Guidebook for Data and Information Systems for Transportation Asset Management (2021)

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S-1 Guidebook for Data and Information Systems for Transportation Asset Management By its nature, transportation asset management (TAM) is data- and analysis-intensive (Figure S-1). Are transportation agencies effectively using data and information systems to support their transportation asset management (TAM) programs? Most state departments of transportation (DOTs) have asset management systems in place, but many face challenges and seek to capitalize on new tools and technologies. This guidebook provides a structured approach to assess current practices and improve the use of data and information for TAM. The approach presented in this guidebook can be applied in a comprehensive fashion; it can be targeted for a particular asset, or it can focus on a particular topic area such as data collection or data integration. A companion digital tool—the TAM Data Assistant—is available for conducting the assessment, identifying and evaluating candidate improvements, and summarizing and communicating outcomes for implementation. The TAM Data Assistant is available through the AASHTO TAM Portal at www.dataassessment.tam-portal.com. At each step of the process, the guidebook discusses supplemental resources that can help agencies understand the context for each of the assessment elements, learn about and evaluate possible improvements, and plan an implementation strategy. Key aspects of the methodology are highlighted in this summary. Guidebook Purpose and Scope The purpose and scope of the guidebook are to advance DOT data and information systems for TAM through benchmarking, improvement identification, and improvement evaluation. The method followed in the guidebook uses seven components, which are briefly described in Figure S-2. The balance of the summary highlights key features of the seven components. TAM Data Assistant Agencies can use the TAM Data Assistant to complete a guided workflow, capture and record results within the tool, and generate useful summary and communication materials (see Figure S-3). The tool allows details to be exported whenever needed. The TAM Data Assistant is available through the AASHTO TAM Portal at www.dataassessment.tam- portal.com. S U M M A R Y Key aspects of the method- ology are highlighted in this summary.

S-2 Guidebook for Data and Information Systems for Transportation Asset Management TAM Data Needs Asset Inventory Asset Condition and Performance Location Referencing Design Standards Maintenance and Project Information Agency Financials Demand Forecasts Environmental Data Decision-Maker Priorities Public Perception TAM Data Uses Optimize Maintenance, Rehabilitation, and Improvement Strategies Prioritize TAM Resource Allocation Support Agency Planning and Programming Report Condition, Performance, and Accomplishments Ensure Decision- Making Accountability and Transparency Figure S-1. TAM data needs and data uses. TAM Data Assistant. Complete a guided workflow through an online digital tool to carry out the recommended process. Capture and record results within the tool, which also provides useful summary and communication materials and allows details to be exported whenever needed. Guidebook Technical Framework. Focus assessment activities using the guidebook’s comprehensive data life-cycle framework, which is organized around five steps for effective specification, gathering, and use of data and information for TAM. Detailed Practice Benchmarking. Evaluate the current and desired state of agency practice against element-level practice benchmarks, identifying practice gaps for improvement. Improvement Identification. Select from potential improvements that are specific to previously identified practice gaps. The guidebook’s pre-defined improvements offer a clear set of action steps to improve the agency TAM program to the desired state. Improvement Evaluation. Analyze selected improvements to identify and document investment priorities. Characterize individual improvement impacts, efforts, and potential organizational challenges. Executive Communication. Summarize detailed self-assessment and improvement results using automatically generated communication materials describing assessment outcomes. Use these materials to effectively communicate with executive-level decision-makers and secure implementation funding and resources. Implementation Support. Case studies provide real-world context useful for DOT scoping, resourcing, and execution of improvement efforts. Additionally, organizational practices are documented, providing guidance helpful to DOTs that may need to overcome institutional challenges relating to implementation. Figure S-2. Overview of guidebook methodology.

Summary S-3 Create Assessments Create and customize assessments of the agency’s TAM programs. Benchmark Performance Benchmark current practices and desired state for 51 individual elements. Select, Evaluate, and Prioritize Improvements Select from candidate improvements to address identified practice gaps. Prioritize selected improvement based on implementation impact, effort, and challenges. Figure S-3. Workflow (screenshots from the TAM Data Assistant). (continued on next page)

S-4 Guidebook for Data and Information Systems for Transportation Asset Management Summarize and Communicate Outcomes Export summary communication materials directly from the tool to engage executives, advocate for implementation priorities, and frame decision-making. Figure S-3. (Continued).

