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42 Requirement 5. Configuration Options (e.g., the percentage of miles meeting a given condition target) and 5.1 The tool shall include a user interface that allows entry Provide a centralized organizer for information about of configuration information, including the assets to be projects in the program that emphasizes and facilitates included, geographic and network categories to be looking at project impacts and benefits in a consistent used, indicators, performance measures, and weight- fashion. ing metrics. This user interface eliminates the need for users to edit the configuration text file; however, this The tool could be used at the statewide or the district level. text file is still part of the system. It can accept results from project-level analysis tools, exist- 5.2 The tool shall allow the user to maintain an unlimited ing program-specific priority tools, and pavement and bridge number of sets of configuration information, each of management systems that produce information on project which can specify different asset classes, network and benefits, impacts, and costs. The tool does not require that geographic subsets, weighting factors, and perfor- every project have a monetized benefit measure. This tool mance measures. Users shall be able to choose a con- does not include any capabilities to perform benefit/cost figuration set to be used for creation of a new scenario. analysis calculations, but it can store the necessary inputs to these calculations as an option. Some examples of questions to be answered by the tool are: 5.3 ASSETMANAGER PT What happens to our ability to achieve stated pave- Tool Overview ment condition targets if a new major capacity project is included (or if an existing capacity project's cost AssetManager PT is a program-level tool for tradeoff escalates by 20 percent)? decisions. This tool works with a program of projects (and If we include minor capacity and safety improvements optionally, one or more alternatives to each project) orga- with our pavement rehabilitation projects on a given nized into one or more program categories. The tool can corridor, how many miles of resurfacing would we need work both within an agency where allocations to program to cut from the program? How would indicators of con- categories (e.g., pavement, bridge, safety) are the focal point gestion, safety, and pavement condition be affected for of the resource allocation process and within an agency the state as a whole? where decisions about which packages of projects (including If a delay in a major project results in an additional differently scoped options for given locations) should be pro- $500,000 for the program period, what are the best grammed are the focal point. options for spending these funds? The tool allows the user to adjust the program and see the What happens if we shift funds from pavement preser- impacts on a set of basic indicators of program output and vation into bridge rehabilitation? network or systemwide performance. The tool allows pro- gram adjustments to be made in three ways: (1) the user can The overall flow of using AssetManager PT is illustrated manually shift projects out of the program or replace them in Figure 6. with alternative projects that have been defined; (2) the user can adjust the available budget level for a given program cat- egory and have the system automatically shift projects in or out of the program based on a user-specified ranking; or Input Requirements (3) the user can shift funds from one program category to another and have the system eliminate the lowest ranked Two types of data are required for this tool: (1) project- projects from the category being cut and add the next high- level information, including description/classification, per- est-ranked projects on the list for the program category being formance impacts, and measures of the extent of assets increased. The system allows different ranking methods for affected by the projects, and (2) summaries of system-level each program category to be defined. performance information, disaggregated by district or other On-screen reports show the results of these project selec- divisions of the network that are needed to support system- tion changes on total costs, program output indicators (e.g., level performance impact calculations. miles of paving, number of bridge rehabilitations), and a set The tool requires the following minimum project-level of performance measures (e.g., percentage of network in information: good condition, number of high-accident locations). This tool is designed to serve related purposes: Unique project identifier; Alternative identifier (allows multiple options for a given Provide a dynamic understanding of how modifications project to be included; the combination of project iden- to the program would impact selected systemwide goals tifier and alternative identifier must be unique);

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43 Figure 6. AssetManager PT overview. Project package identifier (used to maintain dependen- The tool accommodates fixed project line items that have cies across individual projects in a program); only an identifier, a cost, a name, and classifications, because Project name; many items in a program (e.g., inspections) are not amenable Several classifications for the project: program cate- to the same type of tradeoff analysis as those projects with gory, asset types (e.g., road, bridge), network category direct impacts on condition, mobility, safety, etc. It also (e.g., functional class, district, on/off NHS, on/off freight allows for inclusion of scheduled projects that are not subject network), geographic category (e.g., district or region), to removal from the program. These projects can be marked project work type (e.g., pavement reconstruction, bridge as "in the pipeline." rehabilitation, signal improvement); The tool uses the following system-level data: Total project cost; Transportation system extent or measure before and System measures (e.g., miles, number of bridges) bro- after the project (e.g., miles, number of lanes, square ken down by geographic and network categories used to meters of bridge deck area); and classify projects; Indicator(s) before and after the project, which can be a Current values for indicators (average values or percent- value (e.g., pavement condition index, accident rate) or