Use of Transportation Asset Management Principles in State Highway Agencies (2013)

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5 (e.g., strategic, network, project) and for different asset classes. – The strategies that have been used to promote AM prin- ciples among elected officials and upper executives. – Changes that have been made, or are planned, to apply TAM practices within and across all asset classes. – The availability and use of a TAMP (as defined in the AASHTO TAM guide). – How TAM is used for short- and long-term planning. – A subjective assessment of the completeness and quality of the asset inventory for assets other than pavements and bridges. – The use of risk assessment and management tools to evaluate investment options. – Next steps that agencies are planning to take within the next 5 years to advance their AM activities, including implementation plans. – Challenges that agencies have, or have not, overcome. SYNTHESIS SCOPE The surveys were conducted through the NCHRP in coop- eration with AASHTO and FHWA. AASHTO provided an email distribution list to all the AM contacts, representing the 50 states and the District of Columbia. The first survey was taken directly from the 2011 AASHTO Transportation Asset Management Guide, Volume 1, to conduct a self-assessment for the state departments of transportation (DOTs). Informa- tion from the 18 state responses on the first survey helped the consultants compose the questions included in the sec- ond survey. The second survey questionnaire was devel- oped by the synthesis principal investigator and pre-tested among state DOT members on the Topic Panel. The survey was revised and distributed as a web-based questionnaire. Follow-up calls and email messages were sent periodically to recipients to encourage participation. Of 51 survey requests, 44 responses were received, for an 86% response rate. KEY DEFINITIONS The questionnaire used the following definitions adapted from the AASHTO Transportation Asset Management Guide: A Focus on Implementation (2011): CHAPTER ONE INTRODUCTION PROJECT BACKGROUND AASHTO recently published Volume 2 of the AASHTO Transportation Asset Management Guide: A Focus on Implementation (2011). The new guide builds on the prin- ciples of transportation asset management (TAM) identified in Volume 1 and provides a step-by-step process that will enable agencies to align their investment decisions with their strategic goals. It will also help agencies develop the plans, processes, and tools to support their performance manage- ment philosophy. The guide stresses the importance of a Transportation Asset Management Plan (TAMP) as well as the use of performance measurement, asset valuation, and risk assessment tools to support investment decisions. Throughout the guide are examples of agencies that have adopted and used TAM principles to support their decision processes. However, many of the examples are from outside the United States, where these principles have been in use for many years. What is not well understood is the degree to which state highway agencies (SHAs) are using TAM principles and the advancements that have taken place since FHWA published the U.S. Domestic Scan Report in 2007. This synthesis will help document the state of practice and the extent to which agencies have shifted their organizational cultures and business processes to support performance- based decisions that consider long-term investment options based on quality data. SYNTHESIS OBJECTIVES This synthesis gathers and summarizes the following information: • A self-assessment survey of asset management (AM) in 18 agencies, using Volume 1 of the AASHTO Transportation Asset Management Guide: A Focus on Implementation (2011). • Input from the Asset Management Pool Fund States during the National Asset Management Workshop (San Diego, California, April 2012). • A second state-of-the-practice survey of 43 agencies which addressed the following: – The degree to which performance data are driving decisions within the organization at different levels

6 including background, objectives, and scope. Chapter two provides a literature review, which was conducted to explore different AM terms and practices covering implementation, TAMPs, and the application of risk in an AM environment, as well as a timeline of AM activities in the United States and also a list of completed, ongoing, and future research. Chapter three documents the survey results from the two surveys, and focuses on the AM state of the practice by pre- senting the results from the second survey first, followed by the self-assessment results. Chapter four provides an in- depth analysis of the survey responses regarding AM imple- mentation and practices, and will cover the following topics: • The impact (importance) of having a mandate (internal or external) on implementing AM practices (13 had a mandate versus 30 without a mandate), • The importance of having an AM group (26 had a group versus 17 that did not), • Analysis of TAMP examples provided by agencies (5 agencies provided a copy of their TAMP), and • Outreach activities (TAM conferences in 2009 and 2012) Chapter five summarizes the synthesis findings and conclusions, including future research that may be con- sidered to advance the AM state of practice within state DOTs. Finally, the four appendixes provide survey details (questions and participants) and results (responses and self- assessment results). • Asset: The physical transportation infrastructure (e.g., travel way, structures, other features and appurte- nances, operations systems, major elements thereof); more generally, can include the full range of resources. An individual separately-managed component of the infrastructure (e.g., bridge deck, road section surface, streetlight, sign). • Asset management: A strategic approach to managing transportation infrastructure. It focuses on business processes for resource allocation and utilization with the objective of better decision making based on qual- ity information and well-defined objectives. • Transportation Asset Management Plan: An essen- tial management tool that brings together all related internal and external business processes and stake- holders to achieve a common understanding and commitment to improved performance. It is a tacti- cal-level document that focuses its analysis, options development, programs, delivery mechanisms, and reporting mechanisms on ensuring that strategic objectives are achieved. • Implementation plan: The process by which a state DOT implements the TAMP. REPORT ORGANIZATION The synthesis is organized into five chapters and four appendices. Chapter one contains introductory information,