1. 1 Infrastructure and Society 2 Infrastructure Definition

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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



187 190 194 198 203


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


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,


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.


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)


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



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


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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