Guidebook for Data and Information Systems for Transportation Asset Management (2021) / Chapter Skim
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Appendices P A R T I I I
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C O N T E N T S 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
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III-3 A P P E N D I X A Specify and Standardize Data: Element-Level Response Templates This appendix offers element-level response templates for Area A: Specify and Standardize Data. Note: Use of the TAM Data Assistant is recommended; however, these templates are provided for informal use or pen-and-paper assessment.
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Date: Participating Members: Assessment Context: A-Specify and Standardize Data A.1.a – Asset Inventory Data Model1-Inventory, Condition, and Performance Element Description Standardized asset categories, component breakdowns and core attributes, providing the foundation for asset inventory information tracking, integration, summary, and reporting. Benchmark Level 0 Benchmark Level 1 Benchmark Level 2 Benchmark Level 3 Benchmark Level 4 There are no commonly adopted definitions or methodologies for tracking inventory information for a given asset or asset type.
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Date: Participating Members: Assessment Context: A-Specify and Standardize Data A.1.b – Asset Condition and/or Performance Data Model1-Inventory, Condition, and Performance Element Description Standardized asset condition and performance data types, detailed attributes, and summary indices, ratings, or scores that are useful in asset related decision-making and communication. Benchmark Level 0 Benchmark Level 1 Benchmark Level 2 Benchmark Level 3 Benchmark Level 4 Condition or performance data elements and collection methods have not yet been defined for the asset or asset type.
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Date: Participating Members: Assessment Context: A-Specify and Standardize Data A.1.c – Design Model Standards 1-Inventory, Condition, and Performance Element Description CADD standards consistent with asset inventory standards (asset categories and component breakdowns) to support linkage and data exchange with project information with asset inventory and management systems Benchmark Level 0 Benchmark Level 1 Benchmark Level 2 Benchmark Level 3 Benchmark Level 4 CADD standards are not defined for the asset.
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Date: Participating Members: Assessment Context: Specify and Standardize Data A.1.d – Location Referencing 1-Inventory, Condition, and Performance Element Description Standardized location referencing for asset inventory and condition data to enable mapping and integration with other agency data for analysis. Benchmark Level 0 Benchmark Level 1 Benchmark Level 2 Benchmark Level 3 Benchmark Level 4 Location referencing methods and data standards for the asset have not been defined.
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Date: Participating Members: Assessment Context: A-Specify and Standardize Data A.2.a – Treatment and Work Data Model2-Treatments and Work Element Description Standardized asset treatment/work categories and attribution to enable information collection, integration, and consistent reporting. Benchmark Level 0 Benchmark Level 1 Benchmark Level 2 Benchmark Level 3 Benchmark Level 4 There are no consistently defined treatment/work categories for the asset.
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Date: Participating Members: Assessment Context: A-Specify and Standardize Data A.2.b – Treatment and Work Location Referencing 2-Treatments and Work Element Description Standardized location referencing for planned and completed work to enable accurate collection, mapping, and integration with other agency data for analysis. Benchmark Level 0 Benchmark Level 1 Benchmark Level 2 Benchmark Level 3 Benchmark Level 4 Treatment or work data associated with the asset do not include location references and are not mappable.
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Date: Participating Members: Assessment Context: A-Specify and Standardize Data A.2.c – Process Documentation and Management 2-Treatments and Work Element Description Established and documented responsibilities and business processes for updating asset information as assets are installed, maintained, upgraded, and replaced or removed. Benchmark Level 0 Benchmark Level 1 Benchmark Level 2 Benchmark Level 3 Benchmark Level 4 Business processes for updating asset inventory, condition and work history information are adhoc and undocumented.
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Date: Participating Members: Assessment Context: A-Specify and Standardize Data A.3.a – Prioritization Factors3-Resource Allocation and Prioritization Element Description Use of asset tiers, condition or performance levels, work types or other prioritization factors to support high-level decision-making. Benchmark Level 0 Benchmark Level 1 Benchmark Level 2 Benchmark Level 3 Benchmark Level 4 Investment prioritization factors are not defined for this asset.
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Date: Participating Members: Assessment Context: A-Specify and Standardize Data A.3.b – Analysis Parameters3-Resource Allocation and Prioritization Element Description Established analysis parameters (e.g., asset deterioration and treatment benefit models, treatment unit costs, analysis time horizons) supporting resource allocation analysis and decision-making.
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Date: Participating Members: Assessment Context: A-Specify and Standardize Data A.4.a – Data Dictionary Standards and Guidelines4-Metadata Element Description Standardized data dictionaries documenting data element definitions, calculation methods, formats and value domains. Benchmark Level 0 Benchmark Level 1 Benchmark Level 2 Benchmark Level 3 Benchmark Level 4 There are no requirements or standards for data dictionaries to document data element definitions.
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Date: Participating Members: Assessment Context: A-Specify and Standardize Data A.4.b – Dataset Metadata Standards and Guidelines4-Metadata Element Description Standardized dataset-level metadata documenting dataset contents, collection methods, coverage, and limitations. Benchmark Level 0 Benchmark Level 1 Benchmark Level 2 Benchmark Level 3 Benchmark Level 4 There are no requirements or standards for dataset level metadata documenting dataset contents, collection methods, coverage and limitations.
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Date: Participating Members: Assessment Context: A-Specify and Standardize Data A.5.a – Data Stewardship5-Governance Element Description Established data governance structures and data stewardship roles. Benchmark Level 0 Benchmark Level 1 Benchmark Level 2 Benchmark Level 3 Benchmark Level 4 No formal data governance structures or specified data stewardship roles and responsibilities for asset data.
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Date: Participating Members: Assessment Context: A-Specify and Standardize Data A.5.b – Data Standards & Guidelines Development/Adoption Processes5-Governance Element Description Formal processes for the development, review, improvement and adoption of new data standards and guidelines. Benchmark Level 0 Benchmark Level 1 Benchmark Level 2 Benchmark Level 3 Benchmark Level 4 The agency has no data standards or practices for standardizing data elements.
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Date: Participating Members: Assessment Context: A-Specify and Standardize Data A.5.c – Data Collection Approval/Coordination Processes5-Governance Element Description Formal processes for the evaluation, approval, and coordination of new data collection processes - to reduce or eliminate duplicate data collection and ensure that the value of new data collection is maximized. Benchmark Level 0 Benchmark Level 1 Benchmark Level 2 Benchmark Level 3 Benchmark Level 4 Decisions about data collection are made independently by individual business units with little or no coordination.
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Date: Participating Members: Assessment Context: A-Specify and Standardize Data A.5.d – Change Control (Systems and Data) Processes5-Governance Element Description Formal processes to manage change in data and information systems to ensure that limited resources are effectively leveraged and reduce unanticipated impacts to downstream systems and users.
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III-19 A P P E N D I X B Collect Data: Element-Level Response Templates This appendix offers element-level response templates for Area B: Collect Data. Note: Use of the TAM Data Assistant is recommended; however, these templates are provided for informal use or pen-and-paper assessment.
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Date: Participating Members: Assessment Context: B-Collect Data B.1.a – Inventory, Condition, & Performance Collection 1-Inventory, Condition, and Performance Element Description Coverage and level of detail for asset inventory, condition, and/or performance data aligned with current and anticipated business needs and established data models. Benchmark Level 0 Benchmark Level 1 Benchmark Level 2 Benchmark Level 3 Benchmark Level 4 Data are not collected.
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Date: Participating Members: Assessment Context: B-Collect Data B.1.b – Inventory, Condition, and Performance Automation1-Inventory, Condition, and Performance Element Description Efficient and effective use of technology for asset data collection (such as sensing technology, video, LiDAR, field collection tools) Benchmark Level 0 Benchmark Level 1 Benchmark Level 2 Benchmark Level 3 Benchmark Level 4 Primarily pen/paper collection.
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Date: Participating Members: Assessment Context: B-Collect Data B.1.c – Inventory, Condition, and Performance Quality1-Inventory, Condition, and Performance Element Description Established processes to assess and improve asset inventory, condition and performance data quality. Benchmark Level 0 Benchmark Level 1 Benchmark Level 2 Benchmark Level 3 Benchmark Level 4 Quality is not defined.
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Date: Participating Members: Assessment Context: B-Collect Data B.2.a – Project Information Coverage2-Project Information Element Description Processes to capture project work accomplishment information in a manner consistent with the project data model and with sufficient coverage to meet asset management analysis, decision-making, reporting, and communications needs. Benchmark Level 0 Benchmark Level 1 Benchmark Level 2 Benchmark Level 3 Benchmark Level 4 Project work accomplishment data is not available in a useful form for asset management.
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Date: Participating Members: Assessment Context: B-Collect Data B.2.b – Project Information Automation2-Project Information Element Description Processes and technologies used to automate collection and processing of project work accomplishment data. Benchmark Level 0 Benchmark Level 1 Benchmark Level 2 Benchmark Level 3 Benchmark Level 4 Pen/paper collection Stand-alone, standardized electronic forms or spreadsheets are used to facilitate collection.
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Date: Participating Members: Assessment Context: B-Collect Data B.2.c – Project Information Quality2-Project Information Element Description Established processes to assess and improve project data quality Benchmark Level 0 Benchmark Level 1 Benchmark Level 2 Benchmark Level 3 Benchmark Level 4 Quality is not defined. Expectations for data accuracy, valid values and completeness are established.
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Date: Participating Members: Assessment Context: B-Collect Data B.3.a – Maintenance Information Coverage3-Maintenance Information Element Description Processes to capture maintenance activity information in a manner consistent with the work order data model and with sufficient coverage to meet asset management analysis, decision-making, reporting, and communications needs. Benchmark Level 0 Benchmark Level 1 Benchmark Level 2 Benchmark Level 3 Benchmark Level 4 Data on work orders is not consistently available and/or is not collected in a standardized fashion.
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Date: Participating Members: Assessment Context: B-Collect Data B.3.b – Maintenance Information Automation3- Maintenance Information Element Description Processes and technologies used to automate collection and processing of maintenance activities, work orders, and work accomplishment data. Benchmark Level 0 Benchmark Level 1 Benchmark Level 2 Benchmark Level 3 Benchmark Level 4 Pen/paper collection Stand-alone, standardized electronic forms or spreadsheets are used to facilitate collection.
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Date: Participating Members: Assessment Context: B-Collect Data B.3.c – Maintenance Information Quality3-Maintenance Information Element Description Processes to assess and improve maintenance activity and cost data quality. Benchmark Level 0 Benchmark Level 1 Benchmark Level 2 Benchmark Level 3 Benchmark Level 4 Quality is not defined.
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Date: Participating Members: Assessment Context: B-Collect Data B.4.a – Public Perceptions4-Priority Criteria and Values Element Description Capture and use of information about how the public perceives different conditions, treatment options, or other TAM-related factors. Benchmark Level 0 Benchmark Level 1 Benchmark Level 2 Benchmark Level 3 Benchmark Level 4 Public perception data is not captured.
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Date: Participating Members: Assessment Context: B-Collect Data B.4.b – Decision Maker Values4-Priority Criteria and Values Element Description Capture and use of information about how DOT decision-makers (at both program and executive levels) perceive and value different asset performance levels, management strategies, or other factors.
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III-31 A P P E N D I X C Store, Integrate, and Access Data: Element-Level Response Templates This appendix offers element-level response templates for Area C: Store, Integrate, and Access Data. Note: Use of the TAM Data Assistant is recommended; however, these templates are provided for informal use or pen-and-paper assessment.