Summary S-5 Table S-1. Complete data life-cycle framework. Guidebook Technical Framework Next, agencies can focus their assessment activities using the guidebook’s comprehen- sive data life-cycle framework. The technical framework is organized around five essential steps for effective specification, gathering, and use of data and information for TAM: 1. Area A: Specify and Standardize Data, establishing asset, treatment, and work data standards; prioritization factors; metadata standards; and governance programs; 2. Area B: Collect Data, addressing coverage, automation, and collection of data for incorporation into the TAM program; 3. Area C: Store, Integrate, and Access Data, covering how to structure, integrate, and provide access to data to support TAM operations, management and reporting needs; 4. Area D: Analyze Data, establishing decision-support tools, techniques, and practices to develop actionable information and insights; and 5. Area E: Act as Informed by Data, in which the agency applies data and information systems, processes, tools, and techniques to TAM decision-making. Within each area, specific elements are grouped into sections that further define and organize the focus and tasks of the step. Table S-1 shows the complete data life-cycle framework. Detailed Practice Benchmarking The next step is to evaluate the current and desired state of DOT practice against element- level practice benchmarks, identifying practice gaps for improvement. • Select current and desired practice levels from detailed, element-specific practice benchmarks. A.5.d: Change Control (Systems and Data) Processes Step Area Sections Elements 1 A. Specify and Standardize Data A.1: Inventory, Condition, and Performance Data Standards A.1.a: Asset Inventory Data Model A.1.b: Asset Condition and/or Performance Data Model A.1.c: Design Model Standards A.1.d: Location Referencing A.2: Treatments and Work Data Standards A.2.a: Treatments and Work Data Model A.2.b: Treatments and Work Location Referencing A.2.c: Process Documentation and Management A.3: Resource Allocation and Prioritization Standards A.3.a: Prioritization Factors A.3.b: Analysis Parameters A.4: Metadata Standards A.4.a: Data Dictionary Standards and Guidelines A.4.b: Dataset Metadata Standards and Guidelines A.5: Governance Standards A.5.a: Data Stewardship A.5.b: Data Standards and Guidelines Development/Adoption Processes A.5.c: Data Collection Approval/Coordination Processes (continued on next page)

S-6 Guidebook for Data and Information Systems for Transportation Asset Management 3 C. Store, Integrate, and Access Data C.1: Databases C.1.a: Efficient Storage C.1.b: Database Linkages C.1.c: Document Linkages C.1.d: Data Storage Capacity C.2: Asset Life-Cycle Data Integration Workflows C.2.a: Asset Management Data to Project or Work Order C.2.b: Project Planning to Project Development C.2.c: Project Development to Project Delivery C.2.d: Project Delivery to Asset Management Data C.3: Other Data Integration Workflows C.3.a: Financial (Revenue, Budget, and Expenditure) Data C.3.b: Demand and/or Utilization Data C.3.c: Environmental Data C.4: Data Access C.4.a: Field Access to Data C.4.b: Public Access to Data C.4.c: Access Security 4 D. Analyze Data D.1: Data Exploration, Reporting, and Visualization D.1.a: Analysis Environment D.1.b: Analysis Practices D.1.c: Analysis Tools D.2: Modeling D.2.a: Asset Performance Prediction D.2.b: Optimization/Prioritization E.1: Resource Allocation and Prioritization E.1.a: Performance Targeting E.1.b: Project Prioritization E.2: Project Planning, Scoping, and Design E.2.a: Data-Driven Project Planning and Scoping E.2.b: Data-Driven Project Design E.3: Maintenance E.3.a: Infrastructure Maintenance E.3.b: Equipment Maintenance .5 E Act as Informed by Data 2 B. Collect Data B.1: Inventory, Condition, and Performance Collection B.1.a: Inventory, Condition, and Performance Coverage B.1.b: Inventory, Condition, and Performance Automation B.1.c: Inventory, Condition, and Performance Quality B.2: Project Information Collection B.2.a: Project Information Coverage B.2.b: Project Information Automation B.2.c: Project Information Quality B.3: Maintenance Information Collection B.3.a: Maintenance Information Coverage B.3.b: Maintenance Information Automation B.3.c: Maintenance Information Quality B.4: Priority Criteria and Values Collection B.4.a: Public Perceptions B.4.b: Decision-Maker Values Step Area Sections Elements Table S-1. (Continued).

