Preface xi
Part 1 The Challenge of Managing Infrastructure
Chapter 1. The Big Picture
1.1 Infrastructure and Society
1.2 Infrastructure Definition
1.3 Historical Overview of Infrastructure Development
1.4 Infrastructure Assets
1.5 Ufe-cycle Analysis in Planning and Design
1.6 Magnitude of Infrastructure "Crisis"
1.7 Maintenance, Preservation, and Innovation Challenges
1.8 Infrastructure Management—An Integrated Approach
Chapter 2. Framework for Infrastructure Management
2.1 Background
2.2 Key Issues for Infrastructure Management
2.3 Application of Systems Methodology
2.4 Development of Infrastructure Management System (IMS)
2.5 Life-cycle Analysis Concept
Chapter 3. Planning, Needs Assessment, and Performance Indicators
3.1 Infrastructure Planning
3.2 Examples of Planning Studies
3.3 Life-cycle Management
3.4 Infrastructure Service Life
3.5 infrastructure Needs Assessment
3.6 Infrastructure Performance
Contents vii
185
187
187 190 194 198 203
205
205 207 210 218 227
Part 3 Concepts of Total Quality Management
Chapter 9. Design for Infrastructure Service Life
9.1 Introduction
9.2 Design Objectives and Constraints
9.3 Design Framework and Components
9.4 Design Effectiveness
9.5 Summary
Chapter 10. Construction
10.1 Introduction
10.2 Construction as Related to Other Phases of Management
10.3 Constructability
10.4 Construction Quality Control and Quality Assurance
10.5 Summary
Chapter 11. Maintenance, Rehabilitation and Reconstruction (M,R&R) Strategies, Including Operations 229
11.1 Introduction 229
11.2 Definitions 230
11.3 Maintainability 234
11.4 Trade-offs Among Design Objectives in Relation to Maintenance 237
11.5 Rehabilitation 238
11.6 Reliability-centered Maintenance 240
11.7 Maintenance Management 243
11.8 Operations as a Part of Infrastructure Management 245
Chapter 12. Dealing with New or Alternate Concepts 255
12.1 Introduction 255
12.2 Examples of New Material Usage 257
12.3 Handling Diminishing Resources 264
12.4 Engergy-related Issues 266
12.5 Considering New Methods and Materials for Infrastructure Use 267
12.6 Dealing with Shrinking Natural Aggregate Sources 268
12.7 Summary 271
Part 4 Economics, Life-cycle Analysis, and M,R&R
Programming 275
Chapter 13. Maintenance, Rehabilitation, and Reconstruction (M.R&R) Policies and Treatment Alternatives 277
13.1 Introduction 277
13.2 Maintenance Management Systems 278
13.3 Privatizfng/Contracting-out M,R&R 279
13.4 Identifying M.R&R Alternative Treatment Policies 280
viii Contents
13.5 Example M,R&R Treatment Alternatives for Roads
13.6 Example M,R&R Alternatives for Water Mains
13.7 Example M,R&R Alternatives for Sewer Mains
13.8 Example M,R&R Alternatives for Buildings
13.9 Evaluating the Effectiveness ol M,R&R Alternatives
13.10 Collection and Reporting of M,R&R Data
13.11 Recognizing Environmental Impact/and Policies
13.12 Summary
Chapter 14. Life-cycle Cost and Benefit Analysis
14.1 Introduction
14.2 Basic Principles
14.3 Cost and Benefit Factors
14.4 Analysis or Life-cycle Period
14.5 Discount Rate, Interest Rate, and Inflation
14.6 Salvage, or Residual Value
14.7 Methods of Economic Analysis
14.8 Selecting an Appropriate Economic Analysis Method
14.9 Effect of Discount Rate
14.10 Application to Highways
14.11 Application to Water and Sewer Mains
14.12 Application to Buildings
14.13 Summary
Chapter 15. Prioritization, Optimization, and Work Programs
15.1 Introduction
15.2 Framework for Prioritization
15.3 Priority Analysis Methods
15.4 Budgeting and Financial Planning Issues
15.5 Budget Allocation Issues
15.6 Work Programs
Part 5 IMS Development and Implementation, Examples, Future Directions
Chapter 16. Concept of Integrated Infrastructure Management Systems (IIMS)
16.1 Background
16.2 Framework of Integrated Systems
16.3 Common Aspects of Management Systems
16.4 Common Aspects of PMS and BUS
16.5 State Level Management Systems
16.6 Municipal Infrastructure Management Systems
16.7 Unltlzed Facilities Management Systems
16.8 Implementation and InstthroomI Issues
16.9 Example of an (IMS
Preface
A great deal of thought went into titling this book. We considered Infrastructure Management, Asset Management, and Facilities Management because all of these terms are occasionally used to describe the kinds of activities that are covered in this book. It should be noted that these terms are similar and are often used interchangeably to describe the process of life-cyle cost integration. That is, the process of integrating design, construction, maintenance, rehabilitation, and renovation to maximize benefits to the user and minimize total cost to the owners and users.
There are, however, some subtle differences among the terms, which led to the final choice for this book. The term "asset management" has arisen primarily from use in the private sector. Private corporations in the profit-making business try to manage their "assets," which include physical infrastructure as well as capital, personnel, technology, and technology ideas.
"Facility management" is most often used with a physical entity broadened to include operations and furnishings. In fact, the term facility management is generally meant to describe operation and use of a facility, such as a hotel, including both the infrastructure or building itself as well as furniture, ballrooms, banquet facilities, dishes, linen, and so forth. The activity therefore often includes scheduling, setting up furniture in a ballroom for a banquet, and similar operations.
The term "infrastrucure management" has been coined to generalize the concepts of pavement management, bridge management, and building management and has most often been applied to public civil engineering infrastructure, such as water, waste water, bridges, airports, parks, pavements, and the like.
Much of the technology used in the three areas described is the same, that is, good data inputs, economic models and analysis, benefit cost studies, good maintenance, and rehabilitation are all needed to provide adequate protection of the investment. Given the similarities,
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xii Preface
but keeping in mind the subtle differences of these three terminologies, the term Infrastructure Management Systems (IMS) was selected for use. We felt that IMS was more descriptive of the process that covers public infrastructure assets and facilities than the other two terms, and we will use this term throughout this book, Infrastructure Management. The reader should not be contused by others who may choose to use the word assets or facilities, they are not "new and different." The concepts presented herein are applicable no matter which choice of wording you select.
This book is intended to provide an overview for those interested in all aspects of civil engineering infrastructure, especially those interested in learning how to procure and preserve it more efficiently and economically. The book can be used by students or practicing engineers to enlighten themselves about the broader aspects of IMS. Each section of the book stands alone, and the book can be read or studied in parts, by those active in one part of the process (i.e., design) who want to learn more about another part of the process, such as maintenance and rehabilitation. Someone in a peripheral area of infrastructure, such as a small town or an airport authority not now using infrastructure management in their agency, can use the book to excite their interest in new applications and developments in their workplace.
Perhaps most importantly, the authors hope that this book will provide a compilation of course materials and an impetus to the development of courses and a change in university curricula to specifically teach engineering students the real need to integrate maintenance and rehabilitation into their future activities. Current curricula too often stress primarily design and construction when, in fact, most engineering work in the next two decades will involve a large component of preservation, maintenance, and rehabilitation, as well as improved use of infrastructure facilities.
This book is dedicated to our respective wives, Martha Hudson, Rose Haas, and Rukhsana (Juhee) Uddin, and to our many colleagues known and unknown who have for the past 30 years helped us to advance the technology and use of better management concepts in all phases of civil engineering infrastructure. Thanks are due to Dr. Zhanmin Zhang, Omar Uddin, and Usman Uddin for their contributions in the preparation of the manuscript. The manuscript was carefully typed by Julie Wickham, Jan Zeybel, and Loretta McFadden, and reviewed by Betty Brown, who are due special thanks for their perseverance.
We are specially indebted to Dr. Zhanmin Zhang, who prepared Chapter 17. He as done pioneering work in developing working IMS computer programs. Dr. Zhang is currently a Research Engineer at the University of Texas in Austin.
Part
The Challenge of Managing Infrastructure
1.1 Infrastructure and Society
The success and progress of human society depends on physical infrastructure for distributing resources and essential services to the public. The quality and efficiency of this infrastructure affects the quality of life, the health of the social system, and the continuity of economic and business activity. A nation's economic strength is reflected in its infrastructure assets. Many examples can be cited from history. The Romans built a strong empire by constructing all-weather roads and viaducts throughout Europe, North Africa, and the Middle East to move people, goods, and water. In the colonial era of the 16th to 19th centuries, European nations emerged as strong shipbuilders and explorers. This was followed by the products of the industrial revolution, particularly in the use of steam engines for ships and railroad transport.
In the United States and other regions of the world, historical development of the economic and social systems closely parallels phases of infrastructure development- Demands on infrastructure and related services increase as people expect a higher standard of life and public services. But, more importantly, good infrastructure facilitates a higher quality of life.
1.1.1 Road infrastructure and economic development
Clarification of the relationship between infrastructure and economic development is provided by Queiroz in his World Bank study [Queiroz 92]. It shows a very strong association between economic development, in terms of per capita gross national product (GNP), and road infrastructure. Gross national product is the measure of a nation's total
4 The Challenge of Managing Infrastructure
market value of the goods and services that are produced annually. GNP per capita is a country's gross national product divided by its population. Road infrastructure can be characterized by spatial density, which is a country's road length per land area, and road density, which is the length of the road network per capita. Road transport is important to economic activity, especially in developing countries, where it plays an essential role in marketing agricultural products and providing access to health, education, and other services. A good road system gives a country a competitive edge in moving goods efficiently and economically.
Considering the United States as illustrative of a highly developed country, there is a vast amount of historical data available on the road network and the economy [FHWA 91, Abstract 91]. A time-series analysis of this data from 1950 to 1988 shows a significant positive relationship between per capita GNP (PGNP, in US$1,000 per inhabitant, using 1982 constant dollars) and density of paved roads (length of paved roads, LPR, in km per 1,000 inhabitants):
PGNP = -3.39 + 1.24(LPR) (1.1)
A similar type of analysis for 98 developing countries was carried out by Queiroz and Gautam, with the resulting equation:
PGNP = 1.39 (LPR) (1.2)
Figure 1.1 also shows this relationship and the associated statistics- To make a 1988 constant dollar comparison with the developing countries, the tune-series equations from the United States data were converted using the GNP implicit price deflator between 1982 and 1988 [Queiroz 92]:
PGNP^ = -4.1 + 1.50 {LPR) (1.3)
88
A similar analysis of 1950-1988 analysis of Canadian data [Queiroz 94] yielded the following equation:
PGNP^ = 0.86 + 1.33 (LPR) (1.4)
This equation is also plotted on Figure 1.1 (i.e., a comparison is provided of eqs. 1.2, 1.3, and 1.4, according to their inference space). There is relatively good consistency between the two equations for 98 countries and Canada. The United States has about 13 percent greater road density for any given PGNP value.
An interesting time lag analysis shows that the highest correlation exists for PGNP of a given year compared with LPR four years earlier (Figure 1.2). It suggests that a paved road investment today will
The Big Picture 5
0
25
5 10 15 20 Paved Road Density, km/thousand population
Figure 1.1 Comparison of data from US, Canada, and 98 developing countries, [after Queiroz 94].
-2-1012345 Number of Years Lagged
Figure 1.2 Correlation between real per capita GNP and lagged paved road density in the US. [after Queiroz 92].
result in an increased GNP, about four years later. This four-year time lag is in broad agreement with the "half a decade" lag period observed byAschauer [Aschauer 89].
A second comparison analysis between the supply and condition of paved road networks in 98 developing and developed countries is
6 The Challenge of Managing tntrastructure
<$54S W4S-SW >S*,000 KNrWB
PGNP
H Pived Roadi % Good Pived Rmdi
Figure 1.3 Average road density in low-, middle-, and high-income economies, [after Queiroz 92].
shown in Figure 1.3 [Queiroz 92]. The countries are grouped as defined by the World Bank [World 90]:
1. Low-income economies are those with a PGNP of $545 or less in 1988 (42 countries).
2. Middle-income economies are those with a PGNP of more than $545 but less than $6,000 in 1988 (43 countries).
3. High-income economies are those with a PGNP of $6,000 or more in 1988 (13 countries).
Figure 1.3 shows that the supply of good paved road infrastructure in high-income economies is dramatically higher than that in middle-and low-income economies.
A decline in maintenance and capital improvement investments may significantly affect the condition and adequacy of the infrastructure. This has been examined in detail for 23 states by the University of Colorado at Boulder in Hard Choices: A Report on the Increasing Gap between America's Infrastructure Needs and Our Ability to Pay for Them [Colorado 84]. The report shows that state and local infrastructure outlays have declined from 2.2 percent of GNP in 1961 to 1.9 percent in 1982 and have reduced across all regions of the US. For the US as a whole, US$450 billion (in 1982 dollars) was the estimated future infrastructure funding gap between available and needed outlays. The most dominant need was identified for highway and bridge infrastructure.
The Big Picture 7
1.1.2 Air transport and economic development
The air-transport industry and airport infrastructure in the United States has evolved in parallel with the nation's economic, industrial, and social development- With over 16,000 public airports [DOT 94], the US has more than the rest of the world combined. The world airport infrastructure and air-transportation system have also continually grown in recent years to meet the air-transport demands of passengers and freight. Between 1979 and 1988, world air traffic in terms of passenger kilometers grew annually at the rate of 5.5 percent and the number of freight kilometers grew at 7.5 percent annually, as compared to the 2.5 percent annual growth of GNP and 4 percent growth of international trade in the OECD (Organization for Economic Cooperation and Development) countries [Veldhuis 92]. These figures indicate the trend of increased air-transport share in the global economy.
1.1.3 Urban infrastructure and economic growth
Business communities, commercial enterprises and industries know the benefits of a well-maintained and well-served infrastructure system. According to Fortune magazine [Perry 89], in a 1988 Lou Harris survey of 250 companies conducted for Cushman & Wakefield, a real-estate firm, most respondents rated "easy access to domestic markets, customers, or clients" as the most important factor in choosing an office location. The survey ranked Atlanta, which boasts an impressive array of freeways, mass transit, and air-transportation facilities, as the No. 1 city in which to put a business. Says George Berry, Georgia Commissioner of Industry and Trade, "Transportation services are to Atlanta what gambling is to Las Vegas."
1.2 Infrastructure Definition
Infrastructure has been defined in many ways; for example, "those physical facilities that are sometimes called public works" [Grigg 88]. Public works have been defined by the American Public Works Association (APWA) as follows [Stone 74] :
Public works are the physical structures and facilities that are developed or acquired by the public agencies to house governmental functions and provide water, power, waste disposal, transportation, and similar services to facilitate the achievement of common social and economic objectives.
The National Science Foundation report on civil infrastructure systems states [NSF 94]:
8 The Challenge of Managing Infrastructure
A civilization's rise and fall is linked to its ability to feed and shelter its people and defend itself. These capabilities depend on infrastructure— the underlying, often hidden foundation of a society's wealth and quality of life. A society that neglects its infrastructure loses the ability to transport people and food, provide clean air and water, control disease, and conduct commerce.
The following infrastructure definition is given by the Associated General Contractors of America (AGCA), for all long-lived assets owned by local, state, and federal governments and utilities owned by businesses [Kwiatkowski 86]:
The nation's infrastructure is its system of public facilities, both publicly and privately funded, which provide for the delivery of essential services and a sustained standard of living. This interdependent, yet self-contained, set of structures provides for mobility, shelter, services, and utilities. It is the nation's highways, bridges, railroads, and mass transit systems. It is our sewers, sewage, sewage treatment plants, water supply systems, and reservoirs. It is our dams, locks, waterways, and ports. It is our electric, gas, and power-producing plants. It is our court houses, jails, fire houses, police stations, schools, post offices, and government buildings. America's infrastructure is the base upon which society rests. Its condition affects our life styles and security and each is threatened by its unanswered decay [AGCA 82].
The government accounting statements consider infrastructure to be the fixed assets of value to the government which include roads, bridges, curbs and gutters, streets and sidewalks, drainage systems, lighting systems, and similar assets that are immovable and of value only to the governmental unit. [Kwiatkowski 86J. Such a definition, while useful for accounting, ignores the value of the asset to the citizen.
In this book, infrastructure" refers to all these combined facilities that provide essential public services of transportation, utilities (water, gas, electric), energy, telecommunications, waste disposal, park lands, sports, and recreational and housing. Infrastructure also provides the physical systems used to provide other services to the public through economic and social actions. These infrastructure facilities and services are provided by both public agencies and private enterprises.
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