age distribution by categories) broken down by geo- classification-type indicator (e.g., poor condition pave- graphic and network categories used to classify projects; ment, posted bridge, does not meet safety standards). Target values for indicators (optional); and Work targets--either systemwide or broken down by In addition, suggested but optional project-level data ele- geographic and/or network categories (optional). ments include the following: This tool requires a combination of automated and manual data preparation steps, which will be highly dependent upon Location referencing information (to allow for viewing the specific project databases and management systems in of projects along a facility and linking to a GIS); place in an agency. Most agencies have some kind of candi- Annual average daily traffic (AADT); date project listing in electronic format containing a subset Project year (expected completion date); and of the needed items, which can serve as the starting point of Project benefits and benefit/cost ratio (this information the project data-loading process. Some agencies will have needs to be calculated in an external system). candidate projects in their pavement and bridge management systems with information on impacts and benefits that could The tool also allows users to include additional informa- be transferred into the system. For agencies that routinely use tion pertaining to projects that would be helpful for sorting benefit/cost analysis tools for significant numbers of projects, or ranking (e.g., project life, annualized cost, district engi- utility programs could be developed to extract results data. neer priority ratings). (Agencies that do not have benefit/cost tools in place can

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44 refer to Appendix C of the AssetManager PT Users Guide for Expenditures by project type for a budget scenario (in examples of how to calculate a benefit/cost ratio at a level of tabular and bar chart form), which allows filtering by detail appropriate for prioritization.) geographic and network category; Some degree of manual data preparation is necessary. How- Amount of work by type compared to established work ever, this preparation is not necessarily an overwhelming task. targets for a budget scenario or comparison across bud- The tool is intended to cover a relatively short timeframe (1 to get scenarios (in tabular form); and 3 years); thus, the number of distinct projects that would be List of projects selected for a given budget scenario, subject to analysis should be less than 1,000 for most states. organized by program category (in tabular form). The number would be much less if an agency chooses to use this tool for only a particular portion of its program. System-level information may be loaded from existing Selection of Application Platform management or asset inventory systems through a one-time Because of budget limitations and the desire to investigate effort to write the necessary data extraction scripts. The data requirements before full-scale tool development, devel- scripts can be rerun periodically as the inventory is updated. opment of this second tool was limited to a functional proof- of-concept prototype. The proof-of-concept tool itself was developed as a Analysis Capabilities Microsoft Excel spreadsheet with supporting Visual Basic The tool provides the following capabilities: functions to perform calculations. This platform was chosen for ease of development, testing, and use. An interface for viewing projects by category and sorting/ Section 7 of this report recommends that the user interface be more developed in the production version of this tool. This ranking projects according to a variety of user-specified new version would include a highly interactive user interface criteria; that encourages and supports the testing of alternatives. In An interface for developing program scenarios, each of particular, a "drag-and-drop" interface, for moving projects which consists of a different overall budget level and/or in and out of the program being analyzed and substituting allocation of resources across budget categories; among project alternatives, is a natural user interface choice Automated selection of projects for the program based for this tool. The tool would immediately present the impacts on project rankings and established expenditure limits of these changes on system-level performance measures as for different budget categories; graphs. A standard, off-the-shelf database (e.g., MS Access, An interface that allows users to move projects in and Sybase Adaptive Server Anywhere) could be used to store out of a given program scenario, select project alter- project information and provide query capabilities. Alterna- natives, and easily view the impacts of these shifts on tively, the system could be designed to work with several dif- expenditures by program category and system-level ferent common back-end databases. performance measures; and Calculations of program output and performance impact indicators: Determination of Functional Requirements Amount of work by type and network category (where Functional requirements for AssetManager PT were devel- amount of work could be measured in miles, number oped using the same three-step process described previously of bridges, or other user-defined work units); for AssetManager NT. The definitions, business rules, and Expenditures by work type and geographic or net- requirements for AssetManager PT are presented in the fol- work category; and lowing paragraphs. Changes in indicator values (average, sum, or distri- bution) by network category. Definitions Outputs After. The state/value of a system measure or performance measure after completion of selected projects. AssetManager PT includes the following reports and graphs: Before. The state/value of a system measure or performance Expenditures by budget category for a budget scenario measure before implementation of any projects. The term (in tabular, bar chart, and pie chart form), which allows "baseline" is used as a synonym. filtering by geographic and network category; Before and after performance measure values (compared Budget Category. A subdivision of a program that is used to targets, if established) for a single budget scenario or to establish budget limits and track planned (and actual) comparison across budget scenarios (in tabular form); expenditures.