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Date: Participating Members: Assessment Context: C-Store, Integrate, and Access Data C.1.a – Efficient Storage1-Databases Element Description Data storage methods that enable and facilitate efficient data access, analysis and transformation. Benchmark Level 0 Benchmark Level 1 Benchmark Level 2 Benchmark Level 3 Benchmark Level 4 Asset inventory, condition and work information are primarily in paper form - not digitized.
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Date: Participating Members: Assessment Context: C-Store, Integrate, and Access Data C.1.b – Database Linkages1-Databases Element Description Data integration to facilitate analysis and reporting requiring use of multiple data sources. Benchmark Level 0 Benchmark Level 1 Benchmark Level 2 Benchmark Level 3 Benchmark Level 4 There are no established linkages across different databases that store asset information.
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Date: Participating Members: Assessment Context: C-Store, Integrate, and Access Data C.1.c – Document Linkages1-Databases Element Description Processes and technologies for linking documents to assets, projects, and locations. Benchmark Level 0 Benchmark Level 1 Benchmark Level 2 Benchmark Level 3 Benchmark Level 4 Documents related to specific assets or projects may be filed in folders for the asset or project but are not directly linked through metadata or other methods.
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Date: Participating Members: Assessment Context: C-Store, Integrate, and Access Data C.1.d – Data Storage Capacity1-Databases Element Description Processes to provide sufficient storage capacity to meet current and likely future needs, considering collection of imagery, LiDAR, backups, archiving, and other data storage requirements. Benchmark Level 0 Benchmark Level 1 Benchmark Level 2 Benchmark Level 3 Benchmark Level 4 Data storage needs are not systematically assessed, and requests for additional storage are not reliably met.
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Date: Participating Members: Assessment Context: C-Store, Integrate, and Access Data C.2.a – Asset Management Data to Project or Work Order2-Asset Life-Cycle Data Integration Workflows Element Description Established data flows from asset management systems to maintenance work order systems or project development systems. Benchmark Level 0 Benchmark Level 1 Benchmark Level 2 Benchmark Level 3 Benchmark Level 4 No defined data flow between asset management systems and/or scoping and project development.
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Date: Participating Members: Assessment Context: C-Store, Integrate, and Access Data C.2.b – Project Planning to Project Development2-Asset Life-Cycle Data Integration Workflows Element Description Established data flows from project planning (scoping) to project development.
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Date: Participating Members: Assessment Context: C-Store, Integrate, and Access Data C.2.c – Project Development to Project Delivery2-Asset Life-Cycle Data Integration Workflows Element Description Established data flows from project development to project delivery. Consider both maintenance/operations activities and construction projects.
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Self-Assessment: Specify and Standardize Data: Governance Data and Information Systems for Transportation Asset Management Assessment Notes: Improvement Notes:
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Date: Participating Members: Assessment Context: C-Store, Integrate, and Access Data C.2.d Project Delivery to Asset Management Data2-Asset Life-Cycle Data Integration Workflows Element Description Established data flows from project delivery to asset management systems to ensure up-to-date, accurate inventory, condition, and work history information. Consider both maintenance/operations activities and construction projects.
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Date: Participating Members: Assessment Context: C-Store, Integrate, and Access Data C.3.a – Financial (Revenue, Budget, Expenditure) Data3-Other Data Integration Workflows Element Description Established data flows from financial systems to systems used for asset management, work planning and tracking.
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Date: Participating Members: Assessment Context: C-Store, Integrate, and Access Data C.3.b – Demand and/or Utilization Data3-Other Data Integration Workflows Element Description Established data flows from travel demand, travel monitoring systems, or other systems quantifying demand or utilization to systems used for asset management decision support. Benchmark Level 0 Benchmark Level 1 Benchmark Level 2 Benchmark Level 3 Benchmark Level 4 No defined data flow between asset management systems and travel demand or utilization data systems.
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Date: Participating Members: Assessment Context: C-Store, Integrate, and Access Data C.3.c – Environmental Data3-Other Data Integration Workflows Element Description Established data flows from environmental information systems to systems used for asset management decision support. Benchmark Level 0 Benchmark Level 1 Benchmark Level 2 Benchmark Level 3 Benchmark Level 4 No defined data flow from environmental data systems to asset management and project development systems.
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Date: Participating Members: Assessment Context: C-Store, Integrate, and Access Data C.4.a – Field Access to Data4-Data Access Element Description Technologies, data structures and processes to enable access to agency asset and work management system data from the field. Benchmark Level 0 Benchmark Level 1 Benchmark Level 2 Benchmark Level 3 Benchmark Level 4 Field staff are not equipped with mobile technology.
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Date: Participating Members: Assessment Context: C-Store, Integrate, and Access Data C.4.b – Public Access to Data4-Data Access Element Description Technologies, data structures and processes to enable public access to agency condition and asset performance information and planned projects. Benchmark Level 0 Benchmark Level 1 Benchmark Level 2 Benchmark Level 3 Benchmark Level 4 A publicly accessible repository of asset/project information does not exist.
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Date: Participating Members: Assessment Context: C-Store, Integrate, and Access Data C.4.c – Access Security4-Data Access Element Description Management of access to asset and project data to ensure data security and the proper flow of information. Benchmark Level 0 Benchmark Level 1 Benchmark Level 2 Benchmark Level 3 Benchmark Level 4 Available digital data is not access-restricted.
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III-47 A P P E N D I X D Analyze Data: Element-Level Response Templates This appendix offers element-level response templates for Area D: Analyze Data. Note: Use of the TAM Data Assistant is recommended; however, these templates are provided for informal use or pen-and-paper assessment.
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Date: Participating Members: Assessment Context: D-Analyze Data D.1.a – Analysis Environment1-Data Exploration, Reporting and Visualization Element Description Creation and maintenance of data processing, analysis and reporting environments (e.g., staging areas, data warehouses, data marts, data lakes)
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Date: Participating Members: Assessment Context: D-Analyze Data D.1.b – Analysis Practices1-Data Exploration, Reporting and Visualization Element Description Procedures, standard reports, templates, and training to ensure valid and productive analysis of current data. Benchmark Level 0 Benchmark Level 1 Benchmark Level 2 Benchmark Level 3 Benchmark Level 4 No standard reports or agency reporting procedures have been established.
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Date: Participating Members: Assessment Context: D-Analyze Data D.1.c – Analysis Tools1-Data Exploration, Reporting and Visualization Element Description Tools supporting productive analysis and reporting practices (e.g., GIS, charting, reporting, dashboards)
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Date: Participating Members: Assessment Context: D-Analyze Data D.2.a – Asset Performance Prediction2-Modeling Element Description Capabilities for development and application of asset performance models. Benchmark Level 0 Benchmark Level 1 Benchmark Level 2 Benchmark Level 3 Benchmark Level 4 Asset performance models have not been developed.
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Date: Participating Members: Assessment Context: D-Analyze Data D.2.b – Optimization/Prioritization2-Modeling Element Description Capabilities for development and application of prioritization and optimization techniques. Benchmark Level 0 Benchmark Level 1 Benchmark Level 2 Benchmark Level 3 Benchmark Level 4 Asset investment prioritization is not conducted.
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III-53 Act as Informed by Data: Element-Level Response Templates A P P E N D I X E This appendix offers element-level response templates for Area E: Act Informed by Data. Note: Use of the TAM Data Assistant is recommended; however, these templates are provided for informal use or pen-and-paper assessment.
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Date: Participating Members: Assessment Context: E-Act as Informed by Data E.1.a – Performance Targeting1-Resource Allocation and Prioritization Element Description Processes for establishing performance targets and aligning asset investment decisions with targets. Benchmark Level 0 Benchmark Level 1 Benchmark Level 2 Benchmark Level 3 Benchmark Level 4 No consideration of asset performance/condition in resource allocation.
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Date: Participating Members: Assessment Context: E-Act as Informed by Data E.1.b – Project Prioritization1-Resource Allocation and Prioritization Element Description Use of a data-driven prioritization methodology to select asset maintenance, rehabilitation and replacement projects for funding. Benchmark Level 0 Benchmark Level 1 Benchmark Level 2 Benchmark Level 3 Benchmark Level 4 No formal approach to project prioritization; design making criteria are not transparent.
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Date: Participating Members: Assessment Context: E-Act as Informed by Data E.2.a – Data-Driven Project Planning and Scoping2-Project Planning, Scoping, and Design Element Description Use of asset inventory, condition, work history and treatment recommendation data to inform project planning and scoping. Benchmark Level 0 Benchmark Level 1 Benchmark Level 2 Benchmark Level 3 Benchmark Level 4 Project planning and scoping are performed with little or no consideration of asset inventory, condition, work history or treatment recommendation information.
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Date: Participating Members: Assessment Context: E-Act as Informed by Data E.2.b – Data-Driven Project Design2-Project Planning, Scoping, and Design Element Description Selection of materials and design features based on observed performance and maintenance/operational needs. Benchmark Level 0 Benchmark Level 1 Benchmark Level 2 Benchmark Level 3 Benchmark Level 4 Asset performance and cost information is not considered in the design process.
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Date: Participating Members: Assessment Context: E-Act as Informed by Data E.3.a – Infrastructure Maintenance3-Maintenance Element Description Infrastructure maintenance program informed by asset life cycle modeling and analysis. Benchmark Level 0 Benchmark Level 1 Benchmark Level 2 Benchmark Level 3 Benchmark Level 4 No regular preventive or scheduled maintenance program.
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Date: Participating Members: Assessment Context: E-Act as Informed by Data E.3.b – Equipment Maintenance 3-Maintenance Element Description Use of equipment life cycle, maintenance history and cost information to inform planning and budgeting for equipment maintenance. Benchmark Level 0 Benchmark Level 1 Benchmark Level 2 Benchmark Level 3 Benchmark Level 4 No regular equipment preventive or scheduled maintenance program.
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III-60 A P P E N D I X F Detailed Organizational Practices This appendix offers supplementary materials on organizational practices to support implementation of TAM data and information improvements.
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Detailed Organizational Practices III-61 Strategic Planning Creating agency business plans to guide development and investment. Useful for addressing time, resource, expertise, coordination, and change challenges.
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III-62 Guidebook for Data and Information Systems for Transportation Asset Management Enterprise Risk Management Instituting systematic practices to control uncertainty and variability on strategic objectives by managing risks at enterprise, program, project, and activity levels. Helpful for time, resource, coordination, and change challenges.
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Detailed Organizational Practices III-63 Typical Strategy Details (continued) Performance Management Develop performance measures, targets, and management plans, and track and communicate KPIs indicating progress towards performance goals.
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III-64 Guidebook for Data and Information Systems for Transportation Asset Management Strategic Management References Below are key references available if a deeper understanding or application of strategic management is needed. • NCHRP Report 331: Strategic Planning and Management Guideline for Transportation Agencies • NCHRP Synthesis 326: Strategic Planning and Decision Making in State DOTs • TCRP Synthesis 59: Strategic Planning and Management in Transit Agencies • NCHRP Project 20-24(83)
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Detailed Organizational Practices III-65 Workforce Planning Identifying workforce composition based on retirements, hiring, and other organizational and environmental trends. Best for expertise, coordination, and change challenges.
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III-66 Guidebook for Data and Information Systems for Transportation Asset Management opportunities to identify and build upon current skills and address areas needing development. Best for expertise, coordination, and change challenges.
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Detailed Organizational Practices III-67 Talent Management References Below are key references available if a deeper understanding or application of talent management is needed. • Vermont Agency of Transportation: Employee Retention and Knowledge Management • NCHRP Synthesis 323: Recruiting and Retaining Individuals in State Transportation Agencies • TRB Special Report 275: The Workforce Challenge • NCHRP Synthesis 362: Training Programs, Policies, and Practices • Alaska Department of Transportation: Serving Future Transportation Needs • NCHRP Report 685: Guide to Implementing Strategies to Attract and Retain a Capable Transportation Workforce • Transportation Research Record: Millennials in the Transportation Workforce • NCHRP 20-05 Topic 49-10: Transportation Workforce Planning and Development Strategies (not published)
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III-68 Guidebook for Data and Information Systems for Transportation Asset Management Portfolio Management Creating processes, practices, and tools to scope, schedule, monitor, adjust, and coordinate across projects and other initiatives. Track, manage, and coordinate a set of projects and other initiatives to maximize value to the organization, manage risks, and maintain a balance between commitments and available resources.
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Detailed Organizational Practices III-69 business processes to create more value, increase speed and efficiency and produce more consistent results. Best for time/resources, coordination, and change challenges.
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III-70 Guidebook for Data and Information Systems for Transportation Asset Management Knowledge Capture and Dissemination Identifying agency knowledge assets and gaps and creating processes to capture and document critical knowledge and organize/manage it so it can be discovered. Support planning for how to build the necessary expertise required to implement and sustain improvements and then disseminating that information throughout the organization.
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Detailed Organizational Practices III-71 Typical Strategy Details Knowledge Capture and Dissemination Knowledge Capture To support building the necessary expertise required to implement and sustain improvements, capture the critical knowledge within and missing from the organization. Through interviews and surveys, perform a knowledge audit to identify current knowledge resources and gaps.
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III-72 A P P E N D I X G Implementation Support: Case Studies This appendix provides practical examples of real projects completed by state DOTs that can serve as best-practice references. These references can be used in conjunction with improvement recommendations to support projects and initiatives to enhance data management maturity in accordance with the guidebook (Part I of this report)
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Implementation Support: Case Studies III-73 Step 1: Perform Maturity Assessment ODOT contracted a study to measure the department's maturity in data governance. A survey was created and administered to key ODOT data business owners.
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III-74 Guidebook for Data and Information Systems for Transportation Asset Management Ohio DOT: Establishing a Governance Framework Data Governance Maturity Gap Chart – Spider diagram showing areas with lowest maturity levels to target governance needs. Data Governance Framework - Recognizing management of data centered on People, Process and Technology – a culture change impacting nearly all ODOT staff.
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Implementation Support: Case Studies III-75 Step 1: Inventory Assessment UDOT engaged a service provider to collect mobile LiDAR data of its entire roadway system. During the initial phases of data collection, UDOT encountered various challenges with asset coding and the sheer scope of the data collection.
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III-76 Guidebook for Data and Information Systems for Transportation Asset Management Step 1: Defining Information Flow CDOT documented the information flow from raw data collection through submittal to the FHWA HPMS. They created a flowchart to visually represent the information flow and to support user understanding.
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Implementation Support: Case Studies III-77 Colorado DOT: Pavement Data Quality Management Plan A flowchart of CDOT Pavement Data QMP provides users an overall view of data flow and interdependencies. Data certification thresholds are a critical component of the pavement data QMP and set the standards for internal and external collection requirements.
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III-78 Guidebook for Data and Information Systems for Transportation Asset Management Step 1: Standard Work and LifeCycle Definitions VDOT defined what would and would not qualify as work accomplishments. They also defined how to record these accomplishments to accurately capture desired performance metrics.
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Implementation Support: Case Studies III-79 Virginia DOT: Mobile Field Data Collection Implementation Example GPS enabled mobile devices and map-based tools support efficient collection of maintenance work accomplishment information in the field. Use of pick lists and other standardized data entry support analysis and reporting of statewide performance measures.
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III-80 Guidebook for Data and Information Systems for Transportation Asset Management Step 1: Export Data to GIS UDOT will export the 3D model data from Bentley software using FME to bring the features and all the model attributes into a 2D GIS representation. Step 2: Locate Asset The model data will be loaded onto mobile field devices and utilized by field personnel to locate the asset and update attributes.
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Implementation Support: Case Studies III-81 Utah Mobile LiDAR and BIM/CADD Integration Examples A 3D model of underground utilities and a culvert. Inspectors use a rover and a tablet to collect survey data electronically.
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III-82 Guidebook for Data and Information Systems for Transportation Asset Management Step 1: User Needs and Use Case Documentation User needs and use cases for the proposed decision support tool were developed by a cross-functional team. Recommendations were provided through 1)
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Implementation Support: Case Studies III-83 Ohio TAM Decision Support Tool Content Examples A landing page allows efficient access to data and reports, with options to filter, review maps, and generate reports. Filtering tools provide the ability to narrow the reported data by location as well as asset characteristics.
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III-84 A P P E N D I X H Facilitator Materials This appendix offers supplementary materials to support the organization and preparation for formal application of the guidebook by a DOT. Supplemental materials are organized around: Participant Engagement, Kickoff Meeting, SelfAssessment and Improvement Identification, and Improvement Evaluation.
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Facilitator Materials III-85 Outcome: Focus for the process is selected and target participants identified. Supporting Material: Part I, Chapter 2, Use Case Overview and Value Guidance Instructions: The project sponsor and assessment facilitator should establish a specific scope (or focus)
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III-86 Guidebook for Data and Information Systems for Transportation Asset Management Outcome: Targeted participants are informed of the need and value of their involvement. Assessment team membership finalized.
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Facilitator Materials III-87 facilitator can clearly discuss the identified need or motivation, as well as the specific process that will be followed by the team. The facilitator should encourage any questions and discussion that might develop over the course of the meeting and also ask if any additional participants are recommended for inclusion in the team (noting that additional perspectives are always valuable, however the size of the group should be managed to allow for maximum engagement from all participants)
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III-88 Guidebook for Data and Information Systems for Transportation Asset Management Outcome: Share context and establish a selfassessment meeting schedule with the assessment team. Ensure participants are prepared for the upcoming self-assessment activities.
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Facilitator Materials III-89 preparation and avoids participant fatigue. With proper preparation and facilitation, a small group should expect to be able to complete self-assessment and improvement identification with approximately 10 minutes of discussion per element, allowing assessment of one area in a typical meeting.
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III-90 Guidebook for Data and Information Systems for Transportation Asset Management Outcome: Complete self-assessment activities. Document the current and desired state of practice within the selected focus.
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Facilitator Materials III-91 Outcome: Complete improvement evaluation activities. List improvements prioritized for implementation.
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III-92 Guidebook for Data and Information Systems for Transportation Asset Management 2 During the meeting:• Use the TAM Data Assistant. • Navigate improvements, facilitating prioritization, impact vs.
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Facilitator Materials III-93 Outcome: Executive engagement and support for implementation priorities. Supporting Material: Part I, Chapter 4, Current and Desired State Summary Part I, Chapter 4, Improvement Evaluation Part I, Chapter 4, Executive Communication Instructions: Clear, effective communication of the current and desired state, key performance gaps, and priority improvements are essential to capturing support for improvement.
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III-94 Guidebook for Data and Information Systems for Transportation Asset Management Outcome: Improvement delivery. Successful, long-term implementation.
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Facilitator Materials III-95 Participant Engagement Preliminary Meeting Invitation Email Template From: |
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III-96 Guidebook for Data and Information Systems for Transportation Asset Management Participant Engagement |
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Facilitator Materials III-97 Kickoff Meeting Kickoff Meeting Invitation Email Template From: |
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III-98 Guidebook for Data and Information Systems for Transportation Asset Management Kickoff Meeting Sample Kickoff Meeting Agenda |
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Overview Assess the Current and Desired State Understand available data and information systems, tools, technologies, and practices for a specific asset or element within the data life-cycle. Identify associated data and information system improvements.
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Data Life-Cycle Framework
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Facilitator Materials III-101 Kickoff Meeting Kickoff Meeting Follow-Up Email Template From: |
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III-102 Guidebook for Data and Information Systems for Transportation Asset Management Self-Assessment and Improvement Identification Self-Assessment Meeting Invitation Email Template From: |
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Facilitator Materials III-103 Self-Assessment and Improvement Identification Self-Assessment Meeting Agenda |
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III-104 Guidebook for Data and Information Systems for Transportation Asset Management Self-Assessment and Improvement Identification Follow Up Email Template From: |
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Facilitator Materials III-105 Improvement Evaluation Email to Gather Individual Responses From: |
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III-106 Guidebook for Data and Information Systems for Transportation Asset Management Improvement Evaluation Improvement Evaluation Meeting Invitation Email Template From: |
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Facilitator Materials III-107 Improvement Evaluation |
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Pre-Assessment Preparation 25 Improvement Evaluation Handout Impact is characterized by the extent to which new or existing practices will transform TAM-related business practices. Effort is characterized by the level of resources and staff time required and the extent to which those can be incorporated into the responsibilities and budgets of existing business units.
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Facilitator Materials III-109 Improvement Evaluation Improvement Evaluation Follow up Email Template From: |
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III-110 A P P E N D I X I TAM Data Assistant Quick Reference Guide This appendix provides instructions and a brief explanation of the web-based, supporting digital tool developed for this guidebook.
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TAM Data Assistant Quick Reference Guide III-111 Web-Based Tool Access The tool is available on the web to anyone who is interested. User credentials are required, but only a valid email is needed to register an account.
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III-112 Guidebook for Data and Information Systems for Transportation Asset Management Assessment Login Page Functionality Login Page The login page prompts the user to enter their credentials in order to access the tool functionality. If a user has forgotten their login information, they are able to retrieve that information using the email address they associated with their account.
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TAM Data Assistant Quick Reference Guide III-113 Assessment Landing Page Functionality Landing Page After logging in, the user finds a landing page. From this page, new assessments can be created or previous assessments viewed.
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III-114 Guidebook for Data and Information Systems for Transportation Asset Management Assessment Menu Functionality Home Link. Returns the user to the page detailed in Figure 3 (page III-13)
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TAM Data Assistant Quick Reference Guide III-115 Assessment Creation Page Functionality Creation Page This is where the user will create new assessments. Each assessment can be refined to a specific subset of the assessment areas within the Guidebook technical framework.
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III-116 Guidebook for Data and Information Systems for Transportation Asset Management Assessment Page Functionality Assessment Page Each element has its own page with its own assessment table. Self-assessment can be completed by rating current and desired practice levels and selecting potential improvement activities by click within their associated boxes.
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TAM Data Assistant Quick Reference Guide III-117 Improvement Evaluation Page This page collects and displays the improvements selected by the user. It features a number of tools to aid in navigating the improvement evaluation process.
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III-118 Guidebook for Data and Information Systems for Transportation Asset Management Results Page Functionality Results Page This page provides a results summary useful for reviewing outcomes and summary and communication activities. Area Navigation.
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TAM Data Assistant Quick Reference Guide III-119 Excel Export The user can export their results from the Improvement Evaluation page, the Results page, and the Current Assessment page. The export is an Excel spreadsheet with three worksheets: 1)
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III-120 Guidebook for Data and Information Systems for Transportation Asset Management All Assessment Page Functionality All Assessments Page This page lists all the assessments that belong to the logged-in user. The page shows the completion percentage of the Assessment and Improvement Evaluation activities based on the defined scope of the individual assessment.
