary conditions for the proposed waterline. Addition-
ally, data may be needed on storage tank capacities, water
surface elevations in the storage tank at the time of the flow
tests, as well as pumping station and well pump curves.
If the data is not available directly from the utility com-
pany, flow tests will have to be conducted, at nearby hydrants,
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 dic-
tate the location and size of the water supply system compo-
nents. Some larger utilities now use system modeling software
that is integrated with a geographic information system (GIS)
for the management of their water infrastructure. For small
systems, the consulting engineer will normally do the hydrau-
lic analysis and design of the additional distribution system
needed for the new development project.
The following criteria are considered when designing the
water supply system:
• In most cases the flows in the water distribution
system are designed to supply the amount of water
5.6 ■ UTILITY DESIGN 551
needed to meet the maximum daily potable demand
plus fire flows, or the peak hour flow, whichever is
greater [the American Water Works Association
(AWWA) defines the maximum daily demand as the
maximum amount of water used during one 24-hour
period occurring during the latest 3-year period].
• The minimum residual pressure in the system at the
average daily demand should be around 40 to 50 psi.
According the AWWA, the average daily demand is
the average amount of water used each day during a
I-year period for the entire system. If the water pres-
sure in the main is 60-psi or greater, the engineer
should consider incorporating pressure-reducing
valves on the domestic service lines.
• The minimum residual system pressure during the
peak hour demand on the maximum day is typically
required to be 30-psi or greater. Additionally, the pres-
sure in the water main should be greater than 20-psi
during the maximum daily demand plus fire flow.
The preceding considerations are only guidelines for
designing the water distribution system. The regulating
authorities should be consulted for specific line pressures,
demand flows and other design criteria.
After estimating the demand and determining the peak-
ing factors, layout the pipe network, including fire hydrants,
valves, tees, and crosses on a plan view of the project. The lay-
out also should include any stubouts needed to provide water
service to future developments. In laying out the waterline, the
engineer follows the local criteria for setting the waterline in
public right-of-way. Based on the facilities being served, the
engineer estimates the pipe size and labels them on the plan
view. In most moderately sized developments, pipe diameters
typically range from 6 inches on short residential cul-de-sacs
streets to 12 inches for the main feeder line. Typically, the size
requirement results from fire flow demand and not because of
the domestic demand. In all likelihood, the size of the distribu-
tion lines through the proposed development will have similar
sizes as the existing lines in surrounding similar developments.
Input this data into the model and examine the output
for high velocities, excessive head losses, and unacceptable
pressures. Adjust the pipe sizes to meet demand and local
standards criteria. When the model analysis is complete, fin-
ish the plan and profile of the waterline for the construction
drawings.
Pressure Requirements. Pressure requirements in the sys-
tem depend on the combined normal service requirements
and fire flow demand. Pressures must be high enough to
overcome energy losses within the distribution and service
lines, as well as the losses incurred from hydrants, nozzles,
hoses, and other firefighting equipment. Additionally, pres-
sure requirements are a function of the topography. Since
most waterlines are installed at minimum depth, they closely
follow the ground surface topography. Consequently, pres-
sures in the system must be increased in the hilly service areas
to overcome elevation differences. A balance must be struck
552 i@UH¥I F@Hi4Mii
between the pressures required for normal service operations
and the pressures required for short-term high demand and
emergency occasions. Although the water supply system can
be designed to operate at higher pressures, sustained excessive
pressures add to system costs, increasing leakage volumes, and
potential damage to fixtures. To address fluctuations in pres-
sure due to extreme topography changes and demands over
a large area, some water distribution systems will divide into
different pressure zones to maintain reliability with the sup-
ply. These pressure zones allow the system to provide varying
pressure ranges in different locations, but require some form
of mechanical equipment, such as booster pumps, to move
the water supply between the different zones.
A municipality's exact pressure requirements are estab-
lished by a state agency, such as the health department, with
supplemental requirements imposed by agencies within
the municipality such as the fire marshal. Typically, street
water main pressures of 20 psi are the minimum when pro-
viding either maximum daily demand (including fire flow
requirements) or the peak hour demand. This is a precaution-
ary measure, designed to prevent potential cross-connection
backflows from house fixtures. This minimum pressure also
represents the minimum pressure required to overcome fric-
tional losses in the service line provide enough force for three
stories-the upper height limit typical in residential areas.
Preferable normal pressures in the street should be
between 40 and 60 psi in residential areas. In most cases, a
pressure of about 80 psi is recommended as the upper limit.
Above 80 psi special pressure reducing valves may be neces-
sary to prevent residential fixture damage. Typically, com-
mercial areas require a minimum pressure of75 psi. Booster
pumps for tall buildings (e.g., more than 10 stories) eliminate
the need for excessively high pressures in the street mains.
Rre Flow Requirements. Each municipality establishes its
own parameters for fire flow requirements based on local con-
ditions. Although, the municipality may instead refer to the
fire flow recommendations provided by the Insurance Services
Office (ISO). The ISO recommends criteria for establishing
insurance rates and for classifying municipalities with reference
to their fire defenses and physical conditions. The criteria pro-
vides a means for rating a municipality based on type of fire-
fighting equipment, proximity of equipment, water distribution
flows, storage and other factors. One such document by the ISO
is the "Guide for Determination ofRequired Fire Flow:' Although
the guide only recommends fire flows, many areas defer to it for
fire flow considerations, while others have established their own
requirements. Minimum fire flows vary widely among jurisdic-
tions. The design engineer should consult with the local water
authority and fire marshal's office for specific criteria.
Estimating Fire Flow. The ISO uses the following equation
to estimate the required fire flow:
f=18xCx ✓-4 (5.6BS)
where Fis the required fire flow (gpm), C is the coefficient
related to the type of construction, and A is the total floor
area (sf), including all stories but excluding basements.
For fire resistive buildings, consider the six largest suc-
cessive floor areas if the vertical openings are unprotected;
if the vertical openings are properly protected, consider only
the three largest successive floor areas. Coefficient C = 1.5
for wood frame construction, 1.0 for ordinary construc-
tion, 0.9 for heavy timber type buildings, 0.8 for noncom-
bustible construction, and 0.6 for fire-resistive construction.
Coefficients shall not be greater than 1.5 nor less than 0.6
and may be determined by interpolation. Such interpolation
shall be between consecutive types of construction as listed
above. Additionally, these guides recommend a minimum
fire flow of 500 gpm and maximum fire flows under the fol-
lowing conditions: 8000 gpm for wood frame construction,
ordinary and heavy timber construction; 6000 gpm for non-
combustible construction and fire-resistive construction.
For normal one-story building (of any type construction)
the fire flow shall not exceed 6000 gpm. Table 5.60 identifies
required fire flows for areas of single family and small two-
family dwellings not exceeding two stories in height.
Adjustments to recommended fire flow values might be
applicable for certain occupancy conditions. Equation (5.6BS)
may be reduced up to 25% for occupancies having a low fire
hazard or increased up to 25% for occupancies having a high
fire hazard. Examples of occupancies considered low fire haz-
ard are residential dwellings, churches, schools, hotels, hospi-
tals, and other public buildings. Occupancy of high fire hazard
are manufacturing and processing plants using explosives and
high combustibles such as oil refineries, paint shops, and air-
craft hangers. Other modifications, which affect the required
fire flow rate, include the existence of sprinkler systems, non-
combustible construction, and building separation. However,
the range of adjustment to the initial fire flow estimates cannot
be greater than 75% and the final adjusted flow cannot be less
than 500 gpm, nor exceed 12,000 gpm.
Fire flow estimates resulting from applying the above crite-
ria are only a guide and warrant the judgment of experienced
and knowledgeable persons in fire protection. Typically,
local jurisdictions require fire flow approval by controlling
agencies, such as the fire marshal's office, public water supply
TA BLE 5 . 6 0 Required Fire Flows for Single-
Family and Small Two-Family Dwellings
DISTANCE BETWEEN SUGGESTED REQUIRED
BUILDINGS (FT) FIRE FLOW (GPM)
Over 100 500
31-100 750-1000
11-30 1000-1500
10 or less 1500-2000*
*If the buildings are continuous use a minimum of 2500 gpm. Where wood shingle
roofs could contribute to spreading fires, add 500 gpm.
(From the publication "Guide for Determination of Required Fire Flow," 2nd ed.
Reprinted with the permission of Insurance Services Office, Inc. Copyright 1974.)

agency, and health department. Exact requirements by local
jurisdictions for fire flows may not be the same as what is
recommended by the ISO. In fact, there can be a wide range
of fire flow requirements even among adjacent jurisdictions.
Fire Flow Tests. Before new projects ultimately get approval
for construction by the fire marshal's office, fire flow tests are
performed to determine the fire flow capacity and adequacy
of the existing system. Fire flow tests are used to determine
available flow rates and pressures at various locations for
firefighting purposes. Although, in the larger municipalities,
the water utility company has extensive data on the existing
water system, uncertainties in the hydraulic variables and
service variables requires further data to corroborate exist-
ing information. On commercial sites and small subdivi-
sions, the test is performed on hydrants near the point where
the proposed water main will connect to the existing water
main. On larger sites, where the project is built in phases, fire
flow tests may be required near the connection points at each
subsequent phase of the development.
The following discussion on testing procedures and anal-
ysis is extracted from the National Fire Protection Associa-
tion (NFPA). The exact method and analysis may deviate
according to local regulations.
The test consists of discharging water at a measured flow
rate from one or more hydrants and observing the result-
ing pressure drop in the main through another fire hydrant.
Typically, a minimum residual pressure of20-psi in the main
is required (when delivering fire flows) for two basic rea-
sons. One, fire department pumpers require 20 psi to operate
effectively, and two, a minimum residual pressure 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
residual hydrant. The residual hydrant is chosen such that
the hydrants to be flowed are between it and the larger mains.
Typical patterns for selecting the test hydrants are illustrated
in Figure 5.6SS. Note, the residual pressure at this location is
measured before other hydrants are opened. The pressure at
this location is then determined when the other hydrants are
fully opened. The test is made during a period of ordinary
demand such that the pressure drop in the residual hydrant
is 25% or less of what it would be at the total demand neces-
sary for firefighting purposes.
1,0;[ , ~
A. 4 B. C.
~
11 c!5
- 2
1
Flow Test Layouts
(Note : Circl es
j~ '
1 cb
- Drawn About
Residual Hydran ts.
Ar rows Denote
D. - E.
Flow Direction
In Ma i ns. )
FIG uRE 5 . 6 S S Suggested test layout for hydrants. (From the pub-
lication "Grading Schedule for municipal Fire Protection." Reprinted with
the permission of Insurance Services Office, Inc. Copyright 1974.)
5.6 ■ UTILITY DESIGN 553
A pressure gage is placed on one of the hose outlets on
the residual hydrant and the hydrant valve is fully opened.
After the barrel air is exhausted, the pressure is recorded.
The other hydrants are opened full in succession one at a
time. After each hydrant is opened and the flow stabilized,
the pressure is recorded at the residual hydrant and the dis-
charge at each open hydrant is measured using a pitot gage.
The discharge Q (gpm) is determined from
(5.6BT)
where c is the coefficient of discharge of the pitot tube (depends
on the manufacturer specifications typically around 0.9), dis
the diameter of the outlet hose connection in inches, and p
is the velocity pressure in psi (i.e., the pitot tube reading).
After all observations are recorded, the discharge (in gpm)
at the specified residual pressure or for any pressure drop is
QR=QFX (~:r 4 (5.6BU)
where QR is the flow predicted at the desired residual pres-
sure, Qp is the total flow measured during the test, h, is the
pressure drop to the desired residual pressure, and h1 is the
pressure drop measured during test.
As the equation is written, any consistent units for the Q's
and h's will work.
Fire Duration Requirements. In addition to providing
adequate discharges and pressures for normal consumption,
a water supply system must be designed to provide water for
sustained periods for firefighting purposes. Since the mag-
nitude, duration, location, and frequency of a fire are quite
unpredictable, the design of a system should be based on a
reasonable worst-case scenario.
The ISO defines the average daily consumption as the
total amount of water used each day during a I-year period
considered as a rate for a 24-hour period. The maximum
daily consumption is defined as the maximum total amount
used during any 24-hour period in a 3-year period disre-
garding any unusually high circumstantial amounts caused
by filling storage tanks. An adequate water supply, according
to the ISO, can deliver the required fire flow for the duration
given in Table 5.6P at the maximum daily rate.
Distribution Storage. Distribution storage, which con-
sists of small reservoirs located near service areas, act as
service storage areas to compensate for the widely fluctu-
ating demands and provide storage for firefighting and for
emergency reserve. Distribution storage is used to normal-
ize operating pressures, eliminate the need for nonuniform
pumping, reduce the need for constructing large mains at the
periphery of the system, and provide increased reliability for
fire protection and other emergencies.
Whether ground storage or elevated storage tanks are used
depends on such factors as topography, size of service area,
reliability of main water supply, and economics. Auxiliary
pumps at the ground storage facility or higher water surface
elevations in the elevated storage reservoir can be utilized to
equalize pressures during high demand periods. Since short
554 i@UH¥I F@Hi4Mii
TAB LE 5 . 6 P Required Fire Flow Duration
REQUIRED FIRE FLOW (GPM) REQUIRED DURATION (HR)
10,000 and greater 10
9500-9000 9
8500-8000 8 day. A description of the design can be found from other
7500-7000 7 on land use follows.
6500-6000 6
5500-5000 5 for the average day for the type of land use. For this service
4500-4000 4 of 2500 gpm. Local ordinance requires a reserve of 20% of
3500-3000 3 the maximum day demand and the maximum day demand
2500 and less 2 Use a t factor of safety = 1.25. What are the storage require-
(Source: Virginia Dept. of Health. 1993. Waterworks Regulations.)
and frequent high demand periods can require pumps to turn
on and off regularly to maintain system pressures, one advan-
tage to elevated storage tanks (over auxiliary pumps) is the
ability to supply a sustained pressure, without the cyclic pump
operations. However, the selection of the type of distribution
storage should be considered on a case by case basis.
Although the need for design and construction of stor-
age facilities is infrequent in moderately sized land develop-
ment projects, very large projects, or areas of unanticipated
rapid growth, may warrant the need for distribution storage
facilities. Nonetheless, the project engineer should be aware
of the major factors governing the design of the facilities. In
many cases, an engineer specializing in the design of water
works will be called on to perform the specific design. In the
projects where such facilities are required, the developer and
jurisdiction may enter into some kind of joint venture where
the costs would be shared by the two. This practice is com-
mon in instances where users beyond the project boundaries
would share the facility.
The size of a storage tank depends on the characteristics
of the service zone, fire demand requirements, and the local
standards governing such design. General rule-of-thumb
storage requirement is given as one day's supply plus fire flow.
The one day supply is based on the maximum day usage, while
the fire flow storage is based on the duration as suggested by
the ISO for the design fire flow (see Tables 5.60 and 5.6P).
Note local design standards may supersede this method of
storage demand design. Preferably, the tank should be sized
to provide 2 to 3 days supply, although economic and risk
analysis will dictate the upper limit of the size.
Another consideration for storage tank sizing deals with
the retention time of the water in the tank. Since a storage tank
is designed to supplement the added demand during peak
periods and refill during off-peak periods, a properly designed
tank under most operating conditions never completely
empties. However, due to this fluctuation there is a somewhat
continuous exchange of water within the tank. With the resid-
ual effects of disinfectant chlorine limited to 6 to 10 days, the
maximum residence time of water in the tank should be less
than 8 days to prevent stagnation and other health problems.
Formal design of a storage facility should incorporate the
hourly use hydrograph or mass diagram for the maximum
resources. One way to estimate storage requirements based
Water Storage Tank Example. Table 5.6Q shows the land
use for a new service area and the corresponding demand
area, fire flow requirements are 4 hours duration for a flow
is assumed to be equal to 1.6 times the average day demand.
ments given these parameters?
Storage required:
4 h fire flow@ 2500 gpm x 60 min/h = 600,000 gal
2,068,910 gal x 1.6 x 0.20 = 662,051 gal
Subtotal= 1,262,051 gal (5.6BV)
Storage= 1,262,051x (1.25)
= 1,577,564 gal
Further considerations in this analysis would be to deter-
mine if one or several facilities would supply the required
storage, the size of each facility, and the location.
5.6.12. Water Use and Demand
Water use is categorized as either consumptive use or non-
consumptive use. Consumptive use includes municipal,
agricultural, industry and mining, whereas nonconsumptive
use refers to water used for hydropower, transportation, and
recreation. Water demand is the quantity that consumers use
per unit of time. Land development projects involve analy-
sis of municipal water uses such as residential, commercial,
institutional, industrial, firefighting, swimming pools, and
lawn and park watering.
Demand forecasting projects the future water use based
on previous water use, socioeconomic trends, climatic fac-
tors, and other parameters. Various types of forecasting
models may be used to estimate water demand. The least
complex of which is a single coefficient method, whereby the
projected demand is based on a factor such as per capita, per
connection, or by land use. Complex models may factor in
water pricing, income, and even incorporate statistical analy-
sis. The selection of the model depends on the type and size
of the project and the availability of the data.
Part of the design of a water distribution system includes
estimating the amount of water needed for a service area.
Water demand for an area depends on population, climate,
industry, and economic factors. Additionally, the design anal-
ysis must include fire flow requirements. Although the overall
 5.6 ■ UTILITY DESIGN 555

TA BLE 5 . 6 Q Demand Requirements for New Service Area (Water Storage Tank Example)
LAND USE UNIT OF MEASUREMENT No. OF UNITS AVERAGE DEMAND (GPO) TOTAL DEMAND (GPO)

Single-family detached per dwelling 1682 350 588,700

Town house 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
Subtotal= 1,582,190
Existing demand 486,720
TOTAL= 2,068,910

volume of water used for fighting fires is quite low relative to
most other uses, the amount of water required to fight a fire,
even if only for a few hours, puts a heavy strain on the system.
Since fire flow requirements are so high relative to other uses,
they are usually the controlling criteria in the design of dis-
tribution piping and storage. In part, the water works system
design is based on an estimated average demand and maxi-
mum daily demand. However, variations in demand must
also be included as part of the design analysis.
Variation in water use becomes apparent by considering
hourly and daily individual personal water use. Each individ-
ual drinks, baths, and general uses varying daily amounts of
water. On an hourly basis, this variation fluctuates substan-
tially. Extend the individual fluctuations in hourly and daily
use over a population of tens of thousands and it becomes
apparent why water demand projection is difficult. Fortu-
nately, individual daily use tends to an average value exhibit-
ing only slight variations over longer periods. Variations in
short-term use are further reduced as population and devel-
opment stabilizes. However, the capricious variables (e.g.,
climate, demand for consumer goods and services) inherent
in commercial, manufacturing, and agricultural industries
can add to wide variations in use and complicate demand
forecasting.
The types of use for water demand include domestic,
commercial, industrial, mining, agricultural, thermoelectric
power, public use, and many others depending on where the
interest is. The wide fluctuations in various uses is evident
from the data listed in Table 5.6R. Collecting and sorting the
data to determine "average use'' is difficult, cumbersome, and
inexact. Water supply companies keep numerous records of
water withdrawals and metered use. Inconsistencies in how
each supplier defines various uses, or categorizes the various
uses, leads to the inexactness in determining "average use''
figures, when compared over statewide areas. The point here
is that it is difficult to confidently say a certain value is appli-
cable as a blanket design value for all areas of the United
States. Table 5.6S lists approximate water withdrawals by
state, as shown in a map diagram. For preliminary estimates,
a blanket design value is appropriate, but for specific design,
regional data is more appropriate.
An additional component of demand projection which
requires significant consideration is the understanding and
implementation of sustainability or "green design'' goals.
Water is a limited resource and all design concepts should be
aware of industry trends that help to conserve this valuable
commodity. Some conservation techniques include devel-
opments that do not install or permit the use of permanent
landscape irrigation systems, or residential, commercial, and
industrial facilities that utilize water reduction fixtures in
bathrooms and kitchens. Knowledge of sustainability goals
and techniques for incorporating them into design will sup-
port the conservation of this resource.
Residential Demand. Domestic water use refers to the
water used for household purposes, including water for
drinking, cooking, sanitary needs, landscape watering,
swimming pool maintenance, street cleaning, firefighting,
leakage, and system maintenance. Residential water demand
widely fluctuates, on both a daily basis and a yearly basis.
Daily, the water demand has two peaks. Once in the morn-
ing hours of 7 to 11 a.m. and another peak in the evening
between 4 and 8 p.m. (coincident to sanitary demand loads,
55& i@UH¥I F@Hi4Mii
TA B L E 5 •6 R States with Highest and Lowest Water Use

■
■
■

-I
- 11I1111 --•11II
· __ •• II.I!1- -1 111 •I-
·--1i 1-1 -- 1~1- · 1- -I _11_1_. _I
1. I

TA B L E 5 •6 S Public Supply Freshwater Use by State {from USGS Circular 1200)

Colorado

-

as identified in Part B of Chapter 5.6). Although the peaks
remain fixed for the time periods, the amount varies accord-
ing to season and yearly rainfall.
The USGS presents data on water use in the report
"Estimated Use of Water in the United States in 2010:' The
data from this report shows public-supplied domestic water
use ranging from 51 gpcd (gallons per capita daily) in Maine
to 167 gpcd in Utah, with the average water use for all states,
as well as Washington, D.C., being 89 gpcd (a decrease from
the 101 gpcd in 1995).
Commercial Demand. Commercial water use refers to the
water used in motels, hotels, restaurants, office buildings,
shopping centers, and other commercial establishments.
Compared to residential demand, commercial demand is
considerably less than residential peak demands and not as
varied. Note, most of the water use for office buildings is for
air conditioning purposes. Restaurants, hotels, and motels
use water mainly for cooking and cleaning. Water use esti-
mates for design purposes are usually based on; number of
square feet of space, potential number of occupants, or on the
number of water fixture units in the building. Utilizing data
available in the above noted USGS report, it can be deduced
that commercial use, relative to total use, ranges anywhere
from 1% in Iowa to nearly 41 % in Alaska. Table 5.6T pro-
vides values for water use for various types of uses. At first
glance the values might appear to be high relative to what
TA BL E 5 . 6 T
TYPE OF LAND USE
Dwellings, per person
High schools with showers, per person
Elementary schools without showers, per person
Community colleges per student and faculty
Motels@ 65 gal/person, minimum per room
Trailer courts @ 3 persons/trailer, per trailer
Restaurants, per seat
Interstate or through highway restaurants, per seat
Interstate rest areas
Shopping centers, per 1000 ft2 of ultimate floor space
Theaters, auditorium type, per seat
Hospitals, per bed
Laundromats, 9-12 machines, per machine
Factories per person per 8-hour shift
(Source: Virginia Dept. of Health. 1993. Waterworks Regulations.)
5.6 ■ UTILITY DESIGN 557
an individual perceives his actual use is. However these val-
ues account for unmetered water use such as firefighting,
maintenance (e.g., flushing the system), leakage and illegal
connections.
Industrial Use. Industrial use accounts for the water used
for fabrication, processing, washing, and cooling associated
with such industries as food processing, steel production,
chemical processing, mining, and petroleum refining. Note
some industry plants install their own water supply systems,
rather than rely on the municipal water supply. Depending
on the industry and the capacity of the municipal water sup-
ply, it may be necessary for the industry to furnish its own
water supply. The amount of water used varies greatly with
the type of industry.
Other Uses. Additionally water use can be identified with
other types of manufacturing and industries. Depending on
the region, the water use associated with mining, irrigation,
livestock, and thermoelectric power, may heavily influence
design considerations for a water system.
Peak Demand. Distribution system design must account
for the peak periods of daily use. The maximum daily use
for domestic water ranges between 1.5 and 3 times greater
than the average daily use, whereas the maximum hour for
domestic water use is 2 to 5 times greater than the aver-
age annual use. Since peak factors are a function of present
population, population growth rate and land use, the older
Daily Water Consumption Rates
WATER CONSUMPTION (GAL/DAY)
100
16
10
15
120
300
50
180
5
200-300
5
300
500
15-35
55a i@UH¥I F@Hi4Mii
TAB LE 5 . 6 U Estimated Peak Ratios for Residential Water Systems
POPULATION RATIO OF MAXIMUM DAY TO AVERAGE ANNUAL USE
0-500 3.0
500-1000 2.75
1000-2000 2.50
2000-3000 2.25
3000-10,000 1.90
10,000-25,000 1.80
25,000-50,000 1.80
50,000-75,000 1.75
75,000-150,000 1.65
Over 150,000 1.50
Reprinted by permission of R.V. Anderson Associates Limited, Willowdale, Ontario.
(Source: Recommended Guidelines for Residential Servicing in Ontario. 1973. Ontario Housing Advisory Committee.)
stabilized areas tend to have peak factors that are 2 to 3 times
lower than rapidly expanding areas. Table 5.6U shows the
relationship of population on peaking factors.
Typically, distribution lines are sized for design flows of
maximum daily consumption plus the required fire flow.
However, if the maximum daily consumption plus fire flow is
less than the estimated maximum hourly amount the design
may be based on the latter value. Local regulations and state
waterworks design manuals dictate minimum design flows.
Since the estimated water use design values are based
on immediate as well as future expectations in growth and
development, economic assessments are made to determine
the long-range plan of the system. The decision may be to
design the system for the short-term future and improve the
system later rather than size and build the system for long-
range future projections.
5.6.13. Pumping Facilities
Pumping facilities are necessary to transport treated water
through the transmission and distribution lines to fill storage
tanks and maintain system pressure. For small water utilities,
the well pump or the single-finished water pumping arrange-
ment at a treatment plant may be all that is required. For
large municipal distribution systems, a complex network of
pumping stations, monitored and controlled from a central
point, may be needed.
Pump Selection. Small water utilities commonly employ
three types of pumps for water distribution service. These are
(I) centrifugal, (2) positive displacement, and (3) jet (ejector).
Centrifugal Pumps. Centrifugal pumps are the most com-
monly used of the three. A centrifugal pump involves a cas-
ing containing a rotating impeller mounted on a shaft turned
RATIO OF MAXIMUM HOUR TO AVERAGE ANNUAL USE
4.50
4.13
3.75
3.38
2.85
2.85
2.70
2.62
2.48
2.25
by a motor power source. Water that enters the suction side
of the rotating impeller is thrown at high velocity against
the casing to convert velocity head into pressure. Centrifu-
gal pumps can be designed to provide stages in series, where
each impeller and matching casing constitutes a stage, to
realize pressures not attainable with a single-stage pump.
Pumps having more than one stage are called multistage
pumps, of which there are two types, submersible pumps and
turbine pumps.
The submersible pump consists of one or more pump
stages driven by a closely coupled motor designed for sub-
merged operation (Figure 5.6TT). They are commonly used
in wells, but may also be used in finished water clear wells at
treatment facilities.
Turbine pumps consist of one or more centrifugal pump
stages driven by a vertical shaft, connecting the pumping
assembly to a motor mounted at the surface. Figure 5.6UU
shows a turbine pump used for well service. Turbine pumps
in this configuration are called vertical turbine pumps. Tur-
bine pumps can also be mounted on treatment plant clear
wells for distribution of finished water.
Positive Displacement Pumps. Positive displacement pumps,
as the name implies, displace a set volume of water with each
turn of the pump. The pumping rate varies with the speed of
the pump. Although these pumps are not that common in
water distribution service, especially in high-volume applica-
tions, they are well suited for intermittent pumping at high
pressure. Positive displacements pumps are available in sev-
eral configurations.
Reciprocating Pumps. This pump consists of a plunger
driven back and forth in a closely fitted cylinder, with check
valves at both the inlet and pump outlet.
 5.6 ■ UTILITY DESIGN 559

Drop Pipe
Connection

_ _ _ ,, _ _ _ ., .
------ o---
· -- - 0

-0---0--- - -
__ ___
WeHCaslng .,
-- 0

-- o--o--- o
-o--o---
--- 0
-n--- o - - -
o --

~--
----

--- . --- _ _ _ ., _ _
,, __
0 -

--•--0-
'''" ~ --o
.. - - - 0 - -
- - .. - - - 0
• - -o ---·--
o--
- - 0
--•-----o-•
• ~ ieiiiaiiiiiir • - -
~.J--~~=:=.:~=~-:'.7"""'.~
. c..ingsi...·,
Powerleads----tV.14 ...
Motor Shaft Wallf Beemg Sand or -
·•·.

Motor
Section ClooedBeUBollom

Lubricant Seal FIG uRE 5 . 6 UU Turbine pump in well service. (Reprinted from
Design and Construction of Small Water Systems, by permission. Copyright
© 1999, American Water Works Association.)

FIG uRE 5. 6 TT View of a multistage submersible pump. (Reprinted
from Design and Construction of Small Water Systems, by permission.
Copyright© 1999, American Water Works Association.)
Helical Rotor Pump. The helical pump consists of a spiral
rotor that rotates in a sleeve. As the spiral rotor turns, it traps
water between the rotor and the sleeve, forcing it to the outlet
end of the sleeve.
Rotary Gear Pump. This type of pump uses two meshing
gears housed in a sealed casing that traps water in cavities
between them. As the gears mesh, they carry water from the
inlet to outlet port.
Jet (Ejector) Pumps. Jet pumps are actually a combination
of centrifugal and ejector pumps (Figure 5.6VV). A portion
of the centrifugal pump discharge is diverted through a noz-
zle and venturi tube near the water level of the source. This
creates a low-pressure zone that draws flow upward toward
the surface, where the centrifugal pump suction can further
lift it into the distributions system. These jet installations
are economical for low volume facilities, and are commonly
used in wells.
The fundamental considerations for pump selection
within a particular installation are as follows:
• Yield of the well, or other water source.
• Total daily needs and instantaneous demand of the
system.
• Total operating head pressure of the pumps at nor-
mal delivery rate, including lift and all friction losses.
• Elevation difference between the ground level and
the water level in the well during pumping.
• Availability of power.
• Ease of maintenance and availability of parts.
• Initial and operations costs.
• Reliability of pumping equipment.
5&o i@UH¥I F@Hi4Mii
Plastic Seal
Grout Formation Seal
Venturi
FIG uRE 5 . 6 VV Combined centrifugal and ejector pump.
(Reprinted from Design and Construction of Small Water Systems, by per-
mission. Copyright© 1999, American Water Works Association.)
Table 5.6V provides information useful for selecting the
type of pump needed for typical small system applications.
Selecting the proper pumping unit size must be done by
carefully evaluating the peak demand, available storage in
the system, and capacity of the water source. Increased stor-
age capacity is needed when source yield is low in compari-
son with peak demand (as often happens with well sources).
This is needed to avoid starting and stopping pump motors
more than four or five times per hour in order to maintain
optimum service life of the equipment.
System Head Curve. The system head curve is an essential
tool for use in determining the pump's type, size, and num-
ber of units to be applied for the most economically feasible
installation. It graphically presents hydraulic head require-
ments for various flow characteristics of a particular system,
making it easier to determine the appropriate configuration.
Figure 5.6WW shows an example of system head curve
including a typical centrifugal pump curve.
The concept of total dynamic head must be understood
to construct a proper system head curve for a potable water
distribution pumping system. Figure 5.6XX is a graphical
representation of total dynamic head for a well pump instal-
lation. Static head, friction head, and pressure head are the
three components of total dynamic head. Static head is the
difference in elevation of the source water and the point of
discharge. Friction head is the loss that occurs due to valves,
fittings, and piping. The pressure head includes the veloc-
ity head as well as the minimal residual pressure required in
the system by state health departments (usually no less than
25 psi at the outlet fixture).
Water hammer, or hydraulic surge, occurs when water
flowing in a pipe comes to an abrupt stop. A common exam-
ple of this is when a pump shuts off suddenly due to a power
failure. On such an occasion, the resulting surge can cause
system pressure that is many times the normal working pres-
sure. These high pressures, if not adequately accommodated
for in the design, can damage piping, valves, and pumping
equipment. Lack of proper surge protection can result in
catastrophic failure, requiring several days of repair, while
the utility customers are without water service. Surge protec-
tion must be carefully designed, even for small water utili-
ties. Common surge protection methods include surge relief
valves and pressure surge tanks located on the discharge
main near the pumps, and vacuum relief valves located at
key points on long force mains.
Pump Drives. Pumps in the water utility industry are nor-
mally driven by alternating current (AC) motors. The power
source for AC motors can be single phase or three phase.
However, single phase is generally limited to small motors
of 10 hp (0.75 kW) or less. On a first cost basis, establishing
a three-phase power source for a pumping facility is more
expensive than it is with single phase, although the three
phase is more efficient.
AC motors can be provided as either squirrel-cage induc-
tion, synchronous wound, or wound-rotor induction types.
However, squirrel-cage inductor types are most commonly
used because they are less expensive than the other two and
they have proven operation. In general, lower speed motors
are larger and more expensive than higher speed motors,
but they have a longer service life. Normally, the needs of
small water utilities can be met through properly designed
constant speed pumping arrangements of multiple pumps.
However, two-speed, squirrel-cage motors are available.
Note fairly recent improvements in technology, reliability,
and costs of variable frequency drives (VFDs) make them
worthy of consideration for small utility service. VFDs work
by converting AC to direct current (DC), and then back to
AC but at a different frequency. Since the speed of a synchro-
nous motor is directly proportional to frequency, varying the
frequency varies the motor speed. Because of this conversion
process, VFDs produce considerable heat that must be prop-
erly vented, or even addressed by the use of air conditioning.
 TAB LE 5 . 6 V Specifications for Various Types of Pumps (Reprinted from Design and Construction of Small Water S
Copyright © 1999, American Water Works Association.)
PRACTICAL USUAL WELL- USUAL
TYPE OF PUMP SUCTION LIFT"' PUMPING DEPTH PRESSURE HEADS ADVANTAGES DISADVANTAGES REMARKS

Reciprocating:
Shallow well 22-25 ft 22-25 ft 100-200 ft Positive action Pulsating discharge Best suited for
(7-8 m) (7-8 m) (3Q---60 m) Discharge against Subject to vibration and noise 5-25 gpm (19-
variable heads against moder,
Deep well 22-15ft Up to 600 ft Up to 600 ft Pumps water containing Maintenance cost may be high Adaptable to h,
(7-8 m) (183 m) (183m) sand and silt May cause destructive pressure Can be installe,
above cylinder Especially adapted to low if operated against closed valve [2-in (51-mm)
capacity and high lifts
Centrifugal
Shallow well 20ft(6 m) 10-20 ft 100-150 ft Smooth, even flow Loses prime easily Very efficient p
Straight maximum (3-6m) 30-46 m) Pumps water Efficiency depends on operating (227 Umin) an
centrifugal containing sand and silt under design heads and speed
Pressure on system is
even and free from shock
Low starting torque
Usually reliable; good service life
Regenerative 28ft(7 m) 28 ft (7 m) 100-200 ft Same as straight centrifugal Same as straight centrifugal, except Reduction in pr
vane turbine maximum (30-60 m) except not suitable for pumping maintains priming easily not as severe a
type (single- water containing sand or silt
impeller) Self-priming
Deep well
Vertical line Impeller 50-300 ft 100-800 ft Same as shallow-well turbine Efficiency depends on operating
shaft turbine submerged (15-91 m) (30-244 m) All electrical components are under design head and speed
(multistage) accessible aboveground Requires straight well large enough
for turbine bowls and housing
Lubrication and alignment of shaft critical
Abrasion from sand
Submersible turbine Pump and motor 5Q-400 ft 50-400 ft Same as shallow-well turbine Repair to motor or pump requires 3500 RPM mrn
(multistage) submerged (15-122 m) (15-122 m) Easy to frostproof installation pulling from well of smaller diarr
Short pump shaft to motor Sealing of electrical equipment from vulnerable tow
Quiet operation water vapor critical other causes
Well straightness not critical Abrasion from sand
Jet
Shallow well 15-20ft Up to 14-20 ft 80-150 ft High capacity at low heads Capacity reduces as lift increases
(5-6 m) (5-6m) (24-46 m) Simple operation Air in suction or return line will stop
below ejector below ejector Does not have to be installed pumping
over the well
No moving parts in well
Deep Well 15-20ft 25-120 ft 80-150 ft Same as shallow-well jet Same as shallow-well jet The amount of
(5-6 m) (8-37 m) (24-46 m) Well straightness not critical Lower efficiency, especially at greater with increased
below ejector 200 ft (61 m) maximum lifts 50-ft (15 m) Ii~
Rotary
Shallow well 22ft (7 m) 22 ft (7 m) 50-250 ft Positive action Subject to rapid wear if water contains
(gear type) (15-76 m) Discharge constant under sand or silt
variable heads Wear of gears reduces efficiency
Deep well (helical Usually 50-500 ft 100-500 ft Efficient operation Same as shallow-well rotary, except no A cutless rubbe
rotary type) submerged (15-152 m) (30-152 m) Same as shallow well rotary gear wear Flexible drive c,
Only one moving pump device Best adapted f(
in well

-
en
a,
*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© 1999. American Water Works Association)
5&2 i@UH¥I F@Hi4Mii
Flow. u.,
Packaged Booster Stations. Packaged booster pumping
0
JOO +-_ _10
..__ _.._
20 _ _JO
..___ _40
.___ _ 50.___ ___J.__,
60
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
250 with controls and electrical, can be installed with minimal
72
labor and time. Although these packaged pumping units
can be used for primary finished water service at treatment
200 60 plants, they are more often used as booster stations out in the
""ti distribution system. These packaged stations can be ordered
i
:,: for either above or below ground level installations, as shown
~ 150 in Figures 5.6YY and 5.6ZZ, respectively.
l>-
!1
0
~ ;;;
Emergency Power. Electrical power to a treatment facility
{1 36 ~
or pumping station can be disrupted by a storm, or other
Friction Head
100 +
Pressure Head
natural disaster, for many hours, or even for days. Many
I 24 state health departments require that critical waterworks
I
I and pumping stations be protected against power failure by
I
50 - - - - -i - - - a standby power source. Normally, the standby power source
12
1
I Static Head is a connection to a second independent public power source
Peak Flow I (served by a separate power grid that serves the primary
I
0-+----,------,--"----,----'--,------+0 source), or a standby generator set.
200 400 600 BOO 1,000

Flow, gpm
As a minimum, generator sets should be sized to provide
power for the average system demand, plus basic lighting and
FIG uRE 5. 6 WW System head curve. (Reprinted from Design and heating. Generator sets must be maintained and regularly
Construction of Small Water Systems, by permission. Copyright© 1999, exercised to ensure they will operate properly when called
American Water Works Association.)
upon during an emergency. Although these sets normally
operate on diesel fuel, units can be obtained that operate on
fficlion Head Loss propane, liquefied natural gas, or natural gas, if available.
+
Ptessure Head

S1atic Head
8 rnsu1:11@d F1be,91~s~ Cover
Wrlh $p(ang AS!!.1$1
and Safe111 Chain
Lifllng Handles
Wi1h Backing 8at

8 Fresn Air Fnret

Stainfess Steel Hin cs

S1ralner Typk::al
Air i=;ie1ease v.atve;
Drain 10 Floor
BallVai\'e

Increaser

Buner11y Valve Air Release Valve

Eleclrlc Ser,.,k:e Coupling.

Telepl\One Coupling,

~•fn. (11•mm-} Dlameler Holes

f I Gu RE 5. &XX Components of total dynamic head in well pump. FIG uRE 5 . 6 YY Aboveground packaged booster pump station.
(Reprinted from Design and Construction of Small Water Systems, by (Reprinted with permission of Universal Sanitary Equipment Manufacturing
permission. Copyright© 1999, American Water Works Association.) Co., Tumah, WI.)
 5.6 ■ UTILITY DESIGN 563

Service Conduit
Telemetry Panel
Brackets

Ceiling-Mounted Blower
Discharge Pressure
O Gauge and Switch

- Ch lorine Sta11on
I
Inlet Pressure
Gauge and Switch
Discharge Pipe

Inlet Pipe

Heater and
Dehum idifier
Hatch With
Hasp and Padlock

Screened Blower
Exhaust Pipe Pump Lift Eye

r
Inlet

Magnesium
Anodes
(as needed)

Sump Pump With Screen

FIG uRE 5. 6 ZZ Below-grade packaged booster pump station. (Reprinted with

permission of Universal Sanitary Equipment Manufacturing Co., Tumah, WI.)

Both the generator set and its auxiliary fuel tanks must be
properly secured against vandalism, and the fuel tank and its
feed lines must be contained to prevent contamination from
leakage.
There are several available options for securing and con-
taining the generator set and its fuel tank. The first option is
a custom designed, built-in place building. The advantages of
such a building are that it can match the aesthetics of nearby
buildings and surroundings, and can provide ideal condi-
tions for maintenance and repair of the set. Care must be
taken to properly ventilate the building to prevent air starv-
ing of the operating generator set. This is typically done with
properly sized louver systems that are opened either by the
force of the air being pulled toward the generator set, or by
electric motors that activate when the generator set is started.
Generator sets can also be provided by the manufacturer
with a sound-attenuated enclosure made of steel or fiberglass,
with removable panels to enable repairs (Figure 5.6AAA). f I Gu RE 5. &AAA Sound attenuated walkin enclosure. (Reprinted
The disadvantage of this is that the repair personnel must with permission of General Power Systems, Wakesha, WI.)
564 i@UH¥I F@Hi4Mii
FIG uRE 5. 6 BBB Typical generator enclosure. (Reprinted with
permission of Copyright © Tramont Corporation 2001.)
stand in the elements to do their work. To facilitate repair, the
generator manufacturer can also provide a sound-attenuated
shelter to cover the set and to provide space for repairs to be
done under protected conditions. These shelters are essen-
tially small prefabricated buildings made of steel or fiber-
glass that fit compactly over the set with clearances to allow
repairs out of the weather. They are generally less costly than
custom designed buildings, but are more costly than a simple
generator set enclosure (Figure 5.6B8B).
Traditionally, the normal arrangement for fuel tanks
serving generator sets was to use buried tanks. However,
as with buried tanks serving gasoline stations, there have
been many instances of failure of the tanks and their feed
lines causing contamination of the surrounding soils and
groundwater. Buried tanks are still a viable option, but they
must meet much higher standards concerning leak monitor-
ing and double walled containment for the tank and buried
lines (state and local regulatory agencies can provide detailed
standards for buried tank installations). This has greatly
increased the cost of buried tanks, such that most public
utilities are choosing other options.
The other available options for non-buried fuel tanks are
above-ground tanks in buildings or that are otherwise pro-
tected. One approach is to use a protected skid-mounted tank
that is designed to fit securely under a skid-mounted genera-
tor set. These tanks are double-walled for containment, and
are protected by the generator shelter or enclosure and the
skid framing. Their feed lines are inside the generator enclo-
sure, and are therefore also protected (Figure 5.6CCC).
FIG uRE 5 . 6 CCC Skid-mounted fuel tank for location beneath
a generator set. (Reprinted with permission of Cummins Power Generation.)
FIG uRE 5 . 6 DD D Aboveground storage tank and generator set.
(Reprinted with permission of Core Engineered Solutions.)
Another option for an above-ground tank is a con-
crete enclosed tank such as that provided by Convault
(Figure 5.6DDD). The feed lines from the protected tank
must also be protected. If buried, the lines will need to be
double walled for containment. Some utilities also require
the buried double walled lines to be installed in a lined
trench (Figure 5.6EEE).
5.6.14. 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
exerted by a depth of fluid as shown in Figure 5.6FFF. 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.
Consider a pipe connected to a tank and plugged
at the other end as shown in Figure 5.6FFF. From basic
hydrostatics, the pressure on the plugged end of the pipe
is proportional to the depth of water H as shown by the
hydrostatic pressure distribution diagram. The pressure p
is equal to yH, where y is the specific weight of the fluid.
The magnitude of the force acting at the end of the pipe is
equal to the product of the pressure and the cross sectional
area of the pipe, Pp= yHA, where A is the cross sectional
area of the pipe.
Hydrodynamic forces are the result of changes in momen-
tum of the moving fluid. Any change in direction or mag-
nitude of flow velocity results in a change in momentum of
fluid. Fittings such as bends, tees, and wyes change the direc-
tion of flow; nozzles, valves, and reducers change the cross
sectional area of the flow path. Each of these fixtures has
force acting on them due to hydrostatics and hydrodynamics.
The impulse-momentum equation (assuming incom-
pressible flow) determines the resultant hydrodynamic force
 5.6 ■ UTILITY DESIGN 565

CONNECT TO ENGINE
FLEX FUEL LINES
PUMP
STATION
WALL

TANK LEAK
DETECTOR

DIESEL
ELECTRIC
GENERATOR f---'------'-...,......ill--...,......--! >--'""""'l~""'l'"'_..""'l'"'.....111~ '--'--_ ___.__. . _ _ _ ~ MAX . FUEL LEVEL
SET
BELOW ENGINE
FOOT VALVE & FUE L EJECTORS
SUCTION STRAIN ER
SUMP AT FIBERGLASS
ELECTRIC SLOPE CONTAINMENT SYSTEM
SET CONTAINMENT CONTAINMENT
TO SUMP, LEAK DETECTION
TYP. FULL
NOTE : LENGTH
FUEL LINE
PIPE SIZES SHALL BE FIBERGLASS-2H UL LISTED WITH 4" CONTAIN MENT DETECTOR SUMP
PIPE STEEL AS RECOM MENDED BY THE GENERATOR SET SUPPLIER AND
INSTALLED BY ELECTRICAL CONTRACTOR .

SCHEMATIC ARRANGEMENT OF
DIESEL FUEL PIPING
N.T.S.

FIG uRE 5. 6 EE E Schematic arrangement of diesel fuel piping.

of the water on the fitting. The impulse-momentum equation,

in vector component form, is

LFx= pQ(~Vx)
"iFr= pQ (~Vr) (5.6BW)

where Q is the discharge, p is the density, and Yx and Vy a)

represent the x and y components of velocity. Consider
the horizontal bend of Figure 5.6GGG(a). The force of
the water on the bend is the result of the pressure forces
pA acting on the water within the bend, as illustrated in
V1
..
Figure 5.6GGG(b). To counter these forces, an equal and
opposite force is produced by the longitudinal stresses in

p = 0
Hydrostatic
Pressure
Distribution b)
Diagram~

H
V1

FIG u RE 5. 6 FF F
L D

Hydrostatic pressure in a pipe.

p = 'O' x H

FIG u RE 5 • 6 GGG
Free-body Diagram
Of Water In Bend
Forces for flow through a horizontal bend.
566 i@UH¥I F@Hi4Mii
the pipe wall (Figure 5.6GGG). Since common pipe joints
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. Typically the operating
pressure ranges from 40 to 150 psi, with velocities approxi-
mately 3 to 10 fps. Within these ranges, hydrostatic forces are
far greater than hydrodynamic forces and for the purposes of
design, can, in most cases, be ignored. To illustrate this point,
consider a 12-inch diameter, 45° horizontal bend. Assume
line pressure of 50 psi and flow velocity of 5 fps. The right
side of the momentum equation [Equation (5.6BW)] is the
force due to the change in momentum of the fluid. The left
side represents all forces acting on the fluid, such as gravity,
pressure forces, and shear forces. For the conditions given,
let Fx and Py represent the forces of the bend on the fluid.
Expanding Equation (5.6BW) gives
P1 A1- Fx - P2 A2 cos 45° = pQ(V 2cos45° -V1)
Fr- p 2 A2sin45° = p OV2sin 45° (5.6BX)
Rearranging terms and substituting the appropriate values
2 Sa
( 50 psi x 144 in .) (0.79 ft2)-(5o psi x 144 ~j(0.79 ft2)
PSI PSI
ft ( 5-
cos 45°-1.94 slugs X 3.9-
s s
3
ft cos 45° - 5- = Fx
s
ft)
(5.6BY)
Or
1666 lb-(-11 lb)=1677 lb=Fx (5.6BZ)
Similarly the y component of the force is
( 50 _lb2x 144 in: x O. 79 ft 2sin 45°)
In ft
3 (5.6CA)
+ (19.4 slugs) x ( 3.9 f~ sin 45° j = Fr
Or
5688 lb+ 5.4 lb= 5693 lb= FY (5.6GB)
The preceding computations show that for conditions
typical of water distribution systems, the components of the
momentum force (i.e., 11 and 5.4 pounds) are substantially
less than the x and y components of the pressure forces,
namely 1666 and 5688 pounds, respectively.
The types of joints commonly used to connect ductile
iron pipe are push-on or mechanical joints. Although leak
proof and quite effective for normal radial stresses, these
joints are not capable of resisting the hydrostatic and hydro-
dynamic forces at the components in the longitudinal direc-
tion. Added measures are necessary to reinforce longitudinal
separation at the joints. One measure, thrust blocks, are
used to transfer the fluid pressure forces to undisturbed soil.
Other measures include collars and clamps around the joints
to provide additional restraint.
The design concept of thrust blocks is similar to foun-
dation design. The intent is to transfer internal hydrostatic
forces to the undisturbed soil mass through a mass of con-
crete. For a given hydraulic design, the size of the thrust
block depends on the bearing capacity of the soil and the
hydrostatic forces within the waterline component.
Figure 5.6HHH shows the magnitude and line of action of
hydrostatic forces for various types of waterline components.
The location of the thrust block depends on the type of pipe
fittings. Parameters considered in the design of thrust blocks
include pipe size, hydrostatic pressures, type of component,
and soil properties.
The Ductile Iron Pipe Research Association (DIRPA)
recommends the following for thrust block design (with
reference to Figure 5.6III).
Bearing surface of the block should be placed against
undisturbed soil. Alternatively, when this is not possible, the
fill soil between the block and the undisturbed earth must be
compacted to minimum 90% Standard Proctor density. The
required bearing block area is
Ab=hb=TS, (5.6CC)
where Ab = the bearing surface area of the block
h = height of the block
b = width of the block
T = the resultant hydrostatic thrust force on the com-
ponent. The hydrostatic forces (PA terms) corre-
sponding to Tare found from Figure 5.6JJJ.
S1 =factor of safety (usually 1.5 for thrust block design)
SB = bearing strength of the soil (psf)
The block height h should be equal to or less than ½ the
total depth to the bottom of the block Hr but not less than
the pipe diameter D. Block height h should be chosen such
that the calculated block width b varies between one and two
times the height.
Table 5.6W provides bearing strengths for generalized
soil, to be used whenever actual bearing strengths are not
available. The engineer is responsible for proper selection
of the bearing strength based on proper soil identification.
The DIPRA suggests that in lieu of the values for soil bearing
strength shown in Table 5.6W, a designer may choose to use
calculated Rankine passive pressure or other determination
of soil bearing strength based on actual soil properties.
On horizontal bends, the placement of the thrust block
is against the outer edge of the bend. On vertical down
bends, similar placement would put the thrust block on top
of the pipe. Besides the danger of crushing the pipe, the fill
dirt on top of the block provides marginal bearing support.
Instead, the vertical down bend is stabilized with a grav-
ity thrust block attached to the underside of the bend [see
Figure 5.6 III(b)]. The vertical component (Ty= PA sin 0) of
 5.6 ■ UTILITY DESIGN 567

i T = PAb
S PA
·~ T = PA
6PA2
~ PA19

l DEAD END T = P(A1 - A2)

REDUCER
PAr

PA
TEE

/T = PAb

WYE
T = 2{PA){SIN 01z)
BEND
FIG uRE 5. 6 HHH Thrust forces and line of action for selected fittings. (Reprinted with permission of Ductile Iron Pipe Research Association,
Birmingham, Alabama.)

the thrust force is countered by the weight of the block itself.
The required volume of the block is
S1 PA(sin0)
VG=---- (5.6CD)
WM
where VG is the volume of the block and WM is the density of
the block material. The horizontal component of the thrust
force, Tx = PA(l - cos 0), is transferred to the soil by the
right-side bearing area of the block.
In situations where thrust blocks cannot be used, another
common method for thrust resistance is the use of restrained
joints. A restrained joint is a specially designed joint that pro-
vides longitudinal restraint. The thrust force at the compo-
nent is transferred to the surrounding soil through frictional
resistance and bearing from a predetermined length of pipe.
Other types of thrust resistance include steel straps
attached to boulders and bedrock (not very common), and
tie rods connecting collars on either side of a joint.
5.6.15. System Analysis
Analysis and design of a water distribution system is a com-
plex process. Due to the availability of computers and the
myriad software programs available to analyze complex sys-
tems, detailed longhand computations have become virtu-
ally obsolete. This does not deemphasize the importance of
the fundamental knowledge of hydraulics. Although it is not
imperative that the program users fully understand the pro-
gram and the numerical methods used within the program,
it is imperative that the users understand the limitations of
the program and the reliability of the input data. To intui-
tively get a feel for the correctness of the output, the engineer
still needs to understand the fundamental methods typically
used in the software program. The results from a computer
software program are only as good as the input data and the
numerical methods used within the program.
Pipe Flow. In general, flow through a pipe conduit is
affected by its hydraulic and geometric properties. Length
56a i@UH¥I F@Hi4Mii
s,
0 where hv is the velocity head, v is the average velocity in the
0
0 'I.
0 ,£;
0 energy. This is the energy associated with a fluid's height rel-
~~
a)
Ty T tial energy of the system.
b)
FIG uRE 5 . 6111 Schematic for (a) bearing block (b) gravity block.
(Reprinted with permission of Ductile Iron Pipe Research Association,
Birmingham, Alabama.)
and shape are the significant geometric properties; hydrau-
lic properties include pipe material (for roughness), type
and number of components (e.g., valves, reducers, bends,
tees, etc.) and pressure. Analysis of fluid flow is a matter of
determining the total hydraulic energy of the fluid. To do so
requires the conversion of the fluid's known energy related
parameter-pressure, velocity, and relative elevation-to
units of energy.
Most water distribution systems function as pressure
flow. Mathematically, system pressure is converted to energy
by changing the units of pressure to an equivalent height of
fluid. This is done by dividing the pressure by the specific
weight of the fluid. Although specific weight is a function
of temperature, the value of 62.4 pounds per cubic foot is
ordinarily assumed constant for the conditions encountered
in water distribution systems. Equation (5.6CE) converts
pressure to pressure head-the depth of fluid that creates a
pressure identical to the pressure in the pipe.
E._ = h (5.6CE)
y
where p is the pipe pressure in psf, y is the specific weight of
the fluid (lb/ft3), and h is a depth (ft). This is also referred to
as the flow energy of the fluid. The kinetic energy of a mov-
ing fluid, typically referred to as the velocity head, is
v2
h,=- (5.6CF)
2g
cross section of flow, and g is the gravitational acceleration.
Fluid within the distribution system also has potential
ative to a reference datum. The datum is arbitrarily selected
for the convenience of analyzing the system or identifying
other parameters associated with the system. The variable
"z" is used in hydraulic nomenclature to reference the poten-
Analysis of a system, or components within specific con-
fines of the system, usually requires the comparison of the
total energy of the fluid at two locations. From the conserva-
tion of energy principle, equating the energy at one location
to the fluid's energy at the second location produces
P, v~ P2 v~ (5.6CG)
-+-+ z,+ I-hi=-+-+ z2+ I-h1
y 2g y 2g
Where the I.h1 terms represent energy lost by the fluid in
going from location one to location two. Energy lost or taken
from the system is attributed to pipe friction, components
such as valves and reducers, and sudden enlargements and
contractions.
In the energy equation, Equation (5.6CE), the E._ + z terms
y
represent the hydraulic grade line (HGL). This is the locus
of values above the centerline of the pipe that designate the
height to which the water level would rise due to the pres-
sure head if it were not confined within the pipe. Along
straight sections of pipe, energy losses in the system cause
the hydraulic grade line to drop in the direction of flow.
However, increases in pipe velocity in the downstream direc-
tion will cause the HGL to rise. Adding the v2!2g term to the
hydraulic grade line represents the energy grade line. This
represents the fluid's available energy, and similar to the
hydraulic grade line, decreases in the downstream direction
when no external energy is input into the system.
Discharge through pipes is represented by the continu-
ity equation, Q = VA. Unless there is a leak or the fluid is
highly compressible, the continuity equation shows that
the amount of water flowing in a length of pipe is constant;
velocity adjusts proportionally to any change in cross sec-
tional area to keep the discharge constant. Inherent in pipe
flow is the energy loss from the effects of the roughness of
 5.6 ■ UTILITY DESIGN 569

Pipe dilm,D, ft
0.1 02 0.3 0.4 0.6 0.8 l 2 3 4 6 8 10 20
0.05
0.04
" I\

0.03 ~
"' I"-
I'..

"' ""
!
0.02

0.01
0.008
'\.
' '' '
~ Riveted I\
.,.
'
~

steel
'r-,.,,
I'\.
"' ""
' '
,,
'"
"- ' ~" Concrete ~"' ,
"- I
' 1"-
0.006
'\. '\. "J, I I 'I. "'
0.005
' "
0.004 ' " '' ..._ '','" Wood~,
""""-1'. ),,.~tavf I
' ' '
0.003

"~~~ "' "' ' I'\,

~

"" ""'
0.002 ~o-o..,..-

~ "~~~~~~'
'rs.
',r-. ,, 'r,,. ~
0.001
0.0008
'
'
' "- ..........
...
' I"\
·~ ''
'i..,
'
'
' ' ' '~~;==
0.0006
0.0005
~.. ~~"'"-
C.,I'\. "' ,-
....~:-

0.0004
0.0003
'
w, . ' "'r---."'~ ~ "
Z¾I\,.?{..,,cif~~~"'~
I'.(}.;/
f\,❖.,.,./
?o,, " ' ~
I\
I'..
~
0.0002 ~" ' I'-.

~~~---
~C!!o...,,.~
""'"f\i N
~.. .
"'
(,, -

0.0001
0.00008
~~"-
~.r.
~' I'\.
~ S;!>..,._V --
' "-
' ', '-;~fq;_,. _~
0.00006

~"
0.00005
0.00004
, ~-
0.00003

0.00002
~<i -

~
'"
' ", -~
\"'-~
-~
r,,.~ 1-
0.00001
0.000008
"" l' v~
K1i:;~ . -~✓. -
...s--
0
11' ' "-
0:0000()5 I'\..
2 3 4 5 6 8 10 20 30 40 60 100 200 300
Pipe diam, in
Roughness ractors (expressed in reet) for commercial pipes.

F 1Gu RE 5. 6 J J J Roughness factors for commercial pipes. (ASME Transactions, vol. 66,
1944. Reprinted by permission of American Society of Mechanical Engineers.)

the pipe material. The pipe's surface roughness affects the (where h1 = head loss, f =dimensionless friction factor, L =
velocity across the cross-sectional flow area, with a net result length of pipe, D = diameter of the pipe, V = average velocity
of retarding the flow. Therefore, the equations for determin- in the pipe, andg= gravitational constant) and experimental
ing the discharge in pipes must account for this head (i.e., verification shows the following to be true:
energy) loss.
The Darcy-Weisbach equation is one of the most popu- • The head loss varies directly with the length of pipe
lar methods for determining the head loss in pipe flow. This and inversely with the diameter.
equation, • The head loss varies with the square of the velocity.
LV 2
(5.6CH) • The head loss depends on the roughness of the inte-
h1=f--
D 2g rior pipe wall.
510 i@UH¥I F@Hi4Mii
3. Determine the t:!D ratio and enter Rand £/Don the
TAB LE 5 . 6 W Bearing Strength of
Moody diagram (Figure 5.6JJJ) and read the corre-
Generalized Soils sponding value off.
SOIL STRENGTH (Se)* (LB/Fr2) 4. Use the Darcy-Weisbach, Equation (5.6CH), to
Muck 0 find hv
5. Use the Bernoulli equation and/or the continuity
Soft clay 1000 equation to determine other design parameters.
Silt 1500 In lieu of the Moody diagram, Equation (5.6CK) can be
Sandy silt 3000 used to approximate f for the given constraints

Sand 4000 1.325

Sandy clay 6000
Hard clay 9000
*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 evaluation. 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 Association, Birmingham,
Alabama.)
• The head loss depends on fluid properties of density
and viscosity and is independent of pressure.
The last two items are evident from the significance of the
parameter f. The value of f is dependent on the Reynolds
number, the ratio of the inertia forces to the viscous forces of
the fluid and the relative roughness of the pipe. These are the
only two significant forces of the fluid in a completely filled
conduit. For a circular conduit the Reynolds number (R) is
R= pDV (5.6CI)
µ the two values are within an acceptable tolerance, the proce-
For laminar flows (i.e., R < 2000) f is
f = 64 (5.6CJ)
R shown for use with English units as
where p is the density and µ is the absolute viscosity of the
fluid. For any consistent system of units R is a dimensionless
number.
For turbulent flows f has been found through experi-
mentation to be related to the ratio of £/D, where e is the
absolute roughness, a parameter that measures the size of
the irregularities of the pipe material. This ratio depends on
the pipe material and the pipe diameter. Figure 5.6JJJ shows
this ratio for various commercial pipes. The Moody diagram
(Figure 5.6KKK) shows the relationship between f, £, and R.
The energy loss, h1 , for a known discharge and pipe can
be found by
1. Determine the Reynolds number, Equation (5.6CI).
2. Determine e from Figure 5.6JJJ.
f = [ln(e /3.7D + 5.74/ R09 )]2
for
10-5 :<,; ~ :<,; 10-2 (5.6CK)
D
5000 :<,; R :<,; 10 8
Pipe analysis problems with incompressible flow
require the determination of the variables Q, L, D, hf, and
V. Recognize that V, D, and f are interrelated. Hence, the
solution to solving problems where these parameters are
unknown (and therefore R in unknown) requires a trial and
error procedure. Since the value off changes very slowly at
the higher R values, begin the trial-and-error procedure by
assuming a value for either f of R and obtain a final solution
for Q or V. Compute an f ( or R) using the final solution, and
use the Moody diagram to find R (or f) and compare this to
the assumed value. The procedure ends when the computed
value is within an acceptable tolerance of the assumed value.
For example, if D is known, the trial-and-error procedure
begins by assuming f and using the Darcy-Weisbach equa-
tion to find the velocity. Use this velocity to compute R and
find the corresponding f value from the Moody diagram. If
dure ends and the design parameters are known; otherwise
assume another value for f and repeat the procedure.
Another popular method used to find pipe discharges and
other design parameters is the Hazen -Williams equation,
V =1.31 BC RD63SD54 (5.6CL)
where V is the velocity, C is the coefficient associated with
pipe roughness, R is the hydraulic radius(= D/4 for circular
pipes flowing full), and S = energy gradient (h 1 /L).
Although not dimensionally correct, as many empirical
equations tend to be, the Hazen-Williams equation provides
generally acceptable discharge estimates. In most problems
for design purposes, C is taken to be 100, but for aged pipe C
can be as low as 70. Table 5.6X provides a range of C values
for different pipe materials. The advantage in using this
equation, over the Darcy-Weisbach equation, is the indepen-
dence of C from the Reynolds number. Because this equation
does not include any terms relating to the physical proper-
ties of the fluid, the Hazen-Williams equation is used for
 5.6 ■ UTILITY DESIGN 571

Values of ( D" V) for water al 60°F ( diam in inches - velocity in fps)

0.1 0.2 0.4 0.6 . 1 2 4 6 8 10 20 40 60 100 200 400 1,000 2,000 4,000 10,000
Values of (D" V) for atmospheric air at 60"F
2 4 6 8 10 20 40 60 100 200 400 600 1,000 2,000 4,000 10,000 40,000 100,000
0 · 10 [111 . I II
1.. 1 1 1 I I "I I Ill I I I I
I I I I 11 11 I

0·09 ~Laf~!'" I Ic;~~: J_I III

1 I I I I l ~I 111
0.08..,_ ~-~~'...~ - -Transition zone - -..- - - - - Complete turbulence. rO\N}h pipes - - - - >--
1111111 111111
1-!101./Ullm=:::t~~=t=~·ij;¼==¾====t=~~~~=l==t==W~~=~~~~tt~
t-Ull--!- .~ ''Tt-+-+-+--1-+-~---1--+-4--+++++1--1-~~+++~-+-l-++lf++H0.05
1
0 ,07 1- ~ ,.. II ~ f½r--.. ., 11 0 ,04
0.06::, ¥ \ I ' 0.03
\, ! ; ~ ~ \.
0.05>-- --~ ~ r-- - 0.02
~ t_- I f::: .., --rr-+-+...µ.+.u-----1'.:..,....-1--1~-l-+-l-l-l-----+-l--+-l-l-4-l~- --1---4--1--+-l-++~O.OI 5
I t-,;-, ::-- "
0.04 - ::----:::::r--
$\ I ~ N:::: ,. ~ 0.01 i
~ :::-----::=r--i-
--:;\1 i: ;, " 0.008 :f
~ ~ r-- _ mttt--+-4--1--ll'\~'-++---4--~--l-l-+++._---+---+-....j....l,4-l-li..f.lo.006 !
1 ~ v.
.!.
0.03 ttJit-11\:v\?:✓·,yv1ft1Hil~.~~~r---...,t41Hi'l'f=*=++t+~l==l=:t::~:t:t:1:U:=:::t=t:+UU1J "ii
j \ . ~,r--... ', 0.004 ~
0.025
J
,:
.!i!
.'g
... 0.02
\
\ ~~ ---;:::::-..::::r--
~~ i:::::-:::::--
~
'
", I\..
0.002

0.001
!~
\ I I
Smooth pipes 4 ~ r---,.._ - 0.0008
::-,..... 1---- - 1, 0.0006
~ t--- -... , 0.0004
o.01 s1-H+1---+--+-H-H+-H--+-+.-:H-H++l---~~lcFN-4"=:t::-~---,-+_- ,.::::-.
--. . , ~
-,:.JL-_1_1-..t.+-l-+..i+..l.+-utt-+i 0.0002
r-- .,-l--++--++-+\+-1.gf+-'--p-"'~-
,1D-0.OOOOOST
~ ~ ~ I::'.-..._
t--~i--,...._
-1~-r-tt++-1:+---.j........'~I--"-~~
i,. 0.0001
1 ~ 1
~ mrttt--+-~~J+Ro.00005
__

0.01 ,I 1 ..,.. ::::

1--. .._~
0.009 i-+,f++---+-+-+++-++H--+--+-+-++++++---+--+- •I D-0.000001-:--d-_-f_""§t:,1.1:"t+-o=--+-t-+-+t++tt
0.008 tlJUl.......1.1 -1..L•l.J.1 .L•J...llllL_1L...J_,L1...i.L.
1 1 UWL...1•---1...J•...L•ll.u 1L.i.,J.J.,L,J...l,;:...Il~tit----:~---~[~:U:I:b±J:~0.00001
,ll..JILJIUl.lJll~.L.
6 8 10] 2 3 4 5 6 8 10• 2 3 4 5 6 8 10' 2 3 4 5 6 8 Jr/ 2 3 4 5 6 8 107 2 3 4 5 6 810'
t
Reynolds number N11 •DV/11 (D, ft; V, fps; 11, fl /IK)

Friction factor for pipes.

f I Gu RE 5. 6 KKK Moody diagram. (ASME Transactions, vol. 66, 1944. Reprinted by permission of American Society of Mechanical Engineers.)

water discharges for turbulent conditions only. Additionally, or exiting the component. This method computes the minor
this nondependence on the physical properties of the water losses using the form
makes the Hazen-Williams equation the preferred equation v2
for pipe flow analysis. Figure 5.6LLL is the nomograph for h,=k- (5.6CM)
2g
the Hazen-Williams equation. Given the value of two of
the variables in the equation, the nomograph provides the where k is the constant of proportionality. Table 5.6Y shows
unknown values of the remaining two variables. k factors for various fittings and other waterline appurte-
Minor Losses. Components in the pipe network con- nances. For additional information on head losses through
tribute to the system's head losses. These are considered as fittings as well as other components, the manufacturer's
minor losses and depending on the section of the system specifications should be consulted.
under analysis, may or may not need to be incorporated Equivalent Pipe Lengths. A pipe network typically con-
into the design computations. Energy lost through friction sists of loops and branches, with fittings and pipes of various
is significantly larger than the combined minor losses when diameters. In order to simplify pipe network computations, it
pipe lengths exceed ±1000 diameters. In these situations, the may be advantageous to convert the fittings and various pipe
minor energy losses can be ignored without appreciable effect lengths into equivalent lengths of a uniform diameter. The
on the results (due to the uncertainty in the C coefficient). equivalent pipe length represents a length of pipe of known
The loss coefficient method uses a constant of propor- diameter that has either the same head loss as a length of
tionality based on the configuration of the component. This pipe of different diameter with the same discharge, or the
constant is applied to the velocity head of the water entering same head loss as a fitting for the given discharge. Using the
512 i@UH¥I F@Hi4Mii
TAB LE 5 . 6 X Specific Roughness and Hazen-Williams Constants for Various Pipe Materials
E(Fl') 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 0.00008
Lead, tin, glass 0.000005 150-120 140 130
Plastic (PVC and ABS) 0.000005 150-120 140 130
(Reprinted with permission from Professional Publications, Inc., Civil Engineering Reference Manual, 10th ed., by Michael R. Lindeburg, copyright© 2006 by Professional
Publications, Inc.)
 5.6 ■ UTILITY DESIGN 573

100 d 0.001 500

.a.ooo 20 u
~
400
80 0.3 300
30,000
60
·= 0.002 200
50 0.4
20,000 Q 0.003
40 10 ~ 0.5 0.004
100
cu
E 80
0.005
30 96 8 c5 0.6
0.006
60
84 0.007 50
10,000
72
0.7 0.008 .a
20 0.009
8,000 o.a 0.01 30
60
54
0.9
!! 20
6,000 48 l 'i:
::I
5.000 42 0.02

cu 4,000
~ ~ 10
-; G.03 cu .. 8
1.5 20 ] !, 6
·e 3.ooo
C:
-g
C:
0
"'Cl
C
0
0.04 ] !! 5
6 u 0.05 :;: 'i:
i u 24 4 X.

·--
cu

;g
5
cu
"'... :c 20 "' 2 0.06 50 ~ C,!- _; -r 0
in
8.
--
2,000 cu 0.07
'5 o.oa .!:!
!i.
io
4 Q.

.!: 16
18
ucu 0.09 1ooi :i
"'
"°
.!: 3 .!: 14 c:
0.1
150 ~
I
0
'Q
>,
cu·
>-. -~ ~ ::c
"°
] 1.000
J 12
C. J,,, ,:
3 200
::c "'
.§ 1 0.001

~ '-4
u 0.2 0.8
2 0 10
o"' 800 ...cu > 0.6
uE 8 0.3
0.5
0.4
600
500
"'
i:5
5 0.4 0.3
6 0.5
6 0.2
400 0.6
5 0.7 u
0.8 7 0.8 ~
300
0.6
4
Jt
8 ?·' ·=
-0
0.1
9 0.08
0.5 3 10
"'cu
~
0.06
200
?;- 0.05
0.4
zt 2 g 0.04
'ii
0.3 2 > 0.03
3
15
100 4 0.02
0.2 1J.z
5
80 6
20 0.01
7
f50 8 0.001
l 9
50 25 10 C>.OOI
0.1 0.005

FIG uRE 5. 6 LL L 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.)

Darcy-Weisbach equation, a length equivalent pipe for a fit- can be used in lieu of the equations to convert various fix-
ting with a given head loss is tures to equivalent lengths.
To convert a pipe of one diameter to pipe of different

t( ~) ~; = K ( ~; J diameter, for a given discharge, either the Darcy-Weisbach

equation or the Hazen-Williams equation can be used. After
or (5.6CN) rearranging terms of the Darcy-Weisbach equation, convert-
D ing one pipe of known diameter D to another diameter De, of
Le=K-
f equivalent length Le is found by

where the terms are as defined earlier and Le represents the

length of pipe of diameter D that corresponds to the head loss (5.6CO)
through the component. The nomograph of Figure 5.6MMM
574 i@UH¥I F@Hi4Mii
TAB LE 5 . 6 Y Table of Loss Coefficients
Use the equation hv = kvv/2g unless otherwise indicated. Energy loss Et equals hv head loss in feet.
Perpendicular square entrance: Check valves:
J:-_..., k = 0.50 if edge is sharp Swing type k = 2.5 when fully open

' Perpendicular rounded entrance:

Ball type
Lift type
k = 70.0
k = 12.0
Angle valve:

Rid = 0.05 0.1 0.2 0.3 0.4 k = 5.0 if fully open

k = 0.25 0.17 0.08 0.05 0.04

Additional loss due to skewed entrance: Segment gate in rectangular conduit:

V k = 0.505 + 0.303 sin a + 0.226 sin 2 a k = 0.3 + 1.3 [( 1/n)F

_:::f( .!!J where n = 4>14> 0 = the rate of opening
with respect to the central angle
Strainer bucket: Sluice gale in rectangular conduit:
t k = 10 with foot valve k = 0.3 + 1.9 [( 1/n) - nF
A k = 5.5 without foot valve where n = hi H.
Standard tee, entrance lo minor line: Sudden expansion:

7f- k = 1.8 ~- E= (1_ _:"zv, ) 2 2gv,1 Or f = (1V2 - 1)2 2gv/

J ,, - . . _ _ - ,, l l

Confusor outlet: Sudden contraction:

d!D = 0.5 0.6 0.8 0.9 (d/0) 2 = 0.01 0.1 0.2 0.4 0.6 0.8
k = 5.5 4 2.55 1.1 k = 0.5 0.5 0.42 0.33 0.25 0.15
use v2 in Equation 13.13
Exit from pipe into reservoir: Diffusor:

k = 1.0 E1 = k(v, 2 - v/ )!2g

a0 = 20 40 60 80
k = 0.20 .028 032 035
Diffusor outlet for D/d > 2: Confusor:

o: = 8 15 30 45
0
E1 = k(v,2 - v/ )/2g
k = 0.05 0.1 8 0.5 0.6
I ~ «0 = 6 10 20 40 60 80 100 120 140
?',=.._.H- '~ o~ Jd 0.12 0.16 0.39 0.80 i .o 1.06 1.04 1.04 1.04
D· 1.5d 0.12 0.16 0.39 0.96 1.22 1.16 1.10 1.06 1.04

Gate valve: Sharp elbow:

e/D = 0 1/4 3/8 1/2 5/8 3/4 7/8 ~ ··-.; U

k = 67.6 X 10- 6(o: 0 ) 2·17
k = 0.15 0.26 0.81 2.06 5.52 17.0 97.8

Globe valve: Bends:

fz~ k = 10 when fully open ~ k = (0.13 + 1.85(r/R) 3 - 5 )✓a 0/180°

Rotary valve: Close return bend:

o0 = 5 10 20 30 40 50 60 70 80 :2) k = 2.2
k = 0.05 0.29 1.56 5.47 17.3 52.6 206 485 oo

(Courtesy of Simon, Andrew L. Hydraulics. 1986. Adopted by permission of Prentice Hall, Inc., Englewood Cliffs, NJ.)
 5.6 ■ UTILITY DESIGN 575

A simple way to account for the resistance offered to

low by valves and Sttinp Is to add to the lensth of
pipe in the line a lensth which will live a pressure
drop equal to that which o«urs In the valves and
Sttinp in the line.
Eumple1 The dotted line shows that the resistance
of a 8-inch Standard Elbow Is equivalent to approxi-
mately 16 feet of 8-lnch Standard Steel Plpe.

Gate Valve 3000

J4 CIOMd
~CIOMd 2000 Note: For sudden enlargements or sudden
contractions, use the smaller diameter on the
.. ~-\4 Cloeed nominal pipe size scale.
Fully ()pea
1000
so

Aa,ae Valve, Open

®
Scandard Tee

0
Swln1 Check Valve.
Pull10pen

0.5
·~ 114
2

Chart copyright by
Crane Co. Reprinted
with permission.

cu
0.2

0.1
o.s
FIG uRE 5. 6 MM M Equivalent lengths for minor losses. (Reprinted with permission from Crane Co., Stamford, CN.)
57& i@UH¥I F@Hi4Mii
where f and f e are the friction factors for the given pipe and
equivalent length pipe, respectively.
Similarly, the Hazen-Williams equation is rearranged to
find an equivalent length pipe using the diameters and the
coefficients of pipe roughness for the equivalent length pipe
Ce and the coefficient of roughness for the given pipe C.
Equivalent Pipe Length Example. As an example, find
the equivalent length of 12-inch diameter ductile iron pipe
(C = 100) for 500 feet of IO-inch-diameter pipe (C = 100)
attached with a globe valve at one end (Q = 5 cfs).
The velocity in the 10-inch pipe is
Using the same equation, the velocity in the 12-inch-
diameter pipe is 6.4 fps.
From Table 5.6Y the head loss coefficient for a globe valve
is 10 and the corresponding head loss through the globe
valve is
9.2 2 ) =13.1ft
h,=10 ( 2g
Using the Hazen-Williams equation the equivalent length of
12-inch-diameter pipe for the globe valve is
~ 2 = (1 r
.318C~D63h? 54 5
ooi( r
1.318(1 2 13.1° 54
4 = 700 ft
6.4
From Equation (5.6CP) the equivalent length of 12-inch-
diameter pipe for 500 feet of IO-inch-diameter pipe is
4.87
L,, a 500
lC~ l1 ( l
1 100
100
1. 85
a 1215 ft
The total equivalent length of 12-inch-diameter pipe is
700 + 1215 = 1915 feet.
Fixture Unit Method. Occasionally, the project engineer
may be required to size the water service line to a building.
This normally occurs on commercial or other high-rise/
high-density projects. For the most part, however, the analy-
sis and sizing of the internal distribution system is typically
done by mechanical/plumbing engineers. The size of the
water supply line to the building depends on the demand
within the building, which may be related to the number
and type of plumbing fixtures in the building, or perhaps the
buildings use. Since there are several methods available to
estimate the demand, the one used depends on the building
codes of that jurisdiction.
The simplest method used to estimate demand is one
that relates the demand to the building use. For example,
water demand for an office building could be based on the
square foot of floor area or the number of employees, while
for apartments the demand may be based on the number
(5.6CP) of units in the building. If this type of method is used, the
demand table for various building uses will be prescribed in
the applicable building code.
Another method estimates the demand based on the
number and type of plumbing fixtures in the building. How-
ever, the size of the water supply line is based on maximum
probable demand rather than the sum of the maximum flows
of all of the fixtures. It is highly unlikely that every plumbing
fixture would be operating at maximum discharge simulta-
(5.6CQ)
neously. Under this pretense, the demand is related to the
number and type of fixtures, the rates required by these fix-
tures and the probable simultaneous operation of the fix-
tures. The unit of measurement used to correlate these flow
characteristics is the water supply fixture unit (WSFU) or
shortened to "fixture unit:'
The fixture unit is a measure of the hydraulic demand of
a fixture. It is the average discharge, during use, of an arbi-
trarily selected plumbing fixture. It takes into account the
(5.6CR) anticipated discharge, the average duration of flow when the
fixture is in use, and the frequency with which the fixture is
likely to be used. The WSFU is a factor chosen so that the
load-producing effects of different kinds of plumbing fix-
tures, as well as their conditions of service, can be expressed
as multiples of that factor. For example, if a bathtub with a
discharge of 7.5 gpm is selected as the arbitrary fixture, a fix-
ture with a discharge of 22 gpm is assigned a fixture unit of 3.
Typical values of fixture units are given in Table 5.62. By
(5.6CS) knowing the type and number of water supply fixtures, the
total WSFU for a building can be determined and then con-
verted to flow rates using Figure 5.6NNN. 3
After estimating the peak demand, the service line is sized
using head loss and velocity parameters for the pipe material
selected. Consideration is given to the available pressure in
(5.6C1)
the water main to determine if the pressure is adequate for
the calculated losses through the building. Booster pumps
may be required when pressures are inadequate at the upper
level floors.
Fixture Unit Supply Example. Size the water supply line
for a three-story apartment building having five-apartment
units on each level. Each apartment has one bathroom and a
kitchen with a dishwasher. There are four (16-pound) laun-
dry machines in the basement. The elevation of the 8-inch
water main located in the street is 165.5 feet. The water meter,
where the service line connects to the building, is 160 feet
away from the water main and is at elevation 175.5 feet.
3This curve, frequently referred to as the Hunter curve, was first proposed by Roy B.
Hunter of the National Bureau of Standards in 1923. Since then it has been modified
based on other research data.
 5.6 ■ UTILITY DESIGN 577

TAB LE 5 . 6 Z Demand Load of Fixtures*

LOAD VALUES ASSIGNED,
WATER SUPPLY FIXTURE UNITS
FIXTURE OCCUPANCY TYPE OF SUPPLY CONTROL COLO HOT TOTAL

Water closet Public Flush valve 10 10

Water closet Public Flush tank 5 5
Urinal Public 1" (25.4 mm) flush valve 10 10
Urinal Public ¾" (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. 3/8" (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
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
*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 are 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.)
510 i@UH¥I F@Hi4Mii
500 - - - - . . - - - - - - - - - - - , - - - - - - , - - - - . . . . - - - - - - , 500

z 300
300
-
:ii]
..J
<
C,

3
0
..J
IL
200 200

No.1 - System with Flush Valves

No.2 - System with Flush Tanks
100 100

o..______,_______.____...._____._______._______.
500 1000 1500 2000 2500 3000

FIXTURE UNITS
ENLARGED SCALE
120 1 - -1 - -1 - -1 - -1 -----:-1 ---c:::::::::='T""I 120
~-"'f"'=----ir-==::::::;j;;f 100
-
..J
<
C, 60
,~..i-"""""'=-----+----t-180
~--=----,---+----+----+-! 60
t
..J
401-----,,,,,,""-+----:::;,.,.....9-----+---t---+----+---+-I 40
IL
~ ~

0 0
50 100 150 200 250 300 350

FIXTURE UNITS

FIG uRE 5. 6 N N N Curves for estimating demand load.

The service line has 2° to 90° elbows and one angle valve. 5.
Minimum pressure in the water main is 45 psi (Table 5.6AA).
1. Tabulate the fixture units
2. Using Figure 5.6NNN the total demand for
151 WSFU is 60 gpm.
Pressure@ water meter= 45 psi
3. Using Figure 5.6000 the demand discharge of
60 gpm and a design velocity of 6 fps indicates that a
2-inch pipe is required. Note that the corresponding
pressure drop (i.e., headloss) is 2.8 psi per 100 ft.
The pressure at the inlet side of the water meter is the
minimum pressure in the water main less the losses
in the valves and piping and the elevation difference
(i.e., static lift) between the water main and the outlet
connection, or
-[~·i□Pf~i (160+28+2(5))-(174.5-164.5)]=29.5 psi
(5.6CU)

4. Convert the elbows and angle valve to equivalent Hardy-Cross. Analysis of a water distribution system can
lengths of pipe. From Figure 5.6MMM the angle be extremely complex due to the varying pipe sizes, pumps
valve is 28 feet of2-inch pipe and an elbow is 5 feet storage facilities, fluctuations in demand, and fire flow
of2-inch pipe. requirements that must be considered. Many methods used
 5.6 ■ UTILITY DESIGN 579

Although computers has made hand calculations nearly

TA BLE 5 . 6 A A Fixture Unit Count for
obsolete, an understanding of even the simplest method
Example Problem helps in assessing the validity of the final values of the analy-
TOTAL TOTAL sis. The Hardy-Cross method uses an equation of the form
FIXTURE UNITS WSFU WSFU
h1 = KQ" (5.6CV)
Kitchen sink 15 2 30 where h1 is the friction head loss in a section of pipe, K is a
Dishwasher 15 1 15 constant, and Q is the discharge.
The value of the exponent n depends on the govern-
Lavatory (sink) 15 1 15 ing equation selected for solving the problem. As example,
the Hazen-Williams equation [Equation (5.6CL)] can be
Water closet (flush tank) 15 3 45
written as
Bathtub 15 2 30
(5.6CW)
Laundry machine 4 4 16
Total= 151 For a given pipe of known material and diameter flowing full
the equation simplifies to

D= KSo s4 (5.6CX)
for analysis are iterative processes that incrementally adjust
the flows or head losses until convergence. Several iterative where the constant K incorporates the coefficient 1.318, the
techniques include the linear theory method, the Newton- diameter, the C-factor, n, and other constants. Substituting
for S, the equation is
Raphson method, and the ever popular Hardy-Cross method.
One of the most widely used and accepted computer models, h, =KQ1 .as (5.6CY)
KYPIPE, is based on the linear theory method.
The simplicity of the Hardy-Cross method, a form of the There are two main underlying assumptions in the Hardy-
Newton-Raphson method, lends itself to hand calculations. Cross method. The first is that continuity must be preserved

10,000
10,000
-
-
~
' 5,000
5,000 .,, .... ,x
4,000
3,000
'\ 1K
,
4,000
3,000
~I''1 "'\.
........
I)<
,/

'
A1(
.
u
,,.,,1 ... . i.-
2,000 ,--.., ii:\~
o~r<: . . rc;,~.r
V
" \. I,, ~ ' i.,,
2,000 o'~s~~ \

1,000
A
I), ...
~ 1).-i-~ V .... ,,,,,_
~

1,000
.... v f'<; '~ j; ~ ~) ~K.; r5 I.--'v D'b ~

~
z
~ 500
., ......
.,,
,.
6-
"
.; ....,.
-~
i"' - ,. .
~

'
z
~ 500
400
-" - '
~ -
,_
' ,;
'\ .:i '\
- ',>,
~

'
,c 400
300 ' . ....... " x;~ "'
Cl 300
.... \
,/
'\
..... \ ~
~

' .. V
, --:;
V
C)
I.Y V'" "'"
~--~ ,o Y<'
) )(' ':). i,..-'
......-1'\ l, ..
I!!' 200
~ ....
W 200 ,g

: ~ ... I,~~
V
.......
~ I< .... ~ y !)!; ... _.)
V' )

y v' ), i.-
~ ~v ~ "'
a:
100 '\ /
~

--~ i\ / \ '
~u.
ii:: 100 1

-- - -
0 80 1 'I-
....
u. 60 . - ' ' ,ft
,_,
\. ~~'!,
70
50
~

,"ft~
,
,/

a:
w
~

;
40
30
V"' , .,, ,.... '\
') v,
'\ .I ,\t:
' r~.
V"'
'\ ~- i::;
"'""
\.
a:
w
~
40
30
v
.Jt

~V "
'\
.....\
_, '\ I'\
llt' .... ~
I'• ' , "
',,
~ \ _;i.,,
'
~
~
V 'I- ~~"' 31';
20
20

10 1\../ ~
""
,.... ' I,,

I) ~ ~ ~ ~~ l~ ~
i::;; ~ "'""
\.

'I- ~"'"' 1g R"' I.--'

~j; ~
~V j;' '
~
I'
~ k:: L'.). '/J"
1,
J..;
I, j;

I\
8
6
4
., -- _, --- ., ......
" ,rt
~~~ -.
,.
"''('
\.
'I-
6
4
/
...... -
'\
'
_,
'\
·-
/
'
' ,_ "'
'
,dw""""

........
'\ ~ ~/;.,'
~ ~~
., ._x::;;, ,,,,,
3
....'
3 ~
~ ~ ' "lo!:;, V' ,~ /\ ' \
2

