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Proposed Projects - CY21
Title
Background and Problem Statements
Objectives
Proposed Research Activities
Desired Products
Notes and Considerations
Funding
Estimated Timeframe
Category of Funding
Status
ERM - Assessing Financial Risk at the Program and Enterprise Levels
Financial risks can threaten the strategic objectives of transportation agencies - e.g., the safe and reliable and efficient movement of people and goods. For example, the Highway Trust Fund is tied to taxes on gas and diesel. However, the recent COVID-19 pandemic greatly reduced American consumption, thus dramatically reducing revenues. State DOTs have seen their budgets slashed by 30% or more, forcing delays in some projects. Furthermore, external mandates can impose both risks and opportunites. A well-funded mandate could mean state DOTs have additional funding for enhancing resilience, while an unfunded mandate could force a DOT to choose between maintenance and projects. The objective of this project is to help transportation leaders with decision-making tools for allocating limited resources when subjected to unpredicatable financial conditions.
The purpose of the proposed research project is to provide state DOTs with the necessary tools to assess and manage financial risk at the enterprise and program levels.
The specific research tasks to accomplish the main objective include:
• Task 1 – Conduct an in-depth literature review of all studies related to assessment and management of financial risks in transportation agencies, especially at the enterprise and program levels, including national and international examples as available.
• Task 2 – Conduct a gap assessment of the state of practice to determine what is still needed to incorporate financial risk at the enterprise and program levels.
• Task 3 – Develop a methodology for identifying and quantifying financial risks at the enterprise and program levels.
• Task 4 – Develop metrