DEVELOPMENT OF A TRANSPORT
APPRAISAL MANUAL
(REVISION OF OVERSEAS ROAD NOTE 5)
OVERVIEW OF ROADS APPRAISAL IN
TANZANIA
Prepared by:
Ndyamukama, J.
TANROADS
P.O. Box 4838
Dar Es Salaam
TANZANIA
July 2004
rmo@dsm.tanroads.org
Doc. prepared as per TRL guidelines
OVERVIEW OF ROADS APPRAISAL PROCESS IN
TANZANIA
1.
Introduction:
The total length of the Tanzanian road network is 85,000km of which
10,300km is classified as trunk roads, 24,700km as regional roads and
2,450km as urban roads and 25,000km as community roads. Only 5% of the
road network is bitumised and mainly urban and trunk roads.
Around three quarters of the unpaved roads carry, on average, an Annual
Average Traffic (AADT) of less than 100 vehicles and more than one third
carry an AADT of less than 50 vehicles. Most of these roads are regional and
district roads.
The road development and maintenance framework is outlined in National
Transport Policy (NTP). The NTP ideals are to develop an efficient,
integrated and coordinated transport infrastructure that will meet
transportation needs in supporting Government strategies for Socio economic
Development.
Tanzania is committed to the Tanzania Development Vision 2025 (TDV
2025). This social economic development Vision focuses as upon achieving
high livelihood, good governance and rule of law; together with a strong and
competitive economy. In particular, the Vision emphasises the economic
target of an adequate level of physical infrastructure and a growth rate (in
Gross Domestic Product (GDP) of 8% per annum. To sustain the targeted
GDP growth, transport should have to grow by at 10% per year and for that to
materialize the level of services and capacity of supporting infrastructure must
be able to meet this demand. Otherwise unmet demand will act as a constraint
on economic growth, and impose high costs on business and households.
In cognisance of the link between transport and economic growth, the NTP
divided road network into nine Road Transport Corridors. The transport
corridor is a concept that was developed under the umbrella of Pan-Territorial
transport that aims to improve transport services within the country in order to
raise the level of its contribution to the national economy. The Pan-Territorial
transport is supposed to be a supportive transport system that will efficiently
facilitate movement of passengers and freight between the regions with
surplus produce and those with deficit and/or to other markets. The corridor
concept is geared towards ensuring that all corridors with their link sections
are accessible and contribute to the growth of economic activities.
The corridors embrace a total trunk network of about 10,300km, 40% of
which is bituminised. The challenge is to pave for various reasons the
remaining 60% of trunk roads in the transportation corridor. The Road Sector
Development Programme (RSDP) was developed to address the NTP
directions and challenges. The 10yr RSPD is a 10 year Road Sector
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Development Programme for roads, bridges and ferries in the entire Classified
Road Network of Tanzania, which covers the period of 2001/02 – 2010/11.
The 10 years RSDP outlines the necessary specific target that have to meet by
the road sector in contribute to the attainment of economic and social
objectives set out in the TDV 2005.
According to the 10year RSDP, the physical target of the development works
on trunk road network is the rehabilitation and upgrading of 6,020km of and
rehabilitation/reconstruction of 390 bridges. The cost for the trunk road
network programme development works is estimate to be 1600mio US$. The
physical target of the development works on regional network is rehabilitation
and upgrading of 7,770km of regional road at cost estimate of 250mio US$.
2.
Road Planning Process
Road projects are planned and carried out in sequence which is similar as
those presented in the Overseas Road Note 5 (ORN 5). The project cycle is
made of identification, feasibility, design, commitment and negotiation,
implementation, operation and evaluation stages.
There is no distinction between the processes of appraisal for urban, interurban and rural roads but the approaches at different stages of may differ in
details and extent depending on the type of the road and setting of project
envisaged. A low volume rural road project aiming to provide access is
appraised differently compared to high volume urban road project aiming to
increase operational efficiency although the process is the same.
The specific output at each stage of the cycles is as follows at inception stage
the output is selection of the roads; at feasibility stage the output is the
screened scope of work, social and environment impact assessment report at
the design stage the output is the contract documents, at the commition and
negotiation the out put is the contract agreement the implementation is the
built road and operation is the utilisation of the road.
The technical input required at every stage of the project cycle are essentially
the same as those mentioned in ORN 5 except for the following additional
guidance that have been introduced to take into account the advent of road
sector reforms, environment and social concerns and use of appropriate cost
benefit analysis tools.
2.1.
Social and Environment Assessment
A growing public awareness, policy changes and funding agency requirements
in addressing environmental and social concerns in road works have raised a
number of issues that have to be faced in an attempt to create a balance
between much needed development on one hand and social and environmental
care on the other.
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The Social and Environment impact assessment are synchronized into the
project cycle. The environmental and social assessment initial screening are
undertaken at project identification stage; environmental appraisal and impact
assessment at the feasibility stage, and measures to avoid, mitigate or
compensate for damage including cost implications at the design stage,
environmental and social mitigation measures are included at the contract
document and at the commitment and negotiation stage and the
implementation of the mitigation plan i.e. compliance monitoring, reporting,
consultation etc at implementation and operation stages.
Projects limited to road rehabilitations, maintenance, spot improvements or
traffic management generally involves lesser environmental and social
concerns hence do require impact identification, mitigation and enforcement
and monitoring.
In the rural setting the impacts involve revolve around land, accessibility, in
migration, biophysical and biodiversity.
There is a distinction between the assessment of road projects in urban setting
and rural setting in relation to the impacts they generate and functionality of
the road.
2.2.
HIV/AIDS
A Road project attracts influx of people of all sorts in the project area in so
doing affecting the life of the community within the area of influence of roads.
Prevalence of HIV/AIDS and sexually transmitted disease (STD) infection
usually rises in project area. This particular impact of road construction can
only be mitigated through education of both the migrants and local
community. Design for HIV/AIDS awareness and prevention campaign is an
addition to the feasibility stage and mitigation measures are integrated in the
implementation and operation stages.
2.3.
Economic Analysis
The additional input on the road economic analysis in the feasibility stage is
inclusion of cost items for land acquisition and resettlement (where
necessary), environment mitigation and monitoring measures, HIV/AIDS
awareness and mitigation component. These are taken to be part of
construction.
2.4.
Use of Investment Models
The quantifying of project benefits or rather evaluation is undertaken at
feasibility and design stages. Investment models such as the HDM4 and
Roads Economic Decision model (RED) are used. The use of these tools have
made it possible calculate benefits of non-motorised traffic.
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2.5.
Prioritisation Models
The ranking of best projects in order to decide on a cut of point based on the
budget available is undertaken at the commitment and negotiation stage. The
investment models are used at tools for prioritisation for traffic volumes of
over 50 vehicles per day and for traffic volumes less than 50 vehicles per day
a Cost effective analysis (CEA) as the method used.
2.6.
Road Safety audit
The road safety audit is undertaken at design, commitment and negotiations
implementation and operation stages. The objective being to identify and
remove accident potential and safety problems and measures are devised and
implemented to reduce accident risks.
3.
StandardsIn principal all roads in the country should conform to road standard as
described in the following documents: Geometric Design
:
Tanzania Draft Road Manual of 1989
:
Code of Practise for Geomantic Design.
This is still a draft and published by SATCC
– TU 1998
Pavement and Materials :
Pavement and Material Design Manual
1999
Ministry of Works, Tanzania
Road Works Specification:
Standard Specification for Road Works,
2000.
Ministry of Works, Tanzania
Testing Procedure
:
Central Materials Laboratory Testing
Manual 2000
Ministry of Works, Tanzania
Structures
:
Bridge of Practise for Design of Road
Bridges and Culverts (SATCC Technical
Unit 1998).
British Standards BS 5400.
The above standards have originated from British, American and South
African Standards. Deviations from these standards beneficial to the project
are permitted. Designers are encouraged to exercise engineering judgement
based on thorough knowledge of the principles of highway design, traffic
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engineering and highway safety and specify knowledge of local conditions.
Deviations are to be substantiated. This implies the designer must begin with
clear understanding of purpose and functionality of the project.
The above standards are not appropriate on most of regional, feeder and
district roads with a traffic volume less 50 vehicles per day and aiming to
provide accessibility or improving the existing road. Designers found the
above standards of high standards and not addressing the functionality of
these roads. The Southern African Development Community (SADC): Low
Volume Sealed Roads – SATCC – 2002, and Labour Road Works Technical
Manual are being referred in some cause in designing the low cost roads and
of or aiming to mostly labour in implementation.
The Road Manual of 1989 used for Geometric Design does not cover design
standards for road in urban setting.
4.
Environmental Inputs
The environmental inputs into the road works is arrived through defined
processes divided into steps. These steps are description of environmental
setting, public participation, identification and assessment of potential
environmental impacts, consideration of alternatives, development of
mitigation and compensation measures and design of monitoring and
evaluation plan.
4.1.
Description of the Environmental Setting
The environmental elements that will affect the environmental management of
the proposed road works are identified and analysed.
The environmental elements that are covered in road project include but are
not necessarily limited to the following: Physical elements
Location, geology, topography, soils, climate, air quality, drainage patterns,
surface water, groundwater, water quality, soil erosion.
Biological Elements
Flora and fauna, habitats, rare and endangered species, protected areas that
may exist in the area of influence of the road, trends in flora and fauna,
including aquatic ecosystems.
Socio – economic elements
Demographic characteristics, land-uses, agricultural and economic activities,
modes of transport, road network and their usage, origin and destination of
goods and passengers transported in the area of influence of the road,
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administrative structures in the area of influence of the road, employment and
health (including STD, HIV/AIDS), attitudes to the project.
Cultural elements
Archaeological, historical, and cultural features.
4.2.
Public Participation
The public participation is useful for gathering environmental data,
understanding likely impacts, deeming community and individual preferences,
selecting project alternatives and designing viable and sustainable mitigations
and compensation plans.
In order to establish the views of public, individual or different groups of
stakeholders are identified and encouraged to give their views through various
appropriate methods e.g. public hearing, interview survey, information
displays, public meetings etc. Attention is paid to disadvantaged groups (e.g.
poor, children, the elderly, indigenous people, and women) that may be
affected by the proposed road project.
4.3.
Identification, Analysis and Assessment of Potential Impacts
In a road project the most common environmental impacts which are analysed
and their potentiality assessed are.
Impacts on the biophysical environment
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
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Soil degradation and erosion
Vegetation loss
Streams and river sedimentation
Noise nuisance and air pollution
Changes to drainage patterns
Pollution of the soil and waterways
Impacts on human environment

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
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Loss of agricultural and residential lands
Destruction of properties,
Relocation of infrastructures
Unplanned involuntary settlements
Social disruptions
Stream and river sedimentation
Interference with movement of livestock and local residents
Traffic accidents
Noise and dust nuisance
Threat to cultural and historical sites or artefacts
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 Demographic changes
 Health effects (including STD, HIV/AIDS)
Environmental impacts are analysed in terms of the following and any other
relevant characteristics.
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Positive (beneficial), negative (adverse),
Direct, indirect, cumulative,
Magnitude,
Spatial coverage
Stages of the project at which they occur
Duration (intermittent, continuous, short term, long term),
Reversibility, irreversibility,
Likelihood of occurrence.
Wherever possible the above and any other impact characteristics are analysed
quantitatively. The costs of each of the impacts are indicated wherever
possible. The significance of impacts of the proposed road works are
assessed, and the basis of this assessment are specified.
4.4.
Analysis of Alternatives
Environmental impacts of the selected scenarios of road works are compared
taking into account the following aspects.



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Capital and operating costs,
Costs of mitigation measures for adverse impacts,
Suitability under local conditions,
Institutional and training requirements,
There is no clear-cut method for evaluation, analysing and presenting
environmental data. The most common method is a matrix in which
environmental effects are presented either numerically or using graphic
indicators.
4.5.
Mitigation Plan
From the analysis and assessment of potential impacts, a cost-effective
measures for minimizing (mitigation) or eliminating (avoidance) adverse
impacts on the proposed road works is proposed. Lessening of negation
environmental impacts is usually a change in design, construction practices,
maintenance and operation of road and/or additional action to protect the
biophysical or social environmental. The costs of implementing these
measures are wherever possible estimated and presented. If compensation is
recommended as one form of mitigation, the names and physical addresses of
owners of properties to be relocated are presented. This usually is a part of a
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Resettlement Action Plan (RAP). Compensation is considered if steps to
reduce impacts are not possible or sufficient.
An impact management plan, which includes budget estimates, schedules,
staffing and training requirements is also prepared.
4.6.
Environmental Management Plan
In order to ensure all mitigation measures designed to reduce the impact of the
construction and maintenance activities are monitored, enforced and effects
evaluated an environmental management plan (EMP) is drawn. A plan
indicates proposed mitigation, monitoring actions, set to a timetable with
specific responsibility assigned and follows up and reporting actions defined.
The EMP addresses issue related to design, commitment and negotiations,
implementations and operations. The cost of implementing the monitoring,
including staffing, training and institutional arrangements is specified in the
EMP.
5.
Social Impacts
A social impact assessment is carried in steps similar to that of the
environment assessment, which are, description of social setting, public
participation, defining the scope of the effort, prediction and assessment of
project impacts, alternatives and remedial measures.
5.1.
Description of Social Setting
The description of the relevant human environment/area of influence and
analysis baseline conditions of social elements that will effect the social
management of the proposed road works is undertaken. The social aspects to
be included but limited to the following are:
 The characteristics of the population that may be affected including
individual and family changes.
 Community and institutional structures
 Geographical area
 Land tenure regimes
 Biophysical environment including ecological setting
 Political and social resources,
 Culture, attitude and social – psychological conditions including
attitudes towards the proposed action
 The relevant demographic and economic characteristics
 STD and HIV/AIDS facilities and capacity
The relation of a project stage to social impact assessment variables that
indicates identification, feasibility, design, commitment and negotiations,
implementation and operations is preferably prepared in matrix format.
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5.2.
Public Participation
An effective public involvement plan involves potential affected publics is
developed in order to ensure all the stakeholders are involved in every stage of
the project development. The aspects that are usually considered are.
i)
ii)
iii)
5.3.
Establishing the general character of the community
Definition of the potentially affected groups
Determining how they are organised.
Defining the scope of the effort
Consultation with the affected groups through public participation is
undertaken in order to make sure the assessment made is focussed on the right
things and that right methods are employed. Factors that are considered in
establishing the scope of assessment include:
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
5.4.
Number of people potentially affected
Duration of potential impacts
Values of benefits and costs to affected groups
Potential for reversibility
Likelihood of subsequent impacts
Relevance to present and future policy decisions
Uncertainties over probable effects
Controversy, if any
Prediction, Analysis and assessment of project impacts
The actual social analysis begins by predicting the likely impacts of road
development. The following methods are usually employed to predict
impacts:
 Comparative – comparing with similar development and their effects
 Straight-line trend projection – taking an existing trend and
projecting it into the future
 Population multiplier – for actions involving increase or decrease in
given populations; each unit of change in a given population implies
change in other variables such as housing and use of natural resources
 Scenarios – generate logical or data-based models and play them out
 Expert advice: - obtain the thoughts of experts about likely scenarios
or Changes
 Calculation of “futures foregone”: - for example, the future of small
minority owned businesses in a community if the proposed action does
NOT take place.
 Health impacts, including STD and HIV/AIDS.
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5.5.
Predicting responses to impacts
The significances of the identified social impact is determined given what is
known about the potentially affected groups, and the kinds of impacts
predicted, the following predictions can be made:
 The influence by the leaders (socially, culturally and politically)
 Attitudes by the leaders and minority (socially, culturally and
politically)
 Adaptability of the affected people
 Continuity of livelihoods
 Subsequent impacts and cumulative impacts.
 New alternatives that might alleviate the problems caused by the
impacts.
5.6.
Alternatives and Planning Remedial Measures
New alternatives that might alleviate problems caused by the impacts are
considered. The social impacts of the remedial alternatives are also analysed.
Feasible and cost-effective measures that may reduce social impacts are
identified and prioritised according to the relative importance, costs and
monitoring requirements. The mitigation plan provides details on proposed
programme of project. Such details help to ensure that actions are in phase
with the implementation and operations stages of the road project.
Proposed remedial measures can be tested for acceptance, modified according
to local needs, and eventually turned into a solution.
5.7.
Monitoring
In order to ensure that proposed measure and alternatives are implemented a
monitoring program that is capable of identifying deviations from the
proposed action and any important unanticipated social impact is developed.
The program is developed to track the project and compare real impacts with
projected ones.
The monitoring program includes factors need to be monitored during the
construction phase, parameters, frequency of checks, duration of monitoring,
costs involved and responsible institutions.
6.
Appraisal tools
The most common evaluation tools in the appraisal process at each stage of
the project are as follows: -
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6.1.
Identification
Possible projects are selected from the National Transport Policy (NTP)
document. The NTP ideals are to develop an efficient, integrated and
coordinate transport infrastructure that will meet transportation needs in
supporting government strategies for socio economic development presented
in Tanzania Development Vision 2025.
6.2.
Feasibility
A project is screened in the list of possible projects. The screening process
reduces the number of investment alternatives. The tools used in screening
and prioritisation are undertaken by the World Bank’s Develop Highway
Development Management Model (HDM-4) for projects were economic
impacts are dominant with traffic volume of more than 200 vehicles per day,
Roads Economic Decision Model (RED) is for traffic volume between 50 and
200 vehicles per day were benefits are of socio economic nature and
Integrated Rural Accessibility Planning (IRAP) or cost effectiveness analysis
for traffic volume less than 50 vehicles per day.
The HDM 4 has disadvantage of requiring a lot of data and doesn’t include
social benefits although includes Non-motorised traffic (NMT) benefits. The
RED model need limited data, accommodates NMT and social benefits. CEA
are used where non-economic objects are part of the investment objective.
6.3.
Design
At this stage the project, the purpose of the appraisal is to ensure the options
considered are the cost effective way of delivering the road. The options
include the cost of project in relation to the design approach, the benefits in
terms of costs savings, social and environmental benefits. The cost benefit
analysis is a technique used for assessing the economic efficiency of capital
investment project. The HDM-IV, RED or the Cost-effective analysis is used
to do the cost benefit analysis.
6.4.
Commitment and Negotiation
At this stage of the project cycle the decision on whether to proceed with
implementation is based on budget considerations. The cost of viable project
(s) has to be within available budget in order to proceed to the implementation
stage.
Otherwise the project is either rejected or refined (change design) and
modified and re-appraised again.
3
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7.
ORN 5
The current form of ORN 5 is not that much helpful as it used to be in yester
years. Recent developments towards achieving sustainable roads through new
approaches in planning, appraisal, design, addressing social and environment
concerns, maintenance, management and financing are not fully explained or
referenced in ORN5.
The structure of ORN 5 will also have to be improved by changing layout,
adding graphics (pictures), charts and tables to make it appealing and easy to
refer to. The depth and coverage of material in ORN5 is considered to be
satisfactory in view of the fact the document is for providing procedural
context for referencing. It is the approach and dimensions of materials
contained that have changed over the years to take into account the recent
development in researches and reforms in the road sector.
In order for ORN 5 to recapture it’s commanding role, as “A guide to road
project appraisal” improvements have to be made by adding recent
developments or approaches towards providing sustainable roads. Hence the
heading or name of the ORN5 would be “A guide to a sustainable road project
appraisal”.
The ORN5 mainly focussed in delivering road but the objective now to have a
road, which is sustainable. To appraise such a road in a country like
Tanzania, other considerations in addition to technical aspects have to be
included in the appraisal. Hence the areas that need to be include or modified
in the current ORN5 in addition to the other areas discussed in this document
are as follows: 1) Preliminary Project Considerations
(i)
At the inception stage the project should be selected in line with
policy or implementation framework in place. An analysis has to
be made to ensure the intended benefits of the project are
contributing to attainment of policy objectives and strategic goals
e.g. poverty alleviation, creating and meeting social and economic
goals etc.
(ii)
Involvement of political and public at the inception, feasibility,
design and implementations stage to gauge their perceptions and
instil since of ownership.
2) Choice of Technology
In addition to labour based construction and maintenance method, a
consideration has to be made where possible to promote participation of
women and correct the gender imbalance.
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3) Institutional Issues
(i)
Discuss and advocate the advantages and (disadvantages) of
separation and roles in terms of policy formulation, policy delivery
and works execution in the road sector.
(ii)
Establishment and management of accountable and autonomous
road authorities with public and private sector participation in
decision-making and delivery of services.
(iii)
Adoption of commercial management practise in to foster
institutional, economic and technical efficiency. How to win
public support for the concept of commercialisation.
4) Developing a Road Financing Plan
(i)
Establishment of Road Fund to source via off-budget, disburses
and audit funds meant for roads. The Road Fund to operate as a
commercial agency.
(ii)
Establishment of sustainable funding to road maintenance based on
fee for service for usage of roads. Levy on fuel, vehicle road
license, over loadings fees etc. to be considered as fee for service.
5) Socio – economic considerations.
(i)
Use of appropriate evaluation (appraisal tools) tests capable of
qualifying social are economic and environmental costs and
benefits
(ii)
HIV/AIDS awareness and campaigns have to included and
coasted under social assessments.
(iii)
Integrate social and economic elements in project appraisal.
(iv)
Community participation in planning and decision-making.
6) Environment Assessment
Provide a description of practical methods, which are useful in designing
and to executing effective environmental assessments from planning to
maintenance.
Integrate environmental elements in project appraisals.
7) Assessment of Traffic
Include the non-motorised transport in consideration.
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8) Cost Estimation
Include the cost for environmental and social mitigations in the
construction cost.
9) Estimating Techniques – Price indices
Recommend a Price Fluctuation method in circumstance where is no
enough or unreliable data and there is high inflation.
10) Contract strategy
Include the long-term performance based contracts for maintenance
Works. Procurement of Works through performance specified term
contracts well soon be a preferred method in undertaking maintenance
works in contract to the traditional type of contract which typically are
based on descriptive input specifications.
11) Geotechnics
(i)
Encourage use of naturally occurring soils and gravels for use in
construction of low volume roads.
(ii)
Continuous gravel or regravelling of unpaved gravel road is
unsustainable. Consideration have to be made to seal low volume
roads.
12) Choice of paved road construction type – Surface treatment
(i)
Upgrading of unpaved roads to a sealed standard can be cost
effective compared with cost of maintenance unpaved gravel road.
(ii)
Provide guidance on selection and use of cost effective surface
treatment on low volume roads e.g. Otta Seal, which allow selected
non-standard (natural occurring) local material to be used.
13) Geometric Design and Safety Audit
Safety audit is a systematic identification of hazardous location. The audit
has to be done at the design stage in order to remove safety problems from
beginning and reduce future problems. Safety audit are to be included at
design, construction and maintenance phase of the project.
Include a simple but effective method for monitoring to track progress of
safety activities introduced and to evaluate the safety impact.
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14) Road Software Tools
There are various tools for costing, development and management, user
charges and economic decisions for roads. Appraise and recommend tools
to be used in particular setting purpose and stage of project cycle.
15) Assessment of benefits
Use appropriate evaluation tools capable of quantifying social, economic
and environmental costs and benefits.
References
1.
2.
3.
4.
Low Volume Sealed Road: SADC Guideline
Roads and Environment: World Bank Technical Paper No. 376.
Tanzania 10yr Road Sector Development Programme, Jan 2002.
Tanzania National Transport Policy.
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