1
~
0.1
/
0.2 0.30.4
~/ ~ ~--
2 3 4 5
~~~
/

10 20 3040 100
2

1
/
0.1
I.;'
0.20.3 0 .4
~-- \ 1
).V '
2 3 4 5
~

/
10 20 30 50 100

PRESSURE DROP, PSI, PER 100 FT OF PIPE PRESSURE DROP, PSI, PER 100 FT OF PIPE

b) galvanized steel and wrought Iron that will be fairly rough

a) copper tubing and other pipes that will be smooth
after 15 to 20 yea rs In use.
after 15 to 20 years In use.

FIG uRE 5. 6 0 0 0 Chart for determination of flow in pipes.

5ao i@UH¥I F@Hi4Mii
1 cfs
Lup, Dup
Q
- :::::---aup
4 cfs

6000' - 16"
I 40oo· _ 12 ..

A B

~ --
Q

D
loop 1
:;tj coI
0:S®
loop 2 cij 0
N
I

Qlow
© 0on..,.
0 © ,,, 0
0

CD --L 0~ O" cfs

FIG uRE 5 • 6 PPP Simple loop for Hardy-Cross solution. 6500' - 16" 50
oo· - ' (@)
N 10 0
p loop 3
(the total flow into a junction equals the total flow exiting the 0 cij 0
..,. @
0 0
0 0
junction). The second is that pressure at any junction is single on
valued (the summation of the head loss around a loop is zero).
~ ®
4000' - 10"
With reference to Figure 5.6PPP, if continuity is preserved, /
the flow at point B is equal to the flow at point C. For the 2 cfs
pressure at point C to be single valued, the head loss in the
FIG uRE 5. 6 QQQ Schematic diagram for Hardy-Cross example.
upper loop must equal the head loss in the lower loop. In all
likelihood the pipe lengths and diameters and possibly even
the pipe material in each loop are different. The discharge will where (H1); represents the head loss in the ith pipe of the loop
divide at point B in such a way that the head loss through the and Q; is the discharge in that pipe, which was used to cal-
two sections ofloop is equal. As a result, if a clockwise direc- culate H1 .
tion of flow is assumed to be positive the summation of the The sign convention applies to the H1 term-all flows in
head loss from BCur around CB1ow will be zero. the negative direction will have negative H1 terms.
The solution is determined through a series of iterations Figure 5.6QQQ shows a simple three-loop system with
with each iteration producing a loop correction factor. Some pipe information and assumed flows, Table 5,6BB summarizes
value of flow for Our and Q10wis assumed. For these assumed
flows if hfiBC-up) is greater than hfiBC-Iow) then the discharge in
the upper loop must be reduced and the discharge in the
lower loop must be increased. That is Our' = Our+ f..Q and TA BL E 5 . 6 BB Initial Assumptions for Flows
Q10w• = Q10w - f..Q, where f..Q is the loop correction factor. and Directions
Eventually the discharges in each loop are adjusted, such that
INPUT VALUES
the summation of the head loss around the loop converges to
zero. The flow correction factor for the loop is LOOP No. PIPE No. DIAMETER (IN) LENGTH (FT) Q (CFS)

/1Q- ht,□-"P - htBC-Ow (5.6CZ)

1 1 16 6500 -2.00
- 1 _85 (ht,c-"' + ht,c-••J 2 16 4000 -2.00
Oup 01ow

For a more complex multiloop problem, the initial task is to 3 16 6000 2.00
set up the following parameters: 4 8 4500 .20
• Pipe system identifying pipe sizes 2 4 8 4500 -.20
• Lengths and materials
5 12 4000 .80
• Identify all location of flows entering and leaving the
system 6 12 3000 .80
• Assume a sign convention for direction of flow 7 10 5000 -.80
In the initial assumption of pipe flows, it is imperative for 3 7 10 5000 .80
the sum of the flows at any junction to be zero. Using these
8 12 4000 -1.40
initial conditions, the head loss for each pipe is computed as
9 10 4000 .60
11Q= -(I,(Hr);J ±(l(Hr); I]
i=1
X
/=1 Q,
(5.60A) 10 10 5000 .60
 5.6 ■ UTILITY DESIGN 581

the information shown on Figure 5.6QQQ. Note the algebraic
sign attached to the discharge: negative if the flow is counter-
clockwise, positive for clockwise direction. At each junction
the LQ = 0. In most systems there are valves, pumps, storage
tanks, and other components that impact the calculations.
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 calculations.
Tables 5.6CC and 5.6DD show how loop flows are
adjusted by a fi,,Q correction. Note how the adjustments are
determined for pipes common to more than one loop. For
example, pipe 4 is common to loops one and two. In loop 1,
the first iteration fi,,Q is +0.082, while the fi,,Q for loop 2 is
0.113. The new flow in pipe 4 is then 0.20 + 0.82 - 0.113 =
0.17 cfs. The initial flow of 0.2 is adjusted simultaneously by
the correction of the first loop and the negative of the cor-
rection of the second loop. The iterative process continues
until the sum of the absolute values of the fi,,Q's is less than
a prescribed minimum tolerance. The acceptable tolerance
depends on the precision of the known values and the degree
of accuracy required.
5.6.16. Water Main Plan Content
The plan and profile of the waterline identifies the size and
type of pipe and the location of the fittings. To the contractor,
it shows the material needed, the volume of excavating, and
potential construction problems. To the review agencies, the
plan and profile shows that the waterline is in conformance
with the applicable building and health codes.
The waterline location is accurately drawn on the plans as
per local criteria. For stakeout and construction purposes, the
location of a waterline is identified by stationing. Since most
waterlines in a development project are located in the street
and typically run near parallel with the centerline, the street
stationing can be used for stationing the waterline. When the
course of a waterline cannot be tied to the street, an arbitrary
stationing system on the waterline itself serves the same pur-
pose. Although stationing of the pipe system is done as a mat-
ter of convenience, and should reasonably reflect the length
of the pipe used, it does not need to start with 10 + 00. In the
figures showing the plan and profile of a typical waterline, the
waterline stationing coincides with the street stationing.
Although some localities allow pipes to be laid with
curves, other standards require that pipe direction changes

TA BL E 5 . 6 CC First Iteration Values

LOOP No. PIPE No. DIAMETER (IN) LENGTH (FT) Q (CFS) HL 1.85* HL IQ Q' (CFS)

1 16 6500 -2.00 -5.47 5.06 -1.92

2 16 4000 -2.00 -3.37 3.11 -1.92
3 16 6000 -2.00 5.05 4.67 2.08
4 8 4500 .20 1.56 14.43 .17
-2.23 27.27
b.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
b.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
b.Q=-(8.59/51.73) =-0.166
502 i@UH¥I F@Hi4Mii
TA BL E 5 . 6 D D Second Iteration Values
DIAMETER LENGTH Q Q
LOOP No. PIPE No. (IN) (FT) (CFS) HL 1.85*H1'0 (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

be made with elbow fittings. On commercial sites, the waterline shows how it will weave around other utilities.
designer needs to know where the fire hose connections As discussed previously, special construction techniques
at the building are located. In addition, some locales have may be necessary when the waterline is placed either near
minimum spacing for fire hydrants in commercial areas. a sanitary sewer or at less than minimum depth. The engi-
Both of these items affect the placement of the hydrants. neer should ensure that all utility crossings are shown
In residential areas, placement of fire hydrants may be in the profile view and that minimum clearance (as per
based on minimum spacing or based on the area of cover- applicable standards) is maintained.
age for the required fire flow. The engineer should ensure At the point where the proposed waterline connects to the
that the location of the hydrants shown on the work- existing water main, the plans should identify the method
sheet complies with appropriate design criteria. After the for location of existing line and type of connection (e.g., wet
waterline location and stationing are established in the tap with tapping sleeve and valve). Although the water utility
plan view, the waterline profile is drawn using the same company probably has records to show where the existing
stationing system. In the profile view, pipe characteris- line should be, test holes are dug to find the exact location.
tics (e.g., diameter, material, bearing strength, etc.) are In many instances, where the waterline is terminated from a
labeled. The profile view identifies the station of fitting, prior development, a blow-off valve is set to easily connect a
hydrants, and other pertinent components. The profiled future waterline (Figure 5.6RRR).
 5.6 ■ UTILITY DESIGN 583

0 =;
=:l

r
I 0 '.'1

-
I
I
'
Ii ' 0 0 0
ES

'2

li -
1. Plan view with water alignments shown and stationed, building
information (type, use, size) labeled for fire code reference
2. Notes and profile legend specific to profile sheets
3. Existing and proposed grade line at centerline of pipe network
4. Proposed and existing utility crossings shown, labeled, and dimensioned
5. Pipe label for size and material
6. Station labels for vertical bends, horizontal bends, hydrants, valves, tees,
and other appurtenances
7. Stations and elevations for profile grid

FIG uRE 5. 6 RR R Plan and profile view of a typical waterline.

584 i@UH¥I F@Hi4Mii

SOUTHERN DELIVERY SYSTEM, FINISHED WATER PIPELINES - SEGMENTS FW3

Location: Colorado Springs Utilities, Colorado
Case Study: Dewberry provided preliminary and final design services, permitting support services, bid phase services,
and engineering services for construction of 11,500 feet of 36-inch-diameter cement-mortar-lined, polyurethane-
coated, and double-lap-welded steel pipeline. The waterline was constructed in the west-bound lanes of a four- to six-
lane major arterial roadway in Colorado Springs, Colorado. An optimal waterline alignment was developed, evaluated,
configured, and recommended to minimize construction costs and traffic and public impacts during construction.
The project included four trenchless crossings: (1) a 264-foot-long 48-inch-diameter tunnel constructed using a tunnel
boring machine, (2) a 95-foot-long 48-inch-diameter tunnel constructed using pipe ramming under a six-barrel box
culvert at Sand Creek, (3) a 80-foot-long 48-inch-diameter tunnel constructed using an auger bore under a double-barrel
box culvert at an unnamed drainage crossing, and (4) a 195-foot-long 54-inch-diameter hand-tunnel that was proposed
by the contractor during construction as a value engineering alternative to cross under a prominent retaining wall/
entrance feature. The hand-tunnel avoided disturbing a highly active commercial property. Dewberry supported the
value engineering alternative by designing the hand-tunnel geometry.
Dewberry led, coordinated, supported, and reviewed a select team of highly qualified subconsultants for geotechnical
soils investigations, soils analysis, and tunneling design and evaluations, field surveying, subsurface utility investiga-
tions, sacrificial anodes cathodic protection design, and traffic phasing plans. Multiple options were considered for pro-
posed easement limits for acquisition necessary to successfully perform construction and to facilitate future client access
for maintenance. Proposed easement boundaries were further refined during the project to minimize disturbances to
property owners.
The team prepared construction drawings and specifications for competitive bidding. Technical memoranda was pre-
pared on design criteria, construction cost estimates, drainage crossings and appurtenances, transient analysis and
hydraulics, and value engineering. Also, a design data handbook was prepared to consolidate key calculations. The team
supported development of a trenchless crossings technical memorandum.
Technical support was necessary to prepare permit applications and responding to questions from federal, state, local
agencies for permitting acquisitions consisting of the Army Corps of Engineers, Colorado Department of Public Health
and Environment, Colorado Department of Transportation, El Paso County Site Development Plan approval, and the
City of Colorado Springs.
Dewberry supported responding to contractor bid questions, prepared bid addendums, reviewed and evaluated contrac-
tor bids, and prepared a recommendation of bid award. During construction, contractor submittal reviews were review,
periodic site observations were performed, and clarification and interpretation of contract documents was provided.
After construction, internal pipeline observations were performed that consisted of measuring deflection and examining
the condition of the cement mortar lining and of the contractor-installed grout at the joints.
 5.6 ■ UTILITY DESIGN 585

HIGHLINE TRANSMISSION MAIN, PHASE 1

Location: Colorado Springs Utilities, CO
Case Study: Dewberry provided preliminary and final design services, permitting support services, bid phase services,
and engineering services during construction for 6910 feet of 42-inch-diameter, 4510 feet of 36-inch-diameter, and
1030 feet of 30-inch-diameter cement-mortar-lined, polyurethane-coated, and double-lap-welded steel pipeline. The
waterline generally followed alongside several major arterial roadways in Colorado Springs, Colorado. The alignment
corridor was highly congested and constrained with existing utilities.
The project included two trenchless crossings: (1) a 310-foot-long 42-inch-diameter tunnel constructed using an auger
bore, and (2) a 140-foot-long 54-inch-diameter tunnel constructed using an auger bore. The project included open-cut
construction across East Fork Sand Creek and the Center Tributary to Sand Creek.
Dewberry coordinated and supported geotechnical soils investigations and analysis, field surveying, subsurface utility
investigations, sacrificial anodes cathodic protection, easement boundary development and acquisition, and traffic phas-
ing plans. This included permit acquisition for federal, state, and local permitting involving Army Corps of Engineers,
Colorado Department of Public Health and Environment, Colorado Department of Transportation, El Paso County
1041 and Site Development Plan approval, and the City of Colorado Springs. Extensive coordination was required with
Peterson Air Force Base to minimize disruptions to traffic during construction. Dewberrryprepared construction draw-
ings and specifications for competitive bidding, prepared bid addendums, reviewed and evaluated contractor bids, and
recommendation of bid award. Construction management services included contractor submittal reviews, periodic site
observations, and clarification and interpretation of contract documents.
 CHAPTER 5.7
EROSION AND SEDIMENT
CONTROL
5.7.1. Introduction
Erosion is the detachment and transport of organic and
mineral particles caused by the forces of water, wind, and
gravity. Sediment, the by-product of the erosion process, is
the solid material that is in suspension or transport or has
been relocated from its origin. Deposition of these particles
is sedimentation.
Natural soil erosion and sedimentation are important pro-
cesses responsible for the creation and evolution of natural
landforms and essential for maintaining a balance between
plant and animal life. Features such as the Grand Canyon,
badlands of the Dakotas, escarpments on mountains, fertile
soils, and delta areas along rivers are the result of a slow uni-
form process of erosion and sedimentation occurring over
time. Deposition of nutrient-rich sediment contributes to
the creation of topsoil and spurs vegetation growth that, in
turn, supports various animal species. Because of the long
length of time for this change to occur, ecosystems are able
to gradually adapt to the changes.
Human-induced activities, such as logging, farming, and
construction cause erosion at greatly accelerated rates. Such
activities alter the natural surface runoff patterns by denud-
ing large areas of vegetation, loosening the soil, changing
land slopes, and accelerating the "time of concentration''
of site runoff often through structural conveyance systems
such as storm drains, open channels, and curb and gutter.
Such extreme and rapid changes to the natural landform can
increase the erosion rate from two to several tens of thousands
of times the natural rate existing before the activity began.
The effects of erosion and sedimentation are recognizable
immediately after a storm in the form of muddy runoff and
sediment deposits on pavement or other low spots. Other
impacts include degraded water quality with the associated
586
harmful impacts on aquatic (benthic) organisms along with
increased downstream flooding as sediment fills the channel
or stream bed reducing the hydraulic capacity.
With careful planning and the use of appropriate control
devices, excessive erosion and sedimentation can be greatly
reduced during land disturbing operations. Chapters 3.5
and 5.5 describe the stormwater management requirements
and systems for post-development conditions. Stormwater
is managed prior to starting work on a site and continue
through the construction process with interim stormwater
management controls (erosion and sediment controls). The
design and documents associated with this interim condi-
tion are formatted into phases-in most cases, a phase 1
establishes perimeter controls and initial systems prior to
major land clearing and phase 2 focuses on the final controls
for the post-development site.
This chapter discusses the cause and effects of erosion
and sedimentation and focuses on the various mitigation
strategies (planning and engineering methods) to minimize
erosion and reduce sedimentation caused by land develop-
ment and construction related activities.
Any erosion and sediment control measure called for in the
plan should be able to be implemented in the field at the time
of its need. It is easy to put silt basins, silt fence, berms, etc.
symbols on paper, but the engineer must ask if it can be built as
shown. Is the practice accessible during construction so it can
be maintained, and finally can the device be easily removed
once construction is complete? The engineer must think
through the construction process with respect to the controls
shown on the plan and make sure that a clear constructible
set of plans is being presented that meets the developer's goals
while allowing for flexibility of the contractor. If need be, clar-
ify ambiguous or controversial situations in the narrative.

Additionally, as a result of the National Pollutant Dis-
charge Elimination System (NPDES) permit program
(as introduced in Chapter 2.5), construction sites will be
required to prepare a Storm Water Pollution Prevention Plan
(SWPPP) prior to commencement of any land-disturbing
activities greater than one acre in size. The goal of the SWPPP
is to maximize the potential benefits of the pollution preven-
tion and erosion and sediment control practices through the
use of best management practices during the construction
process. Since the primary focus of this program is on con-
trolling pollutants in any stormwater discharge, incorpora-
tion of well-thought-out and carefully implemented erosion
and sediment control measures is more important than ever.
The descriptions of the specific structural measures
herein have been limited to those that are most frequently
used in an erosion and sediment control plan. Other mea-
sures exist, and the reader is referred to local standards man-
uals for measures needed to accommodate the nuances for a
specific locality or site condition.
5.7.2. Soil Erosion and Sedimentation Process
The natural soil erosion and sedimentation process is an
important factor in the formation of the surface features
of the earth. These surface features, plant growth, and ani-
mal habitats are the natural result of a slow uniform process
occurring over geologic time; when uncontrolled and/or
accelerated, erosion has damaging effects on the environ -
ment and compromises aesthetic values important to site
development.
Design of a soil erosion and sedimentation plan for a
development project requires a fundamental knowledge of
the process itself. With a basic understanding of the prin -
ciples of soil erosion and sedimentation mechanics, the engi-
neer can then plan and design efficient methods for erosion
and sediment control.
Soil erosion and sedimentation is a three-step process.
1. First, the soil particles must be detached from the
soil mass.
2. Water (or wind) must then contain sufficient energy
for entraining and transporting the particles.
3. Finally, deposition occurs when the energy of the
water (wind) is less than the fluid shear resistance
and gravitational forces acting on the sediment
particles.
The key to erosion and sediment control is to prevent ini-
tial detachment of the soil particles and reduce the velocity
of the runoff.
Detachment and Transport. Detachment of soil particles
from the soil mass often begins when the energy of a rain -
drop impacting the ground is sufficient to break down the
soil aggregates and project them into the air. Upon impact,
these ejected particles then contribute to the detachment of
even more soil particles. Soil particles can be ejected 2 feet
5.7 ■ EROSION AND SEDIMENT CONTROL 587
into the air and may be displaced 5 feet in the horizontal
direction. The detachment rate of the soil particles is a func-
tion of both the kinetic energy of the raindrop and the force
holding the soil particle in place. Detachment occurs when
the kinetic energy of the raindrop is greater than the total
energy that holds the particle in place. The basic compo-
nents of the particle energy are the intragranular frictional
resistance, gravity, and chemical bonding. The most easily
detached particles are the medium and coarse noncohesive
particles. Cohesive clay particles have the highest resistance
to detachment because of the strong intraparticle ionic
bonds. The raindrop must carry enough kinetic energy to
overcome this intraparticle bond for detachment to occur.
Raindrops vary in size, with the largest diameters on the
order of 3/16-inch (5 mm). The velocity of the raindrop
depends on its size. As the diameter increases, the termi-
nal velocity increases up to a maximum of 30-mph (9 mis)
for larger raindrop sizes. Velocity and size are related to the
storm intensity. The following summarizes the relationship
between raindrop diameter, rainfall intensity, and velocity:
• As raindrop diameter increases, rainfall volume
increases.
• The average raindrop diameter increases for low- to
medium-intensity storms and decreases for higher-
intensity storms.
• As raindrop diameter increases, the terminal velocity
increases up to the limiting diameter of 6 mm.
The transport process begins with entrainment of the soil
particle. That is, the soil particle is "captured" and pulled
along by the combined effects of turbulence and momentum
of the fluid. Heavier sediment particles near the bottom of
the flow mass move by bouncing, sliding, or rolling. Flow
turbulence lifts the lighter sediment particles and transports
them in suspension. Whether the particle moves in suspen-
sion or along the bottom of the flow mass depends on the
velocity and turbulence of the water and the physical charac-
teristics of the particles themselves.
The common factor in detachment and transport is the
energy of the agent. Rainfall acts not only as a detaching
agent at impact but also as the transporting agent as runoff
in the erosion process. As runoff progresses through various
flow regimes, the erosion process is often exacerbated.
Sheet Flow. After the soil has been fully saturated, the rain
accumulates into small depressions on the order of only sev-
eral raindrop diameters deep. As the depression capacity is
exceeded, the first phase of runoff, referred to as sheet flow,
begins. On a macroscopic scale, sheet flow appears as a very
shallow uniform depth flowing over the area. On the scale
of a raindrop, it is a series of braided watercourses flowing
in very small unapparent channels. This type of flow usu-
ally lasts no more than several feet when the land cover is
denuded (bare soil) and only exists during the early part of
the rainstorm. Typical velocity for sheet flow is around 1 fps.
588 i@UH¥I F@Hi4Mii
Rill Flow. Water transforms from sheet flow into rill flow
as it moves downslope. As sheet flow depth increases beyond
several raindrop diameters, the runoff begins following in
more defined water courses several inches deep. This con-
centration of flow carries more momentum than sheet flow.
Consequently, the erosive power and turbulence of rill flow
is much higher than sheet flow. The relationship between
velocity, erosive power, and transport capacity of flowing
water is such that when the velocity doubles, the water breaks
loose 4 times more soil particles and transports 32 times
more sediment. Much soil erosion begins during rill flow.
Gullies. The next phase in the erosion process is the for-
mation of gullies. Gullies are significantly larger than rills.
These steep-sided watercourses with near vertical scarps
at the head may be several feet to 15 feet (and larger) deep,
twice as wide, and hundreds of feet long. Gully formation
results from the merging of many smaller depressions. Over-
land flow and rain splash soak the soil to the point where the
sides of these depressions erode away and slough to the bot-
tom of the depression. As the sides of adjacent depressions
wear away, the depressions combine as a larger one. The
gully enlarges as the upslope water flows through the gully
and further deepens it. Flows entering the head of the gully
have very high erosive energies. Erosion in this part of the
gully causes the movement of the gully to progress further
upslope. Figure 5.7A shows the relative velocity during the
various stages of the erosion process.
In land development projects, continuous grading and
construction operations prevent gully erosion, that is, unless
the site sits unprotected and remains unvegetated for very
long. Typically, this is not the case if judicious land plan-
ning management is exercised during construction. Most
eroded soil at construction sites occurs from sheet and rill
erosion. Studies have shown that construction sites can pro-
duce 1 cubic yard of sediment per 100 square feet of cleared
areas during a moderate storm event (over 400 cubic yard
FIG uRE 5 . 7A Relationship between runoff velocity and stages of
the erosion process.
per acre). This compares to estimates of a natural erosion
rate of 0.18 tons per acre per year in forestland and estimates
of agricultural erosion rates range from 0.3 to 6 tons per acre
per year.
Soil erosion is a progressive yet discontinuous process.
The soil particles are transported a fixed distance based on
the energy of the flowing water. Eventually, the particles will
again be entrained and transported further downstream
when higher erosive velocities recur. The following state-
ments summarize the relationship of soil erosion and rainfall:
• Average soil loss per rain event increases with the
intensity of the storm.
• Most erosion occurs from moderate storm events
producing 1 to 2½ inches of rain.
• The erosive power of water is related to the volume
and velocity created by the storm.
• Any storm, which effectively causes an increase in
either of these two parameters, will pose a high ero-
sion risk.
5.7.3. Factors Influencing Soil Erosion
The soil's erodibility (or propensity to erode) depends not
only on soil characteristics but also on the region's type of
vegetation, topography, and hydrologic conditions. The vari-
ability and nondeterministic nature of these factors adds to
the difficulty in quantifying soil erosion to a high degree of
certainty.
Soil Characteristics. Rainfall and flowing water erode the
soil only if the energy is high enough to dislodge, entrain,
and transport the soil particles. The minimum detachment,
or threshold, energy that holds the soil particles in place and
the energy required to start a particle in motion depend,
in part, on the physical and chemical characteristics of the
particle, which are directly related to the soil structure and
texture. Soil structure is the geometric arrangement of soil
particles with respect to each other, that is, how the soil par-
ticles interlock. Soil texture is a measure of the particle size
and gradation; it is the proportion of the sand, silt,1 and clay
content within the soil (see Chapter 2.5 for soil classification
information). Noncohesive granular soil particles (e.g., sand)
require the least energy for incipient motion. Clays and silts
are platy and have strong chemical bonds. Thus they require
high threshold energy for incipient motion; however, their
size (2 micrometers) makes them easily transportable once
they are in motion. Generally, once the threshold energy is
reached, the minimum energy to keep the particle in suspen-
sion or moving is considerably less. For those particles that
1A distinction should be made between the terms silt and sediment. The two words
are frequently used interchangeably although this is incorrect. In the classification of
soils, silt is the microscopic soil particles that consist of fine quartz grains and mica-
ceous minerals. All transported particles, regardless of size or formal classification,
are considered sediment.

move through rolling-bouncing-sliding motions, the more
round the particle the less energy required.
Two other factors that directly affect the erodibility of soil
are infiltration and permeability rate. Soils that have high
infiltration capacities and permeability rates are generally
less erodible. These soils are able to absorb runoff conse-
quently reducing the available energy to surface soil parti-
cles. However, storms of sufficient duration will eventually
exceed the soil's infiltration capacity. Once this happens, the
soil becomes saturated and the benefits of the highly perme-
able soil are temporarily lost.
The following statements summarize the relationship
between erodibility and soil texture:
• Soils containing high percentages of silts and sands
are the most erodible. Their erodibility is magnified
when these soils appear on steep slopes.
• Clean, well-drained, well-graded gravels are the least
erodible. These soils have a high resistance to erosion
because of their combination of cohesive and inter-
granular strength.
• Higher-clay-content soils are less erodible except the
unstable clays, such as illite and montmorillonite,
which have low infiltration capacities and are highly
susceptible to erosion.
• Soils with high organics are more permeable, which
allows for infiltration of higher amounts of rainwater
and are more resistant to detachment.
Vegetation. Vegetation is perhaps the most important fac-
tor in reducing soil erosion. Leaves, branches, and stems
reduce the kinetic energy of the raindrop and thus reduce
detachment. Some forms of vegetation are more effective at
dampening the kinetic energy than others. Ideally, the most
effective vegetation would be strong enough to absorb the
initial kinetic energy and close enough to the ground such
that the subsequent kinetic energy of the collected secondary
droplets is minimal.
At the ground surface, the organic litter and other plant
debris reduce erosion in two distinct ways: they act as an
additional energy-absorbing barrier, and the layer and the
shade from the foliage canopy reduce soil moisture evapora-
tion. Moderate amounts of soil moisture enhance the stabil-
ity of the soil aggregates.
Below the ground surface, the root system acts as a deter-
rent for erosion. Nearly 75% of the root system is located
in the upper 12 inches of the soil. The root system along
with the surface debris roughens the ground surface. These
ground surface irregularities reduce flow velocity and dissi-
pate flow energy, the consequences of which are a decrease
in erosivity and the deposition of entrained particles. The
increase in depression storage from the irregularities reduces
runoff volume, which reduces erosion potential.
Soil Erosion on Slopes. Soil erosion rates are higher on
slopes, with the highest erosion intensities occurring on
5.7 ■ EROSION AND SEDIMENT CONTROL 589
convex slopes. Factors such as slope length, gradient, and geo-
metric configuration all affect erosion potential. Because of
the slope, rain splash dispenses more soil particles downslope
than upslope. The amount dispensed downslope increases
with slope gradient. For slopes of uniform gradient, the volume
and velocity of the runoff increase as slope gradient and length
increase. The tangential stress of the flowing water combined
with the gravity component of the weight of the water in the
direction of flow greatly increases erosion potential.
Soil Erosion from Snowmelt. Although the impact of fall-
ing snow does not contribute to the detachment of soil par-
ticles, the subsequent snowmelt and freeze-thaw cycles at
certain times of the year can have dramatic erosive effects.
As snow melts, it saturates the surface layer of the soil. If the
immediate sublayers of the soil are nearly frozen, permeabil-
ity and infiltration capacities are significantly reduced result-
ing in a heavily saturated top layer or slurry. As the thaw
continues, this soil slurry easily washes downslope with the
snowmelt. At the next freeze-thaw cycle, the process repeats
itself with the next available soil layer.
5.7.4. Factors Influencing Coastal Erosion
Nature's ability to shape the landscape is most apparent on
the coastline. The forces of waves, tides, and currents are
constantly and sometimes dramatically altering the shore-
line. Variables that influence the erosion process include
the frequency and intensity of storms, sediment supply,
the characteristics of the near-shore sea bottom, and land
management.
Coastal erosion, like soil erosion and the sedimentation
process, is a natural process that shapes the features of the
earth. As discussed previously, land development can accel-
erate the process of soil erosion, which leads to a degradation
in water quality, increasing flood hazards, and a reduction
in hydraulic capacity and storage. Likewise, development
of land compounds the coastal erosion process by creating
static features in a dynamic environment. Development in
close proximity to the shoreline is exposed to wave, wind,
and flooding hazards, and therefore has a high potential for
property damage. Despite the complex dynamics of the ero-
sion process along the coastline and the development haz-
ards it creates, the demand for view and waterfront property
creates strong pressure for development. According to a 2010
report from the National Oceanic and Atmospheric Admin-
istration (NOAA), about 39% of the population lives within
50 miles of the coast-a population that increased by almost
40% over 40 years.
In general, coastal erosion can be classified into two
general categories: storm-induced and long-term. Storm-
induced erosion, such as due to a hurricane, northeaster, or
tsunami, tends to have larger-scale changes, including shore-
line retreat, dune erosion, and dune removal. In extreme
events, such as category 4 and 5 hurricanes, barrier islands
can be overwashed and flattened, completely inundated, or
breaches can occur where barrier islands are narrow and low
lying. For mainland beaches, the dune field would experience
590 i@UH¥I F@Hi4Mii
severe erosion and removal, eventually exposing landward
properties to wave impacts depending on dune volume, and
the height and duration of the storm surge. The magnitude
of storm erosion is dependent of the intensity and duration
of the event. The USGS photos in Figure 5.7B depicts the
impacts of Hurricane Sandy on Mantoloking in New Jersey.
Storm-induced erosion response tends to have a high degree
of spatial variability: it is dependent on the nearshore con-
figuration of the seafloor, the width of the beach, and the size
of the dune field prior to the storm.
Long-term erosion can be a result of several factors,
including, but not limited to, sea-level rise, subsidence, and,
most importantly, localized or regional deficits in sediment
supply. Coastal erosion and shoreline retreat due to these
factors can vary from one to tens of feet per year, depend-
ing on the factors involved. Many communities have insti-
tuted coastal setback statutes to balance development with
the expected future position of the shoreline. Such statutes
take the calculated annual rate of long-term coastal retreat
and delineate a regulatory line, and new development is lim-
ited to areas landward of the line. This type of regulation is
especially important in areas where long-term retreat rates
are higher, as properties that appear to be protected by the
fronting beach and dune field may be threatened in the near
future.
Waves. Wave motion is the most important force in the
natural process of accretion and erosion of a shoreline. Waves
form as a result of wind moving over the ocean or water body
surface. The characteristics of waves depend on wind veloc-
ity, duration, and amount of unobstructed water surface,
referred to as "fetch:' Energy is transferred in the path of
the wave until the wave encounters shallow water. When the
water depth becomes approximately half of the wavelength
(distance between wave crests), the wave will begin to "shoal"
and dissipate energy. As the water depth decreases, the wave
height will increase until the breaking depth is encountered,
and at that point, the wave energy will be released as the wave
collapses. Beaches fronted by extensive shallow areas, such
as reefs, are subject to less wave energy due to wave shoaling
and breaking.
Wave height and wave steepness are the most impor-
tant factors for determining the potential for erosion. Wave
energy is proportional to wave height; the higher the wave, the
greater the potential for transporting material. The potential

. -"!:~.,.:..~ s North beach profile

." ·. · ._- . · . . . : .'-... Beach

. .·.·;•_· . . . _. ~
. . -..
I • ~ : ... • • •

• • ,I •

Adjustment for large waves

I•••

, I I ', • ~• : , 10 : •

.... .
...

. .'-'"..-:~; ~

_. ·.·
.·. , :··.· · ·. ·.. ·-~
-
..:•. ~--:-. ·:.
Coastal dunes and □ · · •
.' ·,· beach store sand until □ •. -
:""
-~
w dunes
Recovery

· , ·next large wave event .·

• • • • • • 1• • •,•I

Large waves, which tend to occur seasonally

in Hawaii, cause a beach to temporarily □
change its profile.
FIG uRE 5 . 7 B Impacts of Hurricane Sandy on Mantoloking,
New Jersey. The area was completely inundated by the hurricane storm.
Green arrows identify the common reference point before and after. FIG uRE 5. 7 C Seasonal beach profile adjustments.

for moving material on or offshore is dependent of the wave
steepness. Steeper waves will tend to transport material off-
shore, whereas less steep waves will move material onshore.
Thus, smaller waves can have a greater erosive impact than
larger waves, depending on the wave steepness.
Beaches may experience seasonal cycles that are a direct
reflection of changing wave conditions through the year, in
particular, wave steepness. During late summer and early
fall, beaches are typically in peak condition, due to typically
fair conditions through the summer months that produce
small, long-period low steepness waves known as "swell:'
Through the winter months, storminess increases, produc-
ing higher, shorter period steep waves, which erode and flat-
ten the beach and transport material out to the offshore bar.
During the late spring and summer months, swell waves pre-
dominate, gradually moving this material back onshore and
restoring the beach to peak conditions. This cycle is also rel-
evant to short-term beach evolution during and after storm
events.
Tides. The gravitational effects of the sun and the moon
in relation to the earth cause tides. The ebb and flow of tides
produces regular changes in the level of the sea along the
coast and generates tidal currents. The influence of tides on
beaches depends on tide range, which determines the zone
over which wave action can operate.
Currents. Currents, the continuous movement of the water
because of specific forces, have the capacity to carry large
amounts of sedimentary material. Currents may or may
not play a part in beach erosion, depending on the type of
current, the flow velocity, duration, and location. Tidal and
wave currents provide the greatest impacts, with longshore
sediment transport, the lateral transport of beach sediments
along the coast, and tidal currents at inlets being the most
significant to coastal erosion.
Waves approaching the shoreline at an angle induce what
is known as longshore current. The height and angle of the
approaching waves are the most important factors in deter-
mining the strength of the current. The higher the waves and
the greater the angle to shore, the stronger the current and the
greater the potential for sediment transport along the coast.
The actual amount of transported material is dependent on
the sediment supply and sediment grain size. The direction
oflongshore transport shifts with the predominant direction
of wave energy. Seasonal changes in wave climate can result
in reversals of longshore current along the coast. The total
amount of material transported is known as the gross long-
shore transport, while net longshore transport refers to the
amount of material transported in the dominant direction
of transport. Changes in the nearshore bottom configuration
can result in gradients in longshore transport. For example,
a localized reach of shoreline with a deeper seafloor than
adjacent areas would have a greater amount of wave energy
closer to shore, resulting in a localized increase in the rate
oflongshore sediment transport. This area would experience
a net loss of sediment as the amount of material removed
would be greater than the amount coming in. Gradients can
5.7 ■ EROSION AND SEDIMENT CONTROL 591
also be a result oflocalized and regional changes in shoreline
orientation.
Tidal currents at inlets (hydraulic connections between
the ocean and another water body, such as a lagoon, bay,
or sound) are the most frequent cause of erosion associated
with currents. As tidal forces move water through an inlet,
current velocities increase as the water is driven through the
constricted opening. The increased water velocity scours
sediment from the seabed and causes the channel to migrate
if the entrance is not stabilized by jetties. Migration of the
channel can eventually cause the current to come into close
proximity with adjacent landforms and induce erosion.
Human-Induced Factors. Erosion can be accelerated by
human alterations to the coastline. Hardening a coastline
with structures can interfere with the natural movement
of sediments in the complex coastal system (Figure 5.7D).
Often, attempts to reduce erosion and stabilize one area of
the coast result in increased erosion rates elsewhere. Beaches
downdrift of groins and jetties are prone to erosion, as the
structures interfere with the longshore transport of mate-
rial. As a retreating beach encounters a seawall or revetment,
it can no longer draw upon the landward sand supply and
the fronting beach will become severely eroded. Human-
induced impacts on the natural vegetation of a dune system
reduce the coasts natural ability to trap and retain material
and decreases the stability of the dune.
5.7.5. Evaluation of Coastal Erosion
Coastal erosion is typically evaluated through shoreline
change, cross-sectional change, and sediment budget analy-
sis. Shoreline change analysis involves compiling available
historical aerial photographs for the study area, digitizing
shorelines, establishing a baseline, and then determining
change rates between the sample dates relative to the base-
line. End-member and linear regression analyses are then
conducted on the shoreline positions to determine change
rates over the period of interest. Care must be taken that
the photographs are generally at the same time of year to
avoid seasonal fluctuations of the shoreline that may influ-
ence the accuracy of results. One must also ensure that the
digitized feature, typically the mean high water line, is con-
sistent across the set of imagery. Photographs taken after
storms events should be avoided, as they could also skew the
analysis.
Cross-sectional profiles for coastal monitoring are typi-
cally collected on an annual basis. Profiles are analyzed for
key parameters, typically volumetric changes of the beach
and dune. Results are then compared to previous data to
establish trends and to identify areas of higher vulnerability.
Sediment budgets provide a comprehensive assessment of
sediment movement. These assessments begin with a con-
ceptual model of all sediment inputs and deficits in the area
of study. The study area is broken into a series oflittoral cells,
where quantifiable sediment fluxes are then assimilated in
a reservoir model approach. Cells are delineated by nodes
in longshore transport, by structures, inlets, or headlands.
592 i@UH¥I F@Hi4Mii
FIG uRE 5. 7 D Shoreline hardening and beach loss-groin field in Westhampton, New York, 1988. (Aerial photograph courtesy of the U.S. Army
Corps of Engineers.)
Fluxes in and out of each cells are tallied and balanced to
determine a best estimate of sediment transport direction
and magnitude. Sediment budgets serve as an informative
tool to determine the impact of changes in inputs to the sys-
tem as a whole (such as how constructing a dam on a river
would impact erosion rates for coastal areas adjacent to the
river mouth in the following 10 to 100 years).
5.7.6. Estimating Erosion
Although it is not common to have to quantify erosion,
there are several methodologies commonly employed that
the engineer should be aware of including their appropriate
application and limitations.
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. Department of Agriculture. It was ini-
tially developed for agricultural purposes and since has been
adapted to apply to construction sites. The USLE applies to
relatively large homogeneous soil areas and is based on long-
term averages of rainfall and soil losses from runoff directly
on the slope. It does not estimate deposition, nor does it esti-
mate sediment yield at a downstream location. The USLE
estimates the annual tonnage of soil eroded from the site
attributed 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. Soil
erosion is the amount of soil moved by natural forces. 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 sediment yield
farther downslope because of deposition that occurs between
the point in question and the base of the slope. Not all eroded
soil qualifies as soil loss either. Eroded soil may be redepos-
ited before it leaves the slope, and therefore does not factor
into soil loss quantity. The USLE is
A= Rx Kx (LS) x Cx P (5.7A)
where A is the average annual soil loss from sheet and rill
erosion measured in tons per acre. The remaining terms of
the equation are the following: R is the rainfall erosion index,
K is the soil erodibility factor, LS is the length-slope factor,
C is the cover factor, and P is the erosion control practice
factor. Detailed information including data tables, support-
ing equations, and mapping for determination of the various
USLE terms is found in the USDA's Agriculture Handbook
No. 537 available online.
Morphological features of agricultural land are different
from urbanized developing land. Agricultural land typically
is characterized by relatively long, regular, gentle slopes,
whereas construction sites may have discontinuous and
irregular land patterns. The land patterns of a construction
site are a combination of steep slopes, sharp breaks, excava-
tion holes, and mounded piles of excavation soil. Since the
USLE measures average annual soil loss, the erosion from
the relatively short-term denuding-stabilization sequence,
typical of a construction site, may not be indicative of the
value obtained from the USLE. Runoff from an area above a
disturbed slope was not a factor in establishing the USLE, yet
runoff from upslope areas does occur on construction sites.

Therefore, use of the USLE, especially for construction sites,
requires the site area to be broken down into homogeneous
areas. The USLE should be applied to each individual area,
with the sum being more representative of the soil erosion
estimate.
The use of the USLE provides an estimate of the
erosion potential of a site. Using the USLE to compare
different practices at a construction site is appropriate;
however, using the USLE to compare one construction site
to another is not recommended. Furthermore, the equa-
tion is unable to account for the deposition that occurs in
the nonhomogeneous irregular land forms typical of land
development projects. Not all sediment eroded from a site
can be classified as soil loss relative to the boundaries of
the site, since some soil is redeposited on-site from natu-
ral deposition.
The Revised Universal Soil Loss Equation. The revised
universal soil loss equation (RUSLE) is a widely used com-
puter program developed by the USDA-Agricultural
Research Service to estimate rates of soil erosion caused by
rainfall and associated overland flow. The RUSLE, while
still using the same terms, incorporates data and additional
theory for describing hydrologic and erosion processes not
included in the original USLE. The new data and additional
theory have allowed for additional refinement of the evaluat-
ing terms to suit conditions that are more specific.
Water Erosion Prediction Project. The Water Erosion Pre-
diction Project (WEPP) soil erosion model was developed
by an interagency group consisting of the USDA-Natural
Resources Conservation Service, USDA-Forest Service,
USDI-Bureau of Land Management, and others involved in
soil and water conservation and environmental land plan -
ning and assessment. WEPP was completed to replace the
USLE and its subsequent updates (RUSLE). The USLE is
applicable for predicting sheet and rill erosion. The WEPP
model's overland flow profile simulations are applicable to
sheet and rill erosion, while its watershed simulations are
applicable to field situations with multiple profiles, gullies or
grassed waterways, and impoundments.
5.7.7. Consequences of Excessive Erosion
Various types of nutrients and toxicants become attached to
the surface of soil particles and, when carried into streams,
lakes, and other water bodies, their effect can be detrimen -
tal to aquatic ecosystems. Other effects of sedimentation
include reduced hydraulic capacity of streams resulting in
higher flood elevations and loss of storage volume in lakes
and ponds. At a more local scale, excessive and uncontrolled
erosion can cause damage to adjacent properties such as
lawns and landscaped areas, trees, sidewalks, and walkways,
which can cause projects to be shut down as well as costly
fines and repairs imposed.
Water Quality Degradation. High concentrations of natu-
ral soil nutrients, such as phosphorus, nitrogen, and their
compounds, reside in the upper layers of soils. Clearing and
5.7 ■ EROSION AND SEDIMENT CONTROL 593
grading operations expose much of these surface soils so
that runoff carries the nutrient laden sediment into streams,
lakes, and ponds increasing the turbidity levels and accel-
erating the eutrophication process. The adverse effects of
excessive sediments and adsorbed compounds can extend to
the ecosystems at the water's surface, which rely on the water
as part of their life support.
The injection of excessive sediments into the watercourse
increases the turbidity, which reduces the amount of sunlight
dispersed throughout the water. Decreased sunlight in the
water creates fluctuations in the dissolved oxygen content and
thermal stratification in the water. Aquatic life thrives within
small variations of thermal conditions and requires specific
amounts of dissolved oxygen: their existence depends on a
stable environment.
Nutrients conveyed by sediment promote algae ("algae
bloom'') and bacteria growth. A chain reaction begins with
the proliferation of algae due to the abundance of phospho-
rus, commonly known as the "limiting nutrient:' As the algae
propagate, they block sunlight to deeper areas of the water
body. As the algae, die off, and fall to the bottom of the pond,
bacteria decompose the algae consuming dissolved oxygen
in the process and depriving other organisms of much
needed oxygen. Because of the reduction in dissolved oxygen
levels, blocked sunlight and changes in temperature and tur-
bidity, aquatic organisms are either driven away or die off.
While these impacts most immediately affect the benthic
organisms and their deep zone or bottom habitats, as these
organisms die off, their loss can greatly affect other creatures
higher in the food chain. Many fish and shellfish feed on
these benthic organisms, while underwater grasses serve as
breeding grounds and shelter for young fish and shellfish.
The disappearance of these habitats results in "dead zones"
within the water body.
Reduction in Hydraulic Capacity and Storage. Many
reaches of natural streams are in a state of equilibrium bal-
ancing the water and sediment loads over a given period.
When the balance is disrupted, the stream compensates by
aggrading or degrading the bed and banks. Adding more
sediment than the stream can convey causes deposition
of sediments (aggradation). If the imbalance causes the
stream section to carry less sediment than naturally sup-
plied, the bed and banks begin to erode (degradation) to
make up for the deficit. In each case the channel's hydraulic
characteristics change, affecting the water level and associ-
ated floodplain along the entire watercourse. In the case of
an aggrading stream, the water level tends to rise; thus, the
likelihood of causing adjacent property damage as a result of
flooding is increased. In the case of a degrading stream, huge
loads of sediment can be released downstream. As the chan-
nel bank becomes destabilized, more bank failure is likely
to occur until a stable angle of repose is achieved. The loss
of streambank can affect adjacent property owners twofold
by reducing the amount of land available for development
as property is literally "washed away" and by potentially
594 i@UH¥I F@Hi4Mii
increasing the likelihood of flooding as the channel has now
migrated closer to the structure.
Sedimentation is not restricted to open channels; many
land development projects incorporate lakes and ponds
into the stormwater management design for control of
post-development runoff. Proper operation of these ponds
depends on adequate storage volume to accommodate
the excess runoff generated by development. Excessive
sediment loads to these small ponds results in decreased
capacity and significantly increased maintenance costs for
dredging.
5.7.8. Benefits of Erosion and Sediment Controls
Aside from protecting the natural environment and pre-
serving the habitat of all creatures that use water resources
(including humans who fish, swim, and enjoy aquatic activi-
ties), there are several other practical reasons for implement-
ing proper erosion and sediment controls. They include
• Reducing the loss of topsoil. If the topsoil washes
offsite, the expense of hauling additional replacement
topsoil for final stabilization can be costly.
• Protecting adjacent/downstream property owners
from construction damage. If sediment from the
site washes downstream onto someone else's prop-
erty, significant clean up expenses may be incurred
and the construction site will likely be temporarily
shut down by the regulatory agency (a huge loss in
productivity). Worse yet, if wetlands or other envi-
ronmentally sensitive areas are damaged, severe
penalties from State and Federal agencies for nonper-
mitted impacts are often issued and these areas are
very difficult and labor intensive to clean.
• Erosion and sediment control plans are required
for permits. Many states and local jurisdictions
require erosion and sediment control plans for the
issuance of construction and grading permits. The
National Pollution Discharge Elimination System
(NPDES) Phase I and II permit requirements that
evolved from the Clean Water Act of 1972 require
an erosion and sediment control plan for any con-
struction site over 1 acre (refer to Chapters 2.5
and 6.1). In some environmentally sensitive areas
local ordinances have reduced this threshold even
further.
• If the project is pursuing a third party green building
certification an Erosion and Sediment Control plan,
is often a prerequisite, that is, it is mandatory for any
level of certification.
• Careful planning and implementation of the sedi-
ment control plans can result in cost savings. By sta-
bilizing newly graded areas you can reduce/prevent
erosion and rework having to go back and regrade
failed or eroded areas and slopes.
5.7.9. Erosion Control Best Management Practices2
Erosion control best management practices (BMPs) limit the
amount of soil eroded from a site and indirectly control the
sedimentation process as well. The objective is to prevent
erosion on the site by controlling the energy, velocity, and
volume of runoff. These measures share common practices
associated with permeant stormwater management systems
(as described in Chapter 3.5 and Appendix 7.2) for final
development conditions.
Erosion control BMPs fall into three general categories:
I. Site management measures limit erosion through
judicious site planning and sequencing of construc-
tion operations.
2. Soil stabilization measures, either vegetative or non-
vegetative, decrease the erosion potential of the soil.
3. Structural measures, which take on various forms of
devices, intercept and divert the runoff to stabilized
collection areas or dissipate runoff energy.
Each of the above measures can be classified as either a tem-
porary or permanent control. Temporary measures function
for durations no longer than the construction period. Their
purpose is to control erosion only until the immediate area is
stabilized before they are removed. Although these temporary
measures usually have low initial costs for installation, they
have high maintenance costs due to the nondurable materials
used. Permanent measures, which have higher initial costs for
construction, are justified when considering the reduced main-
tenance costs and the longevity of the structure. The higher
costs are attributed to the more durable materials and the detail
involved in the design and construction of the device. The type
of control selected is dependent upon the method of construc-
tion and the physical characteristics of the site.
Site Management Measures. Site management pertains to
the general planning and scheduling of construction opera-
tions to reduce the site's erosion potential for the duration
of the project. Careful site management can eliminate many
potential erosion and sedimentation problems by preventing
them from occurring in the first place.
Site Planning. The first and most effective measure for
reducing the erosion potential of a site is limiting the amount
of area disturbed. Erosion rates can be controlled by avoiding
impacts to steep slopes (slopes greater than 15%) and highly
erodible soils. Consider the use of retaining walls to reduce the
development footprint and minimize impacts to these areas.
Preserve natural drainage features and environmentally sensi-
tive areas, thus preserving natural vegetation and other areas
that filter runoff and reduce erosion potential. Create and
retain buffer zones to the environmentally sensitive areas to
2Some localities refer to best management practices (BMPs) when describing mea-
sures taken to remove soluble chemicals from stormwater runoff (SWM BMPs). In a
broader sense, many other localities and the Environmental Protection Agency refer
to all measures designed to improve water quality as BMPs, including those with the
primary purpose of removing suspended sediment from stormwater runoff.

protect these areas from the adverse impacts of development;
prohibit clearing and grading within these buffer zones. Clus-
tering of units in a smaller land area is a planning tool which
allows for the implementation of more effective perimeter
erosion and sediment controls during construction, preserva-
tion of natural drainage features and environmentally sensi-
tive areas, while minimizing the amount of impervious area
with reduced road lengths and parking areas. Reductions in
the amount of impervious area protect the site's natural ability
to filter and convey storm runoff. The use of porous paving
materials and the reduction of building setbacks are planning
measures that will reduce impervious area. The objective in
this initial stage of site planning is to disturb the smallest area
possible while developing the site in order to reduce erosion
and offsite transport of sediment.
Limiting Denuded Area. The next step to take after reduc-
ing the area of disturbance is to consider if the construction
of the site can be staged to avoid area-wide clearing (denud-
ing of the site). It is difficult to recommend a rule of thumb to
use for the maximum amount of area allowed to be denuded.
Most localities have a set limit, by ordinance, on the amount
of area that may be denuded at any one time. While other
localities limit the extent of time a disturbed area can remain
unworked without stabilization by mulch or temporary
vegetation. This limit is often set at 14 days with reduced
time limits (7 days) in critical areas, such as steep slopes. In
those instances where there are no local criteria, or where
the criteria do not apply, the engineer must rely on experi-
ence and judgment. The engineer must be sensitive to both
the environmental consequences and the cost-effectiveness
of construction processes when developing a recommended
sequence of construction to accompany E&S plans.
On one extreme, it is impractical for a builder to denude
a 100-acre parcel if they can effectively work in only 5- to
10-acre sections at a time. The other extreme is when the
amount of disturbed land is so limited that the builder is
restricted in his/her ability to perform the task resulting in
substantial increases in the construction cost. The amount of
land that is workable on a steady basis by the builder varies
from project to project and from builder to builder. Limit-
ing the amount of denuded area at one time is practical for
projects that have sufficient area to allow for such phasing.
Sequence of Construction. After the initial site plan -
ning measures are incorporated, the engineer should begin
preparation of a sequence of construction. The sequence
of construction is the formal guidance to the contractor on
how to construct the project with respect to E&S measures.
The sequence is prepared by the engineer in the form of a
sequential outline of the construction process detailing how
the construction activities are to proceed while providing
flexibility for the contractor. All sequences specifically detail
when erosion and sediment controls are to be installed or
removed (i.e., install perimeter controls prior to beginning
rough grading operations, or stabilize upstream drainage
areas prior to removal of inlet protection devices) and when
stabilization/ construction operations should occur (usually
5.7 ■ EROSION AND SEDIMENT CONTROL 595
grading operations begin after erosion control devices are
in place and once the phase/section is completed, the area
must be stabilized before proceeding to the next phase).
The Sequence is typically found along with other notes on
the erosion and sediment control plan sheets. Additional
notes on the plans, or in the erosion control device details,
will specify a maintenance schedule for the inspection and
upkeep of erosion and sediment control devices.
For complex construction situations, the engineer may
decide to meet with the contractor before specifying con-
struction staging or land phasing in the sequence of con-
struction. During this meeting, the engineer can acquaint
themselves with the contractor's approach for staging and
phasing of the project. The two parties can then work toward
establishing a sequence of construction that meets the devel-
oper's needs and provides flexibility to the contractor, while
protecting the environment and meeting regulatory require-
ments at the same time.
Revisions to the Sequence of Construction. Construction
operations are subject to weather conditions and availability
of materials and subcontractors. Also, site conditions (high
groundwater, bad topography) or an oversight in the plans
may require the contractor to adjust the sequence or modify
the sediment control plans. However, this can only be done
with the regulatory agency approval. The process for obtain-
ing approval of revisions varies depending on the agency
and type of change proposed. The contractor is strongly
encouraged to discuss the revision procedure with the reg-
ulatory agency prior to beginning any construction activi-
ties to establish the proper protocol and avoid costly delays.
Typically, minor changes can usually be solved in the field
through collaboration with the jurisdiction's field inspector,
while major design alterations may require formal engineer-
ing plan review. One should not avoid seeking revisions if
better protection of the environment can be achieved and
if significant cost savings can be realized. Most regulatory
agencies want to work with the builder/contractor to meet
their goals and will, in appropriate situations where environ-
mental considerations warrant, expedite the process.
Soil Stabilization Measures. Soil stabilization measures
are nonstructural controls that prevent erosion by absorbing
rainfall energy, reducing overland flow velocity, increasing
infiltration, helping to retain soil moisture, and are even used
to bind the soil particles together to stabilize the soil.
Soil stabilization measures include
• Vegetative ground covers such as grass seeding, straw,
wood chips, and shredded bark
• Synthetic alternatives (often biodegradable) such as
binders or soil stabilization nets or matting
Grass and Mulch. The preferable form of vegetative ground
cover, where sufficient rainfall is available, is grass. It is the
easiest and fastest to install and, relative to other forms of veg-
etative covers, it has low maintenance costs. Grass seed mix-
tures are regionally developed to suit climate, soil conditions,
59& i@UH¥I F@Hi4Mii
and maintenance expectations. Some species of grass are not
recommended for steep slopes or other special conditions.
Local design manuals, soil conservation district offices, and,
often, the extension service of a local university provide plant-
ing information. Of primary importance when installing
the grass seed is the need to keep the seed from washing or
blowing away. This can be ensured by proper soil preparation
with appropriate fertilizers and roughening the soil surface to
promote germination. Mulches are then added, as a tempo-
rary cover, to protect the grass seed while it is germinating.
Additionally, mulches provide temporary surface soil stabi-
lization until the grass can grow and stabilize the area. The
most commonly used mulches are hay and straw. For maxi-
mum effectiveness, these mulches must be tacked, usually
with hydromulch, to prevent the wind from blowing it away.
Grasses can be permanent or temporary. Temporary grass
should be used if the site will be redisturbed within a rela-
tively short period of time, commonly 1 month to a year as
these grasses usually are grown for just one growing season.
For long term (more than 1 year to remain undisturbed) or
final stabilization, permanent grasses should be used. The
type of grass species selected should consider future mainte-
nance requirements-is this on a steep slope that might not
be mowed frequently so that the grass species selected should
only grow to a certain height or will this area be regularly
maintained? Maintenance equipment (mowers, tractors) are
difficult to operate on slopes steeper than 4H:1 V. Although
steep slopes optimize land use, they also make maintenance
difficult. In general, the steeper the slopes the less frequently
maintenance operations should be expected. Although the
easiest form of grass is seeding, sprigging and sodding are
TAB LE 5 . 7 A Organic Mulch Materials and Application Rates
RATES
MULCHES PER ACRE
Straw or hay 11/2-2 tons
(Minimum 2 tons for
winter cover)
Fiber mulch Minimum 1500 lb
Corn stalks 4-6 tons
Wood chips 4-6 tons
Bark chips or 50-70 yd 3
shredded bark
*When fiber mulch is the only available mulch during periods when straw should be used, apply at a minimum rate of 2000 lb/ac or 45 lb/1000112.
other methods used to establish grass cover. Table 5.7A lists
selected mulches and the recommended rates of application.
Soil Binders. Soil binders are chemicals and synthetic
materials sprayed onto the soil surface in order to bind the
soil particles together or to protect seeding and sprigs from
washing away. These are emulsions or dispersions of vinyl
compounds, rubber, or other substances that are mixed with
water and applied to the soil. Soil binders are most effective
when sprayed over an organic mulch to keep it from blowing
away. Alone, soil binders do not have the capability to insu-
late or retain moisture and are easily damaged by traffic. The
soil binders decay within 60 to 90 days of application.
Soil Stabilization Nets and Mattings. Nets and mats are
also a form of ground cover. Nets are a heavy uniformly
woven cloth, most notably jute yarn. Soil stabilization mat-
tings are porous materials that are sometimes referred to as
erosion control blankets. The mattings are used when ero-
sion is likely to occur and wash away the soil before vegeta-
tion can be established. Soil stabilization mattings are made
of either natural degradable materials such as coir fiber or
straw in a natural netting that is used for a short duration
until vegetation is established and then the matting will have
degraded away. Alternatively, they can be made of permanent
synthetic materials for use in high velocity areas to provide
permanent stabilization even after vegetation has been estab-
lished. The mattings are rolled over the newly graded and
seeded area to prevent the seed and soil from washing away
during rain events. To be effective, nets and mats should be
in contact with the soil surface and anchored securely.
Soil Bioengineering. Historically, methods of controlling
slope erosion, stream flow and wave induced erosion have
PER 1000 Fr2 NOTES
70-90Ib Free from weeds and coarse matter. Must be anchored.
Spread with mulch blower or by hand.
35Ib Do not use as mulch for winter cover or during hot, dry
periods.* Apply as slurry.
185-275 lb Cut or shredded in 4-6 in lengths. Air-dried. Do not use
in fine turf areas. Apply with mulch blower or by hand.
185-275 lb Free of coarse matter. Air-dried. Treat with 12 lb nitro-
gen per ton. Do not use in fine turf areas. Apply with
mulch blower, chip handler, or by hand.
1-2 yd 3 Free of coarse matter. Air-dried. Do not use in fine
turf areas. Apply with mulch blower, chip handler, or by
hand.
 5.7 ■ EROSION AND SEDIMENT CONTROL 597

included structural practices like riprap, sheet piles, and reduced construction access requirements; and limited
retaining walls. These traditional approaches are often not maintenance costs. Soil bioengineering is a diverse, multidis-
effective in environmentally sensitive areas when the objec- ciplinary, and rapidly growing field requiring the knowledge
tive is to limit disturbance and preserve the aesthetic qual- of engineers, botanists, horticulturists, hydrologists, soil
ity of the natural setting. Soil bioengineering techniques use scientists, and construction contractors. Soil bioengineer-
combinations of live vegetation, sometimes in conjunction ing uses vegetation to reduce erosion, offsite sedimentation,
with structural practices, to achieve erosion protection. The runoff velocities, and promotion of runoff infiltration.
advantages of soil bioengineering solutions include envi- Examples of soil bioengineering techniques (Figure 5.7E)
ronmental benefits of protected/enhanced wildlife habitat, include contour wattling, brush layering, branch packing,
improved water quality, and aesthetics; improved strength and coir fiber rolls. Guidance on the application and con-
and stability over time as vegetation becomes established; struction of these techniques can be found in the USDA

(0NSmlJCTl0N GIJIOWNES
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..........
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-·
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(Oto81nch..\t: NSCI', A.T INTtRVAI.S 0N C0NT0UR OR AT AR AHGIJi: UP 1HiE

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DETAIL LIVE FASCTNES
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\'11tllf SLD'ES STEEPER TIWf 2.5:l SHOUJ:I Ho\Vf ~
ME:SK OR SlMl1AA MATERlAL PlxBl iN ADCl'T'IOH TO THE
MUI.Ck.

FIGURE 5. 7E Soil bioengineering techniques.

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::~:;-i;-:--"
DETAIL JOINT PLANTING

FIGURE 5. 7E (Continued)

598

Natural Resources Conservation Service (NRCS) Engineering
Field Handbook.
• Contour wattling is used to break long slopes into
shorter slopes by planting bundles oflive branch cut-
tings (called wattles or fascines) in shallow trenches
at regular contour intervals along the slope. After
staking the wattles in place with either live or dead
stakes, only the top of the wattle is exposed. When
installed properly and cut from native plants, they
will root and immediately begin to stabilize the slope.
The selection of native planting material will provide
the best chance of survival for the vegetation and
subsequent stabilization of the slope.
• Brush layering is another method of restoring slopes
by constructing a fill slope of alternating layers of
live branches and soil, creating a series of reinforced
benches. Brush layering is similar to contour wattling
except the branches are oriented perpendicular to the
slope. The brush layers are placed along small 2- to
3-foot-wide benches cut into the slope. The practice
is recommended for slopes up to 2: 1 and not greater
than 15 feet in vertical height.
• Branch Packing is a concentrated use of brush layer-
ing to repair small, localized areas of slope failure or
slumps. Branchpacking is most effective in slumps
or holes less than 4 feet deep and 5 feet wide. The
cuttings or live stakes are installed similarly to those
in a brush layering system and supplemented with
wooden stakes to stabilize the area.
• Coir fiber rolls are tightly bound cylinders of coconut
fiber (coir fiber) held together by a coir fiber net-
ting. They are generally available in 10- to 20-foot
lengths and are 10 to 12 inches in diameter. The
rolls are installed at the toe of slopes and are used to
restore streambanks and wetlands where a natural
look is desired. They are excellent at providing toe
protection where scour is not severe. Once installed,
the coir fiber log becomes saturated with water and
vegetation can be planted directly in them. Coir
fiber rolls provide a natural, unobtrusive appearance
while immediately stabilizing the toe of the slope.
Over a 3- to 6-year period, the coir decomposes
leaving the roots of the by then, established vegeta-
tion, to secure the toe of the streambank. They are
relatively lightweight (IO-foot length= 75 pounds)
and can be installed with minimum site disturbance.
The only limitations to coir fiber rolls are that in
areas of severe bank scour they are not appropriate
and there must be enough sunlight available to pro-
mote plant growth.
• Coir fiber rolls are installed by excavating a shal-
low (3 to 4 inches deep) trench along the toe of
5.7 ■ EROSION AND SEDIMENT CONTROL 599
the stream bank. The coir fiber log is placed in the
trench so that the bottom and back are in contact
with the stream substrate and the streambank. Stakes
are then driven down along its sides. Coir or nylon
twine is woven between and around the stakes and
the stakes are driven in firmly, securing the coir fiber
log to the streambed. The streambank above the coir
fiber log is stabilized using other bank stabilization
techniques.
Riprap or gabions are often used to protect stream-
banks and lake shores. In some instances, live cuttings can
be interplanted within the riprap or gabions to provide
additional slope stability. Root growth through joints or
gaps in the stone will improve the soil strength and as the
vegetation grows it also hides the rocks, presenting a more
natural look.
In areas where space is limited and the stabilization has to
extend vertically (in the past a retaining wall may have been
used), the best solution may be a Live Cribwall. Live Cribwalls
use a combination oflive woody cuttings with timbers, logs,
or other similar structural materials. The timbers, logs, or
other structural materials are interlocked to form a hollow
box-like structure that is filled with backfill material and lay-
ers oflive branch cuttings.
Soil bioengineering measures are not appropriate for all
slope failures and slope erosion problems, see Table 5.7B
for additional guidance. In some cases with more gradual
slopes, grass seeding and hydromulching may be satisfac-
tory and less costly. In other cases, due to steeper slopes,
higher scour velocities, significant lateral earth stresses,
etc., it may be more effective to use structural retaining
systems alone. There are several limitations to bioengineer-
ing, these include the fact that the installation season is
often limited to the plant dormant season, when site access
may be limited; the availability of locally adopted plants
may be limited; the availability of adequate sunlight due
to existing tree canopy may be limited; experienced labor
may not be available; installers may not be familiar with
bioengineering principles and designs requiring training.
However, with the right situation/opportunity, soil bioen-
gineering practices can successfully stabilize slopes and
reduce erosion while saving money and providing a more
natural vegetated appearance. An understanding of these
techniques-their function and appropriate application-
is increasingly important given the increased emphasis
throughout the land development industry on low-impact
development (LID) techniques.
Structural Control Measures. There are practical and
economical limits to the effectiveness of site planning on
controlling erosion from a site. Structural erosion controls
are used to supplement soil stabilization and site manage-
ment controls. Structural controls redirect runoff, dissi-
pate runoff velocity, or intercept runoff and temporarily
detain the sediment-laden runoff long enough to allow
sedimentation.
&oo i@UH¥I F@Hi4Mii
TAB LE 5 . 7 B Approaches to Upland Slope Protection and Erosion Control
CATEGORY EXAMPLES APPROPRIATE USES ROLE OF VEGETATION
VEGETATIVE PLANTINGS

Conventional plantings Grass seedlings Control water and wind erosion. Control weeds.
Transplants Forbs Minimize frost effects. Bind and restrain soil.
Filter soil from runoff.
Intercept raindrops.
L Maintain infiltration.
I Moderate ground temperature.
V
I SOIL BIOENGINEERING
N
G Woody plants used as Live staking Control of rills and gullies Same as above, but also
reinforcement, as Live fascine Control of shallow reinforce soil, transpire
barriers to soil Brush layer (translational) mass movement excess water, and
movements, and in Branchpacking Filtering of sediment minimize downslope
the frontal openings or Live cribwall Improved resistance movement of earth
interstices of retaining Live gully repair to low to moderate earth forces masses.
structures. Vegetated rock gabion Reinforce fill into
Vegetated rock wall monolithic mass.
Joint planting Improve appearance and
performance of structure.
r VEGETATED STRUCTURES
N
0
N Inert structures with Wall or revetment with Control erosion on cut and fill Stop or prevent erosion and
L vegetative treatments. slope face planting. slopes subject to scour and shallow sloughing on or at the
I
V Tiered structures with undermining. slope face above the toe.
I bench planting.
N
G
L

Structural control measures include
• Diversion berms/earth dikes
• Channel conveyance
• Slope drains
• Outlet protection
• Checkdams
• Level spreader
Diversion Berms/Earth Dikes. Compacted earthen berms
(Figure 5.7F), stabilized with vegetation or mulch are used
to direct or divert runoff. These berms are placed on natural
grade around the perimeter of the disturbed area on the high
side (upslope). The berms (sometimes referred to as perim-
eter dikes or clean water diversion dikes) divert "clean'' run-
off around the disturbed area to limit the amount of runoff
flowing into the work area (see Figure 5.7G). The low side
of the dike directs runoff that has fallen directly on the dis-
turbed area, runoff that is heavily laden with sediment, to a
sediment trapping device for filtering.
Diversion berms/earth dikes are compacted to increase
their resistance to erosion and for stability purposes. The
compaction is typically done by driving the earth moving
equipment along the sides and ridge of the berm. Depend-
ing on the soil used for the berm and the height of the berm,
the compaction operation may have to be performed in
approximately I -foot lifts. Berms should be stabilized with
vegetation or stone to ensure their durability. Berms should
not be installed across swales or ditches that convey appre-
ciable amounts of concentrated flows. The longitudinal grade
(i.e., parallel to the berm) on the side of the flow should be
sufficient to ensure positive drainage to the outlet. Minimum
grades of 1% to 2% suffice in most cases. Construction of
grades less than 1% in bare soil is difficult to achieve and
may not drain properly. Steep longitudinal slopes will result
in excessive velocities and may erode the toe of the berm.
 5.7 ■ EROSION AND SEDIMENT CONTROL 601

24"-36" velocity. Channels excavated in earth are most effective with

2:1 Slop•
or rlalter a trapezoidal cross 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 noncohesive gravels. For normal design practice,
"
Typical Parubollc Diversion maximum side slopes of 2H: 1V function adequately over the
range of these angles of repose.
Tables 5.7C and 5.7D identify various linings and the
recommended velocities for grass- and earth-lined chan-
nels. Manning's equation is used to check the velocities
in the channel and compare the velocity to the velocities
given in Table 5.7C or 5.7D. When selecting the lining,
Typical Trapetoldol Olven,lon
consider whether the channel will be temporary or perma-
nent. If additional velocity dissipation is required beyond
what is achieved through installation of a liner, check dams
(discussed in detail later in this chapter) should be provided.
Slope Drains. If runoff needs to be conveyed along the sur-
face of a highly erodible area or steep slope, then another
Typical V-Shaped Olven,lon
method for conveying runoff should be used. As shown in
Figure 5.7H, temporary slope drains or stabilized flumes
(downdrains) can be used to convey flow over the face of a
slope without damage.
Temporary slope drains consist of either flexible pipe
(usually HDPE) or rigid pipe (PVC or even CMP). The drains
Trapezoidal Cross-section
Pcrcbolic Cross-section

FIG uRE 5 . 7 F Typical diversion berms.

TA BLE 5 . 7 C Permissible Velocities for
Earth-Lined Channels
Longitudinal slopes should keep velocities less than 3 fps. If PERMISSIBLE
velocities approach 5 fps, special precautionary construction
SOIL TYPES VELOCITIES (FPS)
measures such as the use of erosion control mattings, riprap/
stone armoring, or the addition of an adjacent conveyance Fine sand (noncolloidal) 2.5
channel should be considered.
Channel Conveyance. Shallow ditches are used to safely Sandy loam (noncolloidal) 2.5
and nonerosively convey small quantities of concentrated
Silt loam (noncolloidal) 3.0
flow. As the flows increase, a more refined ditch design is
necessary. Ditches are typically prismatic in cross section Ordinary firm loam 3.5
(e.g., trapezoidal, parabolic, rectangular) and the type of
lining in the channel coincides with the expected design Fine gravel 5.0
Stiff clay (very colloidal) 5.0
Graded, loam to cobbles (noncolloidal) 5.0
.................................................................................................................................................................
Graded, silt to cobbles (colloidal) 5.5
Alluvial silts (noncolloidal) 5.0
Alluvial silts (colloidal) 5.0
Coarse gravel (noncolloidal) 6.0
Cobbles and shingles 5.5
Shales and hard pans 6.0

FIG uRE 5 . 7 G Diverting runoff around the construction site. (Source: Virginia Erosion and Sediment Control Handbook 1992.)
&02 i@UH¥I F@Hi4Mii
TAB LE 5 . 7 D Permissible Velocities for Grass-Lined Channels
CHANNEL SLOPE LINING PERMISSIBLE VELOCITY (FPS)

0-5% Bermuda grass 6

Reed canarygrass, tall fescue, Kentucky bluegrass 5
Grass-legume mix 4
Red fescue, redtop, sericea lespedeza, annual lespedeza, small 2.5
grains (temporary)
5-10% Bermuda grass 5
Reed canarygrass, tall fescue
Kentucky bluegrass 4
Grass-legume mix 3
>10% Bermuda grass 4
Reed kanarygrass, tall fescue, Kentucky bluegrass 3
(For highly erodible solids, decrease the above velocities by 25%)
(Source: Virginia Erosion and Sediment Control Handbook 1992.)

Pipe Slope Drain (Flexible)* Downdrain

(not to scale)

Discharge into a stabllized ~-~~~- .

watercourse, sediment trapping :.<":/1~1•"~,
device. or onto a stabilized area. -~~ · :::"-:::{ ~ ~ ~ ~

.. ,:-' .'

Section aa

_..... - ...
..•···'
- .·.,.-\ ~ .
Length as necessary - -- -- -- - - . - ·...-·
to go rhrough dike
Standard flared
22 112· pipe elbow

Watertignt - - --,
connecting band

@ less than 1% slope • Drainage area must nor exceed 5 acres

FIGURE 5. 7 H Slope drain.


are installed on the face of the slope and anchored securely.
At the entrance of the slope drain, a berm diverts the upslope
runoff into the slope drain and keeps the flow from sheet-
ing over the exposed face of the unstable slope. The force
of the water flowing through the slope drain, along with the
vertical component of gravity acting on the drain itself, puts
tension at the pipe's joints. Consequently, if the joints are not
connected and anchored securely, they will separate result-
ing in costly repairs and extensive erosive damage.
Downdrains or flumes are less common in practice than
slope drains. The flume may be any common channel shape
(typically v-ditch or trapezoidal) and is stabilized with
either geotextile fabric, riprap, or gabions, or in the case of
long-term installations, lengthy or excessively steep slopes,
concrete. Outlet protection is critical as excessive velocities
may be achieved; an energy dissipation device (or plunge
pool, outlet protection) may even be warranted.
Outlet Protection. Outlet protection is used at the dis-
charge end of a slope drain, flume, storm drain or culvert
discharge, and open channels. It consists of a structurally
lined apron or other type of device, which reduces the ero-
sion potential downstream by dissipating the flow energy
and allows flow to transition back to the natural channel.
In addition, outlet protection prevents scouring at the
base of the slope and underneath the discharge end of the
outlet pipe.
Depending on the flow energy, the apron may consist of
riprap, grouted riprap, gabion baskets, recycled concrete, or
other type of structurally sound material adequate for the
hydraulic conditions. Figure 5.71 shows two methods for
pipe outlet protection depending on whether the structure
discharges into a well-defined channel or a flat, level area.
Figures 5.7J and 5.7K provide the recommended apron
length and stone size for a given pipe diameter flowing full.
Figure 5.7J is used to size riprap outlet protection stone when
the prevailing tailwater depth at the discharge end is less than
one-half the diameter of the pipe. Figure 5.7K is used when
the tailwater depth is greater than or equal to one-half the
pipe diameter.
The length of protection can be judged based on the
magnitude of the exit velocity compared with the natural
channel velocity. The greater the difference, the longer the
length of riprap outlet protection necessary. When outlet
protection lengths are not feasible due to physical con-
straints (the outfall is near an adjacent property or environ-
mentally sensitive area) other methods of dissipating the
energy should be considered. One method to consider is
the use of plunge pools.
Plunge pools are riprap-lined pools that dissipate the
outfall velocity/energy over a very short length by using a
pool of water in a rock-lined channel. The specific design
requirements are covered in The Hydraulic Design of Energy
Dissipators for Culverts and Channels, Hydraulic Engineer-
ing Circular No. 14 (HEC-14), published by the U.S. Depart-
ment of Transportation, Federal Highway Administration.
5.7 ■ EROSION AND SEDIMENT CONTROL 603
Many state and local regulatory agencies have established
their own design criteria for plunge pools as well.
Outlet Protection Design Example. Given a pipe diam-
eter of 24 inches, full flow conditions with Q = 50 cfs and
TW < 0.5D 0 , Find length and width of outlet protection
apron.
From Figure 5.71 for Q = 50 cfs and d = 24 read d50 =1 foot.
On the upper pipe diameter scale read La= 28 feet for D 0 =24.
Then W = 2 + 28 = 30 feet.
Check Dams. Check dams are stone structures installed
across relatively steep conveyance channels at periodic inter-
vals to temporarily detain the water (or "check'' the velocity)
thereby reducing erosion while vegetation is germinating.
Check dams are not installed in live streams. Although some
sediment removal is expected through filtering, the use of
check dams solely as filtering devices is not recommended.
This practice is to reduce flow velocities.
Check dams can be constructed of stone aggregate ¾
to 2 ½ inches in diameter for smaller drainage areas, up to
6- to 12-inch stone riprap or even gabions on the down-
stream side of the check dam for larger drainage areas. The
material is placed across the channel from top of bank to
top of bank with the center of the dam 6 inches lower than
the top of bank. The upstream and downstream faces of the
stone check dams have slope gradients of 2H:l V. Spacing
of the check dams is such that the toe of the preceding
upstream dam is at the same elevation as the top of the sub-
sequent downstream dam. Figure 5.7L shows typical layout
of check dams.
During high flows, water can pond behind the check dam
and flow over the 6-inch deep weir in the center of the check
dam. Erosion of the check dam and the banks at each end
of the check dam sometimes occurs after heavy rainstorms;
the contractor must inspect the check dam and channel for
any erosive damage after each storm event to confirm proper
operation and make any necessary repairs.
Level Spreader. The level spreader is a device that converts
concentrated flow back into sheet flow. The level spreader is
an excavated depression with a level grade across the face of a
stabilized slope. Concentrated flow enters the level spreader
and fills the depression, when the capacity of the depression
is exceeded, the flow uniformly spills over the lip and down
the stabilized slope as sheet flow (Figure 5.7M).
The effectiveness of the level spreader depends on strict
adherence to construction specifications. The minimum
depth of the level spreader is 6 inches, and is uniform
across its length. Limiting the maximum velocity of the
water entering the level spreader to 3 fps prevents scouring
within the spreader. The grade across the spreader is flat and
should remain flat during its term of operation. The slope
of the ground below the level spreader should be lOH:l V
or flatter to keep the exiting sheet flow from becoming too
erosive. Steep slopes below the level spreader promote ero-
sion as the sheet flow accelerates downslope. The spreader
length is determined by estimating the flow expected from
&o4 i@UH¥I F@Hi4Mii
A A

3d
------ Pipe Outlet To Flat
Area With No Defined
Channel

PLAN VIEW

_l
d

SECTION A-A Filter Cloth Key in 6"-9"; Recommended

For Entire Perimeter

A A

3d o
(Min) Pipe Outlet To Well
Defined Channel

PLAN VIEW

_l
d

SECTION A-A
7
Filter Cloth Key in 6"-9"; Recommended
For Entire Perimeter
Notes:
1. Apron Linning May Be Riprap, Grouted Riprap, Gabion Bosket, Or Concrete
2. La Is The Length Of The Riprap Apron As Calculated Using
Figures 17.6 and 17. 7
3. d = 1.5 Times The Maximum Stone Diameter But Not less Then 6 inches
FIG uRE 5. 71 Pipe outlet conditions.
 5.7 ■ EROSION AND SEDIMENT CONTROL 605

100
Outlet Pipe
W=D 0 + La
I
'--~1
Diameter, D 0

1
90

~~~ ~7
80

L a - -1
70 ~ J/

I
...... "v Tailwater < 0.5 D 0
\,6'
,00'- ~~
~ ~ ~~(;j
Y---
»~ ~~I~vi.,,r
j 60
o'I'•

0'1'<$;~
o' ~tl50
"" ~~ I
~\;
~,~~,s
I§ ,,
~K" l'
40
j /
- 4

30 ....... ' ~'1,•-:,,,

o~....... v
/!~ ~ '/ I
,11; JI
20
~\'f,_.....
6"~ t;:;-..-V~V /
_-::;:;-;,,,
v"'
/" /

ll 1/1/V I;
6",z
..... ~~ % :::;::;::: ~ / /
V

,ll /1 vV,VV
I
JV
-- --
'-"'vv 1/ 1/ IA~ , IV I

-
i.,,,- J i
10 ..... ,_,

0
i.,,,- ---

-~ /,~ J /~~V; V! "

~✓
,
tf'JVJ V/ fl/ V,V, ,.tt.,,,,_/1/:/~
/ / ..'~¾
J:/ /v
1/"/ 1/"V / / ~~~ ~~;~/ ......
~ V ,.,,-:::, Vv_,~., /,.,,- ,, V
,,,.. /
Recommended 6",z
u:;...- v__..... ~---::::: ~ --::: / '-"'
/

-- --------- -
Min. d 50 = 6'
~
_......
f-
:.o
0
3 5 10 20 50 100 200 500 1000

Discharge, tt.3 /sec.

FIG uRE 5. 7 J Design of outlet protection for round pipe flowing full (T < 0.5d).

the design storm and selecting the appropriate length from distance of the shoreline. Control zones regulate a range of
Table 5.7E. Further, the design flow will determine whether activities, including construction or repair of shoreline sta-
a vegetated or rigid lip shall be employed, bilization structures, public access, and the use or alteration
Production of uniform sheet flow requires uniform dis- of a dune and other shore line habitat areas. Acquisition
charge over the lip. Any trash, debris, or sediment accumula- of privately owned lands by the government or nonprofit
tion within the level spreader will disturb the production of groups is another means by which to control development
uniform flow. Frequent inspection and clean out is necessary in erosion-prone areas. Acquisition can also be used to
for the level spreader to operate effectively. achieve important community goals like environmental
The use oflevel spreader only provides a temporary relief protection and public beach access. However, acquisition
of concentrated flow, as sheet flow will rapidly transition to has not been widely used due to the high costs of coastal
shallow concentrated flow and then concentrated flow (refer property.
to Chapter 5.5). In an attempt to protect property from erosion, a variety
Coastal Erosion Control Measures. Losses due to erosion of structural and nonstructural measures have been utilized.
are anticipated to grow over the next few decades as coastal Many of these measures provide only temporary protec-
areas continue to erode into areas of denser development. tion from erosion and coastal flooding and require ongoing
Site management, planning development to avoid sensitive maintenance or repair. Methods of protecting beaches and
coastal land, is the most effective coastal erosion control shorelines from erosion have depended upon efforts to over-
measure. Many states regulate land use along the coast come the natural forces at work near the shoreline. Struc-
through setbacks, control zones, or a combination of the tures such as seawalls, bulkheads, breakwaters, revetments,
two. Setback requirements limit building within a specified and groins have been created as barriers against the natural
606 i@UH¥I F@Hi4Mii
3D0

1---~ T
Outlet Pipe
Diameter, D 0 - -...---- l o,,o.4l,
SMin.

i~ -- ----- la,------ ----1

~ sz: Tailwater ~ 0.5 D 0

----~b--:::::::::::::::::::..T,--
90

3 5 10 20 50 100 200 500 1000

Discharge, tt.3 /sec.

FIG uRE 5. 7 K Design of outlet protection for round pipe flowing full (T?. 0.5d).

effects of waves, tides, and currents. These structures inhibit • Revetments

the natural functioning beach/ dune system. In doing so, they
interfere with the onshore-offshore movement of sand and
cause increased erosion on adjacent shores by modifying
sediment supply or changing wave refraction patterns.
This section provides a general overview of coastal
erosion and structures. For more comprehensive descrip-
tions and technical information on coastal processes and
design guidance for shore protection structures, please refer
to the Coastal Engineering Manual (U.S. Army Corps of
Engineers, 2002).
Today, traditional structural measures are generally lim-
ited to the protection of existing nonconforming structures
and include the following:
• Seawalls and bulkheads
• Breakwaters
• Groins
• "Soft'' structures such as sand bags and geotextiles
• Nonstructural measures
Seawalls and Bulkheads. Seawalls and bulkheads have
been traditionally used to protect development from storm
surges and further recession of an eroding shoreline.
Seawalls are primarily used to resist wave action. Bulkheads
act as retaining walls, keeping the earth behind them stable
(Figure 5.7N). While these can prevent the recession of a
shoreline, they cannot prevent the erosion of beach areas.
Hardening of a shoreline can interfere with the necessary
profile adjustments of a beach. A dune can no longer share
its sand with a beach. As a retreating beach encounters a sea-
wall or bulkhead it can no longer draw upon the landward
 5.7 ■ EROSION AND SEDIMENT CONTROL 607

2 ACRES OR LESS or DRAINAGE AREA a massive gravity construction resting on the shore bot-
tom supported by its own weight. Bulkheads and seawalls
must be of sufficient strength to withstand the forces of
waves and wave carried debris, both in front of the wall
FilTER CLOTH and behind it. Water flowing around the wall can cause
(OPTIONAL)
excessive erosion and scouring, so the flanks of the wall
need to be protected.
(DOWNSTREAM VIEW)
Breakwaters. Breakwaters reduce erosion by dissipating
wave energy offshore and thus reducing transport poten-
3/4" - 2 1/2"
STONE tial to areas behind the structures. While breakwaters can
F'LOW
reduce the erosive impact of waves, they can cause local-
ized accretion in the lee of the breakwater, these features are
referred to as salients. Breakwaters can be constructed from
many different materials, including stone, concrete, plastic,
salvage material such as railroad cars, etc. Many variations
exist in breakwater construction: structures can be built
2-10 ACRES or DRAINAGE AREA
submerged, subaerial, continuous or segmented, detached
or attached to shore (Figure 5.70). Proper placement and
design of these structures is achieved through numerical
FILTER CLOTH modeling of physical conditions at the site, as well as a com-
(OPTIONAL) prehensive understanding of long-term coastal processes.
Improper design can lead to nonfunctional or overfunc-
(DOWNSTREAM VIEW) tional structures. If too much wave energy is attenuated, the
salients can accrete out to the breakwaters, effectively form-
3/4" - 2 1/2" ing a groin field and imposing a severe sediment burden on
STONE

F'LOW
I
3'
SPACING BETWEEN CHECK DAMS
L = THE DISTANCE SUCH THAT POINTS
A AND B ARE or EQUAL ELEVATION
FIG uRE 5. 7 L Construction details for check dams.
sand supply, exacerbating erosion at the site. Furthermore,
as the beach retreats and the seawall or bulkhead is exposed
to waves, the seabed in front of the structure will be subject
to scour. This results in additional erosion, undermining,
and eventual failure of the structure. Seawalls and bulkheads
also tend to reflect wave energy, which may induce problems
elsewhere.
Seawalls and bulkheads can be built in three basic types:
as interlocking sheet piles driven into the ground; indi-
vidual piles used to support an above ground structure; or
beaches downdrift of the structures.
Revetments. Revetments are structures placed on the
banks or bluffs in such a way as to absorb the energy of
incoming waves. They are usually built to preserve the exist-
ing uses of the shoreline and to protect the slope. Where
available, rubble or quarry stone is the most reliable and eco-
nomical material choice for revetments. Other alternatives
include bags filled with a wet sand-cement mixture, concrete
blocks or slabs, and gabions. Most revetments do not signifi-
cantly interfere with littoral drift; however, they limit sedi-
ment supply to the system from the protected embankments.
These structures do not redirect wave energy to vulnerable
unprotected areas, although beaches in front of steep revet -
ments are prone to erosion. In some locales, bank sloping in
combination with soil bioengineering techniques is favored
over structural revetments.
Groins. Groins are used to manage longshore transport
of littoral drift to control erosion. Groins are structures that
extend perpendicularly from the coastline and are typically
constructed in groups called fields. They are most effective
where the longshore transport is predominantly in one direc-
tion, or where their construction will not cause unacceptable
erosion of the downdrift shore. Contemporary construc-
tion methods usually require pre-filling of the groin com-
partments with sand to minimize downdrift impacts. Groin
fields must be carefully designed with respect to height, spac-
ing, extension, 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 offshore into deep water where waves cannot return it
to the beach.
&oa i@UH¥I F@Hi4Mii
LAST 20' OF DIVERSION DIKE DIVERSION DIKE
NOT TO EXCEED 17. GRADE

L STABILIZED ----.,
SLOPE /

LEVEL SPREADER

6"x6" SALT TREATED CHANNEL GRADE 07.

TIMBER

NOTE : ALL TEMPORARY BERMS, SWALES ANO LEVEL

SPREADER DITCH I.AUST RECEIVE TEMPORARY
SEEDING IMI.AEDIATELY AFTER INSTALLATION.

FI GU RE 5. 7 M Level spreader.

"Soft" Structures. Sand bags and geotextiles can provide

TAB LE 5 . 7 E Level Spreader Length for a "soft" structural erosion control solution. Sand bags are
Design Flows usually installed on a temporary basis in front of structures
DESIGN FLOW (CFS) MINIMUM LENGTH (FT) that have been exposed to wave impacts. The bags are left in
place until the beach recovers, the structure fails, or a more
0-10 10 permanent solution is determined. Geotextiles are often
used in the form of a sand-filled tube that is placed in the
10-20 20
center of engineered dunes in erosion-prone areas. The tube
provides a last line of defense from wave action for landward
properties in the event of dune failure. Clay cores are also
used in dunes when material is available.
Nonstructural Measures. Nonstructural measures to pro-
tect 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 natu-
ral stresses (Figure 5.7R). Removal of existing salt-resistant
vegetation from dunes is typically discouraged or prohib-
ited. Sand fencing is another popular method of encouraging
dune growth.
Adding fill to beaches, either to replace the lost beach
materials or to increase the size of an existing beach
can be economical and effective means of storm protec-
tion and erosion mitigation. Beach replenishment (i.e.,
nourishment) material should resemble the original
beach material and be placed to match the natural slope
as closely as possible (Figure 5.7S). The design template
must account for postconstruction adjustment of the
material to the equilibrium profile, which is dependent on
the grain size of the fill material. This calculation is essen-
tial, as the postadjustment beach is narrower than the
constructed template. Material is typically dredged from
FIG uRE 5. 7 N Wooden bulkhead for bluff recession stabilization. offshore deposits, pumped onshore, then manipulated
 5.7 ■ EROSION AND SEDIMENT CONTROL 609

FIG uRE 5. 7 0 Segmented detached breakwaters, Grand Isle, LA. (Aerial photograph courtesy of the Louisiana Oil
Spill Coordinators Office.)

"' ......

FIG uRE 5. 7 P Stone revetment for shoreline stabilization, FIG uRE 5.7 Q Rubble-mound groin (ground photo).
Montauk, NY.
&10 i@UH¥I F@Hi4Mii
FIG uRE 5. 7 R Vegetative dune stabilization.
FIG uRE 5. 7 S Example of beach nourishment at Kure Beach, NC.
(Image courtesy of U.S. Army Corps of Engineers)
into the design template by bulldozer. When offshore sand
resources are limited or not cost-effective, material can be
trucked in from upland sources.
5.7.10. Sediment Control Best Management Practices
Sediment laden runoff is controlled on construction sites
by either (1) directing the flow through perimeter filtering
devices or (2) retaining it on-site in impoundment devices
that allow adequate residence time for particle settlement.
Sediment filters, such as silt fence and inlet protection, are
used to filter sediment from runoff. Impoundment devices
are typically sediment traps or basins; the distinction
depends upon the acreage draining to the facility, the facil-
ity design, and whether they are temporary or permanent.
For example, in Maryland, facilities with drainage areas less
than 10 acres require sediment traps, while larger drainage
areas require the use of sediment basins. In Virginia, the
limit is 3 acres for a sediment trap, while California has a
limit of 5 acres. Sediment basins are frequently stormwater
management ponds that are modified for use as a sediment
detention facility during construction and after permanent
stabilization is complete, converted to a stormwater man-
agement pond.
Sediment Filters. Filtering controls (sediment barriers)
intercept and filter both sheet flow runoff as well as small vol-
umes of concentrated flow. They can be used as stand-alone
controls or with sediment traps to enhance their effective-
ness. Synthetic filter fabric, stones, or straw bales are typical
filtering devices.
Silt Fence. Filter fabric fence, commonly referred to as silt
fence (Figure 5.7T), is placed along or parallel to a contour
(i.e., perpendicular to the sheet flow direction) to intercept
upstream sheet flow. The distance limitations for the use of
filter fabric fence are shown in Table 5.7F. Filter fabric fence
should not be used in situations where it will intercept con-
centrated flows or act as a velocity check in ditches or swales.
Filter fabric cloth is made of synthetic fabric (polymer) that
has a specified flow rate and tensile strength. The filter fabric
cloth is attached to vertical posts and embedded in a trench at
the bottom to keep the runoff from undermining the fabric.
For added stability, the filter fence can be attached to wire
support fence allowing a reduction in the tensile strength of
the fabric. To maintain its effectiveness, silt fence should be
inspected regularly and after each rainfall event; any accu-
mulated sediment must be removed.
When the length of flow or steepness of the slope contrib-
uting to conventional filter fabric fence is too great, many
permitting agencies allow the use of filter fabric cloth sup-
ported by chainlink fence, or super silt fence (Figure 5.7U)
as an acceptable alternative. The distance limitation for using
super silt fence is reflected in Table 5.7G. The cost of super
silt fence is higher than silt fence, but the use of super silt
fence in certain circumstances may actually be more cost
effective-in areas where sediment traps would otherwise
be required or damage to environmentally sensitive land
may otherwise not be avoidable. Super silt fence is ideal
for steep slopes where space is at a premium. As with silt
fence, to maintain its effectiveness, super silt fence should be
inspected regularly and after each rainfall event; any accu-
mulated sediment must be removed.
Straw Bale Dikes. Staked, straw bale dikes have long been
used as a barrier to trap sediment. The bales are typically
placed in a 4-inch-deep trench on the contour and staked
to the ground with wooden stakes or reinforcing bars. The
ends are tightly butted against one another to prevent gaps
where runoff can seep through. Typically, this filtering sys-
tem is placed at the toe of relatively short slopes. The use
of straw bale dikes is not recommended as a primary sedi-
ment control device. Straw bale dikes clog and deteriorate
rapidly and require frequent maintenance. In addition, silt
fence is more efficient in terms of filtering capabilities and
has a significantly reduced flow through rate. The filtering
efficiency of straw is approximately 67%, while filter fab-
ric has an efficiency of nearly 97%. The flow rate for straw
is 5.6 gal/ff/min compared to filter fabric which is about
 5. 7 ■ EROSION AND SEDIMENT CONTROL 611

1. SET THE STAKES . 2. EXCAVATE A 4" x 4" TRENCH 3. STAPLE FILTER MATERIAL TO
11.P.S.LOP.E- ALONG. _TH.£ _~[NE OF STAKES AND EXTEND IT INTO
STAKES. THE TRENCH.

4 . BACKFILL AND COMPACT THE

EXCAVATED SOIL. SHEET FLOW INSTALLATION
(PERSPECTIVE VIEW)
FLOW

POINTS A SHOULD BE HIGHER THAN POINT B

DRAINAGEWAY INSTALLATION
(FRONT ELEVATION)

1. SET POSTS AND EXCAVATE A 2. STAPLE WIRE FENCING TO THE 3. ATTACH THE FILTER FABRIC TO
4" x 4" TRENCH UPSLOPE POSTS. THE WIRE FENCE AND EXTEND
ALONG THE LINE Of' POSTS. IT INTO THE TRENCH.

4. BACKFILL AND COMPACT THE

EXCAVATED SOIL. EXTENS ION or FABRIC AND WIRE INTO THE TRENCH

FIG uRE 5. 7 T Construction details for filter fabric fence.

&12 i@UH¥I F@Hi4Mii
TA BLE 5 . 7 F Silt-Fence Design Constraints
MAXIMUM MAXIMUM
SLOPE SILT FENCE
SLOPE STEEPNESS LENGTH (FT) LENGTH (FT)
50:1-10:1 (2-10%) 125 1000
10:1-5:1 (10-20%) 100 750
5:1-3:1 (20-33%) 60 500
3:1-2:1 (33-50%) 40 250
>2:1 (>50%) 20 125
one-tenth of that value. These efficiency ratings are based on
properly installed and maintained systems.
Inlet Protection. This filtering method can be used both
at curb and grate inlet openings. Inlet protection devices
typically use stone and filter fabric around drainage inlets
to filter the sediments draining to the structures. This
method of storm inlet protection is used only for small
drainage areas-usually an acre or less. Care should be
taken when protecting curb inlets that have been installed
on a grade. To ensure that the flow does not bypass the
inlet protection device, an asphalt berm or some other
flow diversion device may be required in order to direct
flow to the inlet. Other types of inlet protection include a
yard inlet protection device. Figure 5.7V shows variations
of inlet protection. To maintain its effectiveness, inlet pro-
tection devices must be inspected after each rainfall event.
If water ponds on the inlet protection device longer than
48 hours, accumulated sediment must be removed and the
filter fabric replaced as the device is most likely clogged
and not effective.
Inlet protection proposed along new road sections
should include notes regarding temporary paving and
drainage conditions. In many cases, the road section is built
up over the course of construction and the top layer is not
installed until later phases of design. If a curb and gutter
is installed prior to the final layer of asphalt, there may be
excessive ponding around the inlet and inlet protection.
Temporarily omitting the gutter section near and inlet can
promote drainage.
Sediment Storage Measures. For larger drainage areas
(more than acre) a storage measure is required to adequately
control the runoff. These systems operate with similar mech-
anisms as permanent stormwater management systems and
BMPs (as described in Chapters 3.5 and 5.5).
Sediment Basins. Sediment basins are typically designed
to impound sediment laden runoff by reducing the veloci-
ties and turbulence of the runoff to levels where the majority
of the suspended particles are given an opportunity to settle
out by gravity. A sediment basin consists of a strategically
placed embankment that takes advantage of the natural ter-
rain to create an impounding area. Basins may be excavated
but they cannot be located in fill. The basin contains an out-
let structure that releases the treated runoff at a slow rate
(to allow for settlement of suspended solids). The design of
sediment basins is similar to the design of stormwater man-
agement ponds. A riser (or control) structure is designed
to retain certain volumes and convey larger storms usually
10 years and above. In some cases, the sediment basin con-
tains an emergency spillway to allow the larger storms to pass
through the facility unimpeded. Depending on the jurisdic-
tion and the size of the watershed to the basin, either rational
method or NRCS hydrology may be used to determine con-
tributing design flows.
Typically, the outlet structure is composed of a vertical
pipe with several small-diameter holes near the bottom.
This pipe is open at the top to allow for excess overflow of
intermediate storms. The size and elevation of the holes
control the release rate of the impounded water. Outlet
structures other than the perforated vertical pipes are used
for sediment basins intended to be converted to permanent
facilities. Such facilities tend to have an outlet structure
more elaborate and aesthetically pleasing, such as a multi-
stage weir.
The size of a sediment basin is measured by its storage
volume. The required storage volume is a function of the
amount of disturbed area draining to the facility. Sizing
a sediment basin depends on local municipalities' design
standards, which are developed according to the regional
conditions. In some cases, determining the volume of
the basin may be as uncomplicated as applying a single
constant to the drainage area (e.g., Maryland prescribes a
storage requirement of 134 cubic yards per acre of drain-
age). This design parameter approximates an upper limit
for the amount of sediment expected to be delivered to the
facility for the design storm. The assumption here is that
the design storm erodes a constant amount of sediment.
This blanket value does not consider the soils or topo-
graphical features that vary from site to site nor the daily
variations of the site conditions. In other cases, sizing the
basin requires a detailed analysis of the on-site soils and
their particle size distribution. This information is used
with the USLE or discrete particle settling theory to set
the basin size.
Discrete Particle Settling Theory. A discrete particle is one
that does not change in size, shape, or weight as it settles.
The discrete particle settling theory describes the settling
behavior of particles in an ideal basin in quiescent water.
Particle settling, in such ideal conditions, depends on the
properties of the fluid and the particle characteristics.
Any interaction between the particles within the fluid is
assumed negligible.
A particle settling in a quiescent fluid accelerates
under the influence of gravity until the driving force of
gravity is balanced by the resisting drag force. At this
 5.7 ■ EROSION AND SEDIMENT CONTROL 613

DETAIL 33 - SUPER SILT FENCE

~ ; FEN CE POS T SPAC-

ING SHALL NOT EXCEEv - l i 6 " MINIMU M
10 ' CENT ER TO CENTER

~ I33 " MINIMUM

GROUND
SURFACE

2 1,z" iJ I AME TE~

/
II11
I!
~ HA IN LI NK FENC
FLOW
136" MINIMUM

GA LVAN I ZD WITH 1 LAYER OF

OR ALUM INUM
POS TS
CHAIN LINK FENC ING
FLOW
: :-:-::-~==~~k:::;;;;;;;;:::::::::h:--~F''.__!~L~T}ER CLOTH
EMBED ;: IL TER CL QTH 8 "__
M ! NI MUM INTO GROUND
F [LTER CLOTH OVER 8 " MIN IMUM
2 1, { D[AME TER GALVANIZED OR
ALUM INUM POSTS
33" MINIMUM-POST ANO 2ND
LAYER FILTER CLOTH
_ _ _ _ _ 16" MIN. 1S T LAYER OF
,..---------
.i__ STANDARD SYMBOL

~SSF~

ConsTruction Spec ifications

Fencing shol I be 42 i nches in height and constructed in accordance

with the latest Maryland State Hi ghway Detai Is for Chain Link
Fencing. The specification fOI"" o 6 foot fence shol I be used,
substitu-ting 42 inch fabric and 6 foot length posts.

1. The poles do not need to set in concrete.

2. Chain I ink fence shal I be fastened securely to the fence

posts with wire ties or staples.

3. Filter cloth snol I be fastened securely to the chain I ink

fence with ties spaced every 24u at the top and mid section.

4. Filter cloth sho l I be etTOedded a minim.Jm of 0 • into the

ground.

s. When -two sections of filter cloth adjoin each other, they

sno l I be overlappeo by 6 " and folded.

6. Maintenance sno 11 ~e performed os needed ond si It buildups

rerroved when "bulges" deve lop in the si It fence.

U.S. DEPAR'l'KENT OP AGBICUL'l'tJBE PAGE M&K!LAND DEPAlrl'KENT OP ENVIBONMENT

SOIL CONSERVATION SERVICE H -18 -3 WATD MANAGEM!NT ADJIINlSTBATION

FIG uRE 5 .7U Construction details for super silt fence.

&14 i@UH¥I F@Hi4Mii
the settling zone, and Wis the width of the basin. Under such
TAB LE 5 . 7 G Super-Silt-Fence Design Criteria idealized conditions the incoming flow Q; is steady and con-
MAXIMUM MAXIMUM stant for the width of the basin. Particles within the incoming
SLOPE FENCE flow move horizontally through the basin with a horizontal
SLOPE STEEPNESS LENGTH (FT) LENGTH (FT)
velocity vh = QJ(WH). The vertical velocity component is the
settling velocity v,.
10:1-5:1 (10-20%) 200 1500 The design of an effective settling basin relies on the fact
that an incoming particle travels the vertical height H and
5:1-3:1 (20-33%) 100 1000 settles out before it travels the horizontal length L and is dis-
3:1-2:1 (33-50%) 100 500 charged. At or below the height H the particle is in the set-
tling zone and is considered removed from suspension. The
>2:1 (>50%) 50 250 time T1 for the particle to travel the horizontal length L of the
basin is given as

point, the particle has achieved a terminal velocity and as T. - L (5.7G)

such remains constant during the remainder of the falling L - O;(WxH)
distance. The terminal settling velocity v, for a spherical
The time to travel the height His given as
particle is
H
TH=- (5.7H)
Vs = 4g(pp - Pw )dp (5.7B) Vs
3CoPw
Therefore, the minimum time needed for the particle to
where PP is the density of the spherical particle, Pw is the settle out of suspension occurs when the vertical time is
density of water, g is the acceleration due to gravity, A is the equal to the horizontal time for the given particle. Equating
projected area of the particle in the direction of motion, and Equations (5.7G) and (5.7H) shows that v, is
Cv is the coefficient of drag for the particle.
L H
The drag coefficient Cv is approximated by --=-
O;(WH) Vs
(5.71)
Q Q
V - - ' -_!_
s - LW - As
(5.7C)
Alternatively, the optimal surface area of the tank needed
to capture particles with a settling velocity of v, and
greater occurs when A, ~ QJv,, where A, is the surface
where NR the dimensionless Reynolds number is area of the settling zone. Hence, for ideal conditions, the
design parameters of an effective settling basin do not
- VsdPPw
NR- (5.70) include depth and volume. For all particles (with set-
µ tling velocities of v, and greater) entering the tank with
with µ is the absolute viscosity of water. Note that when NR the given discharge Q;, the basin efficiency is determined
is less than one the settling velocity for a sphere reduces to by the surface area A, relative to the discharge for steady-
Equation (5.7E). state conditions.
To summarize, the basic assumptions for discrete particle
v _ g(pp - Pw)dt settling theory are
(5.7E)
s- 18µ
1. Rectangular basin configuration.
which is Stoke's law for the settling velocity of a sphere in
2. Constant inflow at one end.
laminar flow. This can be reduced to
3. The horizontal and vertical velocities of particles are
Vs= 2.8dffi (5.7F) constant.
where v, is in feet per second and dp is in mm, assuming the 4. The concentration of suspended particles, of each
specific gravity of the particle = 2. 75 and a water temperature size, is the same at all points in the vertical cross sec-
of70°F. tion at the inlet.
An idealized rectangular settling basin (Figure 5.7W)
5. Particle settlement is unhindered by other particles.
consists of four zones; the inlet zone, the removal zone, the
outlet zone and the settling zone. The length L is the dis- 6. A particle is permanently removed from suspension
tance between the inlet and outlet zones, H is the depth of when it reaches the bottom of the settling zone.
 5.7 ■ EROSION AND SEDIMENT CONTROL 615

Storm Drain Inlet Protection Storm Drain Inlet Protection

MDE Detail E-16-5 MDE Detail E-16-6
'0-, SIP '□-, AGIP
L ~
L ~

Example of Standard Inlet Protection

WRAP INLET
GRATE WITH
GEOTEXTI LE
CLASS E

Pl AN/CIII AWAY

6"

CONSTRUCTION SPECIFICAJIONS
1. IF THE INLET IS NOT IN A SUMP, CONSTRUCT A COMPACTED
f~~T~o~ I~~
~~~ 0 ~iRrnEo~JJCM,l~5 ~iR~~T[~A~~L~W n· MAX, ORA I NAGE
HIGHER THAN THE TOP OF FRAME. AREA - 1 ACRE
2. REPLACE THE GEOTEXTILE WHEN IT BECOMES CLOGGED.

Storm Drain Inlet Protection Storm Drain Inlet Protection

MDE Detail E-16-8
r□--i-;;;•
L '--'-._

Example of Median Inlet Protection

GEOTEXTILE CLASS F (SEE SILT
FENCE DETAIL FOR INSTALLATION)

7
"WING"

BOTTOM OF "WING"
MUST BE 6" HIGHER
IN ELEV. THAN WEIR
TO FORCE HIGH FLOWS
ACROSS WEIR

MAXIMUM DRAINAGE
AREA - 1 AC.

FIGURE 5. 7V Inlet protection.

616 i@UH¥I F@Hi4Mii
characteristics, in a given region, coupled with the mixing of

Settllng Zone
Outflow
---- soil layers during land disturbing activities produce a var-
ied distribution of particle sizes entering a trapping facil-
ity. Additionally, rainfall intensity and antecedent moisture
..........._ V5>VA conditions affect the type and amount of sediment eroded.

:z: 0
N
•
C

:i
.!:
OA
I . . . . . ._
VA
FIG uRE 5. 7 W Idealized rectangular settling basin.
Trap Efficiency. Trap efficiency is the ratio of the amount
(by weight) of sediment retained in a trapping facility to the
total amount of sediment entering the facility. This efficiency
is a function of the incoming sediment characteristics and
the rate of flow through the facility. The rate of flow through
the facility depends on the amount of inflow, available stor-
age, and outflow rate. In turn, outflow rate depends on the
configuration and the location of the outlet.
Settling behavior of particles depends on the size, shape,
and density of the particle. The wide spatial variation of soil
J •
C
0
N
'ii
's
Hence, trap efficiency can fluctuate due to the variation of
particle size, shape, and density distribution.
Trap efficiency, as determined through discrete particle
0 settling theory, is based on the particle size distribution of
I the sediment entering the facility. In theory, the basin is sized
to remove all particles with settling velocities equal to or
greater than the design particle size. A particle size distribu-
tion curve of the incoming sediment provides an estimate of
the trap efficiency. For example, if the design particle size is
200 micrometers and the particle size distribution curve indi-
cates that 60% of the sediment entering the facility is equal to
or larger than 200 micrometers, the trap efficiency is approxi-
mately 60%. Note that this method of determining trap effi-
ciency assumes that all particles entering the facility have the
same density and behave as spherical particles during settling.
Because of this assumption, this concept slightly underesti-
mates the trap efficiency since some particles with a settling
velocity greater than the design particle size will be retained.
An empirical curve for trap efficiency, proposed by
Brune, is based on a study of 44 reservoirs throughout the
United States. The curve (Figure 5.7X) relates trap efficiency
as the ratio of reservoir capacity to annual inflow. Because

------
100
- ~
90 ,,,,, / ~

"E
u
Q)
-
/ ~
/ v//'
80
Gi I"
C. - /.- // ' / Primarily highly flocc ulated and
·= 70 ,/
/
/
coarse-grained sediments
'c
Q)
C.
C.
jg
60
-
/~ / /_ /
/ I I
"EQ) 50
-
/ /- / Median Curve

E
'5
Q)
.!!?. 40
-
I
/
J //
/ /
>,
u
C:
Q) 30
- / J /- Primarily colloids and dispersed
fine-grained sediments
·c3
:E
w
20
- V I I
-I J I I
C.
...
(,:J

I-
10

0
V IV
N (')
I lD t-- ~ N (') N lD t-- N lD t-- 0
0
0
0 0
0
0 0 0 c:, 0 ci 0 0
~ ~
0 0 0
ci 0 ci ci

Ratio of Capacity to Annual Inflow (C/1)

ac-ft/ac-ft

FIG uRE 5. 7 X Trap efficiency of reservoirs.


of the easily obtainable parameters of reservoir capacity and
annual inflow, it is perhaps the model most widely used in
practical design.
Boysen's Method. Sizing a trapping facility for a predeter-
mined efficiency depends on the design philosophy that one
is willing to accept. An alternative to using discrete particle
settling concepts to size a settling basin is a method proposed
by S.M. Boysen (1974). Boysen's method uses Brune's curve
and the USLE for development of the "urban sediment yield
equation:'
Boysen's urban sediment yield equation expresses off-site
sediment yield caused by urban construction as
Sheet and rill erosion+ gully erosion -
sediment deposition - sediment trapped
(5.7J)
= off-site sediment yield (in tons)
The basic assumptions for the development of this
method are
1. The USLE is applicable to predict sheet and rill
erosion.
2. Gully erosion is prevented by on-site control mea-
sures and therefore is assumed to be zero.
3. Sediment deposition before reaching the trapping
facility is assumed to be zero.
4. Brune's curve for trap efficiency is applicable.
If the USLE [Equation (5.7A)] predicts the on-site eroded
sediment yield and (TE) is trap efficiency, then
Sediment trapped= (Rx K x (LS) x C x P)(TE) (5.7K)
and the off-site (i.e., beyond the sediment basin) sediment
yield can be written as
(R x K x (LS) x C x P)(1- TE)
(5.7L)
= off-site sediment yield
Assume that a prescribed maximum value limits the sedi-
ment yield allowed at a site. If the site erosion is below this
value, no erosion controls will be necessary. If the site erosion,
as determined by the USLE, exceeds this prescribed upper
limit then on-site erosion control measures are necessary.
The objective in the design of the on-site control measures is
to set the trap efficiency at the difference between the actual
eroded sediment and the allowable sediment yield limit.
Limiting off-site sediment yield to some maximum allow-
able value is expressed by rewriting Equation (5.7K) as
(R xK x (LS) x C x P)
(5.7M)
Allowable sediment yield (1-Tf)
where the left side of the equation is shown as the ordinate on
Figure 5.7Y. The abscissa of the graph is the values of capac-
ity-inflow ratio from Brune's curve converted to cubic yards
5.7 ■ EROSION AND SEDIMENT CONTROL 617
of capacity per 1 inch of runoff. Brune's curves are redrawn
to correspond to the units of the graph of Figure 5.7Y.
As indicated, either the discrete particle settling theory
or Boysen's method is an acceptable methodology to deter-
mine the size and storage volume for a sediment pond. Note,
the design is incomplete in that hydrologic routings should
be done to determine the size for the runoff volume. This
entails the design of outlet structures, emergency spillways,
and determining the overall depth based on the design
storms selected for the hydrologic analysis.
Drawdown Time.
One assumption of the discrete particle settling theory is that
the settling basin remains relatively full. Since some sedi-
ment traps are completely dewatered between storms, the
settling behavior of the particles will not be as prescribed by
the discrete particle settling theory. This will negatively affect
the efficiency of the trapping facility.
The effectiveness of a sediment basin is enhanced if
it remains relatively full over a period of time to establish
quiescent conditions, which allow the sediment particles
to settle out. The recommended time it takes for a basin to
dewater is on the order of 6 to 24 hours. As a result, the vol-
ume of the sediment basin must be sized to adequately store
a portion of the design storm for an extended period of time,
as well as being sized to safely pass storms of higher design
frequencies.
Drawdown time for a basin is found by using the orifice
equation to determine the outflow discharge. The orifice
equation is used to calculate the flow through a small open-
ing (orifice) for a given headwater. The orifice equation is
(5.7N)
where Ca is the coefficient of discharge (» 0.60 to 0.70), A 0
is the area of the orifice, g is the acceleration due to gravity,
he = distance from the centerline of the orifice to the water
surface, and Q is the discharge through the orifice.
In sedimentation theory, the mean hydraulic detention
time is defined as the discharge divided by the volume,
T = Q!V. Using the orifice equation and the definition of the
mean hydraulic detention time, the time Tto dewater a sedi-
ment basin is
(5.70)
Perforated pipe outlet structures have several different
configurations of holes as shown in Figure 5.72. Various
configurations range from a single hole to several holes at
different elevations. Usually the holes are covered with wire
mesh screen with gravel piled against the screen to prevent
clogging by debris. The gravel, which also acts as a filter, can
affect the flow through the orifice(s)-the preceding equa-
tions assume that this is negligible. If a cluster of holes is used
instead of a single orifice, he is the depth to the centroid of
the holes and A 0 is the total area of the holes.
&1a i@UH¥I F@Hi4Mii
10
9
8
7
6

- 95
UNIT SOIL LOSS - BASIN VOLUME CURVE
/ V
/
.,,,.,.. ....
w
-'
~
10 V
~v /
/
V

V
,..v / 90 ~

- ~
9
e: 8
7
PRIMARILY HIGHLY FLOCCULATED
AND COARSE-GRAINED SEDIMENTS V
V
/
/
/
/
C
(I)
·o
"'ig 6
I / / / ii=
w
-'
'5 5 I
/
V
1..) ..... / 80 ~
a.

Cf)

~ 4
MEDIAN CURVE - J
r
V /
v v"
iii
"S
-M 3 PRIMARILY COLLOIDAL AND
/ ....
,../ V
- 70

DISPERSED FINE-G RAINED SE D I M ~ /

~>
(.)

~v
0
0
/ - 60

~ 2 50
............
a:
........ v
V" - 40
............ ,....v - 30
l---- _..... ........ v ............ .....

-
- 20
L.--- ~ v - 10
1
1 ---- 3 4 5 6789 1 2 3 4 567891

Required sediment basin volume, cubic yards/acre of drainage

2 3 4 5 6 7 8 9 1 00
0

area/inch of average annual runoff.

FIG uRE 5. 7 Y 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.)

Increasing Detention Time with Baffles. Detention time path between the inflow and outflow point. The net
can be increased by increasing the flow path through the result is an increase in detention time.
basin. This can be done by configuring the basin such
2. Baffles help to prevent short-circuiting, which is
that the length to width ratio is maximized. The value
the movement of flow through the basin in such a
usually recommended as the lower limit for design pur-
manner that storage areas are bypassed, resulting
poses is 2(L):l(W). However, this should not be taken to
in nonuniform distribution of sediment over the
the extreme. A small length to width ratio can cause flow-
bottom area. Dead storage areas, those areas where
through velocities (the basin functions as a channel) where
little or no sediment accumulates, results in reduced
the particles have no chance of settling out and the basin
trapping efficiency. Baffles minimize dead storage
loses its effectiveness.
areas by distributing the sediment deposits over a
The two main design parameters of a sediment basin
wider area in the basin and increase the efficiency
are storage volume and detention time. Normally, obtain-
(Figure 5.7AA).
ing the required storage volume is not the problem, even
in constricted work areas, since you normally can excavate
deeper. If the minimum length to width ratio (a controlling Baffles are placed at the mid-point between the primary
parameter for detention time) cannot be met because of site inflow point and outflow point. The shortest distance from
constraints, a solution to the problem of detention time is to the inflow point around the baffle to the outflow point is
install baffles in the sediment basin. the effective length Le. The effective width is defined as
Baffles are devices that actually serve two primary W, = Al L,, where A is the surface area of the sediment basin
purposes: at the normal pool level. The length and orientation of the
baffle is modified so that the ratio LelW. is at least 2.0. This
1. Baffles enhance the basin shape to increase the minimum ratio applies to all flow paths from inflow points
length to width ratio, thereby increasing the flow that convey 30% or more of the peak runoff into the basin.
 5.7 ■ EROSION AND SEDIMENT CONTROL 619

Sediment Cleanout level Dewatering

Hole

- Dewotering Hole
With Yz In . ( 1 .3cm) Dewolering Hole
Mesh Scr-een With Yz In . ( 1.3cm)
Tock - Welded Mesh Screen
Over Hole Tock -Welded
Over Hole

a) b)

Dewotering
Hole

Grovel

- Perforated Pipe In Trench - Mesh Screen Tock -

In Bottom Of Basin For We lded Over Series
Dewatering Sediment Of Dewotering Holes
c) d)
FIG uRE 5. 7 Z 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.)

D
Flow Poth
Riser {Outlet)
Inf low - Figure 5.7BB shows the recommended location and ori-
entation of baffles for various configurations of sediment
Dead Storage
basins.
Normal
Design Procedure for Sediment Basins. Figures 5.7CC and
5.7DD schematically show a typical temporary sediment
basin layout and its components. The previous discussion
focused only on sizing the sediment basin. The complete
Dead Storage
Riser design involves detailed hydraulic and hydrologic analysis
as well as structural considerations. An outline summary of
designing a sediment basin follows:

1. Determine the basin sediment volume based on

local criteria or an involved analysis of the design
Flow Path
Inflow particle size and settling criteria.
2. Determine basin location and basin shape based on
site conditions. If the length to width ratio is less
than 2:1, consider baffles to establish an adequate
length to width ratio.
3. Determine the volume of inflow for the design
storm (usually 10 years) through hydrologic analysis
(NRCS or other acceptable methods) and then estab-
FIG uRE 5. 7 AA Dead storage areas for selected basin shapes. lish the required height of the embankment.
&20 i@UH¥I F@Hi4Mii
Crest of Emergency
Spillway

o)

Normal Pool

Riser

Inflow

b)

• Olmensions ..,or; 0ccordln9 lo local design crit•ria

FIG uRE 5. 7 DD Schematic elevation view of (a) sediment basin

with emergency spillway and (b) without emergency spillway.

4. Design the principal spillway, taking into consider-

Sheets Of 4' x 8' x ~" Exterior ation the allowable release rate to ensure sufficient
Plywood Or Equivalent detention time for particle settling.
5"
J1 Riser Crest
Elevation
5. Design the emergency spillway (when required)
4' for larger storm events. The design should consider
the hydraulic capacity of the spillway and ensure
8'
nonerosive velocities. Many jurisdictions require the
Posts Min. Size 4" Sq. emergency spillway to be stabilized with rock outlet
Or 5" Round, Set At Least protection (riprap) or to be constructed completely
3' Into The Ground in cut.
FIG uRE 5 . 7 BB Recommended placement of baffles. 6. Determine whether additional devices are required,
such as antiseep collars, antivortex device, trash
rack, dewatering capabilities, and outlet protection.
7. Consider the safety aspect of the facility as with any
Control permanent or temporary impoundment of water.

- Fence the facility to discourage access.

Em•rv•nc:r Splllwar

Sediment Traps. As with sediment basins, sediment traps

operate through the combined effects of settling and filter-
ing. Here, the configuration and type of outlet affects the
settling and filtering process. Sediment traps are similar
to sediment basins in that they are an excavated hole or
impoundment created by an earth embankment. However,
drainage areas to sediment traps are typically limited to
10 acres or less.
Sediment traps use a variety of material and configurations
II for their outlet structure. The selection of which depends on
Embankment 1I I I local standards. Some localities do not accept certain types of
outlet structures, either due to local conditions or the biases
FIGURE 5. 7CC Schematic plan view of sediment basin. of the local reviewing agency. Outlet structures can be grass
 5.7 ■ EROSION AND SEDIMENT CONTROL 621

aprons, stone or riprap weirs, or even perforated riser pipes.
Figure 5.7EE shows several of these standards.
Once again, the method of sizing sediment traps depends
on local design criteria and is typically chosen to maximize
settlement of suspended solids. Two primary values are
used in sizing sediment traps. The first defines the surface
area of the sediment trap per drainage area whereas the lat-
ter dictates the volume to drainage area ratio as the design
parameter. As with the basin, the surface area is sized to
maximize the length to width ratio. Again, the value is rec-
ommended as 2: 1. Correspondingly, the volume of traps is
designed to maximize settlement of suspended solids. In many

PIPE OUTLET SEDIMENT TRAP - ST I STONE OUTLET SEDIMENT TRAP - ST Il

l=LOW
1,1" HARDWARE CLOTH CWIR,E) •rTii
F"JL TE'ff CL Ont :s.E'CU!i:ELY FASTENfD TO
PERFCRA. TE'O Rt S£:R

1 • MIN
DCAVATE AS TOP OF Dl3.AHKIENT
Cr.MF"A.CT'ED fi:AR'TM
NECESSARY
FCM STM.AGE 1' WIN
t-Li We.IA: L.IENGiH
El.6ANt;M£NT

SECTION 8-B
... ... ...
......... ~~~~~
.
't A.f'RON

STA81Lll£0
AREA
PERSPECTIVE VIEW
CR£ST
STORAGE ◄ ' MAXIIIJM
HEIGHT tF ILL l
1" STORAGE

19-• MINUU4 - - BOTTON

THICtcr«:SS NOTE: !i' MINIICJN LO.GTH UP TO 5
0F 4•-12:· SECTION A-A ACREs; O\'ER 5 ACRES USE
STONE S-TON£,/St I PR.AP S.EO I !ENT
lllAP sr-1v.
NOTE: RISEA EMBEDDED 9" INTO
CC9'CRETE Cit I;/ STEEL
EMBANKMENT SECTION PL.ATE ATTACHED TO RISER
THROUGH R I SER WITH A CONTINUCll.JS WELD
Q'l1 BOTTOM ....., 2' OF STONE
PLAC£0 OOI STE'El PLATE
TWICE THE RISE.A Dt.u.€TER
(NIN4 J

STONE / RIP-RAP OUTLET SEDIMENT TRAP - BT IV SedlmtM TtJP Pr;sip Criltrte

STI ST!I S'TIV

"""""'"'
""""
CACJ
nw
m,;•
TOTAi.
VOi.i/Mi
CCF)
WET
VOLUME
''!"
DRY
VOLUME
(<I')
MINIMUM
DU™
(Fl')
MJNIM\JM

"'"""'
(FT)
...,,,.
""""""'
(Fl')

l 1/D l600 l&(I() ll!OO 2..5 46 23

SECTION 8-B 2 1/D 7200 S600 3600 2..5 61 ,..

s vu 10800 5400 5400 ,.s 86 41

• vu 14000 7200 7200 3.0 SIC 4S

s 1/11 18000 IOOQ 5'000 3.0 101 50
6 IV 21600 IOIOO !OIOO ,.o SIC 46
7

•
JV
JV
= 12600 12600
14000
,.o
,.o
,oo
JO,
so

"""" '""° ,.o 110

"
9 JV 32400 16200 16200
"'
10 JV 36000
'"""' 18000 4.0 123
"'
•1 - PIPE OTJT1..EJ' (POS1), ll - STONE OUTI...ET (SOS"Tl, JV - ST01'"EJRIPRAP OUTU.T {SROS'J')

J, "Jbc lcaJ'h '°""'id:til mi,c..-0Wdbe2:J ,

:2. Wi.mll)Vi;o 1ec,m ud wi:tbd~applycc, lb&boaom oftbettap1.

4, lfUlc. Jtone <Kltid is \L5C!d UII 01JoajLlat!d011 widi rip-r-, C!llaonel ~ lhl!ll. tbl!I AMl.p reqi.tltmlmt wl be 3600
PERSPECTIVE VIEW cub.le f-Mi pnr acre. It tl:io rtoM o\lda ucl rip-rap apron as Ulllld, die 1-,th of die IP'('OCI willbe 1- mlaim'lltl:I of 10·.

4' MIN- WlDTH

2 CIIEST
,tlV"--,-.....,.-,,_..~~1,!I_C~S1
""
61 EllVATICN
I a• MINIMJM
(lJTl.ET ELEVATION
J.PR!lN ISE£ NOTEI

SECTION A-A

NOTE; 5' MIN LENGTH UP TD 5

ACRES, OVER 5 ACRES USE
10' MIN

FIGURE 5. 7EE Sediment traps.

&22 i@UH¥I F@Hi4Mii
cases, the design standard for the volume of sediment trap is
a single ratio applicable to all sites in a geographic location.
Sufficient storage should be provided to allow for adequate
settlement and overflow design for larger storm events.
Typically this is done by providing half the volume for "wet
storage" -sediment-laden runoff that pools within the bot-
tom of the trap, while the remaining 50% of the trap volume
is reserved for overflow runoff and is only temporarily stored
for as long as it takes to discharge through the outlet device.
This overflow volume is typically referred to as "dry storage:'
For the sediment traps that use weir type outlets, the rec-
ommended crest length, in feet, is 4 times the drainage area,
in acres, draining to the facility. If properly designed, the
sediment trap can provide adequate protection against down-
stream erosion problems. Failure of a trap can, in many cases,
be attributed to improper installation and maintenance. In
many of the traps, the pool is permanent and the outfall is only
for overflow of larger storm events. Hence it is important that
the trap be cleaned out after the sediment has accumulated
to 50% of the wet storage design capacity. If not maintained
properly, sediment will eventually accumulate and significantly
reduce the efficiency of the sediment trap. Also, the trap should
be inspected for damage, especially after large storm events.
5.7.11. Aesthetics and Safety of Discharge Areas
Sediment should never be discharged beyond the work area.
An appropriate control system should intercept all run-
off prior to being discharged from the site. In some cases,
sediment can be captured in trapping or filtering devices or
even portable sediment tanks or "silt bags" (inlet inserts) for
proper disposal. Treated or "clean'' runoff from erosion and
sediment control facilities should be directed to an appro-
priate discharge point or adequate outfall and the aesthetics
of this location considered during the course of planning/
designing the E&S plan.
- -- - - - - 70' !.11N .- - -- ---
A
SIDE ELEVATION
EXISTING
GROUND
3/4" - 2 1/2" :'\
COARSE AGGREGATE B I POSITIVE DRAINAGE
• MUST EXTEND FULL WIDTH TO SEDIMENT
OF INGRESS AND EGRESS TRAPPING DEVICE
OPERATION
PLAN VIEW
FIG uRE 5. 7 FF Typical construction entrance and wash rack.
Sediment on Pavements. It is imperative to keep silt and
sediment off of existing pavement. Even though the accumu-
lated sediment dissipates after several rain storms-the dissi-
pation indicates that the sediment-laden runoff has polluted
offsite systems. Wet soil is slippery and poses safety problems
for moving vehicles. Rather than take the risk of personal
injury to vehicle occupants or a major cleanup because of the
washed-out facility, the engineer should locate the trapping
facilities away from pavement and traffic areas.
Construction traffic exiting and entering the site is
another source of roadway sediment and frequent public
complaints that can result in a visit from the local inspector.
The contractor should exercise proper housekeeping prac-
tices by sweeping up any debris tracked onto the roadway
and using a stabilized construction entrance (Figure 5.7FF).
A stabilized construction entrance consists of a bed of 2- to
3-inch-diameter stone covering an area approximately 50 to
100 feet long and 10 to 30 feet wide. The actual size depends
on the type of vehicles using it. This area is designed to collect
the mud and sediment clumps accumulating on the wheels
of the construction vehicles. If the site is excessively muddy,
a wash rack is incorporated into the construction entrance.
The wash rack is a raised section of timbers or concrete, par-
tially buried into the stone. The wash rack, which raises the
wheels of the vehicle above the stone, allows the wheels to
be thoroughly rinsed before exiting the site. A small sedi-
ment trap, located on the low side of the wash rack, collects
the washed mud. When the stone bed accumulates excessive
mud, the stone is replaced.
Dust Control. One problem related to erosion and sediment
control, but frequently overlooked, is dust. Wind erosion is
one source of dust. On construction sites, traffic, machin-
ery, and other types of related operations (Table 5.7H) are
a major source of dust. On dry days, various types of con-
struction operations emit dust that becomes a nuisance to
~
3' MIN.
3' MIN .
FIL TERCLOTH
SECTION A- A
SECTION 8 - 8
 5.7 ■ EROSION AND SEDIMENT CONTROL 623

Dust control is a major concern on sites with soils con-

TAB LE 5 . 7 H Sources of Dust at
taining natural asbestos or minerals and geologic formations
Construction/Demolition Sites capable of generating asbestos such as actinolite or, in the
Construction Sites Mid-Atlantic states, the Orange soil group contains soils with
asbestos generating minerals. Construction sites with these
Pushing (land clearing and earthmoving) types of soils present should incorporate specific types of site
management measures into the construction sequencing to
Drilling and blasting control dust. These types of measures include minimizing the
Batch drop operations (loader operation) amount of denuded land by constructing the project in phases
and leaving stands of trees around and throughout the grad-
Storage piles (soil and construction aggregates) ing areas to dissipate some of the wind momentum and act as
a barrier. Another measure is the suppression of the dust by
Exposed areas
mulching or spraying water or adhesive chemicals over the area.
Vehicle traffic on unpaved surfaces Perhaps the most popular is wetting the surface with water. This
causes the smaller airborne prone particles to adhere to larger
Mud/dirt carryout onto paved surfaces soil masses. However, the rate and frequency of application
depends on climatic conditions and the traffic using the road-
Demolition Sites
way. Other types of spray-on materials include synthetic and
Explosive and mechanical dismemberment (blasting and organic adhesives that, although effective on certain types of
wrecking ball operations) soils, are more permanent than water. Consequently, the cost is
higher also. Chemical stabilization binds soil particles together
Pushing (dozer operation) to form a nonerosive surface crust (Table 5.71).
Artificial measures such as stabilized earth mounds,
Batch drop operations (loading debris into trucks)
fences, and walls can be incorporated into a site to create
Storage piles (debris) wind drag and act as barriers to stop the dust from leaving
the site. Recommended placement of barriers is perpendic-
Exposed areas ular to prevailing air currents at intervals of approximately
15 times the barrier height (Virginia Erosion and Sediment
Vehicular traffic on unpaved surfaces
Control Handbook). For those structures intended to be per-
Mud/dirt/debris carryout onto paved surfaces manent, the judicious placement and timing of construction
will allow them to serve as dust control barriers as well as site
(Source: U.S. EPA, Control of Fugitive Dust Sources, 1988) amenities or as zoning ordinance controls for such things as
privacy fencing. In the same manner, perimeter trees can be
surrounding property and residents. This dust also has an planted, however only select species may be effective.
impact on the air quality. According to the Virginia Erosion
and Sediment Control Handbook, an average value for dust 5.7.12. Construction Sequencing
emission at heavy construction sites is 1.2 tons/acre/month. A familiarity with construction sequencing and techniques
Construction operations can be terminated by the govern- will aid in the development of a cost-effective erosion and
ment agency (inspectors) in charge if the dust problem is not sediment control plan. It is costly for a contractor to interrupt
promptly addressed. construction operations to change the location of structural

TA BLE 5 . 71 Adhesives Used for Dust Controls

WATER DILUTION APPLICATION RATE
ADHESIVE (ADHESIVE:WATER) TYPE OF 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
(Source: Virginia Erosion and Sediment Control Handbook 1992)
&24 i@UH¥I F@Hi4Mii
measures or to add more. Construction sequencing (i.e., the
timely order in which particular items are built) depends on
the contractor and their construction procedures. Interre-
lated to this is the site itself, sediment and erosion control
ordinances, and the type of project.
Establish Perimeter Controls. Construction operations
usually begin with the establishment of silt and erosion con-
trol measures around the perimeter of the site (or area to be
worked on if the site is phased). Site clearing for perimeter
controls should be limited to only that minimal area neces-
sary to install the control measure. The perimeter controls
retain the sediment onsite, while allowing the early grading
operations to begin. These controls usually include the con-
struction entrance, silt fences, and tree protection.
Tree Preservation and Protection. The plans and specifi-
cations should include a written description and/or graphic
depiction of the recommended protection fencing and its
location relative to tree preservation areas, as well as preser-
vation techniques employed to accommodate grade changes
(tree wells, retaining walls, spring boxes, drainage, or aera-
tion systems). In addition, the horticultural care of preserved
trees, maintenance of open fields, and preservation or
treatment of spring boxes should be incorporated into the
final plans for all phases of construction including utility
installation, preconstruction treatment, and postconstruc-
tion maintenance.
Generally, the graphic preservation plan and written spec-
ifications are included in the final site plans and become part
of the construction permitting process. Larger jurisdictions
may have a separate forestry or natural resources staff, which
coordinates tree preservation requirements, whereas smaller
jurisdictions may rely on the forestry and natural resources
staff at the state level. Many jurisdictions now include preser-
vation plans as part of the legal construction documents and
assess penalties for open space preservation plan violations
just as they would for any other construction violation.
Successful preservation requires active, respectful com-
munication between all participants for the duration of the
project. This means not only between the members of the
development team but including anyone who will work on the
site. For instance, an uninformed contractor, involved in the
early stages of site construction can do unintentional but irrep-
arable damage to prospective preservation areas. Tree, open
space, and wetland preservation is no longer incidental to land
development, to be treated as an amenity; it has become both
economically prudent and environmentally essential.
Careful consideration of E&S at this phase of the design
is critical to understanding the construction process for
the proposed development program. A construction sequence
or project phasing should be developed that respects the con-
straints of the site while still providing sufficient space and
reasonable timeframes for requisite construction activity.
Planning for and performing the preliminary design of E&S
controls will help to minimize erosion and construction run-
off pollution as well as clarify critical areas requiring greater
attention during final engineering.
Clearing and Grubbing. Clearing and grubbing the site
involves removal of trees (that cannot be saved), stumps,
brush, and other debris. Included is the removal of the top-
soil layer and stockpiling it in an out-of-the-way location.
The stockpiled topsoil is temporarily stabilized with mulch
and seed. Silt fence or another suitable sediment control
measure is placed around the perimeter of the toe of the
stockpiled topsoil. This initial grading operation denudes a
large area, in a short time, making the area highly suscep-
tible to erosion. The remaining (non-perimeter) first-phase
erosion and sediment control measures are installed prior to
beginning grading operations.
In larger residential developments, clearing and grub-
bing is initially performed in the street areas and the first
few building sites, with roads occurring first. Typically,
these building sites are for the model homes that will be
used to market the project. In smaller single-parcel com-
mercial areas, the site is almost totally cleared due to the
high cost of land and the urgency in getting the site con-
structed. The limits of clearing and grading should be
carefully considered, developed, and monitored during
the course of the design process. Adhering to these limits
requires a detailed understanding of the development pro-
gram and careful consideration of construction sequencing
and contractor staging, storage, and operational needs. The
E&S plan must be coordinated and developed nearly paral-
lel with the grading plan in order to incorporate the recom-
mended working limits effectively.
Mass Grading. After clearing and grubbing, the contrac-
tor performs the mass grading of the site. Mass grading is the
moving oflarge quantities of earth to or from the site or within
the site itself. On sites where mass grading is necessary, cut
and fill areas are large and may not be conveniently localized
to optimize haul. Consequently, this operation is performed
with larger earth-moving machinery. In many cases, extensive
mass grading is necessary on a site due to poor site conditions,
rather than the result of bad planning and design.
Rough Grading. The next operation is the rough grading.
Rough grading is the reshaping of the site by moving small
volumes of earth, such that the site is brought to within
±0.2 feet of finished grade. This includes preparing the site
for foundations, compaction, and generally grading of the
site to fit the proposed drainage pattern. In areas where sub-
base and base treatments are required (e.g., streets and foun-
dations) the roughed grades are brought to within ±0.2 feet
of the proposed sub grade elevation. Where fill is to be placed
over the proposed utilities, the area is brought to the grade
slightly above (±4 to ±8 feet) the proposed invert elevation
of the utility trench. The utility is then installed and back-
filled with lighter construction equipment before completing
the remainder of the fill operation. This procedure protects
the utilities from being crushed by the heavier construction
equipment being utilized for mass grading operations.
The design and location of sediment controls should pro-
vide treatment during clearing, mass grading, and through
rough grading. Should the surface grades not direct the

runoff to the erosion and sediment control facilities, the
facilities should be relocated or new facilities built to accom-
modate the new drainage pattern.
Utility Installation. After rough grading operations are
complete, the utilities are installed. Usually the deepest utili-
ties and/or those dependent on gravity are installed first. The
main concern during this part of the sequence is the storm
sewer system. As construction progresses, the site grading
evolves such that the overland flow is directed to the storm
sewer inlets. As the independent branches of the storm sewer
system are complete and made ready to convey runoff, addi-
tional erosion and sediment controls are added around the
inlets. During the transition from the surface drainage pat-
tern to the proposed subsurface drainage pattern, some of
the initial erosion and sediment control measures are phased
out as the newer ones are phased in. However, no controls
can be removed without the upstream drainage area stabi-
lized and the permission of the regulatory inspector.
To facilitate construction, the design should be laid out
such that the major utilities (storm, sanitary, and water) can
be constructed simultaneously. For example, in townhouse
developments, the sanitary sewer branch lines are often
placed behind the units whenever possible. If the units are
basement walkouts, the sanitary lines need only to be mini-
mum depth. This design allows the construction of the sani-
tary lines in the rear, streets and storm drainage in the fronts,
and building pads to be worked on simultaneously.
Finished Grades. Finally, the site is brought to finished
grade. Finished grades are those that are shown on the con-
struction drawings or final grading plans. Final pavement
layers are installed on streets and parking areas and the land-
scape grading is done. Areas around buildings, yards, and
planting areas are brought to grade with the stockpiled top-
soil and readied for seed, sod, or other landscaping ameni-
ties. Essentially, the site is permanently stabilized.
The actual sequence of construction operations described
above will vary depending on the site, type of develop-
ment, contractor, and weather conditions. The construction
sequencing should coordinate with the erosion and sedi-
ment control plan as to give a verbal outline on how the site
should be constructed. There should also be flexibility in
the sequence to allow for changes in weather or contractor
preferences.
5.7.13. Erosion and Sediment Control Plan Content
A well-conceived plan for a project addresses the potential
erosion and sediment problems long before the final con-
struction plans begin. The overall erosion and sediment
control plan begins at the early planning stages of the proj-
ect. Such things as fitting development to the terrain, mini-
mizing grading in sensitive areas (e.g., steep slopes, areas of
highly erodible soil), and preserving existing vegetation, all
factor into the erosion and sediment control plan and must
be considered at the earliest stages of development. The spe-
cific design and placement of structural control devices is
done in the latter stages of project design, after the buildings
5.7 ■ EROSION AND SEDIMENT CONTROL 625
and infrastructure details have been worked out. This part
of the erosion and sediment control plan is dynamic in that
the erosion and sediment control measures change with the
phasing and sequence of construction. The final design stage
of the erosion and sediment control plan is a follow-through
of the overall plan devised at the beginning of the project.
The erosion and sediment control plan sheets, included
in the set of construction drawings, typically consist of plan
sheets, detail sheets, and a narrative. Together, they describe
and illustrate the procedures and measures that mitigate the
erosion potential of the site and prevent off-site sediment
damage. Many localities require an erosion and sediment con-
trol plan as part of the construction drawing set. The erosion
and sediment control plan is just one part of the construction
documents and as such, is subject to review and approval by
the specified public agencies. The length and complexity of
the plan depends on the project size, constraints of the site
and the regulations in effect. Hence, a relatively small site, in
terms of its acreage, may require extensive erosion and sedi-
ment control due to the soils, slopes, and environmentally
sensitive areas within it, while a large open site with very flat
uniform terrain may have minimal controls.
Development of an erosion and sediment control plan
initially requires information on
• The erodibility of the surface and immediate subsur-
face soils
• Extent and type of vegetation covering the site
• Hydrologic conditions; depth of rainfall for the
design storm and average intensity
• Topography; steepness of slopes, length of slopes, exist-
ing drainage pattern, contributing off-site drainage
• Capacity of outfall channels and downstream
structures
Most of this information is obtained from local govern-
ment agencies and other regional public agencies in the form
of maps and reports. Typically, most of this information has
been used earlier in the planning and design of the project
and is readily available.
The overall erosion and sediment control plan can be
broken down into three categories, where each category
addresses specific aspects of erosion and sediment control
for the site. The three categories are (1) planning, (2) design,
and (3) installation and maintenance.
During the planning phase, certain issues need to be con-
sidered in the layout of the site. If these issues are adequately
addressed, the selected measures in the later phases will be both
cost-effective and successful in eliminating off-site damage.
The issues considered early in the project are as follows:
• Fit the development to the terrain. Design and site
the building structures so that they are compatible
with the topography. Optimize vertical and horizon-
tal road alignments to minimize grading activity.
626 i@UH¥I F@Hi4Mii
• Identify the on-site soils for their erodibility. Soil
maps are available for most areas in the United
States from NRCS (Natural Resource Conservation
Service). Erodibility of soils depends on the slope
lengths and gradients. Long, steep slopes will have
more erosion potential. Hence, locating the soil
series and its erodibility on a topographic map of the
site will identify critical areas. The erodibility may be
given in general terms (e.g., slight or moderate) or
the erodibility of the soil may be identified by the
K factor of the USLE; the local Soil Conservation
Service office can supply the K factor values.
Configure the site to minimize the disturbance of
the highly erodible soils. Additionally, minimize
disturbance of existing steep slopes. Denuded
slopes exacerbate erosion potential regardless of the
erodibility of the soils on the slopes.
• Preserve existing vegetation. A site visit will identify
the areas of good stands of trees and vegetation.
Preserving existing natural vegetation not only
decreases erosion potential, but also enhances the
land value and conserves energy. Site the buildings
and structures to take advantage of the scenic value
of trees and vegetation.
Unfortunately, marketing issues, land values, and envi-
ronmental preservation quite often conflict with the pri-
orities of the developer, public officials, and citizens. It may
not always be economically feasible to develop the site in a
manner that best fits the interests of all parties. The priority
of the previously listed issues will vary from site to site. An
alternative is to compensate the erosion and sediment con-
trols through extra structural measures or more tightly con-
trolled construction phasing. Consideration should be given
to determine if the cost for the extra measures is warranted.
After the planning phase is complete and the planners have
done everything reasonable to meet the developer's goals,
comply with local ordinances, and address environmental
issues; then the next phase is to design the erosion and sedi-
ment control plans. These plans detail where, when and what
type of structural measures are to be installed, and include
any related computations supporting the design. Construc-
tion phasing is also shown on the plans.
The placement and sizing of structural measures requires
knowledge of construction techniques and construction
sequencing. The engineer who is unfamiliar with construc-
tion techniques can develop a plan, but in all likelihood it
will not be very efficient. When possible, the engineer can
coordinate the design of the sediment control plan with an
experienced engineer and/or the developer's contractor to
provide the most efficient set of plans possible and thereby
reducing the project cost.
Developing the Plan Sheets. To develop a set of erosion
and sediment control drawings that are feasible and cost-
effective, the designer needs to address the specific issues
previously discussed. Each site is unique, and the priority or
sequence of the issues is not always the same. To begin, the
engineer obtains copies of the plan sheets that show the loca-
tion of the buildings, streets, and utilities with the existing
and proposed grades. All other pertinent features should be
included on the plan sheets (e.g., streams, lakes, and other
environmentally sensitive areas, adjacent properties). These
sheets will serve as their worksheets to develop the erosion
and sediment control plan sheets. Depending on the project,
the designer may need to add a smaller-scale composite view
of the entire project to show the overall layout of multiple
large-scale plan sheets.
The main objective of the erosion control plans is to
clearly communicate the erosion and sediment control
design to the approving public agencies and the contractor.
This includes selecting the appropriate erosion and sediment
control measures and their location on the site. Table 5.7J
suggests the symbols used on plans and summarizes the
protection afforded by the particular measure.
First the engineer considers whether any specific phasing
is necessary. Phasing may be necessary if one area of the site
has to be graded before another to provide fill dirt for another
portion of the site or a stream crossing may dictate which por-
tion of the site is worked on first due to access or permitting
requirements. Another phasing requirement can occur dur-
ing some projects that require model homes to be constructed
first to promote marketing and sales within the development,
phasing of the erosion and sediment plan should be consid-
ered. The engineer needs to consider such issues at the outset
and weigh their impact on the project's development.
After establishing the need for project phasing, the lim-
its of clearing and grading that apply to the phasing are
addressed. Typically, the limits of clearing and grading are
the point where the proposed contours tie into the existing
contours. If any intermediate land-disturbing activities are
planned, the engineer may decide to show the clearing and
grading limits separately for each activity. For example, if
the entire site can be constructed (e.g., utilities, pavement,
and building) within the prescribed maximum cleared area,
only perimeter controls may be needed. If a site requires
mass grading and borrow areas, intermittent controls will be
necessary around the borrow areas as well as the immedi-
ate site area. Alternatively, the intermediate activities can be
described or clarified in the narrative.
Clearing limits for trenching of utilities often extends
beyond the width of the easement. The clearing limits for
these activities will depend on how deep the trenches are
and whether the contractor will use shoring to stabilize the
sidewalls. Sloping or benching the sidewalls of the trenches,
which is an alternative to shoring, requires extending the
limits of clearing and grading beyond where the proposed
and existing contours meet. If the trench walls will be sloped,
typically IH:1 V, the clearing limits will be a distance equal to
the depth of the trench on either side of the center line of the
excavated trench. Note, extra room is necessary on one side
of the trench for placing the excavated soil.
 5.7 ■ EROSION AND SEDIMENT CONTROL 627

TA BLE 5 . 7 J Summary of Symbols and Types of Selected Erosion and Sediment Control Measures
z
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TITLE KEY SYMBOL A B C D E F

__J
Temporary gravel construction entrance @ ----i
ti' ti'

Straw bale barrier @ ==

ti' ti' ti'
...... ' ... ............................. ' .................. ' ......................................................... .
Silt fence ® --
ti' ti' ti'

Storm drain inlet protection

...... ' ........... ' ...................... '
®
........... '
--¼-- ti'
.... ' . ' ...... ' ............................ .. ' ..... . ' .......... .
Temporary diversion dike @) ~ ti' ti'

Temporary sediment trap ® ti'

Temporary sediment basin ® ti' ti'

Temporary slope drain @ ~ ti' ti'

. .. .. .. ...... ......... . ...................................................................................... ... .
' ' ' '

Paved fl ume ® ti' ti'

Outlet protection @ ~ ti' ti'

. .... .................. ............... .............................................................. ............ .
' ' ' '

Check dams @) - ►- ►- ti' ti'

Level spreader @ ti' ti' ti'

Temporary seeding @ -@-- ti'

Permanent seeding @ --®- ti'

. ' ................ . .................................... ' .................. ' .. ' ...... . .......... ... ' ..... . ........ . .. .
Sodding @) --©-- ti' ti'

Mulching @ ti'

Tree preservation and protection ® ti'

Dust control ® ti'

(Source: Virginia Erosion and Sediment Control Handbook. 1992)

The selection and placement of erosion and sediment
controls is related to the existing drainage pattern of the
site as well as the intermediate drainage patterns during
construction and land phasing. The engineer delineates
the drainage divides for the site's existing and proposed
conditions. The drainage divides will reveal off-site sources
contributing surface runoff, drainage areas to existing
and proposed storm drain inlets, and drainage areas to
all outlet points discharging concentrated runoff outside
the denuded area. After establishing the existing and pro-
posed drainage divides, the engineer quantifies the run-
off for each drainage area. Depending on the jurisdiction
and size of the drainage area(s), either rational or NRCS
hydrologic methods may be used to compute peak runoff.
The engineer also needs to quantify the water discharged
onto the site from swales, ditches, and pipes conveying
&2a i@UH¥I F@Hi4Mii
water from off-site sources. On most projects, it is likely
that the drainage areas and calculations of the runoff have
been done during an earlier stage in the design process. The
design and installation of structural erosion and sediment
control measures may be considered a two-phase process,
described next-but in some cases a project may warrant
additional interim phases.
Phase I. The initial clearing and grubbing operation
denudes a large area. This is the most critical stage for control
of erosion and sedimentation. Before denuding a large area,
erosion and sediment controls are installed along the perim-
eter of the work area and at the outfall of the site. Since some
sites are not located along streams, outfall means anywhere
where concentrated water will be discharged from the site.
Placing these initial controls along the perimeter allows the
builder to begin clearing and grading operations with mini-
mum obstructions. The construction operations should be
able to continue with little interruption from relocating or
construction of additional controls.
Along the perimeter on the upslope sides, berms are built
to divert clean, off-site runoff away from denuded areas.
Along the low areas, berms and trapping facilities are con-
structed to divert and detain the sediment-laden runoff.
Silt fence or super silt fence is installed to filter sheet flow
runoff before leaving the site. If the denuded area is large
and the flow concentrated, major sediment basins may be
needed to protect the outfall points. These sediment basins
are kept in place until the proposed conveyance systems are
constructed and the upstream contributing area is stabilized.
Figure 5.7GG depicts a sample of a Phase I plan.
Phase II. As the construction operations progress, the
drainage pattern evolves from the natural one (existing
prior to construction) to the ultimate pattern, as shown
on the construction plans. This evolution creates smaller

I Dewberry·

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II

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. \N
i:ijii

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1:

1. Plan view with limits of work, drainage divides, and control systems
shown. Drainage areas and land cover to each control system should be
labeled. Interior work limits for Phase 1 may be delineated.
2. Control practices with detailed grading and reference to additional detail
and computation information should be shown.
3. Relevant notes and legend for control systems.

FIG uRE 5 , 7 GG Phase I plan content.

 5.7 ■ EROSION AND SEDIMENT CONTROL 629

drainage areas from the existing larger drainage areas. Dur-
ing the course of the evolution, modification to erosion and
sediment controls may be necessary to reflect the changes
in the drainage pattern. This includes eliminating any
unnecessary controls and establishing new controls where
appropriate.
As construction of the site progresses to the point where
the grading matches what is shown on the construction plans
and the area is permanently stabilized, sediment traps and
basins may no longer be functional and can be removed with
the inspector's approval. As other areas are stabilized with
vegetation and mulch, the erosion and sediment control
devices are removed and the area is reworked and graded
to match the construction plans. As always, the removal of
any control devices is contingent on the approval of a site
inspector representing the engineer or local public agency.
Figure 5.HH depicts a sample of a Phase II plan.
The Narrative. The narrative to the erosion and
sediment control plan is a list of notes that describe per-
tinent site features relating to erosion and sedimenta-
tion. The narrative conveys to others reading the plan,
the engineer's design intent for the erosion and sediment
control design. The narrative describes the expected ero-
sion and sedimentation problems, identifies the problem
areas, explains any phasing of land-disturbing activities,
clarifies any erosion and sediment control sequencing,
documents the types of measures to be used and the main-
tenance schedule, as well as the inspection and provisions
for repair of the measures.
The purpose of the narrative is to summarize the plan
for the reviewer in the public agency, the site inspectors,
and the contractor. In preparing the narrative, the engineer
assumes the reviewing agency personnel are not familiar
with the site and provides sufficient detail for their benefit.

l
I '
0
I
I
i
I
!
0

1. Plan view with limits of work, drainage divides, and control systems
shown. Drainage areas and land cover condition may be shown.
2. Proposed (final) storm sewer system shown and labeled to depict
conveyance and management practices.
3. Relevant notes and legend for control systems.

FIG uRE 5. 7 HH Phase II plan content.

&3o i@UH¥I F@Hi4Mii
The narrative needs to be short and concise yet still supply
the information needed.
Although the narrative may not be required in all juris-
dictions that require erosion and sediment control plans, it
is recommended that a narrative be included as part of the
erosion and sediment control plan especially for sites that
require complex arrangements of erosion and sedimentation
controls. The narrative explains the problem areas of the site,
specifically explains the phasing, and clarifies any confusing
situations shown on the plan view, which hopefully will help
avoid future problems.
The narrative should include information regarding the
following topics:
1. Project description: type of project, area that will be
disturbed, number of units (residential) or number
of buildings and associated square feet (single-
parcel commercial/industrial sites).
2. Description of existing site conditions: topography,
vegetation, streams, lakes, drainage features.
3. Description of adjacent areas which might be
affected by land-disturbing activities: streams, lakes,
roads, and residential and commercial areas.
4. Description of soils: soil series and their erodibility.
5. Critical areas such as steep slopes, wetlands, and
other environmentally sensitive areas.
6. Erosion and sediment control measures to be used
(e.g., berms, number of basins, and general location).
7. When construction phasing is necessary, a descrip-
tion of phasing sequence and amount of area to be
denuded is essential.
8. Maintenance: Identify a schedule for inspections,
clean out, and repair of the structures. Occasion-
ally, the phrase "as needed" is used as an all-
encompassing blanket phrase to describe when
repairs and clean out should be performed, but the
phrase should be avoided. Technically, the term
is vague; "as needed" by who? The public agency,
contractor, engineer, etc., will have different defi-
nitions for "as needed:' Therefore, the description
on inspections and repair should be explicitly
specified (e.g., "... every 2 weeks;' or "... after any
rainstorm greater than 0.25 inches").
9. Permanent stabilization: methods used to
permanently stabilize the site (e.g., seed, sod).
10. Calculations and assumptions: Design of sediment
basins, their efficiency, etc., requires detailed
calculations. Along with the calculations, the
engineer will have to make assumptions when data
is not available. The calculations should include
a brief heading describing the calculation. Some
jurisdictions require the calculations and assump-
tions to be included on the actual plan adjacent to
the particular facility they describe rather than in
the narrative.
An example of a narrative is shown in Figure 5.7II.
 5.7 ■ EROSION AND SEDIMENT CONTROL 631

General land conservation notes

I. All land conservation activities shall be perfonned in accordance with the latest Fairfax County checklist for erosion and
sediment control, the public facilities manual, and the Virginia Erosion and Sediment Control Handbook.

2. No disturbed area will remain denuded for more than 14 calendar days unless otherwise authorized by the director or his agent.

3. All erosion and sediment control measures arc to be placed prior to or as the first step in grading. First areas to be cleared are
to be those required for the perimeter controls.

4. All storm and sanitary sewer lines not in streets arc to be mulched and seeded within 5 days after backfill. No more than 500
feet arc to be open at one time.

5. Electric power, telephone and gas supply trenches arc to be compacted, seeded and mulched within 5 days after backfill.

6. All temporary earth benns, divmions and sediment control dams are to be mulched and seeded for temporary vegetative cover
immediately after grading. Straw or hay mulch is required. The same applies to all soil stockpiles.

7. During construction, all stonn sewer inlets will be protected by inlet protection devices, maintained and modified as required
by construction progress.

8. Any disturbed area not covered by note # 1 above and not paved, sodded or built upon by November 1, or disturbed after that
date, is to be mulched with hay or straw mulch at the rate of two tons per acre and over-seeded immediately.

9. At the oompletion of oonstruction projects and prior to the release of the bond, all temporary siltation and erosion controls shall
be removed and all disturbed areas shall be stabilized.

10. No area shall be left denuded for a period longer than 14 days except for that portion of the site in which work will be
oontinuous beyond 14 days. In the event such maximum period is exceeded and any such areas remain exposed without cover,
the county will (in the event the developer or builder docs not) install the necessary temporary or pennanent vegetative
stabilization measures to achieve adequate erosion and sediment control.

11. The cost of any such temporary measures taken by the county shall be borne by the developer and shall be a charge against the
conservation deposit.

Project description
The purpose of this project is to provide adequate ingress and egress from the property, allowing it to be fully developed into a residential
subdivision under the current zoning. The clearing and grading area required for this development is approximately 9 .42 acres.

Existing site conditions

The site is primarily wooded with some open areas found near the existing Vernon drive cul-de-sac. The site is divided into two distinct
drainage areas split by a ridgclinc that runs northwest to southeast through the site. The southern side of the site drains by sheet flow into
an existing adequate swale. This swale connects downstream to an unnamed tributary of Difficult Run, which drains through the Wolf
Trap Green subdivision. The remainder of the site drains by sheet flow and shallow concentrated flow to an existing unnamed tributary
of Difficult Run which crosses the northeast comer of the site. 100"/, of the onsite runoff enters these two swalcs. The majority of the onsite
runoff(approximately 70%) flows to the northeastern most swale. These swales ultimately convey the on-site stonn runofftoDitlicult
Run.

Soils
Soils were mapped by Fairfax County soil survey office February I0, 1982 with the following results: mixed alluvial land that is basically
oontained within the EQC line at the northeastern side of the property. Connection to an existing sanitary sewer and outfall of the stonn
sewer is proposed within the area of this soil. Meadowville silt loam at 3% slope, Manor silt loam at 6% in the rolling phase, and Glenelg
silt loam at 4% in the rolling phase. The meadowville soil type is characterized as having wetness problems and therefore creating possible
foundation problems. Adequate foundation drainage as well as inspection of foundation subgrades should be done on construction of these
areas. Glenclg silt loam and Minor silt loan, however, are characterized as having both good subsurface drainage and foundation support
but also a severe potential for erosion.

FIG u RE 5. 711 Erosion and sediment control narrative.

&32 i@UH¥I F@Hi4Mii
PHASE 1: (lpltjal clearing and grading)
Erosion and Sediment Control Measures

A. A oonslruc1ion entrance with a wash rack shall be installed) if water is not readily available, a water tank shall be the source of
water). A small temporary silt trap will catch wash rack water.

B. Silt fences and tree protection shall be installed as shown in this plan.

C. Two sediment besins shall be installed as shown on the plan. See sediment basin calculations on sheet 16 and details on sheet
11 . The sediment basins shall be inspected on a regular basis and restored to their original capacity when sediment has
accumulated to the clean out elevation. (See sediment basin computations.)

D. A temporary diversion dike will be installed near the limit of grading as shown on the plan and directed towards the sediment
basins.

Maintenance program
1. The site superintendent, or his/her representative, shall make visual inspection of all mechanical controls and newly stabilized
areas (i.e. Seeded and mulched and/or sodded areas) on a daily basis; especially after a heavy rainfall event to insure that all
controls are maintained and properly functioning. Any damaged controls shall be repaired prior to the end of the work day
including re-seeding and mulching or re-sodding if necessary.

2. All sediment trapping devices shall be cleaned out at 50% trap capacity and the sediment shall be disposed of by spreading on
the site or hauling away if not suitable for fill.

Drainage Area A:
The majority of the runoff contributing to this area is from the proposed Vernon Drive extension. A very small portion of the runoff comes
from offsitc as shown in the plan. Flows are picked up by structure 5. Flows are then conveyed to bed and banks on parcel "A" through
the underground stonn pipes.

Drainage Area B:
This area is comprised of portions oflots 3 through 8. Runoff is picked up at the low point in the cul-de-sac by structure 4. Flows are then
conveyed to bed and banks on parcel "A" through the underground stonn pipes.

Drainage Area C:
This area is comprised of portions of lots 8 and 9. Runoff is picked up by structure 6. Flows are then conveyed to bed and banks on parcel
"A" through the underground stonn pipes.

Drainage Area D:
This area iscomprisedoflots9, 10 and 11. Runoff is picked up by structure 7. Flows are then conveyed to bed and banks on parcel "A"
through the underground storm pipes.

Drainage Area E:
This area is comprised of portions oflots 15 and 16, and portions ofoffsite Kenmore Farms Lot "7." Runoff is picked up by structure 12.
Flows are then conveyed to bed and banks on parcel "G" of adjacent Wolf Trap Green, Section Two by means of underground storm pipes
and a sodded ditch.

Drainage Area F:
This area is comprised oflots 11 through 14. Runoff is picked up at the low point in the cul-de-sac by structure 11. Flows are then
conveyed to bed and banks on parcel "G" of adjacent Wolf Trap Green, Section Two by means of underground storm pipes and a sodded
ditch.

Drainage Area G:
This area is comprised of portions oflots 14 and 15, and offsite lots4 and 7 ofKenmore Farms. Runoff is picked up at a low point by
structure 13. Flows are then conveyed to bed and banks on parcel "G" of adjacent Wolf Trap Green, Section Two by means of the
underground storm sewer pipes and a sodded ditch.

Drainage Area H:
This area is comprised of portions oflots 12 through 14, parcel "B," and off.site lot 4, Kenmore Farms and Route 7. This area also receives
flows from drainage areas E, F and G through the underground storm pipes. Flows are conveyed by bed and banks on Parcel G of adjacent
Wolf Trap Green, Section Two by means of a sodded ditch.

FIGURE 5. 711 (Continued)

 5.7 ■ EROSION AND SEDIMENT CONTROL 633

Drainage Area I:
This area is comprised of a portion of lot 9 and the existing Myra drive tum-around. Runoff is picked up at the low point of the Myra Drive
tum-around by structure 8. Flows are then conveyed to bed and banks on parcel A through the underground storm pipes.

PHASE 2: {Final clearing and grading)

Erosion and Sediment Control Measures

A. After all sediment and erosion control measures have been installed in accordance with the phase I plan, and upon approval of
the county inspector, the contractor shall clear only the areas needed for street and utility construction to minimize erosion . As
soon as grading allows streets will be stabilized with base stone and the remainder of the site shall be cleared when necessary.
Phase I diversion dikes and basins shall be left in place for as long as possible and gradually removed after street areas are
stabilized.

B. Inlet protection shall be placed on storm inlets as soon as they are installed. Outlet protection shall be placed as soon as outlet
structures are in place.

C. For additional information please see land conservation notes.

Maintenance Program

The site superintendent, or his/her representative, shall make visual inspection of all mechanical controls and newly stabilized
area (i .e. Seeded and mulched and/or sodded areas) on a daily basis; especially after a heavy rainfall event to insure that all
controls are maintained and properly functioning. Any damaged controls shall be repaired prior to re-sodding if necessary.

2 AU sediment trapping devices shall be cleaned out at 50% trap capacity and the sediment shall be disposed of by spreading on
the site or hauling away if not suitable for fill .

FIG uRE 5. 711 (Continued)

REFERENCE
Boysen, Stephen M. 1974. Predicting Sediment Yield in Urban
Areas. Proceedings of National Symposium on Urban Rainfall
and Runoff and Sediment Control. Lexington, KY.
This page intentionally left blank
PART IV

POST-DESIGN
This page intentionally left blank
 CHAPTER 6

PERMITS AND CONSTRUCTION

Chapter 6.1 describes the post-design phase of work. During
this phase of work, the final site plan is typically approved by
the jurisdictional reviewers and the development applies for
permits. There are often several different permits required
prior to starting construction, and many jurisdictions require
that the project is bonded. This chapter introduces different
types of permits and bonds.
Chapter 6.2 describes all elements that come together to
establish construction and contractor documents, which are
used by the contractor during construction. These documents
extend beyond the design plans and include specifications,
bidding requirements, and other contract requirements. This
chapter also describes postconstruction serves that may be
provided by the design teams.

PRE-DESIGN DESIGN POST-DESIGN

~2_ _·- ---~>

CHAPTER2
Due Dilligence
CHAPTER3
Site Analysis
CHAPTER4
Conceptual &
CHAPTER 5
Final Design
CHAPTER 6
Permits &
Schematic Design Construction

FIG uRE 6. 1 A The land development design process.

637
 CHAPTER 6.1
PERMITS AND BONDS
6.1.1. Permits
When a local jurisdiction approves the final site plan, it repre-
sents a major milestone toward issuance of a permit (plan pro-
duction and approval process are presented in Chapter 5.1).
Permits are issued by public agencies to authorize the con-
struction activity proposed with the project's site and build-
ing plans. The construction drawings that are prepared by the
design team (such as the final site plan) are used to obtain
permits for construction activity and the occupancy of build-
ings. The architectural, engineering, and construction indus-
try is required to obtain permits before work can commence
on a project. Most of the permits required are related directly
to the development construction, environmental impacts, and
building components.
Development permits: The permits necessary for infra-
structure work will vary based on jurisdictional require-
ments. The permits are sometimes referred to as site
permits to differentiate between the environmental and
building permits. In some cases, a series of related permits
(transportation, environmental, etc.) are required before a
site permit is issued to begin work on the project.
Environmental permits: An environmental permit is
issued by federal, state, or local agencies for regulated
activities to ensure compliance with environmental
laws. Although a permit may be required because of
federal legislation, it may be issued by either federal,
state, or local agencies based on interagency (primacy)
agreements.
Building permits: Building permits are generally managed
by the building team, but they often rely on information
from the site plan. Some building permits, especially for
new construction, will require evidence that a site permit
has been obtained before the building permit is provided.
638
In addition to the construction drawings, most permits
require applications before a permit is issued. The applica-
tion ensures that all permit requirements are met. In some
cases, permits are required for work with minimal land dis-
turbance, such as large tents, sheds, or electric car charging
equipment. The permit process is often used to demonstrate
that the location of improvements are in conformance with
the zoning ordinance (height limitations, location relative
to property lines, etc.), which requires the development of
plans, narratives, and details.
Not all construction activity requires a permit. Most juris-
dictions will provide a list of work that does not require a
permit, such as minor areas of land disturbance or small-
scale building work. Minor building repairs, such as roof,
door, and window replacements, often do not require a per-
mit. Minor landscape work, hardscape improvements, or
general land disturbance less than a few hundred square feet
may also be exempt (but before digging, it's always necessary
to coordinate with subsurface utility locaters to determine if
utilities are present).
Development Permits. There are a variety of permits
related to infrastructure work, and construction activity will
often require separate environmental permits. Development
permits, as referenced herein, can include permit require-
ments that are not specific to environmental or building per-
mits (which are often regulated at the state or national level).
In most cases, an approved site plan is required prior to the
issuance of a development permit.
Site Permit. A site permit is often required prior to com-
mencing any land disturbance. The permit may also serve to
verify that all other necessary permits have been acquired.
For example, a redevelopment project may require demoli-
tion, grading, signs, wall, and environmental permits that
must be obtained prior to issuance of the site permit. The
site permit is an indication that the proposed site plan is in

conformance with all regulatory requirements (zoning ordi-
nance, subdivision ordinance, etc.)
Demolition. Demolition permits are often focused on demo-
lition of buildings (as opposed to infrastructure demolition,
which generally falls under the broader site permit). Utility
connections to existing buildings are a concern with building
demolition. The existing utility services should be identified,
and an appropriate plan should indicate how the utilities are
to be disconnected, relocated, capped, or abandoned. Older
buildings are often subject to inspections to determine if haz-
ardous material (asbestos or lead) may be present.
Grading. A grading permit is often issued in advance of
the site permit to allow early site work to begin while the site
plan is under final review. The scope of work is usually lim -
ited to earthwork and associated erosion and sediment con-
trol measures. The design documents for a grading permit
are often derived from the site permit and should be coordi-
nated with the final design work. Grading permits (or clear-
ing and grading permits) are often required prior to mass site
clearing, such as removal of existing vegetation.
Transportation Permits. The permits associated with
transportation systems are required for work associated with
public roadways or access from a public roadway. Construc-
tion entrance, driveway, and design permits are commonly
required by the Department of Transportation (DOT) for
new construction. Because a new site entrance will require
working within the roadway, the permits often require
approval of both a site plan and a traffic management plan.
There may also be separate design reviews, approvals, and
permits issued for traffic control systems (e.g., traffic signals).
Sign Permits. Many jurisdictions have stringent regula-
tions on the size, placement, and style of signs. A sign permit
often requires additional information, beyond what is shown
in the site plan, to detail the size and position of the sign. The
color and illumination of the sign may be controlled by the
locality. Sign permits may be required for temporary signs
(advertising future development) as well as permanent signs
for the development.
Temporary Permits. Permits associated with temporary
improvements, such as construction trailers or construction
parking, are often required by a local jurisdiction. Tempo-
rary systems will often require many of the same infrastruc-
ture improvements as permanent facilities. Power, water, and
sewage utility connections will be governed by the utility
provider. Temporary facilities often require compliance with
accessibility guidelines and may require land disturbance to
accommodate clearing and grading associated with the tern -
porary facility.
Miscellaneous Permits. Each jurisdiction will have a list of
required permits based on the proposed scope of work. Some
jurisdictions have additional permits for different utility
systems, fences, walls, removal (or planting) of trees, noise,
fire protection, and other conditions of development. Some
plans may be subject to review and permitting by the health
department for pools, septic, or well systems. The applicable
6.1 ■ PERMITS AND BONDS 639
permits and the requirements of each permit should be veri-
fied prior to commencing work.
Environmental Permits. Construction projects have the
potential to adversely affect valuable natural resources-
land, air, and water. These impacts can cause negative
changes in both physical and chemical characteristics of nat-
ural resources. Because of the complexity of the natural envi-
ronment, the land development process requires the input of
various environmental professionals with expertise related to
the site-specific features of the land to be developed. A parcel
ofland or a specific construction activity may require one or
more environmental permits due to the site location, natural
resources present, site features, type of construction, and/or
the final use of the facility. Permit requirements can vary sig-
nificantly based on state and local regulations. The climate
and the time of year also can be factors in permitting require-
ments for specific construction activities such as stream or
wetland disturbance and landscaping. Therefore, the devel-
oper needs to be aware of the environmental requirements
specific to the project and the permitting jurisdiction.
Environmental permits discussed in this chapter are related
to land development activities that affect air or water quality or
generate noise or waste materials. It is the responsibility of the
organization conducting the activity to ensure that all neces-
sary permits are obtained and the permit conditions met. The
length and duration of permits issued under federal laws will
differ depending on the type of permit and specific condi-
tions imposed by the permit. Most environmental permits are
issued for 1 to 5 years, with occasional permits issued for 10 to
15 years, depending on the anticipated length of the activity.
Obtaining environmental permits can be a complicated
process. The first challenge is to understand the variety of
regulations as they relate to the proposed activity and local-
ity. Once the potential permitting requirements are known,
the next step is to perform the necessary studies required to
complete the permit applications. Permits associated with
minimal impacts to the environment are typically referred
to as general permits. Typically, general permits cannot be
modified. The permitting process for general permits can
take 30 days to 6 months. Typically, these permits have spe-
cific timeframes, set conditions, and schedules for the agen-
cies to issue or deny a permit. Therefore, it is in the best
interest of a developer to evaluate ways to avoid or minimize
impacts to the environment in order to meet the criteria for
issuance of a general permit.
Projects that do not meet the requirements of the general
permit and have the potential of causing major environmen-
tal impacts typically require the issuance of an individual
permit. Individual permits are tailored for the specific proj-
ect and its impacts to the environment. Regulatory agencies
do not always have timeframes for issuance of an individual
permit; therefore, it could take 6 months to several years to
obtain such permits. These projects may also require sig-
nificant studies and documentation to determine the types
and magnitude (or significance) of potential environmental
&4o fatUhi!i F41Mitii/i,134U\lhii,i/i
impacts. These studies could include the National Envi-
ronmental Policy Act (NEPA) documentation preparation
such as a categorical exclusion document, an environmen-
tal assessment, or an environmental impact statement. As
introduced in Chapter 2.5, projects that could trigger NEPA
documentation must have a "federal action:' A federal action
could include projects that use federal funding or require a
federal permit and impact a federally listed species, a limited
access line associated with a federal highway, or a federally
listed historic property or structure.
Environmental Permitting Process. The increased aware-
ness of environmental impacts associated with land devel-
opment has resulted in a more stringent permitting process
involving coordination with multiple agencies. If the permit-
ting process is not incorporated into a developer's budget
and schedule, it could significantly affect project progress
or even stop work all together. Therefore, knowledge of the
environmental regulations and the permitting process is an
essential part of a successful land development project.
The permitting process is constantly evolving, and regula-
tory agencies recognize the need to improve and streamline
the process. Permit writers are finding new ways to improve
environmental and economic results through innovative
approaches to permitting. Some permits may contain incen-
tives to reduce the amount of pollutants or allow for more
operational flexibility; however, taking advantage of these
incentives can be labor intensive requiring significant moni-
toring during the construction and operational phases of a
project.
Although the requirements of an environmental permit
may vary significantly from state to state, the permitting pro-
cess is similar. Some permits may be relatively easy to obtain
based on the nature of the regulated activity and its potential
for minimal effects on human health and the environment.
For example, some permits require the applicant to meet a
standard set of conditions, complete the application, submit
a fee, and within 15 days receive an authorization for cover-
age under a general permit. Whereas on a project where the
potential impact to human health and/or the environment
is significant, an individual permit is required. The permit-
ting process associated with individual permits is both much
more detailed and lengthy. The overall permitting process for
both general and individual permits is similar with the latter
typically involving obtaining comments and/or approvals
from more permitting or review agencies. The process can
be divided into six distinct steps:
1. Pre-application
2. Permit application
3. Receipt and review
4. Revision
5. Public review
6. Final permit
This process is described in detail:
Pre-Application. In some states a pre-application meeting
with the regulatory agencies is recommended once the pre-
liminary plans for a site have been developed. This meeting
assists both parties in understanding each other's concerns
related to the project and may save the developer's significant
time and effort by identifying early on the "red flags" of the
proposed project.
Public involvement plays an important role in the process
of obtaining some permits. This can be initiated by holding
an informal public meeting referred to as a pre-application
meeting or can be incorporated into the county or state
public communication forum. The purpose of the meet-
ing is to explain to the public the intended activity and its
potential effect on the environment, including, if applicable,
the specific proposed process associated with the pollutant
and/ or waste stream that may be generated. The meeting is
announced by placing a sign at the site or other physical or
digital media. At the meeting, the organization (applicant)
responsible for the activity explains the plans and provides
the public with the opportunity to ask questions and make
suggestions.
Permit Application. Following the pre-application meeting,
the applicant fills out the permit application. Permit applica-
tions are often lengthy and may be required to include the
following:
• A description of the project, including physical
location, existing site conditions, distance to nearest
water body, primary watershed, the outcome of
previous coordination with the public or regulatory
agencies.
• How the facility will be designed, constructed,
maintained, and operated to be protective of public
health and the environment, including a demonstra-
tion of avoidance and minimization strategies to be
implemented.
• How emergencies and spills will be handled during
construction (and for industrial facilities after con-
struction) should they occur.
• Where or how mitigation for project impacts will be
accomplished.
• How the facility will clean up any environmental
contamination that could occur during construction.
• How public health and the health and safety
of the workers involved will be protected if
the development site is likely to contain any
contamination.
• How any waste streams generated during construc-
tion will be managed.
• If applicable, how an industrial facility will close and
clean up once it is no longer operating.

Receipt and Review. When a permitting agency receives an
individual permit application, it notifies the public that it has
received the permit and places a copy of the application in
a public area for review. The permitting agency reviews the
application to make sure it contains the information required
by the regulations. Some agencies do not post the project for
public notice until they have made a preliminary decision to
issue or deny the permit; in these cases what is posted is the
tentative decision.
Revisions. If the permitting agency is not satisfied with the
permit application or finds the information submitted to
be lacking or insufficient, they may issue a notice of defi-
ciency (NOD) or a request for additional information. NODs
identify and request that the applicant provide missing or
additional information. During the application review and
revision process, the permitting agency may issue several
NODs. Each time the permitting agency receives a response
from the applicant, it reviews the information and, if neces-
sary, issues additional NODs until they consider the applica-
tion complete. Given the complex and technical nature of the
requested information, the review and revision process can
take several months to several years to complete, depending
on the type of project, the environmental sensitivity of the
site, and the type and significance of the anticipated impacts.
Therefore, it is in the best interest of the developer to submit
permit applications that meet the administrative complete-
ness and technical requirements of the permitting agencies
involved in the process.
Public Review. When a permitting agency finds that the
permit application is complete and meets applicable require-
ments, the agency issues a draft permit containing the con-
ditions under which the proposed activity can take place if
the permit receives final approval. If the permitting agency
determines that an applicant cannot provide an application
that meets their requirements, the agency tentatively denies
the permit and prepares a "notice of intent to deny:'
In cases of individual permits, the permitting agency
announces its decision to the public by placing a notice
through digital or physical media. It also issues a fact sheet
to explain its decision. Once the notice is issued, the public
typically has 30 to 45 days to comment on the decision. The
public may request a hearing by contacting the permitting
agency. The permitting agency may also hold a hearing at
its own discretion. The agency typically gives 30-day public
notice before the hearing.
Final Permit. After considering public comments, the per-
mitting agency reconsiders the draft permit or the notice of
intent (NOi) to deny the permit. The agency then issues a
"response to public comments;' specifying any changes made
to the draft permit. Finally, the agency issues the final permit
or denies the permit.
After issuing a permit, the permitting agency may con-
tinue to monitor the construction and operation of the facil-
ity to ensure compliance with federal and state rules and with
the permit conditions.
6.1 ■ PERMITS AND BONDS 641
Several additional steps can also take place after the per-
mit is issued:
Permit appeals: Applicants and the public both have a
right to appeal the final permit decision. Administrative
law judges usually decide the appeal.
Permit modifications: In the case of construction activi-
ties, a permit modification will likely be required if
there are increased impacts to the environment. The
type of modification (either minor or major) depends
on the magnitude of impact increase anticipated. For
example, if impacts to a wetland or stream increase a
certain amount over the permitted acreage or linear
footage, a modification would be required and the
type of modification would be related to the amount
of increased impact. Public notice is typically required
for major modifications. In the case of industrial facili-
ties, if a facility changes its management procedures,
mechanical operations, or the waste it generates or
handles, then it must secure a permit modification.
For modifications that significantly change the facil-
ity operations, the public must receive early notice
and have a chance to participate and comment. For
minor modifications, the facility must notify the public
within a specified period of time prior to making the
change.
Permit renewals: The permitting agency can renew per-
mits that are due to expire. Depending on the type of
permit involved, permit holders that are seeking a permit
renewal may be required to follow the same procedures
as a facility seeking a new permit.
Permit terminations: If a facility violates the terms of its
permit, the permitting agency can terminate the permit.
Regulatory Enforcement. There are various methods
used to monitor compliance with conditions imposed under
environmental permits. An applicant may be required to
monitor or sample discharges or emissions and report the
results to the permitting agency. In addition, a permitee is
typically required, within a certain timeframe, to report
to the permitting agency when an activity is not in com-
pliance with the requirements of the permit. The report
should contain an explanation of why the noncompliance
occurred, how the activity has been brought into compli-
ance, and how the unauthorized activity will be avoided
in the future. The regulatory agency may also periodically
inspect the permitted facility or site as a means of monitor-
ing compliance.
Federal laws provide federal and authorized state regu-
latory agencies with various methods of taking enforce-
ment actions against violators of permit requirements. For
example, the Environmental Protection Agency (EPA) and
state regulatory agencies may issue administrative orders
that require facilities to correct violations and that assess
&42 fatUhi!i F41Mitii/i,134U\lhii,i/i
monetary penalties. Monetary penalties can be severe and
can be issued per activity that is noncompliant; for example,
a National Pollutant Discharge Elimination System (NPDES)
permit violation for a construction activity such as not hav-
ing a Stormwater Pollution Prevention Plan (SWPPP) could
result in a minimum fine of $10,000/day until the SWPPP
has been prepared in compliance with the regulation. The
laws also allow federal and state agencies to pursue civil and
criminal actions that may include mandatory injunctions or
penalties, as well as jail sentences for persons found willfully
violating requirements and endangering the health and wel-
fare of the public and the environment. If any member of the
general public finds that a facility is violating its permit that
person can independently start a legal action unless the fed-
eral or state regulatory agency has already taken an enforce-
ment action. EPA has an enforcement division dedicated to
providing national direction; leadership; and consistency in
case selection, development, and resolution and appeal of
civil judicial and administrative enforcement actions pursu-
ant to its statutory authorities.
Environmental Permitting Programs. Environmental per-
mits can be categorized into a wide variety of ways based on
the including environmental medium regulated, the regu-
latory agency administering the permits, or the permitted
activity. This section provides brief descriptions of some
of the more common environmental permitting programs
associated with land development.
Water. For the purpose of addressing water-related permits,
this chapter categorizes water into surface water, waters of
the United States including wetlands, and groundwater. Each
of these categories requires different aspects of environmen-
tal protection and must be managed in a responsible manner
to ensure their quality, quantity, and future availability.
Surface water: Surface water pollution can result in
conditions that are unsafe for drinking, fishing, swim-
ming, and other activities. Many studies have shown that
runoff from urban and industrial areas typically contain
significant quantities of the same general types of pollut-
ants that are found in municipal wastewater and indus-
trial discharge and cause similar water quality problems
(Virginia Water Control Board 1992). Therefore, as man-
dated by Congress under the Clean Water Act (CWA)
(as introduced in Chapter 2.5), the NPDES stormwater
program was created as a national program for address-
ing the nonagricultural sources of stormwater discharges
that adversely affect the quality of our nation's waters.
This permit is required for land development projects
on even relatively small sites. Specifically, an NPDES per-
mit is required if the proposed construction is expected
to result in the disturbance of more than 1 acre of total
land area. Some jurisdictions are more stringent in an
effort to protect unique resources; for instance, many
jurisdictions in the Chesapeake Bay watershed have low-
ered the limit for land disturbance to 2500 square feet.
Most states administer the federal program through
delegation of authority from the EPA. This is done
under regulations adopted by each state and approved
by the EPA. Land disturbing and development activi-
ties are required to create stormwater pollutant elimi-
nation facilities so as to improve the water quality of
receiving streams. For many years, these facilities were
required only to minimize soil erosion from entering
streams. Nitrogen and phosphorus are pollutants that
significantly harm receiving streams. Best management
practices (BMP) are now required in most jurisdictions
to prevent this type of pollution. These BMPs can be
structural or nonstructural. Refer to Chapters 3.5 and 5.5
(and 5.7 for temporary systems) for a more detailed dis-
cussion of these facilities. The degree of land disturbing
activity, location of the stormwater management facili-
ties, and their design are the subject of review and even-
tual issuance of a permit.
The EPA's NPDES permit application process for
construction sites is typically mirrored by the states
that have been granted issuing authority. Because this is
the most common general permit required to facilitate
development activities, the process for obtaining this
permit, per EPA's website, is detailed as follows:
1. Read the applicable construction general permit
(CGP) fact sheet and permit requirements. The
applicable CGP depends on the construction opera-
tor's NPDES permitting authority. EPA's national
CGP applies only in areas where EPA regions have
not granted the state permit-issuing authority.
2. Develop and implement an SWPPP. SWPPPs are
required for all CGP applicants. The EPA provides a
template for an SWPPP for construction activities on
its website. Note that an SWPPP must be developed
and implemented in accordance with the CGP prior
to submitting the NOi.
3. Complete and submit an NOi for construction activ-
ity to EPA's NOi Processing Center or the appropri-
ate state agency. Signing and submitting the NOi
form obligates the permittee to comply with the
terms of the CGP. EPA's NOi requires certification
that the industrial activity will not affect endangered
or threatened species protected under the Endan -
gered Species Act. This certification is unique to
EPA's NOi and is not a requirement of most NPDES-
delegated states' NOls. For information about a
particular state program or permit, contact the
appropriate state.
To terminate coverage, a notice of termination (NOT)
for industrial activity must be submitted to EPA's NOi
Processing Center. A permittee may submit an NOT
when

• Disturbed soils at the construction site have finally
been stabilized and temporary erosion and sediment
control measures have been removed (or will be
removed at an appropriate time).
• Stormwater discharges have been eliminated.
• The permittee is no longer an operator of the site.
Waters of the United States and wetlands: The CWA is
probably the most significant act in its effect on land
development activity, particularly the wetland-related
regulations found in Sections 401 and 404. Section 401 of
the CWA establishes a program to regulate the effects of
any discharges into waters of the United States including
wetlands. Section 404 of the CWA establishes programs
to regulate the discharge of dredged and fill material into
waters of the United States, including wetlands. Waters
of the United States considered jurisdictional are regu-
lated by the U.S. Army Corps of Engineers and include
streams, wetlands, and open waters (such as ponds and
~akes). Wetlands, as introduced in Chapter 2.5, generally
mclude swamps, marshes, bogs, floodplains, and similar
areas. The simplest strategy for dealing with waters of the
United States including wetlands on a particular project
is to know the location of the jurisdictional areas and
to avoid them in the development process. However, in
many instances total avoidance is not practical, and some
involvement with the regulatory process is inevitable.
Prior to planning and constructing developments
within waters of the United States and/or wetlands, the
applicant must show that no alternative site exists, that
ecological damage will be avoided and/ or be minimized
as much as practicable, and that there will be no "net
loss" of jurisdictional areas.
As discussed earlier in this chapter, the decision of
whether a general or individual permit will be issued is
based on the amount of impact on the streams and/or
wetlands affected by a project. States may incorporate
the permit application process into their adopted water
quality regulations. When this is done, it usually results
in a simplified process. However, there may be several
agencies including federal, state, and local agencies
involved in issuing and approving a permit. This field of
regulation is subject to rapid change, and the applicant
is advised to seek out the advice of those professionals
attuned to the water quality aspects ofland development
in the site's jurisdiction. Penalties for violating the federal
regulations, state law, and/or local ordinances are severe.
Groundwater: Groundwater accounts for approximately
two-thirds of the world's available freshwater supply and
is used for drinking water by more than 50% of the peo-
ple in the United States. Groundwater contamination can
occur when products such as gasoline, oil, road salts, and
other chemicals are released into the environment and
enter the groundwater, causing it to become unsafe and
6.1 ■ PERMITS AND BONDS 643
unfit for human use. Some of the major sources of these
contaminants are storage tanks, septic systems, hazard-
ous waste sites, landfills, and the widespread use of road
salts and chemicals.
The Safe Drinking Water Act was established to pro-
tect the quality of drinking water in the United States.
This law focuses on all waters actually or potentially
designated for drinking use, whether from aboveground
or underground sources. The act authorized EPA to
establish safe standards of purity. State governments,
which assume this power from EPA, also encourage
attainment of secondary standards (nuisance-related).
The Comprehensive State Ground Water Protection Pro-
grams (CSGWPPs) established a partnership between
the states, tribal governments, and the EPA to implement
EPA's groundwater protection goal and principles. State
and local governing agencies may have restrictions for
development projects that could potentially impact areas
that have been designated for wellhead protection.
Air. Air pollution can be defined as the presence of gases
or particulates at levels that cause harm to human health
or property. Air pollution can be caused by many different
sources that can include naturally occurring events such as
wind storms or volcanic eruptions and man-made activities
such as fugitive dust from land disturbance, vehicular emis-
sions, or emissions from industrial facilities. EPA or their
designated local authority currently regulates fugitive dust
on construction sites larger than 5 acres. Contractors must
file a fugitive dust emission control plan to be in compliance.
Smaller sites may be subject to local regulations (refer to
Chapter 5.7 for strategies on fugitive dust control).
The cumulative impacts of the air pollution caused by
development can have a significant effect on air quality.
EPA or its delegated state authority has various programs
in place under the Clean Air Act to minimize air pollu-
tion and protect and improve air quality. The specific stan-
dards for air quality vary depending on site location and
the activity being performed. The land developer could
be required to obtain an air permit and may be faced with
addressing issues associated with fugitive dust, open burn-
ing, and construction-related air quality impacts. In some
instances, a development may be proposed in a National
Ambient Air Quality Standards (NAAQS) nonattainment
zone (typically related to metropolitan areas). Information
about air quality issues at a specific site can be found on
either the EPA's website or on the particular state's envi-
ronmental department website. Construction activities in
these areas may require additional air permits and miti-
gation measures. Most states have a state implementation
plan (SIP) that incorporates the EPA-approved regulations
and other materials for meeting clean air standards and
associated Clean Air Act requirements.
A project that could have a significant impact on air
quality may require extensive air quality modeling in order
&44 fatUhi!i F41Mitii/i,134U\lhii,i/i
to verify that it will not significantly increase the constitu-
ents that exceed the NAAQS for the respective nonattain-
ment zone. Mitigation measures that may be required could
include reduced or restricted work hours or days, restrictions
associated with specific types of equipment or construction
materials, etc. A developer should consult with the local
jurisdiction as to what measures may be required so as to
plan accordingly.
Noise. Noise is considered a pollutant and can be consid-
ered a public nuisance. While its physical and emotional
effects are difficult to define quantitatively, the noise level
itself can be measured in decibels, and it is therefore reg-
ulated through permits. Cities and local municipalities
typically handle noise issues through local ordinances, so
specific requirements can vary significantly, depending on
location. The characteristics and conditions that are gen-
erally considered when determining if a noise is a public
nuisance include
• Noise intensity level (commonly measured in
decibels)
• Nature of the noise (natural versus unnatural)
• Origin of the noise
• Proximity to receptors
• The time of day (or night) when the noise is
generated
• Duration of the noise
• Whether the noise is recurrent, intermittent, or
constant
These characteristics are typically evaluated during the plan
approval process. If an environmental study has been deemed
necessary during the permitting process, a noise impact
assessment may be required. The noise impact assessment
evaluates the potential effect of the noise on local receptors
such as residential buildings, schools, and offices. In addi-
tion, the study also evaluates the effectiveness of various mit-
igation measures that can be incorporated into the project
and proposes adequate mitigation to address the magnitude
of the impact anticipated. A noise impact assessment would
likely be required if there are a significant number of recep-
tors impacted or if a federal action is triggered by the project
at hand.
Waste. Waste is generated at construction sites where there
is clearing, excavation, construction, renovation, or demoli-
tion of structures. This waste is considered construction and
demolition debris. Some of this debris can be managed on-
site. The remaining waste must be properly handled: either
recycled, diverted and reused, or ultimately disposed of at
an appropriate permitted landfill. For example, uncontami-
nated rocks, bricks, concrete, road demolition debris, and
dirt are not subject to solid waste regulations and therefore
do not have to be disposed of at a landfill. This debris may
be reused, recycled, buried on-site, or may be removed from
the site to be used as offsite fill as long as it is not placed in a
waterway or wetland.
New construction, especially on previously undeveloped
land, can generate vegetative waste that may be banned from
solid waste landfills. These wastes may be disposed of at a
composting facility or dealt with on site by burning, chip-
ping, grinding, or shredding. An air permit may be required
if the waste is burned on site and a registration process may
be required if chipped, ground, or shredded, depending on
the quantity of vegetative waste generated.
Contaminated or otherwise classified materials (i.e.,
RCRA classified) such as contaminated soil, groundwater,
asbestos-containing materials (ACMs), or lead-based paint
(LBP) often require special attention during land devel-
opment projects. Often, the contractor or applicant must
identify the ultimate (permitted) repository and establish
demolition, transport, and disposal plans in compliance with
applicable regulations.
State Permitting Contacts. Determining the types of envi-
ronmental permits that are required on a construction proj-
ect can be a very complex and time-consuming process. Some
permits are handled by federal agencies while others are the
responsibility of the individual state or local municipality. To
obtain additional information on federal programs, search
the EPA website under the names of the above-mentioned
programs. Most states have posted a comprehensive list of
the environmental permits required for varying activities,
and the appropriate contact should additional information
be required.
Building Permits. After site plan approval and permit (and
even when no site permit is necessary) building permits
are typically required for the construction of all structures.
The primary focus of review is architectural and structural
design, accessibility (where required), and connection to
means of access and other public infrastructure facilities.
Building permit review allows for examination of criteria
contained in both the zoning ordinance and building codes
applicable in the jurisdiction.
Required Submittals. A building permit application is,
in many jurisdictions, the "marriage" of architectural plans
and final, approved site or subdivision plans. Most munici-
palities prepare pre-printed application forms and checklists
[see Figure 6.IB(a) and (b)] showing a sample of the infor-
mation and plans that are required for the building permit
submission. The complexity of required documents is con-
tingent upon both the project and type of construction. A
general summary of building permit application packages
is as follows:
• For individual single family detached structures, sim -
ple lot grading, foundation, and framing plans may
be sufficient. Depending on the size of the structure,
preparation by an architect may not be required.
 6.1 ■ PERMITS AND BONDS 645

PRINCE GEORGE'S COUNTY •DEPARTMENT OF ENVIRONMENTAL RESOURCES •PERMIT OFFICE

9400 PEPPERCORN PLACE, SUITE 600, LARGO, MD 20774, 301-883-5900
APPLICATION FOR PLAN EXAMINATION AND PERMIT

Case Number Year Type Rev. : I Date

Site I Land Tax Account# I Election

District
I L-O• Block I Parcel I Tax Map I Grid
Information
Address Liber I F olio SCD#

City/I own/State/Zip Subdivision I Suite/Unit#

Tv"" or Permit Plea.se Check One Ex.lsU 112 Slie Use Please Clleck One
D New Residential D Misc. Residential D OPEN LANDNACANT LOT D Single Family DwclUng
D New Commercial D Misc. Commercial D Commercial BuUdlng D T ownhouses/Apl/C ondo's
D Addition D Alteratlon/Re11airs D Grocery Store D Shoppinl?J'Center/ Mall
D Gradlne D Loe~ine D Warehouse/Storage D Car/Sales/Wash/Repair
D Found/Bldg. D SWM/Concepl/ D Hospital D Library/School
11
D Use & Occupancy ( U&O) D Temp U&O D C hurch/Rectory/Synagogue D Parking Lots
D Sign (Bldg) D Sign (Ground) PROPOSED USE:
D Fire/Alarm/Hood D Fire/S11rinklers Property Information
D Mechanical □ S11ecJOther/Raze Water Sewer E lectric C o.
Property Owner Information D WSSC D WSSC D PEPCO
Coo1pa11y Name D C ity D City D B.G.E
Name: D Well D Septic D SMECO
Work Description & Job
Address: Height (ft) Width (ft) Depth (ft)
City/State/Zip Total Site Area Disturbed Area F loor A rea

Telephone Nun1ber Est. Construction Cost$

Contractor's InronnaUon U&O Occupant's Information
License Type & Number Com11any Name
Company Name Trade Name
Na me: Owner's Name:
Address: Address:
City/State/Zip City/Stale/Zip
Telephone Nwnber Telephone N umber
Fax N umber FaxNun,bcr
Archltect's/Ene,lneer's lnforniaUon Applicant's 1nrormaUon
Corupany Name Company Name
Name: Name:
Address: Address:
City/State/Zip City/State/Zip
Telephone Nun1.ber Tele11honeNumber
Fax N umber FaxNwuber
FOR OFFICE USE ONLY
Agency Reviewer Date Aeency Re,>lewer Date
M-NCPPC Structural. E ng.
DPW&T Electrical En11.
PERMITS Fire E ng
HEALTH Site E ng.

Applicant Signature Date Permit Specialist

I hereby certify thal I have authority of the property o'Mler to make this application and that the infonnation is complete and correct , and ij a pennt is issued, the construction
and or use will conform to the building code, the zoning ordinance and other appticable laws and regulations including private building restrictions, if any, v.tlich relate to the
property
5066/2004

FIG uRE 6. 1 B Sample building permit application form.

646 fatUhi!i F41Mitii/i,134U\lhii,i/i
Residential - Single Family Dwellings
The following plans are required to apply for a Single Family
Dwelling permit:
•One (1) Concept Approval Letter
•One (1) Approved Stormdrain Plan (if needed)
•Six (6) Site/Plot Plans - Signed and Sealed
•Two (2) Architectural Drawings - Signed and Sealed
•Two (2) Structural Drawings - Signed and Sealed
•Two (2) Landscape Plans
•One (1) Sediment Control Plan - Green stamp if the disturbed
area is greater than 5,000 sq . ft.
•Three (3) Tree Conservation Plans or exemption letter
Commercial - Townhouse
The following plans are required to apply for a townhouse
building permit:
•Seven (7) Site/Plot Plans - Signed and Sealed
•Two (2) Architectural Drawings - Signed and Sealed
•Two (2) Structural Drawings - Signed and Sealed
•Two (2) Electrical Drawings - Signed and Sealed
•Two (2) Mechanical Drawings - Signed and Sealed
•Two (2) Energy Calculations - Signed and Sealed
•Two (2) Landscape Plans - Signed and Sealed
•Two (2) Sediment Control Plans, one (1) green stamped
•Three (3) Tree Conservation Plans, or exempt letter
•Two (2) Approved Stormdrain Plans
•One (1) Concept Approval Letter
FIG uRE 6 .1 B (Continued)
• For residential subdivisions, overlot grading plans
showing connections to utility systems, soils infor-
mation and test data showing areas requiring special
treatment or alternate details for nontypical situ-
ations, as well as master architectural documents
showing foundation and framing plans for each
type of house, and structural connection details are
generally required. The municipality will normally
perform inspections at the completion of each phase
of building construction prior to allowing work to
be concealed, for example, closing in a wall before
the electric and/or plumbing in the wall has been
inspected and approved, in preparation for the next
phase.
• For complex residential (i.e., multifamily or mixed-
use applications) and nonresidential structures,
a complete set of construction drawings-archi-
tectural plans and site plans-showing all utility
connections and internal systems is often required.
Local regulations often establish elaborate testing
and inspection procedures with, in some instances,
provisions for third-party inspection by indepen-
dent firms.
Permit Review Criteria and Procedure. Building permit
applications are reviewed for compliance with appropri-
ate municipal zoning requirements, local, state, and federal
building codes, and other applicable regional and municipal
Commercial - Multi-Family Dwellings
The following plans are required to apply for a new multi-family
dwelling building permit:
•One (1) Concept Approval Letter
•Seven (7) Site/ Plot Plans - Signed and Sealed
•Two (2) Architectural Drawings - Signed and Sealed
•Two (2) Structural Drawings - Signed and Sealed
•Two (2) Electrical Drawings - Signed and Sealed
•Two (2) Mechanical Drawings - Signed and Sealed
•Two (2) Energy Calculations - Signed and Sealed
•Two (2) Landscape Plans - Signed and Sealed
•Two (2) Sediments Control Plans, one (1) green stamped
•Three (3) Tree Conservation Plans, or exempt letter
•Two (2) Approved Stormdrain Plans
•Two (2) Geo Technical Reports
Commercial - New Building
The following plans are required to apply for a new commercial
building permit:
•Seven (7) Site/Plot Plans - Signed and Sealed
•Two (2) Architectural Drawings - Signed and Sealed
•Two (2) Structural Drawings - Signed and Sealed
•Two (2) Electrical Drawings - Signed and Sealed
•Two (2) Mechanical Drawings - Signed and Sealed
•Two (2) Energy Calculations - Signed and Sealed
•Two (2) Landscape Plans - Signed and Sealed
•Two (2) Sediment Control Plans, one (1) green stamped
•Three (3) Tree Conservation Plans, or exempt letter
•Two (2) Approved Stormdrain Plans
•One (1) Concept Approval Letter
regulations such as certain energy efficiency standards that
have been codified or green building certification criteria
that the municipality has adopted. For zoning, the primary
concerns are proper setback from property lines, area of
building coverage, density and floor area, height, parking,
and other required facilities that support or are accessory to
the principal use of the property. Determining compliance
with the building codes requires extensive analysis of con-
struction details to ensure structural integrity and review of
internal systems for heating, plumbing, and electric service.
Building spaces, both interior and exterior, are assessed in
terms of the accessibility guidelines. Fire protection systems
and fire code construction standards are also reviewed.
As with other approval procedures, the designated lead
agency receives plans and distributes them to others. The
review is usually conducted in a single phase, although vari-
ous components of the structure may be reviewed by dif-
ferent departments or agencies. In addition to the payment
of application fees, other fees may also be collected at the
time of submittal. These include availability or connection
charges for utility services. Fee calculations may be based
on floor area, number of fixtures, projected usage, or other
indicators. In some communities, impact fees or other devel-
opment contributions (school contributions, parks and rec-
reation or public facility contribution to name a few) also are
collected at the time of permit application.
An approved building permit and payment of associated
fees give the owner/developer the legal authorization to start

the construction of a building project in accordance with
approved drawings and provisions. On the whole, a building
permit is required to erect, install, extend, alter, or repair a
building and must be posted in a conspicuous place until the
job is completed and passed as satisfactory by a municipal
building inspector.
6.1.2. Bonds
Upon completion of the review and approval of the final
site plan, additional administrative steps are necessary to
ensure that not only is the infrastructure construction com-
pleted, but that it conforms to the approved plans. These
guarantees take the form of enforceable bonds and agree-
ments. In most cases, the documents must be processed
before the issuing of permits that would allow construction
to commence. Bonds are often required prior to the issu-
ance of permits.
Bonds guarantee construction of public improvements
in accordance with approved plans. The financial institu-
tion that issued the instrument makes funds available to
the local government if the developer is forced to abandon
the project. The municipality is then able to construct the
improvements if the developer is unable to complete them.
Institutions that issue performance bonds usually examine
the credit worthiness and past performance record of the
developer and typically charge substantial fees for their ser-
vice and risk. The bond instruments have the effect of com-
mitting the capital and credit available to the developer for
future ventures. This provides strong motivation to com-
plete a project and fulfill the obligations of the bond so that
it can be released.
Often, performance bond guarantees are set at ll 0% of
the construction costs to help ensure municipal oversight
expenses are allocated in the event the developer defaults
and the bond or letter of credit is called upon. Performance
bonds are often not released until after a project is completed,
occupied, or accepted by public authorities. This ensures that
infrastructure will be finished, maintained, and, if damaged,
repaired by the developer. Both consumers and the juris-
diction are protected from incurring these expenses. Many
municipalities also allow for a reduction or replacement of
the performance bond, when all wet utilities, grading, and
paving are installed, with a maintenance bond. Maintenance
bonds are used to ensure quality of workmanship and cover
repair costs if a developer (or contractor) defaults after the
project is substantially complete.
The agreement is the legal, binding contract between the
developer and the permit issuing authority. The agreement
specifies the manner and date by which the construction as
shown on the approved plans shall be completed. A bond or
other forms of security approved by the local jurisdiction
backs the agreement.
The performance bond ensures compliance with the
terms of the agreement. The bond is usually the full amount
of the estimate for construction of the public improve-
ments. The submitting engineer determines the quantities
6.1 ■ PERMITS AND BONDS 647
of items subject to bonding and certifies to the accuracy of
the estimate. The bond amount is a reasonable estimate of
what one could expect to pay to have the improvements
constructed within the period specified in the agreement.
This estimate is reviewed and approved by the local juris-
diction as a part of the approval of the entire bond package.
It is not unusual for larger developments with consider-
able infrastructure construction to develop the project in
smaller sections to avoid the financial burden of bonding
the entire project.
Upon completion of the physical site improvements and
compliance with all other regulations, the bond may be
released. Some jurisdictions allow for partial release as ele-
ments are completed and accepted. An inspection is con-
ducted to ensure compliance with all previously noted code
infractions that all infrastructure construction is acceptable
to the agency assuming maintenance responsibilities, all fees
have been collected, and the as-built construction plans have
been approved.
Some localities require a conservation agreement and
bond in order to preserve those parts of the development
property that are to remain undisturbed. This is to ensure
protection of trees, historic structures, and the like. Accu-
rate identification of these areas is necessary to avoid errors
and misunderstandings. The conservation agreement also
ensures that the erosion and sediment controls are installed
and maintained.
The bonds are prepared once final site plans are
approved, based off the construction estimates. The bond
amount is usually determined based on the estimated cost
of the activity. Most jurisdictions impose a minimum bond
amount.
Bond Estimates. Bond estimates are generally developed
at the time of final site plan approval. A bond estimate will
often require a calculation of proposed materials (length
of pipe, area of clearing, number of fire hydrants, etc.), but
bond estimates are not intended to represent a construction
estimate. A bond estimate often follows a prescribed unit
price index (assigned by the jurisdiction) for each infrastruc-
ture element. In contrast, a construction estimate uses com-
petitive bidding to determine price and each contractor may
have a proprietary method of establishing the scope and fee
for each infrastructure element.
Quantity takeoffs for the project are often reserved until
the site plan is approved or near approval. If plan revisions
are necessary, some jurisdictions may require a revision to
the bond amount. Bond revisions may also be required after
a given period (several years) to accommodate inflation.
Bond cost estimates should be prepared and approved by
qualified professionals; in some cases, the bond estimates are
required to be signed and sealed by a professional engineer.
This is to ensure thoroughness and credibility of the esti-
mate. It is important that somewhere in the process an indi-
vidual with knowledge of the details of construction work
will perform a constructability review and either develops
the estimate or checks the efforts of others.
64a fatUhi!i F41Mitii/i,134U\lhii,i/i
It is important during the development of the bond cost
estimates that the latest available information be used. In
some cases, the jurisdiction may have information that
should be used for bond estimates. A local DOT or other
public agency may publish historic prices from recent proj-
ects. The developer and site engineer need to be wary of data
that is significantly aged, which is often not accepted for use
in a bond estimate. Other information, such as soil condi-
tions, quantity of rock, quantity of unsuitable soil, or the size
and location of unmarked utilities, can be more difficult to
estimate.
In general, the bond estimate should include the quanti-
ties and unit costs of all items needed to construct the proj-
ect. The bond cost estimate can be used for some of the same
items as identified for the preliminary estimate such as loan
applications, cash flows, and to develop market prices. In
addition, this estimate can provide the developer with area-
sonable guide of the amount of funding needed to complete
the project, but a bond estimate is not meant to replace a cost
estimate that is prepared specifically for construction cost
estimation purposes.
For bond estimates, a contingency of 10% to 20% is usu-
ally employed, depending on the source and timeliness of
the unit costing. Many jurisdictions will prescribe the con-
tingency to be used. The contingency is an indication that
the bond estimate is not meant as an accurate representation
of the project cost; the bond estimate does not include all
considerations ofrisk, fluctuations of material costs, project
management, potential for revisions, and other common
conditions of construction.
6.1.3. Post-Design Services
Once the final site plan is approved, the land development
consultant can pursue the necessary permits required to
break ground at the site. During this phase of the project, the
design work has been completed (except for potential revi-
sions or addendums) and the effort focuses on permit pro-
cessing, which often includes bonds, agreements, and permit
applications. After the permits have been secured, the proj-
ect can move into the construction phase. Construction is
the final step in the land development process: it is the phase
where the project truly comes to life and all design efforts are
realized in tangible form. Although the contractor typically
becomes the "lead" consultant at this stage, the design team
remains a valuable resource.
Construction phase services for the design team will vary
between projects and clients. The scope for the design team
often depends on the type of project, capabilities of the gen-
eral contractor, the project schedule, and budget. When pos-
sible, it is recommended that the site engineer be retained
throughout construction to facilitate project completion and
ensure correct implementation of design strategies. Inevita-
bly, despite everyone's best efforts during the actual design
phases, issues may arise during construction. Whether it's a
result of unforeseen conditions or different interpretations of
the design intent, the site engineer who has been involved in
the project from the beginning is best suited to resolve these
problems amicably before they escalate.
Post-design phase services for the site design team could
include
Engineering
• Bond estimates and applications, as required for
construction.
• Shop drawing or product submittal review and
approval.
• Requests for information (RFI) review and approval.
• Inspections, depending on the jurisdiction and their
inspection program and, particularly, if custom
design facilities are installed.
• Field revisions are often minor in nature and
are, in the opinion of the engineer, in substantial
compliance with approved plans. They are typically
accomplished through small exhibits and reflect a
coordinated effort between the contractor, client,
engineer, and jurisdictional inspector, if present.
• Formal revisions to the plan may be required in
order to accommodate substantial changes that do
not retain the spirit or intent of the approved design
documents. Formal revisions are processed through
the approving jurisdiction and ensure that the proj-
ect, client, and contractor remain in compliance
with local standards, regulations, issued permits,
and binding agreements.
Surveying
• Construction stakeout surveys
• As-built surveys
General
• Green building documentation services: If formal
third-party certification is a project priority, addi-
tional documentation and submission of construc-
tion-related efforts may be required.
• Postconstruction services ranging from bond
reduction and release documentation to occupancy
permit procurement and public street acceptance
are all "punch list" type items that the land devel-
opment consultant often facilitates given their
familiarity with the project and jurisdictional
requirements.
• Operations and maintenance training and educa-
tion for infrastructure systems. As consultants
move toward providing project life cycle services,
this postoccupancy requirement will take on larger

significance: from initial user education to dynamic
as-built project logs (drawings linked to databases)
such that owners, operators, and/or maintenance per-
sonnel have not only a record of what was built but the
ability to access and store information-maintenance
or replacement logs, complaints, ownership notes,
etc.-on individual site and building features.
Construction, postconstruction, and postoccupancy land
development services are evolving at a rapid pace. Hastened
6.1 ■ PERMITS AND BONDS 649
by improved technologies, computer applications, and the
implications of synergistically designed infrastructure sys-
tems, these services represent the next step in comprehen-
sive, client-focused project delivery. For more information
on construction phase services, refer to Construction Practices
for Land Development (Dewberry).
REFERENCE
Virginia Water Control Board. 1992. Richmond, Virginia: Virginia
Water Control Board.
 CHAPTER 6.2
CONSTRUCTION DOCUMENTS
AND CONSTRUCTION PHASE
SERVICES
6.2.1. Introduction
For a project to be successful, the project requirements must
be fully and properly communicated to the construction
contractor-this often requires more information from what
is provided with the site plan. Additional information may
include specifications, details, and performance criteria. The
communication of these requirements is achieved through
the project construction documents. The term "construction
documents" refers to the inclusion of all information neces-
sary for the construction phase of work. Chapter 5.1 provides
reference to some of the design information that is often
included in the construction documents. The composition of
construction documents has evolved over time and will often
vary by project, but generally the drawings and specifications
are compiled with a legal agreement (contract) to establish
the construction documents.
The construction documents are often organized
to include bidding documents and a project manual.
Figure 6.2A provides reference to the information that is
provided in each set of documents. In general, the project
manual includes information for the contractor related to
bidding, contract forms, and the contract conditions. The
project specifications (defined in this chapter) are often
associated with the project manual. When the project man-
ual is combined with the design plans, the set is referenced
as the bidding documents-this set of information is used by
the contractor to bid the project. Any additional changes
to the design or contract are included within the final set of
information referenced as the construction documents, and
650
once the contract is signed, the package is referred to as the
contract documents.
The content of the construction documents, particularly
as it relates to the contract terms and conditions, will dif-
fer depending on whether the developer is a public sector
entity, (local, state, or federal government) or a private sec-
tor business or corporation. In general, public sector clients
have prescribed requirements, regulations, and standards
that must be incorporated into the contract and construction
documents. This may include public bidding and procure-
ment regulations and procedures, required design standards
and specifications, and special documentation and report-
ing requirements. Private sector clients generally have more
flexibility regarding construction bidding and procurement.
Because the deliverables and process can vary with private
sector clients, it's important to communicate the require-
ments for construction documents.
It is important to recognize that after the construction is
complete the project will need to be maintained and man-
aged. This demands that the design team give proper consid-
eration and weight to minimizing the project impacts to the
environment, operational, and life cycle costs. During con-
struction, the design team can continue to advise the devel-
oper and contractor on low-impact development strategies
by considering materials used, the source of materials, trash
and recycling operations, site cleaning and maintenance, and
other operational considerations. Eventually, a new develop-
ment program may be established to modify or reconstruct
the project. This project cycle is illustrated in Figure 6.2B.
 6.2 ■ CONSTRUCTION DOCUMENTS AND CONSTRUCTION PHASE SERVICES 651

CONSTRUCTION DOCUMENTS

CONTRACT DOCUMENTS

FIG uRE 6. 2 A Components of the construction documents: biding documents, typical project
manual, and contract documents.

DEVELOPMENT
6.2.2. Construction Documents
PROGRAM
As the typical land development project progresses through
the different design and permitting phases, the design pro-
fessional is generally focused on preparing the project draw-
PRE-DESIGN ings and specifications. After final design is complete, the
design professional often prepares and assembles the other
documents that constitute the construction documents.
Because these documents become a legal binding agreement,
it is important to have the owner's legal counsel address the
contract form and provide a review of the contract docu-
ments. The documents typically include
PRELIMINARY
DESIGN 1. Construction drawings
2. Specification
3. Bidding/procurement requirements
DETAILED
DESIGN 4. Contracting requirements

Additional content on these documents is provided herein.

Construction Drawings. The site plan drawings for a proj-
ect go through various stages of development from con-
ceptual to final as addressed in Chapters 2 through 5. The
drawings at each stage of development also serve a purpose
POST- in the project development, permitting, approval, bidding,
DESIGN and construction process. The site plan that is approved for
permit will generally be used within the construction docu-
ments, but in some cases supplemental information will be
included.
Construction drawings may expand upon the permit set
OPlllATIONS AND
MAINTENANCE to include additional details. Developer requested details
may include enhanced landscaping plans, specialty hard-
FIG uRE 6. 2 B Project cycle. scape, site furnishings, or value engineering decisions that
&52 fatUhi!i F41Mitii/i,134U\lhii,i/i
go beyond the requirements for site plan approval from the
local jurisdiction. These additional details can be included in
the permit set of documents but may be intentionally sepa-
rated from the permit. The decision on how the construction
drawings are formatted is determined by the design team
and the developer.
Specifications. The specifications provide a written
description of the project requirements, construction mate-
rials, and the quality and performance standards for the
products, systems, and equipment to be incorporated into
the project. Specifications complement the drawings by pro-
viding an opportunity to communicate additional informa-
tion to the contractor that would otherwise be difficult to
include within the construction drawings-project specifica-
tions can be hundreds of pages of text.
The specifications are typically organized under gen-
eral requirements and technical specifications. The general
requirements address requirements that apply broadly to the
entire project. This includes project administration, quality
control, temporary facilities, payment procedures, and proj-
ect closeout requirements. The general specifications are also
referred to as front end specifications.
The technical specification sections are organized by
major work type (i.e., site preparation, utilities, grading, etc.)
and define in detail the requirements for the products, equip-
ment, materials, and workmanship. Technical specifications
are written in four ways:
1. Descriptive specifications provide a very detailed
description of the properties, workmanship, and
installation requirements of a product, material, or
equipment item.
2. Performance specifications provide a description of
the required end product or results. The specifica-
tions set performance criteria and allow the con-
tractor the flexibility to choose materials, systems,
and equipment to meet the specified performance
requirements.
3. Reference standard specifications use standard
specifications developed by recognized trades,
professional, and government organizations. These
standards are simply incorporated into the technical
specifications by reference.
4. Proprietary specifications are very specific and pro-
vide the contractor limited or no flexibility to choose
amongst varying options. Proprietary specifications
provide the supplier or manufacturer's name, prod-
uct name, and specific characteristics. In general,
proprietary specifications are not allowed in public
sector work as it limits open and fair competition.
In some cases, a project can reference public specifications
for applicable project work. For example, the specifications
for roads, curb, and storm drains may come from the Depart-
ment of Transportation. Sanitary and water specifications
may be authored by the utility provider. Similarly, specifica-
tions for erosion and sediment control measures may come
from the jurisdiction. If publicly available specifications are
used with the project, they should be reviewed by the design
team to verify they are applicable or they should be modified
as needed.
As an example of specification scope and language, some
text from the FHWA "Standard Specifications for Construc-
tion of Roads and Bridges on Federal Highway Projects" is
provided in Figure 6.2C.
The information and requirements contained with the
specification (as noted in the FHWA example) supplement
the details and information shown in the construction draw-
ings. The requirements of the specifications should match
the notes within the construction drawings and extend into
details about how construction should be performed to
ensure the desired result of the finished product. In many
cases, the specifications also place conditions on when work
can be performed based on soil moisture conditions or out-
door temperature.
With the importance of energy conservation and sustain-
ability in the design and construction industry, it is critical
to incorporate into the technical specifications the desired
environmental performance requirements and criteria of the
products and materials to be used in construction. This starts
in the early stages of the design process when the design
professional and owner make decisions on the project goals
and strategies relative to energy efficiency, sustainability,
and environmental performance. These goals and strategies
are carried forward through the design process and devel-
opment of the final construction documents, including the
technical specifications. These environmental performance
requirements become even more important if the project is
seeking a certain certification level for sustainability as pro-
vided through various standards. Additional specification
requirements for sustainability goals may include require-
ments such as listing acceptable sources of material used in
construction (often based on distance from the project) or a
management plan for waste and recycling.
Bidding/Procurement Requirements. The bidding/
procurement requirements are the instructions and infor-
mation to prospective bidders (contractors) for a project.
In general, the bidding/procurement requirements allow an
owner to solicit competitive bids for the project with all bid-
ders basing their estimates or proposals on the same infor-
mation and subject to the same contracting requirements.
One important item addressed in the bidding/pro-
curement requirements is whether the bidder/contractor
would need to provide a performance and payment bond
for the construction work. A performance and payment
bond is a warranty to the owner that provides protection
to the owner in the event the contractor does not properly
perform the work, does not pay his subcontractors and
suppliers, and/or defaults on the contract (this is a dif-
ferent bond from those described in Chapter 6.1, but is
analogous in intent).
 6.2 ■ CONSTRUCTION DOCUMENTS AND CONSTRUCTION PHASE SERVICES 653

Section 609. - CURB AND GUTTER

Description

609.01 This work consists of constructing or resetting curb, combination curb and gutter, or wbeelstops.

Material

609.02 Conform to the following Sections and Subsections:

Asphalt concrete 403

Bedding material 704.02
Concrete coloring agents 711.05
Minor concrete 601.
Mortar 712.02
Reinforcing steel 709.01
Rock for masomy structures (stone curbing) 705.03
Sealants, fillers, and seals 712.01

Construction Requirements

609.03 General. Excavate and backfill according to Section 209. Place and compact the bedding material.
Compact the bedding material with at least three passes of a lightweight mechanical tamper, roller, or
vibratory system.

609.04 Stone and Precast Concrete Curb. Do not use stone with visible drill marks on the exposed
faces.

Conform to the dimensions of stone curb specified and the following:

(a) Type l. Saw or point the top surface of vertical stone curb to an approximate true plane with no
depression or projection on that surface of over ¼ inch (6 millimeters). Pitch the front and back arris
lines straight and true. Limit projections or depressions on the back surface to not exceed a batter of
1 inch (25 millimeters) horizontal to 3 inches (75 millimeters) vertical.

Saw, point, or smooth quarry split the front exposed face of the vertical stone curb and form to an
approximately true plane. Limit projections or depressions on the remaini_ng face di tance to I inch
(25 millimeters) or less from the plane of the exposed face.

Square the ends of vertical stone curb with the top back and face and finish so when the sections are
placed end to end, shows no space more than ½ inch (13 millimeters) in the joint for the full width of
the top surface and for the entire exposed front face. The remainder of the end may break back no
more than 4 inches (100 millimeters) from the plane of the joint. Cut the joints of circular or curved
stone curb on radial lines.

Make stone curb segments at least 48 inches (1200 millimeters) long, but the length may vary where a
depressed or modified section of curb is required for driveway , crossings, or closures.

(b) Type 2. Confonn to the requirements of Type 1 stone curb for slope stone curb, except as follows:

The maximum allowable projection or depression on a horizontal top surface is limited to ½ inch
(13 millimeters). On other exposed faces, the maximum allowable projection or depression is limited
to 1 inch (25 millimeters) .

For unexposed surfaces, the maximum allowable projection or depression from a true plane on a
24-inch (600-millimeter) length is 3 inches (75 millimeters).

The maximum allowable space showing on exposed faces between adjacent segments of slope stone
curb is ¾ inch (19 millimeters). Make slope stone curb segments at least 24 inches (600 millimeters)
long.
FIG uRE 6. 2 C Example of a specification section, from Federal Highway Administration, Standard Specification for Roads
and Bridges on Federal Highway Projects.
&54 fatUhi!i F41Mitii/i,134U\lhii,i/i
Clean the curb material thoroughly and wet it just before setting. Set the curb in bedding material so the
face and top lines are to line and grade. Make the joints ½ to I inch ( 13 to 25 millimeters) wide and fill the
joints with mortar.
Complete the first 25 feet (8 meters) of curb to demonstrate the ability to build a curb conforming to these
requirements. Do not continue construction until the 25-foot (8-meter) test section is approved.

Where a concrete pavement is constructed contiguous to the curb, construct the joints in the curb directly
in line with the pavement expansion joints.

Make the curb joint ¾ inch (I 9 millimeters) wide and fill it with expansion joint filler of the same nominal
thickness as the pavement joint. Fill voids between the joint filler and the curb with mortar.

609.05 Concrete Curb or Curb and Gutter. Perfonn work according to Section 60 I. The curb or curb
and gutter may be cast-in-place or sLip-formed.

(a) Cast-in-place. Use forms that extend for the ful I depth of the concrete. Use curved fonns for curb
with a radius of300 feet (90 meters) or less.

(1) Contraction joints. Construct curb in section of unifonn I 0-foot (3-meter) leni:,>ths.
Construct contraction joints ½ inch (3 millimeters) wide. se metal divider plates. When the
curb is constructed adjacent to or on concrete pavement, match the contraction joints in the
pavement.
(2) Expansion joints. Form expansion joints at intervals of 60 feet ( 18 meters) using a ¾-inch
( 19-millimeter) thick preformed expansion joint filler. Where the curb is constructed adjacent to
or on rigid pavement, match the expansion joints in the pavement.
Finish the concrete smooth and even with a wood float. Broom finish parallel to the curb lin
according to Subsection 552.14(c)(2). When an exposed aggregate finish is required, finish according
to Subsection 552.14(c)(4). Leave forms in place for 24 hours or until the concrete has set sufficiently
so the fom1s can be removed without banning the curb.

(b) Slip-formed. Use a self-propelled automatic curb machine or a paver with curb attachments. Use a
machine that is heavy enough to obtain consolidation without the machine 1iding above the foundation.

Adjust the concrete aggregate gradation, if necessary, to produce a curb or curb and gutter that has well
defined web marks of water on the surface.. Remove and replace sections with craters larger than
3/i 6 inch (5 millimeters) or other sections determined to be damaged or defective. Repairing surface
craters and other defective sections by plastering is not permitted.

After the concrete has hardened ufficiently to permit sawing without damage, saw contraction joints
according to Subsection 609.0S(a)(l). Construct expansion joints according to Subsection
609.05(a)(2).

609.06 Asphalt Concrete Curb. Where curb is constructed on a pavement, place a tack coat according to
Section 412 on the area under the curb.

Construct asphalt concrete curb according to Section 403. Use a self-propelled automatic curb machine or
a paver with curb attachments that is heavy enough to compact a curb without riding above the foundation.
Make the curb unifonn in texture, shape, and density. Curb may be constructed by other means only in
short sections or sections with short radii.

609.07 Resetting Stone or Precast Concrete Curb. Carefully remove, clean, and store the curb. Cut or fit
the curb as necessary for installation. Replace lost, damaged, or destroyed curb. Reset the curb according
to Subsection 609.04.

609.08 Wheelstops. Pin the wheelstops in place with two 36-inch (900-millimeter) sections of o. 6
( 19M) reinforcing steel or ¾-inch ( I 9-mill imeter) steel rods. Reset wheel stops in the same manner.
FIG uRE 6. 2 C (Continued)
 6.2 ■ CONSTRUCTION DOCUMENTS AND CONSTRUCTION PHASE SERVICES 655

609.09 Acceptance. See Table 609-1 for ampling, testing, acceptance requ irements.

Material for mortar will be evaluated under Subsections I 06.02 and I 06.03. Mortar wi ll be eval uated
under Subsection 106.04.

Precast units (curb and wheel stops) will be evaluated under Subsections 106.02 and 106.03.

Bedding mat rial wi ll be evaluated under Subsections I 06.02 and I 06.04.

Stone for stone curbing will be evaluated under Subsections 106.02 and 106.04.

Construction of curb and gutter, and wheelstops will be evaluated under Subsections I 06.02 and I 06.04.

Excavation and backfi ll will be evaluated under Section 209.

Asphalt concrete will be evaluated under Section 403.

Minor concrete will be evaluated under Section 60 I.

Measurement

609.10 Measure the Section 609 pay items listed in the bid schedule according to Sub ection 109.02 and
the follow ing as applicable:

When measuri ng for curb or curb and gutter, make no deduction in length for drainage structures in talled
in the curb section or for driveway and handicap access ram p openings where the gutter is conti nuous
across the opening.

Payment

609.ll The accepted quantitie will be paid at the contract price per unit of measurement for the Section
609 pay items listed in the bid chedule. Payment will be full compensation for the work prescribed in thi s
Section. See Subsection 109.05.

FIGURE 6.2C (Continued)

Other typical and important requirements for bidding/
procurement include the type of bid and pricing requested
(stipulated firm price, cost plus fee, unit price), minimum
bidder qualifications, location and time of bid submittal,
time allowed for completion of project, damage provisions
for failure to deliver project on schedule, and criteria for
evaluation of the bids and award of the contract.
For public sector projects bids are typically received as
sealed bids at a specified place and time. Bids are then pub-
licly opened, read, and posted for public viewing. Any bidder
that fails to comply with a bidding requirement is typically
disqualified (e.g., the submittal is late or doesn't include all
required information). The bid is typically awarded to the
lowest, responsible bidder.
For private sector projects, the owner has significant
flexibility in terms of soliciting and awarding a construc-
tion contract. In general, the owner is not required to obtain
competitive bids, and may choose to solicit bids from one
or a selected few contractors. The owner then may negoti-
ate a contract with the selected contractor deemed to be the
client's best option.
Contracting Requirements. The contracting require-
ments provide the form of agreement, the form for bonds
(if required), and other terms and conditions (often referred
to as general and supplemental conditions) related to the
contract. As previously addressed in this chapter, the writ-
ten agreement (or contract) is only one document of the set
of contents of the contract documents. The actual agree-
ment, or contract form, serves to legally obligate the sign-
ing parties, addresses certain contractual obligations, and
enumerates the other documents (specifications, drawings,
project manual, etc.) that constitute the full set of contract
documents.
Standard construction agreements and contract forms
are published and available from professional organizations
and agencies. These are widely accepted and used for pub-
lic and private sector construction projects. Standard form
agreements are addressed in more detail in this chapter.
Often public and private sector owners will have their own
custom contract form or, at a minimum, standard terms
and conditions that are incorporated into a standard agree-
ment form.
656 fatUhi!i F41Mitii/i,134U\lhii,i/i
6.2.3. Preparing Contract Documents
The preparation of the various documents that constitute the
full set of construction documents is critically important to
the success of project. It is important because these docu-
ments will ultimately be used to communicate the project
design and requirements to the contractor and will become
the legal binding agreement or contract between the owner
and the contractor.
The information in this section provides an overview on
the preparation of contract documents while highlighting
issues and items that are important on typical land develop-
ment projects.
Drawings. The site engineer is primarily responsible for
compiling the site plan and associated design documents
(such as landscape plans, traffic management plans, and
survey plats). Other drawings, such as building informa-
tion, will likely be managed by the building design team.
In some cases, the architect from the building design team
will take responsibility for compiling all drawings associ-
ated with the construction documents. The design docu-
ments should be consistent with project specifications (as
identified in this chapter).
The maintenance of project drawings is necessary to
ensure the right information is used for construction.
Many projects will require plan revisions based on design
changes that occur after the issuance of the permits. In
many cases, design revisions are required to be resubmitted
and approved before the revised scope of work can be com-
pleted. Revisions may come from value engineering, scope
changes from project budget, or layout edits from tenants
or homeowners. During the final phases of the project,
the revisions are often minor but frequent-this requires
careful management of the drawings to verify that the
development team is always referencing the most current
information.
Specifications. Generally, when writing specifications for
a land development project, existing standard specifications
are referenced or could be modified to suit the project. The
standard specification may have been developed by the pro-
fessional design firm based on years of project experience,
provided and required by a public agency, or developed by a
recognized organization and commercially available for use.
Such commercially available standards include Masterspec•
and the Unified Facilities Guide Specification (UFGS) used
by federal military agencies.
There are also industry standards for the organization of
specifications. The most widely accepted and used speci-
fication organization standard is the CSI (Construction
Specifications Institute) MasterFormat. MasterFormat pro-
vides a list of specification topics by work results or con-
struction practice. At the front of the specification list is
usually procurement and contract requirements, followed
by general project requirements. There are various sub-
groups for the different design disciplines with a subgroup
for infrastructure.
When authoring and formatting project specifications:
• Determine if the owner has standard specifications to
be used for the project. If the land development work
is part of a larger project, consult with the design
team lead (may be the project architect) on specifica-
tion standards and preferred organization.
• Address the sustainability and environmental design
requirements of the project. This may include certain
performance criteria required to obtain desired level of
certification as a LEED (or other registration) project.
• Specifications should be consistent with and compli-
ment the information shown on the drawings but
should not repeat or duplicate this information.
• Avoid language that defines work of specific subcon-
tractors or trades. The contract documents, of which
the specifications are one element, typically encom-
pass the entire project and obligate the contractor for
the entire project.
• Where reasonable, specify by referencing to an
established and recognized industry standard.
Organizations that develop and support such stan-
dards include American Society of Testing and
Materials (ASTM), American National Standards
Institute (ANSI), American Water Works Associa-
tion (AWWA), American Concrete Institute (ACI),
National Fire Protection Association (NFPA),
International Code Council (ICC), and Associa-
tion of State Highway and Transportation Officials
(AASHTO). Also, many state transportation depart-
ments have standard specifications and construction
details widely referenced and used in the construc-
tion industry in their respective state.
• Specifications have legal consequences and should be
prepared with care, coordinated with the drawings,
and contain only that information applicable to the
project.
When writing specifications, remember the goal is to
clearly and concisely communicate the design and construc-
tion requirements to the contractor. Therefore, be clear and
direct using simple sentence structure; be concise, to the
point, and accurately present the information.
Bidding/Procurement and Contracting Requirements. The
bidding/procurement requirements generally consist of an
advertisement or solicitation for bid, instructions to the bid-
der, and the actual bid form for the project. The contracting
requirements generally consist of the contract or agreement
form, general conditions related to the contract including
bonding requirements if applicable.
One option for development of bidding/procurement and
contracting documents is to use standard documents that
have been developed by recognized agencies and professional

organizations. Such agencies include the American Insti-
tute of Architects (AIA), and the Engineers Joint Contract
Documents Committee (EJCDC) comprised of the National
Society of Professional Engineers, the American Consulting
Engineers Council, and the American Society of Civil Engi-
neers. When using these standard documents, it is important
to understand that these documents have been developed as
a family of documents, with consistent language and for-
mat, common definitions, and cross references. Therefore,
when using standard documents, select the most appropriate
standard for the project and use this family of documents
throughout the contract documents.
Important items and issues in preparation of bidding/
procurement and contracting requirements documents for
land development projects include
• Determine the bidding requirements of owner: if a
public sector project, the owner will have specific bid-
ding requirements for sealed competitive bids; if a pri-
vate sector owner, determine whether the owner will
seek competitive bids, seek bids from a selected list of
contractors, or negotiate with a preferred contractor.
• Determine if owner requires contractor to provide a
performance and payment bond for the project.
• Determine if owner has standard contract form and
contracting requirements.
• Determine method for pricing/bidding the work. For
land development work, typically the pricing and
bids are based on a stipulated firm price bid for the
project or some portion of the project; or based on
unit price bids with corresponding estimated quanti-
ties resulting in a total bid for the project; or some
combination of stipulated and unit price bids. The
bid form would be prepared according to the method
of bidding and payment.
• Determine with the owner the contract time to be
allowed for construction and if a penalty (liquidated
damages) would be assessed for noncompliance.
6.2.4. Postconstruction Services
Postconstructions Services consist of as-built surveys, bond
releases, and street acceptance. All these services can be
required in a given jurisdiction and often are performed by
the site engineer on behalf of the client given their familiarity
with both the project and jurisdictional requirements.
As-Built Surveys. As-built surveys (record drawing) are
essential to acquire the necessary dimensions for establish-
ing a permanent record of the location of the modifications
made in the field by construction contractors (see Figure
6.2D for a sample as-built drawing, with as-built data shown
in color). The purpose of these surveys is to present govern -
ment agencies with the final opportunity to verify that the
construction complies with local regulations and standards.
6.2 ■ CONSTRUCTION DOCUMENTS AND CONSTRUCTION PHASE SERVICES 657
Further, owners, occupants, tenants, and management orga-
nizations utilize the as-built information for operations and
maintenance purposes. The format of the as-built survey
depends on local requirements. Depending on the site con-
ditions and jurisdiction, there are six different types of as-
built surveys that can be required:
1. Water: All water utilities constructed are located
including dimensions to houses and structures. This
allows the water utility provider to locate the utilities
in the future even under adverse weather conditions
and recover them in the event the utility gets dam-
aged. In many municipalities the fire hydrants must
be located in the North American Datum (NAD 83)
so they can be input into the emergency 911 System
for reference during an emergency.
2. Sewer: All sewer utilities constructed are located
and documented including such items as pipe and
structure size, type, and slope. Comparison of these
characteristics to the approved plans allows confir-
mation of adequate conveyance systems. This also
guarantees all sewer utilities are located within pro-
vided right-of-ways and easements.
3. Storm drain: All storm drain utilities constructed
are located and documented including such items as
pipe and structure size, type, and slope. Comparison
of these characteristics to the approved plans allows
confirmation of adequate conveyance systems. This
also guarantees all storm drain utilities are located
within provided right-of-ways and easements.
4. Stormwater management facilities: These as-built
surveys are required to ensure ponds or other storm-
water management structures provide, hold, and
treat the correct volume of water per the approved
construction plans. This verifies the pipes, trash
racks, and risers (or other control structures) were
constructed and set in place properly. It also ensures
core trenches, antiseep collars and emergency spill-
ways are in place as per the plans. This also guaran-
tees the stormwater management facility is located
within the easement or designated lot.
5. Roads: This as-built survey guarantees the road is
built in accordance with the approved plans, has
proper grades, and is in the correct location with
respect to existing and proposed right-of-ways.
Often signage and other required traffic control
devices are documented as well.
6. Parking: The as-built survey in some jurisdictions
must indicate the location, dimensions, number, and
type (loading spaces, American with Disabilities Act
accessible spaces, etc.) of parking spaces as required
by zoning to be shown.
&5a fatUhi!i F41Mitii/i,134U\lhii,i/i
In some instances, as-built surveys are a contractual
requirement for the contractor. This verifies that the con-
tractor built the project according to design and entitles
him to payment. The as-built survey, also known as record
drawings, is prepared on the original plans. Appropriate
information is shown in a specific manner to differentiate
it from the design information already on the drawings.
One method is to enclose the as-built survey information
in boxes and to use larger and bold lettering to distinguish
it from previous design information. Many jurisdictions
now require a different color, commonly red, to indicate
as-built changes.
The as-built plans are considered legal documents and
must be signed by a licensed surveyor, engineer, landscape
architect, and/or others as required by the local ordinance.
Bond Release. In general, a developer has two options in
terms of bond release. The first option allows the developer
to carry out an agreement that accommodates for the future
installation and improvements within a specified period
of time. At which point, a financial security, such as a let-
ter of credit or a bond is posted with the jurisdiction. This
allows the developer to secure approval of final plans and
plats prior to construction. During the construction pro-
cess, occupancy permits can be obtained upon completion
and inspection of the structures. Note that the public infra-
structure for the development might not yet be completed
and the improvements may still be under bond. It is often
local practice to delay completion of the streets until all con-
struction equipment is taken off the site. A base pavement
coat may be installed, with the final top coat installed as the
last step prior to bond release. This approach minimizes the
potential for damage from the construction equipment or
moving vans, that the developer would otherwise be respon-
sible for repairing. Depending on the time of year, landscap-
ing improvements may also be delayed until the start of the
growing season. Where landscaping is required and included
as a bonded item, the jurisdiction may allow the execution of
a substitute agreement or cash escrow deposit and release the
developer's primary bond.
The second option calls for completion of all improve-
ments such as streets, utilities, and storm water management
facilities prior to the approval and recordation of the final
record plats.
Street Acceptance. Street acceptance is when a newly
constructed or improved public road is ready to be turned
over to the municipality in perpetuity. Final paving, signage
and marking, street lighting, street side landscaping, and any
utilities must be complete, correct per plan/permit, and fully
located within the right-of-way. All broken, cracked, or oth-
erwise damaged curbing, driveways, or other street compo-
nent must be repaired or replaced. Finally, all right-of-way
monuments must be set where required. Once the street is
fully functional, it can be legally accepted into the public
street system; at this time, all maintenance responsibilities
transfer to the public entity.
Operations and Maintenance. Construction and final
as-builts no longer represent the conclusion to land devel-
opment consulting services: the long-term success of land
development projects is dependent on proper operations
and maintenance. Who better to ensure and implement ade-
quate operation and maintenance (O&M) procedures than
the designers who developed the building and infrastructure
systems and the surveyors who have documented (in most
cases electronically) the construction? Whether it is a com-
mercial development managed entirely by a professional
management group, a large residential or master planned
community managed by one or more Home Owner's Asso-
ciations (HOAs), or an individual homeowner taking care of
their property, O&M responsibilities and procedures must
be clearly delineated and defined in order to ensure that the
design intent of constructed facilities is achieved.
Proper O&M procedures involve three distinct steps:
1. Identify O&M responsibility-often tied to owner-
ship and/ or location of the facility, it is important
to understand who is responsible for carrying out
long-term maintenance of each building and site
component.
2. Provide O&M procedures-depending on the spe-
cific facility or infrastructure system, maintenance
procedures can vary widely. At a minimum, clarify
what needs to be done: prepare directions for main-
tenance activities and a recommended schedule for
completion. Disseminate this information to respon -
sible parties.
3. Develop management tools to facilitate proper
O&M-accurate, informative mapping is vital to
successful O&M. Maps often contain the answer to
the first step in O&M-Who is responsible?-and
aid in the second step by providing a means of track-
ing or recording O&M processes. The land develop-
ment consultant who has been part of the design
and construction process likely has all the relevant
information spatially referenced. It is merely a mat-
ter of taking this process one step further to package
the information in a manner that is useful to the des-
ignated maintenance personnel. Whether it is tying
the map to an online database or providing hard
copies in the form of a comprehensive map book or
atlas, the information must be readily available and
in keeping with the management system employed
by the client-developer.
Many jurisdictions require certain components of the
O&M program to be specified on the plans and plats,
namely maintenance responsibility-is the noted facil-
ity publicly or privately maintained? While the presence
or lack of an easement is often a good indicator of main-
tenance responsibility, this is only helpful if the map or
 ---- .- ~--~-· ----
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As-Built
107.77
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10-YrQ(<ls)
100-YrWSEL
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Fr<roboord

FIGURE 6 •2 D Example of an as-built plan.

660 fatUhi!i F41Mitii/i,134U\lhii,i/i
"I hereby certify that to the best of my knowledge that this As-Built is in compliance with the PROFILE ALONG TOP OF EMRANKMENT
design, and the pond/basin as oonstructed meets the requirements of the Maryland Soil vrRTl.CAL SCALE 1·::;:,5·
Conservation Service - Maryland S1andards and Specifications for ponds (MD-378) and/or the HOR1ZONTAL SCALE 1• .. 50·
appropriate standards and specifications on the approved Stormwater Management Plan. The
vegetative cover for the stormwater management facility shown on this as-built plan meets or
exceeds 95% of that shown an the approved pond plan.ft
130 130

Eric R. Becker - Professional Engineer - MD #21440

120 120

IMAlNiENANCt BENCH UE.v. 114,@• 1

J.ao• r
_,....!NTENANCE 8£NCH ElEV. , 1
SIJ'£TY BENCH EllV. 11 1.50
110 SAFETY BENCH ElEV. 11 1.JO

BOTTOM OF B,\Slt< EllV. • - [jri;fil

• lYPICAL MAINTENANCE BENCH El.£V. EXCEPT
WHERE MIN MUM PIPE COVER IS REQUIRED.
(SEE PtAN FOR LAYOUT)

100 "I hereby certify that the best of my knowledge that this As-Built truly represents existing field
100
conditions including but not limited to sizes, diameters, line and grade, and elevations."
0""""•84.27 CFS
o,o • 20.54 as
V,o--,w. • 4.18 f /S
V1~ =7.JO F/S 117.
George A. Wigfield - Professional L.S. MD #10948 S,•0.25lt

JUUa; 0,00•.31.52 CFS

1. ANn-sC£P C0UARS SHIU BE PLACED A Mlfoa!UM OF V1 DIHW.c.6. ◄ 2 F/S
90 2 n raow Pf't:JOIHl'S. V,--~7.93 f/S 90
2. THC rltST J0CHl wt«.£: LAVINC PF'C MUST BE LOCA.lED S, •0.59lt
J.. JU. Nffl-5££P ClOUARS ANO PIP[ OONNECTIONS Ylllli
RIS(R STRvcn.,.RC SHAU. 8( WATDl'TlCKT.
4. FU. M,,\l'EJ!W. FOR THE CENTER OF TliE £MBAJ,1KM£HT
AHO cur-off lRENCH 51-W.L ~ TO U/'WICD
SOtL C~F\CI\TlON CC. SC. CW 0A a.
5. OfT SITC BORROW OR S90l. AAOS WUST .,.._\'£"
AN ~ A.'IID AC1'M SEDOil£NT COH'TROf.. Pl.AN. g
OATU~0 ELEV ' - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - ' o , , , + _= =ll!f..1'1---- - - - - - - - - '-' -1!,_•rmr_--------'
RETENTION POND #J ""'""--
CROSS- SECTION A-A ~ ~~
T.. I,L..;...
VERTICAL SCA!.£ l "•5'
HORIZONTAL SCA!.£ , ·- so·
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-
Ooscripoon; fi!..i~
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0
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FIGURE 6.2D (Continued)

drawing showing the easement is available for viewing maintenance criteria included on the plan. This will
when ownership or maintenance responsibility is brought become increasingly common as low-impact development
into question. Easements are not visible in the field: sig- and sustainable design continue to become mainstream
nage or other physical indicators are required in order to approaches to large- and small-scale development. In fact,
assess maintenance responsibility unless refined maps, as many of the green building certification programs recog-
discussed above, are available. Further, "privately main- nize and award credits/points for O&M training/education,
tained" can be a vague description particularly when mul- monitoring, and postconstruction facility optimization.
tiple utility providers, HOAs, or other management entities Thus by providing clear operating instructions, conduct-
are involved. For instance, a private utility pole may belong ing maintenance staff training and occupant education, and
to the electric company, the cable company, the telephone disseminating accurate facility information (inherently col-
company, or an HOA; without a field indicator or accurate lected during the process), the land development consul-
mapping, it is an iterative process to determine responsibil- tant can continue to aid clients-developers in meeting their
ity. Figures 6.2E and 6.2F provide examples of plan sheets green building goals.
depicting maintenance responsibilities. Facility management tools such as interactive maps
Occasionally jurisdictions do require maintenance are easier to develop and increasingly common given the
instructions for certain facilities on plans or plats- advances in CAD including Building Information Model-
stormwater management, landscaping, and on-site waste- ing (BIM) and GIS technology. The ability to link spatially
water treatment facilities, when specified, typically have referenced data to interactive maps, customized databases,
 ::, ..J
"' < E. 112TH AVENUE
H AVENUE ----t 1 - - - - - - - -E_. _
112TH AVENU=.
E _ _ _ __

lI

--1 ' · ™™-A~

- N-UE _ _ _ __

**
Street Lights Status
Maintenance Responsibility

COMMERCE CITY/ UNITED POWER

s
,...
REUNION METRO DISTRICT

600 300 0 600

PENDING

Reunion Metropolitan District

Street Lights -
GE

-
I FIG uRE 6. 2 E Reunion Metropolitan District Maintenance Responsibilities. (Geomatic Science ''Reunion Metropolitan District: Maintenance Responsibilities.')
_ ,_.L194TH AVE NUE

,...s
,4()0 200 0 400

Reunion Metropolitan Dis trict

Fence Ownership & Maintenance Responsibility

FIG uRE 6. 2 F Reunion Metropolitan District Fence Ownership and Responsibility. (Geomatic Science "Reunion Metropolitan District: Fence Ownership and Responsib

online web resources and query systems-to name a few
options-is merely the beginning of life cycle project
management. This final deliverable may take many forms
(digital or hard copy, manual or map book) and is created
during the course of design and construction as informa-
tion is developed, gathered, and assembled. This final
6.2 ■ CONSTRUCTION DOCUMENTS AND CONSTRUCTION PHASE SERVICES 663
packaging step is a means of consolidating all the design
and surveying efforts into a single useful tool-an accu-
rate record of the facility, its systems, its O&M require-
ments, and a means of tracking or logging activity related
to successful function of the building and infrastructure
systems.
This page intentionally left blank
PART V

APPENDIX
This page intentionally left blank
CHAPTER 7

ADDITIONAL RESOURCES

667
 CHAPTER 7.1
TECHNICAL APPENDIX
Conversion Factors
MULTIPLY BY To OBTAIN
Acre-feet.. ........................... 1,233.49 .............. cubic meters
Acre-feet. ............................ 43,560 ................. cubic feet
Acre-feet. ............................ 0.0504 ................. second-foot-day
Acre-feet.. ........................... 1,235................... cubic yard
Acres .................................. 10 ........................ square chains
Acres .................................. 4,046.87 .............. square meters
Acres .................................. 0.4047 ................. hectares
Acres .................................. 1.562 x 10-3 ........ square miles
Acres .................................. 43,560.0 .............. square feet
Angstrom units .................... 3.937 x 10-9 ........ inches
Angstrom units .................... 1 x 10-4. .............. micrometers
Atmosphere ......................... 101.325............... kilopascals
Atmospheres ....................... 14.696 ................. pounds/square inch
Atmospheres ....................... 76.0 ..................... centimeters of mercury
Atmospheres ...................... .33.8995 ............... feet of water
Atmospheres ....................... 20.921 ................. inches of mercury
BTU/hour ............................. 0.2931 ................. watts
BTUs ................................... 2.928 x 10--4 ........ kilowatt-hours
BTUs ................................... 3.931 x 10--4 ........ horsepower-hours
Calories, gram (mean) .......... 3.9685 x 10-3 ...... BTU (mean)
Centares ............................. 1.0....................... square meters
Centimeters ......................... 3.281 x 10-2 ........ feet
Centimeters ......................... 10.0..................... millimeters
Centimeters ......................... 0.3937 ................. inches
Centimeters ......................... 1 x 10-2 ............... meters
Centimeters ......................... 1 x 10-5 ............... kilometers
Centimeters/second ............. 0.03281 ............... feet/second
Chain .................................. 22 ........................ yards
Chain .................................. 66 ........................ feet
Chain ................................. .4 .......................... rods
Chains ................................. 792.0 ................... inches
Cubic centimeters ................ 2.113 x 10-3 ........ pints (U.S. liquid)
Cubic centimeters ................ 0.06102 ............... cubic inches
668
MULTIPLY BY To OBTAIN
Cubic feet/second ................ 0.6463 ................. million gallons/day
Cubic feet/minute ................ 62.43 ................... pounds water/minute
Cubic feet/second ................ 448.831 ............... gallons/minute
Cubic feet.. .......................... 0.02832 ............... cubic meters
Cubic foot.. .......................... 7.48 ..................... U.S. gallon
Cubic feet/second ................ 28.316 ................. liter/second
Cubic inch ........................... 16.3870 ............... cubic centimeters
Cubic meter ......................... 35.3147 ............... cubic feet
Cubic meters/second ........... 35.312 ................. cubic feet/second
Cubic meters ....................... 1,000 ............ ....... liters
Cubic meters/second ........... 15,800 ........ .. ....... gallons/minute
Cubic yard ........................... 27 .............. .. ........ cubic foot
Cubic yard ................ .. ......... 0.7646 ........ .. ....... cubic meter
Cubic yards ......................... 202.0 ............ ....... gallons
Day (mean solar) .......... .. ...... 86,400 ................. seconds
Day (sidereal) ....................... 86, 164.09 ............ seconds
Degrees (angle) ................... 0.0174533 ........... radians
Degrees (angle) ................... 17.7778 ............... mile
Degrees/second ................... 0.1667 ................. revolutions/minute
Dynes .................................. 1.020 x 10-3 ........ grams
Dynes .................................. 1 x 10-5 ............... joules/meter (newtons)
Engineer's link ..................... 1.......................... feet
Ergs .................................... 7.3670 x 1o-8 ...... foot-pounds
Ergs .................................... 2.778 x 10-14 ...... kilowatt-hours
Ergs ....................................9.480 X 10-11 ...... BTUs
Fathoms .............................. 6.0 ....................... feet
Fathoms .............................. 1.839 ................... meters
Feet ....................................0.3048 ................. meters
Feet.. .................................. 1.645 x 10-4. ....... miles (nautical
Feet.. .................................. 1.894 x 10-4. ....... miles (statute)
Feet .................................... 30.48 ................... centimeters
Feet/minute ......................... 0.5080 ................. centimeters/second
Feet/second ........................ 0.3048 ................. meters/second
(Continued)

Conversion Factors (Continued)
MULTIPLY BY To OBTAIN
Feet/second ........................ 0.6818 ................. miles/hour
Feet/second ........................ 0.5921 ................. knots
Feet/second .......... .... .......... 30.48 ................... centimeters/second
Foot-pounds .......... .... .......... 3.766 x 10-1 ........ kilowatt-hours
Foot-pounds ...... .... .. .. .......... 1.286 x 10-3 ........ BTUs
Foot-pounds ...... .... .. .. .......... 1.356 ................... joules
Furlongs ............. ........ .. ....... 660.0 ...... .. ..... ...... feet
Furlongs .................. .. .......... 0.125 ................... miles (statute)
Gallons/minute .................... 2.227 x 10-3 ........ cubic feet/second
Gallons ............................... .3.785 ................... liters
Gallons/minute .................... 8.0208 ...... .. .. .. ..... cubic feet/hour
Gallons of water .......... .. ....... 8.3453 ...... .. .. .. ..... pounds of water
Grads ......................... .. ....... 0.9 ....................... degrees (angle)
Grads ......... .. ... ... ........ .. ....... 0.01570797 ......... radians
Grams ........ .... .... ........ .. ....... 3.527 x 10-2 ........ ounces (avoirdupois)
Grams ........ .... .... ........ .. ....... 2.205 x 10-3 ........ pounds
Grams ................................. 3.215 x 10-2 ........ ounces (troy)
Hectares .............................. 10,000 ................. square meters
Hectares .............................. 1.076 x 105 ......... square feet
Hectares .............................. 2.471 ................... acres
Horsepower ......................... 745. 7................... watts
Horsepower ......................... 0.7457 ................. kilowatts
Horsepower ........................ .42.42 ................... BTU/minute
Horsepower ......................... 550 ...................... foot-pounds/second
Hours .................................. 5.952 x 10-3 ........ weeks
Hours .................................. 4.167 x 10-2 ........ days
Inches ................................. 25.4 ..................... millimeters
lnches ................................. 1.578 x 10-5 ........ miles
Inches ................................. 2.540 ................... centimeters
Joules ................................. 9.480 x 10-4 ........ BTUs
Joules ................................. 1 x 107 ................ ergs
Kilograms ............................ 2.205 ................... pounds (avoirdupois)
Kilometers ........................... 1,000.0 ................ meters
Kilometers ........................... 3,281.0 ................ feet
Kilometers ........................... 0.6214 ................. miles
Kilometers/hour ................... 0.5396 ................. knots
Kilowatt-hours ..................... 3,413.0 ................ BTUs
Kilowatts ............................. 1.341 ................... horsepower
Knots .................................. 1.852 ................... kilometers/hour
Knots .................................. 0.5144 ................. meters/second
Knots .................................. 1.0....................... nautical miles/hour
Knots .................................. 1.151 ................... statute miles/hour
Knots .................................. 6.080.0 ................ feet/hour
Labors ................................. 177 .14 ................. acres
Leagues ............................. .4,428.40 .............. meters
Links (gunters) ..................... 66 ........................ feet
Links (surveyor's) ................. 7.92 ..................... inches
Liters .................................. 61.02 ................... cubic inches
Liters .................................. 0.2642 ................. gallons (U.S. liquid)
Liters .................................. 1,000.0 ................ milliliters
Liters .................................. 2.113 ................... pints (U.S. liquid)
Liters .................................. 1,000.0 ................ cubic centimeters
Liters/minute ....................... 5.886 x 10-4 ........ cubic feet/second
7.1 ■ TECHNICAL APPENDIX 669
MULTIPLY BY To OBTAIN
Liters/second ....................... 15.85 ................... gallons/day
Meters ................................ 5.396 x 10-4. ....... miles (nautical)
Meters ................................ 100.0 ................... centimeters
Meters ...... .... ...... .. .... .... ...... 6.214 x 10-4. ....... miles (statute)
Meters ...... .... ...... .. .... .... ...... 1 x 10-3 ............... kilometers
Meters ...... .... .. .. .. .. ...... .. ...... 3.281 .......... .. ....... feet
Meters ................ .. ...... .. ...... 1,000.0........ .. ...... millimeters
Micrometers ........ .. ...... .. ...... 1 x 10-5 ...... .. ....... meters
Miles (nautical) .................... 6,080.27 .............. feet
Miles (nautical) .... .. ...... .. ...... 1.853 .......... .. ....... kilometers
Miles (nautical) .... .. ...... .. ...... 1.1516 ........ .. ....... miles (statute)
Miles (statute) ...... .. ...... .. ...... 0.8684 ........ .. ....... miles (nautical)
Miles (statute) ...... .. ...... .. ...... 1.609 ........ .... ....... kilometers
Miles (statute) ...... .. ...... .. ...... 320 .............. .. ...... rods
Miles (statute) ...... .. .............. 5,280 ........ .... ....... feet
Miles (statute) ...................... 80 ........................ chains (surveyor's)
Miles/hour ........................... 88.0 ..................... feet/minute
Millibar ................................ 0.01 43 .................. pounds/square inch
Milligram/liter ...................... 1.0 ....................... parts per million
Milligrams/liter ..................... 8.345 ................... pounds/million gallons
Milliliters .............................. 1 x 10-3 ............... liters
Millimeters .......................... 3.937 x 10-2 ........ inches
Mils ..................................... 3,037,500 ............ minutes
Mils ..................................... 0.05625 ............... degrees (angle)
Minutes (angle) .................... 0.29630 ............... mils
Minutes (angle) .................... 0.000290888 ....... radians
Minutes (mean solar) ............ 60 ........................ seconds
Minutes (sidereal) ................ 59.83617 ............. seconds
Newtons .............................. 1 x 105 ................ dynes
Newtons/square meter ......... 1.. ........................ pascals
Ounces ............................... 6.25 x 10-2 .......... pounds
Ounces ............................... 28.349527 ........... grams
Ounces (troy) ....................... 1.09714............... ounces (avoirdupois)
Outs .................................... 10 ........................ 33-foot chains
Outs .................................... 330 ...................... feet
Pints (liquid) ......................... 0.125 ................... gallons
Pints (liquid) ......................... 28.87 ................... cubic inches
Pints (liquid) ........................ .473.2 ................... cubic centimeters
Pints (liquid) ......................... 0.5 ....................... quarts (liquid)
Pounds ................................ 0.4536 ................. kilograms
Pounds ................................ 14.5833 ............... ounces (troy)
Pounds ................................ 1.21528 ............... pounds (troy)
Pounds ................................ 16.0 ..................... ounces
Pounds/cubic foot.. .............. 16.02 ................... kilograms/cubic meter
Pounds (force) .................... .4.4482 ................. newtons
Pounds (mass) ..................... 0.4536 ................. kilograms
Pounds/square inch ............. 6.895 ................... kilo Newton/square meter
Pounds/square inch ............. 6.895 ................... newtons/square meter
Pounds/square foot.. ............ 47.880 ................. pascals
Quarts (dry) ......................... 67.20 ................... cubic inches
Quarts (liquid) ..................... 57.75 .................... cubic inches
Quarts (liquid) ..................... 0.9463 .................. liters
Quarts (liquid) ..................... 0.25 ...................... gallons
(Continued)
&10 fatUhiii F·\,j,@,i:/iidf1,PLMH
Conversion Factors (Continued)
MULTIPLY BY To OBTAIN MULTIPLY BY To OBTAIN

Radians ............................... 3,438.0 ................ minutes
Radians ............................... 57°17' 44.806" .... degrees (angle)
Radians ............................... 57.2957795 ......... degrees (angle)
Radians/second ................... 9.549 ................... revolutions/minute
Revolutions .......................... 360.0 ................... degrees
Revolutions/minute .............. 6.0 ....................... degrees/second
Rods ................................... 1.......................... poles
Rods ................................... 16.5..................... feet
Rods ................................... 5.029 ................... meters
Rods ................................... 1.......................... perches
Rods (surveyor's measure) .... 5.5 ....................... yards
Seconds .............................. 1.667 x 10-2 ........ minutes
Seconds (angle) ..................... 4.848137 x 10-6 .... radians
Seconds (sidereal) ................ 0.9972696 ........... seconds (mean solar)
Slug/cubic foot ..................... 515.4 ................... kilograms/cubic meter
Slugs .................................. 32.17 ................... pounds
Square miles ....................... 640 ...................... acres
Square miles ....................... 27,878,400 .......... square feet
Square meters ..................... 10.76................... square feet
Surveyor's link ..................... 7.92 ..................... inches
Surveyor's link ..................... 0.66 ..................... feet
Tons (long) .......................... 1.120................... tons (short)
Tons (long) .......................... 2,240.0 ................ pounds
Tons (long) .......................... 1,016.0 ................ kilograms
Tons (metric) ....................... 2,205 ................... pounds
Tons (short) ......................... 907.1848 ............. kilograms
Tons (short) ......................... 0.89287 ............... tons (long)
Tons (short) ......................... 2,000.0 ................ pounds
VARA (California) .................. 33 ........................ inches
VARA (Texas) ....................... 33.333 ................. inches
Watts .................................. 1.341 x 10-3 ........ horsepower
Watts .................................. 1.0....................... joules/second
Watts .................................. 3.4129 ................. BTU/hour
Yards .................................. 5.682 x 10-4 ........ miles (statute)
Yards .................................. 4.934 x 10-4 ........ miles (nautical)
Yards .................................. 0.9144 ................. meters

Properties of Water In U.S. Customary Units

VISCOSITY*
SPECIFIC HEAT OF VAPOR PRESSURE
DENSITY WEIGHT VAPORIZATION ABSOLUTE KINEMATIC (IN. OF HG)
TEMP. ( 0 F) (SLUGS/FT3) (LB/FT3) (BTU/LB) (LB-S/FT2) (FT2/S) (LB/IN2)

32 1.940 62.418 1075.5 3.746 1.931 0.180 0.089

40 1.940 62.426 1071.0 3.229 1.664 0.248 0.122
50 1.940 62.409 1065.3 2.735 1.410 0.362 0.178
60 1.938 62.366 1059.7 2.359 1.217 0.522 0.256
70 1.936 62.301 1054.0 2.050 1.058 0.739 0.363
80 1.934 62.216 1048.4 1.799 0.930 1.032 0.507
90 1.931 62.113 1042.7 1.595 0.826 1.422 0.698
100 1.927 61.994 1037.1 1.424 0.739 1.933 0.950
120 1.918 61.713 1025.6 1.168 0.609 3.448 1.693
140 1.908 61.379 1014.0 0.981 0.514 5.884 2.890
160 1.896 61.000 1002.2 0.838 0.442 9.656 4.742
180 1.883 60.580 990.2 0.726 0.386 15.295 7.512
200 1.868 60.121 977.9 0.637 0.341 23.468 11.526
212 1.860 59.828 970.3 0.593 0.319 29.921 14.696
*To obtain values of viscosity, multiply values shown in table by 1Q-5.
 7.1 ■ TECHNICAL APPENDIX 671

Properties of Water in SI Units

VISCOSITY*
SPECIFIC HEAT OF VAPOR PRESSURE
DENSITY WEIGHT VAPORIZATION ABSOLUTE KINEMATIC (MM HG)
TEMP. (°C) (KG/CM 3) (KN/M 3) (cALIG) (cP) (CST) (G/CM 2)

0 999.87 9.805 597.3 1.781 1.785 4.58 6.23

5 999.99 9.807 594.5 1.518 1.519 6.54 8.89
10 999.73 9.804 591.7 1.307 1.306 9.20 12.51
15 999.13 9.798 588.9 1.140 1.140 12.78 17.38
20 998.24 9.789 586.0 1.002 1.003 17.53 23.83
25 997.08 9.777 583.2 0.890 0.893 23.76 32.30
30 995.68 9.764 580.4 0.798 0.801 31.83 43.27
40 992.25 9.730 574.7 0.653 0.658 55.34 75.23
50 988.07 9.689 569.0 0.547 0.554 92.56 125.83
60 983.23 9.642 563.2 0.466 0.474 149.46 203.19
70 977.80 9.589 557.4 0.404 0.413 233.79 317.84
80 978.12 9.530 551.4 0.355 0.365 355.28 483.01
90 965.34 9.466 545.3 0.315 0.326 525.89 714.95
100 958.39 9.399 539.1 0.282 0.294 760.00 1033.23
*1 poise (P) = 0.1 ON-s/m 2 :. 1 centipoise (cP) = 1 x 1Q-3 N-s/m 2
1 stoke (St) = 1 cm 2/s :. 1 centistoke (cSt) = 1 x 1Q-6 m2/s

Relationship Between Temperatures Prefixes for Use with SI System

Of = 32 + (%)°C oc = %(0f - 32) MULTIPLE PREFIX SYMBOL
Of oc oc Of 1012 tera
-20 -28.9 -20 -4 109 giga G
0 -17.8 -10 14 106 mega M
20 -6.7 0 32
103 kilo k
32 0.0 10 50
102 hecto
40 4.5 20 68
60 15.5 30 86 10 deka
80 26.6 40 104 10-1 deci d
100 37.8 50 122 10-2 centi C
120 48.9 0 140
10-3 milli m
140 60.0 70 158
10-6 micro µ
160 71.1 80 176
180 82.2 90 194 10-12 nano n
212 100.0 100 212 1o-1s pico p
0 Rankine (°F Absolute) = °F + 459.58

°Kelvin (°C Absolute) = °C + 273.1

&12 fatUhiii F·\,j,@,i:/iidf1,PLMH
SCS 24-Hour Rainfall Distribution (at Half-Hour Increments)
FRACTION OF 24-HOUR RAINFALL DEPTH FRACTION OF 24-HOUR RAINFALL DEPTH
TIME (H) TYPE I TYPE IA TYPE II TYPE Ill TIME (H) TYPE I TYPE IA TYPE II TYPE Ill

0.0 0.00000 0.00000 0.00000 0.00000 12.5 0.70925 0.68300 0.73500 0.70200
0.5 0.00871 0.01000 0.00513 0.00500 13.0 0.73200 0.70100 0.77200 0.75000
1.0 0.01745 0.02000 0.01050 0.01000 13.5 0.75225 0.71900 0.79900 0.78350
1.5 0.02621 0.03500 0.01613 0.01500 14.0 0.77000 0.73600 0.82000 0.81100
2.0 0.03500 0.05000 0.02200 0.02000 14.5 0.78625 0.75281 0.83763 0.83406
2.5 0.04416 0.06600 0.02813 0.02519 15.0 0.80200 0.76924 0.85350 0.85425
3.0 0.05405 0.08200 0.03450 0.03075 15.5 0.81725 0.78529 0.86763 0.87156
3.5 0.06466 0.09800 0.04113 0.03669 16.0 0.83200 0.80096 0.88000 0.88600
4.0 0.07600 0.11600 0.04800 0.04300 16.5 0.84625 0.81625 0.89119 0.89838
4.5 0.08784 0.13500 0.05525 0.04969 17.0 0.86000 0.83116 0.90175 0.90950
5.0 0.09995 0.15600 0.06300 0.05675 17.5 0.87325 0.84569 0.91169 0.91938
5.5 0.11234 0.18000 0.07125 0.06419 18.0 0.88600 0.85984 0.92100 0.92800
6.0 0.12500 0.20600 0.08000 0.07200 18.5 0.89825 0.87361 0.92969 0.93581
6.5 0.13915 0.23700 0.08925 0.08063 19.0 0.91000 0.88700 0.93775 0.94325
7.0 0.15600 0.26800 0.09900 0.09050 19.5 0.92125 0.90001 0.94519 0.95031
7.5 0.17460 0.31000 0.10925 0.10163 20.0 0.94225 0.92489 0.95844 0.96336
8.0 0.19400 0.42500 0.12000 0.11400 20.5 0.94225 0.92489 0.95844 0.96336
8.5 0.21900 0.48000 0.13225 0.12844 21.0 0.95200 0.93676 0.96475 0.96944
9.0 0.25400 0.52000 0.14700 0.14575 21.5 0.96125 0.94825 0.97094 0.97523
9.5 0.30300 0.55000 0.16300 0.16594 22.0 0.97000 0.95936 0.97700 0.98075
10.0 0.51500 0.57700 0.18100 0.18900 22.5 0.97825 0.97009 0.98294 0.98598
10.5 0.58300 0.60100 0.20400 0.21650 23.0 0.98600 0.98044 0.98875 0.99094
11.0 0.62300 0.62400 0.23500 0.25000 23.5 0.99325 0.99041 0.99444 0.99561
11.5 0.65550 0.64500 0.28300 0.29800 24.0 1.00000 1.00000 1.00000 1.00000
12.0 0.68400 0.66400 0.66300 0.50000
 7.1 ■ TECHNICAL APPENDIX 673

Physical Properties of Selected Materials

SPECIFIC HEAT
UNIT WEIGHT MELTING POINT BOILING POINT (CONSTANT PRESSURE
MATERIAL Le/fT3 SPECIFIC GRAVITY"' Of Of FOR GASES}

Acetylene 0.0732 0.00117 -114.7 -118.5 0.383

Air 0.0802 0.00129 0.238
Alcohol:

methyl 0.792

Ammonia 0.0481 0.00077 -108 -28 0.520

1
Antimony 6.684 2620 0.049

Asbestos 125-175 2.0-2.8 0.195

Basalt 150-200 2.4-3.2 0.20-0.24

Bauxite 159 2.55
Benzene 55 0.879 42 176.2 0.42
Bismuth 611 9.80 520 2590-2840 0.034
Borax 106-112 1.7-1.8

546 8.75 1880

Brick:
common 112 1.8
fire 145
Bronze, comm. 90 Cu, 10
Butane:
iso- 0.165 0.00264 -240 12
n 0.158 0.00252 -213 31
Cadmium 539 8.64 610 1410 0.055
Calcite 168 2.7
Calcium 97 1.55 1550 2200 0.149
Carbon:
diamond 219 3.51 6700 7600 0.12
graphite 141 2.25 6700 7600 0.165
Carbon dioxide 0.1234 0.00198 -70.6 -112 0.20
Carbon monoxide 0.0781 0.00125 -340.6 -312.7 0.25
(Continued)
&14 fatUhiii F·\,j,@,i:/iidf1,PLMH
Physical Properties of Selected Materials (Continued)
SPECIFIC HEAT
UNIT WEIGHT MELTING POINT BOILING POINT (CONSTANT PRESSURE
MATERIAL Le/fT3 SPECIFIC GRAVITY"' Of Of FOR GASES)

Cement, Portland:
loose 94 1.51
solid 197 3.15
Chalk 119-175 1.9-2.8 0.214
Chlorine 0.2006 0.00321 -155 -30 0.113
Chromium 448 7.19 3430 4000 0.11
Coal:
anthracite 87-112 1.4-1.8
bituminous 75-100 1.2-1.6
Cobalt 555 8.9 2700 5250 0.099
Concrete 144-150 2.3-2.4 0.156
Copper 556 8.92 1980 4700 0.092
Dolomite 177 2.84
Earth:

95 1.5
moist, loose 80 1.3
moist, packed 100 1.6
mud, flowing 105 1.7

160-170 2.56-2.73
164 2.63
Fluorine 0.1059 0.00169 -365 -305 0.182
Gasoline 41-47 0.66-0.75 160-190 0.500
Glass 153-172 2.45-2.75 0.16-0.20

Gneiss 150-170 2.4-2.7 0.18

Granite 165-170 2.65-2.7 0.192
Gravel:

100-120 2.5-2.7

Helium 0.0111 0.000178 -458 -452 1.25

Hydrogen 0.0056 0.000090 -434 -423 3.39
Ice 55-57 0.88-0.92
Iridium 1400 22.42 4450 9600 0.032
Iron 490 7.86 2800 5430 0.11
Ivory 114-120 1.83-1.92
(Continued)
 7.1 ■ TECHNICAL APPENDIX 675

Physical Properties of Selected Materials (Continued)

SPECIFIC HEAT
UNIT WEIGHT MELTING POINT BOILING POINT (CONSTANT PRESSURE
MATERIAL Le/fT3 SPECIFIC GRAVITY"' Of Of FOR GASES)

Lead 708 11.34 621.3 2950 0.031

Leather 54-64 0.86-1.02
Limestone 130-180 2.1-2.86
Linseed oil 58 0.934 -4 550
Magnesium 109 1.74 1200 2030 0.249
Manganese 450 72 2300 3900 0.115
Marble 160-180 2.6-2.86

Methane 0.0448 0.000717 -300 -258.5 0.593

Mica 165-200 2.7-3.1 0.21
Molybdenum 636 10.2 4750 6690 0.06
Neon 0.0562 0.000900 -415.6 -410.6
Nickel 555 8.9 2650 5250 0.11
Nitrogen 0.0781 0.00125 -345.75 -320.4 0.244
Osmium 1405 22.48 4400 9900 0.031
Oxygen 0.0892 0.001429 -361.1 -297.4 0.218

Petroleum 0.87 0.50

Porcelain 143-156 2.3-2.5 0.26

Pumice 23-56 0.37-0.90

Quartz 160-170 2.6-2.7 0.17
Salt 49-78 0.78-1.25
Sand:

wet 118-129 2.4-2.7

Slate 160-205 2.6-3.3
Sulfur 129 2.07 246 832 0.18
Tar, bituminous 64 1.02
Tin 456 7.3 449 4100 0.055
Titanium 281 4.5 3270 >5400 0.126
Tungsten 1204 19.3 6120 10.650 0.032
Turpentine 54 0.873 14 320 0.411
Vanadium 372 5.96 3110 5430 0.12
Water:
fresh 62.43 1.00000 32 212 1.000
sea 63.5-64.2 1.02-1.03
Zinc 445 7.14 787 1665 0.093
*Specific gravity measured at 32°F and 1 atmosphere.
676 fatUhiii F·\,j,@,i:/iidf1,PLMH
ENG INEERS & SURVEYORS I STJTUTE
Peer Review Checklist
FAJRFAX COUNTY
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S IT E PL AN

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Li ne 4: Affordable dwe ll ing unit des ignation shown on specific lots
112-2-802
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112-2-806
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5 112-17- 106.32 proposed in class Il l or IVA soils or a dam is proposed requiri ng a
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I 12- 17- 106.32
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7 16
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10 *
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112-17- 106.26, LOS
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LOS Tech Bu lletin 02- Li ne 3 7: All approved waivers/modifications and
12 16 waiver/modification requests are listed, incl uding the ones approved *
LOS Notice 2/24/2016 with the zonine: aoolication
Zon in e: Reauirements Tabulation
Zoning Req uirements Tabu lation fi lled in correctly. If plan is
LDS Notice 2/24/2016
assoc iated with a zoning application, the tabulation shows what was
112-17- I06.12
13 approved (provided) with the zon ing application or any *
112-17- 106.17
interpretation as requ irement. Appropriate zoning documen ts
112- 17- 106.26
referenced.
14 LDS Policy Line 7: Minimum yard li nes shown and labeled on site layout
15 I 12- 17- 106.12 Line 8: Floor Area Ratio (FAR) matches thro ughout the plan
16 Zoning plan Layout, includ ing clearing li mits, is in genera l conformance with the
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zoning plan
Preliminary plat (PL) is valid if subdividing and no development
IO l-2-3(d)
17 plan or re-approval has been requested. (PL is optional for
15.2-2260
subdivisions involving 50 or fewer lots)
Site Plan (SP)Tabu lation
Site Plan (SP) Tabulations fil led in correctly. Information sbown is
18 LDS Notice 2/24/2016 *
consistent with the plan.
Line 3: Site and building proposed uses ind icated. Proposed use is
112-17- 106.12
19 a by right use within the zoning di trict unless an RZ, SE or P or *
I 12 Articles 3, 4, 5, 6
concurrent processing has been approved.
Line 4: Number and type of units (if townhouses or multifami ly or
20 112-17-106.12
condominium) shown *
112-17-1 06.12
Line 12: Building heigh t shown. Building hei gh t calculations are
2 1 LDS Tecb Bu lletin 06- *
provided for each townhouse un it.
13
22 I 12-1 7- 106. 12 Line 13: Number of floors shown *
Lines 18 and 19: Required and proposed parking and loading shown
112-17- 106.14
and match parking/loading tabulation. Parking tabulation shows
23 I 12-1 I. 103 through I 06 *
parking rate per each use and the minimum number of spaces
112-11 -200
required vs. provided.
Other Cover Sheet Requirements
ES! Tech Bulletin At least one set of plans has an original signature and date on seal
24 11/5/2015 from each professional on the cover sheet. DPE certificate signed if *
112-17- 106.1 DPE plan. Post submission conference date fi lled in .
25 PFM 9-0202.2C Fire Marshal notes data filled in
26 PFM 10-1 04.IA Sanitary sewer information filled in
Tree Preservation information til led. lf"yes", deviation request is
27 PFM 12-0308.4A(I) *
included in a letter format in the landscape plan
28 LDS Notice 2/24/2016 Potential for wetlands filled in *
Information Regarding Activities in a Resource Protection Area
29 LDS Notice 2/24/2016 *
filled in
,- 30 LDS Notice 2/24/2016 Stormwater Information filled in
- - ----- - - *
112-17- 106.3 Vicinity map shows sidewalk/trail maintenance responsibilities for
31 *
PFM 8-020 I .6 existing and proposed (VDOT County or privately maintained)
,__32 112-17-106.4 Tax ma reference number<i) fi lled in correct!)"__ *
-- Name, contact informat ion and address of the owner and developer
I- - - - -
33 112-17-106.4
filled in
34 112-17-106.4 Magisterial district shown and is correct
Certificate signed by the surveyor or engineer setting forth the
35 112-17- 106.6 source of title of the owner of the site and the place of record of the *
last instrument in the chain of title
Soi l map shown, with site identified. Soils map is based on current
36 112-17- 106.7 *
Countv So ils MaP.
Soi l data chart filled in per " Descrigtion & lntergret ive Guide to
37 112-17- 106.7 *
Soi ls in Fairfax Countv"
I 12-1 7- I06. I6 Solid waste statement tilled in. Trash and recycling containers are
38
PFM I0-030 I & 305. l shown and labeled on the site plan.
39 I 12- 17-1 06.25 Owner/developer wetlands certi ti cation signed *
40 LDS Policy Sheet index and sheet titles match
PUBLIC STREETS
112-17- 106.1 1 Road name and rou te number shown for exi ling state maintained
41
streets
Street widths, pavement and right-of-way shown for existing and
42 I 12- 17-1 06.1 1
proposed streets
VDOT Road Design Right of way, driveways, intersections, medians, curb or edge of
43
Manual pavement shown and labeled on both sides of existing roadways
44 112-17-201.3 Vehicular travel lanes, services drives, driveways or other access
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connections to adjoining properties are proposed or service
drive/travel lane waiver is annroved
PFM 7-0101.2
45 VDOT Road Design Curve data shown for new treets and conform with street category
Manual Appendix A
PFM 7-0 105.1
46 VDOT Road Design Street category and traffic volume shown for each new street
,___ Manual Appendix A --- - -
47 PFM 7-0 I 07.5A & 5B Stop or yie ld signs shown at all intersections
PFM 7-0201.lC A ll proposed street construction is within existing or dedicated street
48
PFM 7-0304. l 3 right-of-way
Curb-cut ramps provided where required (at site entrance curb
PFM 7-0301.IA & . I B returns , along accessib le routes , at major crosswalk , HC acce sible
49
PFM 8-0 IO1.8 parking spaces, etc.). Curb cut ramps are entirely within right of way
ifVDOT maintained
Profi le shown for all proposed streets including widening and turning
lanes on existing streets. Elevations, percent grade, culverts,
50 PFM 7-0304 storm/sanitary sewer and utility crossings shown on street profile. *
Existing grade or existing treet centerline profile is shown for an
additional min. 200'.
Centerline stationing shown in plan view for existing and proposed
51 PFM 7-0304 *
streets
PFM 7-0305, 112-2-505 Sight distance plan and profile shown. Required or availab le sight
VDOT Road Design distance shown a long the path of the sighted vehic le and not along
Manual Appendix F the li ne of sight. Sight triangle is clear of obstructions. Sight
52
(intersection, Stopping distance easement exists or proposed where the sight li ne leaves the *
and Commercial Sight right of way. Sight distance easement is shown on layout, grading,
Distance) tree preservation and landscape plans.
Typical section wi th dimensions, street category and design speed
53 PFM 7-0306.6B
shown for each proposed street *
54 County Policy Posted speed shown at existing street intersections *
VDOT Road Design
Distance shown Lo neare t intersection or median break in each
55 Manual Appendix F
direction on existing divided roadways
Section 2
VDOT Road Design
Distance shown between centerline of all existing or proposed
56 Manual Appendix F
intersections or driveways
Section 2
VDOT Road Design
57 Manual Appendix F Length of all existing, or proposed, turn lane and tapers shown
Section 3
VA Administrative Code Profile of any proposed stub street is extended beyond property line
58
24VAC-92-AII Sections to indicate fun1re constrnctabil itv
VDOT Road Design
Manual Appendices A, Additional ROW is provided for insta ll ation of guard rail on
59
B, B( l ), 8(2), VDOT high/steep lopes or roadside obstacles
GRIT Manual
At least one curb ramp provided acros from new intersections on
VDOT IIM-LD-55
60 existing curb and gutter roadways. One curb ramp provided in each
PFM 7-0301
direction of intersection crossings.
61 ADA VDOT IIM-LD-55 Curb ramp width matches connecting sidewalk/trai l
Cu rb ramp spot e levations provided to contim1 ramp slopes, gutter
62 VDOT llM-LD-55
pan transitions, etc.
63 VDOT Policy Latest version of VDOT genera l notes provided
VDOT Drainage Manual
64 Flow arrows provided for each storm pipe
Chapter 9
IO 1-2-2(2) (Townhomes Street names and route numbers shown for adjoining streets. Street
65
only), 112-17-106.3 , names are shown for proposed streets.

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PFM 7-0 107
PRIVATE STREETS
P rivate streets in a residential development that is to be owned and
66 112-1 1-302.2 ma intai ned by a nonprofit organization does no t exceed 600 feet in
length un less approved bv the Director
Deed book and page number shown for Co un ty ma intained right-of
67 I 12-1 7- 106. I I
wavs and private ingress-egress easements for private roads *
68 I l 2-1 7- 106. 14 Pa rking/load ing spaces are delineated wit h dimens ions
Pla ns proposing private street contai n the app lica ble fu ll sta tement
112-17- 106.2 1
69 as req uired by the referred code to advise that the streets will not be
PFM 7-0306.14
ma intai ned by either the State or the Cou nty.
PF M 7-0402.28, PF M
7-0402.4B, PFM 7-
0402.5 B, PFM 7- Pavement des ign/typ ical sectio n shown for private streets, parking
70 0402.6, surface, and pipestem driveway. Pavemen t material specifications
PFM 7-0403 , VDOT are in accordance with VDOT standards.
Road and Bridge
Specifications
Private streets for townhouses, patios and garden cou rts, geometric
design is in accordance with PFM Plate 4-7 (TS-5A). 2 ' min imum
PFM 7-0402.2
71 stri p between back of curb and edge of sidewa lk, or if sidewalk is
LDS Notice 7/22/ 20 16
adjacent to th e back of curb, it is 6' wide. Roll -top curb is not
allowed.
Sin gle fa mily condominium and single fam il y re idential
72 PFM 7-0402.3 developments wi th five or less lots, the geometric design meets
pipestem driveway standards.
Single fa mily residentia l subdivi sions with average lot size 18,000 sf
PFM 7-0402.4A
o r more and when the street serves more than 5 un its: the geometric
73 VDOT Road Design
design meets VDOT standards fo r shoulder and di tch section streets
Ma nual
and PFM Plate 1-7.
Single fa mily resident ial subd ivisions with average lot size < 18,000
PFM 7-0402.5
sf and when the street serves more than 5 uni ts: the geometric des ign
74 VDOT Road Design
meets VDOT standards for curb an d gutter section streets and PFM
Man ual
Plate 2-7.
PFM 7-0403. 1A
Private d riveway entrances on curb and gutter streets conform to
75 VDOT Road Design
VDOT standards. CG-9B is preferred.
Ma nu al Ch 2D- l 0
PFM 7-0403. IA
Private d riveway entrances on streets with no curb an d gutter
76 VDOT Road Design
conform to PFM Plate 20-7 (DE-5).
Manual
Acces ible park ing spaces, related acces ai Jes, ramps and curb
ramps, railing, slopes, surface treatments, s igns and access ible routes
PFM 2-0208.20
prov ided. Van accessi ble spaces idem itied. Parki ng tabulatio n
77 PF M 7-0602.4
shows accessible parkin g requirements referenced to USBC.
USBC 1106. 1
Access ible spaces are provided for each park ing fac ili ty ( urface and
structural) separately.
STREET LIGHTS
Existing and proposed utility poles and streetlig hts shown and
78 PFM 7-0802.3
labeled
PF M 7-0805.58, LOS Light ing computations are shown and sealed by li ghti ng professional
79
Tech Bulletin 14-07 fo r proposed non-standard streetlig hts
EROSION AN D SEDIMENT CONTROL
PFM 2-0203.IC Limits of c learing and grading shown and incl udes all work to be
80 PFM 2-0208.1 2 done (offs ite, ut ili ty extensions, outfa ll s, etc.) and matches between *
grading;, erosion and sedi men t conrrol , landscape plans
LDS Tech Bulletin l 1- Priority Rating Fonn for E&S control is shown and physiographic
81 *
08 prov ince is correctly identified

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LOS Tech Bu ll etin 03-
82
11
Compl eted ce1tified E&S Con trol Checklist provided *
VESCH Un ifom1
83
Coding Svstem
Eros ion & sedi mentation controls identified *
84 PFM 11-0104. 1 2 ohase olans orovided for erosion and sed imentation control
Pbase I initial li mits of clearin g to install controls needed with
85 P FM 11-0104. 1
minimal clearance is shown and described in E&S ohase I narrative
VESCH 3. 13 Sediment trap computation provided (P ipe outlet req uired if
86
PFM 11-0106.20 drainage is greater than I acre) *
VESC H 3.14
87
PFM 11 -0 I 06.2C
Sediment basin calcu lations provided *
88 P FM 11 -0104.3 Region specific temporary and permanent seed ing tab les prov ided
Drainage divides shown fo r E&S measures that have d rainage area
VESCH 3.05 (SF), 3.07 li mitations. Drainage areas do not exceed ¼ ac/ft for SF, I acre for
89 (IP), 3.09 (DD) 3. 13 IP, 5 acres for DD and 3 acres for ST. Drainage divides for SSF are *
(ST) only requ ired when it needs to be demonstrated that concentrated
now to SSF does not exceed 5 cfs.
DRAINAGE & STORM SEWERS
If d ischarge is to an open channe l, it is an existing natural
90 PFM 6-0201.2 watercourse (a stream with a defined cha nnel) or man made channel
with suffic ient capacity
Drainage system honor natural divides for both concentrated and
9 1 PFM 6-0202.2 non-concentrated stormwater runoff leaving the site, un less a written
iustification is orovided and aoproved by the Director.
Concentrated runoff d ischarge leaving the site shall not aggravate o r
create a condition where an ex isting structure under an approved
92 PFM 6-0202.4
buildi ng permit floods. If such a stru cture ex ist, detention for the *
100-year storm event is provided.
93 PFM 6-0202.5 No concen trated surface water discharged offsite wi thout easements
94 PFM 6- 1103.3 Inlet ondi ng is within an easement -
- Sheet flow into lower lying prope1ties: Pre- and post-developed
- ,-

runoff computations prov ided to demonstrate that increase in peak

95 PFM 6-0202.6 flow runoff wo uld 1101 cause or aggravate drainage prob lem on the *
downstream properties. Description is included in the outfall
narrative.
Cross-secti on with equa l horizontal and vertical sca le, water surface
96 PFM 6-0203 .2C e levatio n and computati on shown for ex isting natura l defined *
cha nnels
Adequacy verified for a ll natural watercourses, channels, and pipes in
accordance with channel protection and flood protection
97 PFM 6-0203.3
requirements in Chapter 124. arrative provided w ith adequacy *
conclusion.
HGL computations provided fo r all storm systems. HG L is at least I
PFM 6-0904.2
98 PFM 6-0904.4
foot below established ground elevation and no more than 5 fee t
above the crown of the pipe
P FM 6-0905, 6-1007 Design computatio n provided for clo ed and open systems,
99
and 6- 1200 includi ng d riveway culverts
Quantities of surface runoff greater than 2 cfs or crossing more tha n 3
100 PFM 6- 1108.1
lots is conveyed in a closed drainage system.
PFM 6- 1501.2A Location and approxi mate exten t of the overland relief paths shown
101 PFM 6-1502.2 in proximity of buildin gs. Calcul ations provided. No building is *
P FM 6-1 502.3 flooded by the I00-)'ear flow.
Compl eted a nd accurate Stormwater Manag ment Pl an Compl eteness
102 LOS Notice 7/24/2014
Checkl ist if sto rmwater managemen t plan is incorporated into plan
STORMWATER MANAGEMENT: QUALITY CONTROL (BMP)
124-1- 11 If project qualifies for time limits or grandfathering, a Stormwater
103
124- 1-1 2 Management Ordinance Determination (SWOD) may be submitted to

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 7.1 ■ TECHNICAL APPENDIX 681

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determine if Article 4 or 5 of the Stormwater Management Ordinance
aoolies
If subject plan is within Water Supply Overlay District (WSPOD) no
104 I24-4-2(b) *
offsite credit is allowed
If plan is subject to Technical Criteria under Arbcle 4, computations
124-4-2
105 demonstrate comp liance with water quality control requirements,
124-4-3
including VRRM spreadsheet
If plan is subject to Technical Criteria under Article 5, computations
106 124-5-4 demonstrate comp liance with water quality contro l requirements per
the Occoquan Method
Offsite nutrient credit compliance can only be used if less than 5
107 124-4-5 acres of area is disturbed or IO pound per year or 75% nutrient
removal is achieved on-site
PFM 6-0303.6A All BMP facilities are privately maintained. (Private maintenance
108
PFM 6-1300 agreement shall be executed prior to the final approval of the plans.)
A brief narrative provided summarizing how water quality control
109 PFM 6-0402.8A
requirements are being provided for the site
Statement of maintenance responsibility for the BMP (Public or
110 PFM 6-0402.8G
Private)
Depth between the bottom of the SWM/BMP facility and the
PFM 4-070 I . I
seasonal high water table (SHWT) or bedrock is shown. SHWT from
111 PFM 4-0702.3
June to October i determined by a certified professional using
PFM 4-0703
geomorphology,
STORMWATER MANAGEMENT: OUANTITY CONTROL
11 2 PFM 6-0301.3 SWM faci lity provided on-site with required calculations *
11 3 PFM 6-0301.3 SWM provided off-site with plan number and approval date shown *
Waiver requested for use of off-site SWM detention. Waiver request
11 4 PFM 6-0301.1 or approval letter is on plan and listed in approval information table
on cover sheet with JD number and approval date
A PFM modification request is submitted or approved for
11 5 PFM 6-0303.68
underground faci lities other than li sted in PFM 6-0303.68
PFM 6-1306.3E
PFM Plate 54-6 All -weather vehicular access with a minimum 12 feet wide surface i
11 6 PFM 7-0403. l A provided for all faci lities. lfaccess is through curb, a curb entrance
VDOT Road Design is provided.
Manual Anoendix F-89
For underground chambers, two or more acce s points are provided,
11 7 PFM 6-1306.31-1 al least one of which shall be a 4-foot x 4-foot access door BILCO
Model
If plan is subject to Technical Criteria under Article 4, computations
I 18 124-4-4.A *
demonstrate como liance with channel orotection reauirements
1f plan is subject to Technical Criteria under Article 4, computations
11 9 124-4-4.B *
demonstrate comoliance with flood orotection reauirements
lfp lan is subject to Technical Criteria under Article 4, computations
120 124-4-4.D demonstrate comp liance with 2-year and I0-year detention *
requirements
RESOURCE PROTECTION AREAS (RPA)
PFM 6-1701.3 Site specific RPA boundary shown. Label references approved RPA
121 *
112- 17- 106.33 delineation study number and approval date
WQIA with proper mitigation submitted or approved for water-
122 I 18-4-2
dependent improvements (outfalls) or redevelopment within RPA
An RPA Exemption request is submitted or approved and provided
123 118-5-3
for trails, sidewalk, site amenities, public utilities within RPA
118-6-9 An RPA Exception request is submitted or approved and provided
124
PFM 6-0303.3 for SWM facilities or other uses within RPA
FLOODPLAIN (FP)
125 PFM 6-0704.1 Proposed structures do not adversely affect the existing I00-year
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noodplain elevation. An approved I 00-year water surface e levation
is soecified.
T he lowest part of the lowest floor level of any proposed res identi al
126 PFM 6-0704.2 tructure i at least 18 inch above the I 00-yea r water surface *
e levation. A minim um horizontal distance of 15 feet is provided.
A floodp lain study is submitted or approved. 100-year floodp lain
PFM 6- 1401.1
127 li mits are shown. 'Floodplain and drainage easement" exists or
PFM 6-1405
l£!:_OJJOsed.
A Floodp lain Use Determination (FPUD) req uest is sub mitted or
-- -
128 112-2-903 approved and provided fo r pub li c ut ilities, roadway crossi ng or
outfall within floodp lain
I 12-2-903 A Special Exception (SE) is submitted or approved for maj or fil l or
129
112-2-904 use that are not permitted wi thi n the floodp lain
SAN ITARY SEWER
PFM 10-0102.5A(4) & Vertical and horizonta l separation shown between sanitary sewer
130
(5) ma in and waterli nes and storm sewer lines
PFM l 0-0 l 02.5A(7) Sanitary sewer crossing strea m or 011 fill or deeper than 18' proposed
131
PFM 10-0 l02.5L to be DIP
PFM 10-0102.58 Sa nitary sewer main extended to the nearest property li ne of the last
132
lot to be served
PFM 10-0102.58 Sanitary sewer easement extended to the property li ne where
133
adio inin g areas must be served
134 PFM I0-0l02.5C Sanitary sewer setback 15 ' from all buildings
135 PFM l0-0102.8D Sanitary sewer grade not less than I% to term inal manho le
136 PFM I 0-0 I 04.2A Sa nitary sewer profiles on same sheet as plan
137 PFM I0-0 I 04.2C Bearings and distances on centerlines of sanitary sewers sho wn
PFM 10-0l04.2D Location of existing tructu re , ho uses, uti li ty crossings, curbs,
138 property lines, ra il road crossings, culverts and bridges shown on plan
view
139 PFM I0-0 I 04.2D Locatio n of utility crossings shown on profile
FAJRFAX COUNTY WATER AUTHORJTY
PFM 9-0 I 02.2
140
112-17- 106.29
Locatio n size and type of proposed and existing water ma in · shown *
141 PFM 9-0 102.3A Proposed tie- ins to existing water system shown *
PFM 9-0 I 02.3A
142 Water ma in station ing on the plan and profile *
FCWA Pol icy
143 PFM 9-0 102.38 Watermains have 4 ' of cover un less otherwise noted
144 PFM 9-0 102.3D Utility crossin gs shown on the profiles *
145 PFM 9-0 l02.3S Profi le of all proposed public water mai ns inc luded *
146 PFM 9-0 l 02.3V Test holes shown where req uired
FIRE MARSHAL
All fire hydrants are located minimum of 50 feet from all buildi ngs to
147 PFM 9-0202.1 F
be prote.c ted
148 PFM 9-0202. I H Maximum of 100' from hyd rant to Siamese connec tion, if shown
Siamese connecti ons are located on the street fron t, address side of
149 PFM 9-0202.1 K
buildings and are be visible and accessible from the street
150 PFM 9-0202.1 l Fire coverage requirements are met.
PFM 9-0202.2
151 Location of fire lanes shown
62-2-8-503
PFM 9-0202.2C(l) &
152 Use group classification and type of construction shov,n
(2)
PFM 9-0202.2C(3) Existing and proposed water ma ins with size and fire hydrants shown
153
through (5) and labeled
Emergency veh ic le access prov ided to withi n I 00' of main entrance
154 PFM 9-0202.21
o r principal entrance of every building
PFM 9-0202.21
155 All build ing entra nce shown and main entrance identifi ed
Fire Marsha l Policy
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156 PFM 9-0202.21(4) Fire lanes are minimum 20' wide
URBAN FORESTRY
PFM 12-0204.3
157 Tree protection shown on demolition plan
PFM 12-0305. 1A
158 PFM 12-0300. I Tree conservation plan provided for all land disturbing activities *
159 PFM 12-0301.1 B Existing Vegetation map (EVM) *
Tree preservation target calculation and narrative including any
160 PFM 12-0301.1 C *
deviation requests.
161 PFM 12-0301.1D I 0-year tree canopy requirements and calculations *
Tree inventory and conditions analysis if removing or preserving
162 PFM 12-0302. l A
existi ng trees
Landscape plan (if planting required to meet I 0-year tree canopy
163 PFM 12-0302.1 F
requirements) *
Existing tree line for gro ups of trees clearly shown with graphic key
164 PFM 12-0304. I A
provided
165 PFM 12-0304. 1B Proposed limits of clearing and grading shown and labeled
PFM 12-0309.2 & 12-
166
0309.3
Tree preservation plan and narrative *
167 PFM I 2-0309.2E Tree oreservation fence and measures shown and identified
168 PFM 12-0314.4 Interior parking lot landscaping calculation
169 PFM 12-0314.5 Trees indicated for interior parking lot landscapi ng
170 PFM I 2-03 I 5.2A Required transitiona l screening }lards shown and labeled
MISCELLANEOUS
All sheets have engineer' and/or surveyor' s/landscape architect' s
171 112-17-106.1 *
seal and sig nature
Plan is drawn to a scale of not less than I " = 50 ' . Match lines are
172 112-17- 106.2 *
shown where sheets join. P lan is legible at the sca le provided.
I 12-17- 106.5 North arrow referenced to State Grid System (VCS 83) and reference
173 *
IO l-2-5(c)(6) note is provided
Two adjacent corners or two points with coordinate values are shown
112- 17- 106.5
174 on each sheet. Metes and bounds are provided around the site
IO l-2-5(c)(6)
boundary.
112-17-1 06.5 Vertical darum reference note is provided and it refers to NGVD
175
IO l-2-5(c)(6) 1929
Existing topography drawn at maximum 2' intervals. Where existing
I 12-17-106.9
slope is less than 2%, additional spots or I-foot contours are
176 112-17- 106.10
provided. Sufficient elevation numbers shown on existing and
LDS Policy
proposed contour lines.
112-17- 106.9
177
LOS Policy
Existing topography not screened excessively so as not legible *
178 PFM 2-0 I 06.1 Proposed grading shown by contours and soot elevations
Proposed easements shown and identified as "proposed". All
112-17- 106.1 1
179
LOS Policy
existi ng easements are sho wn and labeled with deed book and page *
numbers. Easements are shown on all app li cable sheets.
180 112-17-106.16 Location of solid waste and recycling storage containers are shown
Sufficient existing condition information (i.e. topography structures,
112- 17- 106.18
181 etc.) is shown beyond property boundaries, so impacts on adjacent *
124-2.7.B.8.e
properties can be evaluated
Sidewalks provided among buildings within the site and pedestrian
182 112-17-201.1
connection is provided to adjacent sites
Trai l or wa lkway are provided in accordance with the
Comprehensive Plan or waiver request submitted or approved.
I 12-17-201.2
183 Adequate right of way is provided for trails within the right of way.
PFM 8-0202.2C
Public access easements are shown where required. Trail shoulder
shown.
184 112-16-403 Trails and wa lks are orooosed as shown on GDP FOP, SE or SP. *
185 112-17-106.15 Horizontal location of all ro_posed trails and vertica! locati_2!1 of an y_ ~ . ~-
~-- - - -- - - - - ~

Updated I /3/20 I 9 Site Plan Page 8 of 10

&a4 fatUhiii F·\,j,@,i:/iidf1,PLMH
LINE CODE SECTION REOUIREMENT SHEET OK NO NIA
-
FFX
trail wbich is proposed to exceed an 8% grade
PFM 2-0 10 1.1 All approved waivers are valid and shown on the plan , wi th waiver
186
County Policv condition como li ance narrati ve
187 PFM 2-0208.12 C learing limits match among all site plan sheets
Horizontal and vertical location of ex isting transmiss ion lines and
188 PFM 2-0304.2
Ioioelines and associated easements shown
Prints legible not too light or too dark to digit ize. Proposed
189 LDS Policy *
imorovements can be clearlv differentiated fro m ex isting.

PEER REVIEWER: COMPLETE NEXT PAG E -- FOR PLA CO TROL EARLY RO TING I FORMATION.
Note to Peer Reviewer: T he Peer Review Team has been requested to a · ist the Site Applicat ion Center in identifyi ng th e necessary
distribution of plans to agenc ies that are not invo lved in the norma l review functi on. This will a ll ow the plan to be distributed to those
agenc ies in a timelier fashion.

Updated I /3/20 I 9 S ite Plan Page 9 of 10

 7.1 ■ TECHNICAL APPENDIX 685

Site/Subdivi ion Plan Routing Slip

FROM: ESI PEER REVIEW

TO: Site Application Center

Plan Name: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ Plan Number: _ _ _ _ _ _ _ _ _ Date: _ _ _ _ __

This plan should be routed to the Agencies indicated

(Peer Reviewer: circle reasons for additional reviews needed and reference proffer/condition #)

AGENCY YES PROFFER/CONDITION# N/A

rban Forestry
Any plan wh ich ha a rezoning, special exception, pecial use permit or
variance. Plans with tree preservation target deviation or modification.
Park Authority
(Proffer requiring Park Authority review/Work on Park Land/Dedication to
Park/ Site is Adjacent to Park/BOS Directed Park Review/Stom, outfall
directed onto parkland/Planned Mixed Use development (Transit Station
Area , Community Busines Centers, Suburban Center , Reston,
Tysons)/Countywide Trail construction/ Development of property
containing a floodplain)
Heritage Resources
(Proffer/Condition/Directed Review by BOS or Historic Overlay District)
Planning Commission
(BOS Directed PC Review)
Board of Supervisors
(BOS Directed BOS review)
Health Department
(Septic/WeiI/Pool)
1 VSWCD
(DPWES, FCPA, Fairfax Water, FCPS Project/Pohick Watershed/within 3
miles of Potomac river/problem soils/steep slopes)
Other

Other

When peer review has been completed and both the plan and the checklist have been reviewed by ESI staff reviewer remove this sheet
from the checklist and wrap it around the plan and put the plan in the pigeon hole for "ES! peer review plans OK to log in".

Updated I/3/2019 Site Plan Page IO of IO

 CHAPTER 7.2
TYPES OF STORMWATER
MANAGEMENT FACILITIES
7.2.1. Introduction
This chapter includes a series of detailed "fact sheets" on the
various types of stormwater management facilities (adapted
primarily from Chapter 19 "New Development and Rede-
velopment Program;' Appendix II of the CO DOT Drainage
Design Manual). These facilities have been broadly catego-
rized by their types and include a description of the facility,
guidelines on how to properly select or apply a design alter-
native, as well as general design criteria for their successful
implementation.
As described in Chapters 3.5 and 5.5, the purpose of storm-
water management systems includes water quantity as well as
water quality control. Each jurisdiction will have requirements
for stormwater management systems. Historically, stormwater
management was achieved through an "end of the line'' solu-
tion (detention facility, regional pond). This strategy is chang-
ing as design philosophies of stormwater best management
practices (BMPs) transitions to treating rainfall and runoff
"at the source" and replicating the predevelopment hydrologic
characteristics (decreasing the peak rate of runoff and recharg-
ing groundwater supplies). There are four primary categories
of stormwater management systems:
1. Integrated management and low-impact
development
2. Structural BMPs
3. Traditional BMPs
4. Proprietary BMPs
686
The first three categories are outlined in the following sec-
tions. The fourth category of proprietary BMP includes any
system that is developed by a manufacturer through propri-
etary treatment methods. The proprietary systems include
manufactured filters, engineered soil media in a tree box fil-
ter, or other structural systems. Each jurisdiction will likely
have a list of approved proprietary systems and the recog-
nized efficiency.
7.2.2. Integrated Management Practices and
Low-Impact Development
Low-impact development technology employs microscale
and distributed management techniques, called integrated
management practices (IMPs) to achieve desired post-
development hydrologic conditions. These IMPs can be
used to satisfy the storage volume requirements described
in Chapters 3.5 and 5.5. In contrast to traditional BMPs, LID
practices are recognized for reducing runoff and the associ-
ated discharge from a site through infiltrations and vegeta-
tive uptake.
IMPs are the preferred method of addressing stormwa-
ter management requirements because they can maintain
the pre-development runoff volume as well as integrate
easily into the site design. The design goal is to locate IMPs
at the source of runoff, ideally on level ground within
individual parcels of the development, within parking lot
islands, or associated directly with a building. Manage-
ment practices that are suited to low-impact development
include
 7.2 ■ TYPES OF STDRMWATER MANAGEMENT FACILITIES 687

PARKING LOT
GRASS
C HANNEL
(LESSTNAN1%
SLOPE)

BYPASS - - - - -- ,LJ
(TO DETENTION FACILITY)

INFILTRATION - -- + - - H -
TRENCH
Wlltt PEA GRAVEL
FILTER LAYER
OVERWASHEO
BANK RUN GRAVEL
AGGREGATE

PLAN VIEW

PROTECTIVE LAYER OF FILTER FABRIC

~~P,d:!1f.ifr-- TRENCH 3-8 FEET OE.E.P

Fll.LEOWITtt 1.5• 2.SINCH DIAMETER
CLEAN STONE
(BANK RUN GRAVEL PREFERRED)

PROFILE

FIG uRE 7. 2 A Plan and profile views of an infiltration trench.

Infiltration Trench and Basin
Description. A structural BMP used to capture and treat a
volume of stormwater runoff. The infiltration system con-
sists of a stone-filled trench in which runoff is collected and
percolated to the surrounding soils. Grass channels, veg-
etated filter strips, or forebays can be used to reduce sedi-
ments entering the trench. Generally, the trench is 3 to 8 feet
deep and filled with 1.5- to 2.5-inch-diameter clean stone or
bank run gravel. The basin has a flat floor with an underd-
rain system. There is a diversion/ overflow structure or weir
for higher volumes of flow. An illustrative detail is shown in
Figures 7.2A and 7.2B. A detail for application adjacent to a
parking lot is shown in Figure 7.2C.
Application Guidelines
• Both can be used to enhance stormwater quality,
reduce peak discharges, and recharge groundwater.
• Structures are prone to clogging by suspended solids
and are best used in conjunction with other BMPs
that are more effective in removing suspended solids.
• Both should not be used on or adjacent to steep
slopes and are typically used for drainage areas less
than 5 acres.
• Trenches should only be used in well-drained soils of
hydrologic soil groups A or B. However, they can be
used in hydrologic soil groups C and D soils if used
for a very small drainage area, such as the backyard
of a single family residence.
• The bottom of both facilities should be 4 feet higher
than the seasonal high water table or bedrock.
• Trenches recharge surface runoff directly to ground-
water and should not be used in areas where there
are concerns about contamination of groundwater
with dissolved pollutants.
• Neither should be installed in highly permeable sand
or gravel seams that are directly connected to aquifers.
• Both can be connected to parking lot drains, roof
downspouts, or inlet structures.
&88 fatUhiii F·\,j,@,i:/iidf1,PLMH

/ ~5: GRASSCHANN~----~

STILLING
••
•• ••••
/ •••••••••••••• EMERGENCY
BASIN ••
•••••••• •••••••••••••••••••••••
••••••••••••••••••••••••••••
SPILLWAY

•••••• •••••••••••••••••••••••••••••••
••••••••••••••••••••••••••••••
•••••••••••••••••••••••••••••••
••••••••••••••••••••••••••••••••
1t••• ••
......................................
........................ ....... .
FLAT BASIN FLOOR WITH•••••••*
<t • •
*.,........*.,....*.,....: ~-.-.:. ~R;A~~ It!Rf.,:".".~....*.,..*.,......*.,..

..................... . .......
.,.. .,..
.,.. .,..
••••• •••••••II-*•• BACKUPUNDERDRAIN
• • • • • • • • • .,.. • • • • • • 11 """'·"""" " """" • ·

•••••••••••••••
•••••••••••••••••••••••••••••
·························••11-•
••••••••••••••••••••••••••••
...........................
••••••••••••••••••••••••
••••••••••••••••••••••
••••••••••••••••••
...............

PLAN VIEW

Cp, or 2 YEAR LEVEL

BACKUP UNDERDRAIN PIPE IN CASE OF

STANDING WATER PROBLEMS ANTI-SEEP COLLAR o r _ /
FILTER DIAPHRAGM

PROFILE

FIGURE 7.28 Plan and profile views of an infiltration basin.

 7.2 ■ TYPES OF STDRMWATER MANAGEMENT FACILITIES 689

Top View Side View

Berm Dripline of tree should

{Grassed) not extend over trench

Slope of
Parking Lot
7 ~
Slotted Curbs Act
as a Level Spreader
-
Cars
~~ -:-:-:
//.!:? = :-:-:
~ :::::: u-:::::
- ---
---- ~ !!I JI~
! Filter Strip
Directly Abuts
Protective Filter
Cloth Layer
~ =::::: o?: Pavement
- - i j }::.~-:::::
Sand Filter
Storm Drain
(if Partial Exfiltration)
Slotted Curb
Spacers

FIG uRE 7. 2 C Plan and typical section of a parking lot perimeter trench. (Courtesy of Thomas R. Schueler, 1987, Controlling Urban Runoff: A Practi-
cal Manual for Planning and Designing Urban BMPs, Washington, D.C.: Metropolitan Washington Council of Governments, 777 No. Capital St. NE, Suite 300,
Washington, D.C. 20002-4226, 202/962-3256.)

• Upstream stilling basins can be used to pretreat por-
tions of the water quality volume.
• Basins should only be used with well-drained soils of
hydrologic soil groups A or B.
Basic Design Criteria
• Generally, they are designed to infiltrate retained
runoff within a 48-hour period.
• Accumulated sediments render these facilities inef-
fective and regular inspections are needed. These
sediments must be controlled to lengthen the effec-
tive life span.
• No vehicular traffic and minimal pedestrian traffic
should be allowed over the trench.
• Observations should be made to observe the time
required for water to infiltrate into the soil after a
storm event.
• Periodic observations should also be made to moni-
tor any decrease in performance.
• A dense vegetative cover needs to be established over
all contributing pervious areas before runoff can be
conveyed to the trench
• Dewatering methods need to be designed in the
event of a failure.
• The trench can be designed with a perforated drain
pipe placed near the top of the trench. This allows
the volume of stormwater in the trench (below the
level of the drain pipe) to infiltrate into the subsoil.
Any stormwater in excess of this volume will then be
carried in the drain pipe to the outlet.
• Overland relief must be provided so that runoff from
very large storms does not cause unnecessary flood-
ing or damage.
&9o fatUhiii F·\,j,@,i:/iidf1,PLMH
PARKING LOT SHEET FLON

l
$TOME DIAPHAAGM

.+,, -_,...- GRASS FILTER

STRl•

omoNAL
SAND LAYER

GRAVEL CURTAIN
OVERFLOW DRAIN OVERFl.ON
•CATCH BA.Sltr

PLAN VIEW

-
r 10 12" PONDING
2•..3• MUlC

2.6' 10-4' PR.OTECTIV5 LAYER

Pl.ANTING SOIL OF FILTER FABRJC

PROFILE

6. PERFORATED
P1F>E IN It' GRAVEL
JACKET

TYPICAL SECTION
FIG uRE 7. 2 D Plan and profile views of a bioretention facility.

Bioretention • Upstream grass channels or grass filter strips can be

Description. A structural BMP used to capture and treat
a volume of stormwater runoff. The bioretention area is an
excavated area filled with planting soil or a sand/planting
soil mix. Runoff accumulates in the depression on top of the
bioretention area and percolates through the sand/soil later.
Flows are then conveyed by an underdrain system connected
to a storm sewer, open channel, or stream. An illustrative
detail is of a bioretention system is shown in Figure 7.2D.
used to help protect the integrity of the facility.
• Generally suited for drainage areas of 10 acres or less
but multiples systems can be located in the same area.
• Runoff sources can be overland flow from impervi-
ous areas or discharges from drainage pipes.
• Most effective if the retention area can be located as
close as possible to the runoff source.

Application Guidelines Basic Design Criteria

• Structure can be used to enhance stormwater quality,
reduce peak runoff, and recharge groundwater.
• Can be used in residential and nonresidential devel-
opment areas.
• Excavated area is lined with layers of filter fabric.
• Efficient for removing a wide variety of pollutants
including suspended solids and nutrients.
• Structure can be off-line, receiving runoff from over-
land flow or other structures in a traditional drainage
system, or on -line, where structures are located in
grass swales or other conveyance systems that have
been modified to enhance pollutant removal.
• Generally, basins are designed to infiltrate retained
runoff within a 40-hour period.
• Regular inspection and maintenance is necessary to
remove surface sediment, trash, debris, and leaf litter,
and dead or diseased plant material.
• A dense vegetative cover needs to be established over
all contributing pervious areas before runoff can be
conveyed to the bioretention facility.
• Planting soil typically has a depth of approximately
2.5 to 4 feet.
• The top of the bioretention area is depressed to allow
for 6 to 12 inches of stormwater ponding.

RIPRAP
-
INFLOW
-ROADWAY-
2'T08'
BOTT MWIDTH
WOv LEVEL
FIG uRE 7. 2 E Plan and typical section of a dry swale.
Dry/Wet Swales
Description. Dry/wet swales are structural BMPs used to
filter pollutants as stormwater runoff moves through them.
These BMPs are constructed as an open channel with grass or
other wetland vegetation to provide conveyance and to filter
pollutants. Other features such as check dams, pretreatment
forebays, gravel pads, and riprap can be used to temporarily
inhibit stormwater runoff and enhance treatment. Illustra-
tive details of dry and wet swales are shown in Figures 7.2E
and 7.2F, respectively.
Application Guidelines
• Structure can be used to enhance stormwater quality
and reduce peak runoff.
• Efficient for removing a wide variety of pollutants
including suspended solids and nutrients.
• Swales work best in conjunction with other BMPs
and can be used as an alternative to or enhancement
of a conventional storm sewer.
• Excavated area is lined with layers of filter fabric
around the permeable soil.
• Flows that infiltrate into the dry swale channel soil
are conveyed by an underdrain system.
7.2 ■ TYPES OF STDRMWATER MANAGEMENT FACILITIES 691
PLAN VIEW
SHOULDER-
2: 1 SLOPE OR FLATTER
30" PERMEABLE SOIL
SECTION
• Swales are used in low-density residential areas or for
very small impervious areas.
• Runoff sources can be overland flow from impervi-
ous areas or discharges from drainage pipes.
• Well suited for flat or rolling terrain.
• Swale depressions can be used in place of above-
ground islands in large parking lots.
• Wet swales are ideal for treating highway runoff in
flat terrain areas.
• Wet swales can be used in residential areas if ponded
water can be flushed frequently and wetland vegetation
in the bottom of the channel can be established and
maintained. Extended periods of standing water may
result in nuisance conditions and mosquito problems.
• Flows from wet swales are generally conveyed
through a surface outlet structure to an open channel
or stream, or directly into a storm sewer.
• If designed with check dams and/or depression stor-
age, the swale can satisfy site runoff capture storage
requirements for water quantity control.
• Swale depressions can be used in place of above-
ground islands in large parking lots.
&92 fatUhiii F·\,j,@,i:/iidf1,PLMH
ADDITIONAL STORAGE

RIPRAP

INFLOW

-ROADWAY-

PLAN VIEW

SHOULDER-
2'-8" ROADWAY
BOTTOM WIDTH

~
~ 2:1 SLOPE OR FLATTER

WATER TABLE (VARIABLE)

PROFILE
FIG uRE 7. 2 F Plan and profile views of a wet swale.

Basic Design Criteria should also be constructed early in the construc-

tion schedule before grading and paving increase
• Generally, swales are designed to temporarily store
runoff rates.
the water quality volume for a maximum of 48 hours.
• The maximum ponding depth is generally no greater
• Regular inspection and maintenance is necessary to
than 1.5 feet at the outlet.
remove surface sediment, trash, debris, and leaf litter,
and dead or diseased plant material. • Longitudinal slope should be as flat as possible, to
minimize velocities and enhance pollutant filtering.
• A vegetative cover needs to be established as soon
as possible to prevent erosion and scour. They • Frequent mowing is not required.
 7.2 ■ TYPES OF STDRMWATER MANAGEMENT FACILITIES 693

POROUS ASPHALT COI.RSE

• 2- V2" to 4" thiel<

FILTER COLRSE
• V2" aggegate
2" thiel<

RESERVOIR COLflSE
• 1" to 2" BQIJ'egate
• Thickness ,s based on
storage r~ired and rrost
penetration

FIL TEA FABRIC

EXISTING SOIL
MinilTUTI COITl)action to retain
porosity and permeability
FI GuRE 7 . 2 G Some of the various porous pavement options-
gravel pave, grass pave, open grid, and porous pave. (Photo courtesy of
Invisible Structures and Pavestone.) FIG uRE 7. 2 H Schematic of typical porous pavement section.

Porous Pavements • Can be used to reduce flooding by infiltrating or

Description. This structural BMP consists of porous
asphalt, concrete, lattice pavers, concrete blocks, or stones.
The surface material is laid on a gravel subgrade and the
surface voids are filled with sand or a sandy loam turf.
Stormwater flows percolate through the pavement into
the underlying soil. Using this BMP, streets, parking lots,
sidewalks, and other impervious surfaces retain infiltra-
tion capacity. The three major types of porous pavements
include open grid, concrete/asphalt, and gravel/grass pave.
Illustrative details of porous pavement systems are shown in
Figures 7.2G and 7.2H.
slowing down stormwater runoff.
• Lattice pavers, blocks, or stones can enhance site
aesthetics.
Basic Design Criteria
• Initial pollutant removal rates are high but decrease
as the porous materials become clogged. Careful
attention to maintenance is necessary to reduce clog-
ging. Maintenance should include vacuum sweeping
and jet hosing.

Application Guidelines
• Best used in areas oflow traffic volumes and loads.
• Alternate approach is to use grass turf reinforced with
plastic rings and filter fabric underlain by gravel.
• Porous pavements function to decrease the effective
imperviousness of a project site.
• Most often used in the construction of parking lots
for office buildings and shopping centers. Other uses
include traffic islands, emergency stopping areas,
road shoulders, residential driveways, airport park-
ing aprons, and maintenance roads.
• Structural and functional characteristics of the sur-
faces they replace are maintained.
• Potential for high particulate pollutant removal.
• Suitable sites are generally limited to low traffic areas
with a minimum soil infiltration capacity of 0.5 in/h.
• Porous pavements should not be used in areas of
high contaminant loads such as gas stations or load-
ing docks and the proximity of the pavement to
groundwater needs to be considered.
• Pavement thickness should be sufficient to protect
the subgrade.
• Quality base and subbase materials should be used to
support the applied loads.
• Underdrain system can be used if subsoils cannot
adequately infiltrate the expected flows.
• Adjacent unpaved areas should be stabilized to
prevent sediment from washing into the porous
pavement area.
&94 fatUhiii F·\,j,@,i:/iidf1,PLMH
FIG uRE 7. 21 Dry well detail/picture. (MOE & CWP, 2000, and Maine DEP Conservation Practices for
Homeowners Factsheet Series.)
Dry Wells
Description. A structural BMP used to capture and
treat a volume of stormwater runoff. This BMP provides
stormwater storage prior to infiltration and may meet
groundwater recharge requirements. A dry well is very sim-
ilar to an infiltration trench with several important differ-
ences: it is much smaller and is usually connected directly
to a rooftop downspout. Illustrative details of dry wells are
shown in Figure 7.21.
Application Guidelines
• A dry well infiltrates water through the stone media
into the underlying soils.
• Use of dry wells can reduce the amount of storage
required in other downstream BMPs.
• Dry wells are smaller than infiltration trenches typi-
cally treating about 500 square feet (sf) to as much as
one acre of imperviousness.
• Typically considered a stormwater quantity control
BMP; however, some jurisdictions allow water qual-
ity control credit for the pollutant removal attained
through infiltration.
• Common in residential settings, dry wells are often
directly connected to downspouts.
• Dry wells should be located at least 10 feet from
the building foundation to prevent seepage into the
basement/foundation.
• Dry wells should also be located at least 100 feet from
any drinking water well to prevent contamination.
• Soil permeability must be at least 0.2 in/h and for
groundwater recharge applications, a minimum soil
permeability rate of 0.5 in/h is typically required.
• Do not use dry wells in areas where there is high sed-
iment loading (this can lead to rapid clogging of the
well) or areas that have hazardous chemicals or other
pollutants which can contaminate groundwater.
Basic Design Criteria
• The dimensions of the dry well are determined based
on the design storm (usually a 0.5 to 1 inch of rain-
fall or the 1- or 2-year storm) and the drawdown
time (typically 48 to 72 hours) both of which vary
depending on the jurisdiction.
• Dry wells should be located at least 4 feet above the
seasonal high groundwater level.
• The maximum depth of dry well can be determined
by using the formula:
dmax = fTsln {J.2A)
where dmax is the depth of dry well (inches),fis
the permeability rate (in/h), T; is the storage time
(hours), n is the porosity of stone (typically 0.40).
• Once the well depth is determined based on the
above equation and/or the groundwater elevation,
the area of the well is determined as follows:
A= 'Vsl(nd+ fTs) (7.2B)
where A is the area of dry well (feet), Vs is the
required storage volume based on design storm, and
dis the depth of the well as determined above (feet).
• Flows in excess of the design storm will bypass the
dry well via a surcharge pipe.
• Crushed stone size should be between 1½ and 3 inches.
• Geotextile is typically placed at the interface of the
soil and stone.
• During construction the subsoil (soil below the
stone) should not be compacted.
• Provide observation well to monitor clogging.
• Inspect well after significant rainfall events and if
there is standing water on top of the dry well or in
the observation well for longer than 72 hours.
• Clean/replace aggregate and filter fabric when clogged
or every 3 to 5 years as part of routine maintenance.
 7.2 ■ TYPES OF STDRMWATER MANAGEMENT FACILITIES 695

Leaf screan
Roof - Approximately 1,200 sq ft covers gutters

I
Mosquito screen
covers cistern entrance
oof washer - wastes initial 12 gallons

~ ~-_-_-_-_-_-_-_-_-~~--~,, ~ trickle valve with hose to swale at base

1,500 Gallon cistern

Cistern Ultraviolet
overflow sterilizer

Valve

Check valve

(a) (b)
FIG uRE 7. 2 J (a) Schematic section of a functioning cistern (Experiments in Sustainable Urban Living); (b) detail of a typical rain barrel installation
(Composters.com, a subsidiary of the Green Culture).

Rain Barrels/Cisterns • Facilities may be placed in series to increase storage

Description. Primarily a quantity control BMP, rain barrels volume.
and cisterns are generally used to detain (or retain) small fre-
• Inlet and outlet conditions should be carefully con-
quency storms and hold water for on -site reuse applications. A
sidered to minimize insect attraction and contamina-
small orifice or other manually operated outlet control (hose
tion while facilitating overflow or bypass.
or nozzle) is used to control the outflow from the rain barrel
or cistern. Secondary water quality benefits can be obtained as • Collected rainwater in barrels/ cisterns is not potable
runoff (typically from the rooftop) is screened at the inlet and and should only be used for landscaping or other
depending on the facility sizing may be detained long enough grey water applications
for sedimentation to occur or in large applications, filtered.
Common reuse applications include irrigation and gray water Basic Design Criteria
uses internal to the building/structure. Illustrative details of
• Determine the volume of rooftop runoff available:
rain barrels and cisterns on shown in Figure 7.2J.

Application Guidelines V= Ax Rx Ex 7.48 (7.2C)

• Post-development volume reduction is possible when
reuse is employed.
• The facilities are flexible and can provide detention or
retention by adjusting the outlet control device-partially
open to detain or closed to retain for a given storm.
• Rain barrels are common in residential applications as
they tend to be the smaller of the two similar facilities
with a minimum size of approximately 55 gallons.
• Cisterns are common in nonresidential and large-
scale residential applications; they may be above or
below ground and range in size and material from
fabricated or precast tanks similar to rain barrels to
cast-in-place vaults of nearly any size.
• Useful in rural, suburban, and urban applications
and is relatively space conscious in that it is generally
small enough to be screened in residential applica-
tions or buried or included in structured parking
areas in nonresidential or condo type applications.
where A is the rooftop area (sf), R is the rainfall (feet),
E is the efficiency of the system (usually estimated
at 90%), and 7.48 is the conversion from gallons to
cubic feet.
• Determine allowable drawdown time typically in the
range of24 to 48 hours but varies depending on cli-
mate, average rainfall, and intended reuse application.
• Size outlet control device based on drawdown time
and detention volume.
• Provide/design pumps if a gravity-based discharge
system is not possible.
• Account for overflow from larger storms with an
appropriate bypass system.
• Maintenance is required-a low flow or dewater-
ing spigot is required and sediment levels should be
checked periodically and removed to allow proper
functioning.
696 fatUhiii F·\,j,@,i:/iidf1,PLMH
Stormwater Inlet Pipe

Oil
Separation
Chamber
Q)

::::_ \ ...:=-·~ ~
t5
2
ci5
Q)
Trash Rack a5
u
C
Sediment Trapping 0
Chamber {)
0
Q)
u
0
c
&

FIG uRE 7. 2 K Schematic of a water quality inlet. (Courtesy of Engineers & Surveyors Institute and Northern Virginia Planning District Commission.)

Structural BMPs
Water Quality Inlet with Oil/Grit Separator
Description. This structural BMP is similar to a stan-
dard curb inlet with modifications made to the under-
ground portion of the structure to separate oil and grit
into discrete chambers. Generally, this BMP consists of
a three-chamber system designed to remove heavy par-
ticulates and trap hydrocarbons from stormwater runoff.
Illustrative details of water quality inlets are shown in
Figure 7.2K.
• Since flows are only detained for a short time, pollut-
ants not removed as effectively as facilities that retain
runoff for longer periods.
• Although flows are only detained for a short time, inlet
can be used as an effective first stage of treatment by
removing oil, grease, and sediments from stormwater
before the flows enter a larger BMP such as a pond.
• Inlets can be installed in most areas and drainage
area to inlet is generally less than one acre.

Application Guidelines Basic Design Criteria

• Generally used at sites expected to receive heavy
vehicular traffic.
• Also used at sites where oils, grease, and petroleum
products could be carried by stormwater.
• Inlets are often placed in parking lots, service sta-
tions, or in truck loading areas.
• Inlets can be used to reduce the maintenance
required at downstream BMPs.
• Multistage underground retention system.
• Upstream chamber trap sediments, center chamber
trap oils and other heavy substances, downstream
chamber discharge flows.
• Inlets can be installed in any soil or terrain and
are best used when they are installed at or near the
impervious area that generates stormwater runoff.
• Area above inlet needs to be large enough for main-
tenance access.
• The inlet should be designed with a permanent pool
approximately 4 feet deep with a total chamber vol-
ume of 400 cubic feet of water per acre of contribut-
ing drainage area.
• Higher levels of pollutants can be removed by incor-
porating surface skimmers in the structure.
• Structure should be inspected regularly and cleaned
at least twice per year to remove accumulated sedi-
ment, oil, grease, and other pollutants.

UNDEROl¼IN COL!.JlCTION
S YSTE.l\f
BYPASS Fl.,O\V DIVERSION
i :
t
PRE'JRliATMENT
SEDIMENTATIO
CHAMBER
PERFORATED
STANDPIPE
UNDllRDl¼IN COI.J..ECTION SY TllM
J"TOPSOIL
IS" CLEAN WASHED
-CONCRETE" SAND
FIG uRE 7. 2 L Plan, profile, and typical section of a surface sand filter. (MOE & CWP, 2000.)
Sand Filter. There are a variety of different sand filters avail-
able for use depending on jurisdictional standards/preferences
and the development application. They include
Surface sand filter (Figure 7.2L): A structural BMP used
to capture and treat a volume of stormwater runoff. This
BMP is an excavated basin underlain by a sand filter bed
with an underdrain system. Runoff collects in the basin
and gradually infiltrates into the sand bed. The underdrain
then dewaters the sand bed and flows are conveyed to a
nearby swale or storm sewer. An overflow is used to divert
higher volumes of flow.
Subsurface sand filter: A structural BMP used to capture
and treat a volume of stormwater runoff. This structure
consists of an underground concrete vault with distinct
chambers designed for various levels of treatment. Flows
enter and exit the structure through underground pipes
and flows from the filter are conveyed into a storm sewer
or open channel.
Perimeter sand filter: A structural BMP used to capture
and treat a volume of stormwater runoff. This BMP
consists of an underground concrete vault with distinct
7.2 ■ TYPES OF STDRMWATER MANAGEMENT FACILITIES 697
.......
:' DIITFI aw ..
PLAN VIEW
-
OlITFLOW
PROFILE
GEOTllXTILB
) ALL SIDES, TOP & BOTTOM
6" PERFORATED PIPE/GRAVEL
UNOERDRAIN SYSTEM
TYPICAL SECTION
chambers designed for various levels of treatment. Flows
enter the structure through surface grates and exit the
structure through underground pipes. Generally, one
chamber collects sediments while the other chamber
filters runoff.
Organic filter: A structural BMP used to capture and
treat a volume of stormwater runoff. This BMP is identi-
cal to a surface sand filter. However, the runoff storage
zone is underlain by a 50/50 peat and sand mixture filter
bed with an underdrain system. This filter is used in
areas where maximum nutrient or trace metal removals
are desired. The underdrain system then conveys flows
to a swale or storm sewer.
Pocket sand filter: A structural BMP used to capture and
treat a volume of stormwater runoff. This BMP is similar
to a surface sand filter, but smaller in surface area. The
filter consists of a small excavated basin with a runoff
storage zone underlain by a sand filter bed. For this BMP,
the lower portion of the sand bed has a pea gravel "win-
dow" on the surface that allows runoff into the filter if
the surface becomes clogged.
&9a fatUhiii F·\,j,@,i:/iidf1,PLMH

t
WO,ONLY-.

PLAN VIEW

TEMPORARY
PONDING

PERMANENT
POOL

SUBMERGED :
WALL - .

TEMPORARY
PONDING
(VARIA8LE)

DEBRIS SCREEN (1")

24" CLEAN
WASHED SAND

6" PERFORATED PIPE

IN 11 " GAAVEL JACKET

TYPICAL SECTION

FIG uRE 7. 2 M Plan, profile, and typical section of a subsurface sand filter. (MOE & CWP, 2000.)

General Sand Filter Application Guidelines
• Filter is used to enhance stormwater quality.
• Filter is subject to clogging if moderate to high levels
of silts and clays flow into facility and must not be
used while construction is occurring in the upstream
catchment.
• Most effective in treating runoff from small storms
or early stages oflarger storms.
• Filters are generally used in areas where sediment
loads are low and there is no base flow.
• Subsurface sand filters are used to treat drainage
areas of 5 acres or less.

• Upstream grass channels, grass filter strips, or other
BMPs can be used to help remove sediments and
particulates before they enter the filter, reducing
maintenance requirements.
• Particularly useful at sites with limited space for
water quality treatment or in high-value real estate
areas. The subsurface and perimeter sand filter vault
can be installed under parking lots and streets.
• Useful in watersheds where groundwater quality is
a concern or where low permeability soils prevent
infiltration.
• Upper chamber filters out finer materials and
sediments. Flows percolate through a sand filter in
the lower chamber and into an underdrain system.
• Perimeter sand filter is also practical for small sites
with flat terrain or a high water table.
 7.2 ■ TYPES OF STDRMWATER MANAGEMENT FACILITIES 699

parnlng lot runoff

Inlet grate

.soo dete 1below

underdraln plPQ
Re. storage access grate
co lection system
PLAN VIEW

CURB STOPS

ACCESS GRATES

S7 TEMPORAAY PONDING

SEDIMENTATION
CHAMBER

PROFILE

TEMPORARYr
PONDING
6" -12"

1
·:. -
·:. -
·:. -
·:. .- --------t .
_. _ ·- ·:. ·:. ·:. ·:. ·: . _. _ ·:. ·:

·. ·:. ·:.·:.·:.·:. ·."':.·:. ·:. ·:. ·:. ·:. ·:.·:.

18"CLEAN ...
·:. ·:. ·:, ·:. ·: . _ ·:. ·:. ·:. ·:. ·:·. ·.-. ·:. ·:
. ·:. ·:.·:.·:.·:.·:.·:.·:.·:. ·:.·:. ·:.·:. ·
·:.·:. ·:.·:. ·:.·.·.·:. ·:.·:.·:.·:.·.·.·:.·:
WASHED SAND .. ...... ..... , ............ .. , . .. .
.. .... -·.. .." ....
.... .. .. .. ........
.. .. .. , .....

FIG uRE 7. 2 N Plan, profile, and typical section of a perimeter sand filter. (MOE & CWP, 2000.)

Basic Design Criteria
• Regular inspection and maintenance is necessary to
remove surface sediment, trash, debris, and leaflitter.
• A dense vegetative cover needs to be established over
all contributing pervious areas before runoff can be
conveyed to the filter.
• Screens/grated inlets should be considered in design
to keep debris out of filter chambers.
• Filter bed typically has a depth of between 18 and
30 inches.
• In certain cases, layers of sand will need to be
replaced every 3 to 5 years.
• Outlets and chambers will be cleaned/repaired when
drawdown times in the filter exceed 36 hours.
100 fatUhiii F·\,j,@,i:/iidf1,PLMH
PLAN VIEW
FIG uRE 7. 2 0 Plan and profile of an extended detention stormwater management pond. (MOE & CWP, 2000.)
Traditional BMPs. The traditional BMPs listed here
address the requirements of local jurisdictions for quality
control by extended detention of the "first flush'' of runoff.
This extended detention time is intended to capture sedi-
ment and allow the pollutants attached to the sediment suf-
ficient time to settle out of the water. These facilities can be
enhanced by the inclusion of sediment forebays and micro-
pools to increase their effectiveness.
Extended Detention (Dry) Pond with Micropool
Description. A structural BMP is used to capture and treat
a specific volume of stormwater runoff. Because of a smaller
outlet, the pond releases stored flows over a period of a few
days and drains totally dry sometime after the storm ends.
The pond is considered dry, although the formation of
small wetland marshes or shallow pools in the bottom can
enhance the effectiveness of the pond. Illustrative details of
an extended detention dry pond is shown in Figure 7.20.
Application Guidelines
• Pond can be used to enhance stormwater quality and
reduce peak discharges.
• Most applicable in residential, commercial, and
industrial areas.
• If constructed early in development of a particular
site, the pond becomes an effective means of trapping
sediment from construction activities.
• Ponds can be retrofitted into existing flood control
facilities.
• Ponds are used to improve quality of urban runoff.
• Used for regional and/or follow-up water quality
treatment but are also effective as an "on-site'' BMP.
PROFILE
• Ponds also work well in conjunction with other
BMPs used to control upstream and downstream
sediments.
• Ponds can attenuate peak stormwater discharges and
for water quality treatment.
• Pond size can be reduced if effectively combined with
other water quality BMPs.
• Pond can also be used for recreation and open
space and in some cases, wildlife habitat if wet-
lands or shallow pools are incorporated into the
design.
Basic Design Criteria
• If possible, pond should be incorporated into existing
facility or flood control basin.
• Consider other urban uses such as recreation, open
space, and/or wildlife habitat.
• Generally, minimum drain time of 40 hours is rec-
ommended to allow finer particulates found in urban
stormwater runoff to settle.
• Generally, land required is approximately 0.5% to
2.0% of tributary development area.
• Account for groundwater elevations in the design
and construction of the basin.
• Review regulatory requirements for dam embank-
ments and storage volumes if minimum dam heights
and volumes are exceeded.

FIG uRE 7. 2 P Photograph of the Farrcroft Wet Pond that serves as a BMP facility as well as a community amenity.
Wet Pond
Description. A structural BMP used to capture and treat
a specific volume of stormwater runoff. This structure
has a permanent pool and runoff from each rain event
is detained and treated in the pond until it is displaced
by runoff from the next storm. The permanent pool
enhances the effectiveness of the pond by promoting bio-
logical uptake. Illustrative details of wet ponds are shown
in Figures 7.2P and 7.2Q.
Application Guidelines
• Pond can be used to enhance stormwater quality and
reduce peak discharges.
• Most applicable in residential, commercial, and
industrial areas.
• If constructed early in development of a particular
site, the pond becomes an effective means of trapping
sediment from construction activities.
• Pond can be retrofitted into existing flood control
facilities.
• Ponds are used to improve quality of urban runoff.
• Basins are used for regional and/or follow-up water
quality treatment but are also effective as an "on-site''
BMP.
• Pond also works well in conjunction with other
BMPs used to control upstream and downstream
sediments.
7.2 ■ TYPES OF STDRMWATER MANAGEMENT FACILITIES 701
• Basins can be effective if they are combined with
BMPs that attenuate peak stormwater discharges or
reduce runoff volumes. If needed, flood routing deten-
tion volume can be designed and captured by the
pond, above volume used for water quality treatment.
• Pond size can be reduced if effectively combined with
other BMPs.
• Basins can also be used for recreation and open space
and in some cases, wildlife habitat if wetlands or
shallow pools are incorporated into the design.
Basic Design Criteria
• Generally, water quality flows require a minimum
drain time of 40 hours to allow finer particulates
found in urban stormwater runoff to settle.
• If possible, pond should be incorporated into existing
facility or flood control basin.
• Consider other urban uses such as recreation, open
space, and/or wildlife habitat.
• Generally, land required is approximately 0.5% to
2.0% of tributary development area.
• Account for groundwater elevations in the design
and construction of the basin.
• Review regulatory requirements for dam embank-
ments and storage volumes if the minimum dam
heights and volumes are exceeded.
102 fatUhiii F·\,j,@,i:/iidf1,PLMH

~ EMERGENCY
SPILLWAY

IRREGULAR POOL SHAPE

6 to 8 FEET DEEP

RISER IN
EMBANKMENT

PLAN VIEW

EMBANKMENT\

RISER\ \
S7 100 YEAR LEVEL

S7 10 YEAR LEVEL
-=-

REVERSE PIPE (;
BARREL
ANTI-SEEP COLLAR or
FILTER DIAPHRAGM

PROFILE
FIG uRE 7. 2 Q Plan and profile views of a "wet" stormwater management pond. (MOE & CWP, 2000.)
 7.2 ■ TYPES OF STDRMWATER MANAGEMENT FACILITIES 703

Figure 7.2R relates the expected long-term efficiency of 100

pollutant removal as compared to the volume of the reten- IO Sediment ... .... .. .. ......... .... ........ ........... .. .... ..

tion basin (VB/VR ratio). As can be seen in the figure, the l..., 80 .. ....... r•-~;ad
larger the VB/VR ratio, that is, the larger the basin size, the ~ Total Phosphorus

,,,,,.,,,.,,..--... ------•--4------
0
70
:I
greater the efficiency that can be expected. However, the
figure also illustrates that after a certain point only a small
.
w
a: 60
,,,,_.a,,, Total Nitrogen

increase in efficiency can be expected for a large increase in

~
:I
50 .,, -0-- - -0----0----0----0-·

2 40 : // ,,., -- -~.:::.:+ ..--...

gY:~··• - Zinc, Cq,per
BOD, -------·-
basin volume. :I : / _?
a: 30 '~ ;
Pond shape is important in that it is desirable to provide
the maximum possible distance between the inlet(s) and
i9 20
:/d
,'//
the outlet provided that the incoming water displaces water 10 /
0
already in the pond. 0 10

The average depth of the pond is recommended to be VOLUME OF BASIN/VOLUME OF RUNOFF FROM MEAN STROM

between 3 and 6 feet. Shallower ponds are more efficient, since NOTE: Average results from U.S. EPA (1986), and adapted to reflect modifications of Walker (1986).

settling is the primary removal mechanism, and removal is FIG uRE 7. 2 R Estimated removal of selected urban pollutants as a
considered accomplished when the particles reach the pond function of permanent pool size.
bottom. However, a very shallow pond causes resuspension
of settled particles by wave action and promotes vegetation
throughout the entire pond. A very deep pond could become
thermally stratified, which can result in anoxic conditions
and possible subsequent resuspension of pollutants in the
lower layers.

a) Negative Sloped Pipe from Riser

Negatively Sloped Pipe A negatively sloped pipe one foot

Draws Water at Least below the water surface reduces
One root Below Pool the risk of clogging from floating
and partially su bmerged debris.
The rele ase rate is controlled by
the size of the pi pe.

b) Hooded Orifice on Riser

~ A
Concrete Box Riser

The orifice Is protected against

clogging from floating debris by
a hood which extends below the
wa ter surface elevation. Wire
mesh allows free flow and also
prevents clogging by suspended/
submerged debris.

Elevotlon Section A- A

FIG uRE 7. 2 S Design techniques to minimize the risk of clogging while providing extended detention time in stormwater management ponds.
(Courtesy ofThomas R. Schueler, 1987, Controlling Urban Runoff: A Practical Manual for Planning and Designing Urban BMPs, Washington, D.C.: Metro-
politan Washington Council of Governments, 777 No. Capital St. NE, Suite 300, Washington, D.C. 20002-4226, 202/962-3256.)
104 fatUhiii F·\,j,@,i:/iidf1,PLMH

LIMIT 25% OF POND

PERIMETER OPEN GRASS
--✓---- ---

/ / /~ ,- - -~ =
(

RISER IN
EMBANKMENT

LOW MARSH
(WATER DEPTH BElWEEN 6" and 18")

PLAN VIEW

WETLANDS
HIGH MARSH

PROFILE

FIG uRE 7. 2 T Plan and profile views of a shallow wetland stormwater management facility. (MOE & CWP, 2000.)

Shallow Wetland • Small existing wetlands can be enlarged and incor-

Description. A structural BMP used to capture and treat a
specific volume of stormwater runoff. This structure is sim-
ilar to a stormwater pond. However, wetland vegetation is
added to the bottom of the pond to enhance the pollutant
removal capability of the structure. A perennial base flow
is needed to promote wetland vegetation and water quality
treatment is provided in the shallow pool. Illustrative details
of shallows wetlands are shown in Figure 7.2T.
Application Guidelines
• Wetland can be used to reduce peak discharges.
• Can be used as a follow-up structural BMP or as a
stand-alone facility.
porated into constructed wetland (requires state and
federal permits).
• Requires an area sufficiently large for impounding
stormwater in shallow basins.
• Wetland cells can be arranged in a series of terraces.
• If needed, flood storage can be provided above
volume used for water quality treatment.
• Wetlands can provide effective follow-up treatment
to on-site and other basin BMPs.

• State and federal regulations protecting natural wet-
lands recognize classification of wetlands constructed
for water quality treatment.
• Constructed wetlands generally not allowed on
receiving waters and cannot be used to mitigate loss
of natural wetlands.
• Advantage is in aesthetics and creation of wildlife
habitat, disadvantage is need for continuous base
flow to maintain wetland growth.
Basic Design Criteria
• Generally, minimum drain time of 24 hours is
recommended.
• Wetlands constructed outside of the waters of the
United States and explicitly designed for stormwater
management, are not subject to the provisions of the
Clean Water Act (Sections 401 and 404). When aban-
doned, they may be regulated as natural wetlands.
• Consider other urban uses such as recreation, open
space, and/or wildlife habitat.
• Loamy soils are required in the wetland bottom to
sustain plant growth.
• Perennial base flow is needed and is determined
through a water budget analysis.
• Exfiltration through pond bottom is not reli-
able because oflow permeability soils and/or high
groundwater elevations.
• Review regulatory requirements for dam embank-
ments and storage volumes if minimum dam heights
and volumes are exceeded.
Alternative BMPs. A public education program may be
considered a nonstructural BMP. Educating the public about
activities that contribute to pollution and about practices
that may help to reduce pollution can provide incentive and
the ability for homeowners to be directly involved in reduc-
ing NPS pollution and improving water quality. Such prac-
tices include the proper use of fertilizers, disposal of used
--------- - --- ----
now~ j ___..I GRATE
[ /
FIG uRE 7. 2 U
l I
Catch basin insert options-filter insert or geotextile wrap. (Modified from COOT Drainage Design Manual Appendix II.)
7.2 ■ TYPES OF STDRMWATER MANAGEMENT FACILITIES 705
petroleum products, water conservation, litter control, and
controls for minimizing erosion from disturbed ground.
These most fundamental types of BMPs may only be oflim-
ited use in land development engineering, but should be rec-
ognized as alternatives to be considered for a development or
community along with the following options.
Catch Basin Inserts
Description. Catch basin inserts hang from the open-
ing of a curb inlet or below the grate of an area inlet. These
inserts catch debris and other sediment and pollutant par-
ticles before they flow downstream. Some inserts have more
than one treatment mechanism (i.e., oil absorption areas and
sediment trapping sections) and are generally placed in areas
where oil/grit separators cannot be used. Illustrative details
of catch basin inserts are shown in Figure 7.2U.
Application Guidelines
• Generally, inserts are not suitable for removal of fine
particulates such as metals, clays, silts, or nutrients.
• Some inserts are designed with more than one treat-
ment mechanism. One such method is an inner com-
ponent that contains oil absorbent materials.
• Can be used in areas where coarse sediments or
materials are expected in stormwater.
• Suitable for sites where substantial amounts of debris
are found in stormwater.
• Can be used in areas of unpaved roads or parking
areas, construction sites, unpaved industrial sites,
and lumber yards.
• Inserts can be used in areas where oil/grit separators
cannot be used.
• Inserts should have a high-flow bypass to prevent
resuspension and washout.
• Inserts have limited ability to remove pollutants and
should be used in conjunction with other BMPs.
• Best suited as pretreatment for sediment and debris
removal before flows are conveyed to downstream
BMPs.
[CATCH BASIN
_ _ J FILTERTRAYS
_.j
18YPASS
l .ow
10& fatUhiii F·\,j,@,i:/iidf1,PLMH
Basic Design Criteria
• Inserts should be designed for a reasonable design storm
(i.e., 2 years), based on the characteristics of the site.
• Inserts should not interfere with storm events greater
than or equal to the 10-year storm.
• Regular inspection and maintenance is required.
• Inserts should be cleaned after every two or three major
storms.
• Maintenance is more intensive for inserts configured
to remove oil and grease.
• Street sweeping can be used in conjunction with
inserts to reduce maintenance frequency and extend
service life.
Sheet Flow to Buffers
Description. A structural BMP used to filter pollutants as
stormwater runoff moves to a swale, stream, or other flow
area. This BMP protects streams, lakes, and/ or wetlands
from high concentrations of sediment in runoff. The flows
are discharged over the buffer zone where sediments and
other pollutants can be filtered out before the flows reach the
natural drainageway. Illustrative details of sheet flow to buf-
fers are shown in Figure 7.2V.

··- .. - -·- ··-··- ·· - ··- ·· 1··-··-· ·- · _,,_ .. ,, _

_,_,, ______ ____ ,, __,,·-··-

..-!'!--...i rDRAINAGE
DIVIDE
r. ~.""'!I ' •

PLAN VIEW

150' MAXIMUM OVERLAND FLOW ' INIMUM

WITH AVERAGE SLOPE Of' 5% OR L£SS. BUFFER
BUFFER MAY BE
FOREST/ MEADOW OR MIX

LEVELSPREADER ----,JWJ,,,~H:;>11
(WHERE NECESSARY)

FIG uRE 7. 2 V Sheet flow to buffer detail.


Application Guidelines
• Zone where stormwater runoff is treated by a natural
buffer before it enters a stream or forested area.
• Runoff from pervious and impervious areas is dis-
charged through buffer.
• Buffer generally consists of grass, meadow, forest, or
a mix.
• Generally used to treat overland flow in the green
space of a development site.
• Level spreader or similar BMP can be used along
upstream edge of buffer zone to enhance treatment.
Basic Design Criteria
• Minimum buffer width is 50 feet and is measured
from the bank elevation of the stream.
• Maximum contributing length is 150 feet for pervi-
ous surfaces and 75 feet for impervious surfaces.
• Runoff will enter the buffer as sheet flow. If sheet
flow cannot be achieved at the edge of the buffer, a
level spreader or similar BMP will be used to estab-
lish sheet flow.
• Contributing overland slope should be less than 5%.
• Buffer is not applicable where rooftop or non-rooftop
disconnections are already in place.
• Buffers should be located within conservation ease-
ments or other enforceable areas that will ensure
future protection of the buffer area.
Street Sweeping
Description. In this BMP, mechanical vehicles are used to
physically remove solids and other pollutants from imper-
vious surfaces. New street sweeping technologies, includ-
ing vacuum -assisted sweeping, can potentially reduce total
annual suspended solids and pollutants up to 80%.
Application Guidelines
• Well suited in urban environments where little land is
available for structural or sedimentation-based controls.
• Can be used in commercial districts and industrial
sites, and in intensely developed areas near receiving
waters.
• Consider for highway applications along road shoul-
ders, rest stops, parking areas, or maintenance yards.
• Best results when most sophisticated sweepers are
used at a weekly to bimonthly frequency, depending
on local regulations and conditions.
• Not a preferred application in the removal of oil and
grease.
• Older mechanical sweepers are limited in their ability
to remove fine sediment.
7.2 ■ TYPES OF STDRMWATER MANAGEMENT FACILITIES 707
• Types of sweepers and practices include vacuum-
assisted, mechanical sweepers, regenerative air sweepers,
vacuum-assisted dry sweepers, and tandem sweeping.
Basic Design Criteria
• Sweepers need to be operated at optimum speeds and
sweeping patterns, with brushes properly adjusted,
for maximum particulate removal from surfaces.
• Generally, 50% of particulates can be removed if
sweeping is done at least once between storms with
two passes per run. Depending on local traffic condi-
tions and storm frequencies, sweeping may need to
be done at more frequent intervals to achieve desired
particulate removal.
• Maintenance requirements are greater for certain
types of sweepers.
• Ensure that arrangements are made for the disposal
of collected wastes.
• Street sweeping is more effective if upstream ero-
sion control and stormwater BMPs are implemented,
especially at construction sites.
Vegetated Roofs
Description. A quantity and quality control BMP, vegetated
roofs (aka "green roofs") provide stormwater, aesthetic, open
space/habitat, and energy efficiency benefits when utilized as
a component of the roofing system. A reduction in the peak
rate and volume of runoff occurs through interception and
evapotranspiration while improved water quality is realized
through capturing, filtering, and plant uptake. Other ben-
efits include improved heating/cooling within the building
itself and reduced "heat island effect'' and in certain applica-
tions (depending on the project goals); habitat creation, noise
reduction, and recreational open space. Two types of vegetated
roofs exist: extensive and intensive. They are differentiated
by media depth, type of plant material, and roof function. A
completed green roof is shown in Figure 7.2W and illustrative
details of green roof systems are shown in Figure 7.2X.
Application Guidelines
• Vegetated roofs are commonly applied to nonresiden-
tial structures and may be used on residential applica-
tions where roof slopes are not extreme (less than 33%).
• Most beneficial in urban areas or constrained sites
where the bulk of the buildable area is dedicated to
the building or structure.
• Vegetated roofs may be installed as either modular
(grid) systems or as a layered application.
• Construction of the vegetated roof must be coordi-
nated with the planting season.
• Most jurisdictions enforce a coverage requirement
(i.e., 90% plant establishment within 2 years) through
implementation of a bond.
100 fatUhiii F·\,j,@,i:/iidf1,PLMH

FIG uRE 7. 2 W llinois Central College-CougarPlex Fitness Center green roof. Low-impact, drought-resistant
plant materials were used throughout.

Basic Design Criteria • Incorporate maintenance access-typically a 1- to

General 2-foot-wide nonvegetated strip around the perimeter
and any roof penetrations.
• All vegetated roof systems shall have the structural
roof, a waterproof membrane, a drainage layer, • Account for irrigation needs during plant establish-
growth media ranging in depth from approximately ment and periods of drought.
3 to 12 inches depending on the type of roof and • Provide overflow relief for larger storms.
plants. Optional cross-sectional components include
a root barrier, an insulation layer, a leak detection Extensive
system, and irrigation.
• Growth media is typically 3 to 6 inches.
• Roof slope shall be between 2% and 33% to ensure
drainage and vegetation stabilization.
• Common plant species include mosses, sedums,
herbaceous plants, and grasses (native plants are
recommended).
• C-value of0.5 or CN of70 for post-development
Vegetation
hydrology.
Growing medium Intensive
Drainage, aeration, water storage
and root barrier
• Growth media is typically 6 to 12 inches, poten-
tially greater depending on intended use and plant
Insulation
type.
Membrane protection
and root barrier • Roof slope shall be between 2% and 10% to ensure
Roofin membrane drainage and vegetation stabilization.
Structural support • Common plant species include mosses, sedums,
herbaceous plants, grasses, shrubs, and small trees
(native plants are recommended).

FIG uRE 7. 2X Detail of a typical green roof including various design • C-value of 0.4 or CN of 65 for post-development
elements anticipated. (American Wick Drain Corporation.) hydrology.
 CHAPTER 7.3
SOILS

7.3.1. Introduction glossary of terms is provided to define common soil terms

Proper, thoughtful and deliberate site selection can often and review the fundamental soil properties and parameters
be paramount to creating a successful development project. used in the engineering industry.
The development team will do extensive research to choose a
Soil: Organic and inorganic material of the earth's surface
site which can yield the greatest return on investment. Such
that exists as a mixture of three distinct phases: water, air
research typically involves an analysis of site location, size,
(gasses), and solids.
shape, and topography (as described in Chapter 2.5 and
Chapter 3). Subsurface soil investigation is one of the most Phase diagram: Tool used to define weight-volume rela-
important, yet commonly overlooked, factors in the success tionships among the three phases that comprise soils.
of a project; it is often one of the last items on the developer's From the specific quantities measured in a phase dia-
check list. Many times, it is the least funded aspect as well. gram, inferences as to the soil's physical and engineering
The purpose of this chapter is to familiarize the site engi- properties (including such things as the unit weight, spe-
neer with some of the fundamentals of geotechnical engi- cific gravity, porosity, void ratio, shear strength, loading
neering that are likely to be encountered during the planning, and deformation behavior, permeability, consolidation,
design, and alteration of the site for the intended use. Knowl- and shrink-swell behavior) can be made. The phase dia-
edge of the basic properties of soil and its physical character- gram and the inherent weight-volume relationships are
istics is helpful to site engineers when planning site grading, summarized in Figure 7.3A and Tables 7.3A to 7.3D.
stormwater management structures, roadway and parking
area subgrades, retaining structures, and foundations for all
types of structures. Also included in this chapter are typical
geotechnical problems that may be encountered during site
development, an overview of the engineering properties of
soils, as well as guidance to aid in the understanding of soils
reports and geotechnical engineering design parameters
provided by geotechnical engineers.
Many questions need to be addressed prior to choosing a
site including whether the local community has experienced
landslides, earthquakes, sinkholes, swelling, and shrinking
soils and other geohazards. While this chapter discusses these
issues, retention of an experienced geotechnical engineer as
part of the project design and construction team can help
limit some of the problems.

7.3.2. Soil Properties and Characteristics

Fundamental Properties and Parameters. To establish a
consistent vernacular for use throughout the chapter, a brief FIG uRE 7. 3 A Three-phase schematic of soil sample.

709
110 fatUhiii F·\,j,@,1:/iidtHLMH
TAB L E 7. 3 A Volume Relationships
PROPERTY DEFINITION 5= 100% 5< 100%

Vs Vol. of solids ~ VT- (Va+ Vw) VT(1 - n) v; V.

Gsrw 1+e e

Vw Vol. of water WW Vv- Va SVv SVre SVse

Yw 1+e

Va Vol. of air 0 VT- (Vs+ Vw) Vv- Vw (1 - S)Vv (1-S)VTe (1 - S)Vse

1+e

Vv Vol. of voids VT- Vs Vse

WW V, - ~ ~n VTe
Yw T Gsrw 1-n 1+e

VT Total volume Vs+ Vw Vs+ Va+ Vw ~ Vs(1 + e) V,(1+e)

1-n e
n Porosity V. 1- ~ 1- ~ --
e
VT VT GsVTYw 1+e

e Void ratio V. n WWGS

VT -1 GsVi-Yw -1
~ ~ 1-n ~s ~

(Taken from the Civil Engineering Reference Manual, 4th ed., by Michael R. Lindeburg, with permission from the publisher, Professional Publications, Inc., copyright 1989)

TA BL E 7. 3 B Weight Relationships
PROPERTY DEFINITION 5= 100% 5< 100%
Ws weight of solids Measured Wr GVpJ1 - n)
(1+W)

Ww weight of water Measured e~S V-p 0 • W

G

WT total weight of sample Ws(1 + W)

(Taken from the Civil Engineering Reference Manual, 4th ed., by Michael R. Lindeburg, with permission from the publisher, Professional Publications, Inc., copyright 1989.)

Density: The weight of a given amount of soil for a spe-
cific volume (typically expressed as pounds per cubic
foot) and is often expressed as wet unit weight or dry
unit weight. Density or unit weight also can be expressed
as in situ (in-place) density or as a specific soil target
density based on a reference standardized compaction
of soil performed in a laboratory (standard Proctor test,
ASTM D-698 and modified Proctor rest ASTM D-1557).
Gradation: Used to determine particle size and clas-
sification of soil. Soil gradation is typically specified for
controlled backfill material, dam embankments, soil
filters (to prevent piping), as well as subbase for roads
and foundations. Gradation is determined by the relative
amounts (by dry weight) of individual particle sizes in a
sample. Two standard test methods exist for gradation
analysis: sieve analysis (ASTM D-422) or hydrometer
 7.3 ■ SOILS 711

TAB LE 7. 3 C Unit Volume Relationships

PROPERTY DEFINITION S= 100% S< 100%

Y□ry Dry unit wt. ~ ~ WT Gsrw(1+n) GsYw GsYw

~+Vw VT V(1+w) 1+e 1+wGs
-
s
Ywet Wet unit wt. ~+WW ~+WW Yo(1+W) Gsrw(1- n) * (1 + w) (Gs+Se)rw (1+w)rw
~+Vw VT 1+e w 1
-+-
s G
Ysat Saturated unit wt. ~+WW ~+V.rw ~ rwe (Gs +e)rw (1 + w)rw
-+--
~+Vw Vr V 1+e 1+e 1
w+-
Gs
(Taken from the Civil Engineering Reference Manual, 4th ed., by Michael R. Lindeburg, with permission from the publisher, Professional Publications, Inc., copyright 1989.)

TA BLE 7. 3 D Additional Relationships

PROPERTY DEFINITION S= 100% S< 100%

w Moisture content n
(1-n)Gs

s Degree of saturation 1.00 wGs w

e Yw _ _!_
Yo G
Specific gravity Se
w
(Taken from the Civil Engineering Reference Manual, 4th ed., by Michael R. Lindeburg, with permission from the publisher, Professional Publications, Inc., copyright 1989.)

analysis (ASTM D-1140). A sieve analysis chart is shown
in Figure 7.3B and particle-size distribution curves for
three different soil samples subjected to a standard sieve
analysis are shown in Figure 7.3C. Terms associated with
soil gradations used to identify soil properties further
include
o Effective size-grain diameter at 10% finer (D10)
o Uniformity coefficient (Cu) is an indicator of
the shape of the particle-size distribution curve.
Given as
(7.3A)
where Cu is less than 2 is a poorly graded or uniform soil and
Cu is greater than 4 is a well-graded soil.
(7.38)
Cohesionless soils (i.e., sands and gravels): Coarse-
grained soils most effectively characterized by particle-
size distribution.
Cohesive soils (i.e., clays): Fine-grained soils whose
behavior (and engineering properties) ranges greatly
from solid to liquid based on moisture content; thus,
cohesive soils are best characterized by properties related
to plasticity.
Atterberg limits: A measure of the consistency of cohesive
soils represented by the moisture content associated with
the shrinkage limit, plastic limit (PL), and liquid limit
(LL) of a given soil. The plasticity index (PI), commonly
used to characterize cohesive soils (i.e., as a clay or silt),
is a measure of the range of water content over which the
soil remains plastic and is given as PI = LL - PL. The PI
ranges from 10 to 20 for most silts and 20 to 40 for many
clays although highly plastic clays may have a PI upward
of 80. See Figure 7.3D.
712 fatUhiii F·\,j,@,1:/11 dfj,jii@tJ

Coarv.l Sle .. Size USA Sieve Series (ASTM Specification E-1 1-70) Showing the Corresponding Soil
Grain Size ASTM D-2487
Standard Alternative Descrietion Standard Alternative Descrietion
125mm 5 2.00 mm No. 10
106mm 4.24 Cobbles* 1.70 mm No. 12
100mm 4 1.40 mm No. 14
90mm 3½ 1. 18mm No. 16 Medium
Intermediate 75mm 3 1.00mm No. 18 Sand
Slew Sins
63mm 2½ 850 µmF No. 20
53 mm 2.12 7 10µm No. 25
50mm 2 600µm No. 30
45mm I¾ Coarse 500µm No. 35
37 .5 mm I½ gravel 425µm No. 40
31.5 mm !¼ 355µm No. 45
26.5 mm 1 .06 300 µm No. 50
25mm 250 µm No. 60
22.4 mm Is 212 µm No. 70 Fine Sand
19mm ¾ 180 µm No. 80
16mm Is 150 µm No. 100
13 .2mm .530 125 µm No. 120
12.5 mm ½ 106 µm No. 140
11 .2mm 116 Fine gravel 90 µm No. 170
9.5 mm Is 75 µm No. 200
8.0mm 1 16 63 µm No. 230
6.7mm 0.265 53 µm No. 270 Fines
6.3 mm ¼ 45 µm No. 325
5.6mm No. 3 ½ 38 µm No. 400
4.75 mm No.4 32 µm No. 450
4.0mm No. 5 25 µmo No. 500
3.35 mm No. 6 Coarse Sand 20 µm No. 635
2.80 mm 0. 7
2.36 mm No. 8
f I Gu RE 7. 3 B Sieve analysis.

Permeability. The study of geotechnical engineering • Foundation design-rate of settlement of fine-

requires a thorough understanding of the sometimes com-
plex integration of soil, water, and air. Variation in a soil's
water content can dramatically alter its physical and strength
characteristics. For instance, one can easily walk or even
drive on wet sand and dry clay. But doing the same on wet
clay and dry sand would prove very difficult (Liu).
Water flow through soil or any other porous material is
dependent on an engineering property called "permeability.'
Permeability is an important property of soil and influences
the design and constructability of nearly all land development
projects. A few examples of common land development project
components in which permeability should be considered are
• Seepage of water through dams and levees
• Water well recharge times and dewatering of
excavations
grained soils
• Roadway subgrade and drainage design
• Stormwater management facility design particularly
if implementing low-impact development techniques
which often rely on infiltration
• Drainage, capillary action, and frost action
Because soils are often deposited in relatively horizontal lay-
ers, vertical and lateral permeability of soils varies widely even
in the most homogeneous soil deposits. Nonhomogeneous
layering in soil deposits increases this natural variability. For
engineering purposes, the permeability of a soil is based on
Darcy's law and is discussed in terms of the "constant of pro-
portionality ("K):' also known as the coefficient of permeabil-
ity, and has the units of velocity. The determination of a soil's
 7.3 ■ SOILS 713

U.S. Standard Sieve Number

l.0(0,..._a:).__,....
ON'<t COOLOOLO
,....C\IC\JC")C")
l000008~~!28gf2
~l.0 (0,..._CX),....,....,-- C\J('\JC'\J

WELL GRADED

80

en
C:
'iii
ti)

a.
C'II 60
:a!!
0

40
(Ill) Poorly Graded

20

Particle Diameter (mm)

FIG uRE 7.3C Particle-size distribution curves.

coefficient of permeability ( K) is made in one of several ways.

Approximate values can be obtained from laboratory testing
using the constant head (ASTM D-2434) or falling head per-
meability test. Table 7.3E provides some information on the
range of the coefficient of permeability, drainage characteris-
Brittle Solid Somi•olid Plastic Viscous Li quid Uq u id tics, and applicable testing methods for determining K values
for common soil classes.
Field pump testing utilizing an extraction well in con-
cert 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.
E
0
~
Finally, there are some empirical formulas which can be used
>
Pta,ticily to obtain rough orders of magnitude of the coefficient of
Index permeability.
., For clean cohesionless soils Hazen (1911) proposed:
"'
"
.:,. u
-; =
li
Vl ..J a:"E
::;
(7.3C)

Weter Con tent (w)

where K is the coefficient of permeability in mm/ s, D10 is the
effective grain size in mm, and C is the a constant ranging
FIG uRE 7. 3 D Atterberg limits-phase diagram. from 10 to 15.
114 fatUhiii F·\,j,@,1:/iidtHLMH
TAB LE 7. 3 E Permeability Characteristics of Soils

PERMEABILITY CHARACTERISTICS OF SOILS AND THEIR METIIODS OF MEASUREMENT *

Coefficient of Permeability k, cm/s (log scale)

102 101 10 0 10-1 10-2 10-3 10-4 10-s ,o-6 10-1 10-8 10·9

Drainage I
I
I I
Good ~rainage
I
I
I
I
I
PoorIdrainage!
, I
I I I
I
I
Practically impervious
I ' I
I
I I t 1
I I Very fine sands; organic and I I

Types of soil
I
I
Clean gravel
Clean sand
I
Clean sand and
I
I
'
I
I
inorganic sil ts; mixtu res of sand,
silt, and clay; glacial till
I
I
I
"Impervious soils,
e. g.,homogeneous
stratified clay deposits; etc. I clays below zone
I gravel mixtures I
, I
I I
I
"Impervious soils" which are modified by ' of weathering
I I
I I I
I
the effects of vegetation and weathering
I I I I I
I
I I I
Direct
Dire::. testing of soil in1 its original position

'
le. g. field-pumping tes_ts)
I' I I
I
I
I
I
I I
I
!
determination
of coefficient
of permeability
I
I
I
I

I
'
Constant- head permeameter
I
I
I
I
I
:I
I !
I
I I
I
I
I
I
I
I
I
I
I
I
I

!I
I I
I I
I
I I I
I I
Falli ng-head permeameter
t I I
I I I
I I '. I I I I
I I
Computations I I I
Indirect
determination
from grain size distribution, porosity, etc.
I
I I I I I
'
I
I
I I I
I
I '
I
of coefficient I I ! I I, I Computations
of permeability
I I I from time rate of consoli-
1 I J I Horizontal capillarity test
dation and rate of pressure
I I I I I I I
I I I I I I I drop at constant volume

'After Casasrande and Fadum (1940), from Hunt (1984).

Shear Strength. The stability of a soil is largely dependent
on its shearing strength, which is a measure of the resis-
tance to sliding between soil particles. Internal friction and
cohesion are the two components that combine to produce
the shearing resistance. True cohesion is the magnetic-like
attraction between particles due to the molecular structure
of the individual particles. Many partially saturated soils,
including clays, silts, and even sands, also have apparent
cohesion brought about by capillary action of the soil mois-
ture binding the soil particles together. This apparent cohe-
sion is lost when the soil becomes saturated or loses all or
most of its moisture. True cohesion is inherent in all clays
as well as some other fine-grained soils. Friction is the resis-
tance of the particles rubbing across one another. Frictional
resistance depends on the physical characteristics of the soil
grains, such as particle angularity, surface roughness, sphe-
ricity, gradation, and relative density. The measure of this
resistance is referred to as the angle of internal friction (</>).
The direct-shear test (ASTM D-3080) is especially useful for
determining the angle of internal friction(</>) for compacted
backfill soils adjacent to retaining walls.
The voids between soil particles are called pore spaces.
The water and the corresponding pressure are referred to
as pore water and pore pressure. Water flowing through
the soil skeleton, although usually very slow, affects the
transmission of the resisting forces among the soil parti-
cles, thus influencing the compression and shear resistance
of the soil. Within the context of soil strength, two terms
commonly used are drained and undrained shear strength.
The drained 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 use when the underlying soils are granu-
lar (i.e., pervious). Hence, as the surface load (e.g., shallow
footing) is applied to an upper saturated soil layer, the water
in the soil would permeate into the granular soil. However,
if the lower soil layers are impermeable or have very low
permeability, the undrained strength parameter is used in
the design analysis.
The shearing strength of a soil is given by the Coulomb
equation,
S= c+ atan</) (7.30)
where s is the shearing strength, c is the cohesion, CJ is the
normal stress on the shear plane, and </> is the angle of inter-
nal friction.
 7.3 ■ SOILS 715

ratio) in the supporting soil matrix due to the weight of the

new structures. Other causes of settlement include dynamic
forces, changes in the groundwater table elevation, and
nearby excavations (Liu).
V)
V) Settlement generally takes the form of relatively immediate

-
Q)
I.. subsidence and then, in some soils, a longer term, time depen-
( /')
dent subsidence. Compression (consolidation) is the result of
I..
0 soil particles rearranging themselves into a tighter more com-
Q)