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45 Budget Limit. A user-specified limit on the available resources for category-type measures are recorded as quantities of within a budget category, used to compare available versus a system measure that are in the category (e.g., number expended funds by budget category and used by the auto- of bridges that are posted or miles in poor condition). mated project selection algorithm. Program. A set of projects selected for implementation from Asset Type. An optional classification for a project that the program worksheet. describes the type of facility on which work is being per- formed and may be used to aggregate program expenditure Program Worksheet. A set of project candidates that may information. Asset types can be used to complement the set be funded for implementation. of budget categories that have been defined. For example, if the budget categories are pavement and bridge, asset types Project. A proposed work activity with a cost and (option- might further subdivide these (e.g., flexible pavement, rigid ally) a set of performance impacts. pavement, culvert, concrete bridge). If the budget categories are defined based on work type (e.g., preservation, safety, Project Alternative. A project that is part of a set of mutually capacity), then the asset-type categories could be set to broader exclusive options from which decision-makers can choose. asset classes (e.g., pavement, bridge, drainage). For example, several project alternatives with varying costs may exist for a corridor improvement. Geographic Category. Categorization of the system accord- ing to a geographically based set of classes (e.g., regions, dis- Project Measure. The scale of the project expressed in one tricts). Categories are assumed to be mutually exclusive and of the types of defined measurement units (e.g., lane-miles, are assumed to cover the entire system. One of the geo- number of bridges). graphic categories will always be the entire system ("ALL"). Project Package. A group of projects that must be imple- Measurement Unit. Metric used to measure the scale of mented together and cannot be selected individually. For individual projects and of different portions of the trans- example, a roadway widening project may be dependent on portation system represented in the tool. For example, "lane- the assumption that another project will widen bridges along miles" is an example of a measurement unit. the roadway as well. Network Category. Categorization of the system according Project Type. An optional classification for a project that to non-geographically based attributes such as functional describes the type of work being performed, which may be class, ownership, and administrative or funding responsibil- desired for aggregation of program expenditure information. ity. Categories are assumed to be mutually exclusive and are Project types can be used to complement or provide further assumed to cover the entire system. One of the network cat- breakdowns for the set of budget categories that have been egories will always be the entire network ("ALL"). defined. Typical examples of project types might be pave- ment resurfacing, bridge preventive maintenance, and inter- Performance Measure. Indicators that describe program section improvements. Each project type is associated with a outcomes that result from implementation of projects. Exam- measurement unit that will be used for purposes of setting ples are total backlog, average pavement condition, and num- work targets. ber of restricted bridges. A performance measure is desig- nated as one of the following types: Scenario. A set of defined budget levels for each program category, along with an associated set of project selections. A SUM-type performance measure adds a straight sum of the change in performance measure value for a proj- Selected Project. A project that has been selected for inclu- ect to the baseline performance measure value for the sion in the program, as indicated in its program_status flag. system subset to calculate the "after" value for the sys- tem subset (e.g., change in backlog). System Measures. Project- and system-level quantities used An AVERAGE-type performance measure uses a for developing weighting factors in the performance measure weighted average approach to calculate the effects of a calculation process. Examples of system measures are lane- project on the performance measure value for a system miles of pavement, square feet of bridge deck area, number subset (e.g., average IRI), based on the reported "after" of bridges, annual vehicle miles traveled (VMT), and replace- value for the project and the "before" or baseline value ment value. reported for the system subset. A CATEGORY-type performance measure is based on System Subset. A combination of a geographic category and a condition being met (e.g., "bridge posted with load a network category. Performance measures may be summa- limit" or "pavement in poor condition"). Project impacts rized for each system subset. One of the system subsets will

