Infrastructure Planning Handbook: Planning, Engineering, and Economics

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Infrastructure Planning Handbook: Planning, Engineering, and Economics

Infrastructure Planning Handbook: Planning, Engineering, and Economics

Authors: Alvin S. Goodman and Makarand Hastak

Published: 2006

ISBN: 9780071712149 0071474943

CONTENTS

Preface

Chapter 1. Introduction

1.1. Scope

1.2. Definitions of “Public Works” and “Infrastructure”

1.3. Examples of Infrastructure Projects

1.4. Categories of Public Infrastructure Projects

1.5. Typical Infrastructure Planning Steps

1.6. Goals and Objectives

1.7. Programming and Budgeting Process of Public Works Agencies

1.8. Evolution of the Infrastructure Planning Process

1.9. Relationships between Infrastructure and Development

1.10. Federal Infrastructure Strategy Program (Studies 1991–1995)

Problems

Chapter 2. Planning Contexts, Perspectives, and Objectives

2.1. Scope

2.2. Planning Sequences

2.3. Basic Contexts for Planning Public Works and Infrastructure

2.4. Some Important Perspectives for Public Works and Infrastructure

2.5. Goals and Objectives of Public Works Elements and Types

2.6. Previously Mentioned “New” Objectives and Issues

2.7. Economic Objectives in the United States

2.8. Infrastructure Programs That Do Not Require Benefit-Cost Analysis

2.9. Private Enterprises and Infrastructure Planning

Problems

Chapter 3. Planning and Appraisal of Major Infrastructure Projects

3.1. Scope

3.2. Sequence of Studies for a Single Major Infrastructure Project

3.3. First Stage: Preliminary (or Reconnaissance) Report

3.4. Second Stage: Feasibility Report

3.5. Third Stage: Final Design and Preparation of Contract Documents

3.6. Fourth Stage: Construction

3.7. Fifth Stage: Operation

3.8. Formulation of a Major Engineering Project

3.9. Project Costs

3.10. Appraisal Process before Approval of a Major Project

3.11. Appraisals by U.S. Government Agencies

Problems

Chapter 4. Screening Projects and Master Planning

4.1. Scope

4.2. Planning Area

4.3. Needs, Problems, and Opportunities in Planning Studies

4.4. Case Study: Screening Procedure for Single-Purpose Projects—Emphasis on Function, Engineering Factors, and Cost

4.5. Case Study: Screening Procedure for Single-Purpose Projects—Emphasis on Function and Environmental/Social Factors

4.6. Screening Procedure for Systems of Projects, and for Projects That Serve Multiple Purposes and/or Multiple Objectives

4.7. Concepts of Master Planning Reports for a Defined Geographic Area

4.8. Hypothetical Report as Synthesis of Numerous Comprehensive Studies

4.9. Review and Adjustment of Data for Master and Regional Planning

4.10. Case Study: Review and Adjustment of Proposals Prepared by Different Planners

Problems

Chapter 5. Municipal Infrastructure Systems: Performance and Prioritization

5.1. Scope

5.2. Measures of System Performance of Various Public Works Elements and Types: National Research Council Studies

5.3. Trade-Offs between Repair, Renewals, Replacements, and New Construction

5.4. Cost-Effectiveness Measures for Projects of a Routine Nature

5.5. Prioritization of Projects for Maintenance, Rehabilitation, and Replacement of Local Infrastructure Systems: Urban Institute Studies

5.6. Data Collection and Analysis for Decision-Making: Case Studies of Water Distribution Systems

Problems

Chapter 6. Comparisons of Infrastructure Alternatives

6.1. Scope

6.2. Methods for Comparing and Prioritizing Infrastructure Alternatives

6.3. Formulas Involving Discount Rate and Use of Spreadsheets

6.4. Ten Examples Showing Solutions of Problems Involving Comparisons of Public Works Alternatives, Using Interest Formulas and Spreadsheets