..c: pact state. For dry soils, which are made up of soil particles
(/')
and air voids (a two-phase system), settlement typically occurs
quite rapidly under the application of an increased load. The
air voids are easily compressed as the soil grains continue to
Normal Stress a slide past each other until equilibrium is achieved between the
increased stress and the resisting friction generated from adja-
a) Granular Cohesionless Soil
cent soil grains. This type of settlement behavior is referred to
as immediate or distortion settlement (Sa).
Soils, which are characterized by a three-phase system
composed of soil, air voids, and water (or when a soil matrix
is 100% saturated), undergo a time dependent consolidation
V)
V) since the applied load is initially carried by the soil and water.

-
Q)
I.. With the passing of time, the water is squeezed out of the soil

T
( /')
I..
0
Q)
..c: C the soils permeability. Soils with high permeability (i.e.,
(/')
Normal Stress a
b) Cohesive Soil
FIG uRE 7. 3 E Shear strength for (a) granular soil and (fJJ cohesive soil.
Shearing strength of a soil is a combination of the cohesive
properties and the friction properties. Figure 7.3E illustrates
this relationship for both cohesionless (c = 0 and</>= constant
therefore s is proportional to a) and cohesive (</> = 0 therefore
s is entirely dependent on c) soils.
Common land development applications where shear
strength is a design consideration include
• Outfall stability particularly when assessing natural
channels
• Slope stability when determining acceptable grading
schemes
• Erosion and sediment control analysis
• Cohesive soils within the foundation area
Compressibility. Settlement has plagued the designers and
builders for more than 700 years (consider the leaning tower
of Pisa). Countless other structures and civil projects have
suffered a similar or more catastrophic fate (Sowers).
Structures built on soil are subject to settlement. Most
often settlement results from increased stress, which causes
compressive deformation (i.e., a reduction in the soils void
allowing the grains to move closer together.
The rate at which the water is displaced is governed by
course-grained soils) require relatively short time periods to
consolidate and most of the settlement is complete by the
time construction operations are completed (Liu).
Soils of low permeability (i.e., fine-grained clay soils) can
experience consolidation settlements for many years and in
fact may continue to be compressed well beyond the useful life
of the structure; this is especially true of organic or peat soils.
Note also that the rate of consolidation for a given soil is also
related to the thickness of the soil layer since that controls the
distance the pore water has to travel to escape the soil layer.
Settlement associated with the displacement of pore water
out of a soil layer is referred to as "primary consolidation
settlement" (Sc). Following the primary consolidation, additional
consolidation settlement may occur although it will be at a
reduced rate and magnitude. This additional, often-negligible
settlement is known as "secondary compression" (S,) results
from the reorientation and breaking of the day-to-clay bonds.
Secondary compression is also referred to as soil "creep:'
The total settlement (S) to be anticipated is obtained by
summing the aforementioned settlement components and
is represented by the following formula (Winterkorn 1975):
(7.3E)
where S is the total settlement, Sa is the distortion settlement,
Sc is the primary consolidation settlement, S, is the secondary
compression settlement.
A few examples of common land development project
components in which soil compressibility should be a pri-
mary design consideration are
• When structural loads are large
• Developing within known deposits of clays and silts
11& fatUhiii F·\,j,@,1:/iidtHLMH
7.3.3. Soil Classification

Movement down
i including: the Unified Soil Classification (USC) system, the
Fill soil
Natural soil Rock
FIG uRE 7. 3 F Illustrative of differential settlement.
• Developing over recently deposited soils, which may
be settling under their own weight
• Where large deposits of engineered fill is required to
reach finished grade
Another type of settlement that can occur is differential
settlement. Differential settlement occurs when one part
of the structure moves, or settles, relative to another part,
with the difference referred to as "differential settlement:'
A common example of differential settlement occurs when
a portion of a building is founded on rock while the other
side is founded on compacted (engineered) fill soils. When
the building load is applied to the foundations, the softer fill
soils compress, whereas the stronger rock foundation com-
presses very little, resulting in uneven settlement across the
structure. This often results in structural distress and/ or
cracking (Figure 7.3F).
As described in Chapter 2.5, there are several standardized
soil classification methodologies commonly in use today
American Association of State Highway and Transportation
Officials (AASHTO) System for roads, the Natural Resource
Conservation Service system, and others. Geotechnical engi-
neers will typically use the USC classification in describing
soils for land development purposes.
Unified Soil Classification System (ASTM D-2487). Typi-
cal soils that are encountered during land development are a
mixture of gravels, sands, clays, and silts. Other earth mate-
rials are bedrock, weathered rock, boulders, loam, organ-
ics, loess, and topsoil. ASTM D-2487 "Standard Practice for
Classification of Soils for Engineering Purposes (Unified Soil
Classification System)" groups soil into two broad catego-
ries: coarse-grained soils and fine-grained soils. The letters
G, S, C, and M designate textural categories of gravel, sand,
clay, and silt, respectively. Additionally, this system uses W
and P to indicate a well-graded or poorly graded soil, and
H to indicate high, or L for low, plasticity. The underlying
assumption for the USC system is that the engineering prop-
erties of any coarse-grained soil depend on the particle size
distribution. For fine-grained soils, the engineering proper-
ties are determined by the soil's plasticity (Figure 7.3G).
To determine the classification using the USC system, a
sieve and/or hydrometer analysis test is run and the results
are compared to the appropriate 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).

For classification of fine-grained soils and

fine-grained fraction of coarse-grained soils
50 Equation of "A" -line
Horizontal at Pl = 4 to LL= 25.5, then

-
~ 40
X
Pl= 0.73 (LL -20)

Equation of "U" -line

w Vertical at LL= 16 to Pl= 7,
C then Pl= 0.9 (LL-8)
~ 30
~ MH or OH
0
~ 20
j
ll..

10
7
4 ---------,.......aa....,
30 50 60 70 80 90 100 110

Definition of Terms: LIQUID LIMIT (LL)

C - Clay
M-Silt
0 - Organic Materials
H - Highly Plastic
L - Low Plasticity

FIG uRE 7. 3 G Plastic chart. (Copyright ASTM. Reprinted with permission.)


Coarse-grained soils are those that have 50% or more of
the soil sample larger than 0.075 mm (No. 200 sieve). As
shown in the flowchart of Figure 7.3H, 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% of
the coarse fraction 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, including the amount and type of fines 1 in the
sample. If the amount of fines is less than 12%, the unifor-
mity coefficient, Cu, and gradation coefficient, C" are used
to further classify the soil. For a sample with the amount of
fines greater than 12%, the plasticity chart of Figure 7.3G is
used to further classify the sample.
The soil is classified as a fine-grained soil if 50% or more
passes the No. 200 sieve. Figure 7.31 is used to determine
the fine-grained soil classification. These soils are classi-
fied as clays (C) or silts (M) (M is from the Swedish word
"mo" for silt) according to the liquid limit and the plasticity
index from Figure 7.3G. Organic, silty, and clayey soils are
divided according to the liquid limit (LL). Those with high
LL (i.e., greater than 50) are CH or MH. A liquid limit less
than 50 results in a soil designation as CL or ML (L indicates
low plasticity). The flow chart for organic fine-grained soils
(Figure 7.3J) is used if organics are predominant in the soil.
(LL- oven dried)/(LL - not dried) <0.75
Table 7.3F provides general guidelines on the properties
of soils classified by the USC system.
7.3.4. Soil Types by Origin
Physical properties of some soils can be inferred from the
mode of transportation displacing the soils and the geologic
factors that influenced this formation. Table 7.3G summa-
rizes the geologic description of soils and their pertinent
engineering characteristics.
7.3.5. Soils Report Other Recommendations
As described in Chapter 2.5, the geotechnical consultant pro-
vides the site engineer with the geotechnical information in
the form of a report. In addition to the content introduced in
Chapter 2.5, the soils report will usually include other rec-
ommendations regarding the foundation, pavement, retain-
ing wall, and construction considerations.
Foundation Recommendations. Based on the field explo-
ration and laboratory analyses, the most feasible foundation
type is presented. The type of foundation will depend on the
subsurface conditions and the anticipated structural loads.
Typical foundation types include shallow foundations, mat
foundations, and deep foundations.
Shallow foundation recommendations will typically
present a net allowable soil bearing pressure at a specific
1Fines are soil particles smaller than 0.075 mm (No. 200 sieve).
7.3 ■ SOILS 717
depth below the surface. The allowable bearing pressure
takes into consideration both bearing capacity (resistance
against shear failure) and expected settlement performance
(usually total less than 1 inch, differential less than¾ inch).
The allowable bearing pressure at the column footing is
presented as pounds per square foot. The allowable bear-
ing pressure along a continuous wall footing is presented as
pounds per linear foot. The recommendations will also pres-
ent the estimated total and differential settlements that are
anticipated from the structural loads.
Deep foundations are recommended when the near
surface soils are poor or when the estimated settlement is not
acceptable. Deep foundations include: drilled piers/ caissons,
driven piles (wood, concrete or steel), and augered cast-
in-place piles. The recommendations will typically include
the type of pile, pile size, allowable capacity, and estimated
length of the pile.
Pavement Recommendations. There are two main types
of pavement: flexible and rigid. Flexible pavement is con-
structed of asphaltic concrete and rigid pavements are con-
structed of portland concrete. Porous or pervious pavement
is being used more and more today to help designers control
stormwater runoff issues. The porous pavement can be either
a special asphaltic paving material or open jointed concrete
blocks that allow stormwater to permeate through the pave-
ment section at a higher rate than a normal pavement design.
The runoff is temporarily retained below the pavement
(7.3F) within an aggregate base and discharged to a storm sewer
system or infiltrated into the underlying in situ soils. The
designer should check with the local municipality as to the
individual requirements for pervious pavement such zoning
ordinance or design requirements including the underlying
substrate infiltration rate. Conditions that will influence the
design can be summarized as follows:
• Bearing values of the subgrade. These can be repre-
sented by a California Bearing Ratio (CBR) (ASTM
D 1883) for the design of flexible pavements, or a
modulus of subgrade reaction (k) for rigid pavement
structures (Table 7.3H).
• Groundwater conditions, variations in water
levels, expansive considerations and necessity for
underdrains.
• Vehicular traffic, in terms of the number and fre-
quency of vehicles and their range of axle loads.
• Typical recommendations include the thicknesses
of each layer of the pavement section including the
asphaltic concrete or Portland cement concrete,
base course, subbase (if required), and existing sub-
grade requirements. Also given are the compaction
requirements.
Retaining Wall Recommendations. Typically, the geo-
technical engineer will provide the following soil parameters
-....
OQ

--
Group Symbol Gmup Name

<5':1.llnes ~ Cu 2: ~aoo SCcSJ. GW -.e:::::::::: <15'osand Wel-gaded!Javef

--
2'15"1,sand V."Et-g,adad gra'!!I ...u,
Cu <4,and.•or I> Cc >3 ---------------► GP --=:::::::::::: <1:s~. sand Pt:aly graded gra-,el
2:l~osand. Poooy gra!led gra-,el ""

< -- ·
<
lines =ML orM GW-GM --=:::::::::::: <1.S"o sand -goaded s,a1:!I '"' l7
Cu 2: 4and s Cc s 3 2: 5~ sand ',\'el'graded gawl ..,;o,
GW-GC --=::::::::::::

--
fines = CIL. CH. (or CL- J <1 S.'i, sand -giade<! ga-el 'loi!l7
GRAVEL 5 -12", 2:1S $'o .sand VI -grad!!.: gllY€!I 'loilt
% gr.a-Ail > . sand
ss'fhan.50% fines = ML or M -----------<► GP-GM --=:::::::::::: <1.S'l.:. sand Poody !J'aded gra.el w

---
passes 4 Sie-.<e) Cu< 4.an<£'cc I > Cc>3 < 2:1!5% ·sand Poorly graded~ l'i
es=ct. •CH.(orCL- ] GP-GC --=:::::::::::: <l5•.o sand Poolly graded l!f'a"ia w
2:15 sand Poolly grad'ed~ w

lines = "'.L 0, I --=:::::::::::: s.~ sand

------
GM <1 Sity: !Javef
2:15 io sandi Sity gllY€!I will> sand
>· 1~ fines v lines = Cl or CH GC--=:::::::::::: <15 sard Claye y gra.¥el
~1!.S%Scl00 ~-eygrawl sa!ll(

lines = Cl - ML - - - - - - - - GCGM ~ <1 s. sard SJty. clayey ,grdiel

s

--
2:1 • sanlil ""'M ,gra,el

<5%fines ·~ Cu.2:&and J ! Cc! 3 SW--=:::::::::::: <1!>'l: sand ef.gB:1e(l 53<'id

~1 5 i:'-a ·s.ar.1 ~said-
Cu < and.or 1 > Cc > 3 - - - - - - - - - - - - - - -- - S P ~ <15"', sand Poorfy gsaded sand

-----
2:1 sand Pooly g<aded san<I

$ .W:,SM ~ dS.»sand \'~sand

;,,15,% sat.:! W~sand
s.w~sc-=:::::::::::: <1f>'l';saCIII Wel-gralled :sand
~ND 2:l5'lc sard

-----
Wel-gl'a!led sa;ncl
gra,.11!1 ~ ... sand!
(mon,l!lan51J%. SP-SM~ < S'r.,!Sc:lld Poo<fy graded sand wit
pa= No..4 Siwe] ~15.% .sard Poorly graded sand wit
SP-SC-=:::::::::::: <15'%> :sand Poo<fy Qlclded sand wit
;,,1 5~ sand Poorly g a ded sand writ

-============ ::::~ ---------

:st.II~ <15% :sano
;,,15,%. sand ---
-----
Sity sand
Sity sand with 9 .........
> 12'141ines

-----------= lines= CL- '4. - - - - - -- -

:sc-=:;:::::::: <15'%,saoo
SC<SMI-=::::::::::::
.
;,,15~sand
< 15'%. :sand
:;>tS~sand
Clayey. safllJ
~ sand with sand

---
Sity; daJM san,j
SJty. da'fE'/ saaai

FIGURE 7.3H USC flow chart for classifying coarse-grained soil.

 pj > 7 and! plolS oo -----'I► CL
. or allioYe ' A"- lille < <- -
Gro11p 5¥fflboll

. < 300!, pll.lS Na. .200 ~ < 15% plllS Na..!W

115 - 29%plusNo..200 ~

% sand 2: %grai,el
%sand?% gravel -- -
_...,...___ % sand < %. gr,w,11 - -
c:::::::::::::: < 15% gra,,e1
--==----
2: 30% plllS No. 200
'% sand< '%gravel <:.::.:....: 2: 15% gra¥et - - - -
< 15% sand - - - -
2: 15% sand - - - -

4~Pl~7andp'lols
on or aboYe "A' • fine
____. CL, ML
< < <30'1. p6\JsNo. 200

2:30% plUsNo. 200

~ < 15%-pi,JsNo.200
------.. 15-2!r%,plusNo.200 ~

% salifd2: '% gravel

_____ ;,
'% sand2: ~ !JlM!f - -
- - - - - o/. ,sandl< '% •Qra\'l!I - -
--=----::.:: < 15% g;.r,ei
15%.gravel - - - -

- - .
% sand< % gra.vel C::::::::::::::.< 15%.sand
? 15%.samd - - - -

LL < 50

Pl< 4 or plots
*A" • ine
below·- ---- UL < < < 30% plm Na. 200 ~ < 15% plus Na. 200

2:30% plus Na. 200

15 • 29% •plus No.200 ~

%- sand 2: % gravel

%sand<°' grarel
% sand 2: % gra,,el -
- ~ - - - % sand< %.gravel
C:::::::::::::: < 15% gravel
-=----
----=::::: 2: t 5~ gravel - - -
< 15% sand - - - -
--

- - .
2: 15% sand

-----1► OL ---►

'
IR.eler lo Flow Chart :tor (Kganic Fine Grained Simi

< <
( ~: : : : < 0.75 )

< 30'l1. plus . 200 ~ < 15'%- plus No. 200

~
Pl plots on or
aboYe "A* - line
CH

2: 30'1, p us.No. 200

15 ·• 29% plll&S No. 200

% sand 2: 'JI. grarel

-=----
_--=::::::::::::
., . .__
s
. a ·n d 2: %- grao;el - -

'r. sand < % •glll\'el - -

< 15%- gravel
2: 15% gravel - --

- - .
%sand< % gra C:::::::::::::: <15%-sand
2: 1-5%,sand

LIL .2: 50 Pl plots below

*A"' --ine < <
IIHI
<30'4 plus No..200

2: 30% plus No..200

~ < 15% plus Na. 200

. ·
15 - 29%

% same! 2: % gravel

' sand< i,avel

--=----
i:Ais No.200 ~

C::::::::::::::
c::::::::::::::
·
% sand 2: %-gta\'Ef - -

% sand<% gravel - -
< 15% gravel - - -
2:· 15%gmel - - -
< 15% sand
? 5% sandl

( ~ :::: < 0.75 )----..-OH ---+- IRclef to Row Chart lor Orgamic R oo Grained Sols!

FIG uRE 7. 31 USC flow chart for fine-grained soils .

.......ca
Group Symbol.
1

< 30%, plus No. 200 ~ < 15% plus. No. 200 (

L <
--...._ 15 - 29% plus No,. 200 ~ % sand 2 % gravel (
· % sand < % graYel (

Pl 2 4 and plots Oil % sand 2 % gravel -C::::::::::::: < 15% gravel

or above "A" - I" e .:: 30% pkls t\lo. 2001 • 2 15% gra1<1el - - - - - - -
% sand< % gravel ---=.::::::::.: 15% sand - - -- -
<

- . .
215% sand

Ol

Pr< 4 or plot.s
ber.ow "A· - line
L < < 30% plus No. 200 --.~,---

2 30% plus. No. 200

► < 15% ,plus No. 200
15 - 29o/., p'lu s No. 200

% sand 2 % gra,.,.el
<:.::::::· % sand 2 % gra.,.,el
% sand<
---=.::::::::.: < 15% •g:rave'I
% sand < % g:ravel --c:::::::::::::=---
giravel
-----
..
2 15% gravel - - - - - -
► < 15% sane!

. - . . _ ·
215%sal1id

l?klts on o:r
abow "A" - e
L < < 30'¾ plus No, 200 ~ < 15% plus No. 200

2 30% pl s No. 200

5 - 29% plus .o. 200

% sand 2 % g:ravel

% sand <
<:.:::::: % san d ~% g,avel
% .san d< % gravel
---=.::::::::.: < 15% graYel - - - - -
-.,----1► 2 15% gravel - - - - - - -
gr.a'i'el -C::::::::::::: < 15% sand
215%sand

-=-::::: < 15% plus No•. 200

15 - 29'% ~us No. 200 ~ % sand 2 % graYel .
<
% sand < % gravel
Plots below % sand 2 % gra•,el <.:..:::::.!..~ 15% Q.Javel
"A· - r e 2 15% grravel - - - - -
% sand < % g:ravel -<.:..:::::.!..=---
► < 15% sandl - - - - -
2 15% sand

FIG uRE 7. 3 J USC flow chart for organic fine-grained soils.

 TAB LE 7. 3 F Engineering Uses for USC Soils
RELATIVE DESIRABILITY FOR VARIOL

IMPORTANT PROPERTIES

SHEARING ROLLED EARTH DAMS CANAL SECTIONS FOUNDA

STRENGTH
WHEN COMPRESSIBILITY WORKABILITY
PERMEABILITY COMPACTED WHEN ASA COMPACTED
TYPICAL NAMES OF GROUP WHEN AND COMPACTED AND CONSTRUCTION HOMOGENEOUS EROSION EARTH SEEPAGE
SOIL GROUPS SYMBOLS CoMPACTED SATURATED SATURATED MATERIAL EMBANKMENT CORE SHELL RESISTANCE LINING IMPORTANT

Well-graded gravels, gravel-sand GW Pervious Excellent Negligible Excellent

mixtures, little or no fines
Poorly graded gravels, gravel-sand GP Very pervious Good Negligible Good 2 2
mixtures, little or no fines
Silty gravels, poorly graded gravel- GM Semipervious Good Negligible Good 2 4 4 4
sand-silt mixtures to impervious
Clayey gravels, poorly graded GC Impervious Good to fair Very low Good 3 2
gravel-sand-clay mixtures
Well-graded sands, gravelly sands, SW Pervious Excellent Negligible Excellent 3 if 6
little or no fines gravelly
Poorly graded sands, gravelly SP Pervious Good Very low Fair 4if 7 if
sands, little or no fines gravelly gravelly
Silty sands, poorly graded SM Semipervious Good Low Fair 4 5 8 if 5 erosion 3
sand-silt mixtures to impervious gravelly critical
Clayey sands, poorly graded SC Impervious Good to fair Low Good 3 2 5 2 4
sand-clay mixtures
Inorganic silts and very fine sands, ML Semipervious Fair Medium Fair 6 6 6 erosion 6
rock flour, silty or clayey fine sands to impervious critical
with slight plasticity
Inorganic clays of low to medium CL Impervious Fair Medium Good to fair 5 3 9 3 8
plasticity, gravelly clays, sandy
clays, slity clays, lean clays
Organic silts and organic silt-clays OL Semipervious Poor Medium Fair 8 8 7 erosion 7
of low plasticity to impervious critical
Inorganic silts, micaceous or diato- MH Semipervious Fair to poor High Poor 9 9 8
maceous fine sandy or silty soils, to impervious
elastic silts
Inorganic clays of high plasticity, CH Impervious Poor High Poor 7 7 10 8 volume 9
fat clays change critical
Organic clays of medium to high OH Impervious Poor High Poor 10 10 10
plasticity
Peat and other highly organic soils Pt
....N
- *No. 1 is most desirable, no. 14 is least desirable .
(Source: Lambe, T.W., and R.V. Whitman. Soil Mechanics. Copyright 1979. Reprinted by permission of John Wiley & Sons, Inc.)
122 fatUhiii F·\,j,@,i:/iidf1,PLMH
TA BLE 7. 3 G Summary of the Principal Geologic Soil Deposits
MAJOR DIVISION PRINCIPAL SOIL DEPOSITS PERTINENT 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 and Generally favorable foundation conditions; how-
transported and swales (lows) formed on the inside or convex bank of ever, detailed investigations are necessary to
deposited by mitigating river bends. Ridge deposits consist primarily of locate discontinuities. Flow slides may be a prob-
running water. silt and sand; swales are clay-filled. lem along riverbanks. Soils are quite pervious.
Channel fill. Deposits laid down in abandoned meander Fine-grained soils are usually compressible.
loops isolated when rivers shorten their courses. Com- Portions may be very heterogeneous. Silty
posed primarily of clay; however, silty and sandy soils are soils generally present favorable foundation
found at the upstream and downstream ends. conditions.
Back swamp. The prolonged accumulation of floodwater Relatively uniform in a horizontal direction. Clays
sediments in flood basins bordering a river. Materials are usually subject to seasonal volume changes.
are generally clays but tend to become more silty near
riverbank.
Alluvial terrace deposits. Relatively narrow, flat-surfaced, Usually drained, oxidized. Generally favorable
river-flanking remnants of floodplain deposits formed by foundation conditions.
entrenchment of rivers and associated processes.
Estuarine deposits. Mixed deposits of marine and alluvial Generally fine-grained and compressible. Many
origin laid down in widened channels at mouths of rivers local variations in soil conditions.
and influenced by tides of body of water into which they are
deposited.
Alluvial-lacustrine deposits. Material deposited within lakes Usually very uniform in horizontal direction.
(other than those associated with glaciation) by waves, Fine-grained soils generally compressible.
currents, and organochemical processes. 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 compressible. Many
resulting in shoreline extension. local variations in soil condition.
Piedmont deposits. Alluvial deposits at foot or hills or moun- Generally favorable foundation conditions.
tains. Extensive plains or alluvial fans.
Glacial Glacial till. An accumulation of debris, deposited beneath at Consists of material of all sizes in various
Material the side (lateral moraines) or at the lower limit of a glacier proportions from boulders and gravel to clay.
transported and (terminal moraine). Material lowered to ground surface in Deposits are unstratified. Generally present
deposited by an irregular sheet by melting glacier is known as a ground favorable foundation conditions, but rapid
glaciers or by moraine. changes in conditions are common.
melting water from
the glacier. Glacio-fluvial deposits. Coarse- and fine-grained material Many local variations. Generally present
deposited by streams of meltwater from glaciers. Material favorable foundation conditions.
deposited on ground surface beyond terminal of glacier is
known as an outwash plain. Gravel ridges known as kames
and eskers.
Glacio-lacustrine deposits. Material deposited within lakes Very uniform in a horizontal direction.
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.
(Continued)
 7.3 ■ SOILS 723

TABLE 7. 3 G Summary of the Principal Geologic Soil Deposits (Continued)

MAJOR DIVISION PRINCIPAL SOIL DEPOSITS PERTINENT ENGINEERING CHARACTERISTICS

Marine Shore deposits. Deposits of sands and/or gravels formed by Relatively uniform and of moderate to high
Material the transporting, destructive, and sorting action of waves on density.
transported and the shoreline.
deposited by
ocean waves and Marine clays. Organic and inorganic deposits of fine- Generally very uniform in composition.
currents in shore grained material. Compressible and usually very sensitive to
and offshore areas. remodeling.

Eolian Loess. A calcareous, unstratified deposit of silts or sandy or Relatively uniform deposits characterized by
Material clayey silt traversed by a network of tubes formed by root ability to stand in vertical cuts. Collapsible
transported and fibers now decayed. structure. Deep weathering or saturation can
deposited by wind. modify characteristics.
Dune sands. Mounds, ridges, and hills of uniform fine sand Very uniform grain size; may exist in relatively
characteristically exhibiting rounded grains. loose conditions.
Sedimentarv Soils
Residual
Material formed by Residual sands and fragments of gravel size formed by Generally favorable foundation conditions.
disintegration of solution and leaching of cementing material, leaving more
underlying parent resident particles; commonly quartz.
rock or partially
indurated material. Residual clays formed by decomposition of silicate rocks, Variable properties requiring detailed
disintegration of shales, and solution of carbonates in investigation. Deposits present favorable
limestone. With few exceptions, becomes more compact, foundation conditions except in humid and
rockier, and less weathered with increasing depth. At tropical climates, where depth and rate of
intermediate stage may reflect composition, structure, and weathering are very great.
stratification of parent rock.
Peat. A somewhat fibrous aggregate of decayed and Very compressible. Entirely unsuitable for
decaying vegetation matter having a dark color and supporting building foundations.
odor of decay.
Accumulation of Muck. Peat deposits that have advanced in decomposition
highly organic to such extent that the botanical character is no longer
material formed evident.
in place by the
growth and
subsequent decay
of plant life.
Colluvial Talus. Deposits created by gradual accumulation of Previous movement indicates possible future
Material unsorted rock fragments and debris at base of cliffs. difficulties. Generally unstable foundation
transported and Hillwash. Fine colluvium consisting of clayey sand, sand 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, etc. Typically shardlike particles of silt size with larger
Material ejected volcanic debris. Weathering and redeposition
from volcanoes produce highly plastic, compressible clay.
and transported Unusual and difficult foundation condition.
by gravity, wind, Pumice. Frequently associated with lava flows and mud
and air. flows, or may be mixed with nonvolcanic sediments.
 TA BL E 7. 3 H Soil Characteristics Pertinent to Roads and Airfields

VALUE AS VALUE AS
SUBGRADE SUBBASE VALUE AS BASE
WHEN NDT WHEN NDT WHEN NDT POTENTIAL COMPRESS·
MAJOR SUBJECT TO SUBJECT TO SUBJECT TO FROST IBILITY AND DRAINAGE COMPACTION
DIVISIONS LETTER NAME FROST ACTION FROST ACTION FROST ACTION ACTION EXPANSION CHARACTERISTICS EQUIPMENT

Coarse-grained soils

Gravel and GW Well-graded gravels or Excellent Excellent Good None to Almost none Excellent Crawler-type tr
gravelly soils gravel-sand mixtures, very slight rubber-tired rol
few or no fines steel-wheeled 1

GP Poorly graded gravels or Good to Good Fair to good None to Almost none Excellent Crawler-type tr
gravel-sand mixtures, excellent very slight rubber-tired rol
few or no fines steel-wheeled 1

GMd' Silty gravels, gravel-and- Good to Good Fair to good Slight to Very slight Fair to poor Rubber-tired ra
silt mixtures excellent medium sheepsfoot roll1
control of mois

u* Good Fair Poor to not Slight to Slight Poor to practically Rubber-tired ra

suitable medium impervious sheepsfoot roll!

QC Clayey gravels, gravel- Good Fair Poor to not Slight to Slight Poor to practically Rubber-tired ra
sand clay mixtures suitable medium impervious sheepsfoot roll1

Sand and SW Well-graded sands or Good Fair to good Poor None to Almost none Excellent Crawler-type tr
sandy soils' gravelly sands, few or very slight rubber-tired rol
no fines

SP Poorly graded sands or Fair to good Fair Poor to not None to Almost none Excellent Crawler-type tr
gravelly sands, few or suitable very slight rubber-tired rol
no fines

SMd' Silty sands, sand silt Fair to good Fair to good Poor Slight to Very slight Fair to poor Rubber-tired ra
mixtures high sheepsfoot roll1
control of mois

u' Fair Poor to fair Not suitable Slight to Slight to Poor to practically Rubber-tired ra
high medium impervious sheepsfoot roll1

SC Clayey sands, sand-clay Poor to fair Poor Not suitable Slight to Slight to Poor to practically Rubber-tired ra
mixtures high medium impervious sheepsfoot roll!
 Fine-grained soils

Silts and clays 1.1 ML Inorganic silty and very Poor to fair Not suitable Not suitable Medium to Slight to Fair to poor Rubber-tired ro
is less than 50 with fine sands, rock very high medium sheepsfoot roll1
floor, silty or clayey silts control of mois
slight plasticity

CL Inorganic clays of low to Poor to fair Not suitable Not suitable Medium to Medium Practically Rubber-tired ro
medium plasticity, grav- high impervious sheepsfoot roll1
elly clays, sandy clays,
silty clays, lean clays

DL Organic silts and organic Poor Not suitable Not suitable Medium to Medium to Poor Rubber-tired ro
silt clays of low plasticity high high sheepsfoot roll1

Silts and clays 1.1 MH Inorganic silts, mica- Poor Not suitable Not suitable Medium to High Fairto poor Sheepsfoot roll
is greater than 50 ceous or diatomaceous very high rubber-tired rol
fine sandy or silty soils,
elastic silts

CH Inorganic clays of high Poor to fair Not suitable Not suitable Medium High Practically Sheepsfoot roll
plasticity, fat clays impervious rubber-tired rol

OH Organic clays of medium Poor to very Not suitable Not suitable Medium High Practically Sheepsfoot roll
to high plasticity, organic poor impervious rubber-tired rol
soils

Highly organic Pt Peat and other highly Not suitable Not suitable Not suitable Slight Very high Fairto poor Compaction no
soils organic soils practical

Courtesy of The Asphalt Institute. 1986. Soils Manual for Design of Asphalt Pavement Structures. MS-10, College Park, MD.
d. indicates LL,;; 25 and Pl,;; 5, otherwise u· .

....N
en
12& fatUhiii F·\,j,@,i:/iidf1,PLMH
so that the structural engineer can design and specify any
retaining walls that may be required:
Pa = active earth pressure
r= unit weight of backfill both the natural soil and fill
soils behind the retaining wall
Ka = coefficient of active earth pressure
/3 = angle between backfill surface line and a horizontal
line if known.
</J = angle of internal friction of the backfill material
Pp = passive earth pressure
Kp = coefficient of passive earth pressure
Construction Recommendations/Considerations. This
section of the soils report can be the smallest or the larg-
est depending on the subsurface conditions and the planned
development program. Depending on the nature of the
project some of the listed recommendations/considerations
may or may not be included
• Topsoil-may include removal of excessively organic
topsoil beneath pavements, floor slabs, structural
fills, and shallow foundations.
• Earthwork-depending on the topographic and
geologic conditions at the site, extensive earthwork
may or may not be required to achieve the proposed
final project grades at the site. Cuts and fills must
be carefully designed and properly constructed to
limit differential settlements across the site as well as
potential slope failures.
• Existing fill soils-existing fill soils are typically
erratic in composition and consistency and are not
reliable to support building foundations without
soil improvements. If fill soils are encountered at
the site a description of the material (construc-
tion debris, pavement debris, trash, or soil that was
dumped) should be given. If the fill material is not
suitable to support the planned development, then
the depth of removal should be given. Depending
on composition, occasionally existing fill soils can
be reused in other nonstructural areas of the site to
avoid expensive hauling of waste soils off-site and/or
replacement.
• Fill requirements-the geotechnical engineer should
specify what the fill requirements are at the site.
The requirements should be separate for structural
fill (fill material beneath foundations) and fill out-
side the building footprint beneath sidewalks and
pavements.
• Compaction-compaction requirements should be
given for the fill being placed throughout the site.
The recommendations should include the thickness
of the layer being placed, compaction effort, and any
allowable deviations from optimum moisture content
during field placement.
• Floor slab-on-grade-depending on the exiting soils,
recommendations may be given to improve the near
surface soils beneath the slab-on-grade foundations.
This may include proof-rolling the area or replace-
ment of soft or loose materials.
• Groundwater-the report should discuss anticipated
groundwater problems, such as perched water con-
siderations, groundwater level, and any anticipated
fluctuations to this depth based on seasonal and local
precipitation factors.
• Aboveground and underground utilities-existing,
functional above ground and underground utilities
that are present should be discussed if they will be
within the construction area and if they will need to
be realigned and/or removed prior to development,
or protected during development.
• Seasonal frost-frost heave and thaw settlement of
seasonally frozen ground can subject buried struc-
tures to large forces and destructive movement. The
depth for frost protection in the area should be given.
All exterior foundations should be below this frost
depth.
• Drainage control during construction-adequate
drainage during the construction operation needs to
be considered. This can be accomplished by main-
taining positive slopes, temporary ditches, swale fea-
tures, and pumping equipment (dewatering facilities)
to maintain the soils in a dry condition.
• Sheeting and shoring-shoring may be necessary in
deep excavations where there is a limited space to lay
back the slopes at a stable repose. A discussion of the
natural soils should address the existing conditions
(loose to very loose or soft zones) and necessary
measures to protect the excavation. Safety and health
requirements on-site shall conform to local, state,
and federal regulations.
• Inspections- many geotechnical reports and design
drawings will specify that various inspections should
be performed during construction. They can vary
from a visual inspection by a geotechnical engineer
to verify that the soils described in the report
are those encountered during construction to in situ
testing by a geotechnical engineer. Typically inspec-
tions are required for bearing capacity of shallow
foundations, pile load tests to verify pile capacities,
compaction testing of fill areas, and proof-rolling of
pavement areas. When practical, the geotechnical
engineer of record should be the engineer that per-
forms the inspection.

Implementation of the geotechnical recommendations
presented in the report is the responsibility of the site engineer.
For the most part, the site engineer can merely incorporate
the necessary details (e.g., pavement typical sections, dam
embankment requirements, and adequate grading or slope
provisions) into the final design drawings. Specialty design
features such as retaining walls or corrective measures and
ground improvements, if warranted, may require a signifi-
cant design effort. Further collaboration with the geotechni-
cal engineer and/or the need for a subcontractor such as a
structural engineer may also be required.
7.3.6. Lateral Earth Pressure and Retaining Walls
Lateral earth pressure is a significant design parameter asso-
ciated with land development. Retaining walls, foundation
walls, braced and unbraced excavations, bridge abutments,
underground tunnel structures, and their headwall and
wingwalls are all subject to lateral earth pressures and thus
require a quantitative estimate of the forces acting on the
structure (Bowles).
Earth retaining structures facilitate an abrupt change in
grade where two neighboring masses of earth must be main -
tained at differing elevations. The urban development setting
has promulgated the use of retaining structures to allow greater
unit density. When designed properly, retaining structures,
although not the most economical solution when compared
to nonstructural or conventional earth grading methods, may
be the only feasible engineering solution in many cases.
Preliminary cost estimates and comparisons to alternative
(nonwall) solutions often reveal retaining wall solutions that
appear economical: "However, on detailed analyses of the
design drawings and cost estimates it is often observed that
the construction of the retaining wall has been given only
trivial consideration, without paying attention to the often
costly details" (Rodriguez). Many wall designs are engineered
without proper consideration of substantial and effective wall
drains, control of backfill material, and proper evaluation of
special foundation conditions. Improperly designed walls are
predisposed to failure and a greatly reduced life span. Retaining
walls are often associated with roadways and parking lots and
thereby receive a great deal of visual traffic. Distressed or
failed retaining walls can lead to a poor perception the site
engineer and tarnish the reputation of the design firm.
Earth Pressures Against Walls. Earth pressure is the force
per unit area exerted by the soil on the retaining structure.
"Lateral;' meaning "sideways;' combined with "earth pres-
sure'' results in the term "lateral earth pressure;' which is the
force or pressure exerted in the principally horizontal direc-
tion against the retaining structure. Retaining structure design
considers the analysis and determination of these lateral earth
forces, their magnitude, and their applied direction (Liu).
The magnitude of the earth pressure depends on the physi-
cal properties and characteristics of the soil, the soil-structure
interaction, which occurs at the interface of the soil mass and
the adjoining retaining structure, and the deformation behav-
ior of the soil-wall system. The directions of the applied forces
7.3 ■ SOILS 727
are influenced by the geometry of the retaining wall and the
retained earth within a given distance to the wall. Since move-
ment of the retaining wall is a primary factor in developing
the earth pressure forces, acting against the wall, and the
characteristics of the soil influence these earth pressure forces
the design of the wall system becomes indeterminate.
Design engineers typically calculate two categories of earth
pressures, active earth pressure and passive earth pressure,
when designing retaining structures. A third category, namely
earth pressure at rest, reflects a condition where absolutely
no movement of the wall system occurs.
Active earth pressures are developed when the soil mass
behind the wall system moves outward as a result of some
horizontal movement of the wall. Movement of the wall
in the opposite direction (i.e., toward the soil) will in turn
mobilize the shear strength of the soil and is referred to as
passive earth pressure.
Analysis and design of unbalanced fill retaining walls and
structures requires an in-depth knowledge of soil mechanics
and use of appropriate computational methods beyond the
scope of a general engineer without the requisite training and
experience. Indeed, these are structural walls comprising soil
and structural members to support numerous live loads and
should be addressed appropriately by professionals trained
and experienced in this area.
Two of the earliest earth pressure solutions used to satisfy
static equilibrium ( LF;, LFv = 0) of the retaining wall system
were the Coulomb Theory (1776) and later the Rankine
theory (circa 1857). Because of its simplicity, only the
Rankine theory is described.
Rankine theory is based on several assumptions:
• No adhesion or friction exists between the wall and
the backfill.
• The ground surface behind the wall is either flat or
sloping.
• A sliding wedge type failure occurs along an assumed
failure plane (i.e., shear plane) which is represented
as a function of the soils angle of internal friction (</>).
• The back of the wall is vertical.
Figure 7.3K represents the active and passive conditions
associated with Rankine analysis of wall design.
The equations for computing lateral earth pressure based
on the Rankine theory are as follows (Liu, p. 365):
1
Pa =-yH
2
2K
a (7.3G)
K =COS /3 cos f3 -,Jcos f3 - cos 2 <fJ
2
(7.3H)
a cos f3 + ,Jcos /3- cos 2 1/J
2
pp =IyH2K
2 p
K =COS /3 cos f3 -,Jcos /3- cos2 <fJ
2
(7.31)
a cos f3 + ,Jcos 2 /3- cos 2 1/J
120 fatUhiii F·\,j,@,i:/iidf1,PLMH

Wall
Movement

a) Active Case

a) Vertical Wall Backside

Wall
Movement
Failure
Zone
·--
b) Passive Case

FIG uRE 7. 3 K Active and passive failure zones for Rankine theory.

where Pa = active earth pressure b) Inclined Wall Backside

r=unit weight of backfill soil
H = height of the wall
Ka = Coefficient of active earth pressure
f3 = angle between backfill surface line and a horizontal line
¢ = angle of internal friction of the backfill material
Pp= passive earth pressure
Kp = coefficient of passive earth pressure
When the backfill behind the wall is horizontal (i.e., level)
/3 = 0°, the coefficients of earth pressure become
FIG uRE 7. 3 L Lateral earth pressure for Rankine theory.
Design Considerations for Retaining Walls Retaining wall
performance has a checkered past and for many designers
the visual intensity of a failed or failing wall system can mar
their reputation in the industry.
Statistical studies of retaining wall failures are provided in
Figure 7.3M and can be summarized as follows:

• Improper design of the drainage system and/or the

K = 1-sin¢ (7.3J) walls foundation base is the main cause of retaining
a 1+sin¢
wall failure.
K = 1+sin¢ (7.3K) • Clay soils as backfill or as foundation bearing mate-
P 1-sin¢ rial are involved in most retaining wall failures.

For convenience, Table 7.3I provides Rankine earth pres-
sure coefficients for level backfill (/3 = 0° for various </>values).
The resultant lateral earth pressure forces acting on a sim-
plified wall section are depicted in Figure 7.31. Special atten-
tion is given to walls with inclined backsides as depicted in
Figure 7.3L(b).
Structural failures of the wall system could be a result of
the walls structural integrity, but are most probably caused
by the inability of the designer and/or geotechnical engi-
neering to recognize one or more of the unique soil or load-
ing conditions that could dramatically impact the forces
on the wall. Improper construction practices also lead

TAB LE 7. 31 Rankine Earth Pressures for Level Backfill

10° 12.5° 15° 17.5° 20° 22.5° 25° 27.5° 30° 32.5° 35° 37 .5° 40°

0.70 0.64 0.59 0.49 0.45 0.45 0.41 0.37 0.33 0.30 0.27 0.24 0.22
1.42 1.55 1.70 1.86 2.04 2.24 2.46 2.72 3.00 3.32 3.69 4.11 4.60
 7.3 ■ SOILS 729

UNSATISFACTORY DIMENSIONING
OF WALL BASE

MISSING OR INADEOUA TE
25% DRAINAGE SYSTEM

COULD NOT BE
CLASSIFIED---r::...;;.;;:.--

CARELESS
CONSTRUCTION
STRUCTURAL FAILURE
OF STEM

FIG uRE 7. 3M Causes of failure of rigid concrete retaining walls.

to premature wall failures. The practical designer should
consider:
• Proper drainage through redundant methods, includ-
ing proper surface drainage, weep holes, longitudinal
drain pipes, and/or commercial drainage products.
• Proper free draining backfill material and filter layers
to protect the drainage system from becoming clogged.
• Detailed plans and specifications and adequate field
compaction testings and inspections oversight dur-
ing construction (inspection of retaining wall drain-
age and backfill operations are often omitted).
• Insufficient geotechnical exploration and laboratory
testing prior to the design stage resulting in the use
of "assumed soil parameters" with inadequate safety
factors.
• Excessive backfill compaction and/or use of heavy
equipment adjacent to the top of the wall can induce
very high residual pressures against the wall.
Types of Retaining Walls. Retaining walls come in many
different styles, shapes, materials, and design complexity.
However, most retaining walls can be classified into one of
the following types: gravity, cantilever, anchored, or mechan-
ically stabilized earth (MSE).
The choice of the type of wall selected for a project is
often a function of constructability, aesthetics, and of course
economy (Fang). Gravity retaining walls have been used for
centuries and can be found in all walks of life. Most walls
constructed in the last hundred years or so have been canti-
lever walls constructed of reinforced concrete.
MSE Wall Systems. MSE walls have grown in popu-
larity, especially in highway construction (Figure 7.3N).

FIG uRE 7. 3 N Photo of reinforced earth wall.

130 fatUhiii F·\,j,@,i:/iidf1,PLMH
MSE walls utilize the natural forces of an engineered fill
with small quantities of materials in a composite arrange-
ment of equilibrium. The basic components of MSE walls
consist of soil, reinforcement and facing elements. A vari-
ety of facing elements and reinforcement are being used
in MSE walls. Metal strips, steel rods, woven geotextile
fabrics, and high strength plastic geogrids have all been
successfully used as reinforcement materials.
Likewise, facing materials have evolved over recent years
and come in a variety of material shapes, architectural fin-
ishes, and colors. Facing elements constructed of precast
concrete panels, prefabricated metal sheets, welded wire
mesh, and in some cases plastic geogrids have all been used
successfully. The popularity of MSE walls is related to many
factors the most significant of which is cost. MSE walls have
proven very cost efficient compared to their traditional
counterparts. This is especially true when the wall is in a fill
condition with a surface area greater than 2000 square feet,
and an average wall height of 10 feet.
The advantages and disadvantages of MSE wall systems,
summarized from (Mitchell and Villet 1986) (ret & flood
walls) are outlined below:
Advantages of MSE systems
• Mechanically stabilized backfill systems are economi-
cal when compared to conventional retaining walls.
• Construction of mechanically stabilized backfill
systems usually is easy and rapid. It does not require
skilled labor or specialized equipment. Many of the
components are prefabricated allowing relatively
quick construction.
• Regardless of the height or length of the wall, the
structure remains stable during construction.
• When compared to conventional retaining walls,
mechanically stabilized backfill systems are relatively
flexible and can tolerate large lateral deformations
and large differential vertical settlements (when this
is anticipated, vertical-sliding joints can be installed at
intervals to compensate for movement). The flexibil-
ity of mechanically stabilized backfill systems allows
the use of a lower factor of safety for bearing capacity
design than conventional, more rigid structures.
• Mechanically stabilized backfill systems are poten-
tially better suited for earthquake loading than con-
ventional retaining walls because of the flexibility and
inherent energy absorption capacity of the coherent
earth mass. In designing mechanically stabilized
backfill systems for earthquake regions, provision
should be made for slippage of reinforcement ele-
ments rather than tension failure of the elements,
resulting in a ductile structure (McKittrick 1979).
• Mechanically stabilized backfill systems, because of
their flexibility and mass, are capable of withstanding
dynamic loads imposed by wheel loads.
• Geosynthetic reinforcement is stable under chemi-
cal and biological conditions normally occurring in
soils. Since facing elements play only a secondary
structural role, a greater flexibility is available to
meet aesthetic requirements than for conventional
retaining walls. Facing arrangements range from
concrete panels of various shapes, textures, and col-
ors to provision of vegetation at the exposed face of
the soil.
Disadvantages of MSE systems
• Corrosion of metallic reinforcement occurs and
must be assessed on a project basis by determin-
ing the potential aggressiveness of the soil. Special
coatings such as galvanized zinc and resin-bonded
epoxy are used with a sacrificial thickness of steel
added in the design to give the required service
life.
• Although geotextile and geosynthetic reinforcement
is a robust material, some allowance must be made
for decrease in strength due to abrasion during con-
struction. This will vary with the type of reinforce-
ment material.
• Different polymers and fabrics have different creep
characteristics. Allowable loads in the grid should be
selected based on allowable deformations, as well as
the results of creep tests (10,000 hours).
• The construction of mechanically stabilized embank-
ments in cut areas requires a wider excavation than
conventional retaining walls.
• Post-excavation behind the mechanically stabilized
wall is restricted.
Segmental retaining wall systems are very much like
MSE wall systems except that the facing units are usually
constructed of relatively small precast concrete block units
with aesthetic face finishes; the earth reinforcing is usually
geogrid. Because of their aesthetic appeal, segmental walls
are often used in land-development projects.
Modular Wall Systems. Modular components come in
a variety of shapes and designs and are usually fitted with
a type of interlocking mechanism that forms a composite
wall system (Figure 7.30). Most modular wall systems are
designed as gravity walls and are especially popular where
aesthetics are an important factor.
Crib walls are constructed with some type of exoskeleton
elements made of wood, precast concrete, or steel and filled
with compacted fill (Figure 7.3P).
The advantages and disadvantages of the precast concrete
modular systems are provided below (Mitchell and Villet,
1986, extracted from Retaining and Flood Walls, ASLE, 1994):
Advantages of modular systems
• Modular systems are economical when compared
to conventional retaining walls in cut situations,
 7.3 ■ SOILS 731

FALSE HEADER

FRONT STRETCHER
_¢¢'> ·nr:-:~:~t·
~c,~, ✓- particularly where the retaining wall has a total sur-
face area greater than 500 square feet and average
wall heights greater than 8 feet.

Hr~""
S INGLE DEPTH WALL
___ l
DIOU18:.1E DEPTH WALL
COMPACTED GRANULAR
, _ _ _t_TCKFILL
• Assembly of the wall components requires no fas-
teners and the modules may be reused easily and
economically.
• The precast concrete modular retaining wall does not
utilize reinforcing elements and therefore is not sub-
ject to corrosion damage.
• Excavation behind the precast concrete modular
retaining wall does not adversely influence the stabil-
ity of the system as might occur for the mechanically
stabilized wall.

Disadvantages of modular systems

TREBLE DEPTH WALL

___l • The precast concrete modular retaining wall could

sustain cracking of interior connecting members
due to relatively small (0.5 foot per 100 feet of
NOTE , FALSf HEADERS ARE wall length) longitudinal differential settlement
NOT USED IN THE INTERIOR
SECTIONS OF MULTIPLE tolerance.
DEPTH WALL S.
MULTIPLE DEPTH WALL (TYPICAL)
NO SC ALE Various engineering companies involved will provide
site-specific plans and limited designs for their propri-
etary systems. Stability is evaluated in a manner similar to
2 '-6"
a conventional gravity retaining wall. For stability calcula-
tions, the interlocking precast concrete modular system is
assumed to behave as a single coherent block. The system
must be stable against sliding along the base of the structure,
overturning about the toe of the wall, bearing capacity fail-
ure of the foundation soil, differential settlement, and over-
all slope stability.

WALL ELEV ATION (TYPICALi

0
7.3. 7. Slope Stability
NO SCALE
A slope refers to an earth mass, natural or man-made whose
FIG uRE 7. 3 0 Schematic diagram of Criblock retaining wall. surface forms an angle with the horizontal. Land develop-
ment practices usually include engineering design and
construction of man-made slopes such as found in embank-
ments, earth dams, levees, foundation excavations and
trenches, and natural slopes found in hills, mountains, river
banks, and coastal boundaries.
No slope, natural or man-made, is completely stable.
Gravitational forces combined with climatic changes, espe-
cially changes involving water, are forever altering slopes.
Occasionally slopes are altered or influenced by earthquakes,
glaciers, or wind.
Slope stability is measured by its factor of safety, the ratio
of the resisting forces (or moments) to the driving forces
(or moments). The factor of safety is associated with several
different soil parameters. For example, the factor of safety
with respect to strength (F,) is the ratio of available (i.e.,
maximum) strength to the required strength to sustain a
load. In terms of the Coulomb equation this is written as

(FS) = (c+crtanef>)avail (7.3L)

FIGURE 7.3P PhotoofaCribwall. s (c+crtanef>)req
132 fatUhiii F·\,j,@,i:/iidf1,PLMH
The factor of safety with respect to cohesion (Fe) is the ratio
between actual cohesion and the cohesion required for sta-
bility. Similarly the factor of safety with respect to friction
and critical height2 are
(FS) Jatantf>)avail
¢ (atan¢),,q
(FS)H = Havail (7.3M)
H,,q
respectively. For dry granular soils with c = 0, the factor of
safety is (tan </))/(tan /J) where /3 is the angle of the slope with
respect to the horizontal. The factor of safety must be greater
than I for a slope to be considered stable. In practice, a factor
of safety of about 1.5 is desirable.
From this discussion, the following general statements
can be inferred regarding slope stability:
I. Since the shear strength of granular soils increases
with increased normal stress, the stability of a granu-
lar slope does not decrease as the height increases.
2. The stability of a clay slope decreases as the height
increases since the shearing strength of a clay is
independent of the normal stress.
There are numerous methods available to perform slope
stability analysis. Most are described in soil mechanics and
geotechnical engineering texts. The conditions, parameters
and assumptions, such as soil moisture conditions, kine-
matics of slope failure, shear strength, density, and slope
geometry vary considerably for each method. The level of
reliability of these factors dictates the acceptable factor
of safety and the method used for the analysis. Most cases
require the analysis to account for seepage, various moisture
conditions, and soil stratification. The geotechnical report
typically provides the results from the analysis and recom-
mendations for slope angles. Despite the apparent similarity
of the engineering properties of the soils on a site, the recom-
mended slope angles may vary depending on the function
of the slopes. Soils reports often recommend different slope
angles for road embankments, cut slopes, slopes around
stormwater management ponds, etc. Maintenance consider-
ations sometimes dictate that a slope should be flatter than
required for adequate stability.
Analysis and construction of an embankment that is strong,
incompressible and stable requires specifying a soil with
certain engineering properties and characteristics. Ideally, the
specified soil is within haul distance of the site, or even better,
available as excess at the site. Of course, the embankment is
only as stable as the underlying foundation soil.
The mode of failure of an embankment depends
on the strength of the fill material, the strength of the
2Critical height is defined as the maximum height for which the slope remains stable.
underlying soil, and the drainage characteristics of both.
Fills on deep soils with low strength fail due to inadequate
bearing capacity. Reducing failure potential in such cases
includes the use of lightweight fill material, flat slopes for
the embankment, or a counter weight buttress at the toe.
If the weak underlying soil stratum is not very thick, it
may be more economical to remove and replace it with an
adequate foundation soil. In the worst case, where neither
of the two preceding remedies is feasible, some structural
support will be needed.
Organic silts, organic clays, and peat are highly com-
pressible. Although these soils may have sufficient bearing
capacity to support the embankment without failing in shear,
excessive settlements are the concern. Remedies for neutral-
izing excessive settlement include preconsolidating soft clays
by careful overloading, slow construction, or removal of the
inadequate material. Analyses for preconsolidation measures
require calculations for primary and secondary consolida-
tion rates. The cost for delaying construction, until second-
ary consolidation is achieved, must be evaluated against the
cost for removal and replacement.
The potential for failure exists when embankments are
placed on thin layers of soft clays, particularly if the clay
layers are inclined in an unfavorable orientation. The fail-
ure occurs by sliding horizontally or at the angle of the clay
layer. The clay layer gains strength as it consolidates under
construction and embankment loadings. If the imposed
stresses increase faster than the consolidation, failure
results. This type of failure occurs during or soon after
construction for this reason. In this situation, construction
and fill placement must proceed at a slower pace to allow
the clay to consolidate. Also, lighter embankment material
may be used or the embankment slopes could be flattened.
Again, removal and replacement of the clay layer can also
be a consideration.
Several types of slope failure are illustrated in Figure 7.3Q.
Slope failure occurs whenever the available resisting
forces are less than the activating forces causing instability. In
effect, when the strength of the soil is less than the downslope
force component of the soil weight and other applied loads,
the result is slope movement.
An imbalance of the two countering forces results in a
couple of ways: increasing load (driving force) and decreasing
strength or resistance (resisting force). An increase in loading
at the top of slope can be brought about through the addition
of a structure or by steepening the slope. Weakening of the
slope can occur as a result of undercutting the toe of the
slope or a rise of the water table under the slope.
Soil strength, particularly in cohesionless soils, is reduced
by an increase in groundwater (i.e., pore water) pressure.
Groundwater pressures are increased by raising the water
table through excessive rainfall and snowmelt or seepage
from underground springs and lakes.
Piping (internal erosion) and drawdown often causes
slope failure on dam embankments. Rapid drawdown of a
reservoir behind an embankment can cause an increase
 7.3 ■ SOILS 733

Pile Buildup

Translational slips occur

along bedding planes, faults
or fissures . May be caused
by release of stresses due
to excavation downslope.
Upper soil mass slides along
lower strata of inadequate
shear resistance.

Soil Strata

-,.»-:
~ Movement Face Failure

Rotational circular slides are

typically associated with
cohesive homogeneous soil
conditions. The location of
failure depends on variation
Toe Failure of shear strength with depth .
Failure may be caused by
release of horizontal stresses
by excavation and/ or presence
of weak underlying strata .

Base Failure

FIG uRE 7. 3 Q Types of slope failures.

in the effective weight of the embankment, analogous to
adding weight at the top of the slope. Piping is a term used to
describe the progressive removal of soil particles caused by
percolating water (seepage) through an embankment dam.
Vibrations from earthquakes, blasting, and pile driving
can cause densification ofloose sands, silts, and some other
highly compressible soils located below the groundwater
level, which increases the pore water pressure and
correspondingly reduces the available soil shear strength.
Cyclic stresses can also cause liquefaction of loose uniform
saturated sand layers.
Natural processes such as weathering, leaching, creep, and
mineralogical changes in soil and rock masses can reduce
shear strength of the soil and result in slope movement.
Examples of two cut slope (shear) failures due to
oversteepening are shown in Figure 7.3R.
7.3.8. Soil Compaction
The stability of any structure founded on soil depends on
the strength and stability of the soil itself. Engineering
properties and characteristics of in situ soil can be mark-
edly different than the same soil that has been excavated
134 fatUhiii F·\,j,@,i:/iidf1,PLMH
(a)
(b)
FIG uRE 7. 3 R Cut slope failures.
and used elsewhere. In some cases the existing soil in its
natural state is not suitable as a foundation base, whereas it
may be if properly recompacted or prepared. In other cases,
excavated soil may not be suitable for any reuse beyond
landscaping purposes. The site engineer relies on the rec-
ommendations of a geotechnical expert on the strength
and stability of a soil and what methods might be used for
improving its performance. Methods for increasing soil
strength include adding material or chemicals to the soil
or by increasing the density by controlled compaction. For
many land development projects, the site engineer is typi-
cally concerned with the following recurring situations:
1. Bearing capacity and settlement potential of the
existing soil to sustain the structure loads of build-
ings or pavement
2. Bearing capacity and settlement potential of exca-
vated soil that is reused on the site
3. Slope stability of soil used in embankments
4. Slope stability of soil in cut areas
The strength depends on the void ratio and the mois-
ture content of silty and clayey soil. Compaction usually
increases the strength characteristics of soil, decreases
the settlement potential, and increases slope stability of
embankments, by decreasing the void ratio, and increasing
the density of the soil. Minimum compaction requirements
are identified in the specifications or dictated by local stan -
dards. Usually, the geotechnical consultant recommends
compaction requirements in the instances where none exist
in local standards.
Compaction. Increasing soil density occurs by rearrangement
of the soil particles-fracture of the grains or bonds between
them and then rearrangement. To do any of this requires energy
and compactive effort. The amount of energy needed depends
on the soil material and the method used to apply the energy.

The intra-particle bonds of cohesive soils resist the compac-
tion efforts. Increasing the water content to an optimum value
decreases the cohesive resistance (molecular bonds) and hence,
increases the effects of the compaction efforts. Distortion and
reorientation of the particles attain the density of such soils.
Resistance to compactive efforts of cohesionless soils is due
to the intergranular friction that is aided by capillary tension.
Increased density in these soils is mostly through rearrange-
ment of the particles. Again, increasing the moisture content
may increase the effects of the compaction efforts by decreasing
capillary tension.
The two most widely used standard laboratory tests to deter-
mine the maximum dry unit weight and optimum moisture
content (OMC) of a soil are the standard Proctor test (ASTM
D-698) and the modified Proctor test (ASTM D-1557).
The degree of compaction is measured relative to the
maximum dry unit weight of the soil. Water added to the soil
during compaction acts as a lubricant. The soil particles slip
over each other and form a denser arrangement. For a given
soil and constant compaction energy the dry unit weight
increases as the moisture content increases up to a certain
point. The increase in unit weight is the result of fitting
more and more soil particles into the same volume, in effect
decreasing the void spaces. Beyond a certain moisture con-
tent, the unit weight of the soil begins to decrease due to the
incompressibility of water. At this stage the moisture in the
soil begins to occupy the space that could have been occu-
pied by the soil particles. The moisture content, which maxi-
mizes the unit weight of the soil with a constant compaction
effort, is referred to as the optimum moisture content (OMC)
(Figure 7.3S).
125 ~-..---.-..---........---,-----r---r---, 19.85
Sandy clay
Line of
Optimum Liquid limit= 31
Plastic limit = 26 19
120
~,
Zero-air
void curve
blows/layer (SpGr = 2 .7)
0~~~
115
18
110
~ 5 blows,1aye,
11
105 0 /\Obliye,
16
100 .___ _.___...,___ _.__ _.___~---~ 15.2
10 12 14 16 18 20 22 24
Moisture content, w (%)
FIG uRE 7. 3 S Effect of compaction energy on dry-unit weight.
7.3 ■ SOILS 735
Controlled Fill. For most soils, the soil will compact to its
theoretically greatest density at an optimum moisture con-
tent. This 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 for the
stability to be reasonably ensured. Typically, the controlled
fill areas are identified on the plan sheets as "controlled fill-
see specifications;' with reference to the compaction speci-
fication requirements relative to the maximum dry density
and OMC of the fill material. Additionally, a maximum lift
(layer) thickness will also be specified.
The specification for compaction might appear as ''All
fill shall be compacted to minimum 95% of the theoreti-
cal maximum density and within ±2% of the optimum
moisture content in accordance with the specifications of
ASTM D-698:' Here, the theoretical maximum density is
the density obtained from laboratory tests (i.e., standard
Proctor). The 2% is the allowable tolerance of the moisture
content from optimum. This allowable tolerance may vary
somewhat depending on the compaction curve of the soil
and the type of project. Specifying a percentage rather than
a unit weight allows for the inherent variability of soils.
This ensures a compactive effort in the field comparable to
the laboratory test. The required density of the placed fill
depends on the purpose of the compacted soil. Consider-
able cost savings can be realized by matching the density
to the purpose. Table 7.3J provides recommendations for
compaction requirements.
Spreading a layer of soil to an appropriate thickness and
using the proper equipment to compact the layer helps to
control compaction during construction. When compaction
of that layer is completed, another layer is spread and the
equipment compacts the next layer. This process is repeated
until the fill area is brought to the desired elevation. The
thickness of the soil layers, also known as "lifts;' depends on
the type of soil. Cohesive soils are typically placed in lifts of
6 to 8 inches. Lifts for well graded gravel and sands are 10 to
12 inches. The practice of compacting soils in small uniform
lifts helps maintain a uniform strength throughout the fill
depth.
Controlling moisture content during construction is
relatively easy for sandy soils and those that are drier than
OMC. Dry soils are sprinkled with water before or as the soil
is being compacted. The soil needs to be thoroughly mixed
-
'i:
::,
>,
for even distribution of moisture. Soils wetter than the OMC
can be spread to dry or mixed with other drier suitable soils
0 before being placed. In general, plastic (clayey) soils are more
sensitive to moisture content, and must be compacted within
a smaller range of the OMC to attain maximum density.
Specifications for controlled fill require that certain
materials be excluded. These materials reduce the ultimate
attainable strength or exacerbate settlement problems.
Materials, such as soils, with excessive organic contents (more
than 10%), trees, and vegetation cause excessive localized
settlements after degradation. Large boulders, cobbles, flat
shale fragments, and construction debris also adversely affect
compaction.
13& fatUhiii F·\,j,@,i:/iidf1,PLMH
TAB LE 7. 3 J Compaction Requirements*
REQUIRED TOLERABLE MAXIMUM
DENSITY RANGE OF PERMISSIBLE
FILL UTILIZED % OF STANDARD MOISTURE ABOUT LIFT THICKNESS,
FDR: PROCTOR OPTIMUM,% COMPACTED (IN) SPECIAL REQUIREMENTS

Support of 95 -2 to +2 12 Fill should be uniform. Blending or processing of borrow

structure may be required. For plastic clays, investigate expansion
under saturation for various compaction 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 for stability
canal or small and to resist erosive forces. Single-size silty sands with Pl
reservoir less than 5 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 coars-
greater than est materials in outer shells. Core should be free of lenses,
50 ft high pockets, or layers of pervious material and successive lifts
well bonded to each other. Amounts of oversize exceeding
1% of total material 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 that are
than 50 ft high the most vulnerable to cracking and piping should be com-
pacted to 98% density at moisture content from optimum
to 3% in excess of optimum.
Support of 95% within top -2 to +2 8(+) Place coarsest borrow materials at top of fill. Investigate
pavements: 2.0 ft; 90% top expansion of plastic clays placed near pavement subgrade
Highways below 2.0 ft to determine compaction moisture and density that will min-
imize expansion and provide required soaked CBR values.
Backfill sur- 90 -2 to +2 8(+) Where backfill is to be drained, provide pervious coarse-
rounding grained soils. For low walls, do not permit heavy rolling
structure compaction equipment to operate closer to the wall than a
distance equal to about½ the unbalanced height of fill at
any time. For highwalls or walls of special design, evalu-
ate the surcharge produced by heavy compaction equip-
ment and specify safe distances back of the wall for its
operations.
Backfill in 90 -2 to +2 8(+) Material excavated from trench generally is suitable for
pipe or utility backfill if it does not contain organic matter or refuse. If
trenches 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 are
utilized, the trench bottom may be finished flat and the
granular material placed saturated under and around the
pipe and compacted by vibration.
(Continued)
 7.3 ■ SOILS 737

Drainage 90 Thoroughly 8 Ordinarily vibratory compaction equipment is utilized.

blanket or wetted Blending of materials may be required for homogeneity.
filter Segregation must be prevented in placing and compaction.
For compaction adjacent to and above drainage pipe, use
hand tamping or light traveling vibrators.
Subgrade of 95 -2 to +2 For uniform bearing or to break up pockets of frost-
excavation for susceptible material, scarify the upper 8 to 12 in of the
structure subgrade, dry or moisten as necessary and recompact.
Certain materials, such as heavily preconsolidated clays
that will not benefit by compaction, or saturated silts and
silty fine sands that become quick during compaction,
should be blanketed with a working mat of lean concrete or
coarse-grained material to prevent disturbance or soften-
ing. Depending on foundation conditions revealed in explo-
ration, a substantial thickness of loose soils may have to be
removed below subgrade 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 layers
wetted 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 yd 3 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 compacted dry of OMC will have higher strength and a lower compressibility even after saturation.
3. Compaction of coarse-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.

Methods for Monitoring Field Compaction. Specifications and the reflected emissions are counted. Knowing how the
typically dictate the desired results for compaction in order density and water reflect the emissions determines the unit
to ensure a result that will have a reliable performance. Part weight and moisture content of the soil. The advantages of
of the assurance, dictated by specifications, involves the field this method are that the test does not require a hole and that
testing of in-place fill. Several standard methods exist for the results are available immediately.
field testing the in-place soil to determine if the compaction An example will illustrate how data from the sand cone
efforts are producing specification quality. test measures compaction.
The sand cone test (ASTM D-1556) and the rubber bal- Compaction Example. The test results from a sand cone
loon test (ASTM D-2167) use material of known density to test are shown in Table 7.3K. Determine if the compaction
fill a small-excavated hole in the compacted area. In the sand meets the required specifications. The project specifica-
cone test the excavated hole is filled with sand. The balloon tions require compaction to 95% of the maximum dry den-
test inserts a balloon into the hole and fills it with water. In sity (MDD) with moisture content to be within 2% of OMC
either case the volume of the hole can be determined from as determined by the Proctor test. Laboratory test results
the amount of sand or water used to fill the excavated hole.
The excavated material is then weighed, oven dried, and
weighed again to determine the water content. The results TAB LE 7. 3 K Sand Cone Test Results
are then compared to the specification. WET WT. DRY WT. SAND WT.
Another method of determining compaction uses a
nuclear density gage to measure the density and water Hole #1 9.66 lb 8.75 lb 9.05 lb
content. The gage consists of a radiation source, radiation
Hole #2 8.45 lb 7.41 lb 7.25 lb
detector, and counter. The gage emits radiation into the soil
130 fatUhiii F·\,j,@,i:/iidf1,PLMH
indicate the MDD as 119.5 lb/ft3 at an OMC of 13.0%. At the be as rigidly controlled as in the laboratory, affect the
project site two tests were made. The sand used in the sand actual degree of compaction. Such factors as the thickness
cone test had a density of 114.5 lb/ft3. of the lift, intensity of pressure applied, area of applied
Specification requirements for this soil: pressure, and number of times pressure is applied all
determines the ultimate unit weight attained at the project
Dry density, Ya= 0.95 x 119.5 = 113.5 lb/ft3 site. Effective compaction is attained by applying a large
Moisture content, w: Min. 11.0%, Max. 15.0% enough force to reorient and densify the soil particles,
however, too large of a force can cause the soil mass itself
For test #1: to be sheared.
Rollers are the primary method for field compaction.
Vol = 9,0 5 lb 0.079 ft 3 Rollers compact the soil by expelling air from the voids and
1 114.5 lb/ft3 forcing the soil particles into a compact arrangement. Com-
w, = 9.66-8.75x100=10.4% (7.3N) mon rollers are smooth drum roller, pneumatic rubber-tired
8.75 roller, sheepsfoot roller, and vibratory roller. Figure 7.3T
8.75Ib shows a vibratory smooth drum and sheepsfoot roller work-
110.8 lb/ft 3
y d1 = 0.079 ft 3 ing in tandem to compact an engineered fill. Rollers are
available in various sizes and weights. Roller weights can be
For test #2:
varied somewhat by filling the drums or body with fluid or
sand. The type of roller used depends on soil characteristics,
Vol = 7·25I b = 0.063 ft3 maneuvering space, intended function of the soil, and eco-
2 114.5 lb/ft3 nomic considerations. Table 7.31 summarizes commonly
W2 = 8.4 5 - 7.4 1X100 = 14.0% (7.30) used compaction equipment and methods.
7.41
7.41 lb 7.3.9. Ground Improvement Methods
rd 2 = _
0 063 tt 3 117.6 lb/tt3 Numerous ground improvement techniques have been
developed and/or perfected in the last half century. Geo-
The results show that compaction in the area of test #1 technical engineers have found new ways to compensate for
does not meet specifications. The moisture content is less less than desirable subsurface conditions and for continued
than 2% of optimum and the unit weight is less than 95% redevelopment of urban areas. This rapid growth and use
MDD. Test #2 meets the compaction requirements. of ground improvement techniques has been fueled by the
Compaction Equipment. In the laboratory, soil type and increasing need to develop marginal land and develop cost-
moisture content are the main factors affecting maximum effective solutions for land development and redevelopment
density. However, in the field other factors, which cannot applications.

FIG uRE 7. 3 T Vibratory and sheepsfoot rollers.

 TA BLE 7. 3 L Compaction Equipment and Methods
REQUIREMENTS FOR COMPACTION OF 95% TO 100% STANDARD PROCTOR MAXIMUM DENSITY
EQUIPMENT COMPACTED LIFT PASSES OR
TYPE APPLICABILITY THICKNESS, INCHES COVERAGES DIMENSIONS AND WEIGHT OF EQUIPMENT p

Sheepsfoot For fine-grained soils or 6 4-6 passes for Soil type Foot contact Foot contact F
rollers dirty coarse-grained soils fine-grained soil; area, in 2 pressures, lb/in 2 fi
with more than 20% pass- 6-8 passes for le
Fine-grained soil Pl> 30 5-12 250-500
ing the No. 200 sieve. Not coarse-grained soil 0
suitable for clean coarse- Fine-grained soil Pl< 30 7-14 200-400 s
grained soils. Particularly d
Coarse-grained soil 10-14 150-250
appropriate for compaction Ii
of impervious zone for earth Efficient compaction of soils wet of optimum requires less t,
dam or linings where bond- contact pressures than the same soils at lower moisture a
ing of lifts is important. contents. 0

Rubber tire For clean, coarse-grained 10 3-5 coverages Tire inflation pressures of 60-80 lb/in 2 for clean granular V
rollers soils with 4%-8% passing material or base course and subgrade compaction. Wheel ti
the No. 200 sieve. For fine- load 18,000-25,000 lb. C
grained soils or well-graded, s
6-8 4-6 coverages Tire inflation pressure in excess of 65 lb/in 2 for fine-
dirty, coarse-grained soils e
grained soils of high plasticity. For uniform clean sands
with more than 8% passing h
or silty fine sands, use large-size tires with pressures of
the No. 200 sieve. d
40-50 lb/in 2.
I,
a
Smooth Appropriate for subgrade 8-12 4 coverages Tandem-type rollers for base course or subgrade 3
wheel or base course compaction compaction, 10-15 ton weight, 300-500 lb per lineal n
rollers of well-graded sand-gravel inch of width of rear roller e
mixtures. May be used for 2
fine-grained soils other than 6-8 6 coverages 3-wheel roller for compaction of fine-grained soil; e
in earth dams. Not suitable weights from 5-6 tons for materials of low plasticity 0
for clean well-graded sands to 10 tons for materials of high plasticity n
or silty uniform sands. s

....w
ca
 TABLE 7. 3 L Compaction Equipment and Methods (Continued)
REQUIREMENTS FOR COMPACTION OF 95% TO 100% STANDARD PROCTOR MAXIMUM DENSITY
EQUIPMENT COMPACTED LIFT PASSES OR
TYPE APPLICABILITY THICKNESS, INCHES COVERAGES DIMENSIONS AND WEIGHT OF EQUIPMENT p

Vibrating For coarse-grained soils 8-10 3 coverages Single pads or plates should weigh no less than V
baseplate with less than about 12% 200 lb. May be used in tandem where working space h
compactors passing the No. 200 sieve. is available. For clean coarse-grained soil, vibration s
Best suited for materials frequency should be no less than 1600 cycles/min. C
with 4%-8% passing ~
No. 200 sieve, placed s
thoroughly wet. ir
Crawler Best suited for coarse- 10-12 3-4 coverages No smaller than 08 tractor with blade, 34,500 lb weight, T
tractor grained soils with less than for high compaction
4%-8% passing No. 200
sieve, placed thoroughly
wet.
Power For difficult access, 4-6 in for silt 2 coverages 30 lb minimum weight. Considerable range is tolerable, V
tamper or trench backfill. Suitable for or clay, 6 in for depending on materials and conditions. 4
rammer all inorganic soils. coarse-grained
soils

Some of the ground improvement techniques available
today include
• Undercut and replace
• Vibro compaction/replacement
• Dynamic compaction
• Wick/band drains
• Lime and cement stabilization
• Geosynthetics
Ground improvement techniques described herein have
been successfully employed globally to facilitate construc-
tion on otherwise undesirable properties. These techniques
are briefly discussed so site engineers can offer potential
solutions to clients who would like to develop problematic
building sites.
Vibro Compaction/Replacement. Vibro compaction/
replacement has been used for over 50 years to reduce set-
tlement and improve bearing capacity on noncohesive soils
(Figure 7.3U). The addition of stone through special vibro-
replacement equipment allows improvement of weak ground
and poorly controlled man-made fills. Vibro techniques have
been successfully used on housing projects, warehouses, and
FIG uRE 7. 3 U Vi bro-replacement ground improvement method
using stone column.
7.3 ■ SOILS 741
light industrial structures (Moseley and Priebe: Ground
Improvement 1993).
Dynamic Compaction. Dynamic compaction, or occasion-
ally referred to as ground pounding, has increased consid-
erably in popularity and is a widely accepted technique for
improving weak soils, rubble fills, solid waste, collapsible soils,
and liquefiable soils. The simplicity and economic benefits of
dynamic compaction have made it an attractive alternative to
preloading, vibro techniques, or deep foundation systems.
Dynamic compaction involves the systematic dropping of
large weights onto the ground surface to compress and con-
solidate weak or soft soil and rubble material. Heavy weights
of 5 to 20 tons falling from heights of 30 to 85 feet are typi-
cally used to improve the bearing capacity and reduce differ-
ential settlement of the underlying ground to depths of up to
30 feet or more (Mayne et al. 1984).
Dynamic compaction is most widely used to improve
primarily sandy materials and granular fills, but also has
been used to improve sites containing fine-grained soils
(Figure 7.3V). The degree of improvement varies with soil
type and groundwater depth.
Poor subsurface soil conditions including sites proposed
for office buildings, warehouses, townhouses, highways,
airports, and industrial sites have been successfully improved
using dynamic compaction.
Wick/Band Drains. Wick/band drains are used to acceler-
ate the consolidation of low permeability fine-grained soils.
Discussion of time rate consolidation earlier in this chapter
indicated that settlements of clayey soils were dependent
upon the dissipation of pore water out of the void spaces.
The faster the water can be squeezed out of the soil layer, the
faster the settlement will occur.
The installation of wick or band drains vertically into the
compressible layer on a predetermined spacing reduces the
flowpath length of the water and speeds up consolidation.
Wick/band drain installation is usually associated with
preloading or large fill projects where settlement times must
FIG uRE 7. 3 V Photo of dynamic compaction.
142 fatUhiii F·\,j,@,i:/iidf1,PLMH
FIG uRE 7. 3 W Wick drain installation.
be shortened to accommodate future construction or civil
projects such as highway approaches to bridge structures and
airport runways (Figure 7.3W).
Lime and Cement Stabilization. Lime and cement stabili-
zation are used where poor near surface soil conditions can
be economically altered through the introduction of lime
or cement. Soil stabilization with admixtures has been used
extensively in the highway construction field for many years.
Soil-Cement. The term commonly adopted from cement
stabilization research is a mixture Type I Portland cement
and soil. The use of soil-cement has proven to be very suc-
cessful for improving sandy and silty subgrade soils for
support of airfields, roadways, and large parking lots. The
addition of between 3% and 8% cement by weight is typical,
depending on the strength characteristics desired.
Lime Stabilization. Also referred to as lime modification
when smaller amounts of lime are utilized in an effective
method to alter the undesirable characteristics of highly plas-
tic clayey soils when used for subgrade support (Figure 7.3X).
Generally, stabilization techniques with hydrated lime are lik-
ened to those with cement. The difference, however, is that
lime is more effective with fine-grained soils having plasticity.
FIG uRE 7. 3 X Lime stabilization.
Separation
Geotextiles - - - - - - - - Cushioning
Filtrat i on
Geocomposites, Geonets _ _ _ _ _.......,__ Transmission
Geomembranes - - - - - - - - Isolation
FIG uRE 7. 3 Y Functions of major types of geosynthetics.
The addition of between 4% and 6% of hydrated lime by
weight is common for subgrade improvement.
Geosynthetics. Available since the 1960s, geosynthetics
have exploded within the engineering/construction mar-
ket over the last 20 years. Applications for geosynthetics are
rapidly expanding and will likely continue to gain popular-
ity as cost-effective alternatives to traditional construction
methods.
This industry includes product categories such as geogrids,
geotextiles, geocomposites, geonets, and geomembranes all
of which serve distinct and varied purposes (Figure 7.3Y).
Reinforcement-by adding tensile strength to the
soil geogrids and geotextiles can support horizontal
loads like those found in MSE walls and vertical loads
like those experienced beneath wheeled traffic loads
(Figure 7.32).
Separation-keeping two unlike or different materi-
als apart is accomplished through the use of geotextiles
(Figure 7.3AA).
Cushioning-provides separation and absorbs impact or
abrasive action which could damage critical membranes.
Common in ponds which are lined but require ballast to
hold down the liner (Figure 7.38B).
Filtration-allows water to pass unrestricted while
retaining soil or other materials. Common for trench
drains and erosion control measures (Figure 7.3CC).
Transmission- Drainage allows water or other fluids to
move along or within the geosynthetics. Geocompos-
ites/geonets used for a variety of applications. Common
uses include drainage behind walls and wick drains
(Figure 7.3DD).
Isolation-can be the retention of one fluid or the separa-
tion of two fluids. Geomembranes is landfills and pond
liners are examples of isolation products (Figure 7.3EE).
Common uses include
• Roadway subgrade stabilization
• Asphalt overlay support
• MSE wall reinforcement
• Filters and drains for roadways, walls, and trench
drains
 7.3 ■ SOILS 743

Supports a Planar Load

a)

Supports a Combination Planar and Normal Load

b)

FIG uRE 7. 3 Z Reinforcement function: (a) tensile member, (b) tensioned member.

Protects one material from

Prevents intermixing of Two Solids damage by another

FIG uRE 7. 3 AA Separation function. FIG uRE 7. 3 BB Cushioning function.

- -- -:>

- -- -> ----➔

~~ Wate r '' : : " f : F ~ G e o t e x t ile Filter

Medium
Retains soil but allows
water passage across Transmits fluids within its
it's own plane own plane

FIG uRE 7. 3 CC Filtration function. FIG uRE 7. 3 DD Transmission function.

144 fatUhiii F·\,j,@,i:/iidf1,PLMH
Prevents a fluid from intermixing
with other materials
FIG uRE 7. 3 EE Isolation function.
• Erosion control and silt fences
• Consolidation drains
• Impermeable liners
• Slope stability
7.3.10. Summary
It is paramount that the development team be aware of the
nature of subsurface conditions at the site. These conditions
will not only have an impact on how and where specific features
are constructed, but also will affect the cost to develop the site.
During the early stages of the design, subsurface informa-
tion obtained from existing data is often adequate to make
preliminary decisions about development of the site. This
information is also useful in the planning of the detailed
subsurface investigation. Results from the preliminary (or
desktop) investigation produce the information needed to
make decisions on whether to proceed with the project, or
abandon the site and seek another site altogether. If the proj-
ect proceeds, additional subsurface exploration is likely to be
required for design and construction purposes.
The site engineer must rely on the expertise of the geo-
technical engineer for recommendations pertaining to slopes
in cut and fill areas, acceptability of soils for dams and infil-
tration facilities, bearing capacity for foundations and pave-
ment designs, and the identification of problem soil condi-
tions that would affect the proposed development program.
7.3.11. List of Selected ASTM Testing Methods
Listed below are selected ASTM test methods that are com-
monly used during a geotechnical investigation. Detail pro-
cedures of these and other test can be found on the ASTM
website (www.ASTM.org).
• ASTM D-422 Particle-Size Analysis of Soils
• ASTM D-423 Standard Test for Liquid Limit of Soils
• ASTM D-424 Standard Test Method for Plastic
Limit and Plasticity Index of Soils
• ASTM D-698 Standard Test for Moisture-Density
Relations of Soils and Soil Aggregate Mixtures Using
5.5-Pound Rammer and 12-Inch Drop
• ASTM D-1140 Standard Test Method for Amount of
Material in Soils Finer Than The No. 200 (75 µm) Sieve
• ASTM D-1452 Standard Practice for Soil Investiga-
tion and Sampling by Auger Boring
• ASTM D-1556 Standard Test Method for Density
of Soil in Place by the Sand-Cone Method
• ASTM D-1557 Standard Test Methods for Moisture-
Density Relations of Soils and Soil-Aggregate Mix-
tures Using IO-Pound Rammer and 18-Inch Drop
• ASTM D-1587 Standard Practice for Thin-Walled
Tube Sampling of Soils for Geotechnical Purposes
• ASTM D-1883 Bearing Ratio ofLaboratory-
Compacted Soils
• ASTM D-2166 Unconfined Compressive Strength
of Cohesive Soil
• ASTM D-2167 Density of Soil in Place by the Rubber
Balloon Method
• ASTM D-2487 Classification of Soils For Engineering
Purposes
• ASTM D-2434 Standard Test Method for Perme-
ability of Granular Soils (Constant Head)
• ASTM D-2435 Standard Test Methods for One-
Dimensional Consolidation Properties of Soils Using
Incremental Loading
• ASTM D-2573 Standard Test Method for Field
Vane Shear Test in Cohesive Soil
• ASTM D-2850 Unconsolidated, Undrained
Strength of Cohesive Soils in Triaxial Compression
• ASTM D-3080 Direct Shear Test of Soils Under
Consolidated Drained Conditions
• ASTM D-3282 Classification of Soils and Soil-
Aggregate mixtures for Highway Construction
Purposes
• ASTM D-6151 Standard Practice for Using
Hollow-Stem Augers for Geotechnical Exploration
and Soil Sampling
REFERENCES
Hazen, A. 1911. Discussion of "Dams on Sand Foundations" by
A.C. Koenig. Transactions of American Society of Civil Engineers
73:199-203.
Mayne, et al. 1984. Journal of Geotechnical Engineering 110:6
(June 1984).
McKittrick, D. 1979. Design, Construction, Technology, and Perfor-
mance of Reinforced Earth Structures. Proceedings, Symposium
on Earth Reinforcement, American Society of Civil Engineers.
Mitchell, J.K., W.C.B. Villet, and A.F. DiMillo. December 1984. Soil
Reinforcement for Stabilization ofEarth Slopes and Embankments.
Public Roads 48(3): 88-95. U.S. Department of Transportation.
Moseley, M.P. 1993. Ground Improvement 1993; https://trove.nla
.gov.au/work/20894997?q&versionld=46588645.
Winterkorn, Hans Friedrich, and Hsai-Yang Fang. 1975. Founda-
tion Engineering Handbook. New York: Van Nostrand Reinhold.
 CHAPTER 7.4
FLOODPLAIN STUDIES
7.4.1. Introduction
Historically, development has occurred near the water,
whether it was a navigable stream or a coastline, for recre-
ation or for commerce. Although the benefits of being on
the water are numerous, the potential problems also exist.
Floodplain studies are used to understand and communi-
cate the risk of being near the water. These studies are valu-
able to a wide variety of users-the building community
so they can properly design for and mitigate flood risks,
the regulatory community so they can develop proper ordi-
nances and enforce proper building codes, and the public
so they can understand the risks ofliving and working near
water bodies.
Changing land use such as developing vacant land into
commercial use inevitably results in a decrease in pervious
surface and an increase in impervious surface. This change
in basin imperviousness results in increased degradation of
surface water quality, runoff volumes, flow rates, and, often,
the frequency of flooding events. Low-impact development
(LID) attempts to minimize this change, but floodplains
may still be impacted by new development. To accommo-
date the increased runoff, conventional systems consisting
of curb and gutter, storm sewer, ditches, and paved chan-
nels are developed to safely convey the runoff through the
basin. These systems directly increase flow velocity and
decrease the basin time of concentration resulting in higher
peak flow rates.
In a typical moderately developed watershed, the
increase in peak discharge could be from two to five times
higher than pre-developed conditions. The volume of
runoff can be increased by as much as 50%, and the time
of concentration may be decreased by an even greater
percentage. Although such effects from one site may seem
inconsequential, the collective effects of numerous sites,
throughout the watershed, can have substantial impact
on the anticipated flood elevation, especially in the lower
reaches of a watershed.
7.4.2. Updates to the National Flood Insurance Program
As introduced in Chapter 2.5, one of the primary tools
in administering the National Flood Insurance Program
(NFIP) is the flood hazard map that identifies flood-prone
areas, called Flood Insurance Rate Map (FIRM).
Flood Map Revisions. Federal Emergency Management
Agency's (FEMA) inventory of flood maps contains over
100,000 map panels that cover most of the flood-prone areas
in the nation. Maintaining these maps is an enormous
challenge. Development and other man-induced and natural
changes are constantly altering the floodplains throughout
all areas of the country. FEMA conducts flood studies rou-
tinely in an effort to keep its maps updated. However, given
its limited resources and the pace of the changes, FEMA is
unable to conduct detailed studies of every area in need.
Consequently, FEMA has established several different meth-
ods of amending and revising their flood maps, as described
below.
Community and Property Owner-Initiated Amendments
and Revisions.
Letter ofMap Revision. Often, the NFIP maps require revi-
sion to reflect alterations to the floodplain caused by construc-
tion or improvements (e.g., bridge, channelization, culvert,
retention pond, etc.), to map previously unmapped flood-
plains, or to reflect newer or better data (e.g., newer topo-
graphic data). A community may request that the maps be
revised to reflect such changes by providing technical data to
support the revision. If the changes are not extensive enough
to warrant republishing of entire map panels, a Letter of Map
Revision (LOMR) may be issued. A LOMR is a form letter
that describes the change and contains an attachment showing
the revised area. Because the community must adopt changes
and revisions to the maps in their local floodplain ordinances,
all such LOMR requests must be submitted by, or with the
approval of, the community CEO. If a project is proposed that
will impact the flood data on the FIRMs, but it has not yet
745
74& fatUhiii F·\,j,@,i:/iidf1,PLMH
been built, a conditional LOMR (CLOMR) may be requested.
A CLOMR is simply a letter from FEMA stating whether a
project, if built as proposed, will warrant a revision to the map.
Some municipalities require a CLOMR to be obtained prior
to approval of the project to ensure that the changes to the
FEMA technical requirements can be met and the maps can
be approved via a LOMR once the project is complete.
Letters of Map Amendment and Letters of Map Revision
Based on Fill. Although NFIP maps are prepared using
the best available topographic maps at the time they are pre-
pared, due to limitations of scale and topographic definition,
a property may appear to be in a special flood hazard area
(SFHA) even though it is actually above the 100-year flood
elevation. If no fill 1 has been used to elevate the property or
structure, the property owner or lessee may submit a request
to FEMA requesting a Letter of Map Amendment (LOMA).
A LOMA is a letter from FEMA stating that the property/
structure is not in the SFHA.
To obtain a LOMA, the requestor must submit survey or
topographic data certified by a registered land surveyor or
professional engineer to FEMA certifying that the lowest
ground elevation adjacent to the structure (lowest adjacent
grade or "LAG") or lowest elevation on the property is above
the BFE. If the property is located in an SFHA for which no
BFEs have been determined (e.g., floodplains designated as
Zone A), FEMA will assist the requestor in calculating the
base flood elevation (BFE) for that location. Upon review
and acceptance of the data, FEMA will issue a LOMA that
officially removes the property or structure from the SFHA.
If a property is located within the boundaries of an SFHA,
but has been elevated above the BFE by fill, the property
owner may submit certified survey or topographic data to
FEMA to request a Letter of Map Revision Based on Fill
(LOMR-F) removing the property from the SFHA. The sub-
mission must show that both the LAG and the lowest floor
(including basement/crawlspace) are above the BFE. Fill
used for structural support must meet specific engineering
criteria for erosion, stability, and compaction. LOMR-Fs are
not permitted in coastal SFHAs designated as V-Zones.
It is important to note that the FEMA maps are not
revised or republished when a LOMA or LOMR-F is issued,
and these letters do not affect the SFHA delineation or any
other features of the NFIP map. Unlike LOMRs, LOMAs and
LOMR-Fs are simply letters stating whether a given property
is in or out of the SFHA. When issued, LOMAs and LOMR-
Fs are sent to the requestor, and a copy is sent to the local
community. Copies of all Letters of Map Change (LOMCs)
(LOMRs, CLOMRs, LOMAs, and LOMR-Fs) can be obtained
from FEMA'.s Map Service Center (www.msc.fema.gov).
Studies and Restudies. When new FIRMs need to be cre-
ated, or updates are warranted that are too large to be done
through the LOMR process (e.g., greater than one panel),
1"Fill"
is defined to include any earthen material used to raise the ground elevation and
includes both structural and nonstructural fills.
FEMA will perform a new flood study. FEMA'.s flood study
process consists of a number of major tasks:
Scoping: FEMA, the community, and other key stake-
holders meet to plan the flood study.
Data collection: The collection of topographic, planimet-
ric, engineering, and other required data.
Engineering analysis: Hydrologic and hydraulic analyses
using state-of-the-art computer models.
FIRM production: Production of maps and associated
products, including the Flood Insurance Study (FIS)
report and Digital Flood Insurance Rate Map (DFIRM)
database.
Preliminary issuance and appeal period: FEMA issues
draft or "preliminary" maps to the community and holds
a 90-day appeal period during which the public may
appeal or protest the maps.
Compliance period and final issuance: Upon resolution
of any appeals or protests, the community is given
6 months to update their local ordinances to reference
the new/updated maps. At the end of this 6-month
period, the maps become the final "effective'' FIRMs for
the community.
Traditionally, FEMA used its own contractors to perform
flood studies. However, recently, in addition to using their
own contractors, FEMA has been partnering with states
and large municipalities that have the technical capabilities
to assist FEMA with the creation or update of the FIRMs.
Under FEMA'.s Cooperating Technical Partner (CTP) pro-
gram, a state or community enters into a written agreement
with FEMA that specifies the tasks they are responsible for,
as well as funding and schedule requirements. A CTP's level
of participation can vary, with their contributions ranging
from performing a very limited role such as assisting in col-
lecting existing data, to performing all aspects of the FIRM
creation/update process.
7.4.3. Preparing a Floodplain Study
To ensure that the studies and restudies meet the minimum
standards required by FEMA, certain technical methods have
been reviewed and accepted by FEMA. These methods include
hydrologic and hydraulic models and computation methods
used in the detailed engineering analyses conducted as part
of most studies/restudies. Because FEMA occasionally reviews
and approves new models and methods and updates existing
models and methods, FEMA'.s website should be consulted to
obtain the most up-to-date list of approved models.
When performing a flood study, one should be aware
that some communities have more stringent requirements
than FEMA and/or require specific technical methods due
to local conditions. Therefore, it is imperative that anyone
performing a flood study should be familiar with local regu-
lations and policies.

Hydrologic Analysis. A hydrologic analysis is performed
in order to estimate the flood discharge at a location along
the flooding source. The first step in performing a hydro-
logic analysis should be to determine if there is a stream gage
on the stream in question. If a stream gage is available, a sta-
tistical analysis of the gage data generally provides the best
estimate of the design storm discharge.
Often in the land development process, however, the
drainage areas of the flooding sources in question are rela-
tively small (less than 1 square mile) and not gaged. In trying
to determine the flood discharge for an ungaged stream, sev-
eral techniques can be employed. Often, more than one tech-
nique will be utilized in order to support the results. These
techniques can be broken down into two categories, namely
Regression Equations and Rainfall-Runoff Modeling. Fed-
eral, state, and local ordinance should be consulted to deter-
mine which technique is approved for use in the jurisdiction.
Regression Equations. The land development engineer
should once again determine if any federal, state, or local
agency has established flood discharges previously for the
ungaged stream under consideration or should check the
FEMA's effective FIS. In the absence of such an analysis,
the land development engineer can use the regression equa-
tions presented in the most recent regional flood flow fre-
quency report, published by the U.S. Geological Survey
(USGS). These reports are generally available on a statewide
basis and provide simple equations that frequently require only
a few easily obtainable parameters, such as watershed area and
mean annual precipitation. Caution should be exercised when
applying these equations, for there are limitations to the size
and condition of the watershed to which they are applicable
and they typically have a wide range of standard errors.
Rainfall-Runoff Modeling. Where USGS regional flood
flow frequency reports have not been developed or are
not applicable due to either rapid watershed development,
storage, or stream regulation, the land development engineer
can develop a rainfall-runoff model using models such as
HEC-HMS or TR-20.
Regardless of method, often, incremental changes to the
flow discharges may need to be calculated along the stream
reach, particularly for large project areas where the discharge
changes significantly from the upstream limit to the down-
stream limit. This occurs where tributaries or storm sewers
discharge, or where the drainage area increases significantly,
within the project area.
Hydraulic Analysis. The basic data necessary to perform
the required hydraulic analysis includes study limits, topo-
graphic mapping, flow discharges (determined from hydro-
logic analysis, as discussed in the preceding section), cross
sections, and Manning's n values. Once the study limits
have been determined, some additional distance upstream
and downstream should also be included in the study to
ensure that the appropriate reach is covered and to account
for downstream and upstream impacts. The topographic
mapping should be used to lay out the limits and to inves-
tigate the stream upstream and downstream of the section
7.4 ■ FLOODPLAIN STUDIES 747
to be modeled. The limits should be set such that no hydrau-
lic control sections in the floodplain occur near the limits,
such as a severe constriction, a bridge, or a weir, that will
have a significant impact on the reach being modeled.
Flood elevations for riverine areas are normally deter-
mined by step-backwater computation models, like HEC-RAS,
WSPRO, or WSP-2. The most common is the USACE
HEC-RAS program, although the land development engi-
neer should consult the local regulations to determine which
of the noted programs is acceptable for use.
Step-backwater models compute results such as flood
depth, width, velocity, etc., at cross sections placed intermit-
tently along the stream. These results are then interpolated
between the cross sections. The selection of cross-section
locations is therefore a very important step in setting up a
floodplain model. The topographic map should be used in
conjunction with field information to determine the best
locations for cross sections. Cross sections should be located
at points along the stream where the shape of the section
changes, where the slope of the stream changes, at bends in
the stream, and at locations where the floodplain conditions
otherwise change from the conditions up- or downstream.
Consideration should be taken of the entire floodplain, not
just the channel portion, when locating cross sections. In addi-
tion, cross sections should be located up- and downstream
of bridges and culverts and downstream of tributary inflows
where the cumulative flow should be adjusted. Cross sec-
tions should also be placed at locations where conditions may
change due to the land development project or at locations
where floodplain elevations are desired for a specific purpose.
Note, local regulations may dictate a maximum allowable dis-
tance between cross sections for a floodplain study.
At each cross-section location, the cross-section geometry
is required. This may be determined from a topographic map,
if the map provides an acceptable level of detail for the study.
Often, field surveys will be required to obtain the cross-section
geometry necessary for a floodplain study. Using a greater
number of cross sections will increase the level of detail of
the study, but it will also increase costs for data collection and
modeling. Also, a greater level of detail in cross sections may
be unwarranted if other aspects of the study have a greater
level of uncertainty. For example, increasing the number of
cross sections won't improve the results if the flow discharges
are questionable. Therefore, considerable judgment must be
used in selecting cross-section locations.
Roughness coefficients must be determined for each
reach of stream. Most floodplain models use Manning's n
values to estimate the roughness of the stream channel and
overbanks. Selection of n values is very important because
of the influence of roughness on water surface elevations.
Furthermore, n value selection is the one parameter that
cannot simply be measured in the field but instead must
be determined largely from engineering judgment. Proper
selection of n values will provide a greater level of confidence
in the floodplain model. Manning's n values for several types
of channels are presented in Table 7.4A.
 TA BL E 7. 4 A Values of the Roughness Coefficient n
TYPE OF CHANNEL AND DESCRIPTION MINIMUM NORMAL MAXIMUM TYPE OF CHANNEL AND DESCRIPTION

Excavated or dredged 7. Sluggish reaches, weedy, deep pools

a. Earth, straight and uniform 8. Very weedy reaches, deep pools, or
1. Clean, recently completed 0.016 0.018 0.020 floodways with heavy stand of timber an
2. Clean, after weathering 0.018 0.022 0.025 underbrush
3. Gravel, uniform section, clean 0.022 0.025 0.030 b. Mountain streams, no vegetation in chanrn
4. With short grass, few weeds 0.022 0.027 0.033 brush along banks submerged at high sta~
b. Earth, winding and sluggish 1. Bottom: gravels, cobbles, and few boulde
1. No vegetation 0.023 0.025 0.030 2. Bottom: cobbles with large boulders
2. Grass, some weeds 0.025 0.030 0.033 2. Floodplains
3. Dense weeds or aquatic plants in deep 0.030 0.035 0.040 a. Pasture, no brush
channels 1. Short grass
4. Earth bottom and rubble sides 0.028 0.030 0.035 2. High grass
5. Stony bottom and weedy banks 0.025 0.035 0.040 b. Cultivated areas
6. Cobble bottom and clean sides 0.030 0.040 0.050 1. No crop
c. Dragline-excavated or dredged 2. Mature row crops
1. No vegetation 0.025 0.028 0.033 3. Mature field crops
2. Light brush on banks 0.035 0.050 0.060 c. Brush
d. Rock cuts 1. Scattered brush, heavy weeds
1. Smooth and uniform 0.025 0.035 0.040 2. Light brush and trees, in winter
2. Jagged and irregular 0.035 0.040 0.050 3. Light brush and trees, in summer
e. Channels not maintained, weeds and brush uncut 4. Medium to dense brush, in winter
1. Dense weeds, high as flow depth 0.050 0.080 0.120 5. Medium to dense brush, in summer
2. Clean bottom, brush on sides 0.040 0.050 0.080 d. Trees
3. Same, highest stage of flow 0.045 0.070 0.110 1. Dense willows, summer, straight
4. Dense brush, high stage 0.080 0.100 0.140 2. Cleared land with tree stumps, no sprou
Natural streams 3. Same as above, but with heavy growth c
1. Minor streams (top width at flood stage <100 ft) sprouts
a. Streams on plain 4. Heavy stand of timber, a few down trees
1. Clean, straight, full stage, no rifts or deep 0.025 0.030 0.033 little undergrowth, flood stage below
pools branches
2. Same as above, but more stones and weeds 0.030 0.035 0.040 5. Same as above, but with flood stage
3. Clean, winding, some pools and shoals 0.033 0.040 0.045 reaching branches
4. Same as above, but some weeds and stones 0.035 0.045 0.050 3. Major streams (top width at flood stage> 100
5. Same as above, lower stages, more ineffective 0.040 0.048 0.055 minor streams of similar description, because
slopes and sections a. Regular section with no boulders or brush
6. Same as 4, but more stones 0.045 0.050 0.060 b. Irregular and rough section
Source: Courtesy of Chow, V.T. 1959. Open-Channel Hydraulics. New York: McGraw-Hill. Reproduced with permission of McGraw-Hill, Inc.

With Geographic Information Systems (GIS), many
hydraulic and hydrologic models steps are done in an auto-
mated or semi-automated manner. Many popular hydrologic
and hydraulic models have been GIS-enabled, including the
USACE HEC-HMS and HEC-RAS models. GIS allows the
user to collect, view, and process spatial data, including the
input and output model parameters. It allows the results of
these models to be mapped using digital elevation models
(DEMs), as well as permits the use of a wide variety of visu-
alization tools. Many communities have GIS capabilities,
which allow floodplain data results to be combined with a
wide variety of local data sets, such as tax and parcel data,
permitting data, etc.
Special Considerations. The preceding section applies
primarily to floodplain analysis for typical riverine situa-
tions. While this comprises the most common floodplain
study situation, floodplains also exist in coastal areas that
require the use of other specialized models and method-
ologies. Similarly, other special situations, such as ice jams,
closed basin lakes, and alluvial fans, also require very spe-
cialized models and methods. These situations are out-
side the scope of this handbook. If a project is in a coastal
area or involves other special considerations, it is recom-
mended that the local authorities and FEMA be consulted
on the accepted methods for evaluating and mapping these
flood hazards.
Preparation of Deliverables. While the final deliver-
ables for a flood study are dictated by the needs of the
project and client, common flood study products include
the following:
1. A plan view of the stream being studied, usually on
a topographic base, with the floodplain boundaries
delineated along the stream
2. A profile (longitudinal cross section) of the stream,
with the stream invert elevations and flood eleva-
tions delineated
7.4 ■ FLOODPLAIN STUDIES 749
3. Technical documentation regarding the determina-
tion of the floodplain elevations and limits
4. Professional certification of base mapping or survey
This documentation may include calculations and/or
computer modeling inputs, parameters and results, a writ-
ten description of the methods used, sources of data, special
or unusual items that affected the modeling, assumptions
made, and limitations of the model.
Figure 7.4A shows a typical plan and profile sheet for a
flood study. If a floodplain study is prepared to determine
and document the changes to flood elevations or floodplain
boundaries due to a development project, both pre-developed
and post-developed floodplains should be presented. If a
floodway is required, the floodway boundaries should also
be presented. A typical plan and profile sheet of a floodplain
study should include the following information:
• Cross-section location, orientation, and numbering
• Floodplain and floodway boundaries
• Water surface profiles
• Water surface elevations
• Locations of bridges and culverts
• Locations of incoming tributaries
• Floodplain tie-in to existing floodplains on tributaries
• Location and elevation of any critical structures
within or near the floodplain
If the flood study is to be submitted as a request to FEMA
to revise a FIRM (e.g., a LOMR), there are specific forms that
are also required. These forms, referred to as MT-2 forms,
can be found on the FEMA website. Also, if a flood study is
done for FEMA or its partners for the purposes of creating or
revising a FIRM, it must comply with FEMA's Guidelines and
Specifications for Flood Hazard Mapping Partners.
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FIGURE 7 ,4A Typical plan profile sheet for a floodplain study.

 CHAPTER 7.5
STREAM RESTORATION
7.5.1. Introduction
Stream systems, which are complex and dynamic, form in
response to conditions within the watershed. Changes in
the land use, water use and channel characteristics affect the
peak flow rates, duration, and volume of stream flow, which
impacts sediment transport and stream stability. In a natu -
ral process, streams will tend toward a dynamic stability by
responding to changes in the system through adjustment of
the stream geometry and sediment transport.
In the absence of natural or man -made controls, altera -
tions in the watershed or within a stream can result in the
stream becoming unstable as it adjusts to the changes. The
tendency toward dynamic stability can result in an imbalance
of the sediment transport capacity, excessive bank erosion,
and degradation or aggradation of the stream bed. Stream
instability can result in the loss of property, habitat (benthic,
aquatic, and riparian), and infrastructure. Water quality
can be adversely affected by the production of excess sedi-
ment. Sediment is considered a pollutant because its volume
reduces stream and lake capacities; it can cause high turbid-
ity; and other pollutants can be absorbed by or attached to
the soil particles so it is transported along with the sediment.
A variety of measures can be used to stabilize a stream.
Long-term stability can be provided by hardening the
stream bed and banks. Hardening measures include con-
crete, riprap and wire baskets (gabions). These stabilization
measures confine the stream and do not allow adjustment.
Hardening of the stream does not provide habitat enhance-
ment and can create problems elsewhere in the stream sys-
tem that need to be evaluated.
The goal of stream restoration and rehabilitation is pro-
vide dynamic stability that allows the stream to change over
time but maintain its geometric relationships. Both resto-
ration and rehabilitation reestablish the general structure,
function and dynamic behavior of the stream. Although nei-
ther restoration nor rehabilitation returns the stream system
to its condition prior to disturbance, restoration is a holistic
approach where both the stream and watershed are consid-
ered. Rehabilitation actions are focused on the stream and
riparian areas (FISRWG, 1998). Stream restoration, reha-
bilitation and stabilization are often used interchangeably.
Discussion in this chapter focuses on the elements of stream
stability, which is a balance of cross section, profile, and plan
form to transport sediment and water without the net long-
term deposition or erosion of either the bed or banks within
a stream reach (Fischenich, 2000).
7.5.2. Project Goals
There are a variety of reasons to initiate a stream restoration
project. The most common factors that require stream res-
toration are loss of property, damage to infrastructure, loss
of habitat, decreased habitat diversity, excessive sediment
deposition, safety, or even aesthetics. Whatever the impetus
for the stream restoration project, specific and realistic goals
must be established to ensure that they can be achieved. Dis-
cussion of the expectations and goals must occur early in
the process and must include identification and inclusion of
the potential stakeholders. At a minimum, stakeholders will
include the client, regulatory and permitting agencies (local,
state, and federal), design team, and property owners. Addi-
tional stakeholders could include utilities, transportation
agencies, environmental organizations, and citizen groups.
In developing the goals of the project, consideration must be
given to the cost-effectiveness of the project, whether the project
fits within the budget, attainability of permits needed to allow
construction, site conditions that could negatively impact con-
struction, acceptable level of risk should the project fail, and sup-
port of the stakeholders for the project. Typical goals of a stream
restoration project may include one or more of the following:
• Provide stability to stream
• Restore aquatic and benthic habitat
751
152 fatUhiii F·\,j,@,i:/iidf1,PLMH
• Adequacy of stormwater outfalls
• Establish and expand riparian cover using native
plant materials
• Improve stream temperature conditions
• Add to riffle/pool complexity
• Improve meander patterns
• Reduce sediment loads
• Increase groundwater level
• Enhance aesthetics or provide a site amenity
Figure 7.SA depicts a stream before restoration efforts
occurred and after the restoration work was completed.
Stakeholder input will be used to establish and refine the
goals and objectives of the project. Because not all stakehold-
ers will be familiar with the components of stream restoration,
an educational component may be useful. An educational
component can help to avoid potential misunderstanding. For
example, stream restoration plantings may have a "too natural"
appearance. It may be necessary to adjust the planting plan to
suit individual taste. Raising the groundwater level may lead to
complaints of wet yards. The educational component should
include field visits to the project site, to other restoration proj-
ects under construction, and to completed projects.
FI GuRE 7 .5A Stream restoration photos before/after. (Photo courtesy
of Paul Makowski.)
There may be stakeholders who will oppose one or
more goals or even the project itself. A frequent objection
to stream restoration projects is the degree of disruption to
the environment that will occur. The loss of, or damage to,
mature trees is a frequent concern as are temporary aquatic
impacts related to construction activities. The concerns of
the stakeholders must be adequately addressed by members
of the design team. The goals of the restoration project may
need to be modified to address stakeholder concerns. How-
ever, the project must also meet the original objectives to be
considered viable. Monitoring of the site during and follow-
ing construction can be used to assess the effectiveness of the
measures used to control potential collateral impacts.
7.5.3. Design Approach
Restoration measures are designed to return dynamic stabil-
ity and environmental function to the streams. These mea-
sures tend to be self-maintaining because they have been
developed to work with the stream, but are not necessarily
maintenance free. To achieve dynamic stability, the design
approach is to provide a geometry (cross section, profile, and
plan form) that the stream will tend to reach. Restoration
measures include bioengineering (vegetation), stream shap-
ing and realignment, and revetments (grade control mea-
sures and redirective techniques). The methods to be used
for stream restoration must be selected based upon the fol-
lowing considerations:
• Stated project objectives
• Technically sound design
• Desired level of protection
• Risk of failure
• Cost-effectiveness
• Durability
• Required permits
• Constructability
• Construction budget
The initial step in the design is to gather available infor-
mation from existing sources. Available data can include
mapping (topographic, land use, soils, geologic and prop-
erty boundaries), aerial photographs, watershed studies or
plans, Flood Insurance Studies, and stream gage informa-
tion. Much of the information may be available in a GIS for-
mat, which can facilitate the review process. After reviewing
the data, a site assessment must be conducted. During the
site assessment, the entire segment of stream to be restored
should be observed; preferably from within the channel. In
addition, the overbank areas on either side of the stream
need to be observed. Elements to be observed during the
site assessment should include areas of stability and instabil-
ity, natural or man-made controls, indications of previous
stabilization or alteration, and potential constraints. Possible

constraints to the proposed restoration may include utili-
ties, private property, buildings, roadways, wetlands, unique
vegetation or habitat, or significant trees. Field observa-
tions should be photographed and their location recorded
on a site map. To obtain a more complete understanding
of the stream segment to be restored, the stream upstream
and downstream of project should also be observed. The
distance to be observed can vary depending on the stream
characteristics but should include a minimum of two mean-
der wavelengths or 20 to 30 times the stream width.
Depending on the quality and age of the topographic
information, an engineering survey may be needed to pro-
vide or supplement the required information. The survey
should include potential constraints, geomorphologic char-
acteristics (described below) and permit-related information.
The site assessment will include collection of detailed
information required to evaluate the existing conditions
based on the stream's geomorphologic characteristics. These
characteristics will include the following:
• Profile elevations
o Thalweg (the line connecting the lowest points
along the stream bed)
o Edge of water
o Bankfull
o Floodplain, top of bank or terrace
o Pool and riffle
o Valley
• Plan view
o Sinuosity
o Meander geometry
• Cross section
o Bankfull width
o Bankfull elevation
o Floodplain, top of bank or terrace elevation
o Flood prone width
o Flood prone elevation
• Channel material
o Bed
o Bank
o Bar
A reference condition, which has similar geomorphologic
characteristics to the proposed restoration, can be used as a
design template for the proposed design. The reference condi-
tion can be found either in a stable reach along the stream to
be restored or in a neighboring stream that shares hydrologic,
geologic, geomorphologic, and physiographic characteristics
7.5 ■ STREAM RESTORATION 753
(FISRWG 1998). Published literature may contain informa-
tion that can be used to establish reference conditions. The
reference condition will be used to develop the profile, plan
and cross-section relationships for the proposed design.
The design process will include the development of the flow
rates for the stream. Flow rates can be obtained from previous
studies or developed from regional regression equations,
analysis of historical stream flow data, and hydrologic
modeling. For comparison, flow rates should be developed
using more than one method. The design flow rate is related to
the degree of protection that is required and the acceptable level
of risk of failure. Usually a range of flow rates are developed
and evaluated. Typical flow rates correspond to storms with
return intervals of 1, 2, 5, 10, 25, 50, and 100 years. The 100-
year flow rate is related to FEM.A'.s Flood Insurance Program
and must be used in a hydraulic model, such as HEC-RAS
(USACE) to assess whether the proposed stream restoration
measures would have any effect on the water surface elevation
and ensure that there were no adverse impacts to roadways,
bridges, buildings, or property. The restoration can impact
the water surface elevation by increasing the roughness,
decreasing the slope or cross-sectional area, or raising the
profile of the stream relative to the overbank area.
The bankfull flow rate is used to represent the flow rate that
shapes the stream. In natural streams, the 2-year flow rate is
used as the bankfull discharge in the eastern half of the United
States. However, flow rates corresponding to return frequencies
ofbetween 1 and 10 years may be appropriate (USACE, 1994).
Rosgen and Silvey (1996) reference the bankfull discharge as
having a return frequency of 1.5 years. It was also observed
that, from moderately developed watersheds, bankfull occurs
as frequently as three to four times per year (Schueler, 1987).
The bankfull stage can be estimated through field methods
(Rosgen and Silvey, 1996). However, incised streams that are
not in dynamic equilibrium will not have reliable indicators of
the bankfull stage. Having multiple bankfull elevations along
the profile of the stream will allow various flow rates to be used
in the hydraulic model to estimate a flow rate that best repre-
sents the bankfull flow rate. The estimated flow should then
be compared to published bankfull flow rates appropriate for
the level of development in the watershed. Hydrologic mod-
els such as HEC-HMS (USACE) allow a variety of land use
scenarios to be developed for the watershed. For example, a
hydrologic model could be used estimate flow rates associated
with the present, future, or some other stage of development,
which can be used for the restoration design.
Dynamic stability is a function of stream geometry, sedi-
ment load, flow rate, and bed and bank materials. Therefore,
it is necessary to develop an understanding of the sediment
stability as part of the restoration. The size distribution of
sediment can be obtained using particle count or by collecting
sediment samples and conducting a particle size analysis. The
sediment should be characterized at multiple locations along
the section to be restored taking care to collect samples at rif-
fles and pools. Sediment stability is assessed by comparing the
critical shear stress of the sediment to the shear of the flow
in the stream. The critical shear stress of the sediment is that
154 fatUhiii F·\,j,@,i:/iidf1,PLMH
when exceeded by the shear stress produced by the stream,
movement of sediment will occur. Hydraulic models such as
HEC-RAS calculate the shear stress produced by the stream.
Because the stream will need to remain stable throughout a
range of flow rates, additional bank and bed protection mea-
sures may be necessary.
Protection of the stream bed and profile is provided by
grade control structures, which are divided into two catego-
ries. Bed control structures provide hardened points to resist
erosion. Hydraulic control structures reduce the energy
slope by providing a stable drop.
Bank protection practices are divided into three categories.
Bioengineering is a vegetative method that stabilizes the bank
by providing a root system that binds soil particles, which
increases the shear strength of the bank The vegetation also
reduces the flow velocity acting against the soil. When using
bioengineering practices it is important to provide a stable toe
to prevent undercutting of the bank Redirective techniques
reduce the shear stresses against the stream bank by directing
the flow into the center of the channel. Redirective measures
frequently cause sediment deposition between the structures,
which adds to the protection of the stream bank Resistive
methods are structures constructed to resist shear stresses.
Resistive methods may cover the bank or be limited to the toe.
A partial list of potential bank and bed protection mea-
sures follows:
• Grade control
o Bed control structure
■ Rock cross vanes
■ Rock "W" -weirs
■ Rockweirs
■ Rock sills
o Hydraulic control
■ Drop structures
■ Log drops
■ Step pools
■ "V" log drops
■ Rock chutes
• Bank protection
o Bioengineering (see Chapter 5.7 for additional
information/ details)
■ Native plant material
■ Natural fiber matting
■ Live stakes
■ Natural fiber rolls
■ Live fascines
■ Live soil lifts
■ Brush mattresses
■ Branch layering
o Redirective
■ Rockvanes
■ "J"-hook vanes
■ Wing deflectors
■ Dikes
■ Logvanes
■ Bendway weirs
o Resistive
■ Brush bundles (cedar tree revetments)
■ Rootwads
■ Imbricated rock walls
■ Crib walls
■ Rock toe protection
■ Log bundles
■ Riprap
■ Gabions mattresses
■ Articulated concrete blocks
■ Interlocking concrete jacks
These bank and bed protection measures can either
be used alone (for small stabilization projects) or used in
combination. When selecting a method, the durability, per-
formance and environmental setting of the construction
material needs to be considered. Design will include a num-
ber of considerations such as sizing of the rock, specifica-
tion of the filter material, determining extent of coverage,
developing spacing of the structures, and establishing how
the structures are tied in to the soil interface to prevent ero-
sion. With respect to bioengineering practices, the surviv-
ability of the plant materials is enhanced by the use of native
vegetation. The native vegetation, which will have a natu-
ral appearance, also improves the aesthetics and habitat of
the area. Specifying native vegetation will ensure that the
plants are suited for hydrologic and temperature extremes,
animal foraging, insects and disease. To enhance the surviv-
ability of the plant material, irrigation may be required.
In some instances, it will be necessary to consider
incorporation of traditional engineering solutions into the
stream restoration design. For example, a drop inlet can be
used to lower a storm drain outfall to be compatible with
an incised channel. The drop inlet will dissipate the energy
of the storm drain and allow the redirection of the outlet so
that it is more closely oriented to the flow in the receiving
 7.5 ■ STREAM RESTORATION 755

Th e Virginia Str eam Restora ti on & The Vi rgi nia Stream Restoration &
Stabilization Bes t Man age m e nt P r ac tic es Guide Slabilizalion Best Management Practices Guide
DETAIL 1.3 : STACK ED STONE DETAIL 3 .H a): ROCK CROSS VANES
DEFINITION SKETCH ro~lde Elevat lon & Offset Seal All Str uc t ures. per Fig. 3.2 In
lntol"m atlon h Point s A, 8, C,0 St reams w/ Sand porti on I n the b-td
L'.'.l_
lf.l =Backfill Slope Angle (2h:1v Or Flatt er But 1/~ acr
10-ft
Max . H@lg ht
!I-JI Grea ter Than 5% )
Ol, =lnclinatlon Of Wall Fr om Horizon tal
(1h:6v To 1h:4vl
f- Width

Existin g Bankline
Topsoil (Depth Shall Be Sufficient
To Support Stabilizing Vegetation)
Rocks Shall Be Angu lar And Have A
Minim um Width Equal To 1/J The
Vertical Heig ht Of The Wall
De gree Of Setback Shall
De pend On Design Slope

Stream Bed
Invert

To e Riprap - See
Practice 1.5: Rock Filter Fabric
To e Reve tment
Below Scour Depth SECTION

Transition Using
Pradic:e 1. 7: Riprap Apated From CROSS SECTION
Milrylilnd's Waterway
PLAN Construction Guidelines ISource: Rosgen, 2001 !
CUDE CONTROL,
DECEMBER 2003 VIRGINIA DEPARTIHNT or CONSJ:RYATIOfl RECR!.I.TION SUUCTlFRES GUlllEl.f!t!.S
DEC!IIIBER 2'10:9 HICINl l lllPil'l ll U''T <IF C<l~lll.'U.TIOtl tl.CIE.f.'flDI

The Virginia Stream Restoratio n & The Virginia Stream Restoration &
Stabi l ization Best Management Practices Guide Stabilization Best Management Practices Guide
DETAIL 3.4(a): STEP POOLS DETAIL 4.1: ROCK VA NES
Seal All St r uctures pe r Fi g. 3.2 For
Strea ms w/ a Sa 11 d po r t io n i n th e bed.

Top Of
Bank 9<=~"",c-"~S:::C::c:L-/t,.,S;,;:,;,:----:;._c,
_~ "Z.,_'-
~--\~---

Toe Of
20 ·- t_~it~;~&~kJ~i;i~k:
Bank

Typically 1/4 - 1/3

Q.cf Width Max.
Boulders For 1/2 Max. In
Added Stabili ty Sma ll Streams

---------
PLAN
End Of Vane Should Be Secured
Open Clil'SS A!J:gt(!gatt PLAN In Bank At Qcf Height
Or Salva~ed Substn e
Qcf

At Or 6~l0w
t1n S-cour Depth At Or Be low Max Scour Deptt, __.::~;;.;.cc:.:,_ _,::~-7
SECTION Source =====-'-'~--~
Provide Elev.it lon an d Offse t PROFILE
t or Points A, B a nd C K{I T,chnologies
FLOY OE.fLECTIOM DECIUIBER 200:J VIRGINIA D!PAR111:KN7 Of COJriS!RVA710H RECREATION
llli!Ct:'IIBP.:11 2(103 CONCENTR ATI ON CU IDELINE:!!

FIGURE 7.58 Common stream bed and bank protection measures.

15& fatUhiii F·\,j,@,i:/iidf1,PLMH
o E&S control practices
o Dewatering technique
o Site restoration (stabilization)
• Grading plan
o Existing and proposed contours
o Limits of grading and disturbance
o Proposed revetments and stabilization measures
o Construction notes
• Geometric plan
o Benchmark
o Traverse coordinates
o Horizontal and vertical datum
o Property information
o Source of the survey
o Line and curve, PC, PT data
o Stream centerline stationing
• Profile
o Existing and proposed ground elevations along
the proposed centerline
FIG uRE 7. 5 C Recently construction stream restoration project
illustrating band and bed protection measures (top) looking upstream and o Existing invert
(bottom) looking downstream. (Photo courtesy of Paul Makowski)
o Proposed grade control station and elevation
• Cross sections
stream (rather than directed at the opposite bank). Energy
dissipators (Thompson and Kilgore, 2006) are used at storm o Existing ground
drain outlets to decrease the energy entering the stream o Proposed cross-sectional shape with dimensions
or, for smaller streams, can be used to dissipate the energy and side slopes
within the stream. Utilities crossing beneath the stream will
require special protection measures such as encasement, drop • Planting (landscaping) plan
structures, hardening or a combination of these measures. o Plant location based on hydrophilic and sunlight
Stream restoration needs to be treated as a detailed engi- preference
neering design and will need to be incorporated into a drawing
set. The drawings will need to include sufficient information o Plant material list and specifications (over- and
to allow the project to be constructed as well as to satisfy understory trees, shrubs, herbaceous plants, seed)
the requirements of the owner and the reviewing agencies. o Plant installation description
Construction-related information will include material speci-
fication and installation requirements. The amount of infor- o Matting and mulching specifications
mation to be included in the drawing set is dependent on the o Guarantee or replacement information
complexity of the project. However, the minimum amount of
information to be included in the drawings is o Abatement and control plan for undesirable plant
species
• Erosion and sediment (E&S) control • Details
o Limits of disturbance
The drawing set may include items related to the stream
o Trees to be removed and protected restoration project such as utility relocation or stabilization
requirements, storm drain improvements, energy dissipa-
o Construction access
tors, floodplain information, pedestrian bridges, low-water
o Staging, storage, and material stockpile areas crossings, fencing, and retaining walls.

Following the completion of the design, the quantity of
items contained within the drawings may be developed. A
construction cost estimate can be made from the item quan-
tities and unit costs. Cost information can be obtained from
construction cost data sources such as those contained in
R.S. Means Company, Inc. publications. Cost data may also
be available from state and local agencies such as transporta-
tion and natural resources departments in either a published
format or as bid tabulations.
7.5.4. Construction
After the stream restoration design documents have been
prepared, construction estimates can be solicited from
qualified contractors. The uniqueness of stream restoration
construction requires that the contractors be qualified for
this specialized work. They must have access to, and have
experience in the use of, proper equipment. It will be neces-
sary obtain references from the contractors. The references
should be contacted to determine how the construction pro-
ceeded and whether there were any problems or concerns.
A field visit to the location of a completed project is helpful
to assess the workmanship of the contractor. The completed
project should share similar characteristics to the proposed
restoration. Close attention should be paid to the condition
of the revetments and plant material.
The design engineer should be available for the pre-bid
meeting to respond to questions from the contractor. The
contractor should visit the site prior to the pre-bid meeting
or, alternatively, the meeting could be held on site. Prior to
preparation of the bid, the contractor will need to be made
aware of any design, permit requirement, concurrent con-
struction activities, utility crossings, or other restrictions that
will affect construction and may affect the cost. For example,
the stream may have a time of year restriction that prohibits
work in the water during specific times of the year. Stockpile,
equipment storage area, site access, vegetation preservation,
and sensitive areas also need to be identified when on site.
Construction observation should be provided by the
design engineer. Being on site, the design engineer can
determine whether the restoration is constructed as intended
and can be available to respond to the contractor's questions.
The design engineer can schedule time to be on site
depending on the pace and complexity of construction. Each
site visit and request for information from the contractor
should be recorded as a field report.
It may be a requirement of the permit that construction
occurs either "in the dry" or that the water quality be moni-
tored so that it does not exceed an established value. Turbidity
is a water quality metric that is typically monitored. Depend-
ing on the size of the stream, working in the dry may be easier.
The "pump around" technique works best in smaller streams.
In this technique, a sandbag cofferdam is constructed at the
upstream end of the section of stream under construction.
The purpose of the cofferdam is to keep water from entering
the work area and to back up the stream flow so that it can be
pumped around the work area. The flow should be discharged
7.5 ■ STREAM RESTORATION 757
into an area that has been stabilized so that pumped flow
does not suspend sediment and affect the downstream water
quality. Due to the cost of rental and operation, the pump
around technique is typically used for stream flow rates of
several cubic feet per second (cfs) or less. Larger flow rates
require the use of the diversion technique in which a coffer-
dam is constructed to allow a portion of the stream channel
to convey the flow while a portion remains dry. With both the
pump around and diversion the techniques, the cofferdams
are relocated to allow construction to proceed. Working in
a stream environment can yield water levels exceeding safe
conditions within 30 minutes following the onset of a storm
event. Therefore, the evacuation of personnel and equipment
from the stream is a safety and economic issue that requires
an evacuation plan. The weather conditions need to be fre-
quently monitored to ensure personnel safety.
A typical construction sequence would include the
following:
1. Set up cofferdams within the daily work zone
2. Place the pumping system or construct the diversion
3. Survey grade control and revetments
4. Start rough grading operations
5. Stockpile and haul soil
6. Install revetments
7. Set invert elevation and construct thalweg
8. Final grade
9. Amend soil as needed
10. Seed graded area
11. Install erosion control matting
12. Stabilize upland disturbance and stockpile areas
13. Remove pumps and cofferdams
Because the construction sequence must be completed on a
daily basis, the construction project manager is required to
coordinate and orchestrate multiple activities and crews in a
confined work space.
Following the completion of the grading and installation
of the temporary and permanent stabilization measures, the
plant material is installed. For survivability of the plant mate-
rial, it is required to install live stakes when they are dor-
mant. So depending on the time of year when the restoration
is complete, the contractor may need to return to install the
live stakes. Other plant material may be installed throughout
the year but they may require irrigation.
Prior to the removal of sediment control measures and res-
toration (stabilization) of the site access, stockpile and equip-
ment storage areas, the restoration construction should be
reviewed and documented in a punch list. Deficiencies on the
punch list should be repaired before acceptance of the project.
The guarantee (or monitoring) period (if any) should start
after the project has been accepted.
 TRAN51TION FROM EXl5TING
CHANNEL 5ECTION TO RJFFL.f
5/"CTION .A5 5HOWN ON
5HEITB

I
B'-24" DIA. BOULDERS PLACED AT
TOE OF FILL 5LOPt::---5EE TYPICAL
RIFFLE 5ECTION ON 5HEIT 7

I B'-24" DIA. BOULDERS \LACED AT·

TOE OF fill SLOPE. SEE TYPICAL
RIFFLE SECTION ON SHEET 7

I B"-24" DIA. BOULDERS PLACED AT

TOE OF FILL SLOPE. SEE TYPICAL
RIFFLE SECTION ON SHEET 7

I 8 "-24 " DIA. BOULDERS PLACED AT

TOE OF FILL 5LOPE. 5EE TYPICAL
RIFFLE 5ECTION 5Hl'fi 7 Of

I
B I
PLAN SHEET LEGEND GRADING ABOVE BANKFUIJ., ELEVATION I
\ I

= ROCK WALL*

' ' ..... .. , I

I
( ROCK WEIR *

'
CROSS VANE * NOTES:

1 COIR MATTING IS TO BE PLACED ALONG BANKS IN ACCORDANCE WITH PLANTING ZONE DETAIL ON SHEET 9 I '
* I
~ ROCK VANE 2. SPOT SHOTS WITH AN ASTERISK INDICATE BANKFULL ELEVATIONS.

LIMITS OF DISTURBANCE J. WHEN GRADING ABOVE BANKFULL ELEVATION, THE BANKS MUST BE GRADED TO ACHIEVE THE MINIMUM WIDTH, OR
GREATER, AT THE FLOOOPRONE EL.£\/ATION. THE REQUIRED MINIMUM WIDTHS AND FLOODPRONE ELEVATIONS FOR EACH
LIMITS OF GRADING LINE AND CURVE SEGMENT OF THE PROPOSED ALIGNMENT ARE LISTED IN THE TABLE LABELED 'GRAl)ING ABOVE BANKFULL
FLOOD PRONE LIMITS ELEVATION' ON Tl·HS SHEET.

A BANKFULL LIMITS
1so>iE:0 ~!I~~~~~~L~fTY~~ ~~t~ !~p~Aii5 :s M~N~~~MTR!~i_EA~TiL~s~~~~lviN1° T~~L~1t~CUOMMF;i~g~D~~IJNEG~g~NH~
LOW FLOW CHANNEL ACTUAL FIELD CONDITIONS SHALL DICTATE WHICH TREES CAN BE SAVED AND HOW THE BANKS SHOULD BE GRADED. THE
CENTERLINE MAXIMUM SLOPE BETWEEN THE BANKFULL AND FLOODPRONE ELEVATIONS SHALL NOT BE STEEPER THAN 2:1. ABOVE THE
FLOODPRONE ELEVATION, A MAXIMUM SLOPE OF 2:1 CAN BE USED ALONG BOTH BANKS TO TIE OUT.

• TREE TO BE REMOVED
*NOTE: THESESYMBOLSARENOTTOSCALE. THEY
MERELYREPRESENTTHEQUANTITYANOLOCATIONOFTHE
STRUCTURES THEY REPRESENT. SEE THEIR DETAILS ON
SI-IEETS 10 & 11 FOR SPECIFICATIONS.
5. IF THE MINIMUM FLOODPRONE WIDTH CAN BE ACHIEVED WITHOUT GRADING TO THE FLOODPRONE ELEVATION, TIE TO
EXISTING GROUND AT A SLOPE BETWEEN 2::: (MIN) AND 2:1 (MAX).
GRAPHIC SCALE
6. CONTOURS BELOW BANKFULL STAGE ARE NOT TO BE USED FOR CONSTRUCTION. WHEN GRADING THE CHANNEL
BELOW BANKFULL STAGE, REFER TO THE APPROPRIATE CROSS SECTION (SHEETS 7 AND 8) ANO PROFILE (SHEET 6).

FIGURE 7.50 Typical plan/profile for stream restoration. (Courtesy of JCE, Inc., Alexandria, VA 22312.)
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fl'IWl' .ELEV. • 67.90

TRANS TION F~OM RII FLE SECTION O CULIIERT

ENTRA CE AS SHOWI ON S,EET 7

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+
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1&0 fatUhiii F·\,j,@,i:/iidf1,PLMH
7.5.5. Maintenance
Although stream restoration projects are designed and con-
structed to be self-maintaining, they are not maintenance free.
Although the restored stream is most vulnerable immediately
following construction, maintenance may be required at any
time. Without timely maintenance, the restoration project
may not continue to meet the goals and objectives of the proj-
ect. Therefore, a monitoring plan must be developed to assess
the condition of the restoration project, whether maintenance
is required, and if the project meets the stated project goals
and objectives. If monitoring is a regulatory requirement, the
monitoring frequency, parameters, protocol and duration will
be detailed in the permit. A budget should be established for
expenditures associated with routine maintenance.
Typically stream restoration projects are inspected annu-
ally to determine maintenance requirements. The frequency
of inspection can be adjusted depending on the results. The
frequency can be decreased if few problems are found or the
problems are minor. Conversely, the frequency may need
to be increased if numerous problems are found or if the
problems are major. In addition to the routine inspections,
it is recommended that the stream be inspected after major
flooding events. The inspector should look for indications
that the restoration is not functioning as intended such as
• Scour
