A Process for the Management of Physical Infrastructure
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NOT BE WITHDRAWN NOT FOR A PROCESS FOR THE MANAGEMENT OF PHYSICAL INFRASTRUCTURE by DAVID STUART THORPE BE (Civil, Hons), M Eng Sc, Grad Dip Bus Admin, B Bus (Dist) A Thesis Submitted for the Degree of Doctor of Philosophy Physical Infrastructure Centre Queensland University of Technology March 1998 Copyright© David Stuart Thorpe 1998 QUEENSLAND UNIVERSITY OF TECHNOLOGY DOCTOR OF PHILOSOPHY THESIS EXAMINATION CANDIDATE NAME David Thorpe CENTRE/RESEARCH CONCENTRATION Physical Infrastructure Centre PRINCIPAL SUPERVISOR Prof Rod Troutbeck ASSOCIATE SUPERVISOR(S) Prof Keith Wallace THESIS TITLE A Process for the Management of Physical Infrastructure Under the requirements of PhD regulation 9.2, the above candidate was examined orally by the Faculty. The members of the panel set up for this examination recommend that the thesis be accepted by the University and forwarded to the appointed Committee for examination. Name .. P.r.o.:e~?.$.QX .. R •. J., .. lr.o.u.tbe.ck................... Signature QUT Verified Signature Panel Chairperson (Principal Supervisor) Name .. r.r.9J~e.9.QX .. l\.J>., .. Wo.Uac:e ...................... Signature QUT Verified Signature , Panel Member Name. -~-~.C?.~~::>.~.C?X .. ~. -~~;i, t!Jl.9 ..t;~ .......................... Signature QUT Verified Signature Panel Member Name .. ~!.J?x~f.E?.~.~~r.. M.·.M0.l:l.E?DRJ:::i?-.Q. ..................... Signature QUT Verified Signature Panel Member Under the requirements of PhD regulation 9.15, it is hereby certified that the thesis of the above-named candidate has been examined. I recommend on behalf of the Thesis Examination Committee that the thesis be accepted in fulfillment of the conditions for the award of the degree of Doctor of Philosophy. Name .. J... ~~:'::0. ........... Signature QUT Verified Signature Date ... ~ .'/1)/.!..f .. Chair of Examiners (External Thesis Examinati Keywords alternative; analysis; analytic; asset; benefit; chart; civil; comparison; construction; cost; cycle; development; engineering; flow; gamma; hierarchy; infrastructure; integration; interaction; life; management; matrix; model; multiple; network; objectives; performance; planning; prioritisation; priority; probability; process; qualitative; rationalisation; road; sensitivity; statistical; time; truncation; variability v 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 Abstract Physical infrastructure assets are important components of our society and our economy. They are usually designed to last for many years, are expected to be heavily used during their lifetime, carry considerable load, and are exposed to the natural environment. They are also normally major structures, and therefore present a heavy investment, requiring constant management over their life cycle to ensure that they perform as required by their owners and users. Given a complex and varied infrastructure life cycle, constraints on available resources, and continuing requirements for effectiveness and efficiency, good management of infrastructure is important. While there is often no one best management approach, the choice of options is improved by better identification and analysis of the issues, by the ability to prioritise objectives, and by a scientific approach to the analysis process. The abilities to better understand the effect of inputs in the infrastructure life cycle on results, to minimise uncertainty, and to better evaluate the effect of decisions in a complex environment, are important in allocating scarce resources and making sound decisions. Through the development of an infrastructure management modelling and analysis methodology, this thesis provides a process that assists the infrastructure manager in the analysis, prioritisation and decision making process. This is achieved through the use of practical, relatively simple tools, integrated in a modular flexible framework that aims to provide an understanding of the interactions and issues in the infrastructure management process. The methodology uses a combination of flowcharting and analysis techniques. It first charts the infrastructure management process and its underlying infrastructure life cycle through the time interaction diagram, a graphical flowcharting methodology that is an extension of methodologies for modelling data flows in information systems. This process divides the infrastructure management process over time into self contained modules that are based on a particular set of activities, Vll the information flows between which are defined by the interfaces and relationships between them. The modular approach also permits more detailed analysis, or aggregation, as the case may be. It also forms the basis of ext~nding the infrastructure modelling