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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 920 Management and Use of Data for Transportation Performance Management: Guide for Practitioners Frances D. Harrison William Duke Juliet Eldred Spy pond partnerS, LLC Arlington, MA i n a s s o c i a t i o n w i t h Michael Pack Nikola Ivanov MLP, LLC College Park, MD Joe Crosset Larry Chan HigH Street ConSuLting group Pittsburgh, PA Subscriber Categories Highways ⢠Data and Information Technology 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 920 Project 08-108 ISSN 2572-3766 (Print) ISSN 2572-3774 (Online) ISBN 978-0-309-48074-1 Library of Congress Control Number 2019948893 © 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. 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. John L. Anderson 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 920 Christopher J. Hedges, Director, Cooperative Research Programs Lori L. Sundstrom, Deputy Director, Cooperative Research Programs Dianne S. Schwager, Senior Program Officer Jarrel McAfee, Senior Program Assistant Eileen P. Delaney, Director of Publications Natalie Barnes, Associate Director of Publications Heidi Willis, Editor NCHRP PROJECT 08-108 PANEL Field of Transportation PlanningâArea of Forecasting Cindy L. Owings-Hutchison, Maine DOT, Augusta, ME (Chair) Imad S. Aleithawe, Waggoner Engineering, Inc., Jackson, MS James M. âJimâ Appleton, Retired (formerly California DOT), Sacramento, CA Michael Bruff, Capital Area MPO, Clayton, NC Laurie L. Goudy, Maryland State Highway Administration, Baltimore, MD Jason Ray Junge, Minnesota DOT, Roseville, MN Camille Kamga, City College of New York, New York, NY Mario B. Rojas, IV, A&P Consulting Transportation Engineers, Miami, FL Christopher J. Allen, FHWA Liaison Matthew Hardy, AASHTO Liaison Simon Randrianarivelo, Bureau of Transportation Statistics Liaison Thomas Palmerlee, TRB Liaison
Transportation Performance Management (TPM) is an established and maturing practice at state and local transportation agencies. NCHRP Report 920 provides practical guidance to transportation agencies to improve their use of data for performance management. It will assist agencies in making visible progress in meeting their objectivesâsuch as reducing fatalities, improving asset condition, reducing congestion, or speeding project delivery. Recent federal legislation has established requirements for agencies to set performance targets and report on safety, pavement and bridge conditions, transit asset state of good repair, system performance, freight, and mobile source emissions. These requirements have resulted in increased visibility and attention to TPM and increased awareness of the impor- tance of data within that process. Transportation agencies are recognizing that the value of performance management goes far beyond meeting federal requirements. NCHRP Report 920 will assist agencies in making visible progress in meeting their objectives. Many transportation agencies collect data but need to improve their capabilities to trans- form available data into useful information. This requires deliberate effort at all stages of the data life cycle, from specification through analysis, to make sure that data is of sufficient quality and that it can be integrated, visualized, and used to provide insights. Having people with the right skills and experience to carry out these activities is essential. Under NCHRP Project 08-108, a research team led by Spy Pond Partners, LLC was asked to prepare guidance to improve data utilization in support of transportation performance management. The research team conducted a literature review and a series of interviews to identify current transportation agency practices for managing data-supporting TPM. Based on this practice review, they identified success factors and challenges related to efficient and effective data utilization within the TPM processes. They created guidance organized around six data life-cycle stages. The guidance includes a discussion of what is involved in implementing each step and some of the critical choices to be made; a synthesis of key points in the form of âDoâs and Donâtsâ; checklists that can be used to assess agency capa- bilities and identify opportunities for improvement; and illustrative examples. While this guide draws many examples related to the federally defined TPM areas (safety, pavement, bridge and system performance), it does not provide official guidance for MAP-21/ FAST Act target setting or reporting. It provides a framework for assessing current data management practices and a source of ideas for practice improvement. Its purpose is to promote practices that will enable agencies to go beyond meeting reporting requirements, to get valuable insights from data that can be used to boost agency results. The Guide for Practitioners is accompanied by a downloadable report, Developing National Performance Management Data Strategies to Address Data Gaps, Standards, and Quality: Final Research Report, available on the TRB website (www.trb.org) by searching for âNCHRP Research Report 920.â F O R E W O R D By Dianne S. Schwager Staff Officer Transportation Research Board
Table of Contents Introduction..............................................................................................................................................1 Foundation..............................................................................................................................................12 Step 1: Specify & Define Data.............................................................................................................................................13 Step 2: Obtain Data ............................................................................................................................................................. 20 Reporting ................................................................................................................................................26 Step 3: Store & Manage Data............................................................................................................................................. 27 Step 4: Share Data................................................................................................................................................................ 38 Insight.....................................................................................................................................................52 Step 5: Analyze & Use Data ............................................................................................................................................... 53 Step 6: Present & Communicate Data............................................................................................................................. 60 Cases ...................................................................................................................................................... 64 Case A: Arizona DOT Long-Range Plan Investment Trade-offs ........................................................................... 65 Case B: Caltrans State Highway System Management Plan .................................................................................... 72 Case C: Florida DOT Transportation Data Portal ................................................................................................... 79 Case D: I-95 Corridor Coalition Probe Vehicle Data Procurement.................................................................... 85 Case E: Maryland State Highway Administrationâs Incident After Action Reviews........................................... 90 Case F: MATOC Regional Operations Evaluation.....................................................................................................98 Case G: Creating a Team of Data Experts to Support TPM at the Mid-America Regional Council................................102 Case H: New Jersey DOT Project Assessment Reporting....................................................................................107 Case I: Ohio DOT Winter Performance Management ..........................................................................................115 Case J: Pennsylvania DOT's Statewide Transportation Operations Data Warehousing Business Plan ......121 Case K: Virginia DOT's Pavement Monitoring Program........................................................................................127 Appendix A: Capabilities Checklists ..................................................................................................134