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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 956 Guidebook for Data and Information Systems for Transportation Asset Management Spy pond partnerS, LLC Arlington, MA i n a s s o c i a t i o n w i t h atkinS north america, inc. Orlando, FL Subscriber Categories Data and Information Technology â¢ Administration and Management 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 (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 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 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&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 https://www.mytrb.org/MyTRB/Store/default.aspx Printed in the United States of America NCHRP RESEARCH REPORT 956 Project 08-115 ISSN 2572-3766 (Print) ISSN 2572-3774 (Online) ISBN 978-0-309-67386-0 Library of Congress Control Number 2021934153 Â© 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 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.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 Boardâs 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 authors would like to acknowledge the individuals who contributed to this research through focus group participation, guidance pilot testing, or by providing other helpful information and feedback: Erik Sabina, Colorado DOT; David Kilpatrick, Elaine Richard, Karen Riemer, Leo Fontaine, Matt Calkins, and William Pratt, Connecticut DOT; Regina Colson, Florida DOT; Mark Snyder, Idaho DOT; Matthew Haubrich, Iowa DOT; Ashley Horn, Chad Parker, Christophe Fillastre, George Chike, Jason Chapman, Randy Goodman, and Ray Elhami, Louisiana DOTD; Michael Michalski, Maryland SHA; Mike Bousliman, Montana DOT; Phillip Montoya, New Mexico DOT; Christopher Pucci, Oregon DOT; Stephen Allen, South Carolina DOT; Cassandra Jordan, Texas DOT; Abdul Wakil, Becky Hjelm, Daniel Page, Glenn Blackwelder, Kendall Draney, Patrick Cowley, Rob Wight, Robert Miles, and Scott Jones, Utah DOT; Chad Allen, Vermont DOT; Michelle Morgan, Washington State DOT; and Katie Zimmerman, Applied Pavement Technology, Inc. CRP STAFF FOR NCHRP RESEARCH REPORT 956 Christopher J. Hedges, Director, Cooperative Research Programs Lori L. Sundstrom, Deputy Director, Cooperative Research Programs Andrew C. Lemer, Senior Program Officer Sheila A. Moore, Program Associate Eileen P. Delaney, Director of Publications Natalie Barnes, Associate Director of Publications Sharon Lamberton, Editor NCHRP PROJECT 08-115 PANEL Field of Transportation PlanningâArea of Planning Methods and Processes Maureen L. Hammer, Battelle, Charlottesville, VA (Chair) Richard Sarpong Boadi, Wood Environment & Infrastructure Solutions, Inc., Chantilly, VA Edward J. âJeff â Carpenter, Parsons Corporation, Olympia, WA Mandy Chu, California Department of Transportation (CALTRANS), Sacramento, CA Peggi S. Knight, Iowa Department of Transportation, Ames, IA John L. Krause, Florida Department of Transportation, Tallahassee, FL Mark D. Rolfe, Connecticut Department of Transportation, Newington, CT Robert J. Wight, Utah Department of Transportation, Salt Lake City, UT Katherine A. Petros, FHWA Liaison Penelope Z. Weinberger, AASHTO Liaison Thomas M. Palmerlee, TRB Liaison
NCHRP Research Report 956: Guidebook for Data and Information Systems for Transportation Asset Management presents a structured approach for assessing an organizationâs current data and information management practices in support of transportation asset management and strategies for improving these practices. The guidebook may be applied comprehensively to the organizationâs transportation asset management activities or focus on particular components such as an asset class (for example, bridges) or activities (for example, data collection). An online digital tool (the TAM Data Assistant) is intended to assist analysis and offers benchmarking comparisons for assessments. The research report supplements the assessment guidance, presenting background information from the NCHRP research project underlying the guide- book. Research Report 956 will help agency staff and others responsible for developing and managing an agencyâs transportation asset management data and information resources and will support decision making with accurate, timely, and reliable information. Effective transportation asset management (TAM) depends on having good data about the assets under managementâtheir descriptions, current condition and history, and functional performanceâand the activities conducted to develop, maintain, improve, and rehabili- tate them during the course of their service lives. Information derived from such data informs decision making about resource allocation and subsequent management action to ensure that investments in transportation system assets yield high returns to system owners and commu- nity stakeholders. This information is itself a valuable asset; it ensures that the right information is available when it is needed and to those who can use it is crucial to effective TAM. Under NCHRP Project 08-115, âGuidebook for Data and Information Systems for Trans- portation Asset Management,â Spy Pond Partners, LLC, was asked