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TAM Data Assistant Quick Reference Guide III-121 Current Assessment Page Functionality Current Assessment Page This page gives some information about the current active assessment and provides links to the various sections of the assessment tool. The user can edit information about the Assessment here.
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III-122 A P P E N D I X J Detailed Literature Review J.1 Key Technologies Table J.1.1: Key Technologies Key Data Storage or Specification Tools and Technologies Technology Description Asset Management Systems DOTs are required by the FHWA to maintain certain key asset management systems, such as Pavement and Bridge Management Systems, and as such, these systems have been developed and implemented across the DOTs. These systems store and maintain asset inventory, condition, and performance information, and may support use of detailed engineering and asset management models to develop optimized investment strategies, provide functions to share and report information, and meet other requirements of DOT asset management programs.
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Detailed Literature Review III-123 Key Data Collection Tools and Technologies Technology Description Vehicle Mounted Highway Data Collection Systems These systems represent the current industry standard for DOT network-level asset inventory and condition surveys. Comprised of vehicle mounted hardware and software, these systems enable collection of a wide range of information at highway speed.
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III-124 Guidebook for Data and Information Systems for Transportation Asset Management J.2 Supporting Tools Table J.2.1: Supporting Data Storage Tools Supporting Data Storage Tools Technology Description Video Log A commonly used data storage, sharing and reporting tool in DOT asset management programs, a video log provides location referenced roadway imagery, organized for adhoc review by internal and/or external DOT staff. Typically populated with imagery collected during network-level data collection completed by Vehicle Mounted Highway Data Collection Systems, these images can replace more time intensive, costly, and higher risk field surveys during project scoping and design, as well as maintenance delivery.
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Detailed Literature Review III-125 Table J.2.3: Supporting Project Delivery Tools Supporting Project Delivery Tools Technology Description Digital Signatures DOTs can deliver efficiencies and capture time and cost savings by use of digital signatures to enable completely paperless documentation of design, construction, or maintenance activities. Automated Machine Guidance (AMG)
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J.3 Information Management and Integration Practices Table J.3.1: Information Management Practices: Broadly Applicable Information Management Practices – Broadly Applicable to Multiple Stages Practice Description Data LifeCycle Maturity Level Challenges AMS & MMS Integrations with Construction and Design Systems/Tools Design and Construction system integrations with Asset Management and Maintenance Management Systems to exchange asset inventory, design and as-built work plans, work accomplishments, priorities, etc. Small scale examples from U.S.
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Table J.3.2: Information Management Practices: Specify Data Information Management Practices – Specify Data Practice Description Data LifeCycle Maturity Level Challenges 3D/4D/5D Asset Information Models Asset information models providing spatial relationship of asset and design elements are critical for advanced practice. Metadata for schedule and cost should be attached, as well as for asset management information (inventory, condition, performance, etc.)
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Table J.3.3: Information Management Practices: Obtain or Store Data Information Management Practices – Obtain or Store Data Practice Description Data LifeCycle Maturity Level Challenges Geofencing Use GPS information to automatically identify nearby assets to support asset management decisions or collection Obtain Medium High Use of GIS-based data collection tools can add efficiencies to the workforce and enable improved system integration, while generating challenges with system complexity and the workforce Addressed: • Resource limitations • Difficulty integrating systems Faced: • Greater system complexity • Lack of readiness to change • Lagging workforce GIS-based work tracking Real time tracking of work accomplishments based on location information Obtain Medium Operational Databases Support day-to-day operations of a particular application Store Low Routine practice Enterprise Data Sets Information or data which needs to be exchanged across multiple functional areas within an agency (e.g., financial data, roadway network and inventory) Store Medium High Establishment of enterprise data sets can extend the value of a given data set by allowing efficient use beyond the initial business areas Addressed: • Resource limitations • Difficulty integrating systems Faced: • Effective data governance
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Table J.3.4: Information Management Practices: Manage or Share Data Information Management Practices – Manage or Share Data Practice Description Data LifeCycle Maturity Level Challenges Data Warehouses Integrating data originating from multiple sources, typically pulling together information across various management systems or tools Share Medium High Creating locations where data can be integrated and exchanged to support analysis and reporting creates efficiency, while generating needs for effective data governance Common Data Environments Utilize common data environments to identify single source of truth for information Share Medium High Asset Tagging Use of radio-frequency identification, barcoding, stenciling or other technologies to support field identification of assets for look up in management systems or presentation in field data tools Manage Medium Routine practice that generates efficiencies and improves quality in data collection Data Transfer Protocols & Standards Development and utilization of standardized protocols for data transfer between DOT and external stakeholders, such as construction and maintenance contractors Manage Medium Routine practice that generates efficiencies in data exchange and information sharing Data Standard Operating Procedure Documentation Standardized documentation to identify procedures for data collection, update, load, backup, retention, archiving, access policies, and delivery platforms Manage Medium Documenting data and business practices is integral to effective governance, however, can be costly to develop and maintain Addressed: • Difficulty integrating systems • Privacy and security concerns • Effective data governance Faced: • Resource limitations Business Data Glossary, Catalogs, Dictionaries Standardized documentation to support proper understanding and use of data in asset management decision processes, typically containing information on data meanings, structures, values, naming, business rules, quality expectations, acceptable uses, etc. Manage Medium High Reference Data Management Ensuring of consistency of standard code lists across applications Manage Medium High
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Information Management Practices – Manage or Share Data Practice Description Data LifeCycle Maturity Level Challenges Master Data Management Ensuring the organization maintains a "single version of the truth" with respect to core data entities through central management of master data and use of synchronization or replication services Manage High Documenting data is integral to effective governance, however, can be costly to develop and maintain Addressed: • Difficulty integrating systems • Privacy and security concerns • Effective data governance Faced: • Resource limitations BIM Execution Plan A project-specific plan identifying BIM goals and uses throughout project delivery and operation and maintenance phases, including associated processes, deliverables, and responsibilities within the project team. Manage Very High Useful management tools are needed to meet BIM data and business process requirements Addressed: • Difficulty integrating systems • Effective data governance • Institutional silos Faced: • Resource limitations • Contracting and legal hurdles • Industry acceptance issues • Political challenges BIM Model Checking Software Tools have been developed to support effective review and visualization of BIM models.
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Information Management Practices – Manage or Share Data Practice Description Data LifeCycle Maturity Level Challenges Evidence-Based Design & Construction The establishment of formal programs for conducting research, and tracking and analyzing project outcomes (with respect to the asset owner's or key stakeholder's expectations) for the purpose of adjusting future design and construction practices to achieve more exacting operational requirements and demonstrating satisfaction with an asset in operation.
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Table J.3.5: Information Management Practices: Analyze Data Information Management Practices – Analyze Data Practice Description Data LifeCycle Maturity Level Challenges Data Quality Measures Tools allowing for data stewards to understand where asset management or data collection practices may be resulting in unintended quality concerns, typically summarize data accuracy, consistency, reliability, timeliness, completeness, currency, integrity, and confidentiality Analyze Medium High Data quality measures allow a DOT to monitor and improve quality over time; however, workforce and political issues may be generated Geoprocessing Leverage GIS data to automatically integrate and compile data for planning or asset management analysis (such as population, traffic, weather, detour routes, flood plans)
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Information Management Practices – Analyze Data Practice Description Data LifeCycle Maturity Level Challenges Online Analytical Processing Application Multidimensional data store used for reporting purposes, useful for allowing efficient slicing, dicing, pivoting, and aggregation of data by business users Analyze Medium High Emerging analytical tools in a DOT, effective use hinges on workforce skill sets, data governance, and other considerations Predictive Analytics Use of data mining, statistics, modeling, machine learning, artificial intelligence or other techniques to make predictions about unknown future events Analyze Medium High Decision Science Score projects and optimize selection for programming based on benefits, costs, and other measures that can be used to assign relative importance Analyze Medium High Table J.3.6: Information Management Practices: Report Data Information Management Practices – Report Data Practice Description Data LifeCycle Maturity Level Challenges Straight Line Diagramming Tools that provide a simplified representation of the roadway in order to effectively visualize and provide location referencing context of multiple asset management and supporting data for decision-making. Advanced SLD tools may include integration with video log or mapping tools.
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III-134 Guidebook for Data and Information Systems for Transportation Asset Management J.4 Organizational and Institutional Practices Table J.4.1: Organizational Practices Org Practice Description Management Area Cross-Functional Engagement As DOT systems, processes and practices evolve, cross-functional stakeholder engagement is key to successfully maximizing existing systems to meet new requirements, eliminating redundancy between data and information systems, establishing enterprise and master data sets, and providing data sharing and reporting tools that meet needs Change Management Workforce Capacity and Development As data and information systems grow increasingly complex, mature governance and management programs are required to manage these systems, and daily work activities will require new skill sets In the context of these requirements, DOTs must identify core skills needed for each position, establish training plans for acquiring needed skills and minimize loss of staff knowledge due to staff turnover Workforce Management Training As complex information systems are introduced into traditional technical programs and processes, formal training programs are needed to develop new workforce skill sets and train on new process requirements, data standards, and job expectations Knowledge Management Culture of Data Sharing Formal collaboration and data sharing across institutional silos as well as with external stakeholders are integral to BIM and other mature asset management processes Knowledge Management Supply Chain Integration Data and information are generated throughout the asset life-cycle, from initial strategy and planning through ongoing operation and maintenance of in-place assets To maximize efficiencies and value, DOTs must integrate data and information collection, management, and sharing across their supply chains in all stages of their asset life-cycle Performance Management Cross-Asset Resource Allocation Formalized, funding constrained investment optimization between various asset management activities and services allows DOTs to objectively distribute funding across traditional asset and institutional silos. Performance Management Target-Setting Formalizing agency goals, objectives and performance measures will allow a DOT to adopt performance targets to drive agency asset management decisions and investments Performance Management Risk Management Asset management program and project prioritizations should be made in the context of agency risks An agency with a formal risk management program can more effectively and transparently identify how asset management decisions are influenced by and mitigate agency risks Performance Management PerformanceBased Planning Agency planning documents become the blueprint to achieve performance outcomes Performance Management
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Detailed Literature Review III-135 Org Practice Description Management Area PerformanceBased Programming Guide resource allocation across broadly defined assets and programs to achieve performance targets Performance Management Monitor and Adjust Strategies Track and evaluate actions to improve performance Performance Management PerformanceDriven DecisionMaking Institutionalize performance management within the agency, with staff at all levels evaluating daily work activities, decisions, and investments against agency performance targets Performance Management Data Governance Planning Documented vision for data governance within the agency, identifies goals, objectives, strategies, action plan for improvement Governance Data Governance Structures Formalized data stewardship roles, responsibilities, and escalation processes Typically organized in a pyramid-shaped organizational structure with an upper-level council or committee providing oversight, enterprise data stewards providing coordination across business units, and data stewards responsible for individual business technologies, applications, data, and/or processes Governance
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III-136 Guidebook for Data and Information Systems for Transportation Asset Management J.5 Existing Maturity Models and Self-Assessment Tools Table J.5.1: Existing Maturity Models and Self-Assessment Tools Resources Description Data Value Assessments Templates and formats used to assess to what extent data users believe that existing data is providing value and meeting needs. These tools can be used to identify spot improvements to data.