• Undercutting of the banks
• Deposition
• Movement of structural components within any
revetments
• Dead or missing plant material
• Vandalism
• Trash dumping
• Mowing within the buffer
• Blockages within the stream channel
• Presence of invasive plants
Plant material must tolerate hydrologic and temperature
extremes, animal foraging, insects, and disease. Without
vegetation, the stability of the stream may be compromised
as will the other environmental benefits. Replacement of
missing or compromised plant material should occur as
soon as possible. A determination must be made as to why
the plant material failed initially so that the cause of fail-
ure is addressed and the replanted material is afforded an
opportunity to successfully establish. Typical causes of fail-
ure of plant material include animal browse, insect damage,
improper plant selection with respect to sunlight preference
or hydrophilic zone, drought or flood conditions, improper
installation, soil conditions, competition from invasive
plants, vandalism or mowing.
Movement of sediment will occur for stream restoration
projects, especially immediately following construction and
during large runoff events. However, the erosion or deposi-
tion of the stream bed or bank should not be excessive. Ero-
sion can be considered excessive if it results in failure of a
slope or revetment. Excessive deposition may fill in pools,
cover plant material with sediment or adversely affect the
hydraulics. The cause of the excessive erosion or deposition
must be determined before any decision as to how to proceed
can be made. The best course of action may be to monitor
the situation and determine whether the condition is dete-
riorating, staying the same or if it is improving. If the condi-
tion is worsening, a plan will need to be developed to address
the problem. Typical questions include
• What are the rate and severity of failure?
• Is the failure localized or widespread?
• What are the consequences of inaction?
• Will the failure affect upstream and downstream
areas, if so, what are the effects?
• What are potential solutions?
• Are large or heavy equipment needed to implement
the potential solutions?
• Is there site access?
• How much time is needed the implement the solution?
• What is the available budget?
The responses to these questions will determine the
appropriate course of action. However, budgetary limitations
may require creative solutions. It is beneficial to apply les-
sons learned from the design process and previous projects
to development of potential solutions.
REFERENCES
Fischenich, C. 2000. Glossary of Stream Restoration Terms. ERDC
TN-EMRRP SR-01. February. Washington, DC: U.S. Army
Corps of Engineers.
FISRWG (Federal Interagency Stream Restoration Working Group),
Stream Corridor Restoration: Principles, Processes, and Practices.
GPO Item No. 0120-A; SuDocs No. A 57.6/2:EN 3/PT.653.
ISBN-0-934213-59-3. October, 1998.
Rosgen, D., and H.L. Silvey. 1996. Applied River Morphology. Pagosa
Springs, CO: Wildland Hydrology.
Thompson, P.L., and R.T. Kilgore. 2006. Hydraulic Design of
Energy Dissipators for Culverts and Channels, 3rd ed. FHWA-
NHI-06-086, HEC-14. July. Washington, DC: Federal Highway
Administration.
Thomas R. Schueler, Controlling Urban Runoff A Practical Manual
for Planning and Designing Urban BMPs. July. Metropolitan
Washington Council of Governments, 1987.
USACE (U.S. Army Corps of Engineers), Channel Stability Assess-
ment for Flood Control Projects. EM 1110-2-1418. October.
Washington, DC: U.S. Army Corps of Engineers, 1994.
 CHAPTER 7.6
ENGINEERING FEASIBILITY
STUDY

7.6.1. Introduction • Physical condition of the site such as topography,

As described in Chapter 3.1, the engineering feasibility study soils, utilities, drainage, and external influences cre-
evaluates the physical, environmental, regulatory, and/or ated by neighboring properties and uses
other constraints that must be overcome or accommodated
Such items have a significant impact on how the land is
in constructing the intended use. This study is usually pro-
developed and how successful the project will be.
duced by the design team for the developer and their busi-
As described in Chapter 3.2, base maps and site diagrams
ness team. The results of this study often affect the purchase
may compliment and support an engineering feasibility
price of a property, which is frequently based on presumed
study. The base map is a graphic representation of the exist-
development potential.
ing site conditions and development constraints. The site
The engineering feasibility study report requires a com-
diagram highlights these constraints and opportunities iden-
prehensive collection of all information that could affect the
tified on the site. These graphics help to visualize the infor-
site and its development. The research and analysis associ-
mation presented in the engineering feasibility study.
ated with an engineering feasibility study are generally cat-
The following example details the components of a
egorized into three types of information:
typical preliminary engineering feasibility study report. This
• Legal condition of the site such as easements, land example includes base maps and a series of site diagrams for
rights, and other property encumbrances the project. This should help to understand the scope and
process, and information contained within as described in
• Regulatory concerns of the site such as applicable Chapter 3.1.
master plans, zoning, ordinance requirements, pos-
sible citizen opposition, and governmental review
considerations

761
162 i@U4ii i·H@,!IOIMHWH
7.6.2. Example of a Preliminary Engineering Feasibility Study

Preliminary Engineering Feasibility Study

January 1992

TRACT LOCATION

The subject site consists of approximately 30 acres and is located in the Sully District of Fairfax County, Virgini a. The site is
identified on the Fai rfax County Tax Map as 45-2 ((1)) part of parcel 1. The property is bordered by the Lee-Jackson Memorial
Highway (Route 50) to the south, the Murray Farms Subdivision to the east, the Fairfax County Parkway (Rou te 7100) to the
northeast, and undeveloped property to the north and west. The mailing address for the subject site is 12908 Lee-Jackson Memo -
rial Highway, Fairfax, Virginia 22033 .

ZONING/COMPREHENSIVE PLAN

The study area is in the UPS Lee-Jackson Planning Sector of the Upper Potomac Planning District in Area Ill of the Fairfax
County Comprehensive Plan. The property is currently zoned R-1; low density residential use not to exceed one dwelling unit per
acre. The Comprehensive Plan recommends low to medium residential use at two to three dwelling units per acre. The Plan
further states that ". Complete consolidation of Parcels 1, 2, and 3 is a condition for consideration of the high end of the Plan
range, three dwelling units per acre." The portion of the Murray Farms subdivision located immediately east of the subject parcel
and south of the Fairfax County Parkway is planned for a residential use at one to two dwelling units per ac re. The Plan provides
an optional density of four to five dwelling units pe r acre for this area if all the land is consolidated. Please re fer to Attached 1,
Zoning Map.
The Fairfax County Zoning Ordinance pe rmits the establishment of golf driving ranges an d commercial golf courses in the R-1
District with the approval of a Group 6 Special Permit by the Board of Zoning Appeals. Included as Appendix #l is a copy of a
portion of Pan 6 of Article 8 of the Zoning Ordinance which specifies the standards for all Group 6 uses as well as the addit ional
standards applicable to golf courses and golf driving ranges.
The process for a Special Permit application takes approximately 90 days from the date the application is accepted by Fairfax
County. State statute requires action by the Board of Zoning Appeals within 90 days unless the applicant agrees to a deferral
beyond the 90 days period. The timeframe for the actual preparation of the Special Permit Plat will be dependent upon the
receipt of a conceptual design of the facility by your golf course consultant. Once that information is rece ived, the Plat can be
prepared in approximately ten (10) working days.

UTILITY AVAILABILITY
Water: The subject site is located in the Fairfax County Water Authority (FCWA) se rvice area. According to Mr. Don Hume of
FCWA, there are two water mains which could serve the subj ect site: (1) A 14-inch water main located along the south side of
Route 50, and (2) A 12-inch water main located along the north side of Route 50 approximately 450 feet east of the site . Please
refer to Attachment #2, Water Availabili ty Map .
Connecting to the existing 12-inch water main would require boring under the roadway for approximately 200 feet. An eight-inch
water main within a 20-inch casing would be required. The second alternative would require the extension of a 12-inch water
main approximately 1,000 feet from the existing terminus to the subject site. Preliminary calculations include that eithe r option
would cost approximately $50,000 to $55,000.
It appears that no offsite easements would be required with either water service alternative since all connections and extensions
would be within the Vi rgina Department of Transportation (VDOT) right-of-way.
Mr. Hume stated that further analysis by FCWA will be required in order to confirm exact line size requirements and to deter-
mine which alignme nt opt ion may best benefit the developer and FCWA.
Sanitary Sewer: The subject si te is located in Subshed T-2 of the Cub Run Sanitary Se wer service area. According to Mr. Jerry
Jackson of the Fairfax County Department of Public Works (DPW), sanitary sewer service is not readily available to the si te .
Although sanitary sewer service is available for the townhouse and garden apartment development immediately south of Route
50, Mr. Jackson stated that a majority of the subject site is in a different drainage shed and cannot he sewered by gravity flow to
this location. The closest available sewer by gravity fl ow is a 12-inch line approximately 2100 feet northwest of the property .
Please refer to Attachment #3 , Sanitary Sewer Availability Map.
This existing sanitary sewer, which is within the International Town and Country Club property, was designed to accommodate
flows from the subject site at a proposed density of two dwelling units per acre (current Comprehensive Plan density). Mr. Jack-
 7.6 ■ ENGINEERING FEASIBILITY STUDY 763

son stated that approximately 12 units of the subject site, which natural drains sou th across Route 50, could be developed so that
sewer would be diverted to the northwest. Given the topography of the site, the diverted sewer system should be able to cross the
natural drainage divide at a depth less than the allowable maximum of 16 feet. Mr. Jackson stated that this would be the align-
ment preferred by DPW. A 10-foot-wide offsit e sanitary sewer easement would be required from the owners of the adjacent Parcel
3 and the International Town and Country Club in order to construct the required eight-inch sanitary sewer line.
The Fairfax County Health Department was contacted fo r informaLion regarding the se ptic system used for the residence on the
subJecL property. The Health Depa rtment has not approved sepLic field plans or records for the property. Conversations with the
owners have determined that the septic field is located in the southwest portion of the property behind the gargage. The system
was constructed approximately 25 to 30 years ago.
A prelimina ry soils sLUdy, including test borings and other field observations, was conducted by Soil Tech, Inc. Preliminary find-
ings indicaLe that Lhere are two areas suitable for conventional septic drain fields: (1) The southwest portion of the property
immediately behind the onsite structures, and (2) the southeast portion of the property near Route 50. These areas appear to be
capable of processing from 600 to 1800 gallons of waste water per day. This would equate to a commercial/office establishment
with 20 to 60 employees. Additional areas may be suitable for more progressive systems such as elevated sand mounds. It should
be noted that additional studies and Fairfax Co unty Health Department app rova l will be required before the drain field locations
and types can be linalized .

TRANSPORTATION/ACCESS REQUIREMENTS

The more logical location fo r access along Rou te 50 appears to be opposi te the median break nea r the southeast com er of the
subject site. Based upon Fairfax County topography, this location does not appear to present any horizontal or ve rtical sight
distance problems; howeve r, this locati on would still need to be approved by the Fairfax County Office of Transportation (OT)
and the Virginia Department of Transportation (VDOT).
Route 50 is designated on the Comprehensive Plan as a six-lane divided facilit y. According to a spokesperso n from OT, the fol-
lowing transportation improvements wou ld be requested/required for the development of th is property:
Construction of a third through lane fo r westbound Route 50 or a monetary comribution fo r construc tion avoid-
ance
Construction of a lefl-LUrn lane imo the site eastbound Route 50
Construction of a right-tum lane into the site from westbound Roule 50
Construction of a service drive along the property's fro ntage un less a waive r can be obtained during the zoning
process
Additional development conditions may be imposed as the special permit application is reviewed by the appropriate State and
County agencies.
It should be noted that Route 50 is cu rremly being improved from Townwood Drive west to Plaza Lane. This construction is
being fund ed by a develope r in conjunction with the expansio n of Greenbriar Shopping Ce nter. Acco rding to a spo kespe rson
from VDOT, this project in volves the construction of dual left turn lanes for westbound Route 50 into Ma jesti c Lane, Plaza Lane
and the shopping ce nter entrance. Service drive improve mcms are also being constructed .

SITE CHARACTERISTICS/TOPOGRAPHY
The subj ect site contai ns fi ve structures, all of which are located in the southwestern portion of the property These stru ctures
include:
A one-story wood -framed residence with base mem and att ic
A wood-framed two-ca r ga rage
Th ree wood- frame d out buildings, evidently use d for the storage of farm equipment and tools
The entire property remains relati ve ly clea r of mature vege tation ; although cedar trees of three to six fee t in height are beginning
to overtake a large portion of the propert y. Overhead electri c and telephone lines, which serve the onsite residence , extend alon g
1&4 i@U4ii i·H@,!IOIMHWH

the site's Route 50 frontage for ap proximately 400 fee t. A concrete dra inage ditch also extends along the site's Route 50 lrontagc
for approximately 800 feet. This di tch drains into a 48-i nch cu lven which extends under Rou te 50 towards the Grays Point
subdiv ision.

O n site elevations vary from a high point of approximately 388.2 at the property's southwest corner to a low point of approxi-
mately 370.0 at the property's northwest corner where a swale exits the property. Onsite slopes are generally mild and primarily
range from 1 % to 10%. A small area of s lo pes in excess of 15% is located a long the northern property line. Please refer to Attach-
ment #4, Topograph y Map

The propert y contains three pronounced swales which convey stormwater runoff through the sub_1ect si te. These swales are not
identified on the U.S. Geological Survey Quadrangle Map (Herndon) as either perennial or intermittent streams ; th erefore , mini -
mal water now is probably onl y appa rent during sto rm eve nts Howeve r, during the fi eld investigation rn nducted January 7,
1992 , standing water was apparent in all three swales. For a mo re deta iled discussion o f stormwater run o ff and onsi te d rainage
patterns, please refer to the section entitled "Sto rmwater Management Requ ire ments."

The Fairfax County Soi ls Survey was reviewed for prelim inary geotechnical in formation. The soils su rvey indicates that the subj ect
site is comprised o f the fo llowing soil types:

Soil Numbe r So il Name Percentage of Si te

Mixed Alluv ial 1%:=

14 Manassas 79[) ±
67 Pen n FSL 41 %=
72 Bucks (L) < 15=
76 Calve rt on (L) 16%:!:
80 Croton 30%=
273 Readington 4% :!:

Please refer to Attach ment #5 , Soils Map

General ratings for d evelopment within these soil types can be summarized as follows:

Subsurface Foundation Slope Problem

Soil Name Drainage Suppo rt Stability Class

Mixed All uvial Poor Poor Good A

Manassas Marginal Fai r Good B
Penn Fair Good Good C
Bucks Good Good Good C
Calverton Marginal Poor Good A
Croton Poor Poor Good A
Readington Margin al Good Good B

A geotechnical engineering report is mandatory for all constructi on and grading within Group A Soils, i.e. the Mixed Alluvial ,
Ca lverton and Croton soils. Some of the ch aracteristics which are typical of soils within this probl em class include

Flood ing hazards fo ll owing storm events

Low bearing values for foundation supports
High seasonal groundwater tables in drainage ways or low-lying areas
Moderate to high shrink-swell potential often having slow 10 very slow permeabi lity rates
Sha llow de pth to bedrock

These soils co mprise approx imate ly 47 % of the si te.

A geotechnical engineee ring re port may n ot be required fo r the Group B So ils if adequate provisions to circu mvent soil- related
 7.6 ■ ENGINEERING FEASIBILITY STUDY 765

proble ms are incorporated into the site plan , or if the location of these so ils wi ll not impact the proposed development . Onsite
so il s wi thin this problem class a re the Manassas and Readington soils. Some of the characteristics which are typical of these soils
include
Low bearing values for foundation su pports
High seasonal grou nd water tab les in drainage ways o r low -lying areas
Perched groundwater above restricti ve soil or rock laye rs
Shallow depth to bedrock
These so il s comprise approximately 11 % of the su bj ect site.
A geotechnical engineering report is usually not required for the Group C Soils as long as construction is in natural soils and not
in co ntrolled fills. Onsi te soils within this problem class are the Penn and Bucks soils. So me of the characteristics which are
typ ical of these soils include
Shallow depth to bedrock
Slow pe rmeability rates
These soils comprise approximately 42% of the subject site.
In conclusion, based upon the info rmation rev iewed. a geotechnical investigation and repo rt will be required for the deve lopment
of the subject site.

WETLANDS/OFFICE INVESTIGATION
An office investiganon was conducted to determine the poss ible ex is1ence of wetlands on the sub1ect site. The US Fish & Wild-
life Service National Wetland Inventory (NWI) mapping for th is area (Herndon . Virginia-USGS Quad Sheet) was reviewed and il
shows an area of Palustrine Forested Wetlands along Oxlick ranch no rth west of the property. Please refer to Allachment #6, NW!
Map. Additional areas of Palustrine Forested Wetlands and Palustrine O pen Water Wetlands are shown on adjacent properties to
th e north and west of the subject site.
While the NW! Mapping is generally a reliable source for identi fying the most obvious a reas of wetlands, it is imp ortant to note
that the mapping is compiled from aerial photograph y and omissions of existing wetlands typically occur. For this reason, it is
essential that other sources of in fo rmation be utilized to determine the possible ex isten ce of additional wetlands.
As an additional source of information, the Fairfax County Soils Survey was reviewed LO determine if any of the onsite soils
exhibit characteristics commonly associated with nomidal wetlands. The prese nce of these soi ls, commonly referred to as Hydic
Soils. indicates a high probability of wetlands occu rring within a particular area. In thi s regard, the Fairfax County Soils Scie ntist
has assigned a Wetlands Probabilit y Index to every so il type that occurs within the Count y. Hydri c Soi ls. with the highest proba-
bility of supporting we tlands, we re assigned an index of one ( 1). As the index increases to a maximum value ol fi ve (5), the
likelihood of wetlands occurring decreases. The Wetland Probability Index associated with each of the onsite soils can be summa-
rized as follows:

Soil Wetlands Percentage

Number Soil Name Probabilit}'. Index H:r:dric of Site

Mixed Alluvial Yes 1%::':

14 Manassas 4 No 7%::':
67 Penn 5 No 41%::':
72 Buc ks (L) 5 No < 1%::':
76 Calverton (L) 4 No 16%::':
80 Croton 1 Yes 30%::':
273 Readington 4 No 4% ::':

Please refer to Allachmem #7 , Hydric Soils Map.

Based upon a countywide average , a Wetlands Probability Index of one (l ) suggests that from 80% to 100% of the area contain-
ing Mixed Alluvial and Croton soils may contain we tlands. An index of four (4) suggests that from 5% to 20% of the area con-
166 i@U4ii i·H@,!IOIMHWH
taining Manassas, Calverton and Readington soils may contain wellands. An index of five (5) suggests that from 0% to 5% of the
area comain ing the Penn and Bucks soils may contain wetlands. Based upon these probabilities, the total acreage of the subject
site which may comain wetlands can be summarized as follows:

Wetlands Possible Acreage

Soil Name Acreage Probability of Wetlands

Mixed Alluvial and Croton 9 .3:t 80 - 100% 7.4-9.3

Manassas , Ca lverton, and Readington 8. 1:t 5-20% 0 .4-1.6
Penn and Bucks 12.6:t 0-5% 0 .0-0.6

TOTALS 30.0 :t 7.8-11.5

In conclusion, based upon the information reviewed, the presence ol wetlands may have a significant effect on the development of
the subject site . For this reason , a field investigat ion is recommended to better defme the acreage which may fall under the juris-
dicti on of Section 404 of the Clean Water Act.

WETIANDS/FIELD INV£STIGATION
On January 10 , 1992, a preliminary wetlands assessment was conducted on the subject site. Wetlands were identified following
the procedures set fort h in the Corps of Engineers Wetlands Delineation Manual (1987). The field investigation involved the collec-
tion of data documenting hydrologic conditions, soil characteristics and dominant vegetation in order to establish an approximate
we tlands boundary.
So il saturation and inundation was observed in three areas. Soil color indicative of hydric soi l conditions was also present. Domi-
nant vegetation common to all wetlands on the site include soft rush, woolgrass, redtop bentgrass, marsh fern and several sedges.
Button bush, red maple and sweet gum we re the dominant shrubs in the southern and northwestern wetlands areas. The total
amount of jurisdictional areas delineated on the site was approximately 3.7 acres. Please refer to Attachment #6, National Wet-
lands Inventory Map.

flOODPlAIN
The Federal Emergency Management Agency (FEMA) and United States Geological Survey (USGS) maps were reviewed for the
possible existence of lloodplains in the vicinity of the subject site. Both sources indicate that the closest 0oodplain is located
offsite approximately 3,000 fee t northwest of the subj ect site along Oxlick Branch. Please refer to Attachment #8, FEMA Map.
Oxlick Bra nch passes within approxi mately 80 feet of the northeast corner of the property. This is just downstream of the triple
box cu lvert which carries the stream under the Fairfax Cou nty Parkway.
The drainage area contributing to Oxlick Branch at this point is greater than 70 acres and by Fairfax County definition will
require the delineation of a lloodplain . A review of Fairfax Count y Parkway storm computations and available topography ind icate
that the estimated 100-year llood elevation (approximatel y 4 feet above the stream bed) will not encroach on the subject site.

STORMWATER MANAGEMENT REQUIREMENTS

A ridge line bisects the site into two major drainage di vides. The northern portion (:t 18 ac res) drains into Oxli ck Branch, which
is a tributary of Flatlick Branch. The southern portion(::': 12 acres) drains such across Route 50, eventually entering Little Rocky
Run. The runoff draining from the northern portion of the site exits at two low points; approximately 12 acres exit at the north-
west comer of the site. There are approximately 14 acres, of which approximately eight areas are from offsite, exiting at the
northeast com er.
The subject site is located in the Cub Run drainage shed . This shed llows into the Occoquan Reservoir which is the water supply
source for a large portion of Fairfax County. Subsequently, development of this property is subject to the implementation of
specially designed water quality control measures for stormwater runoff, referred to as Best Management Practices (BMPs). De-
pending on the proposed development program of the subject site, stormwater management and BMPs could be accommodated
 7.6 ■ ENGINEERING FEASIBILITY STUDY 767

in the form of two or three detention ponds. One of these ponds could be located at the southern low point of the site near the
culvert crossing Route 50. The other pond(s) could be located at one or both of the low points along the northern boundary of
the site. Please refer to Attachment #9, Drainage Map
Preliminary calculations indicate that approximately 85 ,000 cubic feet of total storage volume may be necessary to satisfy deten-
tion and BMP requirements for the full development of the site. Fairfax County's "Policy and Requirements for Adequate Drain-
age" require that a developing site convey stormwater runoff into a natural watercourse or storm drainage pipe of sufficient capac-
ity without causing adverse impacts on the watercourse or downstream properties. A preliminary field investigation indicated that
the two outfalls to the north may be inadequate to accom modate concentrated stormwater runoff. The drainageway outfalling
northwest of the site is of particular concern. As a result, offsite watercourse improvements and/or storm sewer facilities and
associated offsite storm drainage easements may be necessary to remedy any inadequacies. A more detailed analysis of this situa-
tion will be required as development of the subj ect site progresses.

CHESAPEAKE BAY PRESERVATION ORDINANCE IMPACTS

A preliminary investigation was conducted to determine the potential impac t of the Chesapeake Bay Preservation Ordinance on
the development of the subject site. In this regard , the following Resource Protection Area (RPA) features were investigated:
Tidal Wetlands and Tidal Shores-Since this area of the County is not subject to the influence of tides, these features
are not applicable.
Tributary Streams-As mentioned previously, none of the onsite swales are depicted as tributary or perennial
streams on the USGS Quad Sheet; therefore, this feature is not applicable.
Water Courses With Drainage Areas Greater Than 70 Acres-As mentioned previously, Oxlick ~ranch, located north-
east of the subject site, drains an area greater than 70 acres; therefore, this stream is by defini tion ii RPA feature.
Nontidal Wetlands Connected By Surface Flow and Contingous to a Tidal Wetlands or Tributary Stream-As previ-
ously mentioned, there are no tidal wetlands or tributary streams within the immediate vicinity of this property;
therefore, the nontidal wetlands as discussed in the section entitled "Wetlands/Field Investigation" are not consid-
ered RPA features because they are not contiguous to tidal wetlands or tributary streams.
Based upon this phase of the investigation , Oxlick Branch is the only RPA feature in the vicinity of the subj ect site.
The provisions of the ordinance require the establishment of a buffer area to protect other components of the RPA from signifi-
cant degradation due to land disturbing activities. In this regard, the following components, which comprise a buffer area, were
investigated:
Any land within a fl oodplain-As mentioned previously, the estimated floodplain for Oxlick Branch does not impact
the subject site; therefore, this component is not applicable.
Any nontidal wetland that is continuously connected to a watercourse-None of the onsite wetlands are continuously
connected to Oxlick Branch; therefore , this component is not applicable.
Any land within 100 feet of a RPA feature-As mentioned previously, Oxlick Branch passes within 100 feet of the
subject site, therefore, this 100 feet buffer encroaches upon the subj ect site.
Any land with a slope greater than or equal to fifteen (15) percent where such slope begins within fifty (SO) feet of a
floodplain- As mentioned previously, a small area of slopes in excess of 15 percent are found on the subject site,
however, these slopes are not within 50 feet of the Oxlick Branch flood plain; therefore, this component is not applicable.
Oxlick Branch , as a RPA feature, is combined with the 100-foot setback, which acts as a buffer area, to form the Resource Protection
Area (RPA) as shown on Attachment #10, RPA Map. The remainder of the site is designated a Resource Management Area (RMA).
It should be noted that this investigation is based upon the Chesapeake Bay Preservation Ordinance as endorsed by the Fairfax
County Board of Supervisors (BOS) on May 20, 199 1. As a condi tion of approval, this ordinance is currently being reviewed by the
Chesapeake Bay Local Assistance Board (CBLAB). A date for official adoption of the Ordinance by the BOS has not yet been
established.
1sa fatUhiii F·\,j,@,i:/iidf1,PLMH

In the event that the Chesapeake Bay Preservation Ordinance has not been officially adopted at the time the subject site moves
forward into the zoning process. the County will impose their Environmental Quality Corridor (EQC) policy as a condition of
development. Since the components of an EQC are essentially the same as those for a RPA. the impacted area would remain
unchanged.

QUALIFIER
This report is a preliminary engineering analysis of the subject site's development potential. Issues addressed were limited to
Tract location
Zoning/comprehensive plan
Utility availability (water and sanitary sewer)
Transportation/access requirements
Site characteristics/topography
Soils
Wetlands (office and field investigations)
Floodplain
Stormwater management requirements
Chesapeake Bay Preservation Ordinance Impacts
This report is a preliminary engineering analysis of the subject site's development potential. Issues addressed were limited to
relate to subjects beyond the scope of this study.
Much of the information presented herein was obtained from public offic ials whose opinions are generally reliable and sufficient
for preliminary planning purposes.
V

0 . ..,..
!J~ - 1'-(J;U

.. • ~TREICH / ROUTE SO
ZONING MAP

ATTACHMENT 1 SCALE: 1" •

 "
1"4fl11NATIONAL TOWN e, COUHTltY Cll.!I

WESTREICH / ROUTE 50
WATER AVAILABILITY MAP

ATTACHMENT 2 SCALE: 1" •

 EX. 12" SAN. SEW.

EX. 8" SAN. SEW.

"
H'1'£11N.1.Tl()frjAl. 'lOn & COUNTRY CLI.Je

SITE

WESUIBICH / ROUTE 50
SANITARY SEWER AVAILABILITY MAP

ATTACHMENT 3 SCALE: 1• x 400'

........
-
........
N

TOPOGRAPHY MAP

ATTACHMENT 4 SCALE: 1" •

 MANASSAS SILT LOAM
PENN FINE SANDY LOAM, UNDULATING PHASE
PENN FINE SANDY LOAM, ROLLING PHASE
BUCKS LOAM, UNDULATING PHASE
A+ CAL YERTON LOAM, NEARLY LEVEL PHASE
80 A+ CROTON SILT LOAM, NEARLY LEVEL PHASE SOILS MAP
80 B+ CROTON SILT LOAM, UNDULATING PHASE
273 Bl READINGTON SILT LOAM, UNDULATING PHASE
1 A+ MIXED ALLUVIAL LAND ATTACHMENT 5 SCALE: 1" •

........
w
114 kiiiUhiFI i·hiiiM/OidtWl@iJ

NATIONAL WETLANDS INVENTORY MAP

SCALE: 1" • 2,000'

 w @
0
7582

14 MANASSAS SILT LOAM

67 PENN FINE SANDY LOAM, UNDULATING PHASE
67 PENN FINE SANDY LOAM, ROLLING PHASE
72 BUCKS LOAM, UNDULATING PHASE
7& A+ CALVERTON LOAM, NEARLY LEVEL PHASE
80 A+ CROTON SILT LOAM, NEARLY LEVEL PHASE HYDRIC SOILS MAP
80 B+ CROTON SILT LOAM, UNDULATING PHASE
273 Bl READINGTON SILT LOAM, UNDULATING PHASE
1 A+ MIXED ALLUVIAL LANO SCALE: 1" •
11& fatUhiii F·\,j,@,i:/iidf1,PLMH

FEMA MAP

ATTACHMENT 8 SCALE: 1" • 2,000'

DRAINAGE MAP

SCALI
........
co
 CHAPTER 7.7

DETAILED CASE STUDIES

The following two projects were completed by Dewberry and diverse to lend themselves to a textbook qualitative
(formerly Dewberry & Davis LLC) and exemplify the land or quantitative analysis. Economics, creative engineering
development design process that was described within this design solutions, compromise, communication skills, genu-
book. These detailed case studies follow each project from ine citizen concern, and raw politics are all elements of a suc-
initial conceptualization to ultimate completion. These show cessful planning/rezoning effort.
challenges encountered and describe how they were over- The two detailed case studies are of the Union Mills Proj-
come to ensure success. While some regulations and prac- ect and Merrifield Town Center. This chapter is separated
tices have changed since the completion of these projects, the into two parts: (A) Union Mills Project and (B) Merrifield
design and permit process is still relevant. Town Center.
The previous chapters have addressed the design and
approval process for residential and nonresidential projects. PART A-UNION MILLS PROJECT
The fact that there are a series of stages and many participants
The Union Mills project is located in Fairfax County,
involved in the planning process was also discussed. The
Virginia, and is located approximately 25 miles outside
federal, state and local controls, increased citizen participa-
of Washington, D.C. Having a population of 827,100 in
tion, and political awareness have transformed a once simple
1991 (1.2 million in 2018), Fairfax County has become the
process into an extremely complex one. In fact, there are so
largest jurisdiction in the Washington Metropolitan Region
many influences and participants that shape the outcome of
(Figure 7.7A). 1 It has been transformed from a suburban
a project, it is likely that the completed project may have little
bedroom satellite to a complex commercial, residential,
resemblance to the one originally envisioned by the developer.
office, and research community. Fairfax County experi-
This chapter reviews the design process two completed
enced a rapid rate of growth during the past three decades.
projects located in Fairfax County, Virginia. The projects
Much of the growth during the past decade has occurred
are described from the conceptual planning stage through
in the western portion of Fairfax County, where the Union
the local regulatory process and citizen input to the final
Mills project is located. This area's potential for develop-
approved plans. These case studies demonstrate how the
ment was enhanced by its proximity to the Washington-
efforts of a development team, in concert with the local
Dulles International Airport and ease of access to several
public officials, County planning staff and the surround-
major roadways. These features have attracted numerous
ing community resulted in successful projects. Addition-
employment centers and new residential developments to
ally, the review of the planning process specific to a project
this portion of the County.
will illustrate how many of the objectives and goals of all the
participants can conflict and how through negotiation and 7. 7.1. Due Diligence and Site Analysis
compromise they can be resolved. It must be stressed that
The western portion of the County was an ideal location
this chapter is not a "how to" account of conflict resolution,
for the development of the Union Mills site. As shown
but rather a discussion of how issues were identified by a
in Figure 7.7B, the property is located between two areas
myriad of interest groups and ultimately resolved. The vari-
ables in both the process itself and issues raised by interest
groups during the development process are too numerous 1Fairfax County, Office of Research and Statistics.

779
1ao i@U411 F·H@,j/OidHHMH
SOURC~; FAIRFAX COUNTY OFFICE Of COMPREHENSIVf Pl.ANNING
$ The importance and emphasis on the reliance of the
FIG uRE 7. 7 A Washington metropolitan area.
identified in the County's Comprehensive Plan as suburban
centers. These areas are targeted for a complementary mix-
ture of office, retail, and residential uses in a cohesive low
to moderate intensity level. The Centreville Area, which is
located to the west of the Union Mills project, consists of
commercial mixed use and high-density residential uses
in the core area with a transition to lower residential den-
sities on the outer edges. Located east of the Union Mills
site is the Fairfax Center Area, "The Fairfax Center Area
is characterized by a mixture of uses including a substan-
tial amount of office space, housing of various types, public
facilities and regionalcommunityneighborhood serving
retail uses" (Fairfax County, 1992). These development
nodes are served by Interstate 66, which provides access to
Washington, D.C., and Lee Highway (Route 29), a principal
arterial roadway. All of these factors supported the devel-
opment of residential and commercial uses on the site.
The property which became the Union Mills project orig-
inally consisted of two parcels containing a total of approxi-
mately 108 acres and identified on the Fairfax County zoning
maps as 553 ((1)) 43 and 46. A copy of the Zoning Map is
shown as Figure 7.7C. The property is bordered by a fourlane
divided primary highway known as Lee Highway (Route 29),
to the north and a two-lane minor arterial road identified as
Braddock Road to the south. The surrounding area gener-
ally consisted of older single-family detached development
on large parcels with a few spot commercial uses along Lee
Highway.
After several years in the planning/zoning process, the
project was developed by Hazel/Peterson Companies as a
mixed use community consisting of a total of 368 residen-
tial units with a mixture of single-family detached homes
and townhouses at a density of 3.99 dwelling units per acre,
supporting recreational amenities, and a child care center.
In addition, a neighborhood shopping center including a
service station, fast food restaurant, and drive-in bank was
developed to serve the residents of the community and the
surrounding area.
Comprehensive Planning and Zoning in Fairfax County. As
discussed earlier, one of the first steps for the land develop-
ment team is to evaluate the County's Comprehensive Plan.
This step is crucial in Fairfax County since the Comprehen-
sive Plan is used as the basis for land use decisions. Although
a Comprehensive Plan is only a guide and not a legal docu-
ment per se, practically speaking, development in Fairfax
County must be in accordance with the Comprehensive
Plan. It is extremely rare for a development proposal to be
approved by the Planning Commission or Board of Supervi-
sors that is not in strict conformance with the Comprehen-
sive Plan.
County's Comprehensive Plan resulted from the Planning
and Land Use System (PLUS) Program in the early 1970s.
This Plan evolved from the commitment of the Board of
Supervisors to achieve improved planning and growth con-
trol. The PLUS Program included widespread and effective
citizen participation through the creation of task forces, sur-
veys, and countless public meetings. The County residents
played a major role in the preparation of the Comprehen-
sive Plan and continue their influence on the land develop-
ment process today. The PLUS Program was implemented
through the updating of the Countywide Plan and 14 Plan-
ning District Plans in the Comprehensive Plan in 1975. The
original 14 Planning District Plans were grouped in four log-
ical areas of the County, Areas I, II, III, and IV as shown in
Figure 7.7D. Each Planning District is further broken down
into Community Planning Sectors. Land use recommenda-
tions are presented for each Planning Sector. In addition to
the parcelspecific land use recommendations, the County's
Comprehensive Plan includes jurisdictionalwide policies
relating to land use, transportation, environment, public
facilities, and housing.
One significant element of the County's Comprehensive
Plan, which impacts land development, is the designation
of an Environmental Quality Corridor (EQC) system. The
EQC system contains environmentally sensitive areas that
consist of streams, their associated floodplains, poor soils,
wetlands, and steep slopes, which are to be protected as part
of an open space system. Since the preservation of EQCs
is only a recommendation of the County's Comprehensive
Plan, dedication of these areas by a private land owner is only
obtained through the rezoning, special exception, or special
permit process.
As is typical of other jurisdictions, the County's Com-
prehensive Plan contains a map known as the Land Use
Plan. This is a graphic representation of the land uses as
 FIG uRE 7. 7 B Concept map for future development.

....
-
OQ
102 fatUhiii F·\,j,@,i:/iidf1,PLMH

FIGURE 7, 7C Zoning Map.


FIG uRE 7. 7 D Planning areas and districts.
recommended in the Comprehensive Plan for the entire
County. Residential development is categorized in the Plan
and Land Use Map with density ranges, that is, 1 to 2 du/acre,
2 to 3 du/acre, etc. Areas proposed for commercial uses, open
space and recreation, and public facilities are also identified
on the Land Use Plan.
The review of the Comprehensive Plan by Dewberry &
Davis LLC as related to the Union Mills project brought to
the client's attention several considerations for the develop-
ment of the subject property. The property was located in
Area III of the Bull Run Planning District and the Centreville
Community Planning Sector as shown in Figure 7.7E.
The Land Use Recommendation applicable to the prop-
erty at that time was as follows:
Land generally located: (1) between Interstate 66, Old Mill
Road, Newgate Forest and Route 28, and (2) between Little
Rocky Run, Clifton Road, and the Twin Lakes Golf Course
7.7 ■ DETAILED CASE STUDIES 783
facility should be residential use in the 2 to 3 dwelling units
per acre range as a transition away from higher-density uses
in the Centreville mixed land use areas. 2
Other applicable recommendations in the Comprehen-
sive Plan which would have an effect on the development of
the subject property included the preservation of the Little
Rocky Run Stream Valley and its tributaries and the widen-
ing of Lee Highway (Route 29) to six lanes.
The implementation element of the Comprehensive
Plan contains Development Criteria for Residential Den-
sity Ranges, which was applicable to the development of
the Union Mills project. Development Criteria are crite-
ria by which all proposed rezoning applications are evalu-
ated in terms of impacts on public facilities, transportation,
2 Fairiax County. The Fairfax CountY, Virginia Plan, 1975 as amended through
July 1977.
104 fatUhiii F·\,j,@,i:/iidf1,PLMH

FIG uRE 7. 7 E Bull Run Planning DistricVCentreville Community Planning Sector.


environment, etc. To obtain a favorable credit for the criteria
the applicable impacts must be mitigated.
Another important aspect of the comprehensive planning
and zoning process is to be aware of how local governments
operate in accordance with their jurisdiction size, structure
of government, legislative authority granted by the State and
the amount of participation by the residents of the commu-
nity. In order to understand the land development process as
it relates to Union Mills, it is important to become familiar
with the basic structure of the government of Fairfax County
and the participants in the process.
The governing body in Fairfax County is the urban
County Board of Supervisors. The citizens elect one Super-
visor from each of the nine Supervisor Districts and an At
Large Chairman. The entire board is elected every 4 years.
The Board of Supervisors plays a major role in the land
development process. They formulate and adopt Ordinances
and policies relating to the development process as well as
review and approve rezoning/special exception applications
and amendments to the Comprehensive Plan. Although
the Board of Supervisors delegates the preponderance of
the coordination and negotiations of issues relating to land
use to the Planning Commission, the Board of Supervisors
makes the final decision on the majority ofland use matters.
The Planning Commission is a 12-member body appointed
by the Board of Supervisors. Each Board of Supervisor mem-
ber appoints a Planning Commission member to represent
their district for a 4-year term and the entire Board approves
three at-large members. Generally, the Planning Commis-
sion holds public hearings twice a week. Historically, each
Board member relies heavily on the Planning Commission
recommendation on land use matters. Although there have
been rezoning cases in which the Board of Supervisors has
overruled a Planning Commission recommendation, it is
atypical of the process.
As a result of the increased sophistication of the citizens
and their influence in the land development process in Fair-
fax County, organizations made up of representatives of vari-
ous homeowners associations have been formed within the
individual Supervisor Districts to advise the Planning Com -
mission and Board of Supervisors on land use matters. For
example, the Western Fairfax County Citizens Association
(WFCCA) is a bipartisan volunteer group established in 1980.
This group advised the Planning Commission and Board
of Supervisors during the planning process of Union Mills.
Referred to in a local newspaper as the "Watchdogs of the
Community;' the WFCCA is comprised of eleven members
consisting of six voting members and five alternate members
(Barne Donna, 1987a). These 11 members are elected annu-
ally by the President or other appointed representative of each
of the 32 homeowner associations in the western portion of
Fairfax County included in WFCCA. These types of citizen
organizations have become so influential in the land devel-
opment process, that many Supervisors and Planning Com-
mission members strongly suggest that the applicants present
their proposals to these groups for their recommendation
7.7 ■ DETAILED CASE STUDIES 785
prior to the Planning Commission public hearing. It is diffi-
cult to receive a favorable recommendation from the Planning
Commission or Board of Supervisors without the approval of
these citizen groups. These groups typically meet at least once
a month to discuss land use matters and to listen to presenta-
tions from individual applicants for rezoning, special excep-
tion, or Plan Amendment proposals. It is not uncommon
to have to meet with these groups several times prior to the
Planning Commission public hearing in order to adequately
address their concerns.
In addition to the political decision makers, there are usu-
ally homeowners in proximity to the proposed development
who have concerns or self-serving interest regarding the
proposal. Sometimes, these citizens are not part of a home-
owners association and lack representation within one of the
larger community citizen organizations. The members of the
Planning Commission and Board of Supervisors rely heavily
on input from the adjacent homeowners and their concerns
must also be addressed along with those of the larger citizen
organizations.
Site Analysis of Union Mills. As stated previously, the
Comprehensive Plan recommended the site for residential
use at two to three dwelling units per acre. The base level
or low end of the density range is two dwelling units per
acre. In order to gain a rezoning to allow development at
this base level, the project must satisfy all applicable County
ordinances and policies. To achieve a density above the low
end of the density range a detailed evaluation of the Devel-
opment Criteria set forth in the Comprehensive Plan is
used to determine an appropriate intensity of development.
These development criteria include development issues such
as proffering to a development plan meriting good design,
commitment to phasing of the development where appro-
priate, provision of transportation, affordable housing, open
space, etc. above the minimum ordinance requirements.
The fulfillment of the development criteria is accom-
plished through the proffer system. The proffer system was
introduced to the land development process in July 1975 as
a result of State legislation, which enabled Fairfax County to
accept commitments from developers during the rezoning
process to make a development proposal more acceptable.
Proffers are, by State statute, voluntary commitments made
by a landowner/developer and can range from cash contribu-
tion for transportation improvements to dedication of land
for schools or fire stations, to a commitment to provide a
specific number of Affordable Dwelling Units (ADUs). Since
the introduction of the proffer system in Fairfax County, the
applicant proffers all development plans that accompany
rezoning applications. The proffering of the plan gives those
interest groups, including concerned citizens, a comfort level
that the commitments made by the applicant will become
reality. The proffers become part of the rezoning and must
be honored by whomever eventually develops the property.
A change in a proffered plan requires a new zoning applica-
tion and the same process as with the original zoning of the
property.
10& fatUhiii F·\,j,@,i:/iidf1,PLMH
Another important early step in the land development
process is to research the zoning history of the property.
As mentioned previously, the subject property consisted of
two large parcels containing approximately 108 acres. Dur-
ing the background investigation of this site it was learned
that a rezoning application was submitted in 1974 for the
entirety of the subject property, as well as, additional prop-
erties by a previous owner. The application was to permit a
mixture of townhouses and multifamily dwelling units. This
application was withdrawn due to problems in assembling
the land. In 1978, the applicant for the parcel located adja-
cent to Lee Highway (Route 29) which consisted of approx-
imately 39 acres, sought to rezone the property to the R-5
District3 at a density of 4.7 dwelling units per acre. However,
the Board of Supervisors denied the request to the R-5 Dis-
trict and rezoned the property to the R4 District4 instead.
The approved rezoning was for 156 single-family detached
residential units at a density of 4.0 dwelling units per acre.
Although at that time, the Comprehensive Plan recom-
mended the property for residential use at four to five dwell-
ing units per acre the Board of Supervisors did not believe
that the application warranted a density of 4.7 dwelling unit
per acre. The approved proffers contained a commitment
to develop in general concept with the Generalized Devel-
opment Plan (GDP) shown in Figure 7.7F but with a lesser
number of units as approved by the Board of Supervisors.
In addition, the proffers included a commitment to dedicate
rightofway along Lee Highway, construction of turn lanes
into the site, and dedication of 9. 7 acres of open space to the
future homeowners association with development of passive
recreation facilities.
Since the background investigation on this previous rezon-
ing indicated that the site was at one point recommended
in the Comprehensive Plan for residential use at four to five
dwelling units per acre, Dewberry & Davis researched the
background and timing of an amendment which changed
the recommendation to two to three dwelling units per acre
for this property. It was determined that subsequent to the
approval of the 1978 rezoning, the Board of Supervisors ini-
tiated a study to evaluate the relationship of land use plan-
ning and water quality in the Occoquan Reservoir, a source
of drinking water supply for over 800,000 people. In an effort
to protect the public water supply, the Board of Supervisors
implemented the recommendation of the study by adopting
a new land use plan for the watershed and a comprehensive
rezoning for a portion of the watershed in June 1982. The
Union Mills site is located in this watershed and, as a result
of the new adopted land use plan, was downplanned from
residential use at four to five dwelling units per acre to two to
three dwelling units per acre.
Although a site analysis is typically performed prior to the
actual purchasing of the property, Hazel/Peterson did this
evaluation subsequent to land acquisition. Hazel/Peterson
Residential use at five dwelling units per acre.
3 be completed. The first step is to secure the necessary zon-
4Residentialuse at four dwelling units per acre.
was very familiar with the development process and expec-
tations in Fairfax County due to their experience on other
large-scale projects in the area. Their knowledge and exper-
tise afforded them the ability to purchase land with confi-
dence that they have made a sound investment and assembled
the two parcels in 1981 with the intent to develop residential
uses as recommended in the Comprehensive Plan.
As described previously, Dewberry & Davis performed
a "quick and dirty" site analysis. This analysis entailed a
review of the essential factors related to development of the
property and identified potential constraints. Topography
with a contour interval of 2 feet was compiled for the site
based on an aerial photographic survey and the lO0year
floodplain was identified to be located on the western por-
tion of the property. The presence of a floodplain neces-
sitated further evaluation to determine the limits of the
EQC, as defined in the Comprehensive Plan. That analy-
sis indicated that approximately 14 acres (of the 108-acre
site) was included in the EQC. During the rezoning process,
the County requested and the applicant agreed to preserve
this area and dedicate it to the Park Authority. However, it
should be noted that Fairfax County allows the density for
the property to be calculated based on the entire land area,
including the EQC, in order to provide the incentive for pri-
vate land owners to dedicate these areas viewed to be envi-
ronmentally sensitive.
Given the existence of a stream on the property, a wet-
land analysis would have typically been performed. How-
ever, at the time this project was being developed, the
Federal, State and Local controls relating to wetland pro-
tection, investigation, and mitigation were not developed
as they are today.
As part of the feasibility study, the location of utilities was
evaluated and determined to be adequate. The access to the
property and planned improvements to the existing public
roads along the frontages of the site was evaluated to deter-
mine probable rightofway dedication.
Subsequent to the site analysis, a yield study was per-
formed in order to determine the maximum number of resi-
dential units that could be developed on the site. Although a
portion of the property was already zoned R4 for single-fam-
ily detached units, the applicant wanted to evaluate the pos-
sibility of the development of townhouses on the entire site.
It was viewed that townhouses would be consistent with the
planned development to the south of the property. Using the
PDH (Planned Development Housing) District provisions of
the Zoning Ordinance to allow for greater flexibility in the
design, the yield study was performed. As a result of the site
analysis and yield study, Hazel/Peterson Company decided
to pursue the necessary rezoning of the property to develop
townhouses on the entire site.
The Rezoning Process. The development process in Fair-
fax County is complex and involves many submissions,
review, and approval steps before a development project can
ing approvals to permit the proposed land uses. Since the
 7.7 ■ DETAILED CASE STUDIES 787

FIG uRE 7. 7 F Generalized development plan for single-family detached units.

188 fatUhiii F·\,j,@,i:/iidf1,PLMH
property was zoned Rl and R4 with proffers, a rezoning appli-
cation was required to rezone the entire property to permit
the development of townhouses. A rezoning application was
filed in September 1981 to rezone the entire 108.5 acres from
the Rl and R4 Districts to the PDHS District. The application
was submitted along with a Conceptual Development Plan
(CDP) to permit the development of 542 townhouse units for
an overall density of five dwelling units per acre.
Once the application for rezoning (or special excep-
tions) was filed with Fairfax County, a staff coordinator was
assigned to the case. The staff coordinator is a professional
planner employed by the County who manages the staff
evaluation of the application and prepares a staff report. The
staff coordinator distributes copies of the development plan,
which is submitted by the applicant showing the layout of
the proposed development to various County agencies for
review and comment. These agencies comment in terms
of the project's impact on public facilities and utilities, and
conformity with applicable regulations and policies. Given
that these various agencies have differing objectives, it is not
uncommon to have conflicting goals, objectives, and com-
ments. It is the staff coordinator's responsibility to dissemi-
nate these comments and to negotiate with the applicant on
proffers and revisions to the development plan.
Typically, the applicant for a rezoning or special excep-
tion application is the landowner or a contract purchaser of a
property. As mentioned previously, Hazel/Peterson Compa-
nies is the developer for the Union Mills project. During the
planning/zoning process the project was identified as Cent-
reville Green. Subsequently, the project name was changed
to Union Mills for marketing reasons. The applicant for the
rezoning of the property was actually Centreville Partner-
ship whose general partners are John T. Hazel, Jr. and Milton
V Peterson of Hazel/Peterson Companies. It is also typical
in Fairfax County for the applicant to retain a development
team consisting of a land use attorney and engineering con-
sultant to represent their interest in the rezoning process.
The engineering consultant should have strong professional
planning capabilities to adequately represent the applicant
or alternatively a professional planner is brought in to work
with the engineering consultant.
A request for a rezoning to the PDH District is evaluated
by two approval processes. That is, a CDP approved by the
Board of Supervisors and a Final Development Plan (FDP)
approved by the Planning Commission. At the time of the
rezoning of the property, a CDP must be submitted to illus-
trate conceptually how the property is intended to be devel-
oped. Public hearings before the Planning Commission and
Board of Supervisors are required. At that point in time, the
CDP was typically a blob plan, which identified the general
location of proposed land uses. A CDP differs from a GDP,
which is prepared for rezoning applications to conventional
zoning districts in that the GDP shows the locations of the
proposed buildings/structures. In this case, however, the
CDP, which was ultimately approved, did reflect the location
of the proposed townhouses as shown in Figure 7.7G, but
the development of the property was not proffered to be in
conformance with this plan.
Nonetheless, certain elements of the plan were proffered,
including the type and number of units, density, and amount
of open space to be provided. After discussions with the staff,
the initial CDP submitted with the rezoning application was
then revised to reduce the number of townhouses from
542 to 455 for a density of 4.19 dwelling units per acre. The
reduction in the requested density from five dwelling units
per acre was based on several factors. First, the Comprehen-
sive Plan recommendation for the property was for residen-
tial use at two to three dwelling units per acre. In recognition
of the fact that a portion of the site was already zoned R4 and
several surrounding properties were zoned RS but also prof-
fered at four dwelling units per acre, a compromise between
the Comprehensive Plan recommendation and the existing
zoning was developed. The density was calculated using
the existing R4 zoning at four dwelling units per acre and
three dwelling units per acre for the remaining portion of the
site in accordance with the high end of the Comprehensive
Plan, plus using the bonus provisions set forth in the Zoning
Ordinance for the PDH District. Bonus density was merited
due to the excessive amount of open space to be provided by
the development.
The use of townhouses was accepted by the board of
supervisors along with a list of required proffers:
• A 100-foot undisturbed buffer was proffered to be
provided around the entire perimeter of the property.
• Recreational facilities, consisting of a tot lot, a multi-
purpose court, and two tennis courts were proffered
to be constructed to serve the future residents of the
community.
• Transportation improvements included rightofway
dedication along the public street frontages of the prop-
erty with provisions of turn lanes into the entrances.
• A roadway was proposed to link from Lee Highway
on the north to Braddock Road to the south.
• A $100,000 contribution toward the future improve-
ment to Braddock Road was also proffered.
The property was rezoned to the PDH4 District by the Board
of Supervisors in September 1982.
The second approval process for the PDH District is the
submission of a FDP. A FDP is a more detailed plan, which
shows the layout for the subject property. The submission
and review process of the CDP and FDP are basically the
same with the exception that only the Planning Commis-
sion holds a public hearing and approves the FDP. The Plan-
ning Commission considers the FDP in accordance with the
approved CDP, and determines if it complies with the appli-
cable zoning district regulations. The Planning Commission
may establish conditions with the FDP to ensure compliance
with the applicable regulations and CDP. A FDP can be filed
 7.7 ■ DETAILED CASE STUDIES 789

FIG uRE 7. 7 G Conceptual Development Plan for single-family attached units.

190 fatUhiii F·\,j,@,i:/iidf1,PLMH
and processed concurrently with the rezoning application
and CDP.
Subsequent to the approval of the rezoning, Hazel/
Peterson Company had Dewberry & Davis prepare a FDP
for 18 acres located on the northeastern portion of the prop-
erty. The FDP shown in Figure 7.7H reflected 83 townhouses
and was approved by the Planning Commission in January
1985. The development conditions imposed by the Planning
Commission required that a left-turn lane from Lee Highway
(Route 29) into the site be constructed and the main road-
way within the site be a four-lane, 48foot roadway within
a 60foot rightofway. The approval of this FDP would allow
the developer to submit a site plan for the first section. Sub-
sequent FDPs would have been required for the remaining
90 acres; however, a complete reevaluation of land use was
undertaken.
Amendments to the Comprehensive Plan
Changing Market/Reevaluation of Land Use. Since the
Union Mills project was rezoned in 1981, a significant
amount of development had occurred in the Centreville
Area. In 1985, Hazel/Peterson and other developers came
to the realization that the amount of existing and planned
commercial shopping centers in the western portion of
Fairfax County was woefully inadequate to serve the built
and planned residential growth.
During this same time frame, Fairfax County conducted
a full review of the County Comprehensive Plan. The State
enabling legislation requires that "at least once every five
years the Comprehensive Plan shall be reviewed by the
local commission to determine whether it is advisable to
amend the Plan:'5 In furtherance of this requirement, Fairfax
County established an Annual Plan Review Process (APR)
for the Comprehensive Plan. Every third year the Planning
Commission conducts a full review of the Plan, in which
nominations can be submitted by citizens, developers, and
landowners for Plan Amendments to be considered at public
hearings. Nominations must satisfy at least one of the fol-
lowing criteria in order to be scheduled for a public hearing:
1. Significant changes have occurred in the area of con -
cern since the adoption of the Plan.
2. The Plan contains provisions which unreasonably
limit the ability of the County to achieve objectives
of the Plan.
3. Oversights, inconsistencies, or land use related
inequities are contained in the adopted plan as they
affect the area of concern (Fairfax County, 1983).
In the intervening years, a limited review of the Plan is con-
ducted. However, an emergency (or urgency) must exist
to justify consideration by the Planning Commission. An
emergency or urgency is a situation that would jeopardize
'Virginia. Local Planning Legislation Title 15.1, Chapter 11, Code of Virginia, 1950 as
amended, p. 144.
the health, safety, and/ or welfare of the County, or where the
existing land use recommendation is not in the best interests
of sound land use planning.
During the 1985 APR process and the 1986 limited review
process, there were many nominations submitted for addi-
tional retail commercial facilities in the western portion of
the County. One of these nominations was a request filed in
December 1985 on behalf of Hazel/Peterson. The nomina-
tion was submitted based on the criterion that the adopted
Plan contained oversights, inconsistencies, and inequities
for the area and there were provisions, which unreasonably
limited the ability of the County to achieve the objectives of
the Plan. The applicant argued that the existing Comprehen-
sive Plan recommendation of two to three dwelling units per
acre for the subject property was not compatible with the
four to five dwelling units per acre and five to eight dwell-
ing units per acre on adjacent parcels to the west. Therefore,
it was inconsistent with the Plan's objective of promoting
compatible development and providing effective transitional
densities. They further argued that the Comprehensive Plan
acknowledged that no local serving commercial uses were
located in the Planning Sector and that additional local serv-
ing centers would be required to satisfy growth projections.
Therefore, it was requested that the Comprehensive Plan be
amended to permit residential development at four to five
dwelling units per acre on the site as well as the development
of a neighborhood retail center.
In a letter to the Executive Director of the Planning
Commission dated February 19, 1986 regarding the Annual
Plan Review Nomination, Mr. John "Til" Hazel, Jr. stated
that a convenient neighborhood shopping center was nec-
essary to serve the 3000 plus residential units under devel-
opment in the vicinity of the subject property. In the event
that the retail center was accepted and the approved resi-
dential density was maintained, Hazel/Peterson proposed
to extend Union Mill Road as a four lane divided facility
north to Route 29 (Lee Highway) and relocate Braddock
Road as shown in Figure 7.71 as part of the shopping center
development. The applicant argued that these road exten-
sions/improvements were important for Fairfax County
since they were commencing construction of an elementary
school and high school which would be accessed by existing
Union Mill Road and Braddock Road both of which were
inadequate twolane roads.
Since the nomination was submitted in a Limited Plan
Review Year, an urgency or emergency must exist for the
Planning Commission and Board of Supervisors to consider
the amendment. The urgency of the Plan Amendment was
based on the fact that the plans for the development of the
property in accord with the existing PDH4 zoning were well
on their way to approval and since approval would negate the
opportunity for Fairfax County to satisfy transportation and
retail needs in the area.
Comprehensive Plan Amendment-Negotiations with Staff.
As a result of the many nominations for retail uses in the
western portion of the County, the County staff wanted to
 7.7 ■ DETAILED CASE STUDIES 791

FIG uRE 7. 7 H Final Development Plan.

192 fatUhiii F·\,j,@,i:/iidf1,PLMH

FIGURE 7, 71 Proposed Union Mill Road extended.


evaluate the retail demand for this area and develop guide-
lines for locating retail commercial facilities. All of the APR
nominations, which were submitted for retail use in the west-
ern portion of the County, were deferred pending completion
of the ""Retail Study" by County staff. Prior to completion
of this study, the County staff initially recommended that
the APR nomination for the Union Mill project be screened
and not go forward to public hearing because staff believed
that the nomination did not demonstrate any urgency or
emergency. It was staff's opinion, as stated in the staff report,
"that neither the current planned densities nor the densities
permitted in the 1982 rezoning of the subject property will
unreasonably limit the ability of the County to achieve the
objectives of the Comprehensive Plan'' (Fairfax County).
The staff indicated that the results of the pending Retail
Study would not recommend the site for a shopping center.
Further, it was staff's judgment that the proposed two-lane
spine road, proffered with the original rezoning application,
connecting Braddock Road west of Union Mill Road to Lee
Highway (Route 29) would help convey northsouth traffic in
the Centreville area. Consequently, extension of Union Mill
Road as currently proposed by Hazel/Peterson would not be
needed.
The development team continued to argue that the pro-
posed Union Mill Road extension would provide a direct
connection to Lee Highway (Route 29) for more than 3000
residential units and future elementary and high school traffic
traveling on Union Mill Road. The Planning Commission lis-
tened to and was influenced by this argument and overruling
staff recommended that the APR nomination go forward to
public hearing as soon as the Retail Study was completed.
Guidelines for locating retail commercial facilities in
the County, which were to be included in the Retail Study,
were adopted in July 1986. The study "Shopping Centers-
Meeting the Demand for Retail Commercial Facilities in
Western Fairfax County'' was published in August 1986.
The Study identified sites for future retail commercial loca-
tions, which were considered in conjunction with those sites
nominated during the 1985, and 1986 Annual Plan Review
Process. The Study recommended a neighborhood shopping
center on a 10- to 12-acre site located at the intersection of
Braddock Road and Clifton Road southeast of the Union
Mills property as shown in Figure 7.71.
The Hazel/Peterson team argued that the site recom -
mended by staff consisted of 34 separate parcels owned by
30 separate owners with 12 existing dwellings and would be
extremely difficult to assemble. In addition, Hazel/Peter-
son noted that a shopping center on that site may impact
adjacent ResidentialConservation (RC) District zoned land
(1 unit per 5 acres) which was downzoned as a result of
the Occoquan Basin Study. In an effort to negotiate with the
staff, the development team refined its proposal to reduce the
total number of units from 455 townhouse units as permit-
ted under the existing approved PDH4 zoning to 340 town-
house units and 60 single-family detached units, for a total of
400 units. Hazel/Peterson proposed single-family detached
7.7 ■ DETAILED CASE STUDIES 793
units on the east side of Union Mill Road extended, which
was consistent with the Comprehensive Plan recommenda-
tion north and south of this portion of the site.
Following extensive negotiations and discussions with
the staff, it was determined that the Hazel/Peterson proposal
was, indeed, a better location for the neighborhood shop-
ping center. Staff accepted the argument that the compet-
ing site was adjacent to low-density residential development
and thus did not satisfy the guideline for shopping center
locations. Staff further determined that the other site was on
the outer edge of an area of very low-density development
rather than in an area of suburban or urban density, as was
the Union Mill property. The staff ultimately recommended
that a neighborhood shopping center be developed on the
Hazel/Peterson site, consisting of 10 to 12 acres to serve sur-
rounding residential development. However, contrary to
Hazel/Peterson's nomination, staff recommended that the
residential development for the remaining portion of the
property be maintained at the existing planned density of
two to three dwelling units per acre.
Comprehensive Plan Amendment-Negotiations with Citizens.
As is typical of the Comprehensive Plan Amendment pro-
cess, there was a public meeting held for interested citizens
regarding all of the plan nominations for retail use in the
western portion of Fairfax County, as well as public hearings
before the Planning Commission and Board of Supervisors.
In addition to this public meeting scheduled by staff, the
development team met with the neighboring citizen groups
individually to present their proposal. The issues raised at
those meetings were related to specific uses within the shop-
ping center, hours of operation of the uses and the proposed
transportation improvements. Initially, there was not much
opposition to the proposal.
In March 1986, a Comprehensive Plan Amendment for
the Centreville area was adopted by the Board of Supervi-
sors after several years of extensive study and evaluation by
a Citizens Task Force. The Centreville Area Plan included a
Transportation Plan as shown in Figure 7.7J.
This Plan proposed that Clifton Road located to the east
of the site be improved to complete the planned loop road
system around the Centreville Area. One of the citizens who
participated on the Citizen Task Force was strongly opposed
to the Hazel/Peterson proposed Plan Amendment since the
extension of Union Mill Road conflicted with this recom-
mendation in the Transportation Plan. This citizen argued
that the extension of Union Mill Road might entice com-
muters from adjacent Prince William County to use the
Compton and Union Mill Roads which served the residen-
tial areas as shortcuts to and from the work place. He further
argued that the extension of Union Mill Road might defer
the funding and construction of another planned vital east-
west arterial road in Centreville known as Braddock Road
Extended. Braddock Road extended was proposed to be
extended from existing Union Mill Road to the west to Route
28 which would be part of the fourlane divided loop road
system around Centreville. The Braddock Road extension
194 fatUhiii F·\,j,@,i:/iidf1,PLMH
FIG uRE 7. 7 J Centreville Area Transportation Plan.
was proffered in conjunction with another planned devel-
opment by Hazel/Peterson known as Centre Ridge, which
is located in the core of Centreville. Hazel/Peterson was
committed to construct two lanes of the four-lane roadway
extension prior to the issuance of a residential use permit
for the 2400th dwelling unit in Centre Ridge. 3350 dwelling
units were approved to be built in this planned development.
The remaining two lanes of Braddock Road extended were to
be funded by Fairfax County.
This citizen solicited and gained the support of the influ-
ential Western Fairfax County Civic Association (WFCCA)
which took the position that they opposed the Union Mill
proposal if it resulted in an increased density and delayed the
construction of the Braddock Road extension. The WFCCA
recognized that the roadway would not be constructed for
many years based on the existing proffer. The WFCCA
further realized that they could influence the process and,
therefore, recommended that construction of the retail
center should not occur until such time as Braddock Road
extended was constructed. Neighboring subdivisions includ-
ing the Board of Trustees for the Little Rocky Run subdivi-
sion, a 3000+ unit planned community located to the south
of the property, supported the proposal. The testimony pre-
sented during the public hearing before the Planning Com-
mission was split by strong opposition of the WFCCA and
considerable support of the neighboring citizens for the Plan
Amendment.
Following the public hearing, the Planning Commission,
on a motion by the District Commissioner, deferred the
decision on the Plan nomination for approximately 1 month.
Such a deferral is typical when WFCCA is opposed to a
particular development proposal. However, the Planning
Commission did allow the record to remain open during
the deferral period to receive additional written testimony

from the public. The citizen activist opposing the Plan
Amendment continued to encourage the community to join
WFCCA in the fight against the proposal. Consequently, a
petition was filed by approximately 50 homeowners in the
Little Rocky Run subdivision opposing the Plan Amend-
ment. The petition stated that the testimony at the Plan-
ning Commission public hearing, by the Little Rocky Run
homeowners association supporting the proposal, was only
the opinion of Board members and not a consensus of the
individual homeowners in the area. The other neighboring
subdivisions to the east continued to support the proposal.
In an effort to address concerns expressed by the Planning
Commission members at the public hearing, a traffic analysis
was performed by a transportation consultant retained by
Hazel/Peterson. The goal of the study was to quantify and
confirm staff's opinion that a neighborhood center at Union
Mill would lower the traffic demand in the downtown Cent -
reville area. The study demonstrated that there would be less
traffic in the downtown Centreville area with the location
of the shopping center at Union Mill than there would be if
there was not a shopping center there. The study showed that
the shopping center actually removed trips from key primary
roads in the Centreville area. The development team contin -
ued to argue that the traffic generated by the proposed retail
center did not result in the need for Braddock Road extended
and, therefore, should not be linked to the development.
The Planning Commission recommended approval of the
Plan Amendment to allow a retail center on the Union Mill
property to the Board of Supervisors. However, consistent
with the recommendation of the WFCCA, the opening of
the retail center was contingent upon the opening of both
Union Mill Road extended and Braddock Road extended.
In addition, specific language recommending screening and
buffering in excess of Ordinance requirements in order to
protect the adjacent neighborhoods was included in the Plan
Amendment. Consistent with the Planning Commission
recommendation, the Board of Supervisors approved the
Plan Amendment to allow a neighborhood shopping center
on the subject property on January 12, 1987, a full year after
the nomination was submitted.
The Rezoning Process Revisited. The approval of the
Comprehensive Plan Amendment allowed the development
team to prepare and file the rezoning applications necessary
to develop the property in accordance with the new Com -
prehensive Plan recommendation. An application to amend
the CDP and proffers, which were previously approved for
the entire property when it was originally zoned PDH4,
was required to delete the land area necessary for the shop-
ping center and to revise the remaining portion of the resi-
dential layout accordingly. Although the PDH District does
allow commercial uses, the amount of land area which can
be devoted to commercial uses is limited and the commer-
cial uses must be designed to serve primarily the needs of
the residents of the planned development. Since the land
area necessary for the proposed retail center exceeded this
limitation and was intended to serve the other neighboring
7.7 ■ DETAILED CASE STUDIES 795
communities, a separate rezoning application was required
to rezone the approximately 16 acres of the property to the
C6 District (Community Retail Commercial District). A suc-
cessful rezoning to the C-6 District would permit the devel-
opment of the neighborhood shopping center, service station,
fast food restaurant, and drivein bank. A combined CDP/
FDP was prepared for the residential portion of the develop-
ment to include a childcare center as shown on Figure 7.7K.
A CDP and FDP was combined showing the location of
the proposed townhouses, single-family detached lots, and
child care center in order to expedite the review process. A
separate GDP was prepared for the shopping center with
companion special exception applications for the service
station, fast food restaurant, and drivein bank as shown in
Figure 7.71. The applications were filed with Fairfax County
in April 1987 to be processed concurrently.
As discussed earlier, the site design for the project was a
result of several factors. The alignment of Union Mill Road
extended, requiring the reconstruction of its intersection
with Braddock Road. Knowing that this proposed roadway
and intersection would affect the design of the layout, Hazel/
Peterson had a preliminary design of the roadways prepared
during the rezoning process. This preliminary design was
ultimately submitted to the Fairfax County transportation
staff and by reference became part of the approved proffers.
The extension of Union Mill Road from Braddock Road
to Lee Highway (Route 29) bisected the property creating
two distinct land bays. The eastern side of Union Mill Road
extended was proposed for 57 single-family detached homes
on lots averaging 12,000 square feet to be compatible with
the existing and planned development adjacent to the north
and south of this land bay.
The property to the west of Union Mill Road extended
was proposed for 323 townhouses consistent with the
previously approved rezoning. The townhouses provided
a transition in land use from the higher density multiple
family units to the west to the single-family detached units
to the east of the site across Union Mill Road extended.
The proposed density for the residential portion of the
layout was 4.12 dwelling units per acre. This included 12
bonus dwelling units resulting from the provision of open
space beyond ordinance requirements. The realignment
of existing Braddock Road to the north and the creation
of its intersection with Union Mill Road extended was an
ideal location for the proposed shopping center to consist
of 118,000 square feet of retail space. This location at the
intersection of a minor arterial collector road would pro-
vide good visibility for the shopping center and convenient
right turn access for vehicles on the trip from work to
home. The service station, fast food restaurant, and drivein
bank were located near the entrances to the shopping center
to provide for visibility and convenient access. The realign-
ment of Braddock Road to the north created another land
bay south of the shopping center which was designed to
accommodate a child care center for 160 children to serve
the surrounding residential areas.
19& fatUhiii F·\,j,@,i:/iidf1,PLMH

FIG uRE 7. 7 K First Conceptual Development Plan/Final Development Plan-Union Mills (residential areas).
 7.7 ■ DETAILED CASE STUDIES 797

FIG uRE 7. 7 L First Generalized Development Plan-Union Mills (residential areas).

190 fatUhiii F·\,j,@,i:/iidf1,PLMH
Negotiations with Staff. During the processing of the
rezoning application, the County staff presented many issues,
which had to be addressed. The major issues presented by the
staff were related to the proposed density and design/layout
of the residential component. The proposed density at 4.12
dwelling units per acre was generally consistent with the
original approved rezoning at 4.19 dwelling units per acre.
However, it was staff's judgment that the proposed applica-
tion was not comparable to the original plan and did not jus-
tify the high end of the planned density range nor warrant the
12 bonus units proposed through the provision of excess open
space. The initial staff report stated that to "allow a 16.37 acre
decrease in the size of the subject site [for the retail center],
a change in the unit mix from all townhouses to a combina-
tion of 323 townhouses and 57 single-family detached dwell-
ings and to add a child care center ... [would] ... significantly
increase the intensity of the use and development of the appli-
cation property" (Fairfax County, 1982, p. 22).
The staff report further stated that "the proposed devel-
opment plan ... did not exemplify a design layout or features
which merit recognition for good design and amenities"
(Fairfax County, 1982, p. 13). Staff argued that the pro-
posed single-family attached units were crowded too closely
together and that the cluster concept of the single-family
attached unit layout did not cluster around any open space
areas. Further, it was staff's position that the plan lacked
significant areas of landscaped open space that were neces-
sary since the entire site was proposed to be cleared of the
existing vegetation. In addition, the staff argued that of the
35 acres or 38% open space being provided, approximately
14 acres was EQC and the applicant would receive density
credit for this area. The remaining 21 acres of open space
being provided did not justify the 12 proposed bonus units.
In an effort to address the staff concerns on the design, the
CDP/FDP was revised and resubmitted to the staff a total of
seven times throughout the process. Ultimately, the 12 bonus
units were deleted in the single-family attached layout, which
satisfied the staff's concern on the density. This resulted
in 311 single-family attached units and 57 single-family
detached units for a total of 368 units at a density of 3.99
dwelling units per acre. The landscaping was significantly
increased along the major roadways and internal streets and
within the courts of the townhouse clusters. Further, the
applicant proffered landscape details for the townhouse end
units, which were proposed to face sides of other end units
and at the entrances to the shopping center. A 25foot undis-
turbed buffer on the rear yards of the single-family detached
lots was provided around the periphery. To protect the adja-
cent single-family detached units as well as the townhouse
units behind the shopping center, landscaped buffers and
fencing was provided.
Negotiations with Citizens: Deadlock Issue. Once the
rezoning applications were filed with Fairfax County, the
development team immediately presented the details of their
proposal to the neighboring citizen associations. As stated
above, the Comprehensive Plan tied the opening of the retail
center to the construction of both Union Mill Road extended
and Braddock Road extended. It was the Hazel/Peterson
team's task to convince the adjacent citizen associations that
the shopping center and, more importantly, Union Mill Road
extended, would only be delayed if these projects had to wait
until Braddock Road extended was in place. Hazel/Peterson
knew their only hope to overcome this Comprehensive Plan
recommendation was to get these neighboring homeowner
associations to support their position. After several meetings,
these neighboring homeowner associations voted to support
the proposals with the understanding that Union Mill Road
would be extended and in service prior to the opening of the
shopping center. These citizen groups believed that "they
urgently need[ed] more roads in their area and [they] would
rather have Union Mill [Road] extended than nothing at all"
(Donna Barne, 1987b). The citizens expressed their desire
that the construction of Braddock Road extended was
important to improving the transportation network in the
Centreville Area and that the County should commit to the
construction and funding of the additional two lanes con-
current with construction of the two lanes by Hazel/Peterson
with the development of Centre Ridge.
The proffers initially submitted by Hazel/Peterson for
the rezoning application included a commitment to extend
Braddock Road to Route 28 prior to the opening of the retail
center. Although Hazel/Peterson continued to argue this
requirement, they realized it would be very difficult to obtain
approval for a rezoning contrary to the Comprehensive Plan
recommendation. However, once the development team
received support from the neighboring citizen groups which
deleted the linkage of the opening of the retail center to the
construction of Braddock Road extended, they realized their
argument was strengthened and withdrew the proffer. This
revision to the proffers occurred only days before the pub-
lic hearing before the Planning Commission on the pending
rezoning application. As a result, conflicting testimony was
presented at the public hearing with the neighboring citizens
supporting the rezoning application and the umbrella organi-
zation, WFCCA, continuing to strongly oppose the develop-
ment without the construction of Braddock Road extended.
The decision by the Planning Commission was deferred for a
week to allow the citizen groups time to resolve the conflict.
Prior to the scheduled decision by the Planning Commis-
sion, a meeting was held with various representatives of the
homeowner associations and WFCCA. The major point of
contention continued to be the linkage between the construc-
tion of Braddock Road extended and the construction of the
shopping center. As stated in a local newspaper, "Although
the extension was a hot topic, opponents said it was sec-
ondary to what they claimed was a violation of the County
master land use plan:' The newspaper article further stated
from an interview with one critic, "It wasn't a question of us
being antitransportation ... what they were asking for vio-
lated the actual planning process by allowing them to manip-
ulate the County's Comprehensive Plan in terms of zoning"
(Carlos Moncada, 1987). In an interview with another local

newspaper, Jeffrey Saxe, Hazel/Peterson Companies, stated
that the amendment to the Comprehensive Plan ". . . linked
Braddock Road extended to the construction of the shopping
center ... was unfair to the Centreville Partnership. The link is
not in there because of the need for Braddock Road extended.
This [amendment amounts to] using the planning process for
reasons other than sound planning" (Donna Barne, 1987c).
The Planning Commission member successfully made a
motion to defer the rezoning application for 2 months citing
deadlock between the citizens and the developer. Three days
later, Hazel/Peterson withdrew the rezoning applications
since a resolution of the linkage requirement for Braddock
Road extended could not be reached. After almost 2 years of
effort pursuing the commercial use, Hazel/Peterson intended
to pursue the development under the existing PDH4 zoning.
Dewberry & Davis initiated the preparation of the FDP based
on the approved CDP as well as a preliminary plan.
The Rezoning Revisited Compromise. The District Super-
visor and the neighboring homeowner associations as well
as some members of WFCCA were upset that the applica-
tions were withdrawn thereby eliminating the proposed
extension of Union Mill Road, which was vital to improving
their access to the major roadways. Although Hazel/Peterson
was pursuing the existing zoning, these citizens continued
to work with the umbrella group of WFCCA in an attempt
to reach a compromise. Several months later, a meeting
was held with the District Supervisor, representatives from
WFCCA and Hazel/Peterson. At that meeting a consensus
was reached that Hazel/Peterson would resubmit the rezon-
ing application with the following commitments:
1. The rezoning application would be considered as it
was at the time it was withdrawn. There would be no
requests for revisions to the development plans or
proffers.
2. There would be no attempt to link the opening of
the shopping center with the completion of Brad-
dock Road extended.
3. The rezoning application would be processed on an
accelerated basis with completion within 4 months.
4. Review of the residential preliminary plan, which
includes Union Mill Road, extended concurrent with
the rezoning. This was to compensate Hazel/Peter-
son for the 6-month delay and additional expenses
incurred by Hazel/Peterson as a result of the revision
of the development schedule.
5. Hazel/Peterson will accelerate design of Union Mill
Road extended and submit engineering plans.
In addition, Hazel/Peterson agreed to accelerate the fund-
ing of Braddock Road extended provided that the Board of
Supervisors: (1) expedited review and approval of certain
plans and plats pending for their Centre Ridge development,
(2) approval of a bond issue financing the other two lanes
7.7 ■ DETAILED CASE STUDIES 799
of Braddock Road extended, and (3) initiated condemnation
proceedings where appropriate.
Within days of this meeting, the WFCCA submitted a
letter to the Supervisor indicating unanimous support for
the rezoning application as it was at the time it was with-
drawn. The letter dated February 20, 1988 to Supervisor
McConnell from Dick Frank, President, WFCCA, stated that
the support was based upon the reality that the building of
Braddock Road extended could potentially be put on a fast
track as committed by Hazel/Peterson Companies. Further,
Hazel/Peterson's willingness to advance a percentage of its
share of monies for two of the four lanes of Braddock Road
extended and the County's inclusion of the additional funds
in the upcoming bond referendum gave the citizens the com-
fort level they needed on this issue.
The art of compromise was successful in this particular
instance as all parties involved attained all or the majority of
what they initially were seeking. Hazel/Peterson received full
support of the community, staff and decision makers for their
rezoning application, which included the commercial element.
The citizens were successful in gaining the approval of a much
needed community shopping center without jeopardizing or
delaying the construction of a vital portion of the overall trans-
portation network for the Centreville area. The local politi-
cians were praised by the community for their "efforts to bring
the applicant and community together, to not just resolve dif-
ferences but to produce solutions .. :' (Dick Frank, 1988).
After 1 year of negotiations in the rezoning process,
the property was rezoned by the Board of Supervisors to the
PDH4 and C6 Districts to permit the development of the
Union Mills project as we know it today. The development
of the property was proffered to be in conformance with the
approved CDP/FDP and GDP as shown in Figures 7.7M and
7.7N, respectively.
The proffers included the following:
• Dedication of the rightofway and construction of the
Union Mill Road extension.
• Dedication of the floodplain/EQC to Fairfax County.
• Funding and installation of a traffic signal at Union
Mill Road extended and Braddock Road realigned.
• Conformance to the limits of clearing and grading as
depicted on the CDP/FDP and GDP.
• Noise attenuation measures to mitigate noise from
Lee Highway, Route 29.
• Construction of a trail system along the roadways,
the floodplain and within the development.
• Recreational amenity package to include a swimming
pool, bathhouse, and tot lot.
• Hours of operation and the maximum number of
students enrolled in the child care center.
• Best Management Practices to be incorporated into
the stormwater management plan for the project.
aoo fatUhiii F·\,j,@,i:/iidf1,PLMH

FIG uRE 7. 7 M Approved Conceptual Development Plan/Final Development Plan (residential area).
 7.7 ■ DETAILED CASE STUDIES 801

FIG uRE 7. 7 N Approved Generalized Development Plan (retail center).

002 fatUhiii F·\,j,@,i:/iidf1,PLMH
• Notification to Fairfax County prior to construction
to allow exploration of site for archaeological pur-
poses to remove historic artifacts if found.
• Submission of a traffic analysis prior to site plan
approval of the entrances to the retail center to deter-
mine requirement for turn lanes.
• Compatible architecture for the retail center and free-
standing uses. The architectural elevations/perspec-
tives of these uses as well as their dumpster facilities
were to be submitted to the Planning Commission
for review prior to final site plan approval.
• Restriction of various uses within the retail center.
Since the freestanding uses were the subject of special excep-
tion applications, development conditions were imposed by
the Board of Supervisors rather than proffers. The devel-
opment conditions contained limitations to the hours of
operation, number of employees, signs, and landscaping for
all the uses.
The entire planning/zoning process of Union Mills
approximated 7 years from the time the original rezoning
application was filed in 1981 to the approval of the final
rezoning application in 1988.
Conclusion to the Feasibility and Site Analysis of Union
Mills. As stated in the introduction, this case study was not
intended to be a "how to" text on resolving conflict associ-
ated with the planning/rezoning process. These processes are
evolutionary by their very nature and of a complexity that
does not lend itself to textbook formula resolution.
Although this case study centered around a project in Fair-
fax County, Virginia, the process, participants, politics, and
problems are similar in jurisdictions throughout the nation.
Our world is getting smaller as the population increases and
developable land decreases. Consequently, the land develop-
ment process has gained importance and requires sensitivity
to a myriad of interest groups and issues which mandate cre-
ativity in design and engineering solutions and, most of all,
the ability to communicate effectively.
The landowners, developers and consultants must be
keenly aware of the need for compatibility of differing land
uses and design projects accordingly. The development team
must be open to negotiations and compromise to resolve
competing and/or conflicting interests. Politicians and pol-
icy makers must recognize and acknowledge that we live in
an imperfect world and it is not possible to please all of the
people all of the time. Citizens must continue to be vigilant
in protecting their interests while understanding that there
are certain property rights inherent in ownership.
The coordination and compromise between these interest
groups and the implementation of good planning and engi-
neering principles can result in a quality development. As
was the case with Union Mills, following 7 years of plan-
ning, engineering, negotiations and compromise, a commu-
nity was developed which provided quality housing for new
residents with easy access to a community shopping center,
implemented the County's transportation and land use plans,
and met the expectations of adjacent property owners and
community activists.
Epilogue: Political Retrospect. Now that Union Mills is a
completed, vibrant community, it is of interest to gain a per-
spective from both the politicians and developer who were
so intimately involved in the planning and zoning process
for this project. Both these entities offered their insights and
reactions to the politics ofland use as it applied to the Union
Mills development. 6
Supervisor Michael R. Frey is currently the elected
District Supervisor of the area in which Union Mills is
located. Throughout the planning and zoning process of
the project, Supervisor Frey was the Senior Administrative
Aide to Elaine McConnell who was, at that time, the District
Supervisor. As Administrative Aide to the Supervisor, Mr.
Frey was very much involved in all of the land use applica-
tions within the District. In this role, Michael acted on behalf
of the Supervisor and had a significant amount of influence
on the planning and zoning process. An interview was con-
ducted with Supervisor Frey in an attempt to gain insight
into the motivation and political considerations surrounding
the Union Mills project.
As discussed throughout this chapter, the most controver-
sial aspects of the rezoning application related to transporta-
tion, specifically the extension of Union Mill Road and the
timing of the construction of New Braddock Road. Supervi-
sor Frey's understanding of the base of this controversy is as
follows:
It [the Comprehensive Plan] didn't show Union [Road]
Mills as being extended. While it made perfect sense to
extend Union Mill Road, the fact that it wasn't on the [Com-
prehensive] plan raised the suspicions of some of the anti-
development activists involved, "By God, if Til Hazel wants
it, it's no good. We don't care what it is:' IfTil Hazel wanted to
leave all of western Fairfax undeveloped, those folks would
have wanted asphalt!
One of the other pressures and one of the things that cre-
ated the other base of support for the application was the
fact that Centreville High School was coming on-line. It [the
high school] had no way to get in or out. You had a horrible
intersection of Union Mill [Road] and Braddock [Road].
That was the package they [Hazel-Peterson] proposed.
"We'll build the shopping center, staff's identified it as being
needed. We'll put it on our property. We'll rezone, we open
up Centreville Green to the process again, everybody gets
their new shot at it. We'll agree to some phasing and, if you
do it quick, we'll build Union Mill Road before Centreville
High School opens:'
Through the plan process, there was a belief on the part of
some of the citizens that was unshakable, that there would be
a lot of traffic coming from the west to the shopping center,
and somehow they had to have access from the west.. . So
they [the citizens] wanted New Braddock Road built before
the shopping center opened.
6Direct quotations from interviews held were adjusted for grammatical purposes only.

As highlighted previously in the chapter, the citizen groups
are sophisticated, very active and influential in the planning
and zoning process in Fairfax County. In discussing the role
of the Western Fairfax County Citizens Association in this
project, the question was posed as to whether the Supervi-
sor influences or guides the committee in their decisions
or whether they function as an independent advisory body.
Supervisor Frey responded:
I've met with them on a couple of projects. Obviously, you
always like to have citizen support. I do my best to explain
and to persuade, but I don't ever want to be perceived as con-
trolling ... I think it works best that way. If they're [WFCCA]
independent, if their credibility comes from the belief by the
Board or the staff and the other citizens in western Fairfax
that they speak for the citizens in the communities here and
that's their only agenda. Their credibility stems from the
belief on the part of the Board that they are speaking for
the citizens and not themselves. Other Districts have vari-
ous committees where the Supervisor appoints the land use
committee or the Planning Commissioner appoints a land
use committee. If I appointed members of the land use com-
mittee, it is my land use committee.
In response to a question about what he would do if there
was an issue or rezoning which his views conflicted with the
recommendation of the WFCCA, Supervisor Frey stated that
There have been situations where there have been con-
flicts, for instance between WFCCA and a smaller individ-
ual group ... You have to look at the issues and look at the
impact. Are the real larger community issues the precedence
and that kind of thing? Or do we need to flip to [the] local
group? Or is this something that is really of a benefit for the
local community? Sometimes you have to look at both sides
and make a choice.
Although, admittedly, the planning and zoning process relat-
ing to Union Mills was quite lengthy, Supervisor Frey agreed
that the end result was a quality development. "I think it's a
beautiful project. There's no question that the road network
has been a tremendous benefit to the community:'
While the Supervisor's perspective of the project's suc-
cess is based somewhat on public benefit derived from the
project and citizen support, the owner/developer's view is
more focused on land rights and overall financial success of
the project. Jeff Saxe, Senior Vice President of Planning for
the developer, Hazel-Peterson, was directly involved in all
aspects of the Union Mills project and was willing to share
some of his thoughts and insights relating to the project and
process.
It is Mr. Saxe's thinking that "In retrospect, the whole
zoning and master plan process was very lengthy and adver-
sarial and it shouldn't have been. It was unfortunate that we
spent so much time on a project by redoing, I don't know the
solution:'
Further, when asked whether he thought the citizens in
Fairfax County have too much power over the process, he
responded "Yeah, you know I wish they didn't but they do
7.7 ■ DETAILED CASE STUDIES 803
and they probably always would in any kind of jurisdiction
like (Fairfax). I don't have the solution but I don't think the
end result in all the adversarial discussions changed anything
particularly:'
In response to a question as to whether the delays, caused
by citizen influence, resulted in a loss of profit, Mr. Saxe stated:
Well, I couldn't say if we lost money or not. But I think ... why
it paid for us to go through the zoning process is through-
out the [1980's] S0's the value ofland seemed the longer you
owned it, the more it was worth. So it was sort of paying us
to wait. Unfortunately, sometime in that process, the value of
a townhouse lot started to go back down. Pending that extra
couple of years we actually ended up selling the townhouses,
I don't mean that we lost money, but we didn't make as much
as we would have two years earlier.
According to Mr. Saxe, "One thing that I wish we could
have done was to put the retail center on Lee Highway, but
that was contrary to the Comprehensive Plan. Since we had
to put units up there, those units are difficult to sell:'
Mr. Saxe agrees that the timing of the construction of New
Braddock Road was the primary citizen issue and the issue,
which caused significant delays in the project. Eventually, a
bond issue was passed which allowed the construction of the
four-lane facility in time for the opening of the Centreville
High School. The resolution of this issue was key to all par-
ties and Mr. Saxe made the following observation:
This was one of the big successes, and key citizens are to be
complemented for that. They put the pressure on and got the
bond money and got the entire road built. Both sides prob-
ably went at it too hard. We both would have been better off
if we could have cooperated a year earlier and not wasted all
that time.
7. 7.2. Conceptual Design and Schematic Design
It should be understood that this case study represents prob-
lem-solving approaches used on a specific project. These
solutions are a result of a wide variety of influences and
variables and should not be viewed as the only appropriate
manner in which to address the specific engineering issues
discussed herein. Each project/client/design professional
is different and, therefore, there are an infinite number of
engineering constraints/issues and corresponding solutions.
Further, this case study does not discuss design specifics as
they are addressed in detail in the previous chapters of this
Manual. Hopefully, this chapter shares lessons learned from
the Union Mills project. Each project represents a learning
process for all involved and that certainly was the case with
the development of this community.
The Site Analysis and Feasibility section of the Union Mills
project illustrated the planning and zoning process from the
initial planning/feasibility stages to the approval of the CDP,
FDP, and GDP by the Fairfax County Planning Commission
and Board of Supervisors. This zoning approval established
the overall framework and pattern for development of the
project. Further, this approval permitted the owner/developer
ao4 fatUhiii F·\,j,@,i:/iidf1,PLMH
of the project, Hazel/Peterson Companies, the rights to con-
struct 368 residential units consisting of 311 townhouses and
57 single-family residences, a swimming pool recreational
facility, a day care center, and a 122,000 sf neighborhood
shopping center with associated uses. The breakdown of the
residential component (shown in Figure 7.70) of this project
is as follows:
Section 1 66 Townhomes
Section 2 71 Townhomes
Section 3 71 Townhomes
Section 4 65 Townhomes
Section 5 38 Townhomes
Section 6 57 Single-Family Lots
In conjunction with this rezoning, Fairfax County
required certain conditions including roadway improve-
ments, assurances that water quality would be protected,
stormwater management facilities, protection and preserva-
tion of the Environment Quality Corridor, specific recre-
ational facilities, and limitation on the amount of retail space.
These commitments and restrictions were volunteered by the
developer in the form of proffers (see Chapter 2.3). The FDP
for the residential component of the project and the GDP for
the commercial/retail component are the plans to provide
the graphic layout of streets, lots, uses, parking areas, public
facilities, landscape, setbacks from adjoining properties, and
other requirements established during the zoning process.
Together, these documents outline the general framework for
the engineering design of the project.
Conceptual Design. Although a considerable amount of
preliminary engineering is conducted during the rezoning
process, it is unrealistic to think that all engineering con-
straints and issues can be foreseen and properly addressed
during that stage of the development process. During the
rezoning of the Union Mills project, preliminary engineering
design was undertaken and many potential issues identified
and resolved to a comfort level sufficient to proceed with the
final engineering phase at the appropriate time.
Successful engineering design is dependent upon a num-
ber of factors including; a firm understanding of the client's
goals and time constraints, effective communication among
the client, planning consultants and the engineering project
manager, comprehensive site data collection and evaluation.
A detailed field investigation to further the knowledge of the
physical characteristics of the site will help identify the devel-
opment constraints and opportunities.
Client Input. Since the very beginning of the rezoning
process, the client had been establishing goals, formulating
schedules and providing overall guidance to the develop-
ment team. At the preliminary engineering design phase, the
client must give additional guidance when more refined data
is available and new issues surface. Although many of these
"new" issues were preliminarily identified during the rezoning
process, the detail of the updated information further refines
the framework in which to pursue a viable solution. Any
viable solution must be made with the overall timing, phas-
ing, and cost of the project in mind. It is incumbent upon the
design engineer not only to identify potential problems, but
also to provide the client with all solution options as quickly
as possible after they are identified to aid the client in the
decision -making process. Although the client is the ultimate
decision maker, the team members provide the data required
the client to make a sound business decision.
Effective Communications-Project Handoff. It is essen-
tial that all team members are aware of the nuances of a given
project. In the case of the Union Mills project, a series of
"handoff" meetings were conducted by those participating
in the zoning action to brief the engineering element of the
team on history and evolution of the project to date as well
as the status of the zoning effort. Often, during the rezon-
ing process, there are many issues, which cannot be resolved
and, therefore, must be discussed by all members at the
time to foster a clear understanding on the background and
proposed resolution. It is the planner's role to explain the
proffers, graphics, and plans generated during the rezon-
ing process to the engineering professionals. The handoff
meeting is a tool to identify potential problems and establish
optional approaches to resolving such problems.
During the Union Mills handoff meetings, several issues
of importance surfaced. For instance, the developer did
not intend to construct a service drive along Lee Highway
even though the service drive was required by VDOT. It was
determined that a waiver request for processing through the
Board of Supervisors should be prepared and submitted as
quickly as possible. This was done and ultimately approved
by the Board of Supervisors with no delay of the project.
Also, as a result of the handoff meetings, the issue of
stormwater management and related Best Management
Practices (BMPs) surfaced. Specifically, Fairfax County was
in the process of establishing revised design criteria for BMP
facilities. There was a great deal of concern that the BMP
facilities shown on the FDP would be insufficient to satisfy
the new design criteria. Given this uncertainty, the decision
was made to proceed as quickly as possible with the prelimi-
nary design of the stormwater management/BMP facilities
using the older criteria to assess the potential impact of the
site layout and be prepared to upgrade the facilities as per
new criteria if necessary.
Another immediate benefit of the handoff meeting was
the decision to proceed with detailed field run topography
along the floodplain to supplement the aerial topography.
During the rezoning process, the preliminary design of the
project was based on County-provided topography at 5-foot
contour intervals which is sufficient for the preparation of
the zoning document. However, the planner and client were
very much aware of the relatively flat topography adjacent
to the floodplain and were concerned that inaccuracies in
the topography could impact the number of proposed units
as well as stormwater/BMP facilities. Consequently, the
 7.7 ■ DETAILED CASE STUDIES 805

FIGURE 7. 70 Composite Plan: Union Mills.

ao& fatUhiii F·\,j,@,i:/iidf1,PLMH
decision was made to spend the money for the field run
topography to avoid potential problems later.
The use of the handoff process to effectively communi-
cate the subtleties of the rezoning documents serves as an
early warning system for the engineering component of the
team. Ongoing dialogue between all members of the team
throughout the development process is essential to the suc-
cess of a given project. This ongoing dialogue certainly added
to the success of the Union Mills development.
Data Collection/Evolution. Data collection, updating,
and evolution is an integral element in preparation of the
final engineering drawings. The significant amount of time
required for the plan amendment and rezoning of the Union
Mills site necessitated in updating the data collected for that
process. The engineering team reviewed all the information
that was part of the rezoning and had to determine as to what
was usable and what data required updating.
In the case of the Union Mills project, the previously pre-
pared boundary survey was revised to reflect new easements
and encumbrances identified in a new title report. An aerial
topographic survey was obtained and all the utility compa-
nies were requested to provide the most current information
on the location of utilities on and around the Union Mills site.
Floodplain information along Little Rocky Run was obtained
from the U.S. Geological Survey (USGS).
This technical information, coupled with the zoning doc-
uments, including the proffers, becomes the basis used for
the preparation of the preliminary plat and final site plan.
Additional issues surfaced in compiling the new data. Exam-
ples of such issues relating to Union Mills are as follows:
• Analysis of the aerial topography revealed that "gaps"
were present where dense forestation existed. Field run
topographic survey was required to fill these "gaps:'
• Once the topographic survey was completed, the USGS
floodplain information was plotted on the topographic
map. The results showed that the USGS floodplain was
10 to 100 feet wider than the floodplain shown on the
FDP. This finding would require a revision to the FDP.
• The preliminary engineering studies of the storm-
water management/BMP facilities were reviewed
for compliance with the new design standards
established by the county. As a result, the new, more
restrictive, design standards, coupled with more
accurate floodplain information would require a new
preliminary engineering design.
• The proffers were the subject of a detailed analysis
to identify those that would have an impact on engi-
neering design and phasing implications, including:
o Dedication and construction of major roadways
o Incorporation of stormwater management/BMP
plans
o Traffic analysis to determine where turn lanes
would be required
o Noise attenuation measures adjacent to the major
thoroughfares
o Recreational amenity package
o Timing and construction of the trail system
within the project
Following the compilation and analysis of the updated data, a
revised layout was produced to accommodate the additional
constraints resulting from the newly acquired data. The new
layout mandated the relocation of five lots to other areas of
the project. In view of the fact that these changes to the FDP
were a result of engineering consideration, a request for an
administrative approval was submitted rather than applying
for a Final Development Plan Amendment (FDPA) through
the formal public process. The PDP/proffer interpretation
process is discussed in more detail below.
Schematic Design. Generally, Fairfax County requires
that the preliminary plan be submitted after approval of the
rezoning case by the Board of Supervisors and the prelim-
inary plan must be approved prior to the submittal of site
plans, and/or subdivision plans. The preliminary plan pro-
vides basic information such as road and lot layouts, defines
open space areas, identifies preliminary utility layouts for
sanitary sewer, water, and major storm sewer systems, locates
and sizes stormwater management/BMP ponds, limits of
clearing and grading are identified as are siltation/erosion
control measures and density and open space computations.
The purpose of the preliminary plan is threefold: (1) the
plan represents the owner/developer's intent to subdivide, (2)
the plan demonstrates how the subdivision will comply with
the zoning ordinance as well as the FDP and proffers, and (3)
allows the various agencies to review and identify zoning and
engineering design issues that must be addressed/resolved
prior to the submission and approval of construction plans. As
such, it establishes the framework for the County to recom-
mend changes to the project in order to be sure that the project
complies with design requirements prior to final design.
Given the lengthy and complicated zoning process being
experienced by the Union Mills project, the developer took
advantage of an approval process known in Fairfax County
as "concurrent processing:' Specifically, with approval by the
Board of Supervisors, the preliminary plan can be submitted
and reviewed concurrent with a rezoning action which, in the
case of Union Mills, was the FDP. The risk to the developer
with this process is that changes resulting in the rezoning
document mandate mirror changes in the preliminary plan.
The obvious advantage of concurrent processing is imme-
diate approval of the preliminary plan upon approval of the
zoning document. These time-savings can, in some instances,
equate to significant dollar savings because it shortens the
time a developer is required to carry interest on the property
before selling it to a builder, thus significantly discounting the
engineering costs for revising the preliminary plan.
Project Phasing. During January 1990, the rezoning pro-
cess was completed as was the preparation and submis-
sion of the preliminary plan. Upon the completion of the

preliminary engineering process, the client was in a position
to proceed with the final engineering design phase of the
development process. At this point, key issues now driving
the project included the selection of the project engineering
team, project phasing, and plan submission schedule.
In an effort to maintain efficiency on this project, a project
team was selected consisting of the project manager, design
engineers, computer-aided drafting and design (CADD)
technicians and draftspersons. It is important to note that the
persons selected for the team had been associated with the
project during the rezoning and preliminary plan stages
and also had prior experience with the client. The manner
in which this team was selected and the experience of the
individuals involved reduced the time normally attributed to
becoming knowledgeable of a new project and/or client.
Establishing a plan submission schedule to DEM as part
of the client's expediting process required a coordinated
effort between the client and DEM. Specifically, the client
was able to obtain a commitment on the part of DEM for
plan approval in early 1991 provided the plans were sub-
mitted by March or early April 1990. Essentially, this agree-
ment reduced the normal processing time for such plans by
between 50% and 65%. This short turnover required that the
engineering team design, draft, and submit the final engi-
neered plans within a 6- to 8-week time frame.
The proposed sequence of construction is known as phas-
ing. In many cases the land development engineer believes that
this is the sole responsibility of the client or developer. While
it is true that the developer should have the best knowledge
of his economic situation and his marketing plan, the engi-
neer can have a significant impact in the success of the project
through input on phasing of construction. For example, it is
important to understand the cost involved in moving earth
between sections of a given project. When that earth is moved
several times due to poor phasing, the resultant cost can be
exorbitant with no resultant benefit to the project or the cli-
ent. The benefits are obvious when the project phasing is done
such that fulfilling earthwork requirements in one area can be
accomplished by the sequential excavation of earth at an adja-
cent area. The engineer can provide invaluable information on
phasing by way of earthwork takeoffs.
In addition, as discussed further below, the engineer
working with the client can have a positive impact in orga-
nizing land parcels into plan sets to reduce bonding costs
and/or to better spread these costs over the life of the project.
It must be understood that, typically, the income stream does
not begin for the client until the first lot or house is sold.
Consequently, phasing in terms of early bond release should
be a factor in the establishment of the overall project sched-
ule. Several examples of phasing in conjunction with specific
plan development are presented below.
Ruddy Duck Road. As can be seen in Figure 7.70, Ruddy
Duck Road, is a primary access road to several townhouse
sections of the development. Early in the engineering design
process, it was determined that this road should be submit-
ted as an independent plan rather than incorporating into the
townhouse plans. By separating the road from the townhouse
7.7 ■ DETAILED CASE STUDIES 807
plans, maximum flexibility was afforded the sequencing of
the townhouse plans. In addition, by submitting the road
as an independent plan, road construction could be com-
pleted and the correspondingly early bond release would not
encumber the client's cash reserve for subsequent construc-
tion in the townhouse sections.
Sanitary Sewer Outfall. The sanitary sewer outfall align-
ment is shown in Figure 7.70. It. is noted that in the Union
Mills project the 2300-foot sewer line that serves the residen-
tial area, as well as the retail center, was prepared and pro-
cessed as a separate plan. Again, with phasing as a primary
consideration, the decision to file this on a separate plan was
made in consideration of the fact that the retail center area
would require a significant amount of fill material and the
timing of the construction of the retail center was uncertain.
Further, it did not make good sense to include the sanitary
sewer plans with the design of Braddock Road or Union Mill
Drive since inevitable changes to the design of these roads
would delay construction of the sanitary sewer outfall. By
designing this sanitary sewer line as a separate plan, con-
struction of the townhouses serviced by the line, all of the
retail center and the single-family detached lots as well as a
proposed child care center in Section 8 of the project would
not be delayed. The flexibility here was that construction of
any or all of these sites could commence at the discretion of
the client.
Townhouse Sections. In consultation with the client, the
engineer developed five sections of townhouses. The sec-
tion boundaries were determined based upon utility/infra-
structure availability and open space/density requirements.
In Fairfax County, each section must meet open space and
density requirements on a cumulative basis. Therefore,
the engineer first computed open space and density for
the overall site to ensure the project met the requirements
determined by the zoning process. Section boundaries were
then adjusted to ensure that sections would, on a cumulative
basis, meet the requirements. The townhouse sections were
phased based upon marketing considerations, the amount of
infrastructure needed to support the section, proximity to
existing utility tie-ins, and construction costs.
Although five sections of townhouses (instead of only one
or two sections) would be more costly to the client from an
engineering perspective, the advantage of smaller performance
bonds coupled with being able to complete construction sooner
enabled the client to market and sell the smaller sections inde-
pendently thereby maintaining a positive cash flow.
As discussed later, each builder who bought a townhouse
section incorporated his own type of townhouse, which
required revisions to the grading plan. Having smaller and
separate townhouse sections later proved to be a time- and
cost-saving method for each builder. Following is a listing of
the townhouse sections summarizing the reasoning used to
phase the section into sequence (Table 7.7A).
Section 6, the single-family section composed of 57 lots
would be the last residential section to be constructed due to
its heavy dependence on road, stormwater management, and
utility construction extensions.
808 fatUhiii F·\,j,@,i:/iidf1,PLMH
TAB LE 7. 7 A Phasing Considerations for the
Union Mills Townhouse Sections
SECTION NUMBER
NUMBER OF UNITS PHASING CONSIDERATIONS
1 66 • Visibility to Lee Highway (Marketing)
• Proximity to open space along Little
Rocky Run (Marketing)
• Proximity to existing 12" sanitary sewer
• Required the minimum amount of road
construction (Union Mill Road)
• Only 1 stormwater management pond
required
2 71 • Sited along major open space (Little
Rocky Run)
• Proximity to existing 12" sanitary sewer
• Flexibility to access section from either
Section 1 or Ruddy Duck Road
3 71 • Access from Ruddy Duck Road
• Availability of existing sanitary sewer
• Proximity to recreational facility
(swimming pool)
• Sited along major open space (Little
Rocky Run)
4 65 • Access from Section 1 and Ruddy
Duck Road
• Visibility from Union Mill Road (once
constructed)
• Depending on the construction of
Sections 1 and 2 for utility tie-ins &
access
5 38 • Required utility tie-ins from Sections 3
and 4
• Proximity to retail center seen as least
desirable for marketing
Preliminary Engineering. The following discussion high-
lights many of the elements of the schematic design process,
and identifies a myriad of engineering issues encountered dur-
ing design of the Union Mills project and begins to explain
how they were resolved. This is not an attempt to analyze each
plan in terms of preparation and design, but rather a discus-
sion on the major considerations, which need to be appropri-
ately addressed during the final engineering design process.
Early in the schematic design process, it was decided that
the major infrastructure components of the project would
be the subject of separate plans. This approach not only
provided the developer with the maximum flexibility with
respect to satisfying the needs of yet-to-be identified build-
ers, it permitted the bonding of these improvements only
when needed. Consequently, separate plans were prepared
for the following infrastructure components of the project:
• Union Mill Road/Lee Highway Improvements
• Ruddy Duck Road
• Braddock Road Widening
• Stormwater Management/BMP Ponds 1, 2, 3, and 4
• Sanitary Sewer Outfall Plan
• Braddock Road/Union Mill Road Intersection
Improvements
Also, in the early phase of preliminary engineering, it was
determined that a geotechnical analysis would be con-
ducted to ascertain the quality of soil. Once the quality of
the soil is determined, decisions can be made in terms of
the earth take-off quantities of the site. That is, the quan-
tity and location of the dirt that can be used as structural
fill and the amount of spoil dirt. Due to the enormous cost
of importing or exporting dirt to a site, particularly on a
project the size of Union Mills, it is critical to determine
the specifics of an earth balance early in the process. Typi-
cally, having dirt within the site costs approximately $2.00
to $3.00 per cubic yard. Importing or exporting dirt to
or from the site may increase the cost to $8.00 to $12.00
per cubic yard. The results of the soil study were more
favorable than initially anticipated and dirt balance of the
project was accomplished absent the need to import or
export material.
Environmental Considerations
Infrastructure Elements/Off-Site Impacts. From the very
earliest planning design stages of a given project, the issues
of off-site impacts are a serious concern. Off-site impacts
are those situations where improvements, grading, utility
extensions, and other activities are required for a project
but are on property which the developer does not control.
Such improvements can result in the need to acquire costly
rights-of-way or obtain construction easements from unwill-
ing participants. Good engineering practices dictate the
need to avoid off-site improvements whenever possible or,
at the very least, attempt to get owner approval for the land
or easement prior to making a commitment to provide the
improvement. The process of gaining approval to construct
off-site improvements can be lengthy, expensive, and result
in significant delays in the project. Potential off-site impacts
were of critical importance to the Union Mills project, par-
ticularly with respect to the Lee Highway, Union Mill Road,
and Braddock Road improvements, which are discussed
below.
Lee Highway. The improvements required on Lee Highway
were a major design and construction element of the Union
Mills project. The engineering staff worked with a traffic engi-
neering consultant to analyze the turning movement volumes at
the intersection of Lee Highway at Union Mill Road. The need
for reliable estimated traffic data was considered essential since
Union Mill Road was going to be a major collector roadway.

A primary issue was whether dual left-turn lanes were war-
ranted and/or would be required from Lee Highway onto Union
Mill Road. It became evident that lane shifts were going to be
required immediately east of the project, at the intersection of
Lee Highway and Stringfellow Road (Figure 7.7P). Of critical
concern, therefore, was whether there was sufficient linear dis-
tance to provide the storage lane length required without dual
turn lanes. There was also concern with the grade differential
between the eastbound and westbound lanes of Lee Highway.
A review of the as-built plans for Lee Highway indicated
that there was a considerable amount of both underground
and overhead utilities within the Lee Highway right-of-way.
There were overhead trunk electric lines, a major 24-inch
waterline, a major telephone duct bank, and other utilities.
The engineering design in this area required a careful data
gathering and an accurate plotting of the existing infrastruc-
ture involving extensive coordination with all of the affected
utility agencies. Given the location of the existing utilities, it
was determined that the area needed to provide the improve-
ments was greatly reduced. In addition, the soils reports
indicated that a considerable amount of the backfill mate-
rial over the existing waterline trench was soft and of poor
quality. The contractor would have to remove and replace a
major portion of the soil as well as recompact it as part of the
off-site improvement requirements.
FIG uRE 7. 7 P Plan view for the Lee Highway design.
7.7 ■ DETAILED CASE STUDIES 809
As mentioned earlier, there was also a high degree of sen-
sitivity with respect to the possible requirements for off-site
easements and rights-of-way. Given the potential need to con-
struct dual left-turn lanes, there was a possibility that major
off-site easements and/or rights-of-way would be necessary
both north and east of the property. In addition, dual left-turn
lanes would cause the improvements to extend over a larger
area further to the east. There was also concern with an exist-
ing Lee Highway culvert crossing of Little Rocky Run (shown
on Figure 7.7P, at the extreme western edge of the drawing),
and potential retrofitting of the culvert. It was determined
that the culvert was inadequate and that the extensions which
would be needed could be extremely costly and had major
off-site implications including the need for floodplain ease-
ments. It was the design team's opinion that the impacts of
the Union Mills project did not warrant improvement to the
culvert. Consequently, the road design was structured so as
not to impact the box culvert. Reconstruction of that facil-
ity would have cost approximately $250,000. Thus, the early
identification of the problem and the design solution resulted
in significant cost savings to the project.
An additional design element that resulted in major cost
savings was related to bifurcation between the eastbound
and westbound lanes. Specifically, the design of the left-turn
lane had to account for problems associated with the existing
010 fatUhiii F·\,j,@,1:/iidtHLMH
cross slope of the pavement as well as maintaining traffic
flow during construction. The design team was concerned
that the state transportation department would not allow
major disruption of traffic on this heavily traveled roadway.
Further, off-site traffic diversion facilities would be expen-
sive and could require the need for additional easement
acquisitions. Consequently, the design approach was to use
asphaltic overlays to bring the grades of the two directions
up to the same elevation. This approach resulted in asphalt
work being carried beyond the immediate frontage area of
the project. However, this was considerably more cost effec-
tive than removing the existing roadway and rebuilding it
while also maintaining heavy traffic flows. The details of the
design are shown in Figure 7.7P. As part of this effort, safety
at the intersection of Stringfellow Road and Lee Highway
was improved due to the horizontal shift in alignment along
westbound Lee Highway. This improvement provided supe-
rior traffic flow and a greater level of safety without any real
impact in construction cost to the developer.
As mentioned earlier, the government's long-range plans
for Lee Highway included a service drive adjacent to the
Union Mills northern property line. Due to the potential
negative impact on the project, a waiver of this requirement
was requested and ultimately obtained. Although the county
approved the waiver request, the Virginia Department of
Transportation (VDOT) conditioned the approval with a
requirement of a third eastbound lane in lieu of the service
drive. The requirement for the third travel lane came quite
late in the process and required some adjustment to the engi-
neering plans. The lesson learned in this instance was that
issues with such a potential for negative impact should be
identified and resolved as early in the process as possible.
Union Mill Road: The preliminary design profile for Union
Mill Road had previously been established by the consultant
engineer's transportation division as part of its work on the
Braddock Road/Union Mill Road intersection improvements.
That information was used as the base for the final design of
Union Mill Road between Lee Highway and Braddock Road.
The design of the roadway was rather constrained due to its
proximity to an adjacent subdivision, the Lee Highway tie-in
point as well as its connection to the Braddock Road intersec-
tion at the southern end of the project.
Visual and noise impacts on the adjacent subdivision
east of Union Mill Road were a consideration. Conse-
quently, the road profile was lowered to the extent possible
to minimize this impact. Lowering the road profile also
reduced the amount of fill dirt and improved the design of
the connections to the entrances to the adjacent townhouses
proposed within the project. Since Union Mill Road was the
major roadway servicing the project, substantial coordina-
tion with the internal site construction elements was needed.
This roadway interfaced with three sections of townhomes,
the single-family section and the retail center.
Another design constraint encountered in the design
of Union Mills Road was a requirement to provide access
to an adjacent parcel at the Lee Highway intersection. The
access to this parcel was provided via a service drive con-
nection from Union Mill Road. In addition, poor drainage
patterns, utility poles, and existing underground utilities
were all located within this area. The design also required
the acquisition of off-site grading easements. The developer
was unable to obtain the required easements; therefore, Fair-
fax County permitted the developer to delete the connection
as a construction requirement. The County did, however,
require the developer to post a cash escrow with the County
and dedicate sufficient right of way and easements to allow
future construction by others.
Braddock Road Widening. The widening of a portion of
Braddock Road between the retail element and Little Rocky
Run on the western edge of the site was required with this
project. Figure 7.7Q depicts the final design plan for this
widening. As shown on Figure 7.7Q, Little Rocky Run crosses
under Braddock Road in four 10 x 8-foot box culverts with
the project's property line running down the center of the
culvert system. Careful design considerations were neces-
sary to the Braddock Road widening project in proximity
to this culvert system to avoid reconstruction of the system,
estimated at $500,000. Further, the soils studies showed that
debris under the roadway, in the area of the culverts, ren-
dered the fill unsuitable. The reviewing authority decided
that reconstruction of the culverts would not be required, a
decision resulting in significant savings to the developer.
Another engineering design effort associated with the
Braddock Road widening was the existence of a gas line within
portions of the right-of-way, also shown in Figure 7.7Q. Note
that in some locations this gas line was directly under the pro-
posed curb and gutter and was in an area where the soils study
showed that the rock levels were very shallow. Extensive field
tests were conducted to accurately locate the gas line both hor-
izontally and vertically. The challenge was to design the storm
sewer in such a way as to avoid conflicts with the gas line. Tol-
erances of only a foot or less were common and storm sewer
structures of a special design were installed to avoid having
to relocate the gas line. Early problem identification and cre-
ative design saved considerable additional construction costs
as well as delays if redesign of the gas line was necessary.
While this roadway might appear as a minor facility, it
had its share of design issues. Beyond the problems dis-
cussed above, the design required extensive coordination
with the adjacent retail center and with the Braddock Road/
Union Mill Road intersection improvements being done by
a separate department (Transportation Department). As was
the case with the Lee Highway improvements, to make the
transition work more effectively for this widening, the use of
pavement overlays rather than removing the existing pave-
ment was the approach taken.
Stormwater Management and Best Management Practices
(BMPs). Upon completion of the site layout and a review
for compliance, the next step in the schematic engineer-
ing process is to verify the preliminary computations with
respect to open space in addition to ensuring that the storm-
water management facilities are in compliance with the

FI GuRE 7.7Q Plan view for the Braddock Road widening.
approved FDP. Due to the need to revise and relocate some
of the stormwater management facilities, a proffer interpreta-
tion was requested and resulted in a favorable finding by the
Zoning Administrator that the revised stormwater manage-
ment (SWM) facilities were in substantial compliance with
the approved FDP. Preliminary stormwater management/
BMPs designs were completed at this time. The location of
this property within the approved Water-Supply Protection
Overlay District (WSPOD) required that the project incor-
porate BMPs. Unlike stormwater detention, BMPs are tech-
niques to improve water quality, which, in Fairfax County,
requires phosphorous removal efficiency of 50% for the entire
project. "Credit'' toward such phosphorous removal is based
upon a number of criteria including retention of undisturbed
open space, volume controls, placing ponds in a series, cap-
turing off-site drainage, and other pond-maximizing criteria.
Efficiencies are assigned to each type of phosphorous removal
device with total efficiencies to be at least 50%.
Originally, there were three ponds proposed along Little
Rocky Run and one pond in the single-family section. BMP
design for this project was difficult because most of the
site runoff drained directly into Little Rocky Run, thereby
bypassing the ponds.
One of the difficulties in designing the BMP system is
that, unlike stormwater management, it is difficult to com-
pensate for uncontrolled areas. Therefore, all of the ponds
were located as far downstream as possible to maximize the
drainage areas to the ponds. Additional efficiencies would
7.7 ■ DETAILED CASE STUDIES 811
be obtained by open space, retention ponds in series, etc., in
order to achieve the required 50% phosphorous removal. In
addition, the drainage area allocated to each pond was fixed
based upon the new site layout; therefore, the pond designer
worked very closely with the site design engineers to ensure
that sufficient drainage area was provided for each pond.
For example, the storm drainage outfalls from the retail cen-
ter had to be directed into two ponds based upon the fixed
drainage area criteria.
In the design of the ponds, the engineer was able to provide
the required efficiency by taking credit for off-site areas, calcu-
lating a series pond efficiency in conjunction with a pond imme-
diately adjacent to the project and requiring that undisturbed
areas be retained within the project upstream of the ponds.
Pond 4-A, located in the single-family detached section
(Figure 7.7R) proved to be especially difficult to design. Its
location, as shown on the FDP, was the best possible place
given the constraints: (1) The location was the point closest
to the outfall stream; (2) the location thereby minimized the
need for extensive off-site easements; and 3) the location pro-
vided for the best possible lot yield. Furthermore, this pond
had to account for BMP requirements for part of the retail
center. Consequently, the pond could not be sized to accom-
modate the stormwater management requirements and the
BMP requirements. The addition of another pond down-
stream at the day care site coupled with specified undisturbed
open space within the single-family detached enabled this area
of the project to meet the BMP and SWM criteria.
012 fatUhiii F·\,j,@,1:/iidtHLMH
FIG uRE 7. 7 R Stormwater Management Ponds 4A and 4B.
Another aspect of the design of the ponds was that
each pond had to be fully coordinated with the adjacent
townhouses and single-family homes. In view of the fact
that some of the dwelling units were sited immediately
adjacent to the ponds, considerable coordination with the
site designer was required to ensure that utility locations,
grades, and the horizontal "fit" of the lots to the ponds
was accomplished. Furthermore, because of the require-
ment for undisturbed open space within the project, the
site designer had to adjust grades and utility locations to
ensure the retention of the open space. Several additional
observations relating to the design of the stormwater man-
agement ponds are in order. Given the topography of the
property, all the ponds were ultimately placed on natural
slopes rather than in low-lying swales as is more typical.
Further, the natural terrain and proximity of the floodplain
required that the ponds be placed on fill material rather
than undisturbed soils. Given the fact that townhomes were
