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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2021. Utilization Measurement and Management of Fleet Equipment. Washington, DC: The National Academies Press. doi: 10.17226/26067.
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2021 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 957 Utilization Measurement and Management of Fleet Equipment Leila Hajibabai Ali Hajbabaie Mehrdad Tajalli Amir Mirheli North CaroliNa State UNiverSity Raleigh, NC Wei Fan UNiverSity of North CaroliNa at Charlotte Charlotte, NC Subscriber Categories Maintenance and Preservation • Vehicles and Equipment 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 techniques—the 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 (FHWA), United States Department of Transportation, under Agree- ment No. 693JJ31950003. 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 TRB’s 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; TRB’s 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 iden- tified by chief administrators and other staff of the highway and transportation departments, by committees of AASHTO, and by the FHWA. Topics of the highest merit are selected by the AASHTO Special Committee on Research and Innovation (R&I), and each year R&I’s 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 https://www.nationalacademies.org and then searching for TRB Printed in the United States of America NCHRP RESEARCH REPORT 957 Project 13-05 ISSN 2572-3766 (Print) ISSN 2572-3774 (Online) ISBN 978-0-309-67366-2 Library of Congress Control Number 2020951284 © 2021 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, FTA, GHSA, NHTSA, 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; the FHWA; 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 manufacturers’ 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.nationalacademies.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 provide leadership in transportation improvements and innovation through trusted, timely, impartial, and evidence-based information exchange, research, and advice regarding all modes of transportation. The Board’s varied activities annually engage about 8,000 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 AUTHOR ACKNOWLEDGMENTS The research reported herein was performed under NCHRP Project 13-05 through the Department of Civil and Environmental Engineering at Washington State University (WSU), the Department of Civil Engineering at the State University of New York at Stony Brook (SBU), the Department of Civil and Environmental Engineering at the University of North Carolina at Charlotte (UNCC), MyFleetDept, and ITSNode, LLC. WSU was the contractor for this study, and Dr. Ali Hajbabaie, formerly at WSU, was the Principal Investigator. The other contributors to this work are: •   Dr. Leila Hajibabai, Assistant Professor of Civil Engineering at North Carolina State University (NCSU), formerly at WSU; •  Mr. Mehrdad Tajalli, Research Assistant at NCSU; •  Mr. Amir Mirheli, Research Assistant at NCSU; •  Mr. Rasool Mohebifard, Research Assistant at NCSU; •  Mr. SMA Bin Al Islam, Research Assistant at NCSU; •  Dr. Wei Fan, Professor of Civil Engineering at UNCC; •  Mr. Miao Yu, Research Assistant at UNCC; •  Dr. Xianming Shi, Professor of Civil Engineering at WSU; •  Mr. Michael Moser from MyFleetDept; and •  Mr. Shaowei Wang from ITSNode, LLC. CRP STAFF FOR NCHRP RESEARCH REPORT 957 Christopher J. Hedges, Director, Cooperative Research Programs Lori L. Sundstrom, Deputy Director, Cooperative Research Programs Amir N. Hanna, Senior Program Officer Eileen P. Delaney, Director of Publications Natalie Barnes, Associate Director of Publications NCHRP PROJECT 13-05 PANEL Field of Maintenance—Area of Equipment William Brooks, Jr., North Carolina Department of Transportation, Raleigh, NC (Chair) John J. Brewington, Jr., Brewington & Company, Mount Airy, NC Robert J. Ellingsworth, Minnesota Department of Transportation, Saint Paul, MN George Dennis Halachoff, National Center for Pavement Preservation, Okemos, MI Greg A. Hansen, Washington State Department of Transportation, Tumwater, WA Lisa M. Kunzman, California Department of Transportation, Sacramento, CA W. James Smith, Pennsylvania Department of Transportation, Harrisburg, PA Morgan Kessler, FHWA Liaison

F O R E W O R D By Amir N. Hanna Staff Officer Transportation Research Board NCHRP Research Report 957: Utilization Measurement and Management of Fleet Equip- ment is both a handbook on equipment utilization concepts and a guide for making cost-effective equipment utilization decisions. It presents a systematic process that incor- porates the operating and maintenance costs to determine optimal fleet size; the number of equipment units to be purchased, salvaged, and relocated; and the average region-level utilization of each equipment type that will reduce the total cost. The guide will help fleet managers determine optimal equipment utilization by imple- menting systematic utilization processes supported by sound data-driven analysis. It should also help fleet managers in making decisions regarding fleet size and composition to support the agency’s mission. The information contained in the research report should be of interest to fleet managers and state maintenance engineers and to others involved in the utilization aspects of equipment fleet assets. State highway agency equipment fleet assets are vital to the delivery of agency pro- grams, projects, and services. Measuring, monitoring, and reporting on asset utilization levels are necessary for managing the equipment fleet and meeting the highway agency’s business needs. A variety of processes have been used by highway agencies for utilization measurement and management, but there is no widely accepted process for determin- ing utilization criteria, measurement, and management of fleet equipment. Therefore, there was a need to identify current practices, review relevant information, and develop rational processes that will provide effective means for fleet utilization and management. There was also a need to prepare a guide for utilization and management to facilitate use of these processes. With this information, highway fleet managers and administra- tors can better accomplish the task of equipment utilization in terms of fleet size and composition. Under NCHRP Project 13-05, “Guide for Utilization Measurement and Manage- ment of Fleet Equipment,” Washington State University was charged with the devel- opment of a guide for utilization measurement and management of fleet equipment that includes processes and tools for making decisions regarding the utilization and management of highway operations equipment fleet used by state highway agencies. To accomplish this objective, the researchers identified and reviewed the factors, practices, and processes for fleet equipment utilization and used this information to develop a systematic equipment utilization decision process. The process uses data-driven utiliza- tion analysis and incorporates operating and maintenance costs to determine optimal fleet size; the number of equipment units to be purchased, salvaged, and relocated; and the average region-level utilization of each equipment type that will reduce the total

