Review of the Roads Appraisal Process in Russia By Prof. Valentin V.Silyanov, State Technical University-MADI, Moscow, Russia, 125319, Leningradskyi prospect 64, Ph.+7-095/151-52-41, Fax +7-095/151-0331, e-mail: firstname.lastname@example.org ; http://www.madi.ru Introduction Major stages of planning and designing of highways is the substantiation of the necessary investments, and also substantiation of a choice of alternatives of alignment and other elements of a road as transport structure. Now Russia has joined the majority of the international documents, which regulate these works. In October, 2004, the document allowing completely to adapt HDM-4 to the Russian conditions was issued. Thus, in Russia the project analysis and HDM-4, which are used by the World Bank, is completely accepted at a substantiation of the investments in road construction and receiving credits of this bank. The normative base is completely advanced, however process of its confirmation for practical application is not completed yet (except for HDM-4) and the transitive period takes place. The information on planning and designing of highways is resulted below which is now practically used in Russia. The described below design stages and the estimations of the investment projects apply to all kinds of roads (urban, inter-urban and rural), difference to each type of roads is in terms of performance of works, their cost and sources of financing. 1. Road planning process Stages of designing new roads, designing the road reconstruction and road rehabilitations. I. Pre-feasibility study: This stage includes mainly: Working out the general scheme of road network development. Working out of road network is a pre-planning document and is being developed for federal, state and local roads. Financial support for working out the schemes is given from the state budget. The scheme of road network development solves a problem of complete and duly satisfaction of needs in cargo and passenger transportations by road transport. In the scheme the prospects of development of a road network of region is being planned and proved for planning design and survey works and capital construction, define a configuration, extent and technological level of a road network on the basis of development of productive forces, expect requirement of material resources and efficiency of planned measures. The scheme of road network development is developed on prospect 20-25 years and is a basis for the subsequent development 10- and 5- years plans of construction and reconstruction of highways. The scheme of development of a network of roads of nation-wide importance affirm by government. Term of development of the scheme of development of a network of roads of nation- wide importance - 1-1.5 years, local importance - till 1 year. The development of the scheme of development of a network of roads is carried out in two stages. At the first stage define tasks and basic parameters of development of a network, and also provide measures on complex use of industrial base in view of a rational combination of roads of the various administrative importance. At the second stage in structure of the scheme is being developed the technical and economic characteristics with necessary accounts proving expediency and a sequence of construction, reconstruction and expansion of separate objects on five years period with definition of settlement cost of objects and economic efficiency. The scheme consists of the following sections: 1.Introduction (The basis for development of the scheme. The used materials of the schemes on development and accommodation of branches of economy of region and other materials. The normative and methodical instructions) 2. Transport and economic characteristic of the region. 3. Analysis of a modern condition of a network of highways. 4. Volumes of road transportation and traffic volumes. 5. Principles of development of a network of roads 6. Offers on development of a network of roads 7. Nature conditions of road construction 8. Efficiency of a capital investment. 9. Technical and economic characteristics. 10.Conclusions and Recommendations II. Feasibility study This stage include mainly: Substantiation of the investments (assessment of investments efficiency). Efficiency of the investment project is understood as a degree of conformity of its results to the purposes and interests of its participants, as which can act both society as a whole, and separate subjects of investment activity under the given project (investors, shareholders, creditors). At an estimation of efficiency of the investments in the road projects distinguish its following kinds: · public; · commercial; · budget. The public efficiency characterizes socio-economic consequences of realization for a society as a whole; commercial - its financial consequences for the concrete investors and budget - financial consequences of the project for the federal, regional or local budget. The public efficiency pays off for the economic and large-scale investment projects, which realization essentially influences on an economic, social and ecological situation in the country or in separate regions and sectors. The construction and reconstruction all highways of general usage concern to such projects. The account of a commercial effectiveness of construction and reconstruction of roads is carried out in the event that for its reproduction off-budget sources of financing are used or the creation of toll roads is provided. The budget efficiency of construction and reconstruction of roads is determined if necessary estimations of expediency of participation in them of the state from the point of view of the charges and incomes of the budget of the appropriate level. For an estimation of efficiency of the projects the following basic parameters basing on commensurability of expenses for their realization and results from realization are used: · net discount income; · an profitability index of the investments; · internal norm of profitability · payback period. The basic criterion is not payback period but net discount income. The next feature which is the obligatory account at an estimation of efficiency of the road projects of risk factors and uncertainty, which should be carried out on the basis of use of one of the following methods: updating of discount norm, analysis of sensitivity of results of the project to change of its parameters or imitating simulation. The important feature is that the significant attention is given to necessity of the authentic account of connections between road conditions and operational parameters of road transport. III. Engineering project. IV. Working draft. The basic transport-operational parameters of the projects and methods of their account Methods of forecasting of volume and composition of traffic flows The parameters of general traffic volume and average speed of traffic flows are established for each temporary step of the accepted limit of comparison of variants by special account, which depending on the available information and conditions of realization of each variant of the project can be carried out by several methods: · forecasting on one dynamic series (extrapolation method); · multifactor forecasting; · forecasting on the basis of gravitational models; · forecasting on the basis of expert estimations. The extrapolation method is based on use of data of the long-term traffic volume account, and revealing of pattern of growth of traffic volume in retrospective reciew with subsequent trend extrapolation of the established tendencies on the future period. At use of this method the approximation of the received series of dynamics is carried out, as a rule, on linear or exponential law with definition of average rate of growth of traffic volume. In this case factor of growth of traffic volume for any year of the examined perspective period is defined accordingly under the formulas: Kt = (1+pt) Kt = (1+p)t , where t- serial year of the examined perspective period; p- rate of growth of traffic volume in relative units of measurements. Multifactor forecasting is based on economical-statistical simulation of dependences between parameters of traffic volume and all or most significant factors determining their size (for example, volumes of industrial and agricultural production, population density, presence cargo vehicles, production concentration ratio for freight traffic, road network density, transport mobility of the population, level of motorization - for passenger transportations). The usual algorithm multifactor forecasting includes: · selection of quantitatively measurable and functionally independent factors - arguments determining size of a researched parameter; · a choice of the form of connection between an investigated parameter and factors - arguments to the greatest degree adequate to simulated process; · account of parameters (regression coefficients) multifactor regression equations and estimation of their reliability; · substitution in regression model prediction meanings of the factors - arguments and account of parameters of traffic volume, expected in the perspective period. In a basis of forecasting on the basis of gravitational models the hypothesis about presence between traffic volumes and major factors by their determining following the interrelation of a gravitational type lays: Q=k (PiPj/Rijn), where Pi,Pj- economic potentials correlative points i and j, characterized, for example, volume of made production; Rij- distance between correlative points; k, n - constants describing a level of economic development of considered region. The forecasting on the basis of expert estimations assumes attraction of group of the experts with wide experience of operation of road structures to definition of prospective dynamics of growth of traffic volume before and after realization of the project with the subsequent estimation of a degree of a coordination of opinions. At comparison of route alternatives of the design decisions while designing highways and for the characteristic of alternatives, recommended to construction, the parameters are being applied, which can be divided into the following groups: 1. Technical parameters (length of the route; number of turning angles (total number and number per km); number of curves of minimum radius; the length of sections with steep and maximum gradients; number of railway crossings and at- grade intersections; the length of sections with restricted traffic speed; the number of major bridges and their length; the number of places where traffic interruption is possible owing to mudflow streams, snow avalanches, landslides, etc; the average haulage distance for the main construction materials; the requirements for main construction materials; the total amount of basic machinery and manpower required, etc.) 2. Economic parameters (the total engineering cost of the alternative; operating cost; construction cost; road maintenance expenses; transportation expenses 3. Characteristics of transport-operational qualities of road alternatives (volume and composition of traffic flows, turnover of goods, average route speed, road capacity, fuel consumption, average route speed, free speed, road capacity, levels of service, fuel consumption, clearance and axle loads of bridged etc.) 4. Characteristics of road traffic safety, including possible accident cost, detection of possible “black spots” (there are in Russia special methods for detection “black spots”: “Accident Coefficient Method” and “Safe Coefficient Method”) 5. Parameters that are taking into account adverse influence of a road on an environment 6. Characteristics of an economic efficiency, “cost-benefit” analysis. 2. Standards There are two separate standards for rural (inter-urban) and urban roads exist in Russia. According to the existing standards for rural (inter-urban) roads (SNIP 2.05.02-85) five classes of roads are established (Table 1). Table 1. Classification of inter-urban and rural roads in Russia (according to standards SNiP 2.05.02-85) Classes Design Traffic Volume, vpd Design Purpose of roads of In p.c.u’s/day Mixed traffic flow, Speed, roads Vehicles per day kmph I-a Exceeding 14000 Exceeding 7000 150 International and Federal Motorways I-b Exceeding 14000 Exceeding 7000 120 Federal and Inter-Urban II 6000-14000 3000-7000 120 Roads III 2000-6000 1000-3000 100 State, regional and local roads (except of local roads of class II) IV 200-2000 100-1000 80 Regional and Local Roads (except of local roads of classes II and III) V Up to 200 Up to 100 60 Local Roads (except of local roads of classes III and IV) Minimum horizontal radii, longitudinal profile elements and cross-sections are recommended. Clearance and axle loads of bridged are given in it. Types of road pavements are recommended for each class of roads the following: Heavy-duty high quality (asphalt-concrete and cement-concrete pavements) Light-duty high quality (broken-stone and gravel materials stabilized by binders) Intermediate (broken-stone and gravel materials pavement) Inferior (soil roads). Urban roads and streets are designing according to the existing standards (SNiP II-60-75). Table 2 gives the classification of urban streets and roads used in the standards for urban street designing in Russia. Table 2. Classification of Urban Streets and Roads (according to standards SNiP II-60-75) Streets and Roads Classes Principle designation Design speed, kmph Expressways High speed communication between remote 120 city districts, with large industrial areas beyond city limits and with rural (inter-urban) highways of high classes. Designed for high volume traffic flows with grade separation Arterial streets: Communication between residential, 100 a) city arteries industrial and business districts and also with the town center, with places of general importance (stations, parks, stadiums, freight yards, etc.) as well as with inter-urban highways with traffic separation in one or different grades b) district arteries Local communication within the limits of 80 residential and industrial districts, communication between these districts and city arteries and expressways c) roads for transportation Transportation industrial and constructional 80 of cargo cargos outside of residential areas between industrial area of city Streets and Roads for local traffic: a) in residential districts Transport and pedestrian communication 60 between residential districts and arterial streets b) in industrial and Transport and pedestrian communication 60 warehouse districts between industrial enterprises, warehouses and arterial streets and through-roads c) pedestrian streets and Communication for pedestrians between zones residential areas and places of recreation, public centers, cultural and welfare center, public transport stops, lanes in parks d) streets in settlements Transport communication within the 60 settlement area with public center and enterprises e) roads of settlements Transport communication between settlement 60 area and service enterprises and warehouses f) access roads and Transport communication between local areas 30 thoroughfares New Standards for Rural Roads (under confirmation, planning to confirm in 2005) In new standards the following terms with the appropriate definitions are applied: Technical classification of highways - division of set of highways to classification attributes on classes and categories with the purposes of an establishment of their characteristics necessary for designing of new construction, reconstruction, organization of maintenance, road service and other tasks of a road facilities(economy). Class of a highway - characteristic of a highway on conditions of access on it. Category of a highway - characteristic reflecting belonging of a highway to the appropriate class and determining technical parameters of a highway. Access on a highway - opportunity of entrance on a highway and congress from it(her) of vehicles determined by a type of crossing or a contiguity. Classes of highways 1 The highways depending on conditions of access on them of flows of vehicles are subdivided into three classes: motorway, high-speed road and not high-speed road. 2 The motorways of general usage concern to "motorway": - having on all extent multilane carriageway with the median lane; - not having of at-grade intersections with roads, railways, tram ways, bicycle and pedestrian paths; - the access on which is possible only through interchanges. 3 To “ a high-speed road “ the highways of general usage concern: - having on all extent multilane carriageway with the median lane; - not having of at-grade interchanges with roads, railways, tram ways, bicycle and pedestrian paths; - the access on which is possible through interchanges and at-grade and uncontrolled access located not more often than through 5 km. 4 To "a not high-speed road " the highways concern: - having undivided carriageway or with the median lane; - the access on which is possible through interchanges and at-grade accesses. Categories of roads Basic classification attributes of a category of a road are: - number and width of traffic lanes; - presence of the median lane; - a type of crossings with roads, railways, tram ways, bicycle and foot paths; - design traffic volume; - design speed. Basic characteristics of classification attributes of roads The basic characteristics of classification attributes are given in the table 3. The Table 3 Technical classification of roads of general usage Class Category Total Lane Median lane Intersection with roads, Access to road of of road number width, railways, tramways, from at-grade roads of lanes m bicycle and pedestrian intersection paths 1 2 3 4 5 6 7 Motor IA 4 and 3,75 Not permitted way more Obligatory Interchanges High IB 4 and 3,75 Permitted Speed more without Road crossing main road Non IC 4 and 3,75 Obligatory Permit at-grade Permitted without High more intersections crossing main road Speed with traffic Road signals II 2 3,75 more 21 3,5 III 2 3,5 IV 2 3,0 No Permit at-grade Permitted V 1 4,5 intersections and more The notes. 1. It is not supposed to design roads with three lanes. 2. At designing roads II category with 4 and more lanes, median lane is obligatory. 3. Environmental inputs The normative base of road sector for ensuring the decision of environment protection tasks, includes: The Nation-wide Laws. The Decrees of the President of Russia and Resolutions of the Government of Russia. State standards. Interbranch norms and standards. Guides and Manuals of Road Administration of Russia First four groups of the documents determine nature protection tasks of branch, formulate a circle of considered tasks and requirements to their decision, form principles of step by step designing approached to structure which acting in Europe. The fifth group of the normative documents, in the essence, should ensure practical realization of rules of the legislation, standards, decisions and interbranch norms in practical activity in road sector of the country, having ensured opportunity of integrated designing of highways. The Federal Law of 23.1.95 "About ecological examination" establishes a principle of potential danger of any activity which is carried out in territory of Russia, legal relations at organization both realization of state and public ecological examinations and status of their conclusions, power of a special body in the field of state ecological examination, compulsion of its realization, requirement to the conclusion of a commission of experts and order of its statement, regularity of realization of examination, requirement to realization of public examination. The responsibility for infringement of the legislation about ecological examination, order of the decision of disputes. Establishes the order and structure of examination pre-project and design materials of all kinds of construction, level of examination, order of public examination, responsibility of the investors and experts. Requires obligatory ecological examination of all legal and economic documents of authority, accepted at all levels, is direct or indirectly touching attitude with an environment. In road sector four normative and methodical documents formulating and explaining ecological problems of a roads work only: Road Design Standards - SNiP 2.05.02-85; The Instruction on protection of natural environment at construction and maintenance of highways (VSN 8-89 Ministry of Transport of Russian Federation); The Recommendations for the account of the requirements on protection of an environment at designing highways and river crossings (Federal Road Administration, Ministry of Transport of Russian Federation, 1995); Manual on drafting of the project resoil of grounds occupied in temporary usage for construction of highways and road structures (1984). Standards for road design SNiP 2.05.02-85 "Highways" contain the basic ecological requirements to lay of an alignment of a road, constructive decisions, including the direct protection measures and structures, rules of organization of construction of highways, observance of the requirements of the land laws. “The instruction on protection of natural environment at construction and maintenance of highways (VSN 8-69)” and “The Recommendations for the account of the requirements on protection of an environment at designing highways and river crossings” contain the information on the basic requirements to an estimation of influence of roads on an environment and recommendations of the part of the road project " Protection of an environment" at various stages of road designing, methodology of development of the nature protection technical decisions. It is recommended 3-stage process of road designing (feasibility study, engineering project, the working documentation), at which last stage – “working documentation” - is developing by road building company but not road design company. At designing roads it is recommended preference to give back the design decisions rendering the minimal negative influence on an environment, providing an optimum combination of a road to a landscape. For an estimation of influence of the highways on an environment the following parameters are used: levels of transport noise and pollution of atmospheric air on sites of the roads which are taking place through residential areas or in immediate proximity from them, their comparison to allowable meanings; the area of grounds, contiguous to a road, where concentration of lead in ground exceeds allowable level; extent of sites, within the limits of which is expensive can to render adverse influence on an existing landscape, animal and flora, historical and cultural monuments, including reserves, taking place on territory, sanitary and protective zones. 4. Social enquiry There is no much practice in this field. Only a few examples of social enquiry took place while designing rehabilitation of Moscow Ring Road. 5. Social impacts There is no much practice in this field. There are a few examples of estimation of social impacts of urban streets in Moscow and some other large cities. 6. Appraisal tools In connection with development of model HDM-4 (version 1.1.) adapted to northern regions and having more an ample opportunities in comparison with HDM-3, in Russia the interest to use of this model for an estimation of the various investment projects and formation of the projects of the budget on repair and contents of highways has appeared. However not all parameters (initial data) and not all methodical features of HDM-4 were acceptable to the Russian conditions, that has required its appropriate adaptation. In Russia the work on an establishment of correlation dependences and analogues of initial parameters allowed to make use of HDM-4 in conditions of Russia was carried out and to establish the limits of its effective use. The normative document for "Recommendations adaptation initial given in model HDM-4 to the Russian conditions " was issued by the Federal Road Agency of the Ministry of Transport of Russia in October 2004. At making use of model HDM-4 with reference to the Russian conditions adaptation the parameters describing geometrical and strength parameters of a highway, traffic conditions and climatic features of region of an arrangement of a road are subject. In this normative document the application HDM-4 is recommended for the decision of the following an issues: · for the analysis of alternative and specification of the design decisions; · of a comparative estimation of efficiency of the investments in various alternatives, including development of a network of highways; · for comparison purposes of efficiency of technologies of road maintenance and road service in the different road projects and programmes; · for the analysis of activity of the road transportation enterprises; · for preliminary of forecasting of expenses on road maintenance and service of roads, with the purpose of development of the projects of the intermediate term and long-term budgets (for the period till 5 years); · for scientific research purposes. 7. ORN 5 It is very important and useful document and manual for practical road design specialists, and for receiving high quality road projects and roads. Much more attention should be paid to appraise road traffic safety for different road route alternatives. There are special methods for detection of “black spots” while road design and estimation of alternatives of road were worked out and used in Russia. Conclusion ORN5 is very important document and should be international one which shall be very effective for using while planning and design international corridors and highways which cross a number of countries. ORN5 should be harmonized with the standards of different countries It should be published not only in English but in Russian for using in Russia, CIS, Mongolia and Baltic countries.