also placed on fill material above the top of the dam eleva-
tions, creative engineering was required to successfully
grade the site, place the utilities and accomplish the needed
earth balance.
7. 7.3. Final Design
Overview. The design of a project involves the expertise
and experience of a myriad of participants. The conceptual
layout and design is a complex undertaking involving a num-
ber of steps guided by a wide variety of influences. The plan-
ning and zoning process is equally complex with a number
of elements which cannot be quantified, such as political/
citizen influence and the many wants and needs of countless
other interest groups. As discussed earlier in this chapter, the
results of the many design and planning/zoning influences
in a less-than-perfect development plan which is passed on
to the final engineer to make it a reality. Although major
strides have been made in engineering technology, the key to
a successfully engineered project is the human element-the
Project Engineer.
In addition to the engineering of the infrastructure items
previously discussed, the project engineer is responsible

for the site design to include the layout of the townhouse units,
travel aisles, and parking spaces. In the case of Union Mills, the
initial layouts were using AutoCAD for all five sections.
The project engineer prepared an overall grading plan,
selected unit types, and developed an overall sanitary sewer
and storm sewer plan for the project. This initial work was
designed to ensure compatibility between the sections and
consistency in the design approach for the entire project. The
overall design was then disseminated to the design engineers
for preparation of the final construction documents. The
ability to quickly and cost effectively provide overall plans to
the various engineers working on the section plans resulted
in significant saving in cost associated with coordinating
with each engineer independently. In addition, the project
engineer was able to provide the draftsperson with infor-
mation needed to begin production of many of the various
sheets needed in the final submission package. The purpose
of the following subsections is to provide the reader with
examples of typical final engineering obstacles and how they
were overcome in the case of the Union Mills project.
Typical Townhouse Section. The purpose of this section is
to discuss typical features of the design and to identify spe-
cific problem solving techniques used on this project. The
overall composite plan is shown in Figure 7.70 and should
assist in identifying the various sections discussed.
Section 1: Several items on Section 1 are important to
note. Of particular note is the new sanitary sewer through
this section. Initially, the existing sanitary sewer through the
site was intended to be saved and to be kept intact; however,
when the contractor reviewed this initial design, it was obvi-
ous that in some areas it was more cost effective to move the
sewer than to design a lot layout to keep it intact.
The design for the widening of Lee Highway for an addi-
tional lane included the saving of a substantial tree buffer.
Unfortunately, when the design was being finalized the
engineers found that the trees remaining would be fairly
sparse and small in size. Some had actually died over the
prior winter and the construction of the third lane required
additional tree clearing. Due to the potential noise impact
on planned residential units adjacent to the roadway, it
became a major concern. The solution was to construct a
landscaped berm and a 6-foot-high board fence. This ame-
nity provided the need for visual and noise protection from
Lee Highway (Figure 7.70).
One of the zoning requirements was the construction of
an asphalt bike trail throughout the project. The portion
of the trail along Union Mill Road was to be 8 feet wide
and within the site the trail was to be 6 feet wide. Due to
the fact that the floodplain area is generally wet and the
soils not conducive to building a trail, the trail was shifted
to a higher elevation. The relocation of the trail outside
the marshy area and away from the storm sewer outfalls as
shown in Figure 7.70 resulted in considerably easier con-
struction and eliminated the need to construct footbridges
and additional culvert crossings of the trail.
Another noteworthy engineering consideration is the
unusual sediment and erosion design feature near Pond 1
7.7 ■ DETAILED CASE STUDIES 813
(Figure 7.7S). Pond 1 was actually constructed partly on fill
and partly on the natural topography. Therefore, the pond
could not be used for any temporary sediment and erosion
control as is typically the case. As a result, a separate pipe into
the pond was called for with separate sediment traps around
the periphery of the pond.
Considerable engineering design focus was given to inte-
rior street layout and parking. Specifically, note in Figure 7.70
that almost the entire project provides the traditional turn-
arounds so vehicles can leave the area in a continual motion
without needing to stop and backup to exit the site. This is
a worthwhile marketing feature and was implemented, wher-
ever possible, within the project. Also note that the allocation
and dispersion of parking spaces throughout this section is
balanced and provides close and easy access to all units for
owners and guests.
Single-Family Detached House Sitings. It is evident in
looking at the existing topography in Figure 7.7T that there is
considerable topographic relief in the single-family detached
area. As the engineers were performing the house grading
and layout, they were aware that the siting of the units was
critical. Street design had to best fit this topographic area
and, consequently, the design criteria to best site these units
in this critical area of major cuts and fills went far beyond
that which is considered normal. Buffer requirements along
property lines made the sites extremely tight and difficulties
were encountered, particularly with lots that are along the
filled section of Union Mill Road. The internal streets and
driveways were also on fill and the result included the pipe-
stem driveway design shown for lots 52 and 53 (Figure 7.7T).
Additionally, the basements of these units were on 5 to 8 feet
of fill at some points. In this engineering design process and
as a result of the inability to steepen the grade up to the con-
nection to Cavalier Woods Lane, two lots had to be deleted
from this area because the buildings had to be sited on an
unacceptable amount of fill. In fact, they would have been
on 15 feet or more of fill and would have been very close to
Union Mill Road. Siting the units in such a manner made
no sense from marketing perspective and could negatively
impact potential buyers' impression of the entire area.
The early grading studies were reevaluated and lots were
reconfigured to accommodate the two lots deleted from the
area adjacent to Cavalier Woods subdivision. This process
involved careful maneuvering to save as many trees as pos-
sible between the lots and Union Mill Road. The idea was to
create and maintain a noise and visual barrier between Union
Mill Road, the retail center, and the backs of these lots. As
discussed previously, this tree save process was required by
the zoning, was important aesthetically, and assisted in the
meeting of BMP criteria because the two small ponds that
these lots drained into barely met those criteria. Evidence of
the concern for the preservation of open space is seen in Fig-
ure 7.7T where one can note that two parcels (A and C) are
identified as landscaped open space and are to be dedicated
to the Home Owners Association.
Another notable engineering problem resolving the dif-
ficulty with the design of a street that connected with a
014 fatUhiii F·\,j,@,1:/iidtHLMH
FI GuRE 7 . 7 S Stormwater Management Pond 1.
roadway in an adjacent subdivision. This street, Cavalier
Woods Lane is shown in Figure 7.7T. This adjacent subdivi-
sion had been previously constructed with a temporary turn-
around in Section 6 of Centerville Green. At that point in
time, the engineer for the other development had not been
required to account for the significant drop in elevation from
the Cavalier Woods site into the Union Mills site in design-
ing the street. Numerous difficulties were encountered in
trying to get Cavalier Woods Lane and Trey Lane to ade-
quately connect between Union Mill Road and the existing
Cavalier Woods Lane. The roadway classification required a
specific road design criteria which, if held, forced the engi-
neers of the Union Mills site to raise the adjacent units and
also Union Mill Road to accommodate the connection. In
the process, options such as cul-de-sac and pipestem design
were reviewed. A decision was made to develop a request
for a waiver to these design criteria. The design criteria
addressed involved design speed and maximum street grade.
Considerable effort went into preparing for the discussions
with the state transportation department and the county
staff, with numerous design options presented. The result
was only partially successful, that is, for a few hundred feet
of street the impact was that one lot became unbuildable and
two other lots that were remaining on one side of the street
(lots 1 and 2) the market value became somewhat marginal
lots in comparison with the others in the same area. With the
benefit of hindsight, an earlier identification and presenta-
tion of this request may have been more successful.
Retail Center. Design of the retail center commenced after
the infrastructure and residential design development had
been started. Similar to the residential component of the
project, specific users for the small shops and the freestand-
ing pad sites had not been selected. However, the user for
the anchor store was known. Major design constraints had
previously been addressed with the infrastructure plans for
the overall Union Mills project. Therefore, the bulk of the
design effort was to address the "normal" issues as described
above. Moreover, the site was heavily dependent on the prior
approvals of various infrastructure plans such as Union Mill
Road/Braddock Road intersection, Union Mill Road, vari-
ous stormwater management ponds, and the sanitary sewer
outfall.

FIG uRE 7. 7 T Part of Centreville Green Section 6.
The retail center is anchored by a large ±55,000-square-foot
food store with the remaining small shops and freestanding
buildings sited adjacent to or near the anchor. The design of a
retail center incorporates many elements in addition to those
required of a residential subdivision. Additionally, these ele-
ments include handicap access facilities, fire protection, site
lighting, loading facilities, trash disposal, major water services,
to name a few. The design engineer often serves as a central
coordinator between the client, the architect, mechanical
and electrical engineers, utility companies, and other consul-
tants. Unlike a residential section where a single builder often
develops/builds all the units, a retail center contains many
users. The needs and concerns of each of the users must be
balanced against and coordinated with the owner/developer.
The Union Mills retail center site plan was developed using a
building footprint for the anchor store, which had been built in
a number of other areas. However, the strip store's footprints
were developed in consultation with the client and the architect.
A number of design changes to accommodate the ultimate users
for the freestanding pad sites occurred later in the process.
Originally, the retail center was located on a hilly site
interspersed with several natural swales. Subsequently, the
natural topography provided a major design constraint on
the retail center. Typically, retail users typically dictate that
7.7 ■ DETAILED CASE STUDIES 815
the buildings and parking lots be as flat as possible to provide
ease of access for the user. Additionally, the stores are held
flat to eliminate the need for steps. The flatness of the build-
ing slabs also provides flexibility in the size of the store that
can occupy a given space. In order to provide a relatively flat
site, deep cuts and fills were required. This necessity proved
to be an advantage for the residential portions of the project
where fill material was needed.
The previous soil borings had given the designer the
information needed to ensure that rock excavation would
not be a construction problem. The storm sewer outfalls into
the residential site were stepped down at manholes in order
to reduce the high velocities that can be encountered when
traversing a steep slope. Typically, when sewering steep ter-
rain, the storm sewer and sanitary sewer are extraordinarily
deep. Keeping the pipe slopes very flat minimized the depth
of trench to a limited extent.
Typically, with a retail site, a large area is denuded at one
time. Siltation and dust control can be a major problem if
the site is left exposed for a long period of time. In Union
Mills, the storm sewer outfalls were built first and siltation
controls installed to preclude silt from washing from the site.
Additionally, aggregate subbase was installed at the earliest
opportunity to help control dust.
01& fatUhiii F·\,j,@,1:/iidtHLMH
7.7.4. Plan Submission and Permitting
The preparation, review, and approval of the final engineer-
ing documents require the involvement of local and state
governments, the client, and the design consultant. To bet-
ter understand the review and approval process as it relates
to Union Mills requires an understanding of the participants
and their role in the review process in Fairfax County as well
as the structure of the review process.
In Fairfax County, the governing body, the Board of
Supervisors, ultimately is responsible for the review and
approval of all engineering plans and plats as well as inspec-
tions and monitoring during project construction. How-
ever, the Board has delegated these tasks primarily to the
Department of Environmental Management (DEM) and its
Director. The Director is authorized to review and approve
construction plans and plats on behalf of the Board. DEM,
in turn, relies on the input from other agencies within the
County government as well as other local and state agencies,
such as the Fairfax Water Authority, the Virginia Depart-
ment of Transportation, and the State Health Department in
the review of engineering plans.
Within DEM, there are several divisions involved in
the design/construction review/approval process. Specifi-
cally, the Division of Design Review is responsible for the
review and approval of construction plans and plats, as well
as other studies, reports, and miscellaneous items relating
to the land development process. Union Mills is located
within the Springfield District with that District reviewer
serving as the central coordinator for each project. Other
agency reviews are processed through this individual. Also
contained within DDR is the Arborist Branch, Technical
Support Branch, and Special Projects Branch, all of which
will review a given project. The Special Projects Branch has
responsibility for the review of technical information relat-
ing to hydrology, soils, siltation, and erosion control, as well
as other specialized studies relating to a given project.
Other agencies involved in the review process include the
Fire Marshal, Water Authority, Department of Public Works,
Virginia Department of Transportation, Fairfax County Park
Authority, Health Department, and the Northern Virginia
Water and Soils Conservation Service. Depending on what
issues surface during the review process, other agencies, both
state and local, may be asked to review the plans. The review
agency must ensure that all projects consistently comply with
published standards and policies and that the project does
not endanger the health, safety, and welfare of the general
public. The process by which construction plans and plats
are routed through a typical jurisdictional review is shown in
Figure 5.IE of Chapter 5.1.
At the time Union Mills was being developed, the review
and approval process in Fairfax County for construction
plans was approximately 15 to 18 months for each plan. The
client, the Hazel/Peterson Companies, served as owner and
developer and it was their intention to build the infrastruc-
ture components of the project; that is, major roads, sani-
tary sewer outfalls, stormwater management facilities, and
construct the commercial/retail component. The residential
components of the project and the day care center would then
be sold to individual builders as "finished lots:' In essence,
those purchasing finished lots forego the delays associated
with site plan approval and need only building plan approval
to begin construction. From the outset, the client's goal was
to significantly expedite the design and review/approval
process to begin construction as quickly as possible. The
significant amount of time required for the zoning process,
the rising costs of development, dwindling sales activity, and
heavy costs of infrastructure development imposed by Fairfax
County, added economic uncertainty to the project. Thus, in
order to expedite the overall process and ensure cost-effective
design and construction, Hazel/Peterson Companies utilized
the following proactive team approach to the project:
• To ensure continuity throughout the lengthy design
process, the developer decided to use the same con-
sultant to perform the planning, zoning, and engi-
neering tasks.
• Hazel/Peterson personnel would interface/coordi-
nate with Fairfax County as needed. The developer
would establish overall schedules and priorities with
senior management in DEM while specific issues
were addressed jointly by junior staff within Hazel/
Peterson, Fairfax County, and Dewberry & Davis, the
engineering firm.
• Weekly meetings and daily interaction between the
developer and design professional would be main-
tained throughout the life of the project.
• A general contractor was selected by Hazel/Peterson
early in the design process to review plans and help
develop strategies to reduce construction costs.
The design professional's role in the development process
incorporates a variety of skills such as technical design skills,
knowledge of local ordinances, policies and procedures,
and communication. How the land development engineer
welds these skills together can greatly influence the success
or failure of a project. A positive engineer/client relation-
ship is integral to the success of the project. The engineer-
ing project manager and design team selected for the Union
Mills project had an extensive history with the client. The
previously established working relationship between client
and engineer allowed for open discussion and joint deci-
sion making. Knowledge of the site was an important factor
during the early stages of the Union Mills project. As will be
illustrated later, this knowledge of the site enabled the team
to identify and resolve issues prior to the start of final design
7.7.5. Summary Observations
The purpose in writing this case study was an attempt to
demonstrate the tremendous amount of outside influences
involved in the planning and engineering of a major land
development project. The influence of citizen activists, special

interest groups and raw politics is ever present. The days of
engineering a project without consideration of environmen-
tal, social and aesthetic considerations are long gone. Today's
process not only mandates coordination and approval of adja-
cent neighbors but consideration must also be given to future
neighbors in terms of transportation improvements, stormwa-
ter management, environmental protection and a myriad of
other aspects of the development process.
The Union Mills project was selected for this case study
because it had almost all the elements of the development
process from the planning and zoning through final site
design and engineering. Further, the project was a mixed use
with townhouses; single-family detached units and a retail
center being developed. The mixture of uses provided the
opportunity to demonstrate obstacles overcome through the
planning and zoning process as well as the diversity of engi-
neering techniques implemented to resolve issues within the
various land bays.
The Union Mills project was also somewhat unique in that
at the time it was being developed, a renewed awareness of the
environment and traffic congestion which resulted in addi-
tional policies and ordinances having a significant impact on
the development process. Examples of such changes include
the adoption and successful defense in court of the Occoquan
Basin Study and related downzoning by the Fairfax County
Board of Supervisors and more stringent environmental
FIG uRE 7. 7 U Union Mills site (circa 1974).
7.7 ■ DETAILED CASE STUDIES 817
protection policies prompted by State Government. In addi-
tion, a once rural community was being transformed to a
more densely populated suburban environment with the cor-
responding traffic congestion and need for additional public
facilities such as schools, fire and police facilities and more
effective stormwater management. The citizen activists and
other interest groups used the Union Mills project as a vehicle
to voice their concerns regarding the impacts, real or per-
ceived, of the proposed Union Mills project.
The success of this project was due, to a great extent,
to the development team that had been established and
its technical skills as well as skill in communications and
negotiations. It is unrealistic to believe that a project can be
approved through a public process without negotiations and
compromise on a wide variety of issues. In the case of Union
Mills compromises were made in the planning, zoning, and
engineering elements of the developments. However, the
issues were thoughtfully anticipated and, consequently, the
compromises were disruptive but not fatal to the project. As
demonstrated in this study, ongoing effective communica-
tions with all participants in the process was essential to the
success of this project. A comparison of the site before devel-
opment and after development is shown in the aerial photos
of Figures 7.7U and 7.7V.
When planning and designing a project, thought, and
consideration must be given to the possible impacts of the
818 fatUhiii F·\,j,@,1:/iidtHLMH
FIG uRE 7. 7 V Union Mill site (circa 1993).
proposal on the existing community and environment.
Again, in the case of Union Mills, anticipation of the issues
and communication with the appropriate interest groups
took place early and continued throughout the development
process. Although technology is ever advancing and chang-
ing, the human element remains paramount in the success of
a given project. The human element was clearly responsible
for the successful planning, engineering, and development of
the beautiful community of Union Mills.
PART B-MERRIFIELD TOWN CENTER PROJECT
Merrifield Town Center (MTC) is constructed on an assem-
blage of parcels totaling 7.48 acres located west of Gallows
Road (Rt. 650) and south of Lee Highway (Rt. 29) in Fairfax
County, Virginia. Just under one mile from the Dunn Loring
metro station, this suburban redevelopment project was the
first phase of the Town Center. Originally zoned Industrial
(I-5) and Highway Corridor (HC), the site was rezoned to
Planned Residential Mixed-Use (PRM) to allow 105,500 sf
of retail and office space and 270 residential condominiums,
including 14 affordable dwelling units (ADUs), for a gross
floor area of 440,000 sf. Total costs for the project approached
$135,000,000.
Located in a Comprehensive Plan designated Town Cen-
ter area, the site urban design concept was clearly a pedes-
trian friendly approach to redevelopment. Although all
parties endeavored to create a "pedestrian experience;' it
quickly became evident with the completion of the traffic
study, that extensive access improvements would be required
to accommodate projected traffic scenarios stemming from
the ultimate town center and to maintain the public street
network internal to and surrounding the site.
Striking a balance between vehicular and pedestrian
demands became the primary site design factor. From con-
ceptual design through final engineering and construc-
tion, Dewberry worked closely with the client, neighbors,
and local jurisdiction staff to plan and engineer a site that
provided required public improvements with as little com-
promise to the urban design guidelines as possible. As the
first phase of redevelopment in the Town Center, MTC was
 7.7 ■ DETAILED CASE STUDIES 819

a precedent setting project in this part of the county where

substantial change was envisioned in terms of public infra-
structure enhancements, economic opportunities, and com-
munity lifestyle options.

7. 7.6. Due Diligence and Site Analysis

Development Program: Market Needs and Community
Vision. The old adage "location, location, location'' is
entirely applicable to Merrifield. According to Michael Col-
lier, President ofUniwest (developer), "Merrifield is a unique
area in Fairfax County because it is the midpoint of the Tyson's
Corner-Fairview Park Office Complex/Inova Hospital bar-
bell:' With two substantial employment centers north and
south of the site, quick access to the Capital Beltway (495),
Route 66 (a major east-west corridor), and proximity to the
orange line metro stop at Dunn Loring, Merrifield is a nexus
for redevelopment in Fairfax County (Figure 7.7W).
The highly industrial nature of Merrifield was truly an
underutilization of this prime location; without a more pro-
nounced residential component and complimentary com-
mercial services to support it, this area would remain a transit
corridor between the two employment centers rather than
the vibrant community many locals, businesses, and county
officials wished to create. In the late 1990s, local business and
citizen's groups successfully spearheaded several changes to
the County Comprehensive Plan to facilitate the transition
from highly industrial to moderately dense mixed use.
Local to Merrifield, Uniwest had a vested interest in the
progress of the Comprehensive Plan amendments and played
an active role in the many public charettes and meetings.
While it was clear the site had potential, it was important to
ensure that the developer's vision meshed with the commu-
nity's vision and was accounted for in the plan amendment.
During this process multiple scenarios were reviewed by
the design team, namely, by the developer in terms of eco-
nomic feasibility. Scenarios ranged from different usage mixes
to different types of residential applications (rental apartment
versus condominium), to property size in so much as parcel
acquisition opportunities (for surrounding/adjacent parcels)
were in flux. Through iteration and refinement, the design
team identified the opportunities and constraints of various
development scenarios and worked progressively toward a
highest and best use examination. Dewberry's familiarity with
Fairfax County paired with the adaptability and creativity
inherent to this process resulted in quick, continuous feed-
back and ultimately enabled Uniwest to make programming, 1.iirnew
/ Park
"go, no-gd' decisions, and proffered commitments with confi- Office
dence and faith that the program could be delivered in subse- campus

quent steps of the development process. I

Due Diligence /
Comprehensive Planning and Zoning in Fairfax County. /
/
The first step of due diligence is to evaluate the County's /
Comprehensive Plan. This step is crucial in Fairfax County
since the Comprehensive Plan is the basis for land use
decisions. Although a Comprehensive Plan is only a guide FIGURE 7. 7W Vicinity Map-MTC.
and not a legal document per se, it is extremely rare for a
020 fatUhiii F·\,j,@,i:/iidf1,PLMH
development proposal to be approved that is not in strict
conformance with the Comprehensive Plan.
The emphasis and reliance on the Comprehensive Plan is
a result of two noteworthy community planning efforts in
Fairfax County: the 1970s Planning Land Use System (PLUS)
and the 1990s Fairfax Planning Horizons process. Both efforts
were initiated by the Board of Supervisors to improve planning,
identify county goals and priorities in terms of the built envi-
ronment, and facilitate responsible growth through informed
community decision making processes. County residents played
a major role in each of these visioning exercises via the creation
of task forces, surveys, and countless public meetings. Ultimately,
the Horizons process replaced the 1975 PLUS Plan with
• An updated Policy Plan that describes jurisdiction-
wide policies relating to land use, transportation,
environment, public facilities, and housing
• Revised Area Plans that provide Planning District
and Community Planning Sector recommendations
on a parcel specific level
• Comprehensive Plan and Transportation Plan maps
The Horizons Process utilized the Concept for Future Devel-
opment (1990), comprised of the Concept Map, the Land
Use Classification System, and the Land Use Classification
System Guidelines, to modify the Area Plans. The Hori-
zons Process represents the last significant effort by Fairfax
County to revise the Comprehensive Plan; upon adoption
of the Horizon Plan, the regularly scheduled Annual Plan
Review Process, a 4-year cycle, commenced.
County growth areas were further defined in the Hori-
zon Plan through the identification of localized Mixed-Use
Centers and Industrial/Institutional Centers in the Concept
for Future Development and carried out in the Area Plans.
Despite several plan revisions during the early 1990s, the
Greater Merrifield Business Association and several other
local citizen groups felt the Comprehensive Plan language for
the Merrifield Suburban Center still reflected recommenda-
tions from the 1970s and 1980s. This community coalition
pushed for a visioning workshop to address the future rede-
velopment of the area. As a result of this collaborative effort
between the community and the county, the Plan language
was enhanced in 2001 to provide for a more urban core, mixed
use in nature, and connected via green space and pedestrian
ways to the Transit Station area. This designation in the Com-
prehensive Plan served as the foundation for the Town Center
development, laid the groundwork for subsequent rezoning
and design efforts, and engaged this already active commu-
nity in the future redevelopment process (Figure 7.7X).
The property is located in Area I in the Merrifield Subur-
ban Center, specifically Land Unit F, Sub-unit Fl as shown in
Figure 7.7Y. The Comprehensive Plan text for the Merrifield
Suburban Center is twofold: Area Wide Recommendations
which identify the overall vision and framework for devel-
opment in the Center (i.e., the urban design concept) and
Land Unit recommendations which specify planned use and
intensity for each unit and subunit.
Merrifield Suburban Center Area Wide Recommendations-
Urban Design. First and foremost, the property was iden-
tified as a component of the Town Center "Core Area:' The
applicable land use recommendation for core areas stated:
The highest development intensities and the most "urban''
areas of the Merrifield Suburban Center will be located within
the designated core areas: the "Town Center Area' and the
"Transit Station Area:' Within these areas, mixed-use devel-
opment is encouraged and may include office, residential,
retail, hotel, major entertainment uses, as well as institutional,
cultural, recreational, and governmental uses. To encourage
a more urban environment, new buildings should be located
close to roadways while allowing for streetscape amenities such
as street trees, sidewalks, plazas, street furniture, and land-
scaping. Locating buildings closer to the roadway means that
most off-street parking will be located in structures behind or
beneath buildings. Parking structures should generally be inte-
grated with an associated building in a manner that maximizes
usable open space and the provision of pedestrian linkages.7
To encourage utilization of the mixed-use designation,
additional land use requirements such as the inclusion of
Affordable Dwelling Units (ADUs) as well as Parcel Con-
solidation and/or Coordinated Development Plans are also
noted. The provision of ADUs in a development program
will yield density bonuses necessary to achieve the high end
of the allowable intensities specified, while Consolidation/
Coordination would ensure proper integration of the project
into the changing community.
In addition to the Land Use recommendations, the Area
Wide Recommendations outline the specific urban design
components of redevelopment efforts in the Center, particu-
larly in the core areas. The primary urban design goals for
the Town Center are to create a "sense of place" and encour-
age alternative transportation modes through provision of
• Attractive, landscaped, pedestrian friendly streets
• Buildings with a distinctive architectural character
and street presence
• High-quality design in terms of integrated and coor-
dinated building design and materials, open space
amenities, and recreational space
To achieve these goals, the MTC plan would need to exem-
plify improved connectivity and quality of spaces. The
primary means of physically achieving the goal is through
the streetscape design. The plan identifies four typical
streetscape sections, two of which would be component parts
of the MTC plan-the "Boulevard" street, applied to both
Lee Highway (Rt. 29) and Gallows Road, and the "Cross"
street was applicable to Strawberry Lane (Figure 7.72).
'Fairfax County. Fairfax Count'j Comprehensive Plan, 1975 as amended through
July 2003.
 FIG uRE 7. 7 X Concept map for future development.

-
=.,
022 fatUhiii F·\,j,@,i:/iidf1,PLMH

FIGURE 7. 7Y Merrifield Suburban Center/Merrifield Land Unit F-1.

 7.7 ■ DETAILED CASE STUDIES 823

FIG uRE 7. 7 Z MTG streetscape typical sections identified in comprehensive plan.

024 fatUhiii F·\,j,@,i:/iidf1,PLMH
The other two components of the Area Wide Rec-
ommendations are Transportation and Public Facilities!
Infrastructure. These portions of the recommendations are
intended to be synergistic with the urban design recom-
mendations by improving, or ensuring the adequacy of the
public infrastructure and facilities serving the development,
the overall experience for residents of and visitors to the
Merrifield Suburban Center is enhanced and a variety of
transportation modes become equivalent options. As noted
in the Feasibility section above, primary transportation
improvements directly tied to redevelopment of the MTC
site involved the proposed intersection at Lee and Gallows,
the widening of both of these arterials to six-lane roads, and
the improvement of Strawberry Lane (realigned with Porter
Road). Other noteworthy transportation improvements-
proximal to the site that would ultimately bear weight
in terms of the rezoning effort and proffer development
included required improvements to Eskridge Road, Trans-
portation Demand Management (TDM) implementation
requirements, and policies pertaining to ROW acquisition,
mitigation of transportation impacts, site access points,
parking area access and location, and funding of transporta-
tion improvements and services.
Because the site is located in a largely developed portion
of Fairfax County, the bulk of the public facilities and infra-
structure-fire and police stations, libraries, schools, and
utilities-was already in place and required little improve-
ment or small additions. Components identified as lack-
ing within the Comprehensive Plan included open space,
FIG uRE 7. 7 AA Town Center Urban Design Concept as Identified in Fairfax County, Comprehensive Plan.
recreational, and stormwater management facilities, all of
which, required closer attention and consideration dur-
ing redevelopment to address existing deficiencies and/or
downstream problems.
Each of the four components of the Area Wide Recom-
mendations-Land Use, Urban Design, Transportation,
and Public Facilities/Infrastructure-would need to be
addressed and integrated into the Rezoning documents
in order to receive a favorable opinion during the public
review process.
Merrifield Suburban Center Land Unit Recommendations-
Program. Land Unit F is envisioned as the "Town Center"
portion of the Suburban Center. Sub-Unit Fl presents the
"base plan'' for the subject site as well as two options for rede-
velopment that would provide greater density within the con-
text of the Town Center urban design concept (Figure 7. 7AA).
The base plan for Sub-Unit Fl was "community-serving
retail up to 0.35 FAR'' with a possible office component.
Options 1 and 2 allowed an increase in density to 0.65 FAR
for office and retail uses or 1.2 FAR for mixed-use includ-
ing a residential component. To encourage pursuit of these
redevelopment options, height and density bonuses are
provided for such things as provision of ADUs and under-
ground parking as outlined in the Comprehensive Plan and
Zoning Ordinance.
Site Analysis
Environmental. Given the existing zoning and uses
on the site including warehouse storage, a dry cleaner/
laundromat, truck rental facility, and temporary car storage

FIG uRE 7. 7 BB Existing Condition Map and Site Inventory.
lot, there were several environmental concerns during the
initial site investigation (Figure 7.7BB). Numerous moni-
toring wells were located in the southeast portion of the
site; these wells served as an indicator of prior contamina-
tion and cleanup. Subsequent and more detailed investiga-
tion during the course of the Phase I Environmental Site
Assessment (by others) revealed little cause for concern
and the site was "cleared" for redevelopment. Because the
site was already developed, noteworthy natural resources
did not exist. Several trees located on adjacent property
were identified for cautionary reasons and recently planted
material was designated as possible transplant material.
7.7 ■ DETAILED CASE STUDIES 825
Located at the very upstream end of the Accotink Creek
watershed, there was no evidence of wetlands or federally
regulated water bodies, and the site is not in a flood prone
zone. Cultural resources were not present on the site or in
close proximity.
Preliminary Engineering. Because the site is located in a
highly developed part of Fairfax County, engineering feasi-
bility analysis focused on existing utility capacity, access and
circulation issues, grading, drainage, and stormwater man-
agement, in particular, outfall adequacy.
The site was serviced by existing utilities including water,
sewer, storm drain, gas, and electric. Initial inquiries to
02& fatUhiii F·\,j,@,i:/iidf1,PLMH
utility providers proved valuable, identifying the following
host of design considerations.
Although located in Fairfax County, water service for this
area is provided by the City of Falls Church. Capacity was
not an issue; however, as a result of this unique scenario an
additional jurisdiction became involved in the plan review
and approval process.
Fairfax County Division of Wastewater Planning and
Monitoring confirmed capacity in adjacent sewer mains.
They determined that initial load estimates would result in
at least two new connections. Given the topography of the
site, these taps would actually be in separate sewer sheds, one
of which was subject to reimbursement fees.
Dry utilities including gas, electric, telephone, and fiber
optic were present in the area. Overhead utilities would need
to be relocated and caution exercised to resolve proposed
road and utility improvements near the existing gas and fiber
optic lines in Gallows Road.
In terms of access and circulation, the existing street
system was less than desirable from both a pedestrian and
vehicle perspective. Both Gallows Road and Lee Highway, the
two framing arterials were included in the Virginia Depart-
ment of Transportation (VDOT) 6-year Road Improvement
Plan (Figure 7.7CC depicts a transportation map). The mas-
sive proposed at-grade intersection and the ripple-effect
improvements along each corridor would drastically affect
the subject site. Additionally, the County Comprehensive
Plan identified circulation improvements within the Town
Center area to enhance connectivity between the transit sta-
tion area to the north and the town center as well as facilitate
the transformation from industrial to mixed use. An analysis
of the site development consequences of VDOT's and Fair-
fax County's complimentary road improvement scenarios
revealed the following key components:
• Strawberry Lane would need to be realigned and
improved through the site.
• Additional Right-of-Way dedication along Gallows
would be required to accommodate VDOT's inter-
section improvements and street widening.
• Direct connections (entrances) to the site from Lee
Highway and Gallows Road would not be possible
based on proximity to the existing and proposed
Lee/Gallows intersection.
The realignment of Strawberry and ROW dedications for
Strawberry and Gallows would result in a substantial change
in configuration of the buildable site area: conservative esti-
mates based on early research of VDOT plans indicated a
net reduction of nearly 2 acres. These cursory observa-
tions laid the groundwork for conceptual design efforts and
prompted more detailed analysis in the form of a traffic
study. A detailed traffic study was performed (by others) to
quantify ROW needs for both Strawberry and Gallows and
determine signalization and intersection improvements for
the realigned Strawberry/Gallows/Porter intersection. The
results of this study became available and were incorporated
during the schematic design phase (see Figure 7.7DD for
further details)
Not only did the proposed widening of Gallows affect the
site buildable area but it presented a challenge in terms of
grading for pedestrian, specifically handicap, accessibility.
There was over 10 foot of grade change along Strawberry
Lane; with the widening of Gallows, this grade change
became exacerbated. Although it was fairly clear how to fit
the buildings into the topography to take advantage of mul-
tistory retail and structured parking; designing the sidewalks
and streetscape to meet handicap accessibility standards
would take careful attention to detail and creative manipu-
lation of building entry features to ensure accessible routes.
While the drastic grade change on the site presented a
challenge in terms of grading for accessibility; it facilitated
storm drain and stormwater management (SWM) design.
Given the tight buildable area conditions, underground
SWM facilities were planned even during feasibility. A clear
redevelopment project, quantity and quality control were
required according to Fairfax County guidelines. The pri-
mary concern at this stage of the land development process
was stormwater outfall adequacy. Four separate pipe outfalls
were identified on the site; further investigation of the storm
drainage systems revealed that all four systems rejoined
downstream and ultimately discharged into an unnamed
branch of Accotink Creek. Modeling the outfall systems
would require additional field survey and plan research in
order to piece together the outfall path to the requisite dis-
tance downstream.
Conclusion to Due Diligence and Site Analysis of Merri-
field Town Center. The end result of the first steps of the
land development process was a "go'' decision on the part
of the client. All the pieces were in place-a prime location,
site conditions that could be overcome and improved, and
promising, enabling Comprehensive Plan language that was
supported by the local community. Following the "go'' deci-
sion, the process truly took flight as rezoning efforts and
more detailed engineering analysis commenced to refine the
development program and bring Uniwest's vision to life.
An important aspect of the comprehensive planning and
zoning process is a basic awareness of how the local govern-
ment operates in accordance with their jurisdiction size,
structure of government, legislative authority granted by
the State, and the amount of participation by the residents of
the community. In order to understand the land development
process as it relates to Merrifield Town Center, it is impor-
tant to become familiar with the basic structure of the Fairfax
County government and the participants in the process.
The governing body in Fairfax County is the Board of
Supervisors. The citizens elect one Supervisor from each of
the nine Districts and an at-large Chairman every four years.
The Board of Supervisors plays a major role in the land
development process: They formulate and adopt Ordinances
and policies relating to the development process as well as
 7.7 ■ DETAILED CASE STUDIES 827

FIG uRE 7. 7 CC Fairfax County transportation plan.

828 fatUhiii F·\,j,@,i:/iidf1,PLMH
FIG uRE 7. 7 DD Proposed ROW dedication as determined during the engineering feasibility analysis.
review and approve rezoning, special exception applications
and amendments to the Comprehensive Plan. The Board of
Supervisors delegates the bulk of the land use coordination
and negotiations to the Planning Commission. The Planning
Commission is a twelve-member body appointed by the
Board of Supervisors. Each Supervisor appoints a member
to represent their district for a 4-year term and the Chair-
man of the Board appoints three at-large members. Gener-
ally, the Planning Commission holds public hearings twice
a week. The Board of Supervisors makes the final decision
on the majority of land use matters and, historically, Board
members rely heavily on Planning Commission recommen-
dations. Although there have been rezoning cases in which
the Board of Supervisors has overruled a Planning Commis-
sion recommendation, it is atypical of the process.
As a result of the increased sophistication of the citizens
and their influence in the land development process in Fairfax
County, organizations made up of representatives of various
homeowners associations have been formed within individual
Supervisor Districts to advise the Planning Commission and
Board of Supervisors on land use matters. For example, the
Greater Merrifield Business Association (GMBA) is a non-
profit organization established in 1984. This group advised
the Planning Commission and Board of Supervisors during
the planning process of Merrifield Town Center. These types
of citizen organizations have become so influential in the land
development process; many Supervisors and Planning Com-
mission members strongly suggest that applicants present
their proposals to these groups prior to the Planning Com-
mission public hearing. It is difficult to receive a favorable

recommendation from the Planning Commission or Board
of Supervisors without the support of local citizen groups. It
is not uncommon for the design team to meet with these local
citizen/business groups several times prior to public hearings
in order to adequately address their concerns.
In addition to the political decision makers, there are usu-
ally homeowners in proximity to the proposed development
who have concerns or self-serving interest regarding the
proposal. Sometimes, these citizens are not part of a home-
owners association and lack representation within one of the
larger community citizen organizations. The members of the
Planning Commission and Board of Supervisors rely heavily
on input from the adjacent homeowners of a given project
and their concerns must also be addressed along with those
of the larger citizen organizations.
7. 7. 7. Conceptual Design
Based on the preliminary investigations and Uniwest's eco-
nomic assessments of the possible development scenarios,
the decision was made to pursue the mixed-use option
(option 2) identified in the Comprehensive Plan. In 2003,
when the land development process was initiated, the hous-
ing market was exploding in the Washington D.C. metro
area; market demand paired with a desirable location and a
firm assurance from Dewberry that the program could be
delivered within the confines of the jurisdictional require-
ments allowed Uniwest to move forward in the development
process with confidence. In order to achieve the desired
program, rezoning would be required; thus exposing the cli-
ent and their program to the public review process. Prior to
initiating the formal rezoning process, conceptual and sche-
matic level designs were completed in order to thoroughly
investigate design options and ensure the development pro-
gram put forward in the public process would comply with
relevant standards and sit favorably with the community and
the political leaders.
Development Patterns and Principles. Given the program,
site size (not even 7.5 acres), and configuration (nearly rect-
angular but bisected at a severe angle by Strawberry Lane),
both horizontal and stacked mixed-use development sce-
narios were investigated. With only conservative estimates of
the ROW requirements for improved Strawberry Lane and
Gallows Road, the buildable area of the site was somewhat
in flux; although, it was clear there would be two distinct
land bays, the primary corners of which posed an intriguing
design dilemma given their geometry. Programming discus-
sions during the feasibility step revealed that nearby Reston
Town Center was a desirable model to emulate in terms of
overall aesthetics and "sense of place:' Using Reston as a
guideline and in order to optimize the building program,
stacked mixed use emerged as the most practical arrange-
ment of space. Like most stacked mixed-use scenarios, it was
determined that both land bays would support ground level
retail with a residential tower above.
Overall massing of the buildings and orientation of
the residential component were critical in terms of design
7.7 ■ DETAILED CASE STUDIES 829
development (Figure 7.7EE). Once the decision to pursue
mixed-use programming was made, initial floor area com-
putations were completed in order to begin determining
building massing arrangements. With two large land bays,
massing seemed self-evident; however, the substantial ROW
dedications combined with previously identified comprehen-
sive plan recommendations to enhance/provide open space
and recreational facilities with any residential components
created additional context for design. Several alternatives
were examined to achieve the client's desired density while
"building in'' valuable open space. From pocket parks and
streetscaping to greenroofs, nearly every open space option
was investigated in terms of added amenity value, cost, and
construction feasibility. Ultimately, it was determined that a
sizeable park, one that provides amenities beyond the small
oasis of a pocket park, would likely be required given that
three Plazas/Urban Greens were identified in close proximity
to the site on the Merrifield Suburban Center Open Space and
Pedestrian System Map. With open space and ROW require-
ments tentatively delineated, general building footprints were
developed for each land bay taking into account the unique
corner treatments that would be required in order to accom-
modate the alternating acute and obtuse angles formed at the
primary entrances to the site along improved Strawberry. In
addition to the urban park and required streetscaping, sev-
eral possible pocket parks were identified as options in the
"leftover" corner areas. Desirable views for the residences
were identified: improved Gallows and Lee Highway would
be active, streetscaped boulevards although traffic heavy (i.e.,
noisy), Strawberry Lane would be the eastern entry to the
town center, and west of the site would be future phases of the
town center likely similar in architecture and programming.
Based on these considerations as well as architectural con-
cerns related to depth and structural systems, U-shaped tow-
ers were devised on each building in order to take advantage
of the prime frontage on improved Gallows and Strawberry
as well as the town center expansion.
In addition to the buildings themselves, access consid-
erations-vehicular and pedestrian-continued to effect
design development. From the feasibility investigation, it
was determined that vehicle access from Gallows and Lee
Highway would be restricted, in fact no new entrances would
be permitted, leaving Strawberry as the primary entry and
access to the site. The grade change along Strawberry was
ideal in terms of providing direct access to various levels of
structured parking; however, the location of multiple such
entrances along Strawberry would have substantially dis-
rupted the required streetscape, pedestrian experience, and
desirable retail street presence. The street just west of the
site was private south of Hilltop Road and as such would
require permission from the neighbor, easements and/or
access rights in order to devise usable entries to the site. This
approach was deemed by the design team questionable at
best given the various states ofredevelopment of the neigh-
bors and the need to access both the north and south land
bay. Once the obvious access solutions were exhausted the
030 fatUhiii F·\,j,@,i:/iidf1,PLMH

(a)

FIG uRE 7. 7 EE MTC Conceptual Designs-figures (a) and (b) are site concepts and figure (c) is an internal building concept prepared by the
Development Design Group to facilitate site/building coordination during final design.
 (b)

-
~ FIGURE 7.7EE (Continued)
(c)

FIGURE 7.7EE (Continued)


design team began to consider an alternate approach in the
form of a private service drive. Although this arrangement
resulted in additional roadway infrastructure and less build-
able area, it successfully kept moving and delivery vehicles
out of the main town center entry street, provided for park
maintenance access, and allowed private access for both
buildings giving residents and commercial users a sense of
privacy and exclusivity.
7. 7.8. Schematic Design
To refine the general site layout developed during con-
ceptual design, the land development consulting team
systematically quantified the public infrastructure
improvements-specifically the public road and open space
requirements. First, the results and recommendations from
completed specialty studies-traffic, community impact,
and geotechnical-were combined with the concept study
to produce schematic level drawings suitable for use as
points of discussion and negotiation with local review staff,
political leaders, and community members. Second, sche-
matic design iterations were performed in response to these
various stakeholder meetings in an effort to build design
consensus among the client, design team, neighbors, and
jurisdictional entities prior to and during the formal rezon-
ing effort.
Preliminary Engineering and Design. On-site infrastructure
improvements resolved in further detail during schematic
design included over 1000 structured parking spaces, the
public and private road network, pedestrian bridge location,
paved loading docks, sidewalks, utility systems, grading and
drainage, stormwater management systems (both quantity
and quality control), lighting, landscaping, and recreational
open space. Each of these features was engineered to a point
where constructability could be ensured pending final design.
In some cases, multiple design iterations were warranted in
order to ensure the proposed development program met the
merits of the Comprehensive Plan and jurisdiction guidelines.
Specific "sticking points" during the course of redevelopment
included proposed density, the required road improvements,
and stormwater management.
Density. In order to pursue a mixed-use scenario on-site,
meet the profitable yield level, and provide the identified
infrastructure improvements, Uniwest needed to achieve
maximum permissible density thresholds on the site. This
could only be accomplished through provision of Afford-
able Dwelling Units (ADUs). Further, advanced density
credit for all Right-of-Way (ROW) dedications needed to be
ensured in order to optimize the building program within
the reduced site area. Throughout the preliminary engi-
neering and rezoning effort, Uniwest and Dewberry plan-
ners in conjunction with County staff (DPZ) and the district
Supervisor's office examined numerous ratios of ADUs to
market rate units. Discussions focused on the appropriate
mix of housing and retail for the site as well as the town
center as a whole since this was the first wave of redevelop-
ment in the area.
7.7 ■ DETAILED CASE STUDIES 833
Project Phasing. Since MTC was the first site to redevelop
in the core area, phased construction, particularly required
road improvements, would be necessary. Parcels north,
south, and west of the site that were further from redevel-
opment and not consolidated into the subject plan stood
as roadblocks to completing ultimate road improvements.
In addition to the unknown redevelopment time frame
for neighboring properties, it came to light that VDOT's
improvement schedule for Gallows and Lee Highway did
not coincide with the MTC development schedule resulting
in a projected gap between the two projects of nearly 2 years.
Preliminary engineering efforts focused on the identifica-
tion of interim and ultimate road improvement scenarios
to facilitate a smooth merger of the new development into
both the existing community and the future Town Center.
Careful attention to transitions at the perimeter was also
a priority to ensure that grading and pedestrian facilities
would tie-out effectively in interim and ultimate scenarios
with minimal rebuilding. Building corners and streetscape
elements, particularly landscaping, were reviewed in terms
of both interim and ultimate condition sight distance con-
straints (Figure 7.7FF).
Alternate Street Designs. While it was clear road improve-
ments would be required as a proffered condition ofrezon-
ing, the extent or "reasonable proportion'' of the required
improvements assigned to Uniwest was determined through
an iterative process with VDOT, FCDOT, and DPZ. The
challenge throughout was reconciling the Comprehensive
Plan streetscape recommendations, the recommendations
of the traffic study, and VDOT public street standards to
develop essentially two road improvement plans-interim
and ultimate.
Existing deficiencies noted in the Comprehensive Plan
(namely the number and location of access points and the
lack of adequate pedestrian and/or bicycle facilities) in addi-
tion to the traffic projections for the site, resulted in elevated
concerns regarding the safety and efficiency of both vehicle
and pedestrian movements through and around the site.
Further, VDOT road improvement plans for Gallows and
Lee Highway were still in preliminary stages and did not
fully account for access needs such as turn lanes for unde-
veloped properties. Table 7.7B summarizes the various road
configuration recommendations and the resultant schematic
designs produced.
Gallows Road. Rarely does the biggest site asset also turn
out to be the biggest detriment to development: such was the
case with Gallows Road. The proposed improvements would
clearly improve vehicle capacity, traffic flow, pedestrian
facilities, and the aesthetics of the street; however, accom-
plishing these improved conditions required a substantial
dedication of land and resources by Uniwest. Due to the
relatively urban nature of the site and significant overhead
(aerial) utilities on the east side of Gallows, the widening was
proposed entirely on the western side (project side) of the
street in order to avoid costly utility relocation fees and take
advantage of those properties slated to redevelop as opposed
(a)

FIG uRE 7. 7 FF (a) Interim Gallows Road improvements and (b) Ultimate Gallows Road improvements.
(b)

FIGURE 7. 7FF (Continued)

a3& fatUhiii F·\,j,@,i:/iidf1,PLMH
TA BLE 7. 7 B Public Roadway Design Scenarios
COMPREHENSIVE PLAN TRAFFIC STUDY
EXISTING RECOMMENDATION RECOMMENDATION INTERIM ULTIMATE

Gallows 4 through lanes; 6-lane road with 6-lane road; dual lefts 4 through lanes; dual Traffic Study
Road single left-turn planted median; from NB Gallows to lefts from NB Gallows Recommendation
lane from NB 26- to 30-ft Strawberry; single left to Strawberry; single
Gallows to streetscape adjacent from SB Gallows to left from SB Gallows to
Strawberry to buildings Porter; dedicated right Porter; dedicated right
from SB Gallows to from SB Gallows to
Strawberry Strawberry
Strawberry 3 lanes at any 2 through lanes with 4-lane road with Traffic Study Traffic Study
Lane given point-2 on-street parking dedicated right onto Recommendation Recommendation
turning lanes and on both sides and SB Gallows
a through at each 26-ft of streetscape
end of street adjacent to buildings

to distributing the additional ROW needs equally on both
sides of existing Gallows. It was also determined that the
existing lanes on Gallows were substandard in width; thus,
even interim improvements would need to progress the street
design in terms of compliance with public street standards.
Lane and median widths would become a key point of nego-
tiation with jurisdiction staff as ultimately it would affect the
final ROW dedication and buildable area of the site.
Utilizing VDOT's proposed centerline for Gallows, Dew-
berry worked with the traffic consultant and VDOT district
reviewer to evaluate configuration alternatives by confirming
sight distance, ensuring constructability in interim and ulti-
mate conditions, examining requisite signal improvements,
and gauging the effects on the required streetscape facilities.
This process is very much a balancing act: providing adequate
public facilities while optimizing buildable site area.
Strawberry Lane. A similar balancing act was required as it
related to Strawberry Lane. VDOT and the traffic consultant
wanted to ensure safe, efficient vehicle movement, while the
local jurisdiction and client were concerned with providing
the required streetscape and pedestrian improvements with-
out dedicating more land than is necessary. Various design
configurations for Strawberry were investigated including
On-street parking as identified in the comprehensive
plan was laid out but rendered moot by turning lane
requirements.
Provision of a brickpave median to provide a pedestrian
refuge in a street that had become increasingly wide with
traffic recommendations for turn lanes was eliminated as
it required an additional 4 feet of ROW dedication along
the entire street.
A curved centerline alignment was thought to bet-
ter orient the street through the site between its
two "pinned" points: the existing Gallows/Porter
intersection and the small piece of existing ROW that
allowed the connection to the existing private street to
the west but was rejected because it established a poor
frame work for the land bays, exacerbating the already
asymmetric situation.
A traffic circle instead of an intersection at the private
access road was examined as an attractive means of
directing traffic at a key focal point in the site. Further
it would have provided an acceptable public street ter-
minus and allowed for earlier transition from private to
public street access. However, in order to achieve this
benefit, the circle or temporary cul-de-sac would be sub-
ject to public street design standards which mandate a
large radius and ROW dedication in order to accommo-
date emergency vehicle and truck access to the planned
facilities. Public street sight distance requirements would
limit anything in the center of the roundabout (landscap-
ing or artwork) to less than 2 feet in height. The reduced
aesthetic options combined with the impact to the build-
able area of the proposed park and land bays were too
substantial to overcome and the circle was abandoned
(Figure 7.7GG).
Private Service Drive. Although a private street, the service
drive was a critical design element. The street was intended
to be small to minimize infrastructure maintenance require-
ments yet had to meet several functional criteria: ( 1) garage
access, (2) loading access, (3) emergency vehicle access,
and (4) park maintenance. Each of these access criteria was
further coordinated with the pedestrian, open space, and
streetscape facilities implemented to the extent possible in
uniformity with the rest of the site. Garage entrances inter-
rupt pedestrian facilities and building facade; thus they had
to be coordinated with the grading and location of ramps,
drainage structures, and usable commercial space. Load-
ing facilities are a requirement of the zoning ordinance;
 7.7 ■ DETAILED CASE STUDIES 837

FIG uRE 7. 7 GG Alternate Strawberry Lane configuration-an early version of the rezoning document showing Strawberry Lane with on-street parking.

confirmation that moving and/or delivery trucks could suc-
cessfully access loading facilities was achieved using vehicle
tracking software (Figure 7.7HH). In Fairfax County, build-
ings over 50 feet in height must have ladder truck access to
the front and rear; emergency vehicle access must be located
15 to 30 feet from the structure and have a minimum width
of 18 feet. Truck turning movements dictated the mini-
mum width of the street, while emergency vehicle consid-
erations prescribed the location of the street. Once each of
these access considerations was confirmed and the general
838 fatUhiii F·\,j,@,i:/iidf1,PLMH
~ -• ~ ~ ~~
1- - _ __?- L _r ._ . . . _
FIG uRE 7 . 7 HH Truck turning analysis.
location and dimension of the street established, the remain-
ing details could be final engineered pending an approved
rezoning and development plan.
Environmental Considerations
Stormwater Management and Best Management Practices.
Once a more realistic building footprint and roadway con-
figuration were established, hydrology analysis and SWM
requirements were determined. For such a small site at
the top of the watershed (little to no off-site water), Ratio-
nal Method hydrology was used for modeling purposes.
Although the site was developed, the proposed develop-
ment program (as detailed in schematic) resulted in an 18%
increase in impervious area. Based on this analysis, it was
determined that both detention and BMP facilities would
be required.
The urban nature of the site along with comprehensive
plan recommendations to use underground SWM facilities
in the town center area (in lieu of traditional open air facili-
ties) led to the initial design of on-line, large-diameter pipe
detention systems-one in each land bay. Although rooftop
detention facilities were considered, they were not a feasible
option from an aesthetics standpoint since the residential
- .• J,.JJ,..,IV --~
\ ---;
\ 1_
\ ~ \
towers overlooked them. This seemed like a waste of usable
roof space to the client; instead of rooftop detention, Uni-
west, prompted by a request from the District Supervisor,
asked Dewberry to investigate the possibility of a greenroof
and provide information as to how it might provide credit
toward the water quality requirement instead.
Water quality requirements for the site were based on
redevelopment criteria since the proposed increase in imper-
vious was less than 20% (Fairfax County redevelopment cri-
teria). Thus the phosphorus removal requirement for the site
was determined to be approximately 14%. In Fairfax County
at the time of this rezoning effort, there were no guidelines
for proper implementation or crediting of greenroofs as a
SWM treatment option. 8 Dewberry, through a white paper
to Uniwest, explained the characteristics, pros, and cons
of both extensive and intensive greenroofs and developed
a SWM model for the site utilizing an intensive greenroof.
While the district Supervisor was a strong proponent of the
81n 2006, Fairfax County amended their Public Facilities Manual to include six low-
impact development (LID) techniques, one of which is a green or vegetated roof sys-
tem, as acceptable best management practices.

greenroof system, the likelihood of achieving SWM credit
during the site plan review process was highly questionable.
Uniwest determined that building a greenroof was economi-
cally feasible; however, the inability to procure guaranteed
SWM credit led to a compromise. An intensive greenroof
would be provided on a portion of each building and would
be credited toward the recreational facility requirement for
the residential portion of the development. In this manner,
Uniwest was able to yield the benefits of an intensive green-
roof as well as meet the merits of a proffered requirement
while the Supervisor was pleased to see design efforts that
incorporated Low-Impact strategies.
With the greenroof benefits applied elsewhere, SWM
quality criteria still needed to be addressed. Dewberry
designed an underground sand filter that would treat the
bulk of the runoff. As schematic design discussions pro-
ceeded with jurisdiction staff, it became clear that a SWM
treatment requirement exceeding minimum standards was
desirable. Fairfax County is in the Chesapeake Bay water-
shed and is, like many jurisdictions in this environmentally
sensitive area, conscientious of SWM and E&S on all land
development projects. As a precedent setting project in the
town center area, it became clear that MTC would set the
standard for exceeding minimum requirements. Thus even
early iterations of the SWM design sought to achieve upward
of 20% phosphorus removal through incorporation of inno-
vative BMPs such as Filterra units (inlet biological filtration
systems).
Landscaping!Streetscaping. The emphasis in the compre-
hensive plan on the "sense of place'' to be created in the town
center led to increased scrutiny of the proposed streetscape,
landscaping, and proposed pedestrian facilities during
the schematic and rezoning phase. In order to emphasize
the importance of streetscape, landscaping, and pedestrian
facilities, the County required Uniwest to proffer these
improvements. From bike racks and benches to material
specifications, maintenance obligations, and even fee-in-lieu
or contribution requirements for off-site improvements, the
urban design goals expressed through the streetscape were
always at the forefront of design considerations. As seen in
the schematic plan (Figure 7.711), an alternate streetscape
section was incorporated to ensure adequate open space and
pedestrian facilities regardless of the evolving road designs.
The Rezoning Process. In order to achieve the desired
development program-stacked mixed use with retail, office,
and residential components-the site had to be rezoned from
Industrial (I) and Highway Corridor (HC) to Planned Resi-
dential Mixed Use (PRM). Chapter 16 of the Fairfax County
Zoning Ordinance outlines the review and approval require-
ments for rezoning to a P district, specifically, the requirements
for Conceptual and Final Development Plans (CDP/FDP) to
clarify the development program and support the rezoning
application as well as provision of a Site Plan to carry out an
approved CDP/FDP. The CDP/FDP is typically prepared by
the land development consultant in close collaboration with
the architect, traffic consultant, other subconsultants, and the
7.7 ■ DETAILED CASE STUDIES 839
client; it is effectively the deliverable produced during sche-
matic design. Often, it involves several iterations and substan-
tial negotiations between the client, the jurisdiction, and the
community as this is the document subject to public scrutiny
at Planning Commission and Board hearings. Of particular
interest, are the Proffers or Development Conditions usually
crafted during the course of the rezoning effort as a result of
provisions in the Zoning Ordinance that make it possible for
the jurisdiction to ensure public health, safety, and adequacy
of services through proffers.
Although a seemingly straightforward rezoning, given
the Comprehensive Plan language and a relatively willing
community, the actual process took 13 months from initial
submission to Fairfax County to final approval of the CDP/
FDP and rezoning. What happened? This project like many
others ran into the buzzsaw that is land development politics.
Ultimately, translating the Comprehensive Plan vision and
Uniwest's dream scenario into the reality of public infrastruc-
ture, satisfactory to the numerous jurisdictions and citizen
groups with a vested interest in the project, became an exercise
in patience and perseverance as well as a design challenge.
Rezoning-Negotiations with Staff. As noted earlier, the
public agencies' primary concern as it related to the MTC
development was related to access and connectivity improve-
ments. Streets, functioning as the backbone of the site, are
the primary conduits for people and vehicles. They serve as
the frame for both the recreational and functional (building)
spaces and as such must be appealing, safe, and efficient. All
other site components are contingent upon the street config-
uration-the streetscape, utility corridors, and building and
open space envelopes are all determined in relation to the
street configuration. Thus nearly every public entity involved
in the land development review process had a vested inter-
est in the proposed street improvements. From the complete
redesign of Strawberry Lane, to the substantial improvements
associated with the widening of Gallows Road, including an
entirely new configuration for the Strawberry/Gallows/Por-
ter intersection, iterations through the street design resulted
in a ripple effect through the remainder of the site. Uniwest
President, Mike Collier noted, "As the public improvements
began to take shape, we realized the site would be a tighter
squeeze than we initially anticipated; maintaining a profit-
able balance between the infrastructure improvements and
the allowable development program was at the heart of all
rezoning and proffer negotiations:' Issues such as alignment,
configuration or typical section, and phasing of improve-
ments for all three streets-Strawberry, Gallows, and to a
lesser extent, Lee Highway-were the focus of preliminary
engineering efforts and proffer development.
To aid in understanding the various competing interests,
a brief description of the primary entities and their goals in
terms of the MTC redevelopment are included forthwith:
Uniwest (Developer): Maximize buildable area within the
confines of the existing site boundary and those created
by the proposed ROW dedications; facilitate access to the
a4o fatUhiii F·\,j,@,i:/iidf1,PLMH
site and create an aesthetic, safe public space to foster a
vibrant community.
VDOT (state transportation agency): Improve the condi-
tion of existing public roads and enhance the safety and
efficiency of the public road network through imple-
mentation of current standards; limit rebuild efforts
associated with future road improvements; and optimize
private entity contributions through dedications, con-
struction, and escrow opportunities.
Fairfax County Department of Transportation (local
transportation agency): Ensure that the recommended
roadway improvements in the Comprehensive Plan are
carried out.
Fairfax County Department of Zoning (local planning
agency): Ensure that the recommended streetscape and
open space improvements in the Comprehensive Plan
are incorporated and applicable zoning and use restric-
tions are adhered.
Through design, these competing interests are resolved.
The land development consultant often is the designer and
mediator: the engineer and planner work in concert to rec-
ommend solutions, offer alternatives, and continuously evolve
and modify the plans to accommodate the client and the juris-
diction staff. Specific items of compromise for MTC included
Strawberry Lane: Timing of vacation/ dedication of
ROW, Alignment, Configuration-number oflanes, lane
widths, and crosswalk material
Gallows Road: Configuration-number oflanes, lane/
median widths, ROW Dedication-coordinate w/VDOT
plans, and Timing/Phasing of Improvements
Many of these issues were a result of all streets remaining
public entities; although, this was the desired approach by all
parties, it had drastic impacts on the flexibility of the street
design as ultimately, public maintenance and design guide-
lines (not necessarily developed for urban streets) were the
overriding factor. Within the CDP/FDP and the associated
proffers, these concerns were addressed through
• Alternate streetscape plans that adequately accounted
for potential changes to Gallows Road achieved
through further negotiation and design during final
engineering.
• Interim and ultimate Gallows road improvement
plans were developed as well as proffered contribu-
tions toward ultimate construction to ease phasing
concerns.
• Correspondence indicating the collaborative process
and a mutual understanding of roadway design crite-
ria was added (see page 17 ofFDP 2003-PR-009) in
order to verify the ROW dedications were adequate
based on agreed upon lane configurations.
Rezoning-Negotiations with Citizens. As is typical of
the Rezoning process, the development team met with the
neighboring citizen groups individually to present their pro-
posal. The issues raised at those meetings were related to
specific impacts to the citizen groups including such items
as uses within the proposed development, the transporta-
tion improvements, and stormwater management concerns.
There was not much opposition to the proposal; however,
one of the downstream Homeowner Associations, repre-
sented by a very vocal, active resident, persistently expressed
concern that insufficient stormwater management was being
provided. This particular HOA was located along the open
channel section of the downstream outfall and was experi-
encing significant erosion problems.
As a downstream resident, this particular neighbor felt
that although this was considered a redevelopment project,
a proportionate improvement in the site runoff scenario
should be provided to address the downstream erosion
problems; although, that was not the requirement in Fairfax
County. The respective requirements were such that post-
development peak discharge for the 2- and 10-year storms
did not exceed pre-development peak rates and a phospho-
rus removal efficiency of 20%. The initial CDP/FDP and
associated proffers met the requirements of Fairfax County
by providing Stormwater quantity and quality control as
required for a redevelopment project.
The concerned neighbor, although not a land develop-
ment professional, was savvy about Stormwater regulations,
control options, and the land development process. This
citizen effectively voiced concern, engaging both the Plan-
ning Commissioner and the District Supervisor in project
Stormwater discussions. The neighbor sought a solution that
controlled both the volume and rate of runoff directed to the
ultimate outfall and requested that the Stormwater design
for the site address smaller frequency storms, those causing
the most damage to the natural stream bed, not accounted
for in the county regulations. In an effort to compromise
prior to public hearings and avoid a show of "nonsupport''
from a neighbor, Dewberry and Uniwest collaborated with
the citizen. After listening to her valid concerns, Dewberry
reviewed and revised the Stormwater management program
to reasonably incorporate her recommendations. Given the
size of the facilities required to meet baseline county require-
ments, Dewberry was able to determine that the additional
requirements advocated by the downstream neighbor could
be achieved through refinement of the control structures
in the detention facilities (at little additional cost) and the
incorporation of several innovative BMPs (minor cost in
the scheme of site improvements) in previously untreated
subsheds. Ultimately, Dewberry advised Uniwest to agree
to stormwater management proffers that exceeded county
requirements: BMP or quality control was to meet a 30%
removal efficiency, 2- and 10-year detention was to reduce
existing peak flows by 10%, detention for storms more fre-
quent than the 1 year was to be provided, and sufficient
detention volume for the mean annual storm was to be

provided in the facilities. By incorporating these increased
standards at minimal cost, Uniwest was able to ameliorate
the concerned citizen, improve its "good neighbor" status,
and set a precedent encouraging future development in the
area to exceed baseline environmental standards for the ben-
efit of the entire Merrifield community.
Rezoning Revisited-The Art of Compromise. The art
of compromise was successful in this particular instance as
all parties involved attained all or the majority of what they
initially were seeking. Uniwest received full support of the
community, staff and decision makers for their rezoning
application, which included the bonus density for provision
of AD Us. The citizens were successful in gaining the approval
of the first phase of the much wanted Town Center without
compromising infrastructure improvements and, in fact, set
a precedent for redevelopment conditions that exceed local
requirements. Local politicians were praised by the commu-
nity for their efforts to unite the community and developer
through reasonable and forward-looking proffer agreements
that embraced the urban nature of the Town Center.
After 1 year of negotiations in the rezoning process, the
property was rezoned by the Board of Supervisors (by a
unanimous vote from 6 out of 10 present for the vote) to the
PRM District to permit the development of the MTC project
as we know it today. The development of the property was
proffered to be in conformance with the approved CDP/FDP
as shown in Figure 7.711.
Noteworthy proffers included the following:
• Maximum Density including 270 residential units
and a site FAR of 1.35 with the increase over the base
of 1.2 dedicated to ADUs
• Restriction of various uses within the retail compo-
nent of the project
• Monetary contribution to the local schools: elemen-
tary, middle, and high school
• Recreation contribution through provision of on-site
facilities including rooftop amenities or contribution
to the Fairfax County Park Authority (FCPA)
• Provision of bicycle racks and benches
• Architectural compliance proffers to ensure consis-
tency with CDP /FD P in terms of material specifica-
tion, building height, and energy efficiency standards
• Construction, installation, and maintenance of all
SWM facilities necessary to meet enhanced quantity
and quality criteria included in the proffer
• Installation and maintenance of landscaping along
Gallows and Strawberry Lane
• Noise attenuation interior to the building and in
rooftop amenity areas
• Streetscape including adequate lighting and pedes-
trian facilities
7.7 ■ DETAILED CASE STUDIES 841
• Implementation of Transportation Management
Strategies (TMS) including specific time frames for
which to monitor and achieve Single Occupancy
Vehicle (SOV) reduction goals with monetary contri-
bution assigned for noncompliance
• Provision of shuttle bus service to the Dunn Loring
metro station or contribution to such service pro-
vided locally
• Construction and maintenance of traffic calming
devices in the form of stamped crosswalks
• Construction of or escrow toward a bus shelter
• Dedication of ROW for Gallows Road ultimate
improvements, construction of interim improve-
ments, and escrow for the difference in cost between
interim and ultimate
• Vacation of existing Strawberry Lane ROW as well as
construction and dedication of realigned Strawberry
Lane
• Signalization modifications at realigned the realigned
Strawberry/Gallows intersection including provision
for easements and escrows toward ultimate signal
requirements
• Contribution to Eskridge Road improvements
• Notification proffers providing for Supervisor and
Planning Commissioner review of construction
documents
From these proffers, the project goals are evident: den-
sity, mixed usage, and affordability in the Town Center area;
transportation improvements with a focus on feasible tran-
sit options; and adequate public facilities including localized
open space and recreational opportunities for the newly
developed residential population.
7.7.9. Final Design
Using the approved rezoning and CDP/FDP as a basis, and
in accordance with Zoning Ordinance requirements, a site
plan was prepared. While much of the design was formal-
ized during the schematic phase, the final design effort
focused on the technical details and implementation of
the proffered elements. The emphasis of this case study is
the land development process; since the intricacies of final
design are fairly technical and covered extensively in previ-
ous chapters, a summary of noteworthy site plan compo-
nents is included to simply illustrate the type of refinement,
detailing, and scope of changes that can occur during final
engineering.
Street Design. Accurate vertical geometry was provided
for realigned Strawberry Lane (Figure 7.7JJ).
Signal modifications at Gallows Road and Strawberry
Lane/Porter Road were required in both the interim and
ultimate conditions. By allocating space and ROW for
FIG uRE 7. 711 Approved Conceptual Development Plan/Final Development Plan.
FIG uRE 7. 7 J J Strawberry Lane plan/profile.
844 fatUhiii F·\,j,@,i:/iidf1,PLMH
the ultimate signal configuration, entry monumentation,
grading, and landscaping could be designed and installed
with minimal disturbance anticipated during ultimate
buildout.
The design of the private access drive was refined to
include mountable curb for park maintenance as well as
handicap accessible streetscaping. Further, public access
easements were delineated to encompass emergency vehicle
"turnaround" needs at the south land bay terminus and the
intersection with Strawberry Lane.
Sight distance verification for interim and ultimate
improvements to Gallows as well as confirmation from the
private access drive to the signal on Gallows to ensure that it
is visible below the pedestrian bridge.
Grading and Earthwork. Provision of a second left-turn
lane from northbound Gallows Road to Strawberry Lane
resulted in a taper (to receive dual lefts) that forced grading
and landscape modifications to the sidewalk and receiving
area outside the main entrance of the north building. A com-
bination of ramps, stairs, and planters resulted in an aestheti-
cally pleasing, interactive area at the primary entrance to the
development (Figure 7.7KK).
Once the vertical geometry for Strawberry Lane was set,
additional modifications were made to provide a safe "land-
ing" area at the Gallows/Strawberry intersection. Provision
of the landing created a steeper tangent, 4.97%, along Straw-
berry. Handicap accessibility standards dictate a 5% maxi-
mum longitudinal slope; thus it can be seen how tight and
precise the final engineering plans were in order to meet
both vehicular and pedestrian criteria.
FIG uRE 7. 7 KK Gallows/Strawberry corners-main entrance grading modifications.
280 feet of retaining wall west of the north land bay
between the site and the adjacent parking area was removed
representing a significant construction cost savings.
Stormwater Management Design. The south land bay
detention facility was transformed into a detention vault
rather than a large-diameter pipe system as warranted by
space, volume, and economic considerations for the final size
of the facility (Figure 7.7LL).
SWM facilities were consolidated in the north land bay
into a single sand filter that provided both detention and
treatment for site runoff. This represents savings in terms of
space as well as construction and maintenance costs.
Filterras designated in the CDP/FDP (schematic plan)
were relocated to the south land bay adjacent to the park
where they were a more practical, aesthetic fit and more
aptly positioned to treat runoff not directed to the northern
sand filter.
Utility Coordination. Provision of a right-turn lane
from Strawberry Lane to Gallows road created a conflict
between the storm sewer system and the proposed street-
side landscape areas. Compromise with VDOT allowed
placement of storm sewer in the public ROW thus main-
taining the street-side landscaping along the entire length
of the turn lane.
The storm sewer outfall for the northern SWM facil-
ity was originally directed through the adjacent property
requiring an off-site easement; when this easement could
not be amicably procured from the adjacent property owner,
the SWM facility was redesigned to orient the clearwell and
outlet pipe through an existing storm sewer easement.
 7.7 ■ DETAILED CASE STUDIES 845

In order to meet fire hydrant coverage criteria, an addi-

tional hydrant was added west of the north land bay. The
intended connection was an existing water line in the Hilltop
ROW thus an off-site easement from the same neighbor was
an issue. The line was redesigned to tap an existing line in
Lee Highway; however this connection resulted in gas line
and utility pole guide wire conflicts. Coordination efforts
with both the gas and electric companies (already relocating
facilities in the area to accommodate the project) resulted in
an amicable resolution wherein the water and gas lines were
each shifted to create the necessary clearance and still make
the connection.
Space for electric transformers was provided in the park
area and the north loading dock. Screening was imple-
mented in the park and the north loading dock was recon-
figured to provide additional space and meet utility access
requirements.
Summary: Proffer Compliance. Likely the most impor-
tant component of final engineering, proffer (or condition)
compliance is the mechanism by which the technical review
staff at the county ensures that the site plan fully imple-
ments the approved planning (entitlement) document. The
site plan should indicate "how, when and where the prof-
fer was, or will be, satisfied, the status of proffer 'triggers:
and deviations from proffers and/or development plans" 9
often through narrative form. In the case of MTC, clari-
fying which proffered improvements were designed and
constructed as part of the site plan, versus deferred, versus
escrowed as a result of project phasing considerations was
of paramount importance. A clear understanding of the sta-
tus of proffered agreements between Dewberry, the site plan
reviewer, and the client allowed for smooth plan processing,
bond posting, construction, and occupancy permit procure-
ment (Figure 7.7MM).
As a final note, the expeditious completion of the design
process-Feasibility through Final Engineering-and the
successful, cost-effective design and construction of the
project can be attributed to the proactive, team approach uti-
lized by Uniwest. The general strategy for completion included
Use of the same consultant to perform the surveying,
planning, zoning, and engineering tasks thereby providing
continuity to the design process.
Overall schedules and priorities were established with
senior management at Dewberry while specific issues were
addressed jointly by staff within Uniwest, Fairfax County,
the architectural firm, and Dewberry, the land development
consultant.
Weekly meetings and daily interaction between the devel-
oper and design professional were maintained throughout
the life of the project.
Uniwest was both the developer and contractor; thus
they were able to review plans and help develop strategies to
reduce costs during all phases of the design process.
FIG uRE 7. 7 LL SWM details for underground detention vault.

9DPWES Letter to Industry #06-15. 7/24/06.

(a)

FIG uRE 7. 7 MM Intensive green roof Proffer compliance illustrative; (a) rezoning and Proffer development versus (b) final engineering and site plan approval.
(b)

FIGURE 7.7MM (Continued)

848 fatUhiii F·\,j,@,i:/iidf1,PLMH
7.7.10. Plan Submission and Permitting
Plan Review, Approval, and Permitting in Fairfax County.
The review and approval of the final engineering docu-
ments requires the involvement of local and state gov-
ernments, the client, and the design consultant. To better
understand the review and approval process as it relates to
Merrifield Town Center, an understanding of the partici-
pants, their role, and the structure of the process in Fairfax
County is required.
In Fairfax County, the governing body, the Board of Super-
visors, ultimately is responsible for the review and approval
of all engineering plans and plats as well as inspections and
monitoring during project construction. However, the Board
has delegated these tasks primarily to the Department of
Public Works and Environmental Services (DPWES) and its
Director. The Director is authorized to review and approve
construction plans and plats on behalf of the Board. DPWES,
in turn, relies on the input from other agencies and depart-
ments within the County government-Transportation,
Housing Authority, Health, Fire Marshal, and Park Author-
ity to name a few-as well as other local and state agencies,
such as the Falls Church Water Authority, VDOT, and the
Department of Conservation and Recreation in the review of
engineering plans. Depending on what issues surface during
the review process, other agencies, both state and local, may
be asked to review the plans. The review agency must ensure
that all projects consistently comply with published stan-
dards and policies and that the project does not endanger the
health, safety, and welfare of the public or the environment.
Within DPWES, there are several divisions involved in
the design/construction review and approval process. Specif-
ically, the Environmental and Site Review Division (ESRD)
is responsible for the review and approval of construction
plans and plats, as well as other studies, reports, and mis-
cellaneous items relating to the land development process.
ESRD is comprised of Urban Forestry, Site Plan Review, and
Plan Control. MTC is located within the Providence District;
that District reviewer serves as the central coordinator for
each project. Other agency reviews are processed through
this individual.
Rough Grading Plan. At the time MTC was being devel-
oped, the time frame for review and approval of construction
plans in Fairfax County, even when utilizing the expedited
review process, was approximately 10 to 15 months. The cli-
ent, Uniwest, served as owner, developer, and general con-
tractor and it was their intent to significantly expedite the
design review and approval process to begin construction
as quickly as possible. Uniwest's ability to commence sales/
leasing was contingent upon site plan approval, preliminary
condo plat approval, and a site permit. Showing progress,
in the form of demolition and earthwork, was necessary
in order to entice and convince an eager, "hot" real estate
market to buy into the condominium portion and give retail
and office tenants a firm idea of delivery schedule and space
arrangements.
Given the lengthy rezoning process, the projected time
frame for full site plan review and approval, and escalating
construction costs, Dewberry advised Uniwest to utilize a
Rough Grading Plan (RGP) and permit in order to maintain
the desired sales and construction schedule (Figure 7.7NN).
An approved RGP would grant Uniwest access to the site in
order to establish perimeter erosion and sediment controls
and begin clearing, grading, demolition, and construction
work up to and including the installation of sheeting and shor-
ing of footings and foundations for the buildings. The RGP
filled a critical gap in the plan approval time frame allowing
an early window for sales and base site work while actively
bridging the otherwise stagnant time between site and build-
ing design, permitting and construction activities.
Site Plan Approval-Building Permit. While the RGP
allowed Uniwest access to the site, the bulk of the construction-
both the site infrastructure and buildings-could not com-
mence without an approved site plan and building permit.
The RGP provided valuable time for Dewberry to finalize
the site plan with ESRD including such things as waiver
approvals, outside agency coordination and approvals, plat
preparation, and fine tuning of site-building system inter-
faces. Although Dewberry had coordinated extensively with
the architect throughout the design process, it is at this stage
where all the details are truly flushed out as the site plan and
building plans are "married" for permit purposes.
Upon site plan approval the entire project is moved to
bonding-the final step in the Fairfax County approval
process. The bond package contains the final infrastructure
and conservation bond requirements as well as a thorough
proffer analysis identifying any and all contributions, escrow
amounts, and dedications to be posted by the owner. The
land development consultant is typically responsible for pro-
ducing the bond estimate and often works with county staff
to ensure its accuracy and adjust bond prices accordingly
based on market conditions. Once the owner/developer
has met or addressed all bond obligations, including both
monetary and preconstruction proffered items, permits are
released and construction can fully commence.
The land development consultant is a valuable resource
during the bonding process as they are often able to keep
the bond estimate reasonable as well as work with the cli-
ent (owner) and county staff to clear or remove proffered
conditions, particularly design oriented conditions, quickly
and efficiently given their in-depth knowledge of the plans
and project intents. In the case of MTC, the engineer was
able to negotiate the bond status of several proffered con-
ditions with the county site plan reviewer, either remov-
ing them entirely because they were achieved in the plan
or successfully deferring them from preconstruction to
postconstruction conditions. This facilitated a smooth
transition from design to construction allowing Uniwest to
quickly fulfill its obligations, pull site and building permits,
and arrange finances to cover construction and proffered
commitments.
FI GU RE 7. 7 N N Rough Grading Plan.
050 fatUhiii F·\,j,@,i:/iidf1,PLMH
7.7.11. Construction
Often construction represents the last step in the land devel-
opment process (the real estate development process often
considers marketing, sales and leasing, and operations and
maintenance as steps too). Consistent, timely communica-
tion between the client, engineer, contractor, and even the
planner is critical in order to ensure that the plans are built
as specified. Conflicts will inevitably arise; some can be
resolved through "Requests for Interpretation'' (RFis) or shop
drawing submission, review, and approval iterations, others
necessitate plan revisions and can become contentious and
even costly if not resolved effectively amongst members of
the design and construction team.
MTC was rather unique in that Uniwest, as noted above,
served as the developer and general contractor. Thus famil-
iarity with the project and a long-standing relationship (over
2 years of constant interaction) with the design team fostered
an amicable, productive construction relationship.
Requests tor Interpretation (RFls), Field Adjustments, and
Plan Revisions. RFis for MTC ranged in nature from simple
plan clarification questions to design modifications such
as removing retaining walls, adding outdoor seating areas,
relocating doors or steps, and finalizing details related to
post-development proffered conditions. RFis related to plan
clarification were resolved through provision of additional
details, small exhibits, and/or quick on-site conferences
to provide further direction. Many of the RFis involving
a design modification arose in response to tenant outfit
requests: as retail space was leased, the internal and external
configuration of the buildings and infrastructure had to be
modified to accommodate specific uses.
For instance, the MTC site plan was designed based on
the premise of a large two-story grocery type tenant in the
north building with smaller retail establishments in the south
building (PB and PC levels of both buildings) and office on
both PA levels. Ultimately, the north building became home
to a gym and two restaurants and the south building simi-
larly has two restaurants and office space. While these uses
were allowed within the new zoning (PRM) and specifically
accounted for in the proffers relating to building usage, some
of the infrastructure components of the site required modi-
fication, namely:
Additional grease traps to accommodate increased food
preparation and disposal facilities were required and added
to the on-site sanitary sewer system.
The streetscape, initially designed for a window shopping
experience, had to be modified to accommodate dining and
lounging in the "active pedestrian'' areas.
Doors and stairs had to be added and shifted in order to
meet individual tenant access and code requirements.
Parking requirements and provisions had to be reexam-
ined under these alternate usage scenarios.
The challenge with regard to RFis involving design modi-
fications is understanding the extent to which field revisions
can be accommodated within the context of the approved
site plan and zoning documents. Substantial modifications
must be accomplished through formal plan revisions and
may require new waivers, zoning interpretations, permis-
sions, or easements. The land development consultant, as
trusted advisor and technical expert, needs to examine each
request and make the appropriate recommendation in terms
of accommodating the RFI through either a field adjustment
or formal plan revision.
During the course of construction at MTC, several for-
mal plan revisions were completed. Many were in response
to specific tenant fit-out requests; others were common to
the development process in Fairfax County and some were in
response to issues that arose during construction. Table 7.7C
briefly describes the formal revisions completed as part of the
MTC project and the triggering action.
Successful revisions balance client schedule demands
with local procedure and help maintain the developer's (and
contractor's) "good neighbor" image by resolving construc-
tion discrepancies or issues in a safe, efficient, legally binding
manner.
7. 7.12. Summary Observations
A redevelopment project in a changing suburban environ-
ment where density, sense of place, and adequate public
facilities have emerged as community priorities, Merrifield
Town Center is typical of the changing land development
industry. It exemplifies the market driven shift from Post
WWII to Post 9/11 through both its programming and
design considerations. Further, the Merrifield Town Cen-
ter project had all the elements of the development process
from planning and zoning through final engineering and
construction, effectively demonstrating the tremendous
amount of outside influences involved in the planning and
engineering of a major land development project. A com-
parison of the site before development and after develop-
ment is shown in the aerial photos included in the MTC
color insert sheet along with other design renderings and
post-development photos.
The overwhelming success of Merrifield is evident in its
record sell-out rate. In 2005, Uniwest received recognition
for Quickest Sell-Out in the Washington metro area when
the units sold out within 3 months of groundbreaking before
anything reminiscent of a building even took shape. This
is an indicator not only of an exceedingly accurate market
assessment by Uniwest but confirmation that the commu-
nity embraced the project goals and overall vision for the
site and the upcoming Town Center. The Merrifield Town
Center project represented the promise of what was to come
in this part of the county. Early condo buyers were hardly
taking a leap of faith if, as many believed, MTC would even-
tually evolve into its own version of similar mixed use proj-
ects in nearby Arlington County such as Shirlington Village,
the communities of Ballston and Clarendon not to mention,
nationally recognized Reston Town Center just west of the
site in Fairfax County. Some might say, what is the clamor
about? It's about ease of access-to transit, to primary trans-
portation corridors, to basic community services-and more
than access, it's about a return to community and the sense of
belonging to a vibrant, healthy community that draws people
 7.7 ■ DETAILED CASE STUDIES 851

TABLE 7. 7 C MTC Revision Summary

REVISION SUMMARY OF PLAN CHANGES

A 1. Changed the size of the storm sewer from 15 to 18 in between structures 3 and 2 and structures 2 and
SWM 1A.
2. Removed the roof drain draining to structure #8.
3. Added 1½-in waterline to service the fountain.
4. Revised the drainage divide for area C9.
5. Revised the storm sewer and associated computations due to the removal of RD4.
6. Revised storm sewer between structure #2 and the sand filter.
B 1. Added storm interceptor detail.
2. Revised the use group, type of construction, and building height.
3. Added RD4 roof drain with storm interceptor.
4. Revised drainage divides on building.
5. Revised storm crossing on sanitary profile.
6. Revised the storm sewer and associated computations due to the addition of RD4.
7. Revised the access type to the SWM vault.
8. Added detail for alternate frame and cover for SWM vault.
C 1. Revised the urban park and grading.
2. Added exterior seating areas and additional grease traps to accommodate additional restaurant space.
Revised urban park plantings.
D 1. Added outdoor seating area per the approved interpretation graphic.
2. Added grease trap to the north and south sides of south building; details included.
3. Revised water main D in Route 29 due to conflict with existing gas line.
4. Revised landscaping in urban park area based on FCPA comments; new park details.
5. Revised retaining walls along Gallows Road and the park.
6. New sheet showing approved CDP/FOP interpretation to allow outdoor seating.
E 1. Revised parking tabulation to match updated building use square footage.
2. Added ADU chart per request of Fairfax Housing Authority (FHA).
3. Added a door (exit) to the Gallows Road side of the north building per tenant fit-out.
4. Revised building tabulations to reflect corrected ADU mix and final use square footages.
5. Additional 12-in RCP pipe from existing inlet 7A to proposed storm structure 7.
6. Revised the limits of clearing and grading to accommodate new 12-in pipe.
7. Additional silt fence for perimeter control around proposed 12-in pipe.
8. Revised proposed drainage divides to account for Structure 7A.
9. Revised size of grease trap connection (8-in to 4-in) to match MEP plans.
10. Revised storm computations for new 12-in pipe, Ex. 7A-7.
11. Revised storm profile to include proposed 12-in RCP from Ex. 7A.
12. Revised parking layouts/counts to match update tabulation.
13. Included letter of permission for off-site work.
(Continued)
052 fatUhiii F·\,j,@,i:/iidf1,PLMH
TABLE 7. 7 C MTC Revision Summary (Continued)
REVISION SUMMARY OF PLAN CHANGES

F 1. Revised parking tabulation (parking counts corrected to match building plans; retail square footage corrected to
reflect allowable per proffer secondary-use square footage of 105,500 ft2-note typo in rev Eof 105,550).
2. Remove compactor from north loading dock.
3. Add 2 surface parking spaces to north loading dock.
4. Revised stair and wall configurations at the 4 major corner entrances to the retail.
5. Revised curb and gutter grades on eastern side of access road just north of the intersection with
Strawberry Lane.
6. Add storm sewer easement from structure #7 to #2 to account for conveyance of off-site water from Becker
property (a separate easement plat has been submitted).
7. Revised stair and wall configurations at the 4 major corner entrances to the retail.
8. Removed retaining wall in southwest corner of site.
9. Revised retaining wall grades in southeast corner of site.
10. Revised parking layout to match building plans.
11. Included interpretation approval letter.

in whether its work, home, or just a visit. Merrifield laid the
ground work for the town center by establishing a series of
compatible uses, decorative site features, and improved open
space creating a welcoming and engaging environment that
established Merrifield Town Center as a desirable place to be.
While the spirit and general aesthetics of Merrifield
Town Center may have mimicked some of these town center
predecessors, the context of the project and the requisite
design response was entirely unique. As the precedent set-
ting project in this area, Merrifield established program-
ming and design criteria that would filter through the next
several years as the redevelopment effort rippled through
the designated town center area. Unlike the Arlington sites
that were firmly established in a fairly urban environment
and the Reston site which was master planned and installed
(at least the core) as a cohesive whole, Merrifield was truly
set in an aging suburban context and subject to the rules,
ordinances, and standards developed with typical WWII
suburban communities in mind, particularly as it related
to public road standards. The design dichotomy of Merri-
field is evident throughout the plan: the urban, pedestrian
scale goals of the comprehensive plan versus the reality of
suburban traffic and vehicle-trip-driven design standards.
Although the streetscape requirements of the Compre-
hensive Plan were implemented in terms of the pedestrian
facilities, truly a step in the right direction and of value to
the development, the streets themselves are based entirely
on traffic scenarios and public street standards. From large
curb returns and wide travel lanes to standard (rather than
aesthetic) public street lighting, no on-street parking, and
removal of planted medians, the street sections hardly
resemble the intent of the Comprehensive Plan. That is not
to say that these exclusions or modifications to the road
network were not founded in sound engineering princi-
ples (things like sight distance, design speed, queuing and
capacity issues all based on public safety criteria); however,
the application of these criteria is in direct conflict with the
design and program intent. The resolution of this conflict
was at the heart of the Merrifield project from day one and
was the driving factor in the site design effort.
Within the land development community, the value
of the Merrifield Town Center project was its ability to
expose these competing issues and bring all parties-
Fairfax County, VDOT, the community, and consulting
professionals-"back to the drawing board:' Subsequent
to approval and construction of MTC, the Providence Dis-
trict initiated a focus group to examine the implementa-
tion of the Comprehensive Plan urban design goals for
Merrifield: which components were successful, which
failed, where implementation is achievable, and what fac-
tors are prohibitive to realizing the desired outcome. This
effort, spearheaded locally, should improve the subsequent
phases of redevelopment in the town center area and in
Fairfax County.
The success of this project was due, to a great extent,
to the development team that had been established and its
technical, communication, and negotiation skills. It is unre-
alistic to believe that a project can be approved through a
public process without negotiation and compromise on a
wide variety of issues. In the case of Merrifield Town Cen-
ter, compromises were made in the planning, zoning, and
engineering elements of the development. However, the
issues were thoughtfully anticipated and, consequently, the
compromises were disruptive but not fatal to the project.

FIG uRE 7. 7 0 0 Photo of Merrifield Town Center/Mosaic District.
As demonstrated in this study, ongoing effective communi-
cations with all participants in the process was essential to
the success of this project.
When planning and designing a project, thought, and
consideration must be given to the possible impacts of the
proposal on the existing community and environment.
Again, in the case of Merrifield Town Center, anticipation of
the issues and communication with the appropriate interest
groups took place early and continued throughout the devel-
opment process, continuing even after the project was built
in order to ensure continued improvement to the process
and the built environment in subsequent projects. Although
technology is ever advancing and changing, the human ele-
ment remains paramount in the success of a given project.
The human element was clearly responsible for the success-
ful planning, engineering, and development of the beautiful,
successful start to the Merrifield Town Center.
The Merrifield Town Center region continued to expand
after the completion of this project. Rebranded as Mosaic
District, the region has been transformed with additional
office, retail, hotels, parks, townhomes, restaurants, a
brewery, and apartments. Continued growth has required
additional infrastructure improvements and continuous
coordination with the community and public officials. A
photo of the project is shown in Figure 7.700.
7.7 ■ DETAILED CASE STUDIES 853
REFERENCES
Carlos Moncada, "Company Withdraws 'Centreville Green;' Times-
Courier Newspaper, October 22, 1987, p. AS.
Dick Frank, President, Western Fairfax County Citizens Associa-
tion Land Use Committee. "Letter to Mrs. Elaine McConnell,
Supervisor:' February 20, 1988.
Donna Barne, "Hazel Won't Build Center Only Houses Union Mill
Plan Dead;' Centre View Newspaper, October 22, 1987c, p. 3.
Donna Barne, "Neighbors Give Boost to Centreville Green;'
Centre View Newspaper, October 8, 1987b, p. 3.
Donna Barne, "Watchdogs Eye Area Land Use;' Centre View
Newspaper, October 8, 1987a, p. 3.
Fairfax County, The Comprehensive Plan for Fairfax County,
Virginia. 1991 Edition, As Amended Through March 9, 1992,
p. 103.
Fairfax County, A Guide to the Development Process in Fairfax
County, Virginia. Volume 1 Land Use and Planning. Prepared by
Office of Research and Statistics, Department of Environmen-
tal Management, Office of Comprehensive Planning. Revised
January 1983, p. 32.
Fairfax County, "Staff Report, Application No. PCA 81-S-090:'
July 22, 1982.
Fischenich, C. 2000. Glossary of Stream Restoration Terms. ERDC
TN-EMRRP SR-01. February. Washington, DC: U.S. Army
Corps of Engineers.
 CHAPTER 7.8
SPECIAL CONSIDERATIONS
FOR PUBLIC SECTOR
DEVELOPMENT
The public sector is an extremely active developer, respon-
sible for both infrastructure and building projects. In the
public realm, development projects are often classified as
government "procurements" and may also be referred to as
"acquisitions:' 1 It is important to note that there are many
similarities between federal and state systems for develop-
ment projects. Public sector development projects at both
levels are subject to funding limitations, changes in political
will, and formalized bidding processes. However, it is impor-
tant to realize that they are not identical. Federal regulations
and processes will be the same anywhere in the country, but
at the state and local levels, though they may be conceptually
similar, the specifics of law, policy, and process will vary.
Procurement (or acquisition) activities of the federal gov-
ernment specifically include construction, engineering, and
architectural services for real estate development. The fed-
eral government delegates authority for development to dif-
ferent federal agencies, empowering them to solicit, award,
and oversee design and construction services. In the Execu-
tive Branch, the largest sector of government, these needs are
most often served by a specialized agency called the Gen-
eral Services Administration (GSA). The GSA has two major
divisions: one for the procurement of supplies and the other
related to buildings and development projects. Certain Exec-
utive Branch agencies, such as the Department of Defense,
have special authority to oversee their own development
projects without GSA participation.
1FAR 2.101: Definitions.
854
States may also have a state-level GSA (or sometimes
Office of Procurement or other variation) or else will del-
egate authority to a specialized agency dedicated to han-
dling state building and construction. For example, the Ohio
Facilities Construction Commission (OFCC) is empowered
by the Ohio Revised Code:
... to contract for and have general supervision over the con-
struction of any projects, improvements, or public buildings
constructed for a state agency, to include the design, specifi-
cations, inspection, etc. of such construction projects. When
a state agency wants to construct a new building or struc-
ture, or needs to make an alteration to an existing building
or structure, it may contact the OFCC for initial guidance
and recommendations (State of Ohio Procurement Hand-
book for Supplies and Services: https:/ /procure.ohio.gov/
pdf/PUR_ProcManual. pdf).
Note that the OFCC's purview is limited to buildings. As is
the case in most states, road and other transportation infra-
structure projects are the responsibility of the state Depart-
ment of Transportation, in this case Ohio Department of
Transportation (Ohio Department of Transportation: http://
www.dot.state .oh. us/Pages/Home.aspx).
7.8.1. Regulatory Environment
The processes of public sector developers at both the state
and federal levels are heavily regulated. Though technically
governed by different sources of law, there are many simi-
larities between state and federal regulations because state
legislation is often derived from federal codes. Further,

when a state receives federal funding for a project, such as
for National Highway System (NHS) road construction, the
state must also satisfy the applicable federal regulations.
The three main governing sources of federal regulations
are contained in
1. The U.S. Code (USC)
2. The Code of Federal Regulations (CFR)
3. The Federal Acquisition Regulations (FAR)
Each of these sources provides detailed definitions and
instructions specifying how the federal government must
undertake a procurement action. Wading fully into the lab-
yrinth of federal procurement laws is beyond the purview
of this book; however, a brief mapping exercise of some of
the relevant clauses is useful for conveying the level of com-
plexity involved in federal regulations. This is important
to understand for general contractors, civil engineers, and
other firms aspiring to work with public sector developers.
Some of the most important titles of the USC with respect
to federal public sector development projects are Title 23
(Highways), Title 40 (Public Buildings, Property, and Works),
and Title 41 (Public Contracts). Figure 7.8A shows an abbre-
viated map highlighting specific sections of these titles; note
that this is an abbreviated illustration and not an exhaustive
representation of the regulatory environment.
Again, the purpose of providing this illustration is to
inspire appreciation for the regulatory challenges of public
sector development. Collectively, federal regulations dictate
how public sector developers, particularly for federal projects
or projects using federal funding must: define terms; deter-
mine need, including design requirements; pursue funding
and establish timing requirements; solicit and evaluate bids;
negotiate and award contracts; specify contract clauses per-
taining to sources of labor, subcontractors, and materials;
manage contract performance; and guide many other aspects
of the development process. Similarly, public sector projects
at the state level must comply with state regulations, which
are often equally complex and prescriptive. In instances
where a state project benefits from federal funding, such as a
NHS road project, the state must comply with both relevant
state and federal regulations. This serves to add another layer
of complexity to any project and often binds states to federal
procedures.
7.8.2. Predetermined Sites
Federal, state, and local governments are large landown-
ers. The federal government owns almost 650 million acres
of land, which is equal to approximately 30% of the total
land area of the United States (U.S. Geological Survey,
The National Map: https:/ /nationalmap.gov/small_scale/
printable/fedlands.html#list). Though much of this is dedi-
cated for conservation, such as the 84 million acres of park-
land supervised by the National Park Service, a significant
portion is not. States also own land, originally granted in
7.8 ■ SPECIAL CONSIDERATIONS FOR PUBLIC SECTOR DEVELOPMENT 855
most cases by the federal government at the time the state
was first formed. In turn, states have passed control of some
land to local governments and municipalities.
The relevance of the government's land portfolio is tied to its
decision making as a developer. While private sector developers
must identify and compete for sites in a market environment,
public sector developers do not always need to do so. Whenever
possible, public sector developers will use existing public land
or existing government-owned buildings for a new project.
This reduces project costs by eliminating the need to purchase
land or easements. However, there may also be negative side
effects if the predetermined project site is not ideally located.
Often, even when the public sector does not own the land
needed for a project, a subject site is still predetermined by
necessity. This tends to apply more often to infrastructure
projects than to building projects. For example, if the govern-
ment needs to widen a road it may be necessary to acquire
land adjacent to the roadway, which may be private land. Sim-
ilarly, if the government is building a new connection route,
there may be limited flexibility in determining the path of the
new road. Federal, state, and local governments do have the
right to expropriate private real estate for public use through
condemnation, if necessary. Acquiring private property, even
when it is not being marketed for sale, is not always a sig-
nificant deterent for the government from a legal perspective.
However, it can certainly be problematic from both a political
and financial viewpoint. Public sector takings can hardly be
described as welcome and citizen outcry can turn an already
complicated infrastructure project into a political battle
between the agency responsible for the development and the
elected officials supporting their constituents. Even when met
with little opposition, use of eminent domain for condemna-
tion can create financial pressures for public sector develop-
ments. The government is required to pay a fair price for any
compulsory takings. If the land needed for a project happens
to be valuable, the cost of condemnation may be substantial.
Unlike a private sector developer, the public sector developer
may not be able to simply find another site and must wade
through the challenges of the current site.
7.8.3. Funding Considerations and Public-Private
Partnerships
Public sector developers do not use traditional loans to
finance their projects and, thus, do not have to seek debt
financing from lenders as their private sector counterparts
must. However, financing public sector projects comes with
a unique set of problems. At the federal level, project funding
generally comes from appropriations of tax revenue. Funding
for public sector development projects at the state and local
levels typically comes from one of three sources, depending
on the type of project: ( 1) revenue from the issuance of bonds,
(2) appropriations from the state's tax revenue, or (3) grants of
federal funds, such as from the Highway Trust Fund. Regard-
less of the specific form, obtaining public sector funding for
development projects involves a lengthy approval process
as part of "Acquisition Planning:' This process requires the
a5& fatUhiii F·\,j,@,i:/iidf1,PLMH
United States Code
Title 23: Highways
Chapter 1 - Federal-aid Highways
§ 106 - Project approval and oversight
§ 107 - Acquisition of rights-of-way - Interstate System
§ 108 - Advance acquisition of real property
§ 109 - Standards
§ 112 - Letting of contracts
§ 114 - Construction
§ 118 - Availability of funds
Chapter 3 - Other Provisions
§ 313 - Buy America

Title 40: Public Buildings, Property, and Works

Subtitle I, Chapter 11 - Selection of Architects and Engineers
§ 1101-1104 (Brooks Act): Selection of Architects and Engineers
Subtitle II, Chapter 31, Subchapter IV - Wage Rate Requirements
§ 3141-3148 (Davis-Bacon Act)

Title 41 : Public Contracts

Subtitle I - Federal Procurement Policy
Chapter 33 - Planning and Solicitation (§§ 3301 - 3312)
Chapter 37 - Awarding of Contracts(§§ 3701 - 3708)

Title 49: Transportation

Code of Federal Regulations

Title 2: Grants and Agreements
Chapter II - Office of Management and Budget Guidance
Part 200 - Uniform Administrative Requirements, Cost Principles,
and Audit Requirements for Federal Awards (§§ 200 - 200.521)

Title 23: Highways

Chapter I - Federal Highway Administration, Department of Transportation
Subchapter B - Payment Procedures
Part 172 - Procurement, Management, and Administration of
Engineering and Design Related Services (§§ 172.1 - 172.11)
Subchapter G- Engineering and Traffic Operations
Part 620 - Engineering (§§ 620.101 - 620.203)
Part 625 - Design Standards for Highways (§§ 625.1 - 625.4)
Part 626 - Pavement Policy (§§ 626.1 - 626.3)
Part 627 -Value Engineering(§§ 627.1 - 627.9)
Part 630 - Preconstruction Procedures (§§ 630.102 - 630.1110)
Part 633 - Required Contract Provisions (§§ 633.101 - 633.211)
Part 635 - Construction and Maintenance (§§ 635.101 - 635.507)
Part 636 - Design-Build Contracting (§§ 636.101 - 636.514)
Part 637 - Construction Inspection and Approval (§§ 637.201 - 637.209)
Subchapter H - Right-of-Way and Environment(§§ 710 - 777)

FIG uRE 7. BA Source of Federal Regulation, Abbreviated.

 7.8 ■ SPECIAL CONSIDERATIONS FOR PUBLIC SECTOR DEVELOPMENT 857

Title 29: Labor

Subtitle A - Office of the Secretary of Labor
Part 1 - Procedures for Predeterminiation of Wage Rates (§§ 1.1 - 1.9)
Part 3 - Contractors and Subcontractors on Public Building or Public Work Financed in
Whole of in Part by Loans or Grants from the United States (§§ 3.1 - 3.11)
Part 5 - Labor Standards Provisions Provisions Applicable to Contracts Covering
Federally Financed and Assisted Construction
Subpart A - Davis-Bacon and Related Acts Provisions and Procedures (§§ 5.1 - 5.17)
Subpart B - Interpretation of the Fringe Benefits Provisions of the Davis-Bacon Act
(§§ 5.20 - 5.32)
Subtitle B - Regulations Relating to Labor

Title 40: Protection of the Environment

Chapter V - Council on Environmental Quality (NEPA) (§§ 1500 - 1599)
Part 1501 - NEPA and Agency Planning (§§ 1501.1 - 1501.8)
Part 1505 - NEPA and Agency Decisionmaking (§§ 1505.1 - 1505.3)
Part 1506 - Other Requirements of NEPA (§§ 1506.1 - 1506.12)

Title 48: Federal Acquisition Regulations

Chapter 1 - Federal Acquisition Regulation (FAR)
Chapter 12 - DOT Transportation Acquisition Regulation (TAR)
Title 49: Transportation
FIGURE 7.8A (Continued)

public sector developer to submit project budget estimates
well in advance of undertaking the project itself-often
years. In many cases, agencies are asked for multiyear plans
anticipating future projects and the associated funding needs.
While it is understandable that the public sector must engage
in long-term budgetary planning exercises, accurate esti-
mates for the cost of materials and labor for future develop-
ment are difficult to predict so many years in advance. The
obligation to engage exclusively with projects on an all-cash
basis without a third party lender also means the government
(at any level) can only fund a limited number of projects in a
given year. Further, in this context, approval for development
projects and must compete for funds with other spending pri-
orities. For these and other reasons, federal, state, and local
public sector developers can all find themselves facing budget
shortfalls when the time comes to actually begin a develop-
ment project. Inaccurate predictions are not the only sources
of financial pressure for public sector development projects.
Privatization and public-private partnerships are both
methods used with increasing frequency by the public sector
to offset shortfalls of its development funding needs. Privati-
zation, as the name suggests, refers to the complete outsourc-
ing of a development to the private sector. In instances of
privatization, both the ownership and management of the
resulting asset are held by the private sector. For example,
rather than develop its own office building, a public agency
may decide to become the rent-paying tenant of a private
sector developer, who will develop, own, and operate/main-
tain a built-to-suit office project for the agency. Even though
the government must pay rent, that obligation is spread over
several years whereas if the agency were to develop its own
office building, the entirety of the funds would be needed in
advance. In the context of infrastructure projects, privatiza-
tion could mean allowing a private sector developer to build
and operate a utility, which includes the collection of fees as
a revenue stream. In this case, the public sector discharges its
obligation to provide services to citizens by outsourcing to
the private sector.
Public-private partnerships, also called PPP or P3s, are
projects in which a public sector government agency works in
partnership with a private sector developer in order to com-
plete a public-sector project. There are several different kinds
of public-private partnerships. They can be fairly simple or
extremely complex. Figure 7.8B describes several types of P3
structures. P3s are a procurement option, not a source of rev-
enue or funding for the public sector. Note that in a P3, the
private sector does not necessarily pay for the project, but does
finance it. P3s reallocate risk and responsibilities between the
public sector and private sector, often leading to cost and time
efficiencies, as well as technical innovations not previously
accessible to the public sector. P3s differ from privatization as
the public sector retains ownership of the asset. Additionally,
once a P3 contract is completed the asset is typically returned
to public sector control, as is detailed in Figure 7.8B.
In all P3 arrangements, both the private sector developer
and the public sector agency make important contributions
to the project. Typical public sector contributions include
government owned land, concessions, permissions, or tax
858 fatUhiii F·\,j,@,i:/iidf1,PLMH
Traditional Procurement: Design-Bid-Build (DBB) contracts are considered the conventional procurement process where
design and construction often are awarded to separate firms.
Design-Build (DB): Design and construction activities are bundled together; therefore the risk of coordinating the activities
is transferred to a single concessionaire and can be considered a type of P3.
Design-Build-Finance-Operate-Maintain (DBFOM): Project responsibility and risk for design, financing, construction,
operations and maintenance are placed on the private sector for the life of the P3 contract. DBFOMs are commonly found in
projects with clear revenue streams, using projected revenue to attract equity and to leverage debt financing.
Design-Build-Finance-Maintain (DBFM): DBFMs are very similar to DBFOMs, with the exception that operations are held
within the public sector. This contract is commonly used for social infrastructure projects such as hospitals, higher education
infrastructure, and other buildings.
Design-Build-Operate-Maintain (DBOM): DBOMs bundle design and construction together with operations and main-
tenance of the completed asset. DBOMs are common in transit projects where the life-cycle costs are high due to mainte-
nance demands of the asset. These projects can also take the form of a Build-Operate-Transfer (BOT), where the private
sector provides no financing, but constructs the asset, and upon construction completion transfers the asset to the public
sector. This is often followed by a separate Operate-Maintain (O&M) contract.
Long-term Lease Concession: Commonly used for toll roads, this type of P3 is used to defease publicly held debt on the
facility through fees paid by the private concessionaire. The private concessionaire is expected to provide maintenance, and
possibly capital repairs to meet safety expectations and condition issues.
Operate-Maintain (O&M) contracts also are common for existing assets, to provide private sector expertise to maintain an
asset. Payments are made on through a fixed fee or incentive based model.
Build-Own-Operate (BOO): BOOs are the one exception to public ownership in the P3 model. BOO contracts are done at
the encouragement of the government, through financial incentives, but the private partner retains ownership and operations
of the facility.
FIG uRE 7. 8 B Sample P3 Structures.

incentives. Revenue collected by the private sector devel-
oper comes most commonly from user fees, less so through
availability payments, and rarely from shadow toll payments.
Availability payments are paid regularly through prearranged
or performance based payments. Shadow tolls, known in the
United States as "pass-through-tolls;' are used more exten-
sively internationally. Shadow toll payments are made to
the private partner based on a per user basis. Common P3
contracts are variably structured with the potential for the
private sector developer providing financing (from equity
investors and lenders), planning and construction services,
and management or operation of the asset. Thus, a P3 can
increase the capacity and speed of access to financing and
access to technical expertise, resulting in a project with an
accelerated delivery time, reducing public cost and risk. Note
that not all states have enacted P3 enabling legislation.
7.8.4. Political Will and Changes in Elected Office-holders
The government's role in serving its citizens is directed by
elected officials at the federal, state, and local levels. Political
will refers to the degree to which these officials, individu-
ally and collectively, support a project as a matter of priority
and are willing to commit resources to it. This often means
allocating funds, but may also involve advocating for needed
approvals, supporting related policy changes, and champion-
ing the project despite citizen opposition or party dissent.
Such support is not necessarily tied to what any individual
government agency considers to be a priority. The willingness
of elected officials to support projects depends in part on the
nature of the project itself but can also be heavily dependent
on a politician's individual beliefs or priorities, lobbying influ-
ences, current citizen responses, reelection considerations,
and other competing priorities. Perhaps understandably,
political will can seem both enigmatic and fleeting.
Arguably, the two main reasons for changes in politi-
cal will are elections and reprioritizations due to external
events. As previously established, public sector develop-
ment planning is a lengthy process that can span several
years, particularly for large, expensive, and complex projects.
Such a protracted timeline inevitably spans at least one, if
not more, election cycles. In these cycles, election-oriented
behavior may cause a previous supporter to withdraw his/
her support in order to focus on more visible or "relevant"
issues intended to boost reelection chances. Championing
government spending to build capacity at wastewater treat-
ment plants, though perhaps critically necessary to commu-
nity stability and growth, is unlikely to win a candidate the
election if their opponent focuses on high profile issues like

safety in schools, job creation, or tax relief. If a project sup-
porter loses an election bid, it can equally condemn a project.
For example, prior to an election, there may have been wide-
spread support for the development of a new bridge, money
allocated, and the responsible agency may have begun solic-
iting bids for construction. However, the election results in
the change of office for at least one key political supporter;
the new public figure thinks the project is unnecessary and
represents a poor use of funds, so she/he directs the agency
to not award the construction contract. In such a scenario,
all the previous momentum and political will have been lost.
Elections are not the only thing that dampens political will.
Unforeseen events can also disrupt prior support by creating
the urgent need for the government to reprioritize its use of
funds and other resources. If a severe storm damages roads
and utilities, these obviously need to be repaired as a matter
of priority and any planned new projects will not be pursued
until after the storm damage has been addressed. Of course,
not all causes of reprioritization are as clear. Opaque or seem -
ingly unfounded policy reprioritizations can be a source of
frustration for public agencies trying to advance their proj-
ects in order to provide services to citizens. This is especially
true if some, or perhaps significant, funds have already been
expended for project preparation or design. Such funds are not
recoverable and contribute to perception about political waste.
7.8.5. Requests for Proposals and the Bidding Process
All levels of government are concerned with ensuring that
interested and qualified candidates have a fair and equal
opportunity to bid on government contracts. This is referred
to as "full and open competition:' Mandated procurement
practices, specifically those involving soliciting offers and
awarding public sector contracts, are the vehicle by which
the government achieves full and open competition. Both
state and federal statutes include requirements that certain
opportunities are made available for small-, veteran-, and
minority-owned businesses.
As part of the procurement planning process, the govern -
ment agency intending to award a contract will assign acer-
tified specialist who will be responsible for the solicitation,
award, and administration of the contract. At the federal level,
these specialists are called contracting officers (CO), but they
may carry other titles at the state level such as procurement
officer, bid officer, or even project manager. Only contracting
officers (or their state equivalents) are able to enter into legally
binding procurement contracts on behalf of the government. 2
In the interest of fair competition, COs are required to publicly
advertise government contracting opportunities. This obliga-
tion is met by posting the appropriate announcement, usually
a request for proposals (RFP), on state or federal procurement
websites. Federal opportunities will always be posted online:
most states operate their own procurement websites. In order
to bid on public sector contracts, firms must be registered in
the appropriate system(s).
2FAR 1.601 (a); FAR 1.602.
7.8 ■ SPECIAL CONSIDERATIONS FOR PUBLIC SECTOR DEVELOPMENT 859
Although all levels of government are able to award a
"sole source" contract to a specific firm in which no solicita-
tion or bidding takes place, this requires justification and is
only allowed under certain circumstances, such as to fill an
urgent public need. The majority of public sector contracts
must go through the solicitation process. The government's
two primary solicitation methods are the use of sealed bids
and a competitive bid process. In either instance, noncon-
forming bids are not considered. Sealed bids are most appro-
priate for procurements in which the requirements are clear
and there is little need for discussion between the parties.
Sealed bid contracts must be awarded to the lowest price
bidder that is competent to perform the work. Competi-
tive bids are used for more complex public sector projects
and are usually awarded based on the government's deter-
mination of either the "lowest price technically acceptable"
or "best value:' Best value source selection allows the public
sector to recognize the need to account for past performance
when contracting for highly complex projects, particularly
construction projects. Note that per the Federal Acquisition
Regulations (FAR), some federal contracts, such as those
pertaining to construction and design (architect-engineering),
are permitted to use a two-phase design-build selection
procedures and other specialized provisions. 3 The FAR also
allows architect-engineering vendors to be evaluated on the
submission of technical qualifications as part of the govern-
ment's process of developing a list of final bidders (General
Services Administration: https:/ /www.gsa.gov/real-estate/
real-estate-services/for-businesses-seeking-opportunities/
bidding-on -federal-construction-projects).
The public sector's bidding process can be lengthy and
complicated, requiring potential contractors to develop com-
petency with bidding systems, government submission for-
mats, and other procedures. Further, the government can
modify its solicitations any time prior to bid submission, is
under no obligation to award a contract or issue a start work
order even after award, and has the unilateral right to termi-
nate contracts for convenience at any point during the perfor-
mance period. All these factors create risk of loss for private
sector firms and make government contracts unappealing
to those firms unwilling to commit the necessary resources
required to work on public sector development projects.
7.8.6. Types of Projects
The public sector supports its citizens by providing and
administering a wide range of services. This requires an
extensive physical platform of both infrastructure and
building projects. Public sector developments may serve
direct citizen use, such as roads; facilities necessary for
the provision of services, such as water works and distri-
bution systems; or buildings to accommodate the govern-
ment work force, such as agency offices. Regardless of kind,
each different type of use represents an area of public sector
development.
FAR 36.
3
aso fatUhiii F·\,j,@,i:/iidf1,PLMH
Infrastructure. Federal, state, and local municipal authori- To offer an example of scope, the federal government
ties are responsible for the development and operation of reported owning 498.7 million square feet of office space
infrastructure projects, without which society would strug- in 2016 (FY 2016 Federal Real Property Profile (FRPP)
gle to function. These can include the following: Open Data Set: https:/ /www.gsa.gov/policy-regulations/
policy/real-property-policy/ data-collection-and-reports/
• Water works and distribution system frpp-summary-report-library). This single-user portfolio
• Sewage treatment works is greater than the entire office space inventory of the city
of Chicago, which totaled 243.7 million square feet for the
• Dumps and solid waste (trash) facilities; recycling same year, including both the downtown and suburban
facilities markets combined (JLL Office Outlook, 4Q 2016, United
• Power generating plants States: http://www.us.jll.com/united-states/ en-us/Research/
US-Office-Outlook-Q4-2016-JLL.pdf). The federal owned
• Roads of all types office portfolio is largely equivalent to the office space inven-
tory of New York City, which was 449 million square feet
• Bridges
across the central business districts and 550 million square
• Dams feet overall in the same year (JLL Office Outlook, 4Q 2016;
New York City's Office Market: https://www.osc.state.ny.us/
• Runways and airfields
osdc/rptl0-2017.pdf). The government's reported total
• Harbors and ports owned portfolio across all types of buildings, excluding land
and infrastructure, was 2.37 billion square feet for 2016 (FY
• Parking structures for cars, busses, and specialty 2016 Federal Real Property Profile (FRPP) Open Data Set:
vehicles https://www.gsa.gov/policy-regulations/policy/real-property-
Although many of these assets are more numerous at the policy/data-collection-and-reports/ frpp-summary- report-
state and local levels, the federal government does have its own library). Note these figures represent only owned building
portfolio of such infrastructure, often in a military context. space and do not include the federal government's lease
Buildings. All levels of government require building facili- portfolio. Nor do they include any state or local portfolios,
ties to support public sector employees, services, and initia- whether owned or leased.
tives. These can include As with infrastructure, the creation, rehabilitation, and/
or replacement of these structures each represents a potential
• Agency office buildings public sector development project.

• Barracks and other housing

7.8. 7. Conclusion
• Medical facilities and hospitals Public sector development projects are subject to most of
• Laboratories and test facilities the same challenges as private sector projects, but they
also face unique circumstances. Project inception for the
• Schools and training facilities public sector is often tied to an evaluation of public needs,
• Museums appropriations, and compliance with an extensive regula-
tory environment with respect to pre-bid and contract-
• Data centers ing requirements. Both private and public sector projects
• Airports and hangers face the same site concerns with respect to location and
access. They also share technical due diligence concerns,
