Guidebook for Data and Information Systems for Transportation Asset Management (2021) / Chapter Skim
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Research Report P A R T I I
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C O N T E N T S II-3 Chapter 1 Introduction II-7 Chapter 2 Guidance Development Process II-21 Chapter 3 Literature Review II-24 Chapter 4 Stakeholder Interviews II-31 Chapter 5 Pilot Testing II-38 Resources Reviewed
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II-3 1.1 Research Objectives 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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II-4 Guidebook for Data and Information Systems for Transportation Asset Management – Include practices that are used among domestic DOTs, international transportation agencies, and other industries whose practices may be adaptable to DOTs; and – Prepare a technical memorandum presenting the results of the task that includes (a) an annotated bibliography; (b)
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Introduction II-5 – Describe the general scope for typical improvement projects and likely ranges of resource requirements, key stakeholders, and leadership necessary for successful implementation; – Describe tools for practice-level self-assessment and improved benchmark descriptions; and – Present the results of this task to the NCHRP project panel in a technical memorandum suitable for use in Task 8, Pilot Testing, and include a plan for the testing.
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II-6 Guidebook for Data and Information Systems for Transportation Asset Management • Chapter 4 documents the results of the stakeholder survey; and • Chapter 5 documents the results and feedback from the Pilot-Testing process. A list of the resources consulted in the literature review appears after Chapter 5, and Part III of this report collects the appendices that supplement both the guidebook and this research report.
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II-7 C H A P T E R 2 2.1 Overview The guidebook was developed through the following process: • Literature Review: A literature review was conducted to provide an effective starting point for the research project. • Initial Content: The project team then created an initial technical framework, guidebook content outline, and sample content based on the conclusions of the literature review and with input from the NCHRP project panel.
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II-8 Guidebook for Data and Information Systems for Transportation Asset Management 2.2 Literature Review The project started with a comprehensive literature review to document the current state of the practices being assessed and to identify resources that could be leveraged for developing the research products. The literature review identified: • A range of tools and technologies supporting data collection, analysis, and reporting; • Several data management, integration, institutional, and organizational practices that are available to DOTs to advance their asset management programs; • Technical and institutional barriers to the advancement of data and information systems supporting asset management; • Common motivations that drive DOTs to seek continuous improvement of their asset management programs and services; and • Existing management tools that are available to help DOTs assess their existing capabilities related to asset management and data management.
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Guidance Development Process II-9 2.3 Initial Framework Based on the literature review and the experience of the research team, an initial conceptual framework for the guidebook was developed. As shown in Figure II-2, the initial framework proposed to identify specific TAM motivations that would serve as the entry point to the guidebook.
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II-10 Guidebook for Data and Information Systems for Transportation Asset Management • Store, Integrate, and Access Data; • Analyze Data; and • Act as Informed by Data. The initial framework also included a draft outline for the guidebook (see Figure II-4)
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Guidance Development Process II-11 • Business intelligence or data warehouse managers, workforce, risk, and knowledge managers; and • Executives involved in TAM and information technology decision-making. The research team developed and executed a strategy to engage staff from DOTs across the nation, resulting in the successful execution of five (5)
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II-12 Guidebook for Data and Information Systems for Transportation Asset Management • Assessment response templates to facilitate assessment response and improvement selection; • Assessment summary and improvement recommendations, organized by assessment area and section, summarizing performance and providing potential improvement recommendations; and • Organizational practices, consisting of descriptions of four types of organizational practices that are useful in supporting the development of agency expertise, coordination, and change management. 2.5.1 Summary of Framework Changes Table II-1 compares the initial recommended framework with the streamlined framework.