Summary S-7 • Utilize guidebook materials to help understand the scope of practice in each portion of the assessment. • Identify key issues and decisions to be made when establishing a desired state and selecting improvements. • Review conceptual examples to develop a firm understanding of agency practice. Figure S-4 provides general practice-level descriptions for five benchmarks levels. Improvement Identification Select from potential improvements that are specific to previously identified practice gaps. The guidebook’s pre-defined improvements offer a clear set of action steps to improve the agency TAM program to the desired state. Figure S-5 depicts improvement identification using the TAM Data Assistant. Improvement Evaluation Analyze selected improvements to characterize individual improvements’ impacts, efforts, and potential challenges, and establish investment priorities (see Figure S-6). Executive Communications Agencies can use automatically generated communications materials to describe their current practices, desired state, key performance gaps, and priority improvements to communicate effectively with executive-level decision-makers and secure imple- mentation funding and resources. Executive communications should accomplish four key tasks: 1. Present the assessment focus and context, emphasizing the motivation, desired value in selecting the focus, and the cross-functional nature of the assessment team. Benchmark Levels General Practice-Level Descriptions 0 Non-Existent: The DOT does not have any significantpractices within this aspect of its business. 1 Initial Steps: DOT practices are found; however, these arecharacterized by ad hoc or informal application and are not likely to be endorsed by management. 2 Incremental Improvement: The DOT is beginning to seeformalization of the processes and structures within this aspect of its business. 3 Advanced Practice: The DOT is performing at or above thestandard of its peers. 4 Top Performing: The DOT is a leading example of practiceamongst its peers. Figure S-4. Benchmark levels.

S-8 Guidebook for Data and Information Systems for Transportation Asset Management Pre-defined improvements offer a clear set of action steps to reach the desired state. Add, track, and report custom improvements specific to the agency. Figure S-5. Improvement identification using the TAM Data Assistant. 2. Communicate the current and desired state, quickly demonstrating where performance is low, where it is high, and where improvement is most necessary. Provide practical examples of impacts that low performance is having on current TAM business. 3. Share a clear set of implementation priorities that address gaps in current practices. The communication should emphasize that these are the agreed upon priorities of the cross-functional team. 4. Acknowledge challenges that will be faced and outline organizational practices and real- world case studies that will support successful implementation. Figure S-7 shows two charts generated using the TAM Data Assistant. Such charts can be useful when preparing clear executive communications.

Summary S-9 Establish priorities and support future implementation through examination of the relative impact, effort, and potential organizational challenges. Consider identified practice gaps and apply filter and sorting criteria as needed to facilitate evaluation. Figure S-6. Improvement evaluation using the TAM Data Assistant. Implementation Support Making meaningful changes to how data are managed, shared, and used within and across a DOT TAM program requires much more than procuring new tools and technologies. As Figure S-8 suggests, case studies can be an important part of the deliberate application of new tools and technologies across identified organizational practices.

S-10 Guidebook for Data and Information Systems for Transportation Asset Management Review improvement and evaluation details as needed. Present selected improvements by relative impact and effort Figure S-7. Review and communicate selected improvements.

Summary S-11 Case Studies Selected case studies provide real world models useful for DOT scoping, resourcing, and execution of improvement efforts. Organizational Practices Overcome institutional challenges through deliberate application of identified organizational practices. Strategic Management Talent Management Initiative Management Knowledge Management Figure S-8. Organizational practices and case studies are all part of implementation support.