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NATIONAL
NCHRP REPORT 632
COOPERATIVE
HIGHWAY
RESEARCH
PROGRAM
An Asset-Management Framework
for the Interstate Highway System
OCR for page R2
TRANSPORTATION RESEARCH BOARD 2009 EXECUTIVE COMMITTEE*
OFFICERS
CHAIR: Adib K. Kanafani, Cahill Professor of Civil Engineering, University of California, Berkeley
VICE CHAIR: Michael R. Morris, Director of Transportation, North Central Texas Council of Governments, Arlington
EXECUTIVE DIRECTOR: Robert E. Skinner, Jr., Transportation Research Board
MEMBERS
J. Barry Barker, Executive Director, Transit Authority of River City, Louisville, KY
Allen D. Biehler, Secretary, Pennsylvania DOT, Harrisburg
Larry L. Brown, Sr., Executive Director, Mississippi DOT, Jackson
Deborah H. Butler, Executive Vice President, Planning, and CIO, Norfolk Southern Corporation, Norfolk, VA
William A.V. Clark, Professor, Department of Geography, University of California, Los Angeles
David S. Ekern, Commissioner, Virginia DOT, Richmond
Nicholas J. Garber, Henry L. Kinnier Professor, Department of Civil Engineering, University of Virginia, Charlottesville
Jeffrey W. Hamiel, Executive Director, Metropolitan Airports Commission, Minneapolis, MN
Edward A. (Ned) Helme, President, Center for Clean Air Policy, Washington, DC
Will Kempton, Director, California DOT, Sacramento
Susan Martinovich, Director, Nevada DOT, Carson City
Debra L. Miller, Secretary, Kansas DOT, Topeka
Neil J. Pedersen, Administrator, Maryland State Highway Administration, Baltimore
Pete K. Rahn, Director, Missouri DOT, Jefferson City
Sandra Rosenbloom, Professor of Planning, University of Arizona, Tucson
Tracy L. Rosser, Vice President, Corporate Traffic, Wal-Mart Stores, Inc., Bentonville, AR
Rosa Clausell Rountree, Consultant, Tyrone, GA
Steve T. Scalzo, Chief Operating Officer, Marine Resources Group, Seattle, WA
Henry G. (Gerry) Schwartz, Jr., Chairman (retired), Jacobs/Sverdrup Civil, Inc., St. Louis, MO
C. Michael Walton, Ernest H. Cockrell Centennial Chair in Engineering, University of Texas, Austin
Linda S. Watson, CEO, LYNXCentral Florida Regional Transportation Authority, Orlando
Steve Williams, Chairman and CEO, Maverick Transportation, Inc., Little Rock, AR
EX OFFICIO MEMBERS
Thad Allen (Adm., U.S. Coast Guard), Commandant, U.S. Coast Guard, Washington, DC
Rebecca M. Brewster, President and COO, American Transportation Research Institute, Smyrna, GA
George Bugliarello, President Emeritus and University Professor, Polytechnic Institute of New York University, Brooklyn; Foreign Secretary,
National Academy of Engineering, Washington, DC
James E. Caponiti, Acting Deputy Administrator, Maritime Administration, U.S.DOT
Cynthia Douglass, Acting Deputy Administrator, Pipeline and Hazardous Materials Safety Administration, U.S.DOT
LeRoy Gishi, Chief, Division of Transportation, Bureau of Indian Affairs, U.S. Department of the Interior, Washington, DC
Edward R. Hamberger, President and CEO, Association of American Railroads, Washington, DC
John C. Horsley, Executive Director, American Association of State Highway and Transportation Officials, Washington, DC
Rose A. McMurry, Acting Deputy Administrator, Federal Motor Carrier Safety Administration, U.S.DOT
Ronald Medford, Acting Deputy Administrator, National Highway Traffic Safety Administration, U.S.DOT
William W. Millar, President, American Public Transportation Association, Washington, DC
Lynne A. Osmus, Acting Administrator, Federal Aviation Administration, U.S.DOT
Jeffrey F. Paniati, Acting Deputy Administrator and Executive Director, Federal Highway Administration, U.S.DOT
Steven K. Smith, Acting Deputy Administrator, Research and Innovative Technology Administration, U.S.DOT
Jo Strang, Acting Deputy Administrator, Federal Railroad Administration, U.S.DOT
Robert L. Van Antwerp (Lt. Gen., U.S. Army), Chief of Engineers and Commanding General, U.S. Army Corps of Engineers, Washington, DC
Matthew Welbes, Executive Director and Acting Deputy Administrator, Federal Transit Administration, U.S.DOT
*Membership as of February 2009.