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Guidance Development Process II-13 Guidance Area RevisedFramework Initial Framework Rationale for Change Entry Point to Guidance Assessment Areas • Specify and Standardize Data • Collect Data • Store, Integrate, and Access Data • Analyze Data • Act as Informed by Data TAM Motivations • Efficient Data Collection • Improve Information Access • Better Manage System Condition and/or Performance • Transparency • Efficient Project Delivery Significantly Streamlined • In the initial framework, TAM motivations had an indirect relationship to the proposed organizational areas; • The discussion of motivations added unnecessary complexity given that data life-cycle areas were already relatable to the target audience. Organizational Hierarchy Relabeled • Assessment Areas • Assessment Sections • Assessment Elements • Practice Benchmarks Multiple "Areas" • Organizational Areas • Assessment Areas • Assessment Elements • Practice Benchmarks Added Clarity • The category "Organizational Areas" was removed to avoid confusion with "Assessment Areas." Assessment Summary and Improvement Recommendations Section Level • Assessment results interpreted by Section; • General and detailed improvement recommendations provided by ranges of Practice Benchmark levels.
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II-14 Guidebook for Data and Information Systems for Transportation Asset Management benchmarking, and improvement strategy framework, content, and methodology that had been developed through prior research activities, and (2) examination of the value of the guidance, its results, and suggested improvements from the perspective of the target DOT audience.
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Figure II-6. Final organization of assessment areas, sections, and elements.
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II-16 Guidebook for Data and Information Systems for Transportation Asset Management Benchmark Practice Level Range Description Initial Steps (Practice Level ranges from 0 to less than 1) DOTs operating within this practice range lack significant, formal processes or structures in the area of practice.
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Guidance Development Process II-17 2.7 Final Guidebook Organization and Content Extensive updates were made to the initial guidebook materials in response to the pilot testing. The revised guidebook organization, shown in Figure II-7, included the following chapters: • An initial Introduction and Overview chapter to outline the guidebook materials and content, as well as its intended purpose and process of use; • A Pre-Assessment Preparation chapter to cover the steps needed to prepare for the assessment process, including establishing a scope, enlisting participation, and setting expectations; • A Self-Assessment and Improvement Identification chapter to provide guidance for conducting the assessment and identifying improvements; • An Evaluation and Summary chapter to provide guidance on evaluating the identified improvements and presenting improvement recommendations for executive consideration; and • An Implementation Support chapter to provide references to supporting materials on organizational practices and case studies.
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II-18 Guidebook for Data and Information Systems for Transportation Asset Management Figure II-9. Digital tool assessment summary.
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Figure II-10. Digital tool improvement evaluation page.
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II-20 Guidebook for Data and Information Systems for Transportation Asset Management The research team walked the panel members through a full guidance assessment and improvement selection process, providing examples from the pilot testing and soliciting feedback from the panel. The panel generally agreed with the changes that had been proposed to the guidance following the pilot testing.
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II-21 C H A P T E R 3 3.1 Overview The literature review identified: • Technical (technology-related) and organizational challenges faced by DOTs seeking to advance data and information systems for TAM; • Key technologies and supporting tools supporting data-driven TAM practices; • Information management and integration practices important to the management, analysis, sharing, and reporting of information; • Existing management models, self-assessment tools, and organizational frameworks that should be considered during guidebook development.
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II-22 Guidebook for Data and Information Systems for Transportation Asset Management Given these challenges, the final guidance recognizes that DOTs must tackle any substantial improvement strategy through incremental, iterative improvement actions. This approach is reflected in the form and format of the improvement recommendations provided through the developed guidance and tools.
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Literature Review II-23 3.1.5 Existing Maturity Models and Self-Assessment Tools The literature review identified several examples of management tools that can be used to help a DOT assess the agency's existing or desired capabilities in order to improve performance. These tools are documented in Part III, Appendix J, Section J.5.
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II-24 C H A P T E R 4 Stakeholder interviews were conducted to introduce initial concepts for the organization of the to-be-developed guidebook to a broad group representing the target audience. Two separate approaches were used to raise national awareness of this research initiative and meet the research team's need for input from the target audience.