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46 always be the entire system (the combination of the "ALL" 16. Each project has a user_status flag, which indicates geographic category and the "ALL" network category). whether it is a pipeline project and must be included in the program. If this status is set to IN, then the Work Target. A desired level of accomplishment of a given program_status must be set to IN and will not be project type to be accomplished within the program period, modifiable either by the user or by the automated proj- where work accomplishment is measured in the measure- ect selection process. ment units that are associated with that project type. 17. Each project has a generated_status flag, which indi- cates whether the automated project selection process has included the project in the program. Business Rules 18. Each performance measure must be assigned exactly one type of measurement unit (e.g., miles, VMT, num- The following business rules are assumed within the tool: ber of bridges) to be used for calculating the impacts of projects on system subsets and on the system as a 1. A program worksheet must contain at least one project. whole. CATEGORY-type performance measures are 2. At least one budget category must be defined for a program worksheet. always defined based on the quantity of their associ- 3. Up to four different budget scenarios can be defined. ated system measure meeting a specified condition. 4. A budget category may have a budget limit associated 19. Each project can be associated with zero or more per- with it for a given scenario. formance measure impacts. 5. Each project must be associated with a single budget 20. Each reported performance measure impact for a proj- category. ect must include the estimated performance measure 6. Expenditure levels for each budget category will be value after completion of the project. For SUM- and calculated as the sum of project costs within that bud- CATEGORY-type performance measures, the per- get category. formance measure value before implementation of 7. The expenditure levels for each budget category will the project for the defined project scope also must be sum to the total expenditure level for the program as reported. a whole. 21. Each project that has SUM or AVERAGE perfor- 8. Each project must be associated with a single network mance measures must include "before" and "after" category. system measure values for all types of system mea- 9. Each project must be associated with a single geo- sures that are associated with these performance mea- graphic category. sures reported for the project. For many projects (e.g., 10. Each system subset consists of a combination of a sin- resurfacing), the system measures will typically be the gle network category and a single geographic cate- same before and after the project. However, some proj- gory. One of the system subsets will always be the ect types will result in a change in system measures entire system (the combination of the "ALL" geo- (e.g., a lane addition would change the number of graphic category and the "ALL" network category). lane-miles). 11. Each project may be associated with a single proj- 22. Each measure must have a single, defined type of unit ect type. that is used consistently wherever information about 12. Each project may be associated with a single asset type. that measure is used. 13. Each project may be assigned a work package iden- 23. A master list of performance measures is established tifier to indicate that all projects in the work package by the user prior to loading project data. Project impacts must be treated as a unit: inclusion or exclusion of can only include values for performance measures that one member of the package automatically includes/ are on this master list. Similarly, system measures excludes all of the others. reported for projects must match the system measures 14. Each project must have an alternative identifier. If associated with the reported performance measures for more than one project with the same project identifier the projects. is included in the program worksheet, the alternative 24. "Before" or baseline system-level values for each per- identifiers for projects with that project identifier must formance measure must be provided for each system be unique. Only one alternative for a project may be subset that has been defined. included in the program. 25. Target values for each performance measure may be 15. Each project has a program_status flag, which indi- provided optionally for each system subset. cates whether the project has been selected for inclu- 26. Values for each type of system measure must be pro- sion in the program. If this flag is set to IN, the proj- vided for each system subset that has been defined. ect's costs and performance impacts are to be included 27. "After" values of system measures for system subsets in the program cost and impact results. will be calculated as the sum of system subset "before"

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47 values of system measures and the net change in sys- Requirement 3. Accept System-Level Information tem measures associated with the selected projects in those subsets. 3.1 The tool shall accept information on the quantity of 28. Each project type may have an associated type of each system measure for each system subset. measurement units. 3.2 The tool shall allow users to define budget categories 29. Work targets may be set for any combination of net- and input associated budget limits for each category work category, geographic category, and project type. for up to four scenarios. 3.3 The system shall allow the user to enter targets for the amount of work to be accomplished during the pro- Functional Requirements gram period. These targets may be entered for any defined project type, for any combinations of geo- Requirement 1. Allow User Definition of graphic and network subset. The amount of work is to Performance Measures and Analysis Categories be expressed in terms of the system measure type that has been associated with the project type. 1.1 The tool shall allow users to define system measure 3.4 (Future) The system may allow users to define budget types and their associated units. limits for individual years of the program. 