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NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM
NCHRP REPORT 632
An Asset-Management Framework
for the Interstate Highway System
CAMBRIDGE SYSTEMATICS, INC.
Cambridge, MA
WITH
APPLIED RESEARCH ASSOCIATES, INC.
Champaign, IL
ARORA AND ASSOCIATES
Robbinsdale, MN
KLS ENGINEERING
Sterling, VA
PB CONSULT, INC.
Baltimore, MD
Louis Lambert
Laingsburg, MI
Subject Area
Planning and Administration
Research sponsored by the American Association of State Highway and Transportation Officials
in cooperation with the Federal Highway Administration
TRANSPORTATION RESEARCH BOARD
WASHINGTON, D.C.
2009
www.TRB.org
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NATIONAL COOPERATIVE HIGHWAY NCHRP REPORT 632
RESEARCH PROGRAM
Systematic, well-designed research provides the most effective Project 20-74
approach to the solution of many problems facing highway ISSN 0077-5614
administrators and engineers. Often, highway problems are of local ISBN: 978-0-309-11775-3
interest and can best be studied by highway departments individually Library of Congress Control Number 2009902288
or in cooperation with their state universities and others. However, the © 2009 Transportation Research Board
accelerating growth of highway transportation develops increasingly
complex problems of wide interest to highway authorities. These
problems are best studied through a coordinated program of COPYRIGHT PERMISSION
cooperative research.
Authors herein are responsible for the authenticity of their materials and for obtaining
In recognition of these needs, the highway administrators of the written permissions from publishers or persons who own the copyright to any previously
American Association of State Highway and Transportation Officials published or copyrighted material used herein.
initiated in 1962 an objective national highway research program Cooperative Research Programs (CRP) grants permission to reproduce material in this
employing modern scientific techniques. This program is supported on publication for classroom and not-for-profit purposes. Permission is given with the
understanding that none of the material will be used to imply TRB, AASHTO, FAA, FHWA,
a continuing basis by funds from participating member states of the
FMCSA, FTA, or Transit Development Corporation endorsement of a particular product,
Association and it receives the full cooperation and support of the method, or practice. It is expected that those reproducing the material in this document for
Federal Highway Administration, United States Department of educational and not-for-profit uses will give appropriate acknowledgment of the source of
any reprinted or reproduced material. For other uses of the material, request permission
Transportation.
from CRP.
The Transportation Research Board of the National Academies was
requested by the Association to administer the research program
because of the Board's recognized objectivity and understanding of
NOTICE
modern research practices. The Board is uniquely suited for this
purpose as it maintains an extensive committee structure from which The project that is the subject of this report was a part of the National Cooperative Highway
Research Program conducted by the Transportation Research Board with the approval of
authorities on any highway transportation subject may be drawn; it the Governing Board of the National Research Council. Such approval reflects the
possesses avenues of communications and cooperation with federal, Governing Board's judgment that the program concerned is of national importance and
state and local governmental agencies, universities, and industry; its appropriate with respect to both the purposes and resources of the National Research
Council.
relationship to the National Research Council is an insurance of
The members of the technical committee selected to monitor this project and to review this
objectivity; it maintains a full-time research correlation staff of
report were chosen for recognized scholarly competence and with due consideration for the
specialists in highway transportation matters to bring the findings of balance of disciplines appropriate to the project. The opinions and conclusions expressed
research directly to those who are in a position to use them. or implied are those of the research agency that performed the research, and, while they have
been accepted as appropriate by the technical committee, they are not necessarily those of
The program is developed on the basis of research needs identified
the Transportation Research Board, the National Research Council, the American
by chief administrators of the highway and transportation departments Association of State Highway and Transportation Officials, or the Federal Highway
and by committees of AASHTO. Each year, specific areas of research Administration, U.S. Department of Transportation.
needs to be included in the program are proposed to the National Each report is reviewed and accepted for publication by the technical committee according
Research Council and the Board by the American Association of State to procedures established and monitored by the Transportation Research Board Executive
Committee and the Governing Board of the National Research Council.