and analysis process to infrastructure networks, through using individual infrastructure assets and their related projects as the basis of the network analysis process. It is recognised that the infrastructure manager is required to meet, and balance, a number of different objectives, and therefore a number of high level outcome goals for the infrastructure management process have been developed, based on common purpose or measurement scales. These goals form the basis of classifYing the larger set of multiple objectives for analysis purposes. A two stage approach that rationalises then weights objectives, using a paired comparison process, ensures that the objectives required to be met are both kept to the minimum number required and are fairly weighted. Qualitative variables are incorporated into the weighting and scoring process, utility functions being proposed where there is risk, or a trade-off situation applies. Variability is considered important in the infrastructure life cycle, the approach used being based on analytical principles but incorporating randomness in variables where required. The modular design of the process permits alternative processes to be used within particular modules, if this is considered a more appropriate way of analysis, provided boundary conditions and requirements for linkages to other modules, are met. Development and use of the methodology has highlighted a number of infrastructure life cycle issues, including data and information aspects, and consequences of change over the life cycle, as well as variability and the other matters discussed above. It has also highlighted the requirement to use judgment where required, and for organisations that own and manage infrastructure to retain intellectual knowledge regarding that infrastructure. Vlll It is considered that the methodology discussed in this thesis, which to the author's knowledge has not been developed elsewhere, may be used for the analysis of alternatives, planning, prioritisation of a number of projects, and identification of the principal issues in the infrastructure life cycle. ix Table of Contents CONTENTS PAGE CERTIFICATE RECOMMENDING ACCEPTANCE 111 KEYWORDS v ABSTRACT Vll TABLE OF CONTENTS Xl LIST OF TABLES XVll LIST OF FIGURES XlX STATEMENT OF ORIGINAL AUTHORSHIP xxiii ACKNOWLEDGMENTS XXV PART A 1 SURVEY OF ISSUES 1 INTRODUCTION 1.1 BACKGROUND 3 1.2 BASIC CONCEPTS 5 1.3 MANAGEMENT OF THE INFRASTRUCTURE LIFE CYCLE 8 1.4 OVERVIEW OF THE RESEARCH 12 1.5 STRUCTURE OF THE THESIS 18 2 REVIEW OF APPROACHES FOR MODELLING AND ANALYSING INFRASTRUCTURE LIFE CYCLE MANAGEMENT 2.1 INTRODUCTION 21 2.2 DESCRIPTION OF THE INFRASTRUCTURE LIFE CYCLE 22 XI 2.3 BASIC MODELLING APPROACHES 30 2.4 DETERMINISTIC APPROACHES 32 2.5 PROBABILISTIC APPROACHES 37 2.6 DISCUSSION 41 2.7 CONCLUSION 47 3 THE DEVELOPMENT OF AN INTEGRATED APPROACH TO MODELLING THE INFRASTRUCTURE MANAGEMENT PROCESS 3.1 INTRODUCTION 49 3.2 SCOPE OF THE MODELLING PROCESS 50 3.3 INTEGRATION OF THE INFRASTRUCTURE LIFE CYCLE 57 3.4 CHALLENGES WITH AN INTEGRATED MANAGEMENT 61 APPROACH 3.5 DISCUSSION 65 3.6 CONCLUSION 68 PARTB 69 REQUIREMENTS FOR MODELLING THE INFRASTRUCTURE MANAGEMENT PROCESS 4 REQUIREMENTS TO MEET IN AN IDEAL MODEL OF THE INFRASTRUCTURE MANAGEMENT PROCESS 4.1 INTRODUCTION 71 4.2 THE MAIN ISSUES 72 4.3 THE APPROPRIATE LEVEL OF DETAIL 75 XII 4.4 VARIABILITY 81 4.5 MULTIPLE OBJECTIVES 87 4.6 OTHER ISSUES RELATED TO MODEL CONSTRUCTION 100 4.7 DISCUSSION 101 4.8 CONCLUSION 105 5 APPROACHES FOR ADDRESSING THE RE-QUIREMENTS IN MODELLING THE INFRASTRUCTURE MANAGEMENT PROCESS 5.1 INTRODUCTION 107 5.2 OVERVIEW OF APPROACHES FOR ADDRESSING THE 107 REQUIREMENTS 5.3 APPROACHES - LEVEL OF DETAIL 110 5.4 APPROACHES - VARIABILITY 113 5.5 APPROACHES - MULTIPLE OBJECTIVES 124 5.6 APPROACHES - OTHER MODELLING ISSUES 130 5.7 DISCUSSION 135 5.8 CONCLUSION 137 PARTC 139 THE MODELLING AND ANAL YSJS PROCESS FOR INFRASTRUCTURE MANAGEMENT 6 DESCRIPTION OF A MODELLING PROCESS FOR INFRASTRUCTURE MANAGEMENT 6.1 INTRODUCTION 141 6.2 WHY THIS APPROACH WAS USED 142 6.3 ORIGINS OF THE APPROACH 145 xiii 6.4 DESCRIPTION OF THE BASIC APPROACH 149 6.5 AN EXAMPLE OF THE SIMPLIFIED MODELLING 154 PROCESS 6.6 DISCUSSION 162 6.7 CONCLUSION 164 7 THE TREATMENT OF ISSUES IN APPLYING THE PROCESS 7.1 INTRODUCTION 167 7.2 APPROPRIATE LEVEL OF DETAIL 168 7.3 VARIABILITY 172 7.4 MULTIPLE OBJECTIVES 182 7.5 OTHER MODELLING ISSUES 195 7.6 DISCUSSION 198 7.7 CONCLUSION 203 PARTD 205 APPLICATION OF THE PROCESS 8 AN EVALUATION OF THE PROCESS 8.1 INTRODUCTION 207 8.2 ILLUSTRATIVE EXAMPLE APPLICATION - ROAD LIFE 208 CYCLE 8.2. Introduction 208 8.2.2 Process Used 211 8.2.3 Variability 225 8.2.4 Review of Process 228 xiv 8.3 ILLUSTRATION OF THE ISSUES IN INFRASTRUCTURE 230 MANAGEMENT USING SELECTED MAJOR ROADWORKS PROJECTS 8.3.1 Introduction 230 8.3.2 South