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2022 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 985 Integrating Effective Transportation Performance, Risk, and Asset Management Practices Jacobs Engineering Group Inc. Dallas, TX Cambridge Systematics Medford, MA AEM Corporation Herndon, VA Subscriber Categories Administration and Management â¢ Data and Information Technology â¢ Planning and Forecasting 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 985 Project 08-113 ISSN 2572-3766 (Print) ISSN 2572-3774 (Online) ISBN 978-0-309-09440-5 Library of Congress Control Number 2021951340 Â© 2022 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 or logos 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 CRP STAFF FOR NCHRP RESEARCH REPORT 985 Christopher J. Hedges, Director, Cooperative Research Programs Lori L. Sundstrom, Deputy Director, Cooperative Research Programs Waseem Dekelbab, Associate Program Manager, National Cooperative Highway Research Program Lawrence D. Goldstein, Senior Program Officer (retired) Jennifer L. Weeks, Senior Program Officer Anthony P. Avery, Senior Program Assistant Natalie Barnes, Director of Publications Heather DiAngelis, Associate Director of Publications Janet M. McNaughton, Senior Editor NCHRP PROJECT 08-113 PANEL Field of Transportation PlanningâArea of Planning Methods & Processes John M. Moran, Massachusetts Department of Transportation, East Boston, MA (Chair) Timothy A. Henkel, Minnesota Department of Transportation, St. Paul, MN Sharareh Kermanshachi, University of Texas, Arlington, Arlington, TX Debbie Meyer, Florida Department of Transportation, Pompano Beach, FL Ehsan Nick Minaie, Fairfax, VA Cynthia J. Wilson Orndoff, Florida Gulf Coast University, Fort Myers, FL Ben T. Orsbon, Pierre, SD James R. Primeau, Rhode Island Department of Transportation, Providence, RI Dennis A. Randolph, City of Kalamazoo, Kalamazoo, MI Stephen J. Gaj, FHWA Liaison Matthew H. Hardy, AASHTO Liaison
NCHRP Research Report 985 provides a practical guide, recommendations, and implemen- tation practices to transportation agencies for integrating performance, risk, and asset man- agement into decision-making processes. The guide emphasizes using a comprehensive approach to management systems that facilitates identifying, evaluating, and selecting appropriate management integration frameworks that reinforce the synergies among manage- ment systems. The guide includes strategies for recruiting, training, and retaining a workforce to support integrated transportation asset management practices and related functions. This document will be of immediate interest to transportation managers and staff with respon- sibility for systems performance and asset management policies, planning, and practice. Providing well-maintained, operative and reliable transportation networks is fundamental to the charge of state departments of transportation and other transportation agencies. To effectively exercise that charge, agencies must effectively manage asset condition and performance while proactively identifying and addressing potential risks and uncertainties that may affect asset performance. This research was conducted to identify methods to inte- grate practices of performance, risk, and asset management that would ultimately improve systems and asset performance. Under NCHRP Project 08-113, âIntegrating Effective Transportation Performance, Risk, and Asset Management Practices,â Jacobs Engineering was charged with conducting research and developing a guide for the transportation asset and systems management community that would facilitate integration of data, risk analysis, and performance metrics to facilitate improved asset condition and performance. The research team identified and developed the report around five key focus areas identified as integral to asset management integration efforts: (1) institutional approaches to integration; (2) data and software needs; (3) per- sonnel and skills; (4) policy and agency structure; and (5) resource requirements. Also presented are methods for assessing the current capacity of an agency to integrate these management systems as well as a critical path of progressive actions an agency may take to advance in its maturity for integration. To encourage agencies to address these key capabili- ties, the guide demonstrates the value of a fully integrated management program addressing issues of risk and uncertainty. Supplementing the guide are the following elements designed to facilitate comprehen- sion and practical implementation: â¢ An executive summary recapping the key elements of the guide, â¢ Two PowerPoint presentations for decision-makers, By Jennifer L. Weeks Staff Officer Transportation Research Board FOREWORD
â¢ The conduct of research report that documents how the research team accomplished the research, â¢ A fact sheet, and â¢ A proposed implementation plan. The full set of materials is available on the summary web page for NCHRP Research Report 985. Visit TRBâs website (www.trb.org) and search on âNCHRP Research Report 985: Integrating Effective Transportation Performance, Risk, and Asset Management Practicesâ.
1 Summary 9 Introduction 10 Precedence for Integration 11 Defining Terms 12 Establishing Value-Add Benefits 14 Identifying Challenges 14 Focus Areas 16 Integration Maturity 18 Approaches to Integration 19 Champions 19 The Critical Path 22 Integration Maturity: Approaches to Integration 23 Integration in Practice 25 Data and Software Needs 25 Principles for Data Governance 26 Software 29 Data Implementation 30 Modern and Emerging Data Sources 32 Integration Maturity: Data and Software Needs 33 Integration in Practice 34 Personnel and Skills 34 Required Competencies 36 Knowledge Management 37 Training 38 Partners 38 Impacts to Integration 40 Integration Maturity: Personnel and Skills 41 Integration in Practice 42 Policy and Agency Structure 42 Organizational Functions 43 Arrangement of Functions 43 Examples of Organizational Structures 44 Best Practices 46 Integration Maturity: Policy and Agency Structure 47 Integration in Practice CONTENTS
48 Resource Requirements 48 Assessing Needs and Capabilities 48 The Financial Cost of Integration 50 Integrated Budgeting 50 Evaluation of Integration Outcomes 50 Nontraditional Resources 51 Integration Maturity: Resource Requirements 52 Integration in Practice 54 Model Roadmap 54 Vision 55 Goals 56 Strategies and Action Plan 58 Practitioner Considerations 58 Approaches to Integration 58 Data and Software Needs 59 Personnel and Skills 59 Policy and Agency Structure 59 Resource Requirements 60 Conclusion 60 Approaches to Integration 61 Data and Software Needs 62 Personnel and Skills 62 Policy and Agency Structure 63 Resource Requirements 63 Final Thoughts 65 Abbreviations and Acronyms 66 References