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Detailed Literature Review III-137 J.6 Annotated Bibliography Table J.6.1: List of Resources Title Year NCHRP Report 814: Data to Support Transportation Agency Business Needs: A SelfAssessment Guide 2015 AASHTO Asset Management Gap Analysis Tool 2014 NCHRP 08-36, Task 100, "Transportation Data Self-Assessment Guide" 2011 NCHRP Synthesis 508: Data Management and Governance Practices 2017 NCHRP Project 03-128, "Business Intelligence Techniques for Transportation Agency Decision Making" |
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III-138 Guidebook for Data and Information Systems for Transportation Asset Management NCHRP Report 814: Data to Support Transportation Agency Business Needs: A Self-Assessment Guide Year of Publication: 2015 Link: http://www.trb.org/Main/Blurbs/173470.aspx Overview The guide provides a framework that can be used to operationalize the AASHTO data principles and strengthen management of data assets to realize greater value. Two types of assessment tools are used to examine the current needs and practices of transportation agencies: Data Value Assessments – assess to what extent data users believe that existing data is providing value and meeting needs, identifying spot improvements to data Data Management Maturity Assessments – assess the current level of agency capabilities for managing data assets to maximize values, identifying systemic improvements to data governance, architecture, integration, quality management The guidance includes: A step-by-step guide for implementing the self-assessment tool A Data Improvement Catalog describing what agencies can do to move up the maturity scale Brief case studies TAM Motivations Align data with business needs – help DOTs answer the question: Do we have the right data?
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Detailed Literature Review III-139 Reference data management Master data management Enterprise information/data architecture Business glossaries Data integration tools (ETL, etc.) Data Quality Management Data quality metrics Data validation rules Data cleansing Organizational and Institutional Practices Data Management Maturity Assessment Data Value Assessment Data Strategy & Governance Data governance bodies Data governance and stewardship policies Data business plans Data management roles and responsibilities Data value mapping Data communities of interest Data Collaboration Multipurpose data collection Data partnerships Data sharing agreements Data outsourcing Information and Data System Challenges and Opportunities Identifies benefits of moving up maturity scale by various Data Management areas Examples or Case Studies Alaska DOT Data Business Planning Caltrans Data Governance Colorado DOT Knowledge Management Governance Oversight Committee Michigan DOT Data Governance Council Minnesota DOT Data Catalog NYSDOT Data Warehouse Ohio DOT Enterprise Architecture Emerging Technology or Techniques • • • • • • • • • • • • • • N/A
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III-140 Guidebook for Data and Information Systems for Transportation Asset Management AASHTO Transportation Asset Management Gap Analysis Tool Year of Publication: 2014 Link: http://www.tam-portal.com/resource/aashto-transportation-asset-management-gap-analysis-tool-usersguide/ Overview This tool provides users a methodology to evaluate current and desired capabilities and establish a plan for making necessary enhancements. The tool provides 8 TAM-related assessment areas, with related assessment areas and criteria that can be used to establish current maturity on a 5-point scale.
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Detailed Literature Review III-141 • Data Management Asset Inventory Asset Condition and Performance • Information Systems System Technology and Integration Decision-Support Tools System Features • Results Data-Driven Targets Organizational and Institutional Practices • TAM Self-Assessment and Maturity Scale (adopted from 2011 AASHTO TAM Guide) • TAM Organization Policy and Goals Framework Leadership Support • Data Management Data Governance • Transparency and Outreach Accountability Benchmarking Communication and Outreach • Results Compliance Program and Plan Alignment • Workforce Workforce Capacity Workforce Development Information and Data System Challenges and Opportunities Table 4-5 provides suggestions for advancing in maturity • Policy, Goals, Objectives Evaluate measures vs.
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III-142 Guidebook for Data and Information Systems for Transportation Asset Management Asset management applied across agency, not just high value assets Processes for risk, long-term investment, trade-off considerations in prioritization of investment strategies Reporting changes in asset value based on planned investment strategies Documented asset management processes linked to financial plan Meet federal minimum Trends in road usage and state demographics reflected in objectives and strategies Project information available in planning (and vice versa) Risks identified, recorded, assessed at appropriate level of detail Life-cycle costs Account for maintenance issues • Planning, Programming, Project Delivery o Identify data to improve these functions Realistic projections of future revenue Include modal alternatives Resources required to maintain existing assets at targeted performance and to lower life-cycle costs Capital, maintenance, and operational considerations on statewide and corridor basis Data-driven priorities Performance-based budgeting – relate project costs to expected LOS Historical trends, current conditions, stakeholder expectations Progress toward targets is measured using documented methodology Program trade-off analysis (e.g., preserve vs.
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Detailed Literature Review III-143 Asset Condition and Performance Condition/performance updated periodically based on regulatory or agency requirements Survey methodologies are accurate, repeatable, and documented Survey completed by knowledgeable, trained staff Performance monitored such that confidence exists that the asset will perform when needed Track focus groups, customer surveys, complaints, or other feedback to gauge public perception of asset conditions and performance Governance Enterprise data governance plan Enterprise data sets identified Single authoritative sources for shared data identified Data stewardship roles and responsibilities formalized Data meanings, structures, values, naming, and metadata standardized Business rules on data addition, update, or delete New data elements or applications minimize or eliminate redundancy Data quality expectations established Prioritize data needs based on risk and other key factors Develop a quality plan to improve quality of available data Establish a data governance plan • Information Systems Current capabilities of existing management system and prioritize enhancements Improve performance models Incorporate a range of treatments into existing management systems Integration/consistency of information systems with regard to shared data sets Information systems meet needs at multiple organization levels Systems build upon common geographic referencing and common map-based interfaces for analysis, display and reporting Procedure to manage changes in referencing systems GIS integration of agency data and system functionality Tools support trade-off analysis between asset classes and identify gaps in desired performance AM recommendations based on optimization Actual costs, accomplishments are tracked by project, asset, work type, location and allow improvement of models Predict future demand reflecting specific network conditions • Transparency and Outreach Include representative of public information office on asset management committee • Results Review existing performance measures and targets to determine suitability Data-driven targets consider progress toward safety, infrastructure condition, congestion, reliability, economy, freight movement, environmental sustainability, project delivery
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III-144 Guidebook for Data and Information Systems for Transportation Asset Management • Workforce Capacity and Development Skills needed in each position Training plans for acquiring needed skills Minimize loss of key staff knowledge Examples or Case Studies • FHWA Transportation Performance Management Case Study: NCDOT Emerging Technology or Techniques • N/A
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Detailed Literature Review III-145 NCHRP 08-36, Task 100, "Transportation Data Self-Assessment Guide" (Final Report) Year of Publication: 2011 Link: http://onlinepubs.trb.org/onlinepubs/nchrp/docs/NCHRP08-36(100)
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III-146 Guidebook for Data and Information Systems for Transportation Asset Management Organizational and Institutional Practices • Summary of various Data Capability Maturity Models Gartner, IBM, EWSolutions, DataFlux, Knowledge Logistics, MDM Institute, Oracle Institute • Strategic Alignment Organizational Roles User Needs Identification of data sources, uses, users Data Utilization Data Visualization • Data Program Management Clear Definitions Ability to Segregate, Aggregate, Analyze Audits Validation Reduce Cost Security Privacy Ethics Data Collaboration Management Continuity • Data Programs Travel, Financial, System Condition, System Inventory, Operational, Safety, Customer Relations • Evolutionary/cyclical approach to data management program improvement Information and Data System Challenges and Opportunities • Challenges Strategic Alignment Lack of Institutional Capacity Organizational Structures and Institutional Relationships Limited Budgets Institutional Momentum Absence of Leadership Continuity Management Indifference Weak Vision Management Turnover Short Management Horizon Poor Implementation Consensus Building Cultural Barriers, Organizational Resistance Task Magnitude
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Detailed Literature Review III-147 Solid Intra-Organization Partnerships Communication Published Definitions and Standards Data Champions Examples or Case Studies • Assessment/Accountability Comprehensive Center Data Needs Assessment • International Health Care Example: Global Fund to Fight Aids, Tuberculosis, and Malaria - Routine Data Quality Assessment Tool • Transportation Example: Alaska Department of Transportation & Public Facilities Data Business Plan Emerging Technology or Techniques • N/A • Opportunities Strong Executive Leadership
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III-148 Guidebook for Data and Information Systems for Transportation Asset Management NCHRP Synthesis 508: Data Management and Governance Practices Year of Publication: 2017 Link: http://www.trb.org/NCHRP/Blurbs/176005.aspx Overview This paper was a synthesis of research on data management and governance practices as they pertain to DOTs. Information was also gathered using a survey sent out to all U.S.
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Detailed Literature Review III-149 Organizational and Institutional Practices • Categories of Data and Transportation Life-Cycle Planning and Programming Environmental Design Construction Operations and Safety Maintenance Monitoring • Pyramid-Shaped Data Governance Structure An upper-level council or committee providing oversight and strategic direction Enterprise data stewards providing coordination across business units Stewards accountable for the quality and use of individual information technology Information and Data System Challenges and Opportunities • Challenges Lack of Staffing Other mission-related issues are more pressing Lack of resources Lack of a Data Governance Council or Board Examples or Case Studies Governance • FDOT ROADS Initiative for Enterprise Information Management and Data Governance • MnDOT Infrastructure Data Domains • USDOT Data Business Plan Data Integration and Warehousing • Utah DOT - UGATE/UPlan - AGOL platform to access, share, map transportation data Approach emulated by other DOTs (Arizona, Florida, Kansas, Idaho, Montana, Pennsylvania) Emerging Technology or Techniques • Areas of future research Including development of a data management and governance guidebook and training materials Identifying the benefits, costs, and risks (e.g., security risks)
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III-150 Guidebook for Data and Information Systems for Transportation Asset Management NCHRP Project 03-128, "Business Intelligence Techniques for Transportation Agency Decision Making" (Research is Ongoing) Year of Publication: |
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Detailed Literature Review III-151 NCHRP Report 800: Successful Practices in GIS-Based Asset Management Year of Publication: 2015 Link: http://www.trb.org/Publications/Blurbs/172204.aspx Overview Identifies opportunities for agencies to operate better by implementing GIS systems into TAM practices, providing guidance on: 1. Assessing current agency capabilities for using GIS to enhance TAM 2.
