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2019 N A T I O N A L C O O P E R A T I V E H I G H W A Y R E S E A R C H P R O G R A M NCHRP RESEARCH REPORT 903 Geotechnical Asset Management for Transportation Agencies Volume 2: Implementation Manual Mark Vessely Shannon & WilSon, inc. Denver, CO William Robert Scott Richrath Spy pond partnerS, llc Arlington, MA Vernon R. Schaefer Omar Smadi ioWa State UniverSity Ames, IA a n d Erik Loehr Andrew Boeckmann UniverSity of MiSSoUri Columbia, MO Subscriber Categories Administration and Management â¢ Bridges and Other Structures â¢ Geotechnology Research sponsored by the American Association of State Highway and Transportation Officials in cooperation with the Federal Highway Administration
NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM Systematic, well-designed, and implementable research is the most effective way to solve many problems facing state departments of transportation (DOTs) administrators and engineers. Often, highway problems are of local or regional interest and can best be studied by state DOTs individually or in cooperation with their state universities and others. However, the accelerating growth of highway transporta- tion results in increasingly complex problems of wide interest to high- way authorities. These problems are best studied through a coordinated program of cooperative research. Recognizing this need, the leadership of the American Association of State Highway and Transportation Officials (AASHTO) in 1962 ini- tiated an objective national highway research program using modern scientific techniquesâthe National Cooperative Highway Research Program (NCHRP). NCHRP is supported on a continuing basis by funds from participating member states of AASHTO and receives the full cooperation and support of the Federal Highway Administration, United States Department of Transportation. The Transportation Research Board (TRB) of the National Academies of Sciences, Engineering, and Medicine was requested by AASHTO to administer the research program because of TRBâs recognized objectivity and understanding of modern research practices. TRB is uniquely suited for this purpose for many reasons: TRB maintains an extensive com- mittee structure from which authorities on any highway transportation subject may be drawn; TRB possesses avenues of communications and cooperation with federal, state, and local governmental agencies, univer- sities, and industry; TRBâs relationship to the National Academies is an insurance of objectivity; and TRB maintains a full-time staff of special- ists in highway transportation matters to bring the findings of research directly to those in a position to use them. The program is developed on the basis of research needs identified by chief administrators and other staff of the highway and transportation departments, by committees of AASHTO, and by the Federal Highway Administration. Topics of the highest merit are selected by the AASHTO Special Committee on Research and Innovation (R&I), and each year R&Iâs recommendations are proposed to the AASHTO Board of Direc- tors and the National Academies. Research projects to address these topics are defined by NCHRP, and qualified research agencies are selected from submitted proposals. Administration and surveillance of research contracts are the responsibilities of the National Academies and TRB. The needs for highway research are many, and NCHRP can make significant contributions to solving 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 research 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 by going to http://www.national-academies.org and then searching for TRB Printed in the United States of America NCHRP RESEARCH REPORT 903, VOLUME 2 Project 24-46 ISSN 2572-3766 (Print) ISSN 2572-3774 (Online) ISBN 978-0-309-48031-4 Library of Congress Control Number 2019938492 Â© 2019 National Academy of Sciences. All rights reserved. COPYRIGHT INFORMATION Authors herein are responsible for the authenticity of their materials and for obtaining written permissions from publishers or persons who own the copyright to any previously published or copyrighted material used herein. Cooperative Research Programs (CRP) grants permission to reproduce material in this 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, FMCSA, FRA, FTA, Office of the Assistant Secretary for Research and Technology, PHMSA, or TDC endorsement of a particular product, method, or practice. It is expected that those reproducing the material in this document for 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 from CRP. Photographs that appear with no source line are original to the project and were taken by the NCHRP Project 24-46 project team. NOTICE The research report was reviewed by the technical panel and accepted for publication according to procedures established and overseen by the Transportation Research Board and approved by the National Academies of Sciences, Engineering, and Medicine. The opinions and conclusions expressed or implied in this report are those of the researchers who performed the research and are not necessarily those of the Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; or the program sponsors. The Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; and the sponsors of the National Cooperative Highway Research Program do not endorse products or manufacturers. Trade or manufacturersâ names appear herein solely because they are considered essential to the object of the report.
The National Academy of Sciences was established in 1863 by an Act of Congress, signed by President Lincoln, as a private, non- governmental institution to advise the nation on issues related to science and technology. Members are elected by their peers for outstanding contributions to research. Dr. Marcia McNutt is president. The National Academy of Engineering was established in 1964 under the charter of the National Academy of Sciences to bring the practices of engineering to advising the nation. Members are elected by their peers for extraordinary contributions to engineering. Dr. C. D. Mote, Jr., is president. The National Academy of Medicine (formerly the Institute of Medicine) was established in 1970 under the charter of the National Academy of Sciences to advise the nation on medical and health issues. Members are elected by their peers for distinguished contributions to medicine and health. Dr. Victor J. Dzau is president. The three Academies work together as the National Academies of Sciences, Engineering, and Medicine to provide independent, objective analysis and advice to the nation and conduct other activities to solve complex problems and inform public policy decisions. The National Academies also encourage education and research, recognize outstanding contributions to knowledge, and increase public understanding in matters of science, engineering, and medicine. Learn more about the National Academies of Sciences, Engineering, and Medicine at www.national-academies.org. The Transportation Research Board is one of seven major programs of the National Academies of Sciences, Engineering, and Medicine. The mission of the Transportation Research Board is to increase the benefits that transportation contributes to society by providing leadership in transportation innovation and progress through research and information exchange, conducted within a setting that is objective, interdisciplinary, and multimodal. The Boardâs varied committees, task forces, and panels annually engage about 7,000 engineers, scientists, and other transportation researchers and practitioners from the public and private sectors and academia, all of whom contribute their expertise in the public interest. The program is supported by state transportation departments, federal agencies including the component administrations of the U.S. Department of Transportation, and other organizations and individuals interested in the development of transportation. Learn more about the Transportation Research Board at www.TRB.org.
