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1 Introduction1

1.1 Scope1

The Book’s Scope1

This Chapter’s Scope1

1.2 Definitions of “Public Works” and “Infrastructure”1

1.3 Examples of Infrastructure Projects2

1.4 Categories of Public Infrastructure Projects3

1.5 Typical Infrastructure Planning Steps3

1.6 Goals and Objectives4

1.7 Programming and Budgeting Process of Public Works Agencies4

1.8 Evolution of Infrastructure Planning Process5

The Evolution and History of Modern Public Works Planning5

The Changing U.S.Federal Role in Infrastructure Planning6

Development of the Modern Infrastructure Planning Process7

The Effect of 9/11 on Planning7

1.9 Relationships between Infrastructure and Development8

1.10 Several Important Principles for Project Designs in Developing Countries9

1.11 Federal Infrastructure Strategy Program10

1.12 Infrastructure Asset Management12

2 Planning Contexts，Perspectives，and Objectives15

2.1 Scope15

Some Words of Caution！15

2.2 Planning Sequences15

2.3 Basic Contexts for Planning Public Works and Infrastructure16

2.4 Some Important Perspectives for Public Works and Infrastructure20

Additional Important Considerations in Infrastructure Planning25

2.5 Previously Mentioned “New” Objectives and Issues26

2.6 Economic Objectives in the United States27

2.7 Infrastructure Programs Which Do Not Require Benefit-Cost Analysis29

2.8 Private Enterprises and Infrastructure Planning30

2.9 System of Law31

2.10 Federal Law32

2.11 State and Local Law32

2.12 Eminent Domain and Zoning33

2.13 Water Rights34

2.14 Other Comments Concerning Legal and Institutional Issues34

3 Planning and Appraisal of Major Infrastructure Projects37

3.1 Scope37

3.2 Sequence of Studies for a Single Major Infrastructure Project38

3.3 First Stage：Preliminary （or Reconnaissance） Report38

3.4 Second Stage：Feasibility Report39

3.5 Third Stage：Final Design and Preparation of Contract Documents42

3.6 Fourth Stage：Construction43

3.7 Fifth Stage：Operation43

3.8 Formulation of a Major Engineering Project43

3.9 Project Costs45

Format of Budget Estimate of Investment Cost45

Estimate of Annual Cost47

Components of Project Construction and Investment Costs48

Components of Annual Costs51

Use of Indexes to Adjust Cost Estimates53

3.10 Costs for Professional Planning and Construction Services54

3.11 Appraisal Process Before Approval of a Major Project57

3.12 Project Delivery Methods57

Introduction57

Features of Principal Types of Project Delivery Methods58

Project Contract Types58

Traditional Project Delivery Methods59

Alternative Project Delivery Methods59

4 Screening Projects and Master Planning61

4.1 Scope61

4.2 Planning Area61

4.3 Needs，Problems，and Opportunities in Planning Studies62

4.4 Screening Procedure for Single-Purpose Projects—Emphasis on Function，Engineering Factors，and Cost63

4.5 Case Study：Screening Procedure for Single-Purpose Projects—Emphasis on Function and Environmental/Social Factors66

4.6 Screening Procedure for Projects within a System，and for Projects That Serve Multiple Purposes and/or Multiple Objectives68

4.7 Concepts of Master Planning Reports for a Defined Geographic Area68

4.8 Hypothetical Master Planning Report as Synthesis of Numerous Comprehensive Studies69

4.9 Review and Adjustment of Data for Master and Regional Planning71

4.10 Case Study—Review and Adjustment of Proposals Prepared by Different Planners72

5 Municipal Infrastructure Systems—Performance and Prioritization Measures75

5.1 Scope75

5.2 Measures of System Performance of Various Public Works Elements and Types—National Research Council Studies75

5.3 Trade-Offs between Repair，Renewals and Replacements，and New Construction79

5.4 Cost-Effectiveness Measures for Projects of a Routine Nature89

5.5 Prioritization of Projects for Maintenance，Rehabilitation，and Replacement of Local Infrastructure Systems—Urban Institute Studies90

5.6 Data Collection and Analysis for Decision Making—Case Studies of Water Distribution Systems93

6 Comparisons of Infrastructure Alternatives103

6.1 Scope103

6.2 Methods for Comparing and Prioritizing Infrastructure Alternatives104

6.3 Formulas Involving Discount Rate and Use of Spreadsheets104

6.4 Examples Showing Solutions of Problems Involving Comparisons of Public Works Alternatives，Using Interest Formulas and Spreadsheets106