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Stakeholder Interviews II-25 • Detailed, project-level data collection practices and supporting tools (such as field-based mobile data collection) ; and • Technical, procedural, and organizational challenges to developing trust and use of these data across the enterprise.
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II-26 Guidebook for Data and Information Systems for Transportation Asset Management 4.1.3 Managing Condition and Performance A 1-hour managing condition and performance focus group was held on May 3, 2019 (see Table II-5)
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Stakeholder Interviews II-27 and delivering projects are improved through the agency's incorporation of TAM data and information systems, and to identify how project design and construction information can be effectively integrated with TAM systems and tools. The focus group discussions covered the following topics: • Tracking and mapping of transportation projects during design and construction; • Integration of asset information into projects including "BIM for Infrastructure" approaches; • Limitations of typical project information tracked at the bid item level or activity level; • 3D asset data collection, its value in automating and improving project development and delivery, and challenges associated with maintaining information quality and trust; and • Data duplication and data management and governance strategies to build trust and understanding of information collected across the enterprise.
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II-28 Guidebook for Data and Information Systems for Transportation Asset Management 4.2.2 Collect Data All participants reported having generally strong data collection programs but struggled with the wide variety of tools supporting data collection and often overlapping data collection efforts that result in duplication of effort and require secondary rectification efforts (see Table II-9)
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Stakeholder Interviews II-29 Need/Challenge Description Breaking Down Silos Participants expressed the need to break down traditional silos within the DOT through data and information sharing. Cloud-Based Systems/Data Storage A relatively new development for DOTs, this is an area of interest, with some agencies noting the ease of data integration, partner collaboration, and connection to remote devices being triggers for this interest.
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II-30 Guidebook for Data and Information Systems for Transportation Asset Management 4.2.6 Other/Cross-Cutting Needs and Challenges The focus group discussions revealed common needs and challenges across several areas that cut across the agency and were not specific to a particular tool or data need (see Table II-13)
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II-31 In consultation with the NCHRP project panel, the Connecticut DOT and the Utah DOT were identified for participation in pilot-testing activities. The pilot testing was intended to provide opportunities to observe and assess the effectiveness of each agency's application of previously developed guidebook content, focusing on self-assessment, improvement selection, and improvement roadmapping framework, tools, methods, and content.
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II-32 Guidebook for Data and Information Systems for Transportation Asset Management programs for data-informed decision-making. The DOT wanted to use the assessment process to identify ways for advancing striping data and information systems to support pavement striping's management as a "Tier 1 asset," meaning that life-cycle planning, performance measurement, and performance targeting are incorporated into the asset's statewide asset management program.
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Pilot Testing II-33 Recommendation Rationale for Change Use "asset-specific" benchmarks. • Eliminate broad, "enterprise-wide" practice benchmark descriptions (e.g., "the agency has an asset breakdown structure for each asset type")
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II-34 Guidebook for Data and Information Systems for Transportation Asset Management The participants in the pilot tests naturally moved directly to the improvement materials and did not spend much time considering the general assessment summary materials. Additionally, there were challenges connecting the improvements (which were presented at the section level)
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Pilot Testing II-35 Recommendation Rationale for Change Provide "elementlevel" improvements. • Simplify association of potential improvements with assessment results.
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II-36 Guidebook for Data and Information Systems for Transportation Asset Management 5.2.5 Implementation Support Materials During the closeout meetings, participants reviewed the roadmapping and organizational practice content in detail. The DOT participants expressed that detailed implementation plans would not be a practical outcome of the assessment process; significant stakeholder engagement activities and institutional processes are required to finalize implementation plans.
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Pilot Testing II-37 Recommendation Rationale for Change Use cases/vignettes. • Support understanding during assessment and improvement selection.
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II-38 The project team prepared an annotated review of the following resources, which appears in Part III, Appendix I: 1. Spy Pond Partners and Iteris, Inc.
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Resources Reviewed II-39 14. Austroads (2018)
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