6.5. Levelized Unit Cost or Price

6.6. Life-Cycle Analysis

6.7. Life-Cycle Analysis of Pavement Schemes

6.8. Comparing Alternatives with Multiple Attributes

6.9. Generic Matrix Approach for Comparing Alternatives with Multiple Attributes

6.10. Analytical Hierarchy Process for Comparing Alternatives with Multiple Attributes

Problems

Chapter 7. Planning Aids

7.1. Scope

7.2. Basic Data for Planning

7.3. Classification of Data

7.4. Aerial Photos, Remote Sensing, GPS, and Satellites

7.5. Geographic Information Systems (GIS)

7.6. Computer-Aided Design (CAD)

7.7. Computerized Data Banks and Displays

7.8. Overlays and Other Techniques for Suitability Mapping

7.9. Generalized Estimates

7.10. Forecasting Models for Infrastructure Planning

7.11. Population Projections and Other Demographic Studies

7.12. Decision Support Models: Expert Systems

Problems

Chapter 8. Financial Analyses

8.1. Scope

8.2. Types of Financial Analyses

8.3. General Principles for Application of Financial Analyses

8.4. Financial Analyses for a Municipal Water Supply Project

8.5. Financial Analyses for Project with Different Sponsorships

8.6. Financial Analyses with Multiple Financing Sources

8.7. Financial Analysis of Multiunit and Multipurpose Programs

8.8. Break-Even Points as Financial Indicators

8.9. Management of Debt Service Based on Financial Analysis

8.10. Cost Allocations and Subsidies

8.11. Accounting for Inflation in Financial Analyses

8.12. Financial Issues for Local Governments

8.13. Financial Analyses of Privatization Schemes

8.14. Accounting Documents and Issues

Problems

Chapter 9. Economic Analyses: Concepts

9.1. Scope

9.2. General Concepts of Economic Analysis for Public Works

9.3. Some Principles of Methodologies for Economic Analysis of Public Works

9.4. Examples of Benefits Conforming to the Measurement Standard

9.5. Social Welfare Function, Indifference Curves, and Trade-Offs

9.6. Practical Methodologies Incorporating Multiple Objectives

9.7. Demand Curves and Price Elasticities

9.8. Preferred Scale of Development (Considering Only Economic Efficiency)

9.9. Benefit-Cost Ratio and Other Measures for Ranking Projects in the United States

9.10. Characteristics of Benefit-Cost Ratio and Internal Rate of Return

9.11. Selection of Discount (Interest) Rate

9.12. Accounting for Inflation in Economic Analysis

9.13. Accounting for External Economies and Diseconomies in Economic Analysis

9.14. With-and-Without Basis of Analysis: The Base Case (No Action Alternative)

9.15. Local Infrastructure Costs as a Consideration in Economic Analysis

9.16. Value of Human Life as a Consideration in Economic Analysis

9.17. Application of Shadow Pricing in Economic Analysis

9.18. Accounting for Risk and Uncertainty in Economic Analysis

9.19. Allocation of Costs of Multipurpose Projects

9.20. Models for Estimating Economic Effects due to Infrastructure Development

9.21. Common Errors in Economic Evaluation

Problems

Chapter 10. Economic Analyses: Applications

10.1. Scope

10.2. Scope of Evaluations and Costs and Benefits

10.3. Format for Benefit-Cost Calculations

10.4. Example of Benefit-Cost Analysis of Municipal Water Supply

10.5. Examples of Benefit-Cost Analyses of Transportation Projects

10.6. Examples of Benefit-Cost Analyses That Illustrate Differences with Government or Private Sponsorship and with Isolated or System Operation

10.7. Example of Benefit-Cost Analysis with Application of Probability Analysis

10.8. Example of Benefit-Cost Analysis with Application of Sensitivity Analysis

10.9. Example of Cost Allocation for Facility Serving Multiple Purposes and/or Multiple Projects

10.10. Examples Comparing Benefit-Cost Analysis with Sufficiency Ratings and Cost-Effectiveness Measures

10.11. Example of Implicit Consideration of Objectives in Trade-Offs and Priorities

10.12. Macroeconomics and Examples of Input-Output Analysis

10.13. Other Tools for Economic Models

Problems

Chapter 11. Environmental and Social Impact Assessment: Concepts, Requirements, and Procedures

11.1. Scope

11.2. General Concepts of Environmental and Social Impact Assessment

11.3. United States Laws, Regulations, and Policies Regarding Environmental and Social Impact Assessments

11.4. CEQ Guidelines for Environmental Impact Statements

11.5. Interpretation of NEPA and CEQ Rules

11.6. The EPA Role in the EIA and EIS Process

11.7. Scoping for the EIS

11.8. The Ecological and Human Environments: Categories, Attributes, and Parameters

11.9. Identification of Environmental and Social Impacts over Project Area and over Project Cycle

11.10. Special Considerations Involving Land and Water Interrelationships, Energy Consumption, and Air Pollution

11.11. Comparison of Project Alternatives Involving Environmental and Social Impacts, including Examples

11.12. Practices of Other Countries and International Agencies

Problems

Chapter 12. Environmental and Social Impact Assessment: Additional Analyses and Issues