to develop a guidebook presenting principles, organizational strategies, governance mechanisms, and practical examples for improving the management of the processes for collecting data, developing useful information, and providing that information for decision making about the management of transportation system assets. The guidebook was envisioned to assist TAM practitio- ners in addressing such topics as the conduct of agency self-assessments of their information management practices; identifying effective data and information management practices that might be adapted to improve an agencyâs practices; and developing strategies for adjusting organizational structure, personnel capabilities, data governance policies, and other means to achieve improvements in TAM practice through the provision of accurate, timely, and reliable information. The research team reviewed current transportation agency practices and research literature on TAM data acquisition and information management and use, relevant leading asset data and information management practices of organizations other than state transportation F O R E W O R D By Andrew C. Lemer Staff Officer Transportation Research Board
agencies, applications of data analytics methods that TAM decision makers could apply to discover useful information and improve decision making, and new technology and practices likely to become available within the coming 2 to 5 years for data collection. The team also considered agency workforce and skill-set needs and knowledge management practices affecting data and information management capabilities, and how organizational maturity levels or other state-of-the-practice benchmarks may be used to characterize a transportation agencyâs asset management information and management practices. The primary products of the research are a guidebook and supporting research report that together make up NCHRP Research Report 956. Together they present a structured approach for agencies undertaking to assess and improve their current data and information manage- ment practices in support of their management of transportation system assets. An adjunct to the guidebook is an online digital tool, the TAM Data Assistant, designed to assist users in conducting the management-practice assessments, identifying promising improvements, and evaluating candidate improvements to devise strategic and action plans. The TAM Data Assistant is available through the American Association of State Highway and Transportation Agencies (AASHTO) TAM Portal at www.dataassessment.tam-portal.com.
S-1 Summary P A R T I Guidebook I-3 Chapter 1 Introduction I-3 Background I-3 Purpose and Scope I-6 The TAM Data Assistant I-6 Relationship to Other Guidance I-7 Guidebook Organization I-8 Chapter 2 Pre-Assessment Preparation I-8 Selecting a Focus I-8 Use Case Overview and Value I-10 Key Roles and Responsibilities I-13 Recommended Preparation I-16 Chapter 3 Self-Assessment and Improvement Identification I-16 Self-Assessment Framework and Materials Overview I-18 Detailed Data Life-Cycle Framework I-18 Assessment and Improvement Identification I-21 Area A: Specify and Standardize Data I-30 Area B: Collect Data I-37 Area C: Store, Integrate, and Access Data I-45 Area D: Analyze Data I-49 Area E: Act as Informed by Data I-55 Chapter 4 Evaluation and Summary of Results I-55 Practice Summary, Improvement Evaluation, and Result Communication I-55 Current and Desired State Summary I-57 Improvement Evaluation I-62 Executive Communication I-63 Chapter 5 Implementation Support I-63 Organizational Practices I-63 Organizational Practice Use I-64 Organizational Practice Guidance I-65 Case Studies C O N T E N T S
P A R T I I Research Report II-3 Chapter 1 Introduction II-3 1.1 Research Objectives II-3 1.2 Research Tasks II-5 1.3 Report Overview II-7 Chapter 2 Guidance Development Process II-7 2.1 Overview II-8 2.2 Literature Review II-9 2.3 Initial Framework II-10 2.4 Stakeholder Interviews II-11 2.5 Revised Guidance II-12 2.6 Pilot Testing: Process and Outcomes II-17 2.7 Final Guidebook Organization and Content II-17 2.8 Full-Day Panel Meeting II-20 2.9 Final Guide II-21 Chapter 3 Literature Review II-21 3.1 Overview II-23 3.2 Relevant Resources II-24 Chapter 4 Stakeholder Interviews II-24 4.1 Focus Group Participation II-27 4.2 Key Findings II-31 Chapter 5 Pilot Testing II-31 5.1 Pilot Testing: Participation II-32 5.2 Key Findings II-38 Resources Reviewed P A R T I I I Appendices III-3 Appendix A Specify and Standardize Data: Element-Level Response Templates III-19 Appendix B Collect Data: Element-Level Response Templates III-31 Appendix C Store, Integrate, and Access Data: Element-Level Response Templates III-47 Appendix D Analyze Data: Element-Level Response Templates III-53 Appendix E Act as Informed by Data: Element-Level Response Templates III-60 Appendix F Detailed Organizational Practices III-72 Appendix G Implementation Support: Case Studies III-84 Appendix H Facilitator Materials III-110 Appendix I TAM Data Assistant Quick Reference Guide III-122 Appendix J Detailed Literature Review III-201 Appendix K Research Implementation 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.