Highway and Transportation Officials. Research projects to fulfill these
needs are defined by the Board, and qualified research agencies are The Transportation Research Board of the National Academies, the National Research
Council, the Federal Highway Administration, the American Association of State Highway
selected from those that have submitted proposals. Administration and and Transportation Officials, and the individual states participating in the National
surveillance of research contracts are the responsibilities of the National Cooperative Highway Research Program do not endorse products or manufacturers. Trade
Research Council and the Transportation Research Board. or manufacturers' names appear herein solely because they are considered essential to the
object of this report.
The needs for highway research are many, and the National
Cooperative Highway Research Program can make significant
contributions to the solution of highway transportation problems of
mutual concern to many responsible groups. The program, however, is
intended to complement rather than to substitute for or duplicate other
highway research programs.
Published reports of the
NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM
are available from:
Transportation Research Board
Business Office
500 Fifth Street, NW
Washington, DC 20001
and can be ordered through the Internet at:
http://www.national-academies.org/trb/bookstore
Printed in the United States of America
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COOPERATIVE RESEARCH PROGRAMS
CRP STAFF FOR NCHRP REPORT 632
Christopher W. Jenks, Director, Cooperative Research Programs
Crawford F. Jencks, Deputy Director, Cooperative Research Programs
Andrew C. Lemer, Senior Program Officer
Eileen P. Delaney, Director of Publications
Margaret B. Hagood, Editor
NCHRP PROJECT 20-74 PANEL
Field of Special Projects
Kirk T. Steudle, Michigan DOT, Lansing, MI (Chair)
Carl Chase, Jr., South Carolina DOT, Columbia, SC
Tremain V. Downey, California DOT, Sacramento, CA
Wendy L. Gagnier, PBS&J, Orlando, FL
Shiv K. Gupta, Wisconsin DOT, Madison, WI
William M. McEntee, Road Commission for Oakland County (MI), Waterford, MI
Sue McNeil, University of Delaware, Newark, DE
Tammy B. Sims, Texas DOT, Austin, TX
Jeffrey H. Smith, Maryland State Highway Administration, Baltimore, MD
Shirley J. Ybarra, Reason Foundation, Washington, DC
Francine Shaw-Whitson, FHWA Liaison
Thomas Palmerlee, TRB Liaison
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FOREWORD
By Andrew C. Lemer
Staff Officer
Transportation Research Board
This report presents a practical framework for applying asset-management principles and
practices to managing Interstate Highway System (IHS) investments. The IHS is a national
asset; as a system it serves a very large share of the nation's highway transportation demand,
disproportionate to the system's share of the nation's highway mileage. A major challenge in
managing this asset lies in developing usable management principles and strategies that can
be accepted and applied by the varied government agencies that share responsibility for the
IHS. These principles and strategies draw on the growing body of experience in transportation
asset management, but are intended to respond to the unique challenge of the IHS. The report
describes the scope of the challenge and presents specific asset-management practices that may
be adapted to IHS management. This work will be useful to state government officials and
others responsible for preparing, administering, and executing management plans for high-
way networks that include elements on the IHS and other systems of national significance.
The United States has made significant investments in its transportation infrastructure
and, as this infrastructure is used and exposed to natural environmental forces, it ages and
deteriorates. Responsible agencies expend time, effort, and money to preserve and maintain
the infrastructure to ensure that it will support consistent, reliable, and safe transportation
services and produce economic benefits.
One of the nation's most significant investments in transportation infrastructure is the
Dwight D. Eisenhower System of Interstate and Defense Highways, often referred to sim-
ply as the Interstate Highway System. The IHS, initiated more than 50 years ago, is vital to
the nation's economy and is a critical contributor to global production and distribution sys-
tems. Investments in the system are managed by the state departments of transportation
(DOTs) and a variety of other associated agencies responsible for specific Interstate facili-
ties. To ensure that the benefits of the IHS continue for future generations, these agencies
must preserve, operate, maintain, and augment its assets.
The principles and practices of transportation asset management constitute a framework
for making decisions about planning, programming, design, construction, maintenance,
and operation of roadways, bridges, tunnels, and other transportation facilities. These prin-
ciples and practices have been developed in recent years and applied in the United States
and other countries to protect and ensure high returns on investment in transportation
infrastructure assets. Interpretation and application of these principles and practices may
vary among the responsible agencies in appropriate responses to the specific asset portfo-
lios, institutional settings, funding, and priorities affecting each particular agency. These
assets nevertheless serve national purposes and their management should reflect an appro-
priate balance between state and national interests.
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To assist agencies in applying sound asset-management principles and practices for the
IHS, AASHTO requested NCHRP to undertake Project 20-74, "Developing an Asset-
Management Framework for the Interstate Highway System." This report is the final
product of that research.
The objective of this research project was to develop a practical framework for applying
asset-management principles and practices to managing IHS investments. The framework
is designed to be applicable to existing facilities and those that may be developed in the
future; to provide the bases for making decisions across asset classes in an integrated man-
ner and from a systemwide perspective, to address operation and maintenance as well as
new construction and reconstruction; and to be easy to implement, cost-effective, and suf-
ficiently beneficial to be attractive for adoption by transportation officials and agencies
nationwide.
A research team led by Cambridge Systematics, Inc., Cambridge, Massachusetts, con-
ducted the research. The project entailed first identifying asset performance indicators
appropriate for use in understanding the condition and performance of IHS assets and suit-
able as the bases for making a broad range of asset-management decisions. Such indicators
must support decision makers' understanding of the impacts of their management decisions
on asset performance as it affects mobility, capacity, safety, and other aspects of highway
system performance. The research team gave particular attention to specific mechanisms
for incorporating risks of system failure in an asset-management framework and how risk
may be considered systematically as an influence on asset-management decision making.
Such risks include, for example, loss of system continuity due to failure of a critical asset,
acceleration of reconstruction requirements caused by insufficient maintenance funding, or
increased safety hazard associated with reduced asset performance.
The report describes data needed to support IHS asset-management decisions, how current
data inventories may be employed, gaps in currently collected data that should be filled to
enable effective application of asset-management principles and practices to the IHS, and
cost-effective data-collection schemes. The report also considers available decision-support
tools that can be used in applying asset-management principles and practices for the IHS
and the adequacy of these tools to support a practical asset-management framework. The
research included testing the management framework using a data set assembled from
several states to represent the variety of design and operating conditions within the IHS
nationwide.
The research also entailed consideration of indicators of the measurable system benefits
that DOTs and others could use to evaluate their IHS application of asset-management
principles and practices and of the obstacles and costs likely to be encountered in imple-
menting the asset-management framework. The report describes the rationale for agencies
responsible for IHS asset management to adopt and use the framework.
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CONTENTS
1 Summary
3 Chapter 1 Introduction
3 1.1 Research Objectives
3 1.2 Criticality of the Interstate Highway System
4 1.3 Report Organization
5 Chapter 2 Interstate Asset Management Framework
5 2.1 Asset Management Overview
7 2.2 Applying Asset Management to the IHS
9 2.3 Focus Areas for Interstate Asset Management
13 2.4 Interstate Asset Management Plan Outline
15 Chapter 3 Risk Management
15 3.1 Overview
16 3.2 Risk Management for the Interstate Asset Management Framework
21 3.3 Institutional Responsibilities for Risk Management
23 Chapter 4 Data and Tools for Interstate Assets
23 4.1 Overview
24 4.2 Asset Management Data
27 4.3 Analytical Tools
32 4.4 Guidance on Data and Tools for IHS Asset Management
34 4.5 Gap Assessment
36 Chapter 5 Performance Management
36 5.1 Overview
36 5.2 Evaluation Approach
40 5.3 Recommended Measures for IHS Asset Management
42 5.4 Gap Assessment
44 Chapter 6 Implementation Guidance
44 6.1 Implementing the Interstate Asset Management Framework
46 6.2 Primary Focus of Implementation
48 6.3 Leadership Roles and Implementation Planning
50 6.4 Benefits of Implementation
52 6.5 Challenges
54 Chapter 7 Conclusions
56 References
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57 Appendix A Literature Review
57 A.1 Risk Management
59 A.2 Asset Data and Analytical Tools
62 A.3 Performance Management
64 A.4 References
66 Appendix B Pilot Program
66 B.1 Approach
66 B.2 Summary of Data Obtained
68 B.3 Analyses Performed
71 B.4 Conclusions