cost. Finally, the researchers prepared a guide document (included as Part II of the research report) to facilitate use of the developed utilization and management process together with utilization prediction and management software to support the utilization decision process and a user manual (Part III) that provides step-by-step instructions for its use.

C O N T E N T S P A R T I Research Overview 3 Summary 8 Chapter 1 Introduction 8 1.1 Background 8 1.2 Project Objective 8 1.3 Research Approach 8 1.4 Organization of the Report 9 Chapter 2 Research Approach 9 2.1 Introduction 9 2.2 Literature Review 9 2.3 Agency Survey 9 2.4 Data Collection 10 2.5 Data Processing 10 2.6 Fitting the Models 10 2.7 Validating the Models 11 2.8 Developing the Equipment Fleet Utilization Management Program 11 2.9 Validating the Equipment Fleet Utilization Management Program 11 2.10 Developing the UPM Software 11 2.11 Validating the UPM Software 12 Chapter 3 Research Findings 12 3.1 Introduction 12 3.2 Literature Review 15 3.3 Agency Survey 17 3.4 Data Collection 19 3.5 Utilization Estimation Models 21 3.6 Equipment Cost Estimation Models 21 3.7 Validating the Models 24 3.8 Developing the Equipment Fleet Utilization Management Program 26 3.9 Validating the Equipment Fleet Utilization Management Program 27 Chapter 4 Summary and Suggested Research 27 4.1 Summary 28 4.2 Suggested Research 29 References

P A R T I I Guide for Utilization Measurement and Management of Fleet Equipment 33 Chapter 1 Introduction and Purpose 34 Chapter 2 Organization of the Guide 35 Chapter 3 Equipment Classification 37 Chapter 4 Utilization Estimation Factors 37 4.1 Utilization Measurement Metrics 37 4.2 Factors Contributing to Equipment Utilization 38 Chapter 5 Asset Utilization Measurement 38 5.1 Equipment Cost Estimation Models 41 Chapter 6 Equipment Utilization Management Framework 41 6.1 Area-Level Utilization Management 42 6.2 Region-Level Utilization Management 42 6.3 Unit-Level Utilization Management 43 Chapter 7 Equipment Utilization Management Process P A R T I I I User Manual for the Utilization Prediction and Management Software 49 Chapter 1 Introduction 49 1.1 Background 49 1.2 About this User Manual 49 1.3 UPM Software Capabilities 50 Chapter 2 UPM Software Installation 51 Chapter 3 Distance Matrix Setup 53 Chapter 4 Data Preparation 53 4.1 Dataset Setup 53 4.2 Dataset Configuration 56 Chapter 5 Running UPM Software and Importing Agency Data 56 5.1 Run UPM Software 56 5.2 Import Distance Matrix into UPM Software 56 5.3 Import Equipment-Level Dataset into UPM Software 57 5.4 Import Region-Level Data into UPM Software 63 Chapter 6 Predict Utilization 66 Chapter 7 Utilization Management Processes 66 7.1 Determine Optimal Utilization Values 70 7.2 Define Scenarios 74 7.3 Generate Summary Report 76 Chapter 8 Use Case Example 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.

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State highway agency equipment fleet assets are vital to the delivery of agency programs, projects, and services. Measuring, monitoring, and reporting on asset utilization levels are necessary for the management of the equipment fleet and meeting the highway agency’s business needs.

The TRB National Cooperative Highway Research Program'sNCHRP Research Report 957: Utilization Measurement and Management of Fleet Equipment is both a handbook on equipment utilization concepts and a guide for making cost-effective equipment utilization decisions.

The Utilization Prediction and Management Software allows the user to:

• estimate equipment utilization and manage the fleet at a region-level based on available measurable information

• identify equipment that is under- or over-utilized, needs to be salvaged, or needs to be relocated; and

• identify the fleet management strategy that minimizes the total fleet management costs.

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