1.2 The tool shall allow users to specify the performance measures to be used in the analysis, along with their associated types of system measures to be used for calculating weighted averages. Requirement 4. Calculate Impacts of a Set of 1.3 The tool shall allow users to define network categories, Projects on System Performance and Expenditures geographic categories, and combinations of these (sys- 4.1 The tool shall calculate and aggregate the performance tem subsets), which will define the portions of the sys- impacts of a user-selected set of projects on associated tem for which performance is to be summarized. system subsets based on the values of user-supplied 1.4 The tool shall allow users to define project types and "before" and "after" performance values and system asset types for project classification and reporting. measures for each project. Each project type may be assigned a type of system 4.2 The tool shall accommodate SUM-, AVERAGE-, and measure for purposes of tracking work to be accom- CATEGORY-type performance measures (see defini- plished in the program against established targets. tions section). 1.5 The tool shall construct pick lists from the standard 4.3 The tool shall calculate and aggregate the "after" sys- performance measures, system measures, network cat- tem measures for system subsets based on changes in egories, geographic categories, system subsets, project system measures associated with programmed projects. types, and asset types to ensure consistency in data 4.4 The tool shall calculate expenditures for each budget entry of project and system information. category based on the cost of projects selected for inclusion in the program. Requirement 2. Accept Project Information 4.5 Program performance results shall be calculated for a single point in time, after completion of all projects in 2.1 The tool shall accept information about projects, includ- the program. The system will not account for any dete- ing their costs, system measures, and predicted per- rioration in condition or changes in traffic that may formance impacts. occur in intermediate program years, since the program 2.2 The tool shall provide the flexibility to store user- time horizon is presumed to be short (1 to 3 years). defined data items pertaining to projects. 2.3 The tool shall accommodate projects that have costs but do not have impacts on performance (e.g., inspections). Requirement 5. Provide Interactive Interface 2.4 The tool shall support manual entry of project infor- for Adjusting Projects in the Program mation and provide pick lists for coded items estab- lished in the setup information. 5.1 If a project is one of a set of alternatives, the tool shall 2.5 (Future) The tool may support automated input of not allow selection of more than one of the alterna- project information via a standard XML data inter- tives for inclusion in the program. change format. 5.2 If a project is designated as part of a package of proj- 2.6 (Future) The tool may allow users to click on an indi- ects, the tool shall ensure that if one project in the vidual project to view detailed supporting informa- package is selected for the program, then all other tion, including the impacts on performance measures members of that package are automatically selected. and a user-defined set of items that are useful for 5.3 The tool shall allow users to filter projects by budget understanding the project's purpose and value. categories.

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48 5.4 The tool shall allow users to sort projects based on any 6.2 The tool shall produce a pie chart showing the distri- individual project attribute. bution of program resources by budget category and a 5.5 The tool shall allow users to designate projects as bar chart showing the budgeted and allocated program mandatory. Mandatory projects will always be included resources by budget category. in the program. 6.3 The tool shall produce a report showing the projected 5.6 The tool shall allow users to assign numerical ranks versus target values of performance measures for each to projects, either manually or based on the current system subset. sort order. 6.4 The tool shall produce a report and bar chart showing 5.7 The tool shall include an automated routine that selects resource allocation by asset type within each budget projects within each budget category based on their category. rank, until all available budgets are consumed. 6.5 The tool shall produce a report showing projects 5.8 The tool shall allow users the option of accepting the selected within each budget category. automatically generated list of projects, which will 6.6 The tool shall produce a report and bar chart showing set the program_status indicator to the value of the the cost and quantity of work by project type. Quantity generated_status indicator. This feature is needed so of work is to be shown based on the user-supplied sys- that users can begin with an automatically selected list tem measuretype associated with each project type. of projects and make further manual adjustments as 6.7 The tool shall produce a work targets report showing the quantity of work for each project type and the desired. work target by system subset. Quantity of work is to 5.9 The system shall include the capability to generate be shown based on the user-supplied system measure and store project selections for up to four scenarios. type associated with each project type. This report shall include only system subsets for which the user has specified work targets. Requirement 6. Provide Summary Reports 6.8 The tool shall include the capability to view results for and Graphs of Program Performance Impacts any selected scenario. For the performance measures and work targets reports, the tool shall include the 6.1 The tool shall produce a report showing budget limits capability to view results for all four scenarios on a and budget spent by budget categories. single display.