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III-152 Guidebook for Data and Information Systems for Transportation Asset Management Integrate data for needs assessment Review and assign treatment Review geospatial patterns/trends in asset failure, deterioration, etc. • Developing Programs View integrated information across multiple asset classes and programs Public-facing web applications for asset conditions and planned projects Mobile GIS apps for executive "road shows" • Tracking and Management Work Review planned work by location to consolidate contracts, avoid conflicts, avoid adverse customer impacts • Ingredients for Success of GIS/TAM Initiatives identified, including: GIS Tools Foundation Geospatial data Consistent Data Standards for Integration Management Systems Linked with GIS Coordinated Data Collection Programs Organizational and Institutional Practices • Ingredients for Success of GIS/TAM Initiatives identified, including: Leadership and Alignment GIS Expertise Data Management and Stewardship Coordinated Data Collection Programs • Capability Maturity Models for each TAM Motivation Area Breaking down maturity in three areas - Information Integration, Analysis, Communication • At-a-Glance Assessment Matrix Simple chart to record maturity in five motivations, across three areas • GIS Foundation Assessment Checklist Agency-Level GIS Function Geospatial Data and Standards Tools and Technologies GIS Expertise, Training, and User Support • Various Implementation Approaches (Comprehensive, Pilot, Incremental, Targeted - Internal, Targeted - External)
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Detailed Literature Review III-153 • Decision-Support Efficiency Automation of data integration, mapping, and analysis tasks Reduced need for on-site review time • Project and Program Development Effectiveness Improved understanding of multiple complex factors Improve project scoping Ability to package work efficiently • Improved Program Development Improved ability to analyze implications of program changes • Risk Avoidance Reduced failure risks for critical assets (possibly lower insurance costs) • Disaster Recovery Greater likelihood of full FEMA reimbursement based on availability/accuracy of asset inventory records • Accountability and Credibility Enhanced reputation and level of public trust gained through information sharing Barriers and Success Factors • Sustained Executive Support Critical for major investments and multi-year initiatives to fill gaps in foundational GIS tools • Business Unit Management Engagement Business managers must recognize opportunities for GIS and serve as champions • GIS Expertise and Tools Asset management staff must have access to GIS tools, expertise in use of tools, access to the data they need to use the tools • Accurate Foundational Geospatial Data Accurate base map with road centerlines and jurisdiction boundaries Centrally managed LRS to provide foundation for data collection, storage, analysis, and display • Data Sets that can be Geospatially Integrated and Shared Consistent location referencing Standards for accuracy and precision • Management System Integration with GIS Processes to integrate spatially referenced information across various systems • Coordinated Approaches to Field Data Collection Coordinated, consistent approach across multiple business units Implementation • Overall Strategy Recommendations (by strength of GIS Foundation)
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III-154 Guidebook for Data and Information Systems for Transportation Asset Management • Template for Business Case for GIS/TAM • Summary of Value Added by GIS TAM Capabilities Efficiency (Doing Things Right) and Effectiveness (Doing Right Thing)
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Detailed Literature Review III-155 NCHRP Report 920: Management and Use of Data for Transportation Performance Management: Guide for Practitioners (NCHRP Project 08-108, "Developing National Performance Management Data Strategies to Address Data Gaps, Standards, and Quality") Year of Publication: 2019 Links: • Project: http://apps.trb.org/cmsfeed/TRBNetProjectDisplay.asp?
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III-156 Guidebook for Data and Information Systems for Transportation Asset Management Gaps in data Difficulty integrating data from disparate sources Difficulty aggregating data across districts Lack of/aging technology infrastructure Sharing data across districts Data storage and purging practices Lack of skills and expertise • Cultural and Institutional Challenges Limited resources focused on meeting external reporting mandates Tendency to make do with what is available rather than seeking better data Lack of integration between agency TPM and broader agency management and governance activities Leadership not prioritizing data improvement Decentralized decision-making about data system development Lack of collaboration across business units Lack of trust in externally collected data Discomfort in outsourcing data functions historically managed internally Unwillingness to share data when it may not be 100% accurate Overly restrictive data use agreements with public and private partners Difficulty attracting and retaining staff with relevant skills Inability to keep up with data improvements Examples or Case Studies • Asset Management Data Collection for Supporting Decision Processes (2006) Link: http://www.fhwa.dot.gov/asset/dataintegration/if08018/assetmgmt_web.pdf • NCHRP Project 20-24(37)
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Detailed Literature Review III-157 FHWA TPM Implementation Guidebook (the Transportation Performance Management Technical Assistance Program Guidebook) Year of Publication: 2018 Link: https://www.tpmtools.org/guidebook/ Overview A guidebook designed to help in the implementation of Transportation Performance Management by using information from past performance levels and forecasted conditions to guide investments, measuring progress toward strategic goals, and making adjustments to improve performance.
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III-158 Guidebook for Data and Information Systems for Transportation Asset Management Information and Data System Challenges and Opportunities • All of the above organizational practices Examples or Case Studies • Link: https://www.tpmtools.org/wp-content/uploads/2016/09/guidebook-final-appendix-b.pdf • Link: https://fhwaapps.fhwa.dot.gov/planworks/Reference/CaseStudy/Show/23 Emerging Technology or Techniques • N/A
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Detailed Literature Review III-159 NCHRP Report 666: Target-Setting Methods and Data Management to Support Performance-Based Resource Allocation by Transportation Agencies: Volume I: Research Report, and Volume II: Guide for Target-Setting and Data Management Year of Publication: 2010 Links: http://www.trb.org/Publications/Blurbs/164178.aspx Overview The study was designed to help DOTs develop and improve performance management practices through pursuing the following objectives: • To provide an overall description of Performance-Based Resource Allocation (PBRA) • To provide a comprehensive description of the process and methods by which targets are set for use in PBRA • To provide a comprehensive description of the data, information systems, and institutional arrangements needed to support PBRA decision-making.
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III-160 Guidebook for Data and Information Systems for Transportation Asset Management Information and Data System Challenges and Opportunities Challenges • Political influence • Customer and stakeholder perspective • Agency experience • Communication and reporting • Financial resources • Timeframe Opportunities • Use external data sources, such as environmental, historic, and other planning agencies for GIS data layers Examples or Case Studies • NCHRP Web-Only Document 154: Target-Setting Methods and Data Management to Support Performance-Based Resource Allocation by Transportation Agencies – Volume III: Case Studies Link: http://www.trb.org/Publications/Blurbs/164179.aspx Emerging Technology or Techniques • N/A
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Detailed Literature Review III-161 NCHRP Report 706: Uses of Risk Management and Data Management to Support Target-Setting for Performance-Based Resource Allocation by Transportation Agencies Year of Publication: 2011 Link: http://www.trb.org/Publications/Blurbs/166250.aspx Overview Describes how risk management and data management may be used by transportation agencies to support management target-setting for performance-based resource allocation. Specifically, this report intends to: 1.
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III-162 Guidebook for Data and Information Systems for Transportation Asset Management Data Reporting Documenting reporting frequency Appropriateness of tools (spreadsheet-based tools, web links, presentations, dashboards) Data Dissemination Define timely dissemination Appropriateness of tools Data Sharing Data sharing standards and cooperative agreements Integration of publicly produced vs.
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Detailed Literature Review III-163 Institutional Governance Data Business Plans Maturity Models Risk Management Business Intelligence Knowledge Management XML for Sharing and Storage Wireless Technology Automatic Vehicle Location GPS CCTV Non-Intrusive Technology for Traffic Data Examples or Case Studies • GDOT Pavement and Bridge Preservation Risk Assessment o Move away from "worst first" and toward "most at risk" • TxDOT's Statewide Freight Resiliency Plan o Key infrastructure corridors and strategies to ensure a resilient freight network • Mn/DOT's Bridge Programming Risk Assessment o Communication tool to help explain factors in programing bridge projects • Washington State's Bridge Retrofit Risk Assessment o Identify network of lifeline routes that are critical during major disasters • Caltrans' Bridge Seismic Safety Retrofit Program o Prioritization process for bringing bridges to current seismic safety standards • Georgia DOT Pavement and Bridge Preservation Risk Assessment • Minnesota DOT Bridge Programming Risk Assessment • Texas DOT Statewide Freight Resiliency Plan • Washington State DOT Enterprise Risk Management Office • MinnDOT Risk Management Program • California DOT Seismic Safety Retrofit Program Emerging Technology or Techniques • BI Tools (dashboards, score cards) • Knowledge Management Systems • XML for Sharing and Storage • Wireless Technology • Automatic Vehicle Location • GPS • CCTV • Non-Intrusive Technology for Traffic Data (infrared, magnetic, radar, microwave, ultrasonic, passive, video)
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III-164 Guidebook for Data and Information Systems for Transportation Asset Management NCHRP Report 806: Guide to Cross-Asset Resource Allocation and the Impact on Transportation System Performance Year of Publication: 2015 Link: http://www.trb.org/Publications/Blurbs/172356.aspx Overview The project aimed to provide guidance to DOTs on how to better analyze and communicate the likely impacts of system performance across multiple investment types to make better performance targets. In order to help agencies decide investment priorities, the paper provided an analytical data-driven performance-based framework and tool prototype for cross-asset resource allocation.
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Detailed Literature Review III-165 Information and Data System Challenges and Opportunities • Institutional Barriers Weak Strategic Direction Tools and Data - particularly for Performance Forecasting Institutional Constraints Organizational Considerations Public/Stakeholder Issues Political Resistance Siloed mentality • Technical Challenges Setting a planning horizon Identifying "Must-Do" projects Providing the ability to analyze user-specified performance measures (including qualitative metrics) Identifying performance measures by functional class Handling alternative funding structures Integrating data from existing management systems Allowing geographic constraints Clear reporting • Opportunities Linking planning and programming process to ensure optimal allocation of limited resources Satisfying performance-based planning requirements Assisting in developing TAMPs Directly linking planning and project prioritization and programming Examples or Case Studies • General Example Applications or Use Cases: Overarching project prioritization Program level analysis Project level analysis Performance analysis and target-setting Scenario analysis Establishing relative priorities Risk analysis • Examples: Legacy-Driven: Louisiana, Kansas, Mississippi Fix It First: Georgia, Colorado, Virginia, South Carolina Soft Optimization: Arizona, Ohio, North Carolina, Michigan Performance-Based: Washington, Utah, Virginia, Florida, Oregon • Case studies: New Jersey, North Carolina, South Carolina, Utah, and Virginia Emerging Technology or Techniques • Cross-Asset Resource Allocation
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III-166 Guidebook for Data and Information Systems for Transportation Asset Management Advances in Civil Integrated Management (Final Scan Team Report) (NCHRP Project 20-68A, Scan 13-02, "Advances in Civil Integrated Management," Final Scan Team Report)
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Detailed Literature Review III-167 Information and Data System Challenges and Opportunities • Developing agency standards with regards to data types and formats • Ensuring data accessibility is managed through project via authorization level assignments • Developing agency standards with regards to data governance and environments • Overcoming legal hurdles surrounding digital document suitability certification (signing) Examples or Case Studies • Publication is based on survey and visits to: Iowa DOT – Statewide 3D model implementation Michigan DOT – 3D models and EDMS for Construction Admin New York State DOT – 3D Models and EDMS Texas DOT – Use of CIM in large Design Build projects Utah DOT – CIM bulk imported into GIS database Virginia DOT – use of CIM in large PPP projects Wisconsin DOT – Use of CIM with emphasis on 3D models Emerging Technology or Techniques • Geographic Information Systems (GIS)
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III-168 Guidebook for Data and Information Systems for Transportation Asset Management • Light Detection and Ranging (LiDAR) to capture accurate spatial data in three dimensions during survey Simple creation of digital terrain models Existing asset documentation and surveying data collection Large data collection done quickly • Automated Machine Guidance (AMG)
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Detailed Literature Review III-169 NCHRP Report 831: Civil Integrated Management (CIM) for Departments of Transportation, Volume 1: Guidebook, and Volume 2: Research Report Year of Publication: 2016 Links: • Volume 1: http://www.trb.org/Main/Blurbs/174318.aspx • Volume 2: http://www.trb.org/Main/Blurbs/174321.aspx Overview The research objectives were to assess the current state of CIM practices, document the observed trends across the agencies (benefits, costs, opportunities, risks)
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III-170 Guidebook for Data and Information Systems for Transportation Asset Management Examples or Case Studies • Rotary upgrade to modern roundabout (CTDOT) • Relocation of KY7 in Elliott County (KYTC)
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Detailed Literature Review III-171 Guide to Asset Management Processes Part 9: Asset Information Management Systems and Data Year of Publication: 2018 Link: https://austroads.com.au/publications/asset-management/agam09 Overview This guide was developed to support road agencies with the selection and implementation of an appropriate asset management information system (AMIS) for their organization.