Some Variations of the Examples and the Use of Conversion Formulas108

6.5 Levelized Unit Cost or Price110

6.6 Life-Cycle Analysis110

6.7 Life-Cycle Analysis of Pavement Schemes112

6.8 Comparing Alternatives with Multiple Attributes114

6.9 Generic Matrix Approach for Comparing Alternatives with Multiple Attributes115

Introduction119

Implementation of Six-Step Method119

7 Planning Aids123

7.1 Scope123

Some Words of Caution！123

7.2 Basic Data for Planning124

7.3 Classification of Data124

7.4 Aerial Photos，Remote Sensing，GPS，and Satellites125

7.5 Geographic Information Systems （GIS）126

7.6 Computer-Aided Design （CAD）126

7.7 Computerized Data Banks and Displays127

7.8 Overlays and Other Techniques for Suitability Mapping127

7.9 Generalized Estimates127

7.10 Forecasting Models for Infrastructure Planning129

7.11 Population Projections and Other Demographic Studies130

Population Studies-Basic Concepts131

Brief Descriptions of the Principal Methods of Population Projection132

Discussion and Examples of Population Projections133

Demographic Impact of Infrastructure Projects136

8 Financial Analyses137

8.1 Scope137

8.2 Types of Financial Analyses137

8.3 General Principles for Application of Financial Analyses138

8.4 Financial Analyses for a Municipal Water Supply Project139

8.5 Financial Analyses for Project with Different Sponsorships147

Features of the Tables148

Financial Results149

Sensitivity and Risk Analyses150

8.6 Financial Analyses with Multiple Financing Sources152

Project Arrangement153

Scheme Assumed for Financing153

Repayment of Main Supply System Costs154

8.7 Break-Even Points as Financial Indicators156

8.8 Management of Debt Service Based on Financial Analysis158

8.9 Cost Allocations and Subsidies159

Subsidies for Federal Water Resources Projects160

Subsidies for Transportation160

Deficiencies of Subsidy Programs160

8.10 Accounting for Inflation in Financial Analyses161

8.11 Financial Issues for Local Governments161

8.12 Financial Analyses of Privatization Schemes164

8.13 The Privatization Movement168

8.14 Privatization of Existing Public Works171

8.15 Outsourcing （Contracting Out of Public Services）172

8.16 Accounting Documents and Issues174

9 Economic Analyses—Concepts177

9.1 Scope177

9.2 General Concepts of Economic Analysis for Public Works178

General Concepts178

Special Considerations in Economic Analysis179

9.3 Some Principles of Methodologies for Economic Analysis of Public Works180

9.4 Examples of Benefits Conforming to the Measurement Standard183

9.5 Practical Methodologies Incorporating Multiple Objectives183

9.6 Price Elasticity184

9.7 Preferred Scale of Development （Considering Only Economic Efficiency）184

9.8 Benefit-Cost Ratio and Other Measures for Ranking Projects in the United States186

9.9 Characteristics of Benefit-Cost Ratio and Internal Rate of Return187

9.10 Selection of Discount （Interest） Rate187

9.11 Accounting for Inflation in Economic Analysis188

9.12 Accounting for External Economies and Diseconomies in Economic Analysis189

9.13 With-and-Without Basis of Analysis—The Base Case （No Action Alternative）189

9.14 Local Infrastructure Costs as a Consideration in Economic Analysis189

9.15 Value of Human Life as a Consideration in Economic Analysis190

9.16 Application of Shadow Pricing in Economic Analysis190

9.17 Accounting for Risk and Uncertainty in Economic Analysis192

Benefit-Cost Analyses That Consider the Frequencies of Natural Events193

Economic Allowance for Catastrophic Events194

Benefit-Cost Analyses When Benefits and/or Costs or Their Components Have Probability Distributions195

