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Measuring and Improving Infrastructure Performance Measuring and Improving Infrastructure Performance COMMITTEE ON MEASURING AND IMPROVING INFRASTRUCTURE PERFORMANCE BOARD ON INFRASTRUCTURE AND THE CONSTRUCTED ENVIRONMENT COMMISSION ON ENGINEERING AND TECHNICAL SYSTEMS NATIONAL RESEARCH COUNCIL NATIONAL ACADEMY PRESS WASHINGTON, D.C. 1995
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Measuring and Improving Infrastructure Performance NOTICE: The project that is the subject of this report was approved by the Governing Board of the National Research Council, whose members are drawn from the councils of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. The members of the committee responsible for the report were chosen for their special competencies and with regard for appropriate balance. This report has been reviewed by a group other than the authors according to procedures approved by a Report Review Committee consisting of members of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. Upon the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and technical matters. Dr. Bruce M. Alberts is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achievements of engineers. Dr. Robert M. White is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, upon its own initiative, to identify issues of medical care, research, and education. Dr. Kenneth I. Shine is president of the Institute of Medicine. The National Research Council was established by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy's purposes of furthering knowledge and of advising the federal government. Functioning in accordance with general policies determined by the Academy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine. Dr. Bruce M. Alberts and Dr. Robert M. White are chairman and vice-chairman, respectively, of the National Research Council. Funding for the project was provided through the following contract with the Department of the Army Corps of Engineers, Contract No. DACW72-93-C-004. Library of Congress Catalog Card Number: 95-68207 International Standard Book Number: 0-309-05098-7 Additional copies of this report are available from: National Academy Press 2101 Constitution Avenue, NW Box 285 Washington, D.C. 20055 800-624-6242 or 202-334-3313 (in the Washington Metropolitan area) Copyright 1995 by the National Academy of Sciences. All rights reserved. Printed in the United States of America.
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Measuring and Improving Infrastructure Performance COMMITTEE ON MEASURING AND IMPROVING INFRASTRUCTURE PERFORMANCE JARED L. COHON, Chair, Dean, School of Forestry and Environmental Studies, Yale University, New Haven, Connecticut W. BRUCE ALLEN, Professor of Public Policy and Management, The Wharton School, University of Pennsylvania, Philadelphia L. G. (GARY) BYRD, Consulting Engineer, Alexandria, Virginia RANDALL W. EBERTS, Executive Director, W.E. Upjohn Institute for Employment Research, Kalamazoo, Michigan HUGH ELLIS, Department of Geography and Environmental Engineering, The Johns Hopkins University, Baltimore, Maryland HAROLD T. GLASER, Vice President, Montgomery Watson, Pasadena, California GARETH M. GREEN, Associate Dean for Professional Education and Director, Master of Public Health Programs, Harvard School of Public Health, Boston, Massachusetts FRANNIE HUMPLICK, Infrastructure Economist, The World Bank, Washington, D.C. ELLIS L. JOHNSON, Professor of School of Industry and Systems Engineering, Georgia Institute of Technology, Atlanta LANCE A. NEUMANN, President, Cambridge Systematics, Inc., Cambridge, Massachusetts VIET NGO, P.E., President, Lemna Corporation, Mendota Heights, Minnesota SERGIO RODRIGUEZ, AICP, Assistant City Manager, Planning, Building and Zoning Department, City of Miami, Florida GEORGE ROWE, Consultant, Cincinnati, Ohio KENNETH I. RUBIN, President, Apogee Research Inc., Bethesda, Maryland IRAJ ZANDI, Professor of Systems and National Center Professor of Resource Management and Technology, Department of Systems, University of Pennsylvania, Philadelphia Sponsor Liaisons EUGENE Z. STAKHIV, Chief, Policy Division, Institute for Water Resources, Fort Belvoir, Virginia JAMES F. THOMPSON, JR., Analyst, Engineers Strategic Studies Center, Fort Belvoir, Virginia
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Measuring and Improving Infrastructure Performance Other Government Liaisons KEN CHONG, Director, Structural Systems and Construction Processes, National Science Foundation, Arlington, Virginia CHARLES W. NEISSNER, Research Highway Engineer, Office of Advanced Research, Federal Highway Administration, McLean, Virginia JOHN B. SCALZI, Program Director for Structures and Building Systems, National Science Foundation, Arlington, Virginia JOHN SMART, Chief, Civil Engineering Division, Bureau of Reclamation, Denver, Colorado Staff ANDREW C. LEMER, Director SUSAN COPPINGER, Administrative Assistant SUSAN MORGAN, Administrative Assistant MARY McCORMACK, Project Assistant