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III-172 Guidebook for Data and Information Systems for Transportation Asset Management • Clear understanding of the range and scope of assets to be managed has direct impact on system choice • An asset register should be able to address cross-department reporting functions as well as integration with other corporate systems • Ensuring end users are part of any data transfer process is key for validation with setting up and configuring an AMIS • Field trials are critical to the successful implementation of an AMIS to ensure no additional errors are introduced Organizational and Institutional Practices • Involve all key staff that will be engaged with installing and using the AMIS from the beginning of the selection process • Ensure well-documented data management procedures and standards to address staff mobility • Plan for substantial organizational resources to be committed to operating the AMIS • A change-management plan is critical to support the implementation of an AMIS • Ensure that an experienced project manager with a track record of similar work is assigned to oversee the AMIS implementation • Complete an assessment of the project team's capability and team dynamics prior to implementation to ensure the right composition and balance Information and Data System Challenges and Opportunities • Challenge – Lack of adequate planning and definition of high level business needs decreases optimal AMIS benefits for both organization and staff • Challenge – Justifying the cost and long-term benefits of implementing an AMIS is usually the largest barrier • Opportunity – Benefits of a partnered approach (agency and supplier) are highest on larger AMIS projects where collaboration can help fast-track delivery and address delivery barriers proactively Examples or Case Studies • Asset Management Systems Review Report (www.arrb.com.au/amsr)
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Detailed Literature Review III-173 Guide to Asset Management Processes Part 10: Asset Management Implementation and Improvement Year of Publication: 2018 Link: https://austroads.com.au/publications/asset-management/agam10 Overview This guide was developed to support road agencies with defining roles and responsibilities; developing asset management plans; delivering asset management activities; providing guidance and techniques for asset management status assessment; and continuous improvement planning and monitoring for all activities. The guide is part of a larger 15-part series that covers management overview, asset management processes, and technical information.
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III-174 Guidebook for Data and Information Systems for Transportation Asset Management • Job descriptions should cover asset management competencies that cover technical, process and interpersonal skills • Commitment should be driven from the top with communication of organizational value and benefits • SAMPs should always link higher level goals and objectives for the more detailed AMPs • Per ISO 55001:2014, SAMPs should include: Asset management objectives Have asset management objectives aligned with organizational objectives Scope of asset management system aligned with SAMP and AMP Document how the asset management system will support delivery of the SAMP • Key road agency asset management maturity models include: IAM Self-Assessment Methodology Plus Gap analysis processes and tools based on IIMM (IPWEA 2015) from New Zealand AASHTO Transportation Asset Management: Volume 1 (TAM 1)
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From page 297... ...
Detailed Literature Review III-175 • Table 2.3, Page 12 provides an example of a competency matrix that highlights skill areas with target and current ratings to reveal skill gaps • Case Study of New Zealand Transport Agency presented on Page 13 provides an example of a capability assessment and use of leading and lagging indicators to illustrate overall agency capability • Case Study of Department of Planning Transport and Infrastructure South Australia presented on Page 18 provides an example of SAMP and AMP alignment • Case Study of NZTA on Page 22 provides an example of how asset management practices and requirements are transferred into procurement strategies • Section 5.1, Pages 24-30, provide examples of application of various gap and maturity assessment methods and tools with illustration • Case Study of Queensland Department of Transport and Main Roads presented on Pages 33-34 provides an example of gap analysis and improvement plan with illustration of results • Case Study of benchmarking asset management maturity in the water market is presented on Page 36 • Case Study of DPTI from 2016 presented on Pages 40-41 provides an example of a prioritized improvement plan • An example asset management capability improvement approach is presented in Section 7 Emerging Technology or Techniques • N/A
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III-176 Guidebook for Data and Information Systems for Transportation Asset Management Harmonization of Location Referencing for Related Data Collection Year of Publication: 2011 Link: https://austroads.com.au/publications/asset-management/ap-t190-11 Overview This report presents and reviews common linear and spatial location referencing systems used by road authorities in Australia and discusses the various benefits and limitations of each. The report examines the challenges resulting from the inconsistencies both in terms of data exchange, accuracy and maintenance.
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From page 299... ...
Detailed Literature Review III-177 • Challenge – Inconsistent linear referencing systems add time and cost to service providers when conducting data collection and post-processing efforts as they must continuously adapt to different standards • Opportunity – Harmonization of linear referencing methods and systems would allow for comparison of network data over time • Common linear referencing approaches use kilometer posts or reference posts, whereas aid drivers and field personnel are costly to maintain, not unique, and are subject to degrees of inaccuracy due to limitations for precise installation and/or movement from road works or other alterations • Challenge – The practice of "rubber banding" to force data collection to fit a linear referencing system results in inaccuracies and inability to track changes over time • Opportunity – Use of GPS significantly decreases the level of location variation and is a more objective, repeatable technology often with built-in tool or software features that correct • Challenge – Large investments have been made by road agencies in certain methods or technologies and moving toward a common, standardized approach can be costly and have reputational damage with respect to perception of wasted funds • Challenge – Adoption of new methods and systems must acknowledge supply chain resource limitations and constraints Examples or Case Studies • Department of Infrastructure, Energy and Resources (DIER) , Tasmania – Use of GPS technology to survey and provide digital road centerline to absolute accuracy of within 10 m Emerging Technology or Techniques • GPS technology continues to advance and it is assumed that any non-spatial linear referencing will become redundant in the near future
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III-178 Guidebook for Data and Information Systems for Transportation Asset Management ACRP Synthesis 70: Building Information Modeling for Airports Year of Publication: 2016 Link: http://www.trb.org/main/blurbs/174386.aspx Overview Document sets out "state of the art and practice" in BIM applications and implementations and then provides a snapshot of existing airport implementations based on airport and consultant survey. TAM Motivations • Results noted airports using BIM for planning and design heavily, Construction moderately, and O&M rarely – report motivated by desire to shift from project level BIM to organizational use (beyond design and construction and into O&M)
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Detailed Literature Review III-179 • Lack of system interoperability • Lack of industry standards Examples or Case Studies • McCuen & Pittenger 2015 Survey of airports and consultants Denver International Airport: Realizing Benefits of Full BIM Implementation San Francisco Airport Commission: Undertaking a New Full BIM Implementation Los Angeles World Airports: Realizing Benefits of Project-Level BIM Ted Stevens Anchorage International Airport: Realizing Benefits of Organization-Level BIM Massachusetts Port Authority: Road mapping BIM Implementation Iron Horse Architects: BIM for Airports -- A Designer's Perspective Balfour Beatty Construction: BIM for Airports -- A Contractor's Perspective • BIM usage at Frankfurt Airport - Shoolestani et al. 2015 • BIM usage at Heathrow – buildingSMART UK 2010 • BIM usage at Gatwick – Neath et al.
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From page 302... ...
III-180 Guidebook for Data and Information Systems for Transportation Asset Management "BIM for Airports: ACRP – A Synthesis of Airport Practice" (PowerPoint Presentation) Year of Publication: 2015 Link: http://onlinepubs.trb.org/Onlinepubs/acrp/acrp_syn_070.pptx Overview A presentation file presenting the results of a national survey of 10 airports and 4 AEC firms on the use of BIM, the maturity of the usage, and benefits realized from the use: • Current state of the art/practice in BIM • "Snapshot of existing experience" with BIM in North American Airports • Available opportunities, benefits and value TAM Motivations • Improved visualization • Better cost control • Collaboration among project team using a single source of information • Increased O&M efficiency • Enhanced asset (facilities)
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From page 303... ...
Detailed Literature Review III-181 BS8536 Brie�ing for Design and Construction – Part 1: Code of Practice for Facilities Management (Buildings Infrastructure) Year of Publication: 2015 Link: https://shop.bsigroup.com/ProductDetail/?
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From page 304... ...
III-182 Guidebook for Data and Information Systems for Transportation Asset Management • Evidence-based design and construction can be expected to result in improvements to the project's outcomes and the achievement of more exacting operational requirements with respect to environmental, social, security and economic performance, including demonstration of the owner's, operator's and end users' satisfaction with the asset/facility in operation. • Performance outcomes should be set at the "Strategy" work stage as the basis for measuring operational performance: (a)
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From page 305... ...
Detailed Literature Review III-183 Organizational and Institutional Practices • Identifies organizational practices required to enable information management which can comprehensively support soft landings • Soft landings – Assist in getting the best out of their new or refurbished asset/facility • Soft landings provide: A unified approach for addressing outcomes from an integrated process of briefing, design and delivery of the asset/facility Alignment with energy performance criteria, building logbooks, building manuals, green leases and social responsibility Greater involvement of the design and construction team with the operations team (or with the facility manager) during and after completion of construction Improve operational readiness Meet expectations for flawless start-up Support sustained operational performance in use • Soft landings should require information already collected in normal project delivery • Owner would be expected to nominate a soft landings champion Ensure suitability to the project throughout design and construction and into operation • An approach to specification of Organizational, Asset and Project Information Requirements (OIR, AIR, PIR)
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From page 306... ...
III-184 Guidebook for Data and Information Systems for Transportation Asset Management Details the transfer of content from the project information model (PIM into the owner's asset information model [AIM]
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From page 307... ...
Detailed Literature Review III-185 BS8536 Brie�ing for Design and Construction – Part 2: Code of Practice for Asset Management (Linear and Geographic Infrastructure) Year of Publication: 2016 Link: https://shop.bsigroup.com/ProductDetail?
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From page 308... ...
III-186 Guidebook for Data and Information Systems for Transportation Asset Management • Operational considerations in design • Value or benefit increased through trouble-free, efficient and cost-effective operation Evidence-based design and construction • Improve outcomes • Support more exacting operational requirements with respect to environmental, social, security and economic performance • Demonstrate satisfaction with outcomes Asset Value – depends on many factors • Striking the desired balance between cost, risk and performance • Depends on owner and other key stakeholders • Can be tangible or intangible, financial or non-financial, and changes over the life of the asset (see BS ISO 55000) • Benefit and utility are synonymous with value and all three are linked to cost Information Management and Integration Practices Whole-life view of an asset • Need to realize value from entire life; not solely its design and construction or upgrading • Vast amount of information and data is generated and exchanged during asset lifetime • Security-minded approach to the handling of information and data is needed Evidence-based approach to design and construction -- decisions based on the best available information from multiple sources • Owner's business objectives • Current operations • Lessons learned from previous projects • Design modeling and simulation • Performance evaluations • Include the provision of evidence to support proposals and recommendations prepared by the delivery team • Information and data for these purposes should be handled, stored and protected in accordance with the owner's security requirements Meet operational needs of the owner, operator, end users and other key stakeholders.
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Detailed Literature Review III-187 Plan of work -- outlines the work stages and digital plan of work, establishing • Level of model detail • Level of model information that needs to be delivered by each originator during each work stage for a specific project and in operation • Progression criteria at decision points (or gates) that include requirements relating to environmental, social, security and economic performance • Iterative nature of some work activities, where the need to reassess assumptions is a normal and necessary feature (e.g., design process is not linear and involves iteration to converge on an acceptable solution)
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From page 310... ...