12.1. Scope

12.2. Concepts of Human Environment, Human Well-Being, Social Well-Being, Social Welfare, and Quality of Life

12.3. Relationships Involving Infrastructure, Quality of Life, Business Development, and Urban Growth

12.4. Scope of Social Impact Assessments

12.5. Social Science Methods Applicable to Social Impact Assessments

12.6. Mathematical Models for Projecting Socioeconomic Impacts at the Community Level

12.7. Environmental Justice

12.8. Sustainability and Environmental Economics

12.9. Environmental Economics: General Concepts

12.10. Studies by the U.S. Army Corps of Engineers on Environmental Economics

12.11. Cost-Effectiveness Basis for Meeting Environmental Quality Objectives

12.12. Benefit-Cost Basis for Environmental Planning

12.13. Benefit-Cost Analysis, as Influenced by Ecological Economics Concepts

12.14. Environmental Economics Applied to Analysis of National Income Accounts

Problems

Chapter 13. Public Involvement

13.1. Scope

13.2. Role of Public Involvement in Planning

13.3. Purposes and Benefits of Public Participation

13.4. Requirements for Public Participation

13.5. Factors That Contribute to Effective Participation

13.6. Descriptions of Public Participation and Education Techniques

13.7. Case Study: New Hampshire Route 16 Corridor Study

Problems

Chapter 14. Legal and Institutional Aspects

14.1. Scope

14.2. System of Law

14.3. Federal Law

14.4. State and Local Law

14.5. Eminent Domain and Zoning

14.6. Water Rights

14.7. Summary of Environmental Laws and Regulations

14.8. Conflict Management and Resolution

14.9. Criteria for Institutional Structures

14.10. Powers, Responsibilities, and Organizations

14.11. Institutional Problems in Developing Countries

14.12. Other Comments Concerning Legal and Institutional Issues

14.13. Public Works Management Practices of Local Government Agencies

14.14. The Privatization Movement

14.15. Methods of Privatization

14.16. Privatization of Existing Public Works

14.17. Outsourcing (Contracting Out of Public Services)

Problems

Chapter 15. Special Planning Issues for Developing Countries

15.1. Scope and Introduction

15.2. Planning Concepts and Methodologies Previously Discussed

15.3. Several Important Principles for Project Designs in Developing Countries

15.4. Project Appraisals by International Aid Agencies

15.5. Planning Contexts and Dichotomies

15.6. A Perspective of Economic Conditions in Developing Countries

15.7. A Perspective of Economic Development Needs by the UN and World Bank

15.8. A Perspective of the Infrastructure Crisis

15.9. Sustainability

Problems

Chapter 16. Construction and Professional Services

16.1. Scope

16.2. Project Delivery Methods

16.3. Design-Build Contracts

16.4. Build-Operate-Transfer Contracts

16.5. Bid Documents for Construction

16.6. Project Development Process (PDP), Constructability Review Process (CRP) and Value Engineering (VE)

16.7. Costs for Professional Planning and Construction Services

16.8. Scheduling and Management of Planning Services by CPM and PERT

Problems

Chapter 17. Planning for Uncertainty and Risk

17.1. Scope

17.2. Uncertainty, Sensitivity and Risk: Recapitulation of Concepts and Case Studies

17.3. Risk and Uncertainty Analysis in Planning Organizations

17.4. Risk Value Scales: Actual and Perceived

17.5. Selection of Parameters for Risk Analysis

17.6. Accounting for Unforeseen Changes and Events

17.7. Common Sense and Intuition in Decision-Making

17.8. Simulation Approaches for Projections with Sensitivity and Risk Analysis

17.9. Decision Analysis Approaches

17.10. Example of a Decision Tree Analysis for Infrastructure Planning

17.11. Application of Bayes Theorem to Decision Tree Problems

17.12. Other Infrastructure Planning Applications That Consider Uncertainty

Problems

Chapter 18. Operations Research Methods for Planning and Analysis

18.1. Scope

18.2. Nature and Applicability of Mathematical Models

18.3. Mathematical Programming Models

18.4. Simulation Models

18.5. Applicability of Mathematical Models with Multiple Objectives and/or Criteria

18.6. Outranking Methods

18.7. Artificial Intelligence Systems

18.8. Decision Theory

18.9. Utility Theory

Problems

References

Index