• Prisons including the impact of environmental, topographical, and
• Warehouses and storage facilities geotechnical issues on project design, cost, and timeline.
However, the public sector is often subject to additional
• Industrial facilities reviews, particularly if a state or local entity uses federal
funding. Public sector developers are not necessarily con-
Additionally, state and local authorities also need buildings
cerned with market demand for their products in the same
for things such as
way as private sector developers are; however, public sec-
• Police stations tor developers are affected by market pricing if they need
to pay compensation to condemn sites or acquire right-of-
• Fire stations way easements. The public sector has increasingly turned
• K-12 schools to the private sector, through the use of public-private
partnerships, to complete public sector projects more cost
• Community centers effectively and efficiently. Combining the strengths of both

public and private developers to create projects enhances
the built environment in ways that would not have been
possible otherwise.
REFERENCES
FY 2016 Federal Real Property Profile (FRPP) Open Data Set, available
for download at https://www.gsa.gov/policy-regulations/policy/
real-property-policy/ data-collection-and-reports/frpp-summary-
report-library.
General Services Administration website available at https:/ /www
.gsa.gov/real-estate/real-estate-services/for-businesses-seeking-
opportunities/bidding-on -federal-construction-projects
(accessed October 14, 2017).
JLL Office Outlook, 4Q 2016, United States, available at http://www
.us.jll.com/united-states/en-us/Research/US-Office-Outlook-
Q4-2016-JLL. pdf.
7.8 ■ SPECIAL CONSIDERATIONS FOR PUBLIC SECTOR DEVELOPMENT 861
JLL Office Outlook, 4Q 2016, United States, available at http://www
.us.jll.com/united-states/ en -us/Research/US-Office-Outlook-
Q4-2016-JLL. pdf; "New York City's Office Market" report Pre-
pared by the Office of the State Deputy Comptroller for the
City of New York, available at https://www.osc.state.ny.us/osdc/
rptl0-2017.pdf.
Ohio Department of Transportation website http:/ /www.dot.state
.oh.us/Pages/Home.aspx.
State of Ohio Procurement Handbook for Supplies and Services,
Chapter 11: Construction, Repairs, Maintenance; Ohio Depart-
ment of Administrative Services, General Services Division,
Office of State Procurement, available online at https:/ /procure
.ohio.gov/pdf/PUR_ProcManual.pdf.
U.S. Geological Survey, The National Map website, available at
https://nationalmap.gov/small_scale/printable/fedlands.html#list
(accessed September 30, 2017).
CONTRIBUTORS AND REVIEWERS OF PRIOR EDITIONS
D. Michael Arand, PE
Wastewater Treatment
Brian K. Batten, CFM, PhD Coastal
Oceanography
Erosion and Sediment Control-
Coastal
David S. Bausmith, PE
Brownfield Redevelopment and
Environmental Considerations
Joseph W. Betit, PLS
Control Surveys for Land
Development
Lisa N. Betz, PE
Editor of 3rd Edition; Exactions,
Infrastructure Enhancements, and
Fees; Case Study: Merrifield Town
Center
N. Andrew Bishop
Development Patterns and Principles
Megan M. Bramble, Esq.
Rezoning Process
Karen K. Brill, PS
Boundary Surveys for Land
Development
Andrea Burk
Historic Architectural and
Archaeological Resources
P. Christopher Champagne, PE
Editor of the 2nd Edition; Stormwater
Management Design
Christopher M. Cirrotti, PE, PP, CME
Preliminary Engineering and
Hydrologic Analysis
Charlie C. Crowder, Jr.
Water Supply and Treatment
862
Cash E. Davidson, PE, RCDD
Dry Utility Design and Engineering
Marshall N. Davidson, PE
Erosion and Sediment Control
Sidney 0. Dewberry, PE, LS
Overview of the Land Development
Process
Thomas A. English, PLS, PP
Topographic Surveys
Edward A. Farquhar
Soils
James C. Filson II, PE
Storm Drainage Design
Thomas Fredricks, PE
Street Design
Christina Gray, PhD Urban Planning
and Policy Development
Environmental Policy and
Regulations
Gilbert R. Jones, PE, CFM
Floodplain Studies
Devin M. Keeler, PE
Construction Stakeout Surveys
Jay S. Kruse, PE
Engineering Feasibility
Kimberly V. Larkin
Environmental and Natural
Resources
Paul Makowski, PE
Stream Restoration
David F. Maune, PhD, PSM, GS, PS,
CP, CFM
Aerial Mapping and Surveying
Orlando Miquel, Jr., PE
Street Design
Kirk W. Norton, PS, LS, PLS
Topographic Surveys
Robert "Skip" Notte, PE
Wastewater Collection; Water
Distribution
Stephanie B. Perez, PG
Environmental Site Feasibility and
Assessments; Environmental Permits
Dan M. Pleasant, PE
Construction and Contract
Documents
Terrance C. Ryan, PE, PhD Civil
Engineering
Plan Submission, Review, and
Approval Process
Leo Segal, PE
Street Design; Construction Cost
Estimating
Silvia D'Jaen Silverman, AICP
Comprehensive Planning and Zoning
David L. Taylor, Jr., RLA
Subdivision Ordinances, Site Plan
Regulations, and Building Codes
Tom Velleca, PE
Street Design
Susan Weibel, PE
Grading and Earthwork
George A. Wigfield, PLS
Building Permits; Certificates of
Occupancy and Postconstruction
Services
Donald A. Wilson, LLS, PLS, RPF
Real Property Law
INDEX
A Affirmative easements, 26-27
Abbreviated study approach, 310, 320
Abbreviations, for data collectors, 400-402
Aboveground utilities, 726
Access, site:
considerations for, 200-201
grading, 224
management, 185-187
Accuracy:
digital orthophotos, 410
requirements, base maps, 150-151
wetlands, preliminary investigation, 88
Acquisitions, 854
Actinolite, 623
Active earth pressure, 727
ADA (Americans with Disabilities Act), 177,
178,191,204,217,218,219,365,449
ADA Standards for Accessible Design, 73-74
Adequate public facilities (APF) ordinance,
76-77
Adhesives, for dust controls, 623
Adjacent/adjoining properties, feasibility study
and, 132, 137
Administration section, form-based code, 62-63
Administrative requirements, plan approval
processing, 391-392
Adverse possession, 132
Aerial mapping/photography:
data, gathering, 399, 403-406
feasibility study, 135
review of, 93
site diagram, 161
(See also Photogrammetry)
Aerial triangulation:
objectives, 404
photogrammetry, 404-405
Aesthetic impacts, development design
guidelines, 352, 353
Aesthetics, grading and, 223, 224
Aesthetics, of discharge areas, 622-623
dust control, 622, 623
overview, 622
sediment on pavements, 622
Agricultural Stabilization and Conservation
Service (ASCS), 93
Air, permits, 643-644
Airborne LiDAR sensors, 410
Aircraft, fixed wing, 412
Airfields, soils characteristics, 724-726
Air pollution, 643-644
Air release valves, 284, 285
Air testing, sanitary sewer design, 540, 541
Alternative BMPs, stormwater management,
705-708
sheet flow to buffers, 706-707
street sweeping, 707
vegetated roofs, 707-708
(See also Structural BMPs; Traditional BMPs)
Alternative subdivision, 337, 338
Altitude valves, 284
Amendments, comprehensive plan, 39
American Association of State Highway and
Transportation Officials (AASHTO), 101
compound curves, 422
energy losses through structures, 506, 507
Green Book, 178,189,218
high-speed, high-volume highways, 196
Policy on Geometric Design of Highways and
Streets, 422, 427
roadways, functional classifications of, 171,
172, 173
total head loss, 512
vertical location of driver's eye, 189
American Concrete Institute (ACI), 656
American Concrete Pipe Association, 378
American Institute of Architects (AIA), 657
American Land Title Association (ALTA)
standard, 151
American National Standards Institute (ANSI),
279,656
American Society for Photogrammetry and
Remote Sensing (ASPRS), 148,410,411
American Society of Civil Engineers (ASCE), 235
American Society of Testing and Materials
(ASTM), 656
Americans with Disabilities Act (ADA), 177,
178,191,204,217,218,219,365,449
Americans with Disabilities Act Accessibility
Guidelines (ADAAG), 196
American Water Works Association (AWWA),
279,286,287,551,656
Angled parking spaces, 204
Angle of approach, of intersecting road, 183-184
Annotations, map, base map, 147
Antiquities Act of 1906, ll5
Approval process, plan:
addressing review comments, 393-394
administrative requirements, 391-392
considerations, 390-394
durability of approvals, 394
engineer and review agency relationship, 390
fees, 392
incomplete submissions, 393
interactions with citizens, 392
internal reviews, 387-388
jurisdictional organization, 390-391
jurisdictional review, 388-390
meetings with review staff, 393
overview,380-381,387
plan revisions and record drawings, 394
quality control, 388
Appurtenances, 280
Architectural design, 352
Architectural plan, 381
Architectural standards, form-based code, 63
Areas, drainage, 214-215
Asbestos, feasibility study and, 133
As-built drawings, 71, 387
As-built surveys:
parking, 657
roads, 657
sewer, 657
storm drain, 657
stormwater management facilities, 657
water, 657
Association of State Highway and
Transportation Officials (AASHTO), 656
ASTM D-422, 744
863
864
ASTM D-423, 744 Best management practices (BMPs) ( Cont.): Building( s):
ASTM D-424, 744 innovative methods and cost-effective exterior walls of, 210, 211, 212
ASTM D-698, 744 solutions, 529 perimeter, 219
ASTM D-1140, 744 NPS pollution, control, 225 preliminary soils investigation, 109
ASTM D-1452, 744 pollution and, 480 public sector development, 860
ASTM D-1556, 744 runoff reduction systems, 251 Building slabs, 224
ASTM D-1557, 744 selection criteria, 249 Building spurs, 272,274
ASTM D-1587, 744 settlement practices, 251 Building team, 9
ASTM D-1883, 744 soil permeability restrictions for, 250 Bulb-outs, 432, 433
ASTM D-2166, 744 stormwater fundamentals, 248-253 Bulkheads,606,607,608
ASTM D-2167, 744 stormwater management program, 527-528 Bulk plane, 53, 54
ASTM D-2434, 744 structural/nonstructural, 248 Bulk regulations:
ASTM D-2435, 744 watershed area restrictions for, 250 nonresidential product, 346
ASTM D-2487, 716-717, 744 (See also Alternative BMPs; Structural BMPs; residential design, 344
ASTM D-2573, 744 Traditional BMPs) Bungalow court, 323, 324
ASTM D-2850, 744 Bicyclists, 197, 198-199 Buried conduits, 486-492
ASTM D-3080, 744 Bidding documents, 650 Buried tanks, 564
ASTM D-3282, 744 Bidding process, 859 Business team, 7, 8
ASTM D-6151, 744 Bidding/procurement requirements, 656-657 Butterfly valve, 281, 282
ASTM testing methods, soils, 744 construction documents, 652-655 By-right development, 42
At-grade intersections, 180, 181 Bike path costs, schematic design, 374 Euclidean zoning, 49-50
Attached residential units, 439-441 Biochemical oxygen demand (BOD), 533
Atterberg limits, soil, 711, 713 Bioengineering, 754 C
Attorney fees, schematic design, 377 Bioretention system, stormwater management, Cables, dry utility material, 297, 299, 300
AutoCAD.dwg format, 404 690 Campus plan view, 340, 341
Average daily demand, 551 Bird baths, defined, 449 Capacity, inlet, 499-502
Average daily traffic (ADT) design, 318 Block grading, 442 Capital improvements plan (CIP), 37
Blow-off valves, 284 Capital projects, 37
B Body, legal description, 24, 26 Caption, legal description, 24
Backfill, in sewer pipe embedment, 487, Bond release, 658 Carlisle road diet, 205-206
489-490 Bond(s): Case study( ies):
Back siphonage, 295 cost, schematic design, 3 77 Bellmawr Park Mutual Housing Historic
Back-to-back townhouse, 324-325, 326,327 described, 647 District, 121-122
Bacteria, NPS pollutant, 24 7 estimates, 647-648 Little Muncy Creek Pratt Truss, 123-124
Baffles, detention time with, 618, 619, 620 Boring depths: Merrifield Town Center (MTC), 818-853
Ball joint, 287 depth of exploration, 110-111 New FedEx Ground distribution hub facility,
Ball valves, 280 guidelines, 111 108
Bank protection practices, stream restoration: Boring layout, guidelines, 110 Peter J. Biondi Route 206 Bypass, 120
bioengineering, 754 Boundary discrepancies, 156 Poinciana parkway, 97-99
redirective techniques, 754 Boundary survey, 151-152, 153, 154-155 Union Mills project, 779-818
resistive methods, 754 Bounds, legal description, 24 (See also specific entries)
Barrels, 261-263 Boysen's method, 617,618 Catchment basins, 214-215
Barrier curbs, 177 Branch packing method, 599 CA_WEST COAST LIDAR_2016, 415
Base course, pavement design, 417,418 Breaklines, 148, 159,449 Central SoMa Area Plan, 95
Base flood elevation (BFE), 82 Breaks, median, 176 Centrifugal pumps, 558
Baseline topography, 413-416 Breakwaters, 607,609 Chain of title:
Base maps, 144-170, 761 Bridges, contour patterns for, 209, 210 in feasibility studies, 130
accuracy requirements, 150-151 Brookfield park wet pond reconstruction/ legal description, 26
ALTA/NSPS standard, 151 improvement, 483-484 Channelconveyance,601,602
data formats, 146-149 Brownfield development, 22 Channelization, intersection design, 191,
datums, 149-150 Brune's curve, 617 193-194
example, 162 Brush layering method, 599 Channels, stormwater flow in, 502-512
feasibility study, 127, 129, 135, 136, 139 Bubble plan, defined, 159 energylosses,502,505-506,507
overview, 144-145 Buffers, sheet flow to, 706-707 HGL, 506, 508-512
purpose and content, 145 Buildable area, 160 Channel time, 229
sample base map content, 146 Building codes, 67, 73-74 Check dams, 603, 607
survey process, 154-159 Building Construction Data, 378 Check valves, 281
typical surveys, 151-154 Building coverage, defined, 311 Chicago World's Fair of 1893, 29
Basement units, 438-439 Building department, jurisdictional review, 390 Chicanes, 431,432
Basins, sediment, 612, 614, 616-620 Building form standards, form-based code, 59, Circular curves, horizontal alignment of streets,
Beaver Islands Topobathy LiDAR, 416 62 419-421
Bedding, for sewer pipe, 487, 488 Building information modeling (BIM): Circular Map Accuracy Standard (CMAS), 151
Bedrock, 103 for construction, 450-451 Circulation, considerations, 200-201
Bellmawr Park Mutual Housing Historic defined, 449 Citizens, interactions with, 392
District (case study), 121-122 Building lateral, 272 Civil War, 115
Berms: Building Officials and Code Administrators Clays, 102-103, 717
contour lines, 212 (BOCA) fire codes, 291 dispersive, 107
diversion, 600-601 Building permits, 644-647 expansive, 104-105
pedestrian access, 224 overview, 638 normally consolidated, 107
Best management practices (BMPs), 462, 687 required submittals, 644-646 overconsolidated, 107
common restrictions on, 251 review criteria and procedure, 646-64 7 underconsolidated, 107
comparative pollutant removal, 252 Building plan, 381 (See also Soil(s); specific types)
erosion control, 594-610 Building Research Establishment (BRE) Clean Air Act (CAA), 82, 643
filtering mechanisms, 251 Limited-Environmental Assessment Clean Water Act (CWA), 80, 81, 86, 92, 642, 643
functions, 528 Method (BREEAM), 96 drainage patterns, 216
general attributes, 253 Building restriction line (BRL), 52 erosion and sediment control plan, 594

Clean Water Act (CWA) (Cont.):
National Pollutant Discharge Elimination
System (NPDES) program, 81,642
objective of, 81
pollution and, 480
scope of, 225
stormwater quality control, 245, 246
Waters of the United States (WOTUS), 81
Clearing, construction sequencing, 624
Clearing cost, schematic design, 373-374
Client, 8
role of, 8
Closeout, 14, 71
Clostridium spp., 247
Cluster methods, 315
Cluster subdivision, 338-339
Coarse-grained soils, 716,717,718
Coastal erosion, evaluation of, 591, 592
Coastal erosion, factors influencing,
589-591
categories, 589-590
currents, 591
human-induced factors, 591, 592
overview, 589-590
tides, 591
waves, 590-591
Coastal erosion control measures
breakwaters, 607, 609
groins, 607, 609
nonstructural measures, 608, 610
overview, 605, 606
revetments, 607, 609
seawalls and bulkheads, 606, 607, 608
"soft" structures, 608
Coastal wetlands, 87
Code of Federal Regulations (CPR), 855
Codes, for data collectors, 400-402
Cohesionless soils, 711
Cohesive soils, 711
Coir fiber rolls, 599
Collector street system, 172
Combination air release, 286
Comment response letter, defined, 389
Commercial office, 332, 333-334
freestanding, 333, 334
garden office, 333, 334
townhouse office, 334
Commercial retail, 329, 330-332
community retail centers, 330, 331
freestanding, 331, 332, 333
power center, 331, 332
regional mall, 331, 332
strip centers, 330
Commercial water, demand, 557
Commissioning, 14
Common law, 28
Communication, project, 10
Communication costs, schematic design,
376
Community Development Codes, 73
Community retail centers, 330, 331
Community vision, 31
Compaction, requirements, 726
Compaction, soil, 733-738
controlled fill, 735
equipment and method, 738, 739-740
example, 737-738
field, monitoring methods, 737-738
measurement methods, 735
requirements, 736-737
rubber balloon test, 737
sand cone test, 73 7
Compound curves, 421-422
Comprehensive Environmental Response,
Compensation, and Liability Act
(CERCLA), 80, 82, 92
INDEX 865
Comprehensive plan(s)/planning, 19, 29-40 Constructed surfaces, contour line patterns for:
adoption, 31 berms and ponds, 212
amendment, for rezoning, 65 conveyance channels, 211,213
amendments, 39 culverts/bridges, 209,210
amendments, Union Mills project (case study), exterior walls of buildings, 210,211, 212
790-795 retaining walls, 209, 210, 211
contents, 31-37 streets, 211,212,213
defined, 29 Construction, 14
design team and, 128 BIM and DTMs for, 450-451
elements summary, 32-37 Merrifield Town Center (MTC), case study,
feasibility study, 131 850
goals and objectives, 32, 33 stream restoration/rehabilitation, 757-759
historical context, 29-30 Construction details, supplemental plans and,
implementation, 34 383,384
inventory and trends, 32, 33 Construction documents, 14
land use plan, 34, 35 bidding documents, 650
new plan, 39 bidding/procurement requirements,
overview, 29, 30 652-655
plan implementation, 37-39 components, 650,651
policies and maps, 33-34 composition of, 650
purpose, 30-31 construction drawings, 651-652
sector plans, 37, 38 contract documents, preparation, 656-657
supplemental additions, 39 contracting requirements, 655
transportation plan, 34, 36 defined,650
updates, 39 descriptive specifications, 652
using, 40 overview, 650-651
utility plan, 34, 37 performance specifications, 652
vision statement, 31-32 project cycle, 651
and zoning ordinance, link between, 37-39, project manual, 650
41 proprietary specifications, 652
Comprehensive State Ground Water Protection reference standard specifications, 652
Programs (CSGWPPs), 643 specifications, 652
Compressibility, soil, 100, 101, 715-716 technical specification, 652
Computer-aided design and drafting (CAD): Construction drawings, 380, 651-652
formats, 404 Construction operations, sequence, 595
information, 146, 147 Construction recommendations/ considerations,
software, 382, 449 soils, 726-727
Computer models, for NRCS method, Construction sequencing:
241,242 clearing and grubbing, 624
Concentrated flow, 463 finished grades, 625
Concept plan(s), 13,308, 309-310 mass grading, 624
Conceptual design(s), 13, 355-363 overview, 623, 624
composite map, 359, 360, 361 perimeter controls, establishment, 624
concept plans, 356 rough grading, 624-625
cost estimate, 359, 362-363 tree preservation and protection, 624
development program, 357 utility installation, 625
example, 359, 360, 361 Construction team, 7, 9
internal circulation, site layout and, Contamination investigation, 94
357-358 Contingency allowance, schematic design,
Merrifield Town Center (MTC), case study, 377-378
829-833 Continuous development, 22
overview, 307, 308, 355 Contour intervals, 207, 406
parking, 358 Contour lines:
phase, 355 berms and ponds, 212
process, 356-359 characteristics, 208, 209
product types and development principles, constructed surfaces, patterns for, 209,
321-354 (see also Product types) 210-212
selection, yield, and impact studies, 308-320 conveyance channels, 211,213
site diagram review and confirmation, 357 culverts/bridges, 209,210
site layout, 355-356 exterior walls of buildings, 210,211, 212
team coordination, 358-359 hills and depressions, 208, 210
Union Mills project, case study, 780-785, natural surfaces, patterns for, 208,210
803-812 overhangs, 208
yield study, 357 retaining walls, 209, 210, 211
(See also Schematic design) streets, 211,212,213
Concrete pads, 459 topographic maps, 207
Condemnation, 27 valleys and ridges, 208
Conditional LOMR (CLOMR), 746 Contour maps, 207-208
Conduits: Contours, data format, 148
buried, 486-492 Contour wattling method, 599
direct buried, 297, 300 Contract documents, preparation:
flexible, 487, 491 bidding/procurement and contracting
PVC,297 requirements, 656-657
Connections, water distribution layout, 292, 295 drawings, 656
Conservation subdivision, 339 specifications, 656
Constructability review, schematic design, 367 Contracting requirements, documents, 655
866

Controlling factors, grading for nonresidential Curb, flow in, 494-496 Descriptive data, base map, 147
sites: Curb extensions, design, 433 Descriptive specifications, construction
around building(s), 449 Curb opening inlets, 498, 499-501 documents, 652
drainage, 448 Curb ramps: Design-bid-build delivery method, 14
parking lots, 448, 449 intersection design, 191, 194, 195 Design-build delivery method, 14
utility services, 449 on various street grades, 219, 220 Design-build-finance delivery method, 14
Conventional subdivision, 336-337 Curb return radius, intersection design, 189-191, Design elements, 11
Conversion factors, 668-670 192 Design hourly volume (DHV), 318
Conveyance, 23 Curbs, 177 Designs (see specific designs)
Conveyance channels, contour line pattern, Current property zoning, feasibility study, 131 Design sheets, 383
211,213 Currents, factor influencing coastal erosion, 591 Design software, grading and, 449-451
Coordinating field, 157, 159 Curve numbers (CN), runoff, 239-241, 242, DTM, 449-451
Corrugated metal pipe (CMP), 259 243,244,466-467 overview, 449
Cost estimates, conceptual design: Curves, vertical, 424-425 Design Standards Manual, 68
feasibility estimates, 362 Curvilinear patterns, transportation system, Design storm, 228-234
overview, 359 200-201 hydrographs,231-234
private project, 362 Cushioning, 742,743 overview, 228-229
public project, 359, 362 Cut and fill operations, ETO, 455-456 time of concentration, 229-231
purpose, 359 Design team, 7, 8-9
rough estimates, 362-363 D Detached residential units, 439-441
Cost estimates, schematic design: Dam embankment, profile, 480, 481 Detachment, soil erosion and sedimentation,
clearing, grubbing, and demolition costs, Dams, preliminary soil investigation, 109 587
373-374 Darcy's law, 713 Detailed design:
contingency allowance, 377-378 Darcy-Weisbach equation, 505,569,570,573 final design, 14
erosion and sedimentation control costs, 376 Data acquisition, floodplain study, 93-94 land development, 13-14
financial fees, 3 77 Data collectors, codes and abbreviations for, Detention pond design, example, 475,
grading and earthwork costs, 374 400-402 478-480
land costs, 3 73 Data formats, base map, 146-149 Detention time, with baffles, 618,619, 620
landscaping costs, 376 contours, 148 Developer(s), 8
lighting, traffic signals, and signage costs, 374 DEMs, 148 Development costs, 74-79
off-site costs (special costs), 376-377 descriptive data and map annotations, 147 exactions, infrastructure enhancements, and
others, 378 digital orthophotos, 148-149 fees, 74-78
permits and bonds cost, 377 overview, 146-147 guaranteed performance, 74
preliminary, 370, 373 planimetric maps and topographic maps, Development design guidelines:
professional fees, 377 147-148 aesthetic impacts, 352, 353
recreational facilities costs, 376 raster data and vector data, 147 architectural design, 352
roadway, sidewalk, trail, and bike path costs, Data gathering, 399-413 community identity, 353
374 electronic mapping using conventional and environmental impacts, 350, 351-352, 353
sanitary sewer costs, 375 GPS methods, 400-403 external views, 353
soils (rocks) and geotechnical fees, 374 field methods, 399-400 financial impacts, 353
storm drain costs, 375 LiDAR (remote sensing), 410-413 market exposure, 353
stormwater management systems costs, overview, 399 marketing impacts, 353
374-375 photogrammetric survey, 403-410 operational impacts, 353
unit cost data, sources of, 378 Datum(s): overview, 350
utility (power, gas, and communication) geodetic, 144, 149 Development ordinances, 73
costs, 376 geoid models and orthometric heights, 150 Development permits:
water supply costs, 375 GPS, 150 demolition, 639
Cost(s): horizontal control system coordinate, 149 grading, 639
development, 74-79 NGS ellipsoid models, 150 miscellaneous permits, 639
direct, 75 overview, 149 overview, 638
indirect, 75 vertical control, 149-150 sign permits, 639
Cottage house, 323, 324 Debris Control Structures, 480 site permit, 638-639
Coulomb equation, 731-732 Dedication, 28 temporary permits, 639
Covenant, 23 common law, 28 transportation permits, 639
Cover sheet, 382-383 development cost and, 75 Development program, 11, 20-21
Crest vertical curves, sight distance on, 425-427 of easement, 27 comprehensive planning and zoning in
Crib walls, 730, 731 statutory law, 28 Fairfax County, 819-820
Critical flow, 513 Deed(s), 23-26 conceptual design, 357
Critical topographic points, 220 conditions, in feasibility studies, 130 Merrifield Town Center (MTC), case study,
Cross connections, water distribution, 295 easements, 26-27 819
Cross-section method, ETO, 455-456, 458 habendum clause, 24 zoning ordinances, 65-66
Cul-de-sacs: legal descriptions, 24-26 Development scope:
fire hydrants, 292 recording of, 155 master planned project, 342
maximum length of, 132 Definitions section, form-based code, -63 standalone project, 342
streets, 292 Deliverables, schematic design, 370 Development Standards Manual, 68-70
transportation systems, 201, 202 Demolition cost, schematic design, 373-374 Development team, 3
Culverts: Demolition permits, 639 benefits to, 73
contour patterns for, 209,210 Demolition plan content, 397-398 building team, 9
design, procedure for, 514, 520 DEMs (digital elevation models), 147, 403-404, business team, 7, 8
design example, 520-525 410 client/ developer, 8
design form, 522 Density, soil, 710 construction team, 7, 9
hydraulics, 472, 473-475, 476-477, 512-525 Denuded area, limiting, 595 defined,7
inlet control, 513-514, 515-519 Department of Transportation (DOT), 389 design team, 7, 8-9
major, 524-525 Depressions, contour lines, 208,210 legal team, 7, 8
outlet control, 514, 520 Depth of exploration, geotechnical members, 7
storm system materials, 261-263 considerations, 110-111 site team, 9
 INDEX 867

Development types: Drawdown time, sediment basins, 617,619 Easements, 26-27

brownfield or grayfield development, 22 Drawings, 656 affirmative, 26-27
continuous development, 22 construction, 651-652 boundary survey, 152, 153
greenfield sites, 22 stream restoration/rehabilitation, 756-757 condemnation, 27
redevelopment sites, 22 Driver, characteristics, 197 creation, 27
Development types, product, 336-342 Drive-throughs, 449 dedication, 27
alternative subdivision, 337, 338 Driveways, design, 442, 443 defined,26
campus, 340, 341 Drones, for field survey, 399 drainage, 266
cluster subdivision, 338-339 Drop manholes, 270, 271 estoppel, 27
conservation subdivision, 339 Dry utility systems, 297-304 express reservation, 27
conventional subdivision, 336-337 layout, 300, 303, 304 in feasibility studies, 130
office and industrial park, 339, 340 materials, 297-300 grant, 27
overview, 336 overview, 297 identification, 27
TND,341 Dry well pumping station, 543 implication, 27
TODs, 341-342 Dry wells, stormwater management, 694 necessity, 27
Digital elevation models (DEMs), 147, 148, Dry/wet swales: negative, 26, 2 7
403-404, 410 application guidelines, 691 prescription, 27
Digital Elevation Model Technologies and described, 691 prescriptive, 132
Applications: Ihe DEM Users Manual, 410 design criteria, 692 statutory layout, 27
Digital FIRM (DFIRM) database, 84 Ductbank, dry utility material, 297, 299, 300, 304 types, 26-27
Digital imagery, for quality control, 410 Ductile-iron pipe (DIP), 286-287 water supply company, 289
Digital orthophoto quarter quads (DOQQs), Ductile Iron Pipe Research Association Eco-District, 95
147 (DIRPA), 566 Edge of pavement (EP), 429
Digital orthophotos: Due diligence, 12, 19-124 Ejectors, pneumatic, 542
accuracy of, 410 building codes, 67, 73-74 Elected office-holders, changes in, 858-859
data format, 147, 148-149 comprehensive planning, 29-40 (see also Electronic and robotic total stations, for field
photogrammetry for, 403-404, 406-407 Comprehensive plan(s)/planning) survey, 399
technical procedures, 406-407 development costs, 74-79 Electronic data collectors, for field survey, 399
Digital surface models (DSMs), 148,410 development ordinances, 73 Electronic distance-measuring (EDM) device,
Digital terrain models (DTMs) development program, 12, 20-21 156
comparing,456-457,458,460 eminent domain, 28 Electronic mapping, using conventional and
for construction, 450-451 environmental considerations, 79-99 GPS methods, 400-403
DEMs and, 148 geotechnical considerations, 100-114 Elements summary, comprehensive plan, 32-37
digital orthophotos, 407 historical considerations, 115-119 goals and objectives, 33
earthwork calculations, 459 overview, 19, 20 implementation, 34
example, 449, 450 property, defining, 23-27 inventory and trends, 33
feasibility and liability, 451 review process, 71-73 land use plan, 34
overview, 449 site selection process, 12, 22-23 policies and maps, 33-34
proposed surfaces, creating, 449, 450 subdivision ordinance, 67-71 sector plans, 37
quality of, 410 Unified Development Codes, 71-73 transportation plan, 34
Dimensional standards: Union Mills project, case study, 779-803 utility plan, 34-37
bulk plane, 53, 54 zoning, 41-66 (see also Zoning) Elevations:
Euclidean zoning, 51-53 Duplex, 324, 325 spot, topographic maps, 212,213,214
examples, 51-53 Durability, of approvals, 394 topographic survey on, 154
floor area ratio, 53 Dust control, 622, 623 water surface, 472, 473-475
ordinance example, 53 Dynamic compaction, 741 Emergency power, pumping station, 562,
Dimensionless unit hydrograph, NRCS, 468, Dynamic stability, stream restoration and, 753 563-564, 565
470 Emergency services, feasibility study, 134
Direct buried conduits, 297, 300 E Eminent domain, 28
Direct cost, 75 Earth dikes, erosion control BMP, 600-601 dedication, 28
Directional drilling machine, 289 Earth pressure: Encroachments, defined, 156
Discharge areas, aesthetics and safety of, active, 727 End treatments, 263-264
622-623 categories, 727 Energy grade line (EGL), 505, 506, 509, 510, 512
dust control, 622, 623 defined, 727 Energy gradient, defined, 505
overview, 622 passive, 727 Energy losses, in pipe systems, 502,
sediment on pavements, 622 Rankine theory, 727-728 505-506,507
Discrepancies, boundary, 156 against walls, 72 7-728 Enforcement and Compliance History Online
Discrete particle settling theory, 612, 614, 616, Earthwork, 726 (ECHO),94
617 costs, schematic design, 374 Engineer and review agency, relationship, 390
Dispersive clays, 107 impacts, 224 Engineering, jurisdictional review, 389
Dissolved oxygen (DO), NPS pollutant, 246,247 Merrifield Town Center (MTC), case study, Engineering feasibility study, 127-135, 310, 311,
Distribution lines, 279-280 844 761-778
Distribution storage, water, 553, 554 preliminary grading and, 220-224 base map, 761
Ditches, roadway, component, 178 Earthwork takeoff (ETO), 451-457 information, sources of, 135
Diversion berms, erosion control BMP, 600-601 adjustments to, 457, 459-461 legal condition, 761
Documentation information, 384-385 cross-section method, 455-456, 458 overview, 127-128, 761
Doghouse manholes, 270, 271 defined, 451 physical condition, 761
Dolomite, 103 DTMs, comparing, 456-457, 458 preliminary, example, 762-778
Drainage, grading and, 222, 442, 448 grid method, 452-455 purpose, 128
Drainage control, during construction, 726 overview, 451,452 regulatory concerns, 761
Drainage patterns, grading, 214-216 plan content, 461 required information, 130-135
areas, 214-215 shrinkage, 460-461 scope and process, 128-130
environmental impact, 216 subbase and concrete pads, 459 site inspection/analysis for, 135-139
erosion and sediment control, 216 topsoil, 459 Engineering Field Handbook, 599
overview, 214 undercut, 459-460 Engineering News Record, 378
Drain valves, 284 utilities, 459 Engineering Standards Manual, 68
868
Engineers Joint Contract Documents
Committee (EJCDC), 657
Enterprise Community Partners, Green
Communities, 95
Entitlement review, 71-72
Entrance loss coefficients, 521
Entrances, 449
Environmental considerations, 79-99
contamination investigation, 94
due diligence, 92-94
environmental policy, 79-80
environmental regulations, 80-84
green building rating programs, 95-96
Merrifield Town Center (MTC), case study,
824-825,838-839
natural hazard risk assessment, 95
natural resources overview and preservation
efforts, 84-91
overview, 79
Poinciana Parkway (case study), 97-99
sustainability practices, 95
Union Mills project, case study, 808-812
wildlife habitat review, 94
Environmental content, site diagram, 160-161
open space and vegetation, 161
wetlands, 160-161
Environmental due diligence, 92-94
floodplain study, 93-94
wetland assessment, 92-93
(See also Due diligence)
Environmental impact(s):
development design guidelines, 350, 351-352,
353
drainage pattern, 216
green development, 351-352, 353
site disturbance, 350, 351
stormwater management, 351
study, 319-320
Environmental Impact Statement (EIS), 118
Environmental Management Permit (EMP), 485
Environmental permits, 639-644
air, 643-644
categories, 642-644
final permit, 641
issuance of, 639-640
modifications, 641
noise, 644
overview, 638, 639
permit appeals, 641
permit application, 640
pre-application, 640
process, 640-644
public review, 641
receipt and review, 641
regulatory enforcement, 641-642
renewals, 641
revisions, 641
state permitting contacts, 644
terminations, 641
waste, 644
water, 642-643
Environmental policy, 79-80
Environmental preservation, 76
Environmental Quality Corridor (EQC) system,
780
Environmental regulations, 80-84
Clean Water Act (CWA), 80, 81
Comprehensive Environmental Response,
Compensation, and Liability Act
(CERCLA), 80, 82
considerations, 84
National Environmental Policy Act (NEPA),
80-81
National Flood Insurance Program (NFIP),
80,82-84
Environmental standards, form-based code, 63
Environmental studies: Existing conditions, plan sheet, 395, 397-398
sample base map content, 146 demolition plan content, 397-398
schematic design, 365, 367, 370 overview, 395, 397
Envision, Institute for Sustainable Infrastructure Existing fill soils, 726
(ISI), 96 Expansive clays, 104-105
EPA Geographic Information System, 92 Express reservation, 27
Equipment, topographic surveying field, 400 Extended detention (dry) pond with micropool,
Equivalent pipe lengths, 571, 573, 575, 576 700
Erodability, soil, 101
Erosion and sediment (E&S) control, 586-633 F
aesthetics and safety of discharge areas, Facilities Standards Manual, 68
622-623 Factor of safety, 731-732
benefits, 594 Fairfax County, 483, 484, 534, 676-684, 779
BMPs, 594-622 comprehensive planning and zoning in (case
consequences of excessive erosion, 593-594 study), 780-785, 819-820
construction sequencing, 623, 624-625 Fairfax County, Virginia, 115
drainage patterns, 216 Fairfax County Zoning Ordinance, 43-46
estimating, 592-593 Farmland, preservation of, 130
evaluation of coastal erosion, 591, 592 Farmland Preservation program, 130
factors influencing, 588-591 Feasibility estimates, conceptual design, 362
feasibility study, 136, 137 Feasibility study(ies), 13
hydraulic capacity and storage, reduction in, DTM,451
593-594 engineering, 127-135 (see also Engineering
overview, 586-587 feasibility study)
plan content, 625-633 overview, 126-128
process, 587-588 Federal Acquisition Regulations (FAR), 855, 859
RUSLE, 593 Federal Emergency Management Agency
from snowmelt, 589 (FEMA), 82, 746-747
USLE, 592-593 flood map products, 83-84
water quality degradation, 593 floodplain studies, 133
WEPP,593 flood study process, 746
Erosion control blankets, 596 utilities maps from, 135
Erosion control BMPs, 594-610 (See also Floodplain study(ies))
categories, 594 Federal Geodetic Control Subcommittee
coastal erosion control measures, 605, 606, (FGCS), 150
607,608-610 Federal Highway Administration (FHWA),
overview, 594 184-185, 196,258,472,480,494,498,
permanent measures, 594 514,652
site management measures, 594-595 Fees:
soil stabilization measures, 595-599 development costs, 74-78
structural control measures, 599, 600-605 plan approval processing, 392
temporary measures, 594 Fee simple estate, 23
Erosion costs, schematic design, 376 Field delineation, wetlands, 88
Estoppel, 27 Field exploration programs, 109
Euclidean zoning: Field investigation, 135-139
allowable uses, 49-51 (See also Site inspection)
by-right development, 49-50 Field survey:
challenges, 42-43 baseline topography, 413-416
dimensional standards, 51-53 data gathering, 399-413
districts, 43-48 planning, 399
Fairfax County Zoning Ordinance (example), scope, 398-399
43-46 Fill requirements, at the site, 726
map,48-49 Filter fabric fence, 610,611,612, 613, 614
nonconformity, 54-56 Filtering mechanisms, BMPs, 251
prohibited uses, 51 Filters, sediment, 610-612
rezoning process, 56 inlet protection, 612, 615
special exception, 50-51 silt fence, 610, 611,612,613,614
special permit, 51 straw bale dikes, 610,612
variances and variation, 53-56 Filtration, 742, 743
Event mean concentration (EMC), 480-481, 482 Final design, 14
Exactions, development costs, 74-78 E&S control, 586-633 (see also Erosion and
dedications, 75 sediment (E&S) control)
impact fees, 76-78 existing conditions and field survey, 395-416
land reservation, 7 5 grading, 437-461
linkage, 78 Merrifield Town Center (MTC), case study,
payments in lieu, 78 841-847
preservation, 75-76 overview,379,380-381
review and processing fees, 78 site plan and approval process, 380-394
Excavation(s): stormwater management, 462-485 (see also
soil characteristics and, 460-461 Stormwater management)
undercut, 459 topographic maps, 395, 396
Exceedance probability, hydrologic analysis, 228 transportation design, 417-436
Excessive erosion, consequences of, 593-594 Union Mills project, case study, 812-815
hydraulic capacity and storage, reduction in, utility design, 486-585 (see also Utility design)
593-594 Final plan, 386
water quality degradation, 593 Final site plan, 14
 INDEX 869

Financial fees, schematic design, 3 77 Forward search, 26 Grading, during final design, 437-461
Financial impacts, development design Foundation recommendations, soils, 717 adjustments to earthwork quantities, 457,
guidelines, 353 Foundations, in sewer pipe embedment, 487 459-461
Fine-grained soils, 716, 717,719,720 Four-leg intersections, 182-183 design software, 449-451
Finished grades, 625 Freestanding: ETO, 451-457, 458
Fire and safety protection, jurisdictional review, commercial office, 333, 334 ETO plan content, 461
390 commercial retail, 331, 332, 333 for nonresidential sites, 447-449
Fire duration, requirements, 553, 554 Friction head, 560 overview, 437-438
Fire flow(s): Friction loss, defined, 537 plan content, 451, 452
estimating, 552-553 Front yard setbacks, 344 for residential purposes, 438-447
requirements, 552 Frost susceptible soils, 105-106 shrinkage, 460-461
for single-family and small two-family Froude number, 513 subbase and concrete pads, 459
dwellings, 552 Fully analytical aerial triangulation (FAAT), 404 topsoil, 459
tests, 553 Funding, public sector development, 855-858 undercut, 459-460
Fire hydrants, 286, 290-292, 293 utilities, 459
Fish and wildlife habitat, wetlands, 87 G Grading fundamentals, 207-224
Fittings, 287, 288 Gabions, 599 access, 224
Fixed bar screens, in pumping stations, 544 Garage parking, 201 aesthetics, 223, 224
Fixed solids, defined, 533 Garden apartments, 326, 329, 333, 334 cut and fill areas, 222-223
Fixed wing aircraft and helicopters, 412 Gas costs, schematic design, 376 drainage, 222
Fixture unit method, 576-578, 579 Gate valves, 281,282 drainage patterns, 214-216
Flanged joint, 287 General information sheets, 383, 384 impacts, 224
Flanking inlets, 498 General Land Office (GLO) System, 155 overview, 207
Flexible conduits, 487,491 General plan, 30 preliminary grading and earthwork, 220-224
Flex-tech, 335 (See also Comprehensive plan(s)/planning) slope and, 216-220
Floating form-based codes, 63 General Services Administration (GSA), 854 topographic maps, 207-214
Flood Disaster Protection Act of 1973, 82 General Urban, 57-58 Grading permits, 639
Flood insurance rate maps {FIRMs), 83-84, 85 Generator sets, 562, 563 Grant, 27
Flood insurance study (FIS) report, 84 Geodetic datum, 144, 149 Grantee, 23
Floodplains, in feasibility study, 133, 136 Geographic information systems (GIS): Grantor, 23
Floodplain study(ies), 93-94, 745-750 applications, 147 Grantor index, 26
data acquisition, 93-94 Internet access to, 135 Graphical peak discharge, NRCS, 467-468,
deliverables, preparation of, 749 photogrammetry in, 404 469,470
Flood Insurance Rate Map (FIRM), 745 Geoid models, 150 Grasses, erosion control BMP, 595-596
hydraulic analysis, 747, 749 Geometric Geodetic Accuracy Standards and Grate inlets, 498, 501-502
hydrologic analysis, 747 Specifications, 150 Gravels, 102, 717
NFIP, 745-746 (see also National Flood Geospatial data, defined, 149 Gravity retaining walls, 729
Insurance Program (NFIP)) Geosynthetics, 742-744 Gravity sewers, 275, 277
overview, 745 cushioning, 742,743 Grayfield development, 22
plan profile sheet, 750 filtration, 742, 743 Green Acres program, 130
preliminary investigation, 93 isolation, 742, 744 Green building:
preparation for, 746-750 reinforcement, 742,743 certification, 311, 385
rainfall-runoff modeling, 747 separation, 742, 743 design, sustainable site evaluation and, 370
regression equations, 747 transmission, 742, 743 development design guideline, 351-352, 353
special considerations, 749 Geotechnical considerations, 100-114 feasibility study, 131
Floodway, 82-83 depth of exploration, 110-111 sanitary sewer costs, 375
Floor area ratio (FAR), 53 geotechnical proposal, 112 sustainable design and, 319-320
Floor area ratio: objectives, 100 Green Building Initiative (GBI), Green Globes,
defined, 311 overview, 100 95
nonresidential product, 346 planning, 112 "Green building" movement, 95
Floor slab-on-grade, 726 preliminary investigation, 109-110 Green building rating programs, 95-96
Flow rates, stream restoration and, 753 soils, 100-108 Greenfields, conservation subdivision, 339
Flows: soils report, 112-113 Greenfield sites, 22
in curb and gutter, 494-496 subsurface investigation, 111-112 Green Globes, Green Building Initiative (GBI), 95
overland, 222, 229 Geotechnical engineering, 101 Grid method, for ETO, 452-455
peak, sewer system, 534, 535-536 Geotechnical fees, schematic design, 374 Grid patterns, transportation systems, 199-200
pipe,567,568-571,572,573 Geotechnical plan and report, 381 Grinder pump (GP) system, 275
sewage, variation in, 534-536 Geotechnical planning, 112 Grit, defined, 533
Flying height: Geotechnical proposal, 112 Groins, 607, 609
contour interval, 406 Geotextiles, 608 Gross longshore transport, defined, 591
map scale, 406 Global navigation satellite system (GNSS), 150 Ground improvement methods, 738, 740-744
Form-based code, zoning, 42 Global positioning system (GPS) methods: dynamic compaction, 741
administration and definitions, 62-63 aerial survey firms, 405 geosynthetics, 742-744
architectural standards, 63 airborne, 411 lime and cement stabilization, 742
building form standards, 59, 62 datums, 149, 150 vibro compaction/replacement, 741
environmental standards, 63 electronic mapping using, 400-403 wick/band drains, 741-742
floating, 63 Globe valve, 281, 283 Ground pounding, 741
implementation, 63 Go/no-go decision, 129 Ground slope, 216-217, 218
landscaping standards, 63 Goose Creek Interceptor pipeline, 278 Groundwater, 726
mandatory, 63 Gradation, soil, 710-711 permits, 643
optional, 63 Grade, curb-opening inlets on, 499-500 recharge of, 133
other standards, 63 Grading: Grubbing:
public space standards, 58-59 costs, schematic design, 374 construction sequencing, 624
regulating plan, 58, 59-61 Merrifield Town Center (MTC), case study, cost, schematic design, 373-374
signage standards, 63 844 Guide-mounted basket, 544,545
transect system, 57-58 schematic design, 365, 367 Gullies, soil erosion and sedimentation, 588
870
Gutter, 177 Horizontal control system coordinate datums, I
flow in, 494-496 149 Impact fees, 76-78
inlets, 498 Horizontal design plan content, 424 Impact studies, preliminary design phase:
Gwinnett County Department of Water Horizontal speed control measures, 431, overview, 310, 316-320
Resources (GCDWR), 268 432-433 traffic, 316-319
Hotbox, 303 Impervious surfaces, pavement design, 418-419
H House and foundation types, 438-441 Impulse-momentum equation, 564,565
Habendum clause, 24 attached/detached, 439-441 Incentive zoning (see Negotiated zoning)
Handicap ramps, 265 categories, 438 Incomplete submissions, 393
Hanging hooks, 544 characteristics, 438 Independence parkway street rehabilitation,
Hardy-Cross method, 578, 579, 580-581, 582 no basement/basement, 438-439 436
Haunching,487,491 overview, 438 Indirect cost, 75
Hazen-Williams equation, 549,570,571,572, single level/split level unit, 438 Industrial design, considerations, 350, 351
573,576,579 House templates, examples, 445 Industrial parks, 339, 340
HDS-5 software, 472 Housing Act of 1961, 115 Industrial use, water, 557
Head loss, defined, 53 7 Howard Hughes Medical Institute Landscape, Inertial measurement unit {IMU) technology,
Headwalls: 4 405,411
end treatment, example, 263 Human-induced factors, coastal erosion, 591, Infiltration trench and basin:
with pipe, 509-510 592 application guidelines, 687-688
Headwater depth, 522, 524 Hung sewer, defined, 442 described, 687
Health department, jurisdictional review, 390 Hunter curve, 576 design criteria, 688
Heavy manufacturing, 334 Hurricane Katrina, oblique aerial imagery, 408, Inflow hydrograph, 479
Helical rotor pump, 559 409 Information:
Helicopters, fixed wing, 412 Hurricane Sandy, on Mantoloking, 589 documentation, 384-385
High Accuracy Reference Networks (HARN), 150 Hybrid construction delivery methods, 14-15 required, engineering feasibility study,
High-density polyethylene pipe {HDPE), 259, Hydrants, fire, 286, 290-292, 293 130-135
260,287 Hydraulic analysis, floodplain studies, 747, 749 sheets, general, 383, 384
Highline transmission main, 585 Hydraulic capacity and storage, reduction in, Infrastructure, public sector development, 860
High-rise multifamily, 327, 329, 330 593-594 Infrastructure enhancements, development
Highway definition, defined, 420 Hydraulic Design of Energy Dissipators for costs, 74-78
Hills, contour lines, 208, 210 Culverts and Channels, 480 Inlet protection, sediment filter, 612, 615
Historical considerations, 115-119 Hydraulic Design of Highway Culverts, 472,514 Inlet(s):
Bellmawr Park Mutual Housing Historic Hydraulic grade line {HGL): capacity, 499-502
District (case study), 121-122 computations, 494 control, 472, 513-514, 515-519
due diligence, 117 increases in pipe velocity, 568 curb-opening,499-501
historic preservation movement and in pipe systems, 505, 506, 508-512 flow capacity, 498
regulations, 115-116 Hydraulic radius, defined, 463 grate, 498, 501-502
impacts to historic properties, 117-119 Hydraulics: location of, 264-265, 266
known historic properties, 116 culvert, 472, 473-475, 476-477, 512-525 in parking areas, 448
Little Muncy Creek Pratt Truss (case study), design principles, 472, 473-475, 476-477, 478 pavement drainage, 498-502
123-124 sewers, 536-540 Inlet shaping, defined, 512
local preservation efforts, 116-117 Hydraulic slope, defined, 505 Inspections, soil, 726
overview, 115 Hydraulic surge, 284, 286 Institute for Sustainable Infrastructure
Peter J. Biondi Route 206 Bypass (case study), Hydric soils, defined, 87 (ISI)-Envision, 96
120 Hydrograph(s): Institute of Transportation Engineers (ITE),
potential historic properties, 116, 117 classification, 231 196
Historic content, site diagram, 160-161 design storm, 228 Instrumentation, in topographic surveying
Historic properties: elements, 231 field, 400
avoidance, minimization, and mitigation, IDF curves, 236 Insurance Services Office (ISO), 552
118-119 inflow, 479 Integrated management practices (!MPs):
defining impacts, 118 NRCS dimensionless unit, 468, 470 alternative BMPs, 705-708
feasibility study, 135 outflow, 479 bioretention system, 690
impact assessment, 118 overview, 231-232 dry wells, 694
impacts to, 117-118 timing aspects of, 231 dry/wet swales, 691-692
incorporation, 119 unit, 231-234 infiltration trench and basin, 687-689
known, 116 Hydrologic analysis: porous pavements, 693
local preservation efforts, 116-117 exceedance probability and recurrence rain barrels/ cisterns, 695
potential, 116, 117 interval, 228 stormwater management, 686-708
preservation, 119 floodplain studies, 747 structural BMPs, 696-699
reconstruction, 119 NRCS, 225, 227 traditional BMPs, 700-705
rehabilitation, 119 in preliminary engineering study, 227-228 Intensity-duration-frequency (IDF) curves:
restoration, 119 rainfall-runoff modeling, 228, 747 applicable intensity values, 465
treatment of, 119 rational method, 225, 227, 234-236 overview, 236, 238
Historic studies, sample base map content, 146 regression equations, 747 rational method limitations, 238, 239
Home, grading around, 442, 444, 445, 446 storm model units, 227 Interactions, with citizens, 392-
Home owners associations {HOAs), 31 Hydrologic data, 228 Intercounty connector Route 29 over Briggs
Hook-mounted basket, 544, 545 Hydrologic runoff computations, 462-469 Chaney Road, 5
Horizontal alignment, 419-424 NRCS method example, 466-469 Intermediate storage facilities, 2 79
circular curves, 419-421 overview, 462-463 Intermittent streams, 135, 136
compound curves, 421-422 rational method example, 464-466 Internal circulation, site layout and, 357-358
design plan content, 424 time of concentration calculation, 463-464 Internal reviews, 387-388
overview, 419 Hydrologic soil group {HSG) classification, 239 Internal street networks, 199
reverse curves, 422 Hydrology, of wetlands, 87-88 International Code Council (ICC), 656
sight distance on horizontal curves, 423 Hydrophytic vegetation, 87 International Standards Organization (ISO),
SSDs, 422-423 Hyetographs, 236 388
superelevation, 422 HY-8 software, 472 Internet, as site information source, 135
 INDEX 871

Intersection(s): LANDSAT satellite, 147 Los Angeles Region Imagery Acquisition

inlet placement in, 265 Landscape: Consortium (LAR-IAC), 408
minimum spacing between, 133 nonresidential product, 346-347 Loss coefficient method, 571
profiles at, 428-429 plan, 381 Lot dimensions, 343
Intersection(s), design, 185-194 residential design, 345 Lot grading, 441-445
channelization, 191, 193-194 Landscaping costs, schematic design, 376 around home, 442, 444, 445, 446
curb ramps, 191, 194, 195 Landscaping standards, form-based code, 63 drainage, 442
curb return radius, 189-191, 192 Land use plan, 34, 35, 41 driveways, 442, 443
sight distance, 187-189 Lanes, travel, 174, 175-176 overview, 441-442
spacing, 186-187 Laser scanners, for field survey, 399 rear yard, 445
Intersection(s), types, 180, 181-185 .LAS file format, 410 utility services, 442, 443, 444
angle of approach, 183-184 Lateral earth pressure, 727-731 Lotshape,343-344
four-leg intersections, 182-183 Lateral shifts, 432 Lot size averaging, 343, 346
multileg intersections, 183 Layout, dry utility, 300, 303, 304 Lot size reductions, 338
overview, 180, 181 Layout, sanitary sewers, 274, 275-279 Low impact development (LID) techniques,
roundabouts and traffic circles, 184-185 gravity sewers, 275, 277 375,746
"T" intersections, 181-182 overview, 274, 275 stormwater management, 686-708
Inventory and trends, comprehensive plan, 32, pressure sewers, 275-276 (See also Integrated management practices
33 septic sewer systems, 276 (!MPs))
Isolation valves, 289-290 Layout, storm system, 264-268
inlets, location of, 264-265, 266 M
overview, 264 Macerators, 544
J pipe design, 266-267 Maintenance, stream restoration/rehabilitation,
Jet (ejector) pumps, 559-560, 561
underdrain design, 267 760
Joints, pipe materials, 287, 288
yard inlets, location of, 265, 266 Maintenance of traffic (MOT) plans, 397
Junctions, storm, 257-258, 259
Layout, water distribution, 288-293 Mandatory form-based codes, 63
Jurisdictional challenges, zoning ordinances, 66
connections, 292, 295 Manholes:
Jurisdictional classifications, roadways, 172, 173
fire hydrants, 290-292, 293 dry utility material, 297, 298, 299
Jurisdictional review:
overview, 288, 289 efficiency of flow through, 512
administrative requirements, 391-392
pipe curvature, 292, 294 energy losses through, 506
fees, 392
valve locations, 289-290 pumps in, 542
incomplete submissions, 393
Lead review agency, role, 389 sanitary sewer material, 269-272
interactions with citizens, 392-
Legal condition, feasibility study, 130 storm junctions, 257, 258
meetings with review staff, 393
Legal counsel, rezoning and, 128 structure, 494, 498
organization, 390-391
Legal descriptions: Manning's equation, 463, 472, 494, 502, 505,
plan approval process, 388-390
body, 24,26 510,514,537,538,539,540
caption, 24 Manning's roughness coefficient, 463
K chain of title, 26 in stormwater facility hydrologic analysis, 472
Karst topography, 103 metes and bounds, 24 Manually cleaned bar screen, 544, 545
Known historic properties, 116, 117 parts, 24, 26 Manual of Practice, 68
qualifying clause, 26 Manual of Standard Specifications, 68
L title report, 26 Manual on Uniform Traffic Control Devices
Land: title search, 26 (MUTCD), 196,397,434
acquisition, 128 Legal information, sample base map content, Mapping:
characteristics, 127 146 site inspection, 139
Land bays, defined, 367 Legal team, 7, 8 wetlands, 93
Land costs, schematic design, 373 Letter of Map Amendment (LOMA), 746 Map(s):
Land development: Letter of Map Revision (LOMR), 745-746 aerial, 135
design process (see Land development design Letter of Map Revision Based on Fill annotations, 147
process) (LOMR-F), 746 base (see Base maps)
design team, zoning ordinances, 128 Level spreader, 603, 605, 608 contour, 207-208
overview, 3-5 Liability, DTM, 451 horizontal and vertical accuracy of, 150-151
risk in, 127 LiDAR (light detection and ranging) data, 147, planimetric, 147-148
Land development design process, 3, 6-15 154, 410-413 scale, 406
detailed design stage, 13-14 Lidargrammetry, 148,412, 413 tax, 132, 135
development team, 7-9 Lift station, defined, 540 topographic (see Topographic maps)
overview, 6, 11 Light detection and ranging (LiDAR) data, 147, Market analysis, 22-23
post -design stage, 14 154, 410-413 Market considerations, 346-347
pre-design stage, 11-13 Light industry, 335 Marketing impacts, development design
preliminary design stage, 13 Lighting costs, schematic design, 374 guidelines, 353
private sector, 7 Lime stabilization, 742 Mass grading, 445, 447, 624
project communication, 10 Limestone, 103-104 Mass points, 148
project delivery methods, 14-15 Limiting nutrient, defined, 593 MasterFormat, 656
public involvement, 9-10 Liquidlimit(LL), 102 Master plan, 30
public sector, 6-7 Little Muncy Creek Pratt Truss (case study), (See also Comprehensive plan(s)/planning)
public vs. private project types, 6-7 123-124 Master planned projects, 342
site engineer, responsibilities of, 10-11 Live Cribwall, 599 Masterspec®, 656
stages of, 11-14 Live work units, 336 Materials, dry utility, 297-300
(See also specific entries) Loading docks, 449 additional equipment, 297,299,300,301,
Landlocked parcels, 132 Local parks, jurisdictional review, 390 302
Land ownership: Local standards manuals, defined, 587 cables and ductbank, 297, 299, 300
legal rights of, 128 Local street systems, 172, 173 manholes, 297, 298, 299
records, feasibility study, 130 Location, pumping stations, 541-542 Materials, sanitary sewer, 269-274
Land planner, 308 Loess, 106 building spurs, 272, 274
Land records, research of, 155-156 Longitudinal grade, defined, 216 manholes, 269-272
Land reservation, development cost, 75 Longshore current, defined, 591 pipe materials, 272,274
872
Materials, storm system, 257-264
barrels, 261-263
culverts, 261-263
end treatments, 263-264
junctions, 257-258, 259
open channel systems, 261
overview, 257
pipe materials, 259, 260-261
Materials, water supply, 280-286
fire hydrant, 286
meters, 286
overview, 280
valves, 280-286
Mattings, soil stabilization, 596
Maximum daily consumption, defined, 553
Mean hydraulic detention time, defined,
617
Mechanical joint, 287
Mechanically stabilized earth (MSE), 729
Medians, 176, 177
Meetings, with review staff, 393
Merrifield Town Center {MTC), case study,
818-853
area wide recommendations, 820, 824
concept map for future development, 821
conceptual design, 829-833
construction, 850
development patterns and principles,
829-833
development program, 819
due diligence, 819-829
environmental considerations, 824-825,
838-839
field adjustments, 850
final design, 841-84 7
grading and earthwork, 844
land unit recommendations, 824
plan revisions, 850, 851-852
plan submission and permitting, 848-849
preliminary engineering, 825-826, 833-838
proffer compliance, 845
requests for interpretation (RFis), 850
rezoning process, 839-841
schematic design, 833-838
site analysis, 819-829
stormwater management design, 844
street design, 841-844
summary observations, 850, 852-853
transportation and public facilities/
infrastructure, 824
utility coordination, 844-845
Metals, NPS pollutant, 248
Metamorphic rock, 103
Metastable soils, 106-107
Meters, 286
Metes, legal description, 24
Micropool, extended detention (dry) pond
with, 700
MicroStation.dgn format, 404
Middle ordinate {MO), 420
Mid-rise multifamily, 327, 329, 330
Minor arterial street system, 172
"Minor" subdivisions, 71
Mixed-use plan view, 335
Modified Puls method, 469
Modular wall systems, 730-731
advantages, 730-731
disadvantages, 731
Montgomery County, Maryland, 40, 72
Moody diagram, 505, 570, 571
Mountable curbs, 177
Mount Vernon Ladies Association, 115
MSE wall systems, 729-730
advantages, 730
disadvantages, 730
Mulches, erosion control BMP, 595-596
Multifamily structures: Natural Resource Conservation Service system
garden style, 326, 329 101 '
mid-rise and high-rise, 327, 329, 330 Natural resources:
Multileg intersections, 183 local preservation efforts, 91
Multiple stage riser design, 472,473,474 natural waters and wetlands, 86-88
Multiplex, 326, 328, 329 open space and vegetation, 89-90
Multistage pumps, 558, 559 overview, 84, 86
Municipal separate storm sewer system {MS4s) Natural Resources Conservation Service
stormwater, 246 {NRCS) methods, 109, 599
Muskeg, 107 computer models for, 241,242
dimensionless unit hydrograph, 468, 470
erodibility of soils, 626
N
example, 463, 466-469
Narrative, to erosion and sediment control plan,
graphical peak discharge, 467-468, 469,
629,630-633
470
National Ambient Air Quality Standards
for hydrologic analysis, 225, 227
(NAAQS), 643
IDF curves, 238
National Association of Homebuilders
NRCS soil survey report, 109
{NAHB)-Model Green Home Building
overview, 239
Guidelines, 9 5
plan content, 468-469
National Bureau of Standards {NBS), 514
post-development, analysis, 467
National CAD Standards (NCS), 382
pre-development, analysis, 467
National Electrical Code {NEC), 297
rainfall models, 241, 245
National Environmental Policy Act (NEPA),
rational vs., 466
80-81,92,640
runoff curve numbers, 239-241, 242,243,
levels of environmental review in, 81
244
requirements, 80
runoff volume, 466-467
National Fire Protection Association {NFPA),
utilities maps from, 135
553,656
Natural surfaces, contour line patterns for 208
National Flood Insurance Act, 82 210 ' '
National Flood Insurance Program (NFIP) 80
82-84 ' ' Natural waters, 86-88
(See also Wetlands)
community and property owner-initiated
Necessity, easement of, 27
amendments and revisions, 745-746
Negative easement, 26, 27
digital FIRM {DFIRM) database, 84
Negotiated zoning, 42, 56-57
FEMA flood map products, 83-84
planned unit development {PUD), 56-57
FIS report, 84
proffer (pro offering), 56
flood insurance rate maps {FIRMs), 83-84
Neotraditional design, 341
flood map revisions, 745
NEPAssist, 92
history, 82
Net longshore transport, defined, 591
Letter of Map Amendment (LOMA), 746
Net positive suction head (NPSH), 546
Letter of Map Revision (LOMR), 745-746
Nets, soil stabilization, 596
Letter of Map Revision Based on Fill
New comprehensive plan, 39
(LOMR-F), 746
(See also Comprehensive plan(s)/planning)
municipal governments and lenders role in
New FedEx Ground distribution hub facility
floodplain management under, 82-83 108 ,
purpose of, 82
Newton- Raphson method, 579
studies and restudies, 746
New urbanism, 341
updates to, 745-746
New York State Department of Transportation
National Flood Insurance Reform Act of 1994 82
(NYSDOT), 531
National Geodetic Survey {NGS), 149, 150 '
No basement type buildings, 438-439
National Highway System road project, 5
Noise, 542
National Historic Preservation Act of 1966
characteristics, 644
{NHPA), 115
permits-related to, 644
National Institute of Building Sciences, Whole
Nonconformity(ies):
Building Design Guide, 95
types, 54
National Mediator Accreditation System
zoning, 54-56
{NMAS), 150
Nonfrost susceptible soils, 106
National Oceanic and Atmospheric Association
Non-point source (NPS) pollution:
{NOAA), 415, 416, 589
damaging effects pollutants, 225
National Pollutant Discharge Elimination
in feasibility study, 133
System {NPDES), 80, 81, 587,594,642
stormwater quality control, 246, 247-248
National Priorities List {NPL), 82
Nonpoint sources (NPS), 81
National Sanitation Foundation, 286
Non-profit entities, 4
National Society of Professional Engineer
Nonresidential product, 346-350
(NSPE) Code ofEthics, 10
common standards, 346
National Society of Professional Surveyors
design process, 346-347
(NSPS) standard, 151
FAR method, 346
Nat(onal Trust for Historic Preservation, 115
industrial design considerations, 350,351
Nat10nal Wetland Inventory (NWI), 93, 133
landscape and open space, 346-347
Nationwide Urban Runoff Program {NURP),
lot size and bulk regulations, 346
246
market considerations, 346
Natural areas, 57
office design considerations, 349-350
Natural bedrock, 103
overview, 346
Natural hazards:
parking, loading, and service spaces, 346
feasibility study, 135
retail design consideration, 347-349
risk assessment, 95
 INDEX 873

Nonresidential sites, grading for, 447-449 Parking: Photogrammetry (Cont.):

buildings, location, 448 ADA,217 softcopy, 410
characteristics, 44 7 -448 classifications, 201,203 stereo, 410
controlling factors, 448-449 layout options, 204 Photometric plan, 381
overview, 447 requirements, 203 Photo scale:
Nonstructural measures, coastal erosion site design, 201, 203-204 contour interval, 406
control, 608, 610 Parking, as-built survey, 657 map scale, 406
Normal depth, defined, 505 Parking lots, 326 in planning aerial photography, 405-406
Normally consolidated clays, 107 conceptual design, 358 Physical attributes and constraints, feasibility
North American Datum of 1983 (NAD83) grading for nonresidential sites, 448, 449 study, 130, 131-135
values, 144-145, 149 nonresidential product, 346 Physical information, sample base map content,
Notice of deficiency (NOD), 641 residential design, 344-345 146
Notice of intent (NOi), 641,642 retail, 348-349 Physical properties, of selected materials,
Notice of termination (NOT), 641 Parks, jurisdictional review, 390 673-675
Novachip®, 436 Passenger vehicle parking spaces, 204 Pipe curvature, water distribution layout, 292, 294
Nutrients, NPS pollutant and, 247-248 Passive earth pressures, 727 Pipe design, storm system layout, 266-267
NYC Department of Environmental Protection Patterns, contour line: Pipe flow, 567, 568-571, 572, 573
(NYCDEP), 527, 530 constructed surfaces, 209, 210-212 Pipe lengths, equivalent, 571, 573, 575, 576
NYC Economic Development Corporation, 527 natural surfaces, 208, 210 Pipe materials:
Pavement designs, 417-419 fittings, 287, 288
Pavement drainage, 494-502 joints, 287,288
0 flow in curb and gutter, 494-496 overview, 286-287
Oakwood beach flood resiliency study, 254
inlets, 498-502 in sewer construction, 272,274
Oblique aerial imagery, 407, 408, 409
spread calculation example, 497 storm system, 259, 260-261
Odors, 541
stormwater flow in pipes and channels, water distribution, 286-288
Office design, considerations, 349-350
502-512 (see also Stormwater flow) Pipe(s):
Office of Coastal Management, 416
Pavement recommendations, soils, 717 DIP, 286-287
Office parks, 339, 340
Pavements: HDPE, 259, 260, 287
Office procedures, 157, 159
building slabs and, 224 plastic, 286
Off-site costs, schematic design, 376-377
sediment on, 622 polyethylene, 287
Ohio Revised Code, 854
Payments in lieu, 78 PVC, 259
Oil/grit separator, water quality inlet with, 697
Peak demand, water, 557, 558 RCP, 259, 260, 261, 506
On-street parking, 175
Peak discharge, NRCS graphical, 467-468, 469, steel, 287
Open channel systems, 261
470 Pipes, stormwater flow in, 502-512
Open space, 89-90
Peak flows, sewer system, 534, 535-536 energylosses,502,505-506,507
preservation, 89
Peak intensity, 229 HGL, 506, 508-512
values and benefits, 89-90
Peak runoff discharges, determination, 493 Plan conformance jurisdictions, 39
Open Space Preservation program, 130
Peat, 107 Plan content, E&S control, 625-633
Open spaces:
Pedestrians, 197, 198 categories, 625-626
drainage patterns, analysis, 266
Perception, identification, emotion, and volition narrative, 629, 630-633
grading within, 219
(PIEV), 197 objective, 626
nonresidential product, 346-347
Performance specifications, construction overview, 625-626
residential design, 345
documents, 652 plan sheets, developing, 626-629
site diagram, 161
Performance zoning, 57 Plan contents:
in subdivisions, 338
Perimeter controls, establishment, 624 ETO,461
Operational impacts, development design
Perimeter dikes, defined, 600 grading, 451,452
guidelines, 353
Perimeter sand filter, 697 NRCS methods, 468-469
Operations and maintenance (O&M),
Permeability, soil, 711-714 rational method, 466
658-663
Permit acquisition, 71 sewer, 549-550
Optional form-based codes, 63
Permit(s), 14, 637, 638-647 storm drainage design, 525-526
"Order of magnitude'' estimates, 363
building, 638, 644-647 time of concentration, 464
Ordinance regulations, feasibility study, 131
development, 638-639 vertical design, 429, 430
Organic filter, 697
environmental, 638, 639-644 water main, 581, 582-583
Organic soils, 107
issuance of, 638 Planimetric mapping, 147-148
Orthometric heights, 150
schematic design, 377 focal-length/narrow-angle lenses for, 406
Orthophotos:
special, Euclidean zoning, 51 metric properties, 403-404
building in Los Angeles, 408, 409
Union Mills project, case study, 816 Planimetrics, defined, 147
digital (see Digital orthophotos)
(See also specific types) Planned unit developments (PUDs), 56-57, 66
Outfall assessment, in feasibility study, 133
Perpendicular spaces, 204 Planner, 3
Outfall points, 266
Pesticides, residual, 133 Planning:
Outflow hydrograph, 479
Peter J. Biondi Route 206 Bypass (case study), geotechnical, 112
Outlet control, 514, 520
120 jurisdictional review, 389
Outlet protection, erosion control BMP, 603,
Phase diagram, soil, 709 road drawings, 435-436
604,605,606
Photogrammetry: for topographic surveys, 399
Out-parcel, 331, 332, 333
aerial photographs, 156 Planning and Land Use System (PLUS)
Overconsolidated clays, 107
aerial triangulation, 404-405 Program,780,820
Overhangs, contour lines, 208
applications, 403 Plan revisions and record drawings, 394
Overland flow, 222, 229
compiling maps using, 148 Plan sheets, 139-143
Overlay districts, zoning, 49
considerations, 408, 410 erosion and sediment control, 626-629
Oxygen demand, NPS pollutant, 246, 247
contour interval, 406 layout, 140, 142
data gathering, 403-406 overview, 139
p digital orthophotos, 403, 406-407 for pavement design, 419
Packaged booster pumping stations, 562, 563 for field survey, 399 profile view, 140, 142
Parabolic curves, 424 map scale, 406 section view, 142-143
Parallel parking spaces, 175,204 oblique aerial imagery, 407, 408, 409 symbols, 139-140, 141
Parcel, 23 photo scale, 405-406 views, 140, 142-143
874
Plan submission, 308-309 Preliminary engineering: Profiles:
final design, 385-386 feasibility study, example, 762-778 at intersections, 428-429
preparing, 385-386 hydrologic analysis, 227-228 of road drawings, 435-436
Plasticity index (PI), 104 Merrifield Town Center (MTC), case study, Project communication, 10
Plastic limit (PL), 102 825-826 Project control, 156
Plastic pipe, 286 Union Mills project, case study, 808 Project cycle, 651
Plat preparation, 71 (See also Engineering feasibility study) Project delivery methods:
Plat(s), 23 Preliminary investigation: design-bid-build, 14
example, 25 buildings, 109 design-build, 14
in feasibility studies, 130 dams, 109 design-build-finance, 14
Plug valves, 281 floodplain study, 93 value-based award, 14
Plunge pools, 603 geotechnical considerations, 109-110 Project manual, 650
Pneumatic ejectors, 542 roads, 110 Project phasing, need for, 626
Pocket sand filter, 697 wetlands, accuracy of, 88 Projects, types of, 859-860
Poinciana parkway (case study), 97-99 Preliminary plan, 13 Property access, 132
Point cloud, defined, 154 for entitlement review, 308, 309-310 Property boundaries, feasibility study, 136
Point of beginning (POB), 24 Prescriptive easements, 132 Property( ies):
Point of compound curvature (PCC), 421-422 Preservation: conveyance,23
Point of curvature (PC), 420 development cost and, 75-76 covenant, 23
Point of reverse curvature (PRC), 422 environmental, 76 deeds, 23-26
Point of tangency (PT), 420 historic properties, 116-117, 119 defining, 23-27
Point of vertical curvature (PVC), 297, 425 local efforts, 91 fee simple estate, 23
Point of vertical intersection (PVI), 425 open space and vegetation, 89-90 parcel, 23
Point of vertical tangency (PVT), 425 tree, 89-90, 624 plats, 23
Policies and maps, comprehensive plan, 33-34 Pressure head, 560 real property, 23
A Policy on Geometric Design of Highways and Pressure reducing valves (PRV), 281,284 subdivision, 23
Streets, 171, 196,422,427 Pressure requirements, water distribution title, 23
Political retrospect, Union Mills project (case design, 551-552 Proposal, geotechnical, 112
study), 802-803 Pressure sewers, 275-276 Proposed grade lines (PGLs), 428,429,435,
Political will, 4, 858-859 Pre-stressed concrete cylinder pipe (PCCP), 287 450
Pollutantloads,480,481-482 Principal arterial systems, 172 Proposed surfaces, creating, 449, 450
Pollutants, NPS, 225,246, 247-248 Private facilities, in feasibility study, 134 Proposed zoning, feasibility study, 131
Pollution, prevention, 133 Private project cost estimate, conceptual design, Proprietary BMPs, 686
Polyethylene pipe (PE), 287 362 Proprietary specifications, construction
Polyvinyl chloride (PVC) pipe, 259 Private sector, 4, 7 documents, 652
Ponds, contour lines, 212 Private sector developers, 7 Protection, tree, 624
Porous pavements, stormwater management, Private sector development projects, 4 Public agency involvement, 9-10
693 vs. public sector, 6-7 Public and private roads, 173
Positive displacement pumps, 558 Privatization, 857 Public facilities:
Postconstruction services, 14 Probable maximum flood (PMF), 239 as-built documents for, 135
as-built surveys, 657-658 Probable maximum precipitation (PMP), 239 in feasibility study, 134
bond release, 658 Problem soils, 104-107 Public hearing, rezoning, 64-65
operations and maintenance, 658-663 dispersive clays, 107 Public Land Survey (PLS) System, 155
street acceptance, 658 expansive clays, 104-105 Public presentations, rezoning, 64-
Post-design stage, land development, 14 frost susceptible soils, 105-106 Public-private partnerships (PPP/P3s), 5,
closeout, 14 metastable soils, 106-107 855-858
construction, 14 normally consolidated clays, 107 Public project cost estimate, conceptual design,
construction documents, 14 organic soils, 107 359,362
engineering, 648 overconsolidated clays, 107 Public review, environmental permits, 641
green building documentation services, underconsolidated clays, 107 Public sector, 4-5, 6-7
648-649 (See also Soil(s)) Public sector developers, 6-7
permits, 14 Procurement (or acquisition) activities, Public sector development projects, 4-5
services, 649-650 854 bidding process, 859
surveying, 648 Product types, development principles and, buildings, 860
Potential historic properties, 116, 117 321-354 elected office-holders, changes in, 858-859
Power center, 331, 332 commercial office, 332, 333-334 examples, 6
Power costs, schematic design, 376 commercial retail, 329, 330-332 funding considerations, 855-858
Pre-application, environmental permits, comprehensive plan, 322 infrastructure, 860
640 design guidelines, 342-350, 351-353 overview, 854
Pre-design: development types, 336-342 political will, 858-859
development program, 12, 20-21 flex industrial, 335 predetermined sites, 855
due diligence, 12, 19-124 (see also Due heavy manufacturing, 334 vs. private projects, 6-7
diligence) industrial, 334-336 projects, types of, 859-860
eminent domain, 28 light industry, 335 public-private partnerships, 855-858
feasibility study, 13 live work units, 336 regulatory environment, 854-855
land development, 11-13 mixed use, 335 requests for proposals, 859
property, defining, 23-27 nonresidential product, 346-350 Public space standards, form-based code, 58-59
site analysis, 12-13 overview, 321-323 Public works, jurisdictional review, 389
site diagram, 13 residential, 323-329, 342-346 (see also Pumping facilities, 558-564
site selection, 12, 22-23 Residential product) emergency power, 562, 563-564, 565
Predetermined sites, public sector development, scope,342 overview, 558
855 The Sevens, 354 packaged booster stations, 562, 563
Preliminary design: Professional consultant fees, schematic design, pump drives, 560
conceptual design, 13 377 pump selection, 558-560
land development, 13 Proffers,56, 75,227 system head curve, 560, 562
schematic design, 13 Profile grade line (PGL), 179 water supply system, 279
 INDEX 875

Pumping stations, 540, 541-549 Reference standard specifications, construction Reverse curves, 422
components, 544-546 documents, 652 Revetments, 607, 609
design types, 542-543 Referral agencies, role, 389 Review agency and engineer, relationship, 390
location, 541-542 Regional mall, 331,332 Review comments, addressing, 393-394
overview, 540, 541 Regression equations, 747 Review process, 71-73
pump selection, 546-549 Regulating plan, form-based code documents, closeout, 71
screenings, 544, 545 58,59-61 entitlement review, 71-72
wet well, sizing of, 544, 546 Regulation(s), 12 permit acquisition, 71
Pump(s): environmental, 80-84 plat preparation, 71
drives, 560 environmental permits, 641-642 site plan review, 71, 72-73
performance curve, 547-548 feasibility study, 135 Reviews:
selection, 546-549 form-based code, 57-63 internal, 387-388
Pump selection, 558-560 historic preservation movement and, jurisdictional, 388-390
centrifugal pumps, 558 115-116 Review staff, meetings with, 393
helical rotor, 559 public sector development, 854-855 Revised universal soil loss equation (RUSLE),
jet (ejector), 559-560, 561 source, 856-857 593
multistage, 558, 559 subdivision, 130 Revisions:
positive displacement, 558 (See also Zoning ordinance(s); specific entries) environmental permits, 641
reciprocating, 558 Regulatory information: final site plans, 394
rotary gear, 559 feasibility study, 130-131 Rezoning:
submersible, 558 sample base map content, 146 application submittal, review of, 64
turbine, 558, 559 Regulatory permitting, in schematic design, 365 comprehensive plan amendment, 65
Purchase contract option period, 127 Rehabilitation, historic properties, 119 legal counsel and, 128
Push-on joint, 287 Reinforced concrete pipe (RCP), 259, 260, 261, 506 Merrifield Town Center (MTC), case study,
Remote sensing (LiDAR), 410-413 839-841
Renewals, environmental permits, 641 overview, 63-64
Q Report, site inspection, 139 process, 64, 392
Qualifying clause, legal description, 26
Requests for interpretation (RFis), 850 public hearing, 64-65
Quality assurance, final design, 385
Requests for proposals (RFPs ), 859 public presentations, 64
Quality calculations, stormwater, 480, 481-485
Research, of boundary survey, 154-155 Union Mills project, case study, 786-790,
Quality control, final design, 385, 388
Residential design: 795-802
Quality control, stormwater, 245, 246-253
bulk regulations, 344 (See also Zoning)
BMPs, 248-253
common standards, 343 Ridges, contour lines, 208
NPS pollutants, 246, 247-248
considerations, 345-346 Rights-of-way (ROW):
overview, 245, 246, 247
density, 343 to public roads, 132, 133, 173
Quantity, of sewage, 533-534
landscape and open space, 345 in title investigation, 130
lot dimensions, 343 widths, 178, 179
R lotshape,343-344 Rill flow, soil erosion and sedimentation, 588
Radius, curb return, 189-191, 192 lot size, 343 Riprap, 599
Radon, 133 parking and access, 344-345 Riser:
Rags, 544 process, 342-345 calculation example, 472, 473-475, 476-477,
Railroad definition, 420 setbacks, 344 478
Rain barrels/ cisterns, stormwater management, Residential product, 323-329 design, multiple stage, 472,473,474
695 design process, 342-345 flow for water surface elevation, 473
Rainfall models, NRCS methods, 241,245 multifamily structures, 326, 327, 329, 330 structure, 4 72
Rainfall-runoff modeling, 747 single-family attached, 324-326 Road alignment, defined, 171
hydrologic analysis, 228 single-family detached, 323-324 Road frontage, in feasibility study, 132-133
Raised intersections, vertical measure, 431 types, 342-346 Road narrowing measures, 432, 433
Rankine theory, 727-728 Residential purposes, grading for, 438-447 Road network, orientation to surrounding, 348
Raster data, base map, 147 house and foundation types, 438-441 Road(s):
Rational method: lot grading, 441-445 as-built survey, 657
example, 464-466 mass grading, 445, 447 preliminary soil investigation, 110
for hydrologic analysis, 225, 227, 234-236 overview, 438 slope and grade, 218
limitation, 465-466 siting house, 441 soils characteristics, 724-726
limitations, 238, 239 Residential water demand, 555, 557 Road sections, example, 179-180, 181
NRCS vs., 466 Residual hydrant, 553 Roadway cross section, defined, 171
overview, 464-465 Resistive methods, stream restoration, 754 Roadway(s):
plan content, 466 Resource conservation, in subdivisions, 337 collector systems, 172
post-development, analysis, 465 Resource Conservation and Recovery Act components, 174-180
pre-development, analysis, 465 (RCRA), 82 costs, schematic design, 374
Real property, 23 Restoration, historic properties, 119 cross-sectional elements, 174
Real-time kinematic (RTK) GPS networks, 399, Retail design consideration: curb and gutter, 177
400,403 orientation to surrounding road network, 348 example road sections, 179-180, 181
Rear yard, 445 overview, 347-348 functional classifications of, 171-173
Receipt and review, environmental permits, 641 parking, 348-349 geometry, 171
Reciprocating pump, 558 sizing, 348 hierarchy of movement, 172
Reconstruction, historic properties, 119 vehicular circulation, 348 jurisdictional classifications, 172, 173
Record drawings, 387, 394 Retail establishments, 331, 332, 333 local street systems, 172, 173
Record plat, 386-387 Retaining walls, 727-731 medians, 176, 177
Recreation, jurisdictional review, 390 contour line patterns, 209,210,211 minor arterial street systems, 172
Recreational facilities costs, schematic design, design considerations for, 728-729 PGL, 179
376 Earth pressures against, 727-728 principal arterial systems, 172
Recurrence interval, hydrologic analysis, 228 modular wall systems, 730-731 public and private roads, 173
Recycling, feasibility study, 134 MSE wall systems, 729-730 right-of-way widths, 178, 179
Redevelopment sites, 22 recommendations for soils, 717,726 shoulders, side slopes, and ditches, 178
Redirective techniques, stream restoration, 754 types of, 729-731 sidewalks and utility strips, 177-178
876
Roadway(s) (Cont.): Schools, feasibility study, 134 Shrinkage, 224, 460-461
travel lanes, 174, 175-176 Scope, field survey, 398-399 Side slopes, roadway, component, 178
turn lanes, 177 Scope of work, for site engineer, 11 Sidewalk(s):
typical section, 175 Screenings, pumping station, 544, 545 costs, schematic design, 374
Robotic total stations, for field survey, 399 Screwed joint, 287 feasibility study, 134
Rock(s): SCS 24-hour rainfall distribution (at half- hour pedestrian safety, 197
metamorphic, 103 increments), 672 roadway, component, 177-178
sedimentary, 103 Seasonal frost, 726 slope and grade, 218,219, 220
Rotary gear pump, 559 Seawalls, 606, 607, 608 Sieve analysis, 712
Rough estimates, conceptual design, 362-363 Sector plans, 37, 38 Sight distance:
Rough grading, construction sequencing, Sediment, NPS pollutant, 246 on crest vertical curves, 425-427
624-625 Sedimentary rocks, 103 on horizontal curves, 423
Roughness coefficient: Sedimentation control costs, schematic design, intersection, 187-189
for sheet flow, 463 376 at site entrance, 132-133, 137
values of, 503-504 Sediment basins: Signage costs, schematic design, 374
Roundabouts, 184-185 Boysen's method, 617, 618 Signage plans, 381
Route 110 drainage & roadway improvements, design procedure for, 619, 620 Signage standards, form-based code, 63
531-532 detention time with baffles, 618, 619, 620 Sign permits, 639
Rubber balloon test, soil compaction, 73 7 discrete particle settling theory, 612, 614, Silt bags, 622
Rubber boots, 269 616,617 Silt fence, 610,611,612,613, 614
Runoff coefficient, stormwater fundamentals, drawdown time, 617,619 Silts, 102-103, 717
235-236,239 overview, 612 (See also Clays)
Runoff curve numbers, 239-241, 242, 243, 244 trap efficiency, 616-617 Single-family attached dwellings, 324-326
Runoff reduction systems, BMPs, 251 Sediment budgets, 591, 592 duplex, 324, 325
Runoff volumes, NRCS hydrologic method, Sediment control, erosion and (see Erosion and multiplex, 326, 328, 329
466-467 sediment (E&S) control) townhouse,324-326,327
Rural areas, 57 Sediment control BMPs, 610-622 Single-family detached dwellings, 323-324
filters, 610-612 cottage house/bungalow court, 323, 324
s overview, 610 zero lot line house, 323, 324
Safe Drinking Water Act, 643 storage measures, 612, 614, 616-622 Single level/split level unit, housing style, 438
Safety, of discharge areas, 622-623 Sediment on pavements, 622 Single-use zoning (see Euclidean zoning)
dust control, 622, 623 Sediment yield, defined, 592 Sinkholes, 103-104
overview, 622 Selection, yield, impact studies and, 308-320 SI System, prefixes for use with, 671
sediment on pavements, 622 additional studies, 310-320 Site access, management, 185-187
Sag locations, curb-opening inlets in, 500-501 concept plans, 308, 309-310 Site analysis, 12-13, 23
Sag vertical curves, sight distance on, 427-428 overview, 308-310 phase, 127
Salmonella spp., 247 plan submission, 308-309 Union Mills project, case study, 785-803
Sand bags, 608 preliminary plan, 308, 309-310 Site assessment, stream restoration and, 752
Sand cone test, soil compaction, 737 product types and development principles, Site data, 160
Sand filter(s), 697-699 321-354 Site descriptions, sample base map content, 146
application guidelines, 698 Semi-public sector, 4-5 Site design:
design criteria, 699 Semi-public sector development projects, 4-5 schematic design, 365, 367, 368
organic filter, 697 Septic tank effluent pressure (STEP) system, supplemental, 381
perimeter, 697 275,276 Site design, transportation systems, 199-204
pocket, 697 Settling practices, BMPs, 251 circulation and access, 200-201
subsurface, 697 The Sevens, 354 cul-de-sacs and turnarounds, 201,202
surface, 697 Sewage, 533-550 curvilinear patterns, 200-201
Sands, 102,717 flow, variation in, 534-536 grid patterns, 199-200
Sanitary sewer costs, schematic design, 375 hydraulics of sewers, 536-540 internal street networks, 199
Sanitary sewer design, procedure for, 533-540 overview, 533 overview, 199
air testing, 540, 541 plan content, 549-550 parking, 201, 203-204
example, 540 procedure for sanitary sewer design, 533-540 Site diagram, 13, 159-170
hydraulics, 536-540 pumping stations, 540, 541-549 (see also area classifications, 163
quantity, 533-534 Pumping stations) buildable area, 160
Schematic design, 13, 364-378 quantity of, 533-534 composite map, 170
deliverables, 370 strength, 533 drainage patterns, 168
environmental, 365, 367, 370 Sewers, sanitary, 269-278 environmental/historic content, 160-161
grading, 365, 367 as-built survey, 657 example, 161-170
green building design and sustainable site in feasibility study, 134 overview, 159-160
evaluation, 370 Goose Creek Interceptor pipeline, 278 resource protection areas, 165
Merrifield Town Center (MTC), case study, hydraulics, 536-540 review and confirmation, 357
833-838 layout, 274, 275-279 soils map, 166
overview, 307,308, 364-365, 366,369 materials, 269-274 steep slopes, 167
preliminary cost estimate, 370, 373-378 overview, 269 utilities, 169
preliminary engineering checklist, 3 70, Shallow concentrated flow, 463 zoning, 164
371-373 Shallow wetland, 704-705 Site disturbance, 350, 351
preliminary plan, 364, 366 Shear strength, soil, 714-715 Site engineer, 3
process, 365-370 Sheet flow: design elements, 11
regulatory permitting, 365 to buffers, 706-707 responsibilities of, 10-11
site design, 365, 367, 368 defined,222,463 scope of work, 11
transportation, 365, 367 roughness coefficient for, 463 Site grading, 221
Union Mills project, case study, 803-812 soil erosion and sedimentation, 587 Site inspection, engineering feasibility study,
unit cost data, sources of, 378 Sheeting and shoring, 726 135-139
value engineering, 378 Shigella spp., 247 mapping and report, 139
waiver preparation, 370 Shot placement, data collection, 400, 402, 403 overview, 135-136
(See also Conceptual design(s)) Shoulders, roadway, component, 178 process, 136-139
 INDEX 877

Site layout, internal circulation and, 357-358 Soil(s) ( Cont.): Spot elevations, topographic maps, 212,213,214
Site management measures, erosion control construction recommendations/considerations, Spread calculation, example, 497
BMP, 594-595 726-727 Springfield Gardens, 527-530
limiting denuded area, 595 defined,709 Square grids, 147
sequence of construction, 595 density, 710 Squirrel-cage inductor type, 560
site planning, 594-595 erodability, 101 Stacked townhomes, 324, 325
Site permit, 638-639 erosion and sediment control (see Erosion Staff, meetings with review, 393
Site planning, components, 380-394 and sediment (E&S) control) Standalone project, 342
construction details and supplemental plans, in feasibility study, 133, 136 Standard City Planning Enabling Act, 68
383,384 fine-grained, 716, 717, 719, 720 Standard slope and grade, 217, 218-219
cover sheet, 382-383 foundation recommendations, 717 State Historic Preservation Officer (SHPO), 115
design sheets, 383 fundamental properties and parameters, State implementation plan (SIP), 643
documentation information, 384-385 709-711 State licensing boards, 387
general information sheets, 383, 384 geotechnical considerations, 100-108 State Permitting Contacts, 644
overview, 380-382 gradation, 710-711 State Plane Coordinate System (SPCS), 149
plan submission, 385-387 gravels and sands, 102, 717 Static head, 560
Site plan/planning, 67 ground improvement methods, 738-744 Statutory law, 28
erosion control BMP, 594-595 hydric, 87 Statutory layout, 27
for multifamily developments, 344 lateral earth pressure and retaining walls, Steel pipe, 287
review, 71, 72-73 727-731 Steeper waves, 591
Site selection, 11 limestone, 103-104 Steep slopes, 219, 220, 221
development types, 22 liquid limit (LL), 102 Step pool stormwater conveyance (SPSC), 483
due diligence and site analysis, 23 overview, 709 Stereo photographs/images, aerial, 403
market analysis, 22-23 particle size distribution, 101 Stick of townhomes, 324
process, 12, 22-23 particle-size distribution curves, 713 Stoke's law, 614
study, 129, 310-311, 312-313, 314 pavement recommendations, 717 Stopping sight distances (SSDs):
Site team, 9 permeability, 711-714 crest vertical curves, 425-427
Siting house, 441 phase diagram, 709 horizontal alignment, 422-423
SI units, properties of water in, 671 plasticity, 101 Storage measures, sediment:
Slope and grade, 216-220 plastic limit (PL), 102 basins, 612, 614, 616-620
building perimeter, 219 principal soil deposits, 722-723 traps, 620-622
ground,216-217,218 problem soils, 104-107 Storage tank, water, 554, 555
open space, 219 properties and parameters, 100-101 Storage volume, requirements, 245, 246
overview, 216 retaining wall recommendations, 717, 726 Storm collection structures, 258, 259, 260
roads, 218 shear strength, 714-715 Storm drainage, 256-268
sidewalks and trails, 218, 219, 220 shrinkage, 460-461 as-built survey, 657
standard, 217, 218-219 shrink and swell, 224 categories, 257
steep, 219,220 sieve analysis, 712 collection structures, 258, 259, 260
Slopefailures, 732-733, 734 silts and days, 102-103, 717 Gwinnett county stormwater system
Slope(s): slope stability, 731-733 assessment program, 268
defined, 731 strength characteristics of, 100, 101 overview, 256-257
drains, 601, 602, 603 textural classification, 101 system layout, 264-268
soil erosion on, 589 types by origin, 717 system materials, 257-264
Slope stability, 731-733 types of, 102-104 Storm drainage, design, 493-532
Coulomb equation, 731-732 undercut, 224, 459-460 components, 493
factor of safety, 731-732 Unified Soil Classification (USC) system, culvert hydraulics, 512-525
Small urban areas, defined, 172 716-717, 721 feasibility study, 133
Snowmelt, soil erosion from, 589 unit volume relationships, 711 flow in pipes and channels, 502-512
Softcopy photogrammetry, 410 volume relationships, 710 overview, 493
"Soft'' structures, coastal erosion control weight relationships, 710 pavement drainage, 494-502
measure, 608 wetlands, 87 plan content, 525-526
Software: (See also Problem soils) procedure for, 493-494
in grading plans, 461 Soils (rocks) fees, schematic design, 374 Route 110 drainage & roadway
vehicle turning movements, 189 Soils report, 112-113 improvements, 531-532
Soil binders, erosion control BMP, 596 Soil stabilization measures, erosion control Springfield Gardens, 527-530
Soil bioengineering techniques, erosion control BMP, 595-599 Storm drain costs, schematic design, 375
BMP, 596, 597-599, 600 binders, 596 Storm model units, 227
Soil-cement, 742 bioengineering, 596, 597-599, 600 Stormwater flow, in pipes and channels,
Soil conservation, jurisdictional review, 390 grass and mulch, 595-596 502-512
Soil erosion, factors influencing, 588-589 nets and mattings, 596 energylosses,502,505-506,507
on slopes, 589 Southern delivery system, finished water HGL, 506, 508-512
soil characteristics, 588-589 pipelines, 584 overview,502,503-504
vegetation, 589 Spacing, intersection, 186-187 Stormwater fundamentals, 225-254
Soil loss, defined, 592 Special districts, feasibility study, 131 BMPs, 248-253
Soil(s), 709-744 Special exception review, Euclidean zoning, design storm, 228-234
ASTM testing methods (selected), 744 50-51 exceedance probability and recurrence
atterberg limits, 711, 713 Special Flood Hazard Area (SFHA), 82, 84 interval, 228
bedrock, 103 Specifications: hydrographs,231-234
characteristics, roads and airfields, 724-726 construction documents, 652 hydrologic analysis, 227-228
classification, 101, 716-717 contract documents, 656 IDF curves, 236-239
coarse-grained, 716,717,718 final site plan, 381 location of SWM facilities, 244, 245, 246
cohesionless, 711 Speed control measures, 431-433 management systems, 242-245
cohesive, 711 horizontal, 431, 432-433 NPS pollutants, 246, 247-248
compaction,733-738 vertical, 431,432 NRCS methodology, 239-242
compressibility, 100, 101, 715-716 Spillways, 472, 473-475, 478, 480 Oakwood beach flood resiliency study with
conditions, 223-224 Splinecurve,defined,429 nature based infrastructure, 254
878
Stormwater fundamentals (Cont.):
overview, 225-227
quality control, 245, 246-253
rainfall and runoff, 228
rational method, 234-236
runoff coefficient, 235-236
volume of storage, 245, 246
Stormwater management facility (SWMF),
485
as-built survey, 657
Stormwater management (SWM) systems,
462-485,686-708
alternative BMPs, 705-708
bioretention system, 690
Brookfield park wet pond reconstruction/
improvement, 483-484
categories, 686
costs, schematic design, 374-375
design of, 469-480
detention pond design example, 475,
478-480
development design guideline, 351
dry wells, 694
dry/wet swales, 691-692
in feasibility study, 133
hydrologic runoff computations, 462-469
infiltration trench and basin, 687-689
integrated management practices, 686-708
low-impact development technology,
686-708
Merrifield Town Center (MTC), case study,
844
overview, 462
pollutant loads, 480, 481-482
porous pavements, 693
principles of hydraulic design, 472, 473-475,
476-477,478
proprietary BMPs, 686
quality calculations, 480, 481-485
rain barrels/ cisterns, 695
schematic design, 365
spillways,472,473-475,478,480
structural BMPs, 696-699
SWMF,485
traditional BMPs, 700-705
weirs, 472, 473-475
Stormwater Pollution Prevention Plan
(SWPPP),81,216,587,642
Stormwater systems, jurisdictional review, 389
Straw bale dikes, 610,612
Stream restoration/rehabilitation, 751-760
bank protection practices, 754-756
construction, 757-759
design approach, 752-757
drawings, 756-757
dynamic stability and, 753
flow rates, 753
maintenance, 760
methods, 752
overview, 751
project goals, 751-752
site assessment, 752
Stream systems, defined, 751
Street acceptance, 658
Street design, Merrifield Town Center (MTC),
case study, 841-844
Streetlights, 134
Street networks, internal, 199
Street parking, 201
Streets:
contour lines, 211,212,213
public and private, 173
Streetscape, defined, 438
Street sweeping, 707
Strength, soil, 100, 101
Strip centers, 330
Structural BMPs, stormwater management: Synthetic alternatives, 595
bioretention system, 690 System analysis, water distribution, 567,
dry wells, 694 568-581
dry/wet swales, 691-692 equivalent pipe lengths, 571, 573, 575, 576
infiltration trench and basin, 687-689 fixture unit method, 576-578, 579
porous pavements, 693 Hardy-Cross method, 578, 579, 580-581, 582
rain barrels/cisterns, 695 minor losses, 571, 574
sand filter, 697-699 overview, 567
water quality inlet with oil/grit separator, 697 pipe flow, 567, 568-571, 572, 573
(See also Alternative BMPs; Traditional BMPs) System head curve, 560, 562
Structural control measures, erosion control
BMP, 599, 600-605 T
channelconveyance,601,602 Tax increment financing (TIF) districts, 95
check dams, 603, 607 Tax maps/records, 132, 135
diversion berms/earth dikes, 600-601 Tax parcel, 23
level spreader, 603, 605, 608 Team coordination, conceptual design, 358-359
outlet protection, 603, 604, 605, 606 Technical procedures, for digital orthophotos,
overview, 599, 600 406-407
slope drains, 601,602, 603 Technical Release 20 (TR-20), 239
Subbase and concrete pads, 459 Technical Release 55 (TR-55), 227, 229, 239, 245
Subbase layer, pavement design, 417 Technical specifications, construction
Subdivider, 23 documents, 652
Subdivision, 23 Temperatures, relationship between, 671
Subdivision ordinance, 67-71 Temporary permits, 639
Development Standards Manual, 68-70 Temporary traffic control (TTC) plans, 397
history, 68 Terminations, environmental permit, 641
related development ordinances, 70 Terrestrial photogrammetry, 403
subdivision plan, 68 Texts, feasibility study, 131
using, 70-71 Theoretical grade line (TGL), 179
vs. zoning ordinances, 67-68 Threaded joint, 287
Subdivision plan, 68 Three-leg intersection, 181-182
Subdivisions: Thrust block(s), 286
alternative, 337,338 design concept of, 566
cluster, 338-339 Thrust restraint, 286, 564, 565-567, 568, 570
conservation, 339 Tides, factor influencing coastal erosion, 591
conventional, 336-337 Time of concentration:
Subgrade layer, pavement design, 417,418 calculation, 463-464
Submerged aquatic vegetation (SAV), wetlands, design storm, 229-231
87 plan content, 464
Submersible pump, 558 "T" intersections, 181-182
Subsurface investigation, 111-112 Title, 23
Subsurface materials, 102-104 Title investigation, feasibility study, 130
(See also Soil(s)) Title report, legal description, 26
Subsurface sand filter, 697 Title search, legal description, 26
Sub-urban areas, 57 Topographic analysis, 133
Suction-lift pumping station, 542 Topographic maps:
Sump areas, 265 contour lines, 148, 207-212
Superelevation, 422 data format, 147-148
Super silt fence, 610 feasibility study, 129, 135
Supplemental plans, 383, 384 grading, 207-214
Supplemental site design, 381 photo scale and flying height for, 406
Surface course, pavement design, 417-418 spot elevations, 212,213,214
Surface parking, 201 using electronic data collection, 402
Surface sand filter, 697 Topographic surveys, 152, 153-154
Surface water, permits, 642 Topography, baseline, 413-416
Surge, hydraulic, 284, 286 Topsoil, 726
Surveyor, 3 in grading operation, 224, 459
Survey plat (plats), 381 Total maximum daily loads (TMDL), 81
Surveys, typical: Townhouse,324-326,327,334
boundary discrepancies, 156 Toxic Substances Control Act (TSCA), 82
boundary survey, 151-152, 153 Traditional BMPs, stormwater management,
boundary survey, research of, 154-155 700-705
coordinating field and office procedures, extended detention (dry) pond with
157,159 micropool, 700
features and improvements, locating, 157, 158 shallow wetland, 704-705
general procedures, 154 wet pond, 701-703
land records, research of, 155-156 (See also Alternative BMPs; Structural BMPs)
process, 154-159 Traditional neighborhood design/development
project control, 156 (TNDs), 321, 341
topographic survey, 152, 153-154 Traffic calming measures:
traverse survey, 156-157 defined,429
Sustainability practices, 95 overview, 429, 430
Swales, 266 speed control, 431-433
Swamps, 86 volume control, 430-431
(See also Wetlands) Traffic circles, 184-185
Symbols, plan sheet, 139-140, 141 Traffic control devices (TCDs), 434

Traffic impact study, 316-319
elements, 316
environmental, 319-320
example, 316,317
types, 316,318
volumes, 316, 318
Traffic signals, costs, schematic design, 374
Traffic studies and plans, 381
Trail(s):
costs, schematic design, 374
feasibility study, 134
slope and grade, 218,219,220
Transect system, 57-58
Transferable development rights (TDR), 130,315
Transit-oriented developments (TODs), 321,
341-342
Transmission lines, 279
Transportation design, 417-436
considerations, 434
horizontal alignment, 419-424
overview, 417
pavement design, 417-419
schematic design, 365, 367
TCDs,434
traffic calming measures, 429, 430-433
typical street plan and profile, 435-436
vertical design, 424-429
Transportation permits, 639
Transportation plan, 34, 36
Transportation systems, 171-206
bicyclists, 197, 198-199
Carlisle road diet, 205-206
design criteria, 194, 196-199
development and, 342
driver characteristics, 197
functional classifications of roadways, 171-173
intersection types, 180, 181-185
overview, 171
pedestrians, 197, 198
roadway components, 174-180
site access and intersection design, 185-194
site design, 199-204
soil erosion and sedimentation, 587
vehicle characteristics, 196-197
Trap efficiency, sediment basins, 616-617
Traps, sediment, 620-622
Trash removal, 134
Travel lanes, 174, 175-176
Traverse survey, 156-157
Treatment facility, to distribution network, 279
Tree preservation and protection, 624
Trends, comprehensive plan, 32, 33
Triangulated irregular network (TIN):
defined,449
surface model, 148
topographic survey map, 159
Trip generation models, 318
Turbine pumps, 558, 559
Turnarounds, transportation systems, 201, 202
Turn lanes, 177, 186, 200
Typical surveys, 151-154
(See also Surveys, typical)
u back flow, 295
Ultrathin bonded hot-mix wearing course
(UTBHMWC), 436
Underconsolidated clays, 107
Undercut, 224, 459-460
Underdrain design, storm system layout, 267
Underground utilities, 726
Unified Development Codes, 71-73
Unified Facilities Guide Specification (UFGS),
656
Unified Soil Classification (USC) system, 101,
716-717, 721
Uniform flow, concept, 505
INDEX 879
Union Mills project, case study, 779-818 U.S. Geological Survey 7.5 Minute Topographic
Bull Run Planning District/Centreville Series Maps, 92-93
community planning sector, 784 USGS TerraServer USA webpage, 93
changing market/reevaluation ofland use, 790 Utilities:
client input, 804 earthwork and, 459
comprehensive plan amendments, 790-795 in feasibility study, 133, 134, 135
comprehensive planning and zoning in jurisdictional review, 389-390
Fairfax County, 780-785 sample base map content, 146
conceptual design and schematic design, 803-812 schematic design, 365
data collection/evolution, 806 site diagram, 169
due diligence, 779-803 Utility design, 486-585
environmental considerations, 808-812 buried conduits, 486-492
final design, 812-815 overview, 486-493
"handoff" meetings, 804-806 sewage, 533-550
infrastructure elements/off-site impacts, storm drainage design, 493-532 (see also
808-810 Storm drainage, design)
negotiations with citizens, 798-799 water, 551-583 (see also Water)
negotiations with staff, 790-795, 798 Utility fundamentals, 255-304
Planning areas and districts, 783 dry utility systems, 297-304 (see also Dry
plan submission and permitting, 816 utility systems)
political retrospect, 802-803 overview, 255
preliminary engineering, 808 sanitary sewer, 269-278 (see also Sewers)
project phasing, 806-807 storm drainage, 256-268 (see also Storm
retail center, 814-815 drainage)
rezoning process, 786-790, 795-802 water distribution, 279-296 (see also Water
Ruddy Duck Road, 807 distribution)
sanitary sewer outfall, 807 Utility installation, construction sequencing,
single-family detached house sitings, 813-814 625
site analysis, 785-803 Utility plan, 34, 37
stormwater management and best Utility reports, 381
management practices (BMPs), 810-812 Utility services:
summary observations, 816-818 grading for nonresidential sites, 449
townhouse sections, 807-808, 813 lot grading, 442, 443, 444
zoning map, 780, 782 Utility strips, roadway, 177-178
United Soil Classification (USC) system, 487
United State Department of Agriculture V
(USDA), 239 Vacuum relief valves, 286
United States Green Building Council Valleys, contour lines, 208
(USGBC)-Leadership in Energy and Value-based award delivery method, 14
Environmental Design (LEED) Rating Value engineering, schematic design, 378
Systems, 95, 96 Values and benefits, open space and vegetation,
Unit hydrographs: 89-90
design storm, 232-234 Valve(s):
NRCS dimensionless, 468, 470 locations, 289-290
Unit volume relationships, soil, 711 placement, 290
Universal soil loss equation (USLE), 592-593 Valves, water supply material, 280-286
Universal Transverse Mercator (UTM) air release, 284, 285
coordinates, 148 altitude, 284
Unmanned aerial vehicles (UAVs), for field ball valve, 280
survey, 399 blow-off, 284
Updates, comprehensive plan, 39 butterfly valve, 281,282
Uplands, 87 characteristics, 281, 283
(See also Wetlands) check valves, 281
Urban center, 57 drain, 284
Urban core, 57 gate valve, 281, 282
Urban sediment yield equation (USLE), 617 globe valve, 281, 283
U.S. Army Corps ofEngineers (USACE), 86, 88 hydraulic surge, 284, 286
utilities maps from, 135 plug valve, 281
U.S. Code (USC), 855 PRV, 281,284
U.S. customary units, properties of water in, 670 Variable frequency drives (VFDs), costs, 560
U.S. Department of Agriculture, 592 Variances and variation, Euclidean zoning,
U.S. Department of Commerce, 29, 68 53-56
U.S. Environmental Protection Agency (EPA), 641 Vector data, base map, 147
Vegetated roofs, 707-708
feasibility study and, 135 Vegetation, 89-90
funding and guidance, 246 feasibility study, 133, 136
material and construction standards from, 279 hydrophytic, 87
NEPA,81 preservation, 89
U.S. Fish and Wildlife Service (USFWS), 86, 93 reducing soil erosion, 589
utilities maps from, 135 site diagram, 161
U.S. Fish and Wildlife Service Wetlands wetlands, 87
Mapper, 86 Vegetative ground covers, 595
U.S. Geological Survey (USGS): Vehicle, characteristics, 196-197
DEM for, 148 Vehicular circulation, retail design, 348
floodplain information from, 133 Velocity head, 568
topographic maps from, 135, 154 Vent stack, 290
880
Vertical control datums, 149-150 Water Erosion Prediction Project (WEPP), 593 Wildlife habitat:
Vertical curves: Water lines: feasibility study, 136-13 7
crest, sight distance on, 425-427 existing, connecting to, 293, 295, 296 review, 94
sag, sight distance on, 427-428 installation, 289 Wingwalls, 263
Vertical design, 424-429 Waterproof frame and covers, 272 WinTR-20, 242
crest vertical curves, sight distance on, Water quality degradation, 593 World Geodetic System 1984 (WGS84), 149
425-427 Water quality inlet with oil/grit separator, 697 WOTUS, 88, 92
curves, 424-425 Water-related permits:
overview, 424 groundwater, 643 y
plan content, 429, 430 surface water, 642
Yard inlets, location of, 265, 266
profiles at intersections, 428-429 wetlands, 643
Yield study(ies)
sag vertical curves, sight distance on, 427-428 Water reuse, 251
conceptual design, 357
Vertical Map Accuracy Standard (VMAS), 151 Waters, natural, 86-88
feasibility study, 129
Vertical traffic calming measures, 431,432 Watershed, 214-215
overview, 310,311,313, 314-316
Vertical turbine pumps, 558 Waters of the United States (WOTUS), 81
Vibro compaction/replacement, 741 Water source, 279
Virginia DOT (VDOT), 186 Water supply costs, schematic design, 375 z
Virginia Erosion and Sediment Control Water supply fixture unit (WSFU), 576 Zero lot line house, 323, 324
Handbook, 623 Water surface elevations (WSE), 472, 473-475 ZIP (zone improvement plan) code, 9
Vision statement, 31-32 Water use and demand: Zoning, 19,31,41-66,310,311
Volume control measures, 430-431 commercial demand, 557 advantages, 42
Volume relationships, soil, 710 consumptive/nonconsumptive use, 554 by-right development, 42
industrial use, 557 defined,358
w other uses, 557 Euclidean, 42-56
Washington, George, 115 overview, 554, 555, 556 Fairfax County Zoning Ordinance (example),
Waste, permits related to, 644 peak demand, 557, 558 43-46
Water, 551-583 residential demand, 555, 557 feasibility study, 128, 129, 131, 135
as-built survey, 657 Waves, factor influencing coastal erosion, form-based code, 42, 57-63
Highline transmission main, phase 1, 585 590-591 land use plan and, 41
main plan content, 581, 582-583 Web Soil Surveys, 93 negotiated, 42, 56-57
overview, 551 Weight relationships, soil, 710 as "nuisance-prohibiting" device, 41
permits-related to, 642-643 Weirs, 472, 473-475, 501-502, 524 objectives, 41-42
procedure for water distribution design, Western Fairfax County Citizens Association open space provisions, 345
551-554 (WFCCA), 785 overview, 41
properties, in SI units, 671 Wetland assessment, 92-93 performance, 42, 57
properties, in U.S. customary units, 670 aerial photographs review, 93 regulations, 29-30
pumping facilities, 558-564 (see also mapping, 93 requirements, for site parking, 204
Pumping facilities) U.S. Geological Survey 7.5 Minute sample base map content, 146
quality, in wetlands, 86-87 Topographic Series Maps, 92-93 site diagram, 164
quantity, in wetlands, 87 Web Soil Surveys, 93 techniques, 63
Southern delivery system, finished water Wetlands, 86-88 types of, 42
pipelines, 584 coastal, 87 Union Mills project, case study, 780-785
system analysis, 567, 568-581 defined, 86 (See also Rezoning)
thrust restraint, 564, 565-567, 568, 570 delineation criteria and methodology, 87-88 Zoning districts, Euclidean zoning, 43-48
use and demand, 554, 555-558 in feasibility study, 133, 136 Zoning Enabling Act, 1924, 29, 30, 41
Water distribution, 279-296 field delineation, 88 Zoning map(s):
connecting to existing water line, 293, 295, 296 fish and wildlife habitat, 87 creation, 49
cross connections, 295 functions, 86-87 Euclidean zoning, 48-49
in feasibility study, 134 hydrology, 87-88 feasibility study, 131
layout, 288-293 permits, 643 overlay districts, 49
overview, 279-280 preliminary investigation, accuracy of, 88 using, 65-66
pipe materials, 286-288 site diagram, 160-161 Zoning ordinance(s), 19, 31, 313, 322, 323, 343,
supply materials, 280-286 soils, 87 344,345
thrust restraint, 286 swamps, 86 and comprehensive plan, link between,
Water distribution design, procedure for, vegetation, 87 37-39,41
551-554 water quality, 86-87 defined,41
distribution storage, 553, 554 water quantity, 87 development program, 65-66
estimating fire flow, 552-553 Wetpond,701-703 Fairfax County Zoning Ordinance, 43-46
fire duration requirements, 553, 554 Wet-tap method, 293,295 form-based code, 57-63
fire flow requirements, 552 Wet well: jurisdictional challenges, 66
fire flow tests, 553 pumping station, 543 vs. subdivision ordinance, 67-68
overview, 551 sizing of, 544, 546 using, 65-66
pressure requirements, 551-552 Wick/band drains, 741-742 (See also specific entries)
storage tank example, 554, 555 Widths, ROW, 178, 179 Zoning overlay, feasibility study, 131
CASE STUDIES

WALTER REED NATIONAL MILITARY MEDICAL CENTER

Location: Bethesda, MD
Client: HKS Architects Inc.
Completion Date: 2012

Overview: Dewberry supported the new campus with an active military hospital two buildings, the America and Arrow-
facilities at the Walter Reed National serving emergency, critical, long term head Buildings, a 560,000-sf outpatient
Military Center (WRNMMC) in and oncology patients and their families. building and a 165,000-sf addition to
Bethesda, Maryland, as part of the Base Building 9. In addition, Dewberry pro-
Realignment and Closure (BRAC) pro- The Project: Dewberry was responsible vided site civil and landscape design
gram on the Clark/Balfour Beatty Team. for site civil and landscape design for for a 939-car patient parking structure,
Dewberry provided survey services;
site/construction plan preparation;
landscape design; utility plans; storm-
water and sediment control plans; and
construction administration. Dewberry
also coordinated with State Highway
Administration and Department of the
Environment. HKS Architects, Inc. pro-
vided architectural design.
tfi client expected to have the projects
completed within the specified time
frame-t e new buildings and patient
parking garage to be substantially com-
plete by September 2011 as specified
by BRAC Legislation. All construction
needed to be within udget and with
as little disruption to ongoing health-
care functions as possible. The team
was operating on a sprawling, liistoric

a 1100-car multiuse parking structure,
and new north and south entry gates
along with a visitor/ID center. There
was also 450,000 sf of renovation to a
number of different buildings. Both
new parking garages (patient parking
garage and multiuse parking garage)
were required to address both the exist-
ing parking issues and the increase
of staff and patients due to the new
buildings. The new security gates and
visitor/ID building were required to
accommodate the increased staff and
patient access and increasing security
requirements.
Sustainability Efforts: The first phase
of the project, involving construction
of the America and Arrowhead Build-
ings, achieved LEED Gold above the
government mandated LEED Silver. All
phases included providing stormwater
control based on the current standards.
Landscaping was chosen to meet the
base requirements but to also provide
a sustaining easy to manage program of
maintenance.
The achievement of LEED Gold for the
project included the design of heating,
ventilation, and cooling systems incor-
porate cutting edge technology such as
efficient lighting systems, an enthalpy
heat recovery wheel that transfers
energy between exhaust and incoming
outside air, and high-efficiency water-
cooled centrifugal chillers, saving 21 %
on energy needs to heat and cool the
building.
The Dewberry stormwater design inte-
grated the newest requirements provid-
ing reduced runoff and improvement of
water quality. The site stormwater sys-
tem performs 25% better in preventing
flooding downstream than code due to
local water pollution issues. Enclosing
the parking garages and providing sig-
nificant landscaping developed by Dew-
berry help camouflage cars and reduce
the amount of hot pavement reducing
the affects the natural habitat and sys-
tems. The majority of the site was con-
sidered redevelopment with existing
surface parking areas transformed to
buildings and structured parking there
by increasing the usage of the site while
not significantly increasing the amount
of impervious area.
Challenges: The biggest challenge of
this project was meeting the BRAC
CASE STUDIES
mandated September 2011 deadline for
substantial completion. This challenge
was addressed with numerous methods.
In order to meet the deadline, the proj-
ect was broken up into a series of pack-
ages that allowed different parts of the
work to have plans being prepared and
reviewed simultaneously. Documents
were issued for construction often before
design was completed and/or approved
by the owner. This allowed critical path
tasks such as obtaining National Capital
Planning Commission approval and civil
permits from the Maryland Department
of the Environment (MDE) and Mary-
land State Highway Administration to be
obtained with the early packages while
final design was still being done.
From a civil point of view this was a
challenge because the site work often
overlapped the packages. Dewberry
was able to ensure the site work
was designed and constructed
correctly by utilizing a single
project manager to provide over-
sight and quality control. Upon
receiving the notice to proceed
(NTP), a meeting was held with all
the design and construction team
members to facilitate decision
making and the flow of communi-
cation. Biweekly telernnferences
were also he d. Discussion dur-
ing these oalls included upcoming
deadlines, consultant discussion
and package responses. A "hot"
list was kept to track issues to be
aadressed quickly or that would
cause impact across different dis-
ciplines. This insured the project
CASE STUDIES
would move along while ensuring
these items would be addressed.
Package 1 was the America Building
Foundation plan, site rough grading
plan, and laydown/staging areas. Dew-
berry was able to prepare and get Pack-
age 1 approved by MDE 12 weeks after
NTP, rather than the typical 6 to 12
months. This allowed construction to
start sooner than expected.
Subsequent packages included the
America Building and Patient Parking
Garage with the site civil infrastruc-
ture plans and the Arrowhead Building
and site infrastructure. Later packages
included the Multiuse Parking Garage,
the new entry gates and visitor/ID cen-
ter and numerous renovation pack-
ages. Each package pertaining to site
work also had a stormwater manage-
ment and sediment control package
prepared. Each package consisted of
two to three submittal packages (SS,
S6, and S7).
Dewberry also aided in gaining National
Capital Planning Commission approv-
als for the WRNMMC projects which
are located in a historic viewshed.
As required by the client, the Dr.
Checks system of addressing com-
ents was utilized providing a perma-
nent record of questions and responses
while at the same time setting dead-
lines for su mitting comments and
responses to li lR move the project
along. Plan changes, change orders,
and many RFI responses were tracked
utilizing a bulletin system to track
and publish changes to the plan. This
helped the construction team to always
know they had the most up-to-date
plans. Dewberry produced 33 of the
192 bulletins to cover change orders
and additions to the plans. All changes
were included in the final S7 packages.
One innovative design solution was
the design Dewberry proposed for the
lightwell. The lightwell is visible on all
floors of the America Building. The
original bridging documents proposed
a plant garden. However this area also
contained an air intake duct. There were
concerns about the possibility of mold
within the garden area. Dewberry pro-
posed and implemented a Zen garden-
inspired design using hand-selected
large stones, and colored rocks to imi-
tate pathways and created a tree mosaic
for a visual focal point from inside the
facility. The lightwell functions as an
aesthetic focus, offering positive well-
ness support, while meeting the original
purpose of providing interior light and
fresh air intake.
Conclusion: WRNMMC's primary
mission is to ensure the readiness of
and provide care for the uniformed
services and their families. The bring-
ing together of the Walter Reed Army
Medical Center and the National
Naval Medical Center on the Bethesda
campus, officially launched a huge
and vital change in the nation's mili-
tary medical history. As the construc-
tion and renovation was completed all
quality of care, patient and staff sat-
isfaction, and patient safety metrics
were maintained at or above national
bench marks.
Dewberry was able to meet the client's
budget. Due to the fact that this was a
BRAC project meeting the schedule was
imperative. The team was able to meet
the client's schedule for both the start of
construction and the numerous interim
packages required. The new construc-
tion of the America and Arrowhead
Buildings and patient parking garage
and related infrastructure was sub-
stantially completed to meet the BRAC
required September 2011 deadline. The
work continued with the renovations,
an additional parking garage and the
new security gates and visitor/ID center.
This project was part of the overall effort
to bring together the existing Walter Reed
Army Medical Center and the Naval
Medical Center. Combined they are now
a single entity committed to a mission of
providing world class healthcare to our
nation's fighting forces, retirees, and their
family members. The Clark/Balfour
Beatty Team met the deadline challenge
while providing award winning, sustain-
able projects. In addition, the additional
work on the renovations, gates, and sec-
ond parking garage were accomplished
with minimal disruption to the campus.
Dewberry was able to provide the design
support outlined in the original contract
but in addition was able to step up to the
plate with additional services and unique
design solutions such as the lightwell
while maintaining our commitment to
quality, budget, and deadlines.
The project was named 2011 Project of
the Year for New Construction by the
U.S. Green Building Council National
Capital Region Chapter.
 CASE STUDIES

GREENBELT STATION
Location: City of Greenbelt, Prince Georges County, Maryland
Client: Multiple
Completion Date: Anticipated 2020

Client #1: Greenbelt Station is located the site, which can be described as hav- State Highway standards. The roadway
in the City of Greenbelt, Maryland, just ing the consistency of peanut butter. In included 2400 LF of roadway widen-
south of the Greenbelt transit station ser- order to consolidate this soil so that the ing and associated improvements, two
vicing the Washington Metro and MARC site can accommodate townhomes and major intersections, traffic control sys-
trains. The site was previously used for a condominiums, wick drains were placed tems, retaining walls, landscaping, and
mining operation, a concrete plant, and throughout the areas of wash pond sedi- utility relocations.
an asphalt plant. Indian Creek feathered ment and a soil surcharge layer was placed
The main entrance to the development
across the site through these operations. on top. Dewberry monitored the ground
from Greenbelt Road contains an overpass
In 2006, Dewberry prepared the site settlement as the soils were stabilized.
that bridges over a local street, Branchville
plans to redevelop the site into a mixed-
As Indian Creek runs through the site, Road; Dewberry prepared all architectural
use transit oriented development. Initial
much of the site was in the regulated and structural plans for the Branchville
effort was required to remediate the site,
floodplain thus limiting the buildable Bridge, and worked closely with the client
perform necessary floodplain analysis
area. As part of the redevelopment and and other consultants to create the right
work, and other preliminary engineering.
the cleanup of the industrial operation, visual impact for the project.
As a result of the old mining operation the floodplain was reconfigured to align
Client #2: A new developer client with
and the existing creek, much of the site more closely with the main channel and
plans to clean up and sell the property
served as a gravel washpond at one point historic stream valley of Indian Creek
acquired the Greenbelt Station site in
or another. Wash pond sediment in areas which opened up land available for
2010 after work had stalled. The bridge
as thick as forty feet existed over much of development. This included removal
at the entrance and some of the streets
of a 5-acre area of
and other associated infrastructure
concrete spoils adja-
had been constructed, but access to the

"t
(jreen6e{t Station
r- Ti cent to Indian Creek
to use the area for
floodplain compen-
sation and wetland
creation.
property was blocked off by barriers
and was quickly beco mg overgrown.
Instead of trying to unload e partially
constructed property immediately, this
new client gav:e Dewberry an oppmtu-
Dewberry prepared nity to keep he project alive by asking
plans for the wid- us to enh'.ance the marketability and
ening of Greenbelt resultant sale price, within a reasonable
Road (MD 193) timeframe. Dewberry created a port-
based on Maryland folio with all project documentation,
CASE STUDIES

remaining tasks and approximate costs,

etc., to elicit a positive initial reaction
from potential buyers.
Building on the initial project status
assessment, Dewberry could confi-
dently recommend cost effective steps
that would enhance site value prior
to sale. Permits and approvals were
tracked and kept active so that the new
buyer could get from purchase to sale
of the first house as quickly as possible.
The environmental issues that arose
out of a dormant construction site
were quickly addressed to keep this cli-
ent in good standing with the city and
the state.
The property was sold to a new devel-
oper in 2013.
Client #3: The project was purchased
by a third developer in 2013 and devel- Dewberrry continued working for the Greenbelt Station features three City
opment is currently being completed new developer as well as new home build- of Greenbelt public parks, a trail sys-
by this client. Because of Dewberry's ers they brought on board. New town- tem connecting Branchville Road to
proven history and success with the site, homes and two-over-two condominiums Cherrywood Lane via a boardwalk
are being built by two and bridge system over Indian Creek
homebuilders, totaling and associated wetlands, HOA pocket
375 townhomes and parks, and roadway improvements
130 condominiums. A both off-site and adjacent to Greenbelt
parcel on the site was Station.
sold to an apartment
complex developer Over 12 years later and after many dif-
who in conjunction ferent clients including developers and
with an apartment homebuilders, Dewberry has maintained
builder developed and dedication to the project. With this per-
constructed three new severance and passion, and by consis-
buildings and an asso- tently performing the best work possible,
ciated parking garage the project has seen success. Initial efforts
for a total of 302 rental have come to fruition and the project will
apartments. be completed in the coming years.

UNIVERSITY OF VIRGINIA-MULTIPLE PROJECTS
Location: Charlottesville, VA
Client: University of Virginia
Rotunda Renovation: Dewberry has
completed many projects over the
years at the University of Virginia
(UVA) in Charlotesville, Virignia.
Dewberry provided complete site/
civil design services for their Rotunda
Renovation Services included new
storm drainage, water service, sanitary
sewer services and stormwater design
to decrease/slow the runoff originat-
ing from the site.
Stormwater runoff for the Rotunda
Renovation project was fully managed
on-site through an innovative and his-
torically sensitive use of permeable pav-
ers. Previously, the university did not
allow permeable pavers in the historic
Academical Village due to their modern
appearance and the nubs on the side of
the brick that create the infiltration gap
between adjacent bricks. However, the
team was able to utilize the University's
CASE STUDIES
preferred brick for historic areas and
add subsurface plastic spacers to create
the infiltration gap without losing the
historic look of the area. The gaps were
filled with a washed gravel that matched
the gravel paths of the historic gardens
throughout the Academical Village.
Below the brick was a sizable reservoir
made from a clean stone that utilizes the
gaps between stones for water storage
needed for stormwater events. The use
CASE STUDIES
of this approach allowed for the north
plaza to be tripled in size and create a
large gather space for receptions, stu-
dent activities, and commencement.
The Lawn Renovation: Dewberry was
contracted by the University of Virginia
to provide site/civil design services for
the renovation of The Lawn in the heart
of the University's historic Academical
Village, which also serves as the front
yard to the Rotunda. Over time, the
grass on The Lawn had become worn
and had the potential to become muddy
during commencement and other high-
visibility events that are held on The
Lawn annually.
Project area measured approximately
4.5 acres and was completed in two
phases. The design called for a complete
renovation of all turf within The Lawn.
Subsurface drainage was installed every
10 feet across the center segment of The
Lawn, draining to a header pipe travel-
ing the length of The Lawn which was
connected to the storm sewer. The out -
let of the header pipe was required to be
directionally drilled under an existing
steam tunnel, reaching a depth of 13
feet, in order to connect to the nearest
storm structure. The presence of the
un erdrains allow for The Lawn to be
utilized for commencement and other
high-visibility events shortly after a rain
event. Additional surface drainage was
required at the south end of the project
to improve drain ge on/near existing
building entrance plazas.
The existing soil was amenaed to better
support healthy turf growth. The proj-
ect also included erosion and se iment
required between different design disci-
plines, the University of Virginia, CSX
and Buckingham Branch Railroad, and
local and state review authorities.
Mccormick Tunnel: The University of
Virginia was planning for three separate
multiyear building renovations-McCor-
mick Road Dorms (a group of 10 differ-
ent buildings), the Chemistry Building
(208,000 GSF), and Gilmer Hall (220,000
GSF). All three of these facilities are in
close proximity to each other and were
scheduled to convert from the cam-
pus steam system to the medium tem-
perature hot water (MTHW) system.
control design, and stormwater quan- A new 1300-foot walk-through utility
tity and quality calculations. Dewberry tunnel (8 x 8 inches) with MTHW sup-
worked with the Virginia Department of ply and return piping would need to be
Conservation and Recreation (DCR) to
understand how the proposed improve-
ments changed the flow of stormwater
runoff from the site. Since the existing
soil was amended in place, there was no
increase in the percolation rate, which
triggered the need for both water quan-
tity and quality controls. Dewberry was
also required to complete an extensive
downstream analysis of stormwater
conveyances to confirm there would be
no flooding impact.
Emily Courie Clinical Cancer Center:
Dewberry completed design and con-
struction administration services as
a subconsultant for site/civil and site
mechanical/central plant utility engi-
neering for the Emily Courie Clinical
Cancer Center project on the grounds of
the University of Virginia in Charlottes-
ville, Virginia. The new facility, approx-
imately 100,000 GSF, was constructed
in the location of the existing West
Parking Garage and Dominion Virginia
Power substation, on the opposite side
of Lee Street from the University Hos-
pital. The project included demolition
of the garage and substation, relocation
of multiple existing utilities including
central plant chilled water service and
return lines feeding the University Hos-
pital, and extensions of services to the
new building which include water, sani-
tary sewer, chilled water, and steam and
pumped condensate. The project also
included improvements to Lee Street
and a new drop-off area for the pro-
posed facility. Close coordination was

constructed to provide service to these
12 buildings. As the three distinct reno-
vation schedules came into focus, the
university realized the new tunnel con-
struction would have to occur during the
summer of 2015 to facilitate the sched-
ules of the building renovation proj-
ects. As a result, Dewberry was tasked
with completing full design documents
within 60 days to support the contractor
procurement and bidding schedule. The
majority of the construction was com-
pleted successfully in 82 days between
graduation and student move in.
Alderman Road Student Housing
Replacement Projects: Dewberry has
completed seven different projects for
the University of Virginia to support the
Alderman Road Housing Replacement.
These projects have included a utility
master plan, two utility improvement/
extensions projects, and five new resi-
dence hall buildings and a multi-pur-
pose Commons building. Three of the
completed buildings have been awarded
LEED Certified status by the US Green
Building Council.
O'Hill Lawn Improvements: The Uni-
versity of Virginia wanted to create
an active recreation space for the new
residence halls in the Alderman Hous-
ing Precinct. The project site was adja-
cent to the Observatory Dining Facility
and six (6) newly constructed residence
halls. The University's goal was to pro-
vide a relatively flat area in excess of
1 acre equipped with irrigation, under-
drains, and a new soil media to support
a Bermuda type turf which would stand
up well to heavy foot traffic, occasional
vehicular traffic (move in/out), and the
hot summer weather.
The university desired that the irriga-
tion system be fed from both stormwa-
ter and potable water. Dewberry was
retained to provide engineering and
construction phase services for the proj-
ect. Dewberry, under a previous con-
tract, had designed the underground
CASE STUDIES
stormwater management facility
(SWMF) which had a permanent pool
of water to be used for irrigation pur-
poses. This underground SWMF cou-
pled with a new underground cistern
provided a storage capacity of 25,000
gallons of water. In addition, Dewberry
designed an underground pump sta-
tion and underground meter vault to
minimize the visual impact to the oth-
erwise open site. The meter vault also
houses control valves and level sensors
to determine if the irrigation system
should be supplied via stormwater or
potable water.
The underdrains installed drain back to
the cisterns so that if any section oflawn
is overwatered, the water is returned
back to the cistern for future use. In
addition, the adjacent residence hall
buildings were constructed such that
any condensate from the air condition
system is captured by the storm sewer
and thus directed to the cistern. Under
this setup, the cistern is replenished
CASE STUDIES
during the peak of the summer when
water and air conditioning are needed
the most.
UVA Alderman Path and Bridge: Dew-
berry partnered with Nelson Byrd
Woltz Landscape Architects to complete
the site/civil, structural, and electri-
cal design of a pedestrian bridge. The
bridge is approximately 200 feet long
and spans a wooded ravine to con-
nects the Gooch-Dillard Residences
with the Alderman Housing Precinct.
The project also included the design of
a bioretention basin to meet the
new, more stringent, state storm-
water regulations.
O'Neil Hall Building Renovation:
The project included the histori-
cal renovation and conversion
of an existing 25,000-square feet
Faculty Apartment Building into
office space for seven university
vice presidents. Dewberry pro-
vide site/civil engineering ser-
vices for design of storm sewer,
sanitary sewer, domestic and fire
protection waterlines, chilled
waterlines, grading, and park-
ing lot design. On-site storm-
water management consisted of
two parts-an underground pipe
with control weir for quantity
control and a cascading rain gar-
den for water quality. Due to the
topography, water quality was
achieved with four rain gardens that
"stepped" down the hillside. Between
each rain garden was a small retain -
ing wall with a bluestone weir that
allowed water to cascade from one
level to the next.

ROMEOVILLE ATHLETIC & EVENT CENTER
Location: Romeoville, Illinois
Client: Village of Romeoville, Illinois
Completion Date: 2014
Case Study: This project is the first
phase of the redevelopment of a 4-acre
former commercial strip center. The Vil-
lage of Romeoville, in Illinois, sought an
athletic and event center to serve as an
anchor for its downtown redevelopment
plan for Uptown Square. The former
buildings were demolished and replaced
with the Village's second recreation cen-
ter and future retail. Space components
include an indoor soccer field, multipur-
pose rooms, two gyms, office, conces-
sions and mezzanine viewing area.
The project transformed a formerly
blighted retail center with contami-
nated soil and flooding issues into a
community-wide asset through careful
and sensitive planning and execution.
The new development protected lim-
ited surrounding greenfields by using a
grayfield with existing infrastructure as
its site. This approach is in line with the
USGBC's goal of protecting open space.
Dewberry's careful selection of build-
ing products and systems reduced the
negative effects associated with con-
struction. Our green design approach:
(1) maximized the building's water
efficiency; (2) optimized the building's
energy efficiency; (3) minimized the
environmental impacts of material use;
and (4) strove to achieve high indoor
air quality for the comfort and well-
being of the occupants.
The surrounding streets, sidewalks,
curbs, lighting, signage, and landscaping
have contributed to making this area a
community asset. The area was prone to
flooding during heavy rains which has
been corrected with the installation of
a properly sized stormwater detention
area. The surrounding area adjacent to a
former dry-cleaners was remediated.
The Uptown Square improvements
have improved the retail retention and
recruitment. The facility has spurred
new commercial development planned
on the site and on adjacent properties.
Sales tax revenues have increased dur-
ing the months of tournaments held
at the facility resulting from increased
spending at hotels, food and beverage,
gasoline, and retail.
The new facility has improved the
property value for both the Village and
surrounding area along with the com-
munity's quality oflife. This new anchor
CASE STUDIES
is contributing to making Romeoville
a better place to live. It provides more
than a community gathering place for
recreation, athletics, and events. The
architecture reinforces a sense of pride
and place that is unique to the com-
munities along the Illinois Canal. It
encourages and supports healthy living
while working to strengthen the local
economy.
This project serves as a model of what
communities across America can do
to redevelop aging retail centers and
abandoned big box stores, also known
as grayfields. It's estimated that by 2022,
2. 9 million acres of grayfields will be open
for redevelopment. Simultaneously, there
is an ever increasing need to improve our
community's health and wellness and
strengthen the local economy. Dewberry
successfully adhered to the Village's bud-
get and schedule along with not incur-
ring any additional nonowner directed
construction change orders.
CASE STUDIES
RIVER DISTRICT TOWER
Location: 109 Bridge Street Danville, VA
Client: River District Development, LLC. Dr. Mark Hermann, Executive Director
Completion Date: 2017
Case Study: The River District Tower
project renovated an existing his-
toric building for a medical facility
encompassing seven different practice
areas. River District Tower, formerly
Mill No 1 of Dan River Mills, was the
foundation of textile development in
Danville, Virginia, and furthermore
the textile industry. Nestled on the
Dan River, the once iconic building
housing the pinnacle of new research
for the textile industry, slowly dimin -
ished as the industry moved overseas.
The hustle and bustle of downtown
0anville slowly lost its luster as these
industries shut down. For several
generatio s the 10O,OOO-square foot
building, along with many others, sat
dormant. River District Tower, LLC,
saw the potential in this monumen-
tal building. They strived to bring the
healthcare market back to act as a cat-
alyst for downtown redevelopment.
Dewberry provided architectural and
engineering services for the renovation
of the Dan River Research Building into
medical offices, restaurants, and leas-
able space. The existing Spectrum Med-
ical Clinic occupies the top two floors
of the four-story renovated space, and
was designed to create efficiencies in
services for the seven practice areas that
the clinic will serve. Danville Regional
Medical Center will occupy the second
floor offers space for three residencies.
A multitiered restaurant facing the river
will occupy the 1828 picker house por-
tion of the complex offering casual and
fine dining atmospheres.
Because the project sought state and
federal historic tax credits, and involved
coordination with the Virginia Depart-
ment of Historic Resources, careful
attention was paid to the existing ele-
ments of the facility. Main components
of the building remained intact, and
the historic fabric of the building was
maintained. Additions were added in
strategic locations to minimize the
renovation's visual impact on the City
of Danville's historic district. The tall
glass towers were designed to identify
strategic entry points into the facility.
The interior of the space highlights the
existing factory setting, while providing
contemporary state-of-the-art health-
care space for the multitude of clinics.
A museum reflecting the history of Dan
River Mills and other tenant spaces will
be at the entry.
The historic nature of the project posed
many challenges for the site work as
well. A historic canal wall that was built
in the 18OOs had to be maintained to
help protect the building from the rising
river. Careful site planning was required
to get access to the rear of the building,
for deliveries and trash pickup by large
trucks. A narrow drive aisle successfully

--
'-
\
-----.---1,-------..
....
maneuvers around the wall, outside of
a floodplain, and within the property
line. In addition to historic structures,
the site was also traversed by an under-
ground canal and a major power trans-
mission line. Neither of these structures
could be moved which required the
site to be constructed around them. To
meet water quality requirements on the
highly developed site, stormwater man-
agement was handled with compact
Filterra® Bioretention units.
In addition, the majority of the site is
below the 100-year floodplain, so fill
was not allowed for site improvements.
CASE STUDIES
With the proximity to the Dan River,
extra erosion and sediment control
measure were required to protect the
river from silt. Careful coordination
was necessary due to all of the existing
site constraints. Dewberry overcame
each challenge to produced plans for
the River District Tower.
CASE STUDIES
STEELHOUSE APARTMENTS
Location: Orlando, Florida
Client: PP Uptown, LLC
Completion Date: 2012
Case Study: With a resilient economy
based on much more than tourism,
the SteelHouse Apartment project has
responded to the rapid development in
Florida and focuses on revitalizing the
City of Orlandds "Uptown" community.
The 327 unit, 4-story SteelHouse Apart-
ment project is located in the heart of
Orlando's downtown workplace. Stra-
tegically located at Orange Avenue and
Colonial Drive (SR 50), this urban mul-
tifamily in-fill project is located ¼ mile
from the new SunRail commuter trains
Ce tral Station and within a ½ mile walk
to over 3 million square feet of office and
retail in owntown Orlando. This initia-
tive includes the expansion of the Lynx
"LYNMO" bus ser, ·ce and the extension
of City's Urban Trai , through downtown
and north to Winter Pa k. The site pro-
vides easy pedestrian and ic:ycle access
to work, shopping, and civic functions.
The project consists of 235 one-bed-
room and 92 two-bedroom units, built
around central courtyards and a five-
story parking structure. Dewberry I
Bowyer-Singleton provided the Mas-
ter Plan Preparation and Processing as
well as the Site/Civil design including
Final Engineering Plans, Site Permit-
ting, Florida Department of Transpor-
tation (FDOT) Permitting, Survey and
Construction Survey, and Construc-
tion Administration Services for the
project.
In correlation with the revitaliza-
tion of the Uptown area, the client
wanted to redefine the existing space
and transform it into a functional,
purposeful and desired place to live.
Specific project goals and objectives
for the client were to provide two
access points off of State Road 50 and
Orange Avenue-both high traf-
fic roadways that lead to the inter-
state and into downtown Orlando. In
addition, the building was carefully
designed for the urban site. The build-
ing surrounds two courtyards for ele-
vated aesthetics, as well as allowing
for stormwater management.
Dewberry provided engineering design
services and solved many complex
problems including utility relocations
and extensions, subsurface stormwater
treatment, environmental monitoring
well relocations, and the coordination
with multiple agencies.
• Utility relocations and extensions:
Being an in-fill project, existing
utilities had to be considered within
the project site. Utilities had to be
removed, relocated, and extended to
provide service to the project.
 CASE STUDIES

• Subsurface stormwater treatment: The SteelHouse Apartments

structure is surrounding two courtyards. A subsurface storm-
water treatment system was designed to provide water quality
and attenuation for the site underneath these open areas.
• Environmental monitoring well relocations: Working with the
environmental team, coordination was required to relocate
environmental monitoring wells during the design to allow
for continued monitoring of the mediated Orlando Sentinel
contamination plume.
• Coordination with multiple agencies: As part of the Uptown
area, coordination was required with the Downtown Devel-
opment Board's Standards and follow specific guidelines
regarding our design. In addition, Dewberry had to work
closely with the FDOT to accommodate the future widen-
ing of SR 50 and our access points and sidewalks along SR
50 and Orange Avenue. Separate FDOT permits for utilities
and drainage were also required. Coordination for permit-
ting was also required through the St. Johns River Water
Management District and the City of Orlando's permitting
department.
Dewberry maintained constant contact with the client con-
cerning these work efforts and adhered to the budget and
schedule elements that were within our control. The project
successfully took an ineffective piece of land and transformed
it into a purposeful and valuable development which created a
superior quality of life for the surrounding community-ulti-
mately contributing to the revitalization of Uptown Orlando.
Dewberry Services:
• Alternative Delivery
• Architecture
• Asset Management
• Building Structures
• Climate Change
• Construction
• Emergency Management
• Environmental
• Geospatial
• Interior Design
• Land Planning & Development
• Mechanical, Electrical, & Plumbing
• Planning/Programming
• Resilience
• Risk Management & Vulnerability
• Site/Civil Engineering
• Surveying
• Sustainability
• Telecommunications
• Transportation
• Water

I Dewberry·
Contact Information: About Dewberry: Dewberry, headquartered in Fairfax, Virginia, is a fully integrated engineering and architecture
8401 Arlington Boulevard firm operating in more than 50 locations throughout the United States. It consistently ranks among the top 45
Fairfax, Virginia 22031 design firms by Engineering News-Record, top 20 engineering/architecture firms by Building Design + Construc-
703.849.0100 tion, and the top 5 engineering firms by the Washington Business Journal. Working in multiple federal, state and
www.dewberry.com local, and commercial markets, Dewberry's services include site/civil engineering and surveying; transportation,
transit, and ports and intermodal design; water, wastewater, and water resources engineering; architectural and
interior design; environmental, coastal engineering and resilience services; emergency management and miti-
gation; full-service geospatial mapping and analysis; and alternative project delivery inclusive of design-build,
public-private partnerships, and turnkey construction. The firm enjoys a reputation for quality, deep subject-
matter expertise, community engagement, and putting the client first.