C O O P E R A T I V E R E S E A R C H P R O G R A M S CRP STAFF FOR NCHRP RESEARCH REPORT 903, VOLUME 2 Christopher J. Hedges, Director, Cooperative Research Programs Lori L. Sundstrom, Deputy Director, Cooperative Research Programs Camille Crichton-Sumners, Senior Program Officer Megan A. Chamberlain, Senior Program Assistant Eileen P. Delaney, Director of Publications Natalie Barnes, Associate Director of Publications Sharon Lamberton, Editor NCHRP PROJECT 24-46 PANEL Field of Soils and GeologyâArea of Mechanics and Foundations Michael F. McDonnell, Connecticut DOT, Newington, CT (Chair) Jennifer Tracy Catapano, Arizona DOT, Phoenix, AZ Xin Chen, DMY Engineering Consultants, Inc., Gaithersburg, MD Royce V. Greaves, WSP, Detroit, MI Lawrence E. Jones, Florida DOT, Tallahassee, FL John A. Siekmeier, Minnesota House of Representatives, St. Paul, MN Silas Nichols, FHWA Liaison Nancy M. Whiting, TRB Liaison
NCHRP Research Report 903: Geotechnical Asset Management for Transportation Agencies provides an introduction and scalable guidance for state transportation agencies on how to implement risk-based geotechnical asset management into current asset management plans. Volume 1, Research Overview, details the scope, process, and findings of the study. Volume 2, Implementation Manual, assembles the research results into guidance that should be of immediate use to practitioners who maintain geotechnical assets including walls, slopes, embankments, and subgrades. Complementary downloadable files include plan- ning tools, additional examples and models, and training slides to facilitate agency use of this planning approach. The management of bridge and pavement assets has for many years garnered significant attention by state transportation agencies while the management of geotechnical assetsâ such as walls, slopes, embankments, and subgradesâhas been elusive. Traditionally, geo- technical assets have been treated as unpredictable hazard sites with significant potential liability because failure of any geotechnical asset may lead to traveler delay, damage to other assets, or impact safety. Geotechnical assets are, however, vital to the successful operation of transportation systems and present an opportunity for system owners and operators to realize new economic benefits through risk-based asset management. Under NCHRP Project 24-46, âDevelopment of an Implementation Manual for Geo- technical Asset Management for Transportation Agencies,â the research team was tasked with the development of a literature review, case study synthesis, and guidance for state transportation agencies on developing and implementing geotechnical asset management (GAM) plans. Volume 2 of NCHRP Research Report 903 presents a manual that agencies can use to implement GAM planning. Volume 1 provides background on the research and discusses the benefits of proactively addressing GAM. Downloadable files that complement the report include a spreadsheet-based GAM Planner tool, a net present value (NPV) tem- plate, user guides for the tool and template, a GAM plan outline, and additional examples and models. Training slides also are provided to facilitate immediate implementation by state transportation agency practitioners. Both volumes of NCHRP Research Report 903 and all of the downloadable files can be accessed from the report webpage by going to www.trb.org and searching âNCHRP Research Report 903â. F O R E W O R D By Camille Crichton-Sumners Staff Officer Transportation Research Board
C O N T E N T S P A R T A Introduction and the âWhyâ of GAM 3 Chapter 1 Overview 3 Introduction 4 How to Use the GAM Implementation Manual 5 Why Implement GAM? 7 Starting Simply P A R T B Starting GAM Implementation 11 Chapter 2 Starting GAM 11 Implementing GAM 12 Workflow for Implementing GAM 13 Step 1: Identify and Locate Geotechnical Assets 19 Step 2: Record Asset Operations and Maintenance (O&M) Conditions 21 Step 3: Assess Asset Performance Consequences 22 Step 4: Review Treatment Recommendations 24 Step 5: Analyze the Impacts of Differing Investment Levels 25 Step 6: Communicate Results 25 Next Steps P A R T C Understanding the GAM Process 29 Chapter 3 Purpose and Need for GAM 29 Introduction to Asset Management 33 Introduction to Geotechnical Assets 42 Setting the Context and Enabling GAM 48 Workflow for GAM 52 Chapter 4 Linking to TAM 52 Integrating GAM with TAM 72 Chapter 5 Adapting TAM Practices for GAM 72 Introduction 72 Taxonomy of Geotechnical Assets 80 Data and Data Management 87 Chapter 6 Asset Assessment and Performance Measures 87 Introduction 88 Components of Performance Management 93 TPM Requirements
95 Chapter 7 Risk 95 Implementing Risk in GAM 109 Chapter 8 Practical Implementation of GAM in the Agency 109 Introduction 109 GAM Team Implementation 112 Asset Management Treatment Program Development 128 Incorporating GAM into Design 130 Training for GAM 130 Developing the GAM Plan 135 Overcoming Barriers to GAM Implementation 136 References 139 Glossary and Abbreviations 144 Appendices (Available Online) Note: Photographs, figures, and tables in this report may have been converted from color to grayscale for printing. The electronic version of the report (posted on the web at www.trb.org) retains the color versions.