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Measuring and Improving Infrastructure Performance BOARD ON INFRASTRUCTURE AND THE CONSTRUCTED ENVIRONMENT (SINCE 1994) GEORGE BUGLIARELLO, Chair, Chancellor, Polytechnic University, Brooklyn, New York CATHERINE BROWN, Director of Special Projects, Design Center for American Urban Landscape, University of Minnesota, Minneapolis NANCY RUTLEDGE CONNERY, Consultant, Public Works Infrastructure, Woolwich, Maine LLOYD A DUSCHA, Consulting Engineer, Reston, Virginia ALBERT A. GRANT, Consulting Engineer, Potomac, Maryland E. R. HEIBERG III, Consultant, Mason Neck, Virginia RONALD W. JENSEN, Public Works Director, City of Phoenix, Arizona JAMES K. MITCHELL, Charles E. Via, Jr., Professor of Civil Engineering, Virginia Polytechnic Institute, Blacksburg HAROLD J. P MELEE, President, Turner Construction Company, New York, New York STANLEY W. SMITH, Consultant, McLean, Virginia RAYMOND L. STERLING, Shimizu Professor of Civil and Mineral Engineering, Director, Underground Space Center, University of Minnesota, Minneapolis Staff DENNIS CHAMOT, Director HENRY A. BORGER, Executive Secretary, Federal Construction Council SUSAN COPPINGER, Administrative Assistant LENA B. GRAYSON, Program Assistant
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Measuring and Improving Infrastructure Performance BUILDING RESEARCH BOARD (1993-1994) HAROLD J. PARMELEE, Chair, President, Turner Construction Company, New York, New York LYNN S. BEEDLE, University Distinguished Professor of Civil Engineering and Director, Council on Tall Buildings and Urban Habitat, Lehigh University, Bethlehem, Pennsylvania CATHERINE BROWN, Director of Special Projects, Design Center for American Urban Landscape, University of Minnesota, Minneapolis NANCY RUTLEDGE CONNERY, Consultant, Woolwich, Maine AUGUSTINE A. DiGIACOMO, Partner, Jaros, Baum, and Bolles, Consulting Engineers, New York, New York DELON HAMPTON, Delon Hampton & Associates, Washington, D.C. DONALD G. ISELIN, U.S.N. Retired, Consultant, Santa Barbara, California GARY T. MOORE, Professor of Architecture and Director, Wisconsin Space Grant Consortium, University of Wisconsin, Milwaukee WALTER P. MOORE, President and Chairman of the Board, Walter P. Moore and Associates, Inc., Houston, Texas J. W. MORRIS, U.S.A. Retired, President, J. W. Morris Ltd., Arlington, Virginia BRIAN P. MURPHY, Senior Vice President, Prudential Property Company, Prudential Plaza, Newark, New Jersey JEROME J. SINCOFF, American Institute of Architects, President, Hellmuth, Obata & Kassabaum, Inc., St. Louis, Missouri Staff ANDREW C. LEMER, Director (1988-1993) HENRY A. BORGER, Executive Secretary, Federal Facilities Council LENA B. GRAYSON, Program Assistant MARY McCORMACK, Project Assistant
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Measuring and Improving Infrastructure Performance TABLE OF CONTENTS EXECUTIVE SUMMARY 1 1 INTRODUCTION 21 Source and Conduct of the Study, 22 Infrastructure Performance and Improvement in Context, 23 The Study's Focus and Scope, 25 Seeking Representative Experience, 26 Performance Measurement in Practice, 27 The Report's Structure, 30 2 INFRASTRUCTURE PERFORMANCE AND ITS MEASUREMENT 32 The Basic Concept of Performance, 33 Performance Compared with Other Concepts: Need, Demand, and Benefits, 36 The Variety of Stakeholders, 38 Dimensions of Effectiveness, 39 Determining Whether Performance is "Good", 40 Bases for Judging Good Performance, 41 Diverging from the NCPWI's Framework, 43 3 THE PERFORMANCE ASSESSMENT PROCESS 46 Motivation, 46 The Generic Process, 47 The Resulting Measures and Their Use, 52 Levels and Pathways of Participation and Authority, 56
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Measuring and Improving Infrastructure Performance 4 MEASURES OF INFRASTRUCTURE PERFORMANCE 59 Taking Stock, 61 Data as a Concern, 65 Principles for Selecting Performance Measures, 66 Measures of Effectiveness, 67 Measures of Reliability, 75 Measures of Cost, 76 Benchmarks and Standards for Assessment, 77 Using Performance Measures, 78 5 INFRASTRUCTURE IMPROVEMENT THROUGH PERFORMANCE-BASED MANAGEMENT 83 Multiple Objectives and Views, 83 Dealing with Multiple Jurisdictions and Modes, 86 Uncertainty and Risk in Infrastructure Decision Making, 89 6 FINDINGS, CONCLUSIONS, AND RECOMMENDATIONS 94 Helping Decision Makers, 95 Improving Performance, 99 7 REFERENCES 101 APPENDIXES A Statement of Task 103 B Biographical Sketches of Committee Members and Staff 104 C Colloquium Participants 107 D Meeting Participants 109 E Selected Bibliography on Infrastructure Performance 111 F Glossary 120
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Measuring and Improving Infrastructure Performance LIST OF FIGURES ES-1 Performance assessment as a generic process, 8 2-1 Dimensions of effectiveness link to objectives infrastructure is to achieve, 39 3-1 Performance assessment as a generic process, 48 3-2 General context of performance assessment, 49 3-3 Stakeholders in performance assessment in infrastructure providers perspective, 50 3-4 Performance assessment within the decision-making process, 55 4-1 General framework of performance measures, 60
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Measuring and Improving Infrastructure Performance LIST OF TABLES ES-1 Summary of Principal Findings and Conclusions, 3 ES-2 Summary of Recommendations, 4 ES-3 Framework and Measures of System Inventory, 9 ES-4 Framework and Measures of System Effectiveness, 12 ES-5 Examples of Measures of System Reliability, 17 ES-6 Examples of Measures of System Cost, 17 2-1 Illustrative Measures of Infrastructure Performance, as presented by the National Council on Public Works Improvement, 34 4-1 Framework and Measures of System Inventory, 62 4-2 Framework and Measures of System Effectiveness, 68 4-3 Examples of Measures of System Reliability, 73 4-4 Examples of Measures of System Cost, 73 4-5 Example of Performance Measurement, 80 6-1 Summary of Principal Findings and Conclusions, 96 6-2 Summary of Recommendations, 97