III-188 Guidebook for Data and Information Systems for Transportation Asset Management Security Economic • Quantitative approach taken to measuring performance and value (recommends PD ISO/TS 21929-2) Provides environmental, social and economic performance indicators Includes a framework for developing indicators of economic, environmental and social impacts Establishes a core set of aspects and impacts to be considered when developing systems of indicators Roles, main activities and responsibilities for facilitating information management and soft landings in the context of asset management • Discussion between the owner and delivery team on the alignment of decisions and information exchanges • Project decision points should be determined by the owner's internal policy and decision-making, not the delivery team Information and Data System Challenges and Opportunities Opportunity: • Creating the Asset Information Model (AIM)
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Detailed Literature Review III-189 Integrating 3D Digital Models into Asset Management Year of Publication: 2018 Link: N/A Overview The goal of the document is to guide practitioners at transportation agencies in the United States in the incorporation of as-built 3D project information models created during the design and construction phase of projects into asset management systems. These models contain information about the assets addressed.
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III-190 Guidebook for Data and Information Systems for Transportation Asset Management • Maintaining an inventory of assets and information about their condition/performance • Achieving target level of service/performance requirements within budget constraints • Preserving the assets in good condition, while improving return on investments • Trading off between improvement alternatives and investments to find optimal solutions • Connecting customer expectations with agency policies, practices and investment decisions relating to system performance, condition and availability • Optimizing allocation of monetary, human and physical resources to provide greater value to the asset system and users • Conformance with legal, statutory and regulatory requirements • Maximizing the value of asset portfolios through careful consideration of trade-offs between performance, cost and risk over all stages of the assets' life-cycles • Continual improvements to asset preservation related policies, practices and procedures to achieve agency goals • Strategically aligning agency policies with long-term financial health and asset needs Information and Data System Challenges and Opportunities • Challenges/Pitfalls Interoperability between diverse BIM and asset management platforms Data collection (field) Narrow definition of BIM Data redundancy Data quality Data Integration Consistency of data use Open standards for data interoperability and integration Developing processes to build and implement a BIM-integrated asset management system Robust data linkage Configuration management process Streamlined data flow Standardization Data interdependency Data access Data security Perception of BIM.
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Detailed Literature Review III-191 Contractual and legal framework Model contents and required data for asset management Model ownership and protection of data Model exchange format Model design liability Intellectual property ownership Standards and policy There is need for a unique BIM international standard Education and skills The construction industry is in the middle of the BIM learning curve Training not only provides new skills for new technicians but also helps to understand what can be achieved Unclear roles and responsibilities and lack of collaboration between project stakeholders Risk and uncertainty Resistance to change of stakeholders Cost Cost of software and hardware Cost of training and BIM consultant Cost of hiring new employees Interoperability Diversity between BIM and FM tools and platforms Open standard limitations Lack of common interest between the software vendors Information management and technology It is necessary to decide what information of BIM is useful for AM How integrated are the different software programs and applications Who will be in charge of information changes during the life-cycle • Opportunities Improved deployment and utilization of integrated data management systems Track changes in inventory data during the design and construction phase Leverage digital models to efficiently hand over as-built information Improve information capture Improve information management Improve information usage Expand open standards Knowledge capture. Share information and knowledge.
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III-192 Guidebook for Data and Information Systems for Transportation Asset Management Assist business journey BIM can be used as a tool to increase flexibility and adaptability, improving the quality of the work environment and therefore having positive effects on productivity Asset management early engagement Opportunity for asset management to be involved and influence the design process Feedback loop for continuous improvement and less rework Calculation of total expenditure during whole life Data strategy Identifying data needed by asset management during predesign stage providing single source data Allow asset management and owners to test the outcomes in the O&M phase Facilitate the handover Support soft/hard services and strategic asset management Informed decisions Improve maintenance strategy Cultural behaviors Facilitate data location Examples or Case Studies • Utah DOT • Michigan DOT • New York State DOT • Iowa DOT • Connecticut DOT • A556 Knutsford to Bowdon Road Improvement • Crossrail • High Speed Two • ORBIS • Netherlands • General vendor perspectives and technology trends Emerging Technology or Techniques • 3D digital project information models
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Detailed Literature Review III-193 Identifying Data Frameworks and Governance for Establishing CIM Standards Year of Publication: 2018 Link: N/A Overview The presentation aims to identify existing and applicable digital transportation life-cycle data standards. Additionally, it aimed to develop a conceptual data standard, data governance approach, and implementation plan for Civil Integrated Management (CIM)
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From page 316... ...
III-194 Guidebook for Data and Information Systems for Transportation Asset Management Organizational and Institutional Practices • Business intelligence • Gap analysis of CIM processes Information and Data System Challenges and Opportunities • Adoption and consolidation of standards Examples or Case Studies • Netherlands (completed, rest in progress) • Minnesota DOT • Kentucky DOT • Iowa DOT • Michigan DOT • Colorado DOT Emerging Technology or Techniques • UAV (e.g., drones)
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Detailed Literature Review III-195 Identifying Data Frameworks and Governance for Establishing Future CIM Standards Year of Publication: 2018 Link: N/A Overview The objective of this research effort is to identify existing, applicable, digital transportation life-cycle data standards, and data governance approaches, as well as to develop a scalable implementation plan for agencies to achieve a BIM/CIM data governance approach. The goal of this project is to serve as a basis and starting point for future efforts toward data standards and governance.
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III-196 Guidebook for Data and Information Systems for Transportation Asset Management Organizational and Institutional Practices • Civil integrated management • Business intelligence • Mission focus • Focus areas • Decision rights • Accountables • Data stakeholders • Data governance office • Data stewards • Modeling standards • Web data standards Information and Data System Challenges and Opportunities • Challenges Lack of data interoperability Inaccurate data Data redundancy Untimely data Data access Absence of data standards Unavailable data integration • Benefits Cost-saving Innovations Manage risk Harness data Manage quality of data Manage consistency of data Manage usability of data Manage security of data Manage availability of data Examples or Case Studies • Netherlands • Minnesota DOT • Kentucky DOT
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Detailed Literature Review III-197 • Iowa DOT • Michigan DOT • Colorado DOT • Connecticut DOT • Florida DOT • Rawlins (2016) • PricewaterhouseCoopers LLP (2016)
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III-198 Guidebook for Data and Information Systems for Transportation Asset Management Infrastructure Asset Managers BIM Requirements - TR 1010: Delivering the information ‘Asset Managers' need and can trust using openBIM™ Year of Publication: 2018 Link: https://buildingsmart-1xbd3ajdayi.netdna-ssl.com/wp-content/uploads/2018/01/18-01-09-AMTR1010.pdf Overview This report outlines the infrastructure asset managers' requirements for Building Information Modeling • Makes a distinction between requirements of asset managers and of designers and constructors • Reports on interviews and private conversations with asset owners across the infrastructure field Roads Railways Airports Water Environment • Highlights the trend of taking a holistic organizational and whole-life view of assets Findings presented as: • Information requirement principles that span across the life-cycle of infrastructure assets • Recommendations on the process of collection and content required • Principles for types and content of information captured • Techniques for collecting and managing information stage by stage NOT at detailed asset level • Follows an ‘Open' approach to information Demonstrating how the standards of buildingSMART can be used and adapted to create value and quality in the data life-cycle • Highlights benefits of BIM, has it matured Significant savings in cost and effort Improved content quality and relevance if information can be acquired as an integration of BIM and Asset Information Management disciplines TAM Motivations Savings in cost, effort and improved content quality and relevance if information can be acquired as an integration of BIM and Asset Information Management disciplines
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Detailed Literature Review III-199 Information Management and Integration Practices Successful asset management requires considering information requirements as an integral part of carrying out the overall asset management tasks Needs for information are more than a list of products or components with their immediate attributes • encompass the function of the complete asset set • describes performance, capacity, function, risk and interdependency, spanning: Strategic planning for whole asset portfolios Asset management decision-making Operational management Service delivery and use management Maintenance Risk management • Details high level information requirements • Highlights implications for buildingSMART standards Organizational and Institutional Practices Emerging best practices recognize: • Asset life and recording information starts at conception and not when constructed • Information requirements – driven delivery process is essential • Systems engineering approach to delivering information is desirable • Verification and validation of information against requirements at each asset life-cycle stage • Progressive delivery of information at appropriate stages of an asset's life-cycle • Asset centric view of information delivery is paramount • Design and construction information model must meet design, cost and construction needs and be able to be rolled up to an asset model • Asset and asset information is the core delivery of a BIM process not components and manufactured products • A service and risk driven asset management process necessitating information that supports this • Recording of functional requirements against an asset as it is designed Why it's there What it is supposed to do • Recording of technical specification against an asset as it is designed What technical performance is required of the asset Verified against functional requirement • Recording of as-built installation of assets
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III-200 Guidebook for Data and Information Systems for Transportation Asset Management • Recording of the commissioning information against each asset Verifying it against functional and technical requirements Verifying the condition of the asset at handover Information and Data System Challenges and Opportunities • Describes some of the information and data system challenges, and walks through how these can be addressed using: BuildingSMART standards BS/PAS1192 suite of documents (BIM Level 2) - with reference to the emerging ISO19650 series.
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III-201 Research Implementation A P P E N D I X K K.1 Introduction State Departments of Transportation (DOTs) have made steady progress in the use of data and information systems to inform transportation asset management (TAM)
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III-202 Guidebook for Data and Information Systems for Transportation Asset Management programs, and can be extended for use by any agency or organization that has Transportation Asset Management policies or responsibilities. To fully realize the benefits, other business, technical, and supporting functions should be involved in benchmarking current practice, identifying improvements and planning implementation strategies.
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Research Implementation III-203 • Post a description and link to the products on: – The AASHTO TAM Portal website: https://www.tam-portal.com/; and – The AASHTO TPM Portal website: https://www.tpm-portal.com/. • Work with TRB Committee Chairs and AASHTO Committee Chairs to publicize the products to their members and friends through email blasts, electronic mailing lists (ListServs)
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III-204 Guidebook for Data and Information Systems for Transportation Asset Management • Both the NCHRP Project 08-115 guidebook and the TAM Guide include case studies. These case studies could be made available from within the TAM portal in a consistent, integrated fashion and linked to appropriate guidance content.
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Abbreviations and acronyms used without definitions in TRB publications: A4A Airlines for America AAAE American Association of Airport Executives AASHO American Association of State Highway Officials AASHTO American Association of State Highway and Transportation Officials ACI–NA Airports Council International–North America ACRP Airport Cooperative Research Program ADA Americans with Disabilities Act APTA American Public Transportation Association ASCE American Society of Civil Engineers ASME American Society of Mechanical Engineers ASTM American Society for Testing and Materials ATA American Trucking Associations CTAA Community Transportation Association of America CTBSSP Commercial Truck and Bus Safety Synthesis Program DHS Department of Homeland Security DOE Department of Energy EPA Environmental Protection Agency FAA Federal Aviation Administration FAST Fixing America's Surface Transportation Act (2015) FHWA Federal Highway Administration FMCSA Federal Motor Carrier Safety Administration FRA Federal Railroad Administration FTA Federal Transit Administration HMCRP Hazardous Materials Cooperative Research Program IEEE Institute of Electrical and Electronics Engineers ISTEA Intermodal Surface Transportation Efficiency Act of 1991 ITE Institute of Transportation Engineers MAP-21 Moving Ahead for Progress in the 21st Century Act (2012)
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Transportation Research Board 500 Fifth Street, N W W ashington, D C 20001 AD D RESS SERVIC E REQ U ESTED ISBN 978-0-309-67386-0 9 7 8 0 3 0 9 6 7 3 8 6 0 9 0 0 0 0
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