9.18 Allocation of Costs of Multipurpose Projects195

Introduction195

SCRB Method196

9.19 Models for Estimating Economic Effects due to Infrastructure Development198

Microeconomic and Macroeconomic Analyses198

10 Economic Analyses—Applications199

10.1 Scope199

10.2 Scope of Evaluations and Costs and Benefits199

10.3 Format for Benefit-Cost Calculations200

10.4 Example of Benefit-Cost Analysis of Municipal Water Supply 203

10.5 Examples of Benefit-Cost Analyses of Transportation Projects206

User Benefit Analysis for Highways206

Example of User Benefit Analysis Using the AASHTO Guidelines208

10.6 Examples of Benefit-Cost Analyses That Illustrate Differences with Government or Private Sponsorship213

Isolated Power Project214

10.7 Example of Benefit-Cost Analysis with Application of Probability Analysis216

10.8 Example of Benefit-Cost Analysis with Application of Sensitivity Analysis218

10.9 Example of Cost Allocation for Facility Serving Multiple Purposes and/or Multiple Projects220

10.10 Examples Comparing Benefit-Cost Analysis with Sufficiency Ratings and Cost-Effectiveness Measures221

10.11 I-O Analysis of Benefits for Estimate of B/C Ratio222

11 Environmental and Social Impact Assessment—Concepts，Requirements，and Procedures225

11.1 Scope225

11.2 General Concepts of Environmental and Social Impact Assessment226

11.3 United States Laws，Regulations，and Policies Regarding Environmental and Social Impact Assessments232

11.4 CEQ Guidelines for Environmental Impact Statements232

11.5 Interpretation of NEPA and CEQ Rules236

11.6 EPA Role in EIA and EIS Process236

11.7 Scopingforthe EIS238

11.8 The Ecological and Human Environments—Categories，Attributes，and Parameters239

11.9 Identification of Environmental and Social Impacts over Project Area and over Project Cycle240

11.10 Special Considerations Involving Land and Water Interrelationships，Energy Consumption，and Air Quality241

11.11 Comparison of Project Alternatives Involving Environmental and Social Impacts，Including Examples242

12 Environmental and Social Impact Assessment—Additional Analysis and Issues245

12.1 Scope245

12.2 Concepts of Human Environment，Human Well-Being，Social Well-Being，Social Welfare，and Quality of Life246

12.3 Relationships Involving Infrastructure，Quality of Life，Business Development，and Urban Growth247

12.4 Scope of Social Impact Assessments247

12.5 Environmental Justice249

12.6 Sustainability and Environmental Economics250

12.7 Environmental Economics—General Concepts251

12.8 Studies by Government Agencies on Environmental Economics252

12.9 Cost-Effectiveness Basis for Meeting Environmental Quality Objectives252

12.10 Benefit-Cost Basis for Environmental Planning254

12.11 Role of Public Involvement in Planning255

12.12 Purposes and Beneefits of Public Participation255

12.13 Requirements for Public Participation256

12.14 Factors That Contribute to Effective Participation256

12.15 Descriptions of Public Participation and Education Techniques257

12.16 Case Study—New Hampshire Route 16 Corridor Study257

13 Sustainability265

13.1 Introduction and Scope265

13.2 Historical Context266

Conservation Movement266

Environmental Movement267

Global Warming Concerns267

13.3 Sustainable Development and Sustainabity268

13.4 Dimensions of Sustainabityty270

Social and Environmental Dimensions of Sustainabity270

Economic Dimensions of Sustainability271

13.5 Weak and Strong Sustainability271

13.6 Sustainability Models271

13.7 Approaches to Sustainability Issues in Infrastructure Planning272

13.8 Global Implications of Sustainability274

13.9 Sustainability Indexes279

14 Planning for Uncertainty and Risk285

14.1 Scope285

14.2 Uncertainty，Sensitivity，and Risk：Recapitulation of Concepts and Case Studies285

14.3 Risk and Uncertainty Analysis in Planning Organizations285

14.4 Selection of Parameters for Risk Analysis288

14.5 Accounting for Unforeseen Changes and Events289

14.6 Common Sense and Intuition in Decision Making290

Six Criteria for an Effective Decision-Making Process290

Eight Keys to Effective Decision-Making291

14.7 Decision Theory292

Some Basic Concepts and Terms of Decision Analysis，Including the Payoff Matrix292

14.8 Utility Theory294

Paradigm of Decision Analysis Using Decision Trees295

14.9 Decision Analysis Approaches297

14.10 Example of a Decision Tree Analysis for Infrastructure Planning298

14.11 Application of Bayes Theorem to Decision Tree Problems299

14.12 Analytic Hierarchy Process （AHP） for Comparing Alternatives with Multiple Attributes302

Concepts of the Analytic Hierarchy Process and Summary Description of Methodology303

Case Study of Hypothetical Water Resources Project in Developing Country303

Some Methodological Details of the Case Study307

Appropriateness of the AHP309

Applications of AHP309

14.13 Other Infrastructure Planning Applications That Consider Uncertainty311

15 Operations Research Methods for Planning and Analysis313

15.1 Scope313

15.2 Nature and Applicability of Mathematical Models313

15.3 Mathematical Programming Models316

Linear Programming316

Dynamic Programming319

Other Optimization Techniques for Mathematical Programming Problems321

15.4 Simulation Models321

15.5 Applicability of Mathematical Models with Multiple Objectives and/or Criteria325

15.6 Artificial Intelligence Systems328

Fuzzy Logic and Its Use for AI Systems329

Programming Languages330

Example of Application of AI Methods to Project Operation331

15.7 Decision Support Models：Expert Systems332

General Concepts of Expert Systems332

Expert Systems for Infrastructure Evaluation and Repair333

15.8 Other Tools for Economic Models335

Econometric Models335

Export/Economic-Base Models335

Multipliers and Accelerators337

Simulation/Dynamic Models338

Linking of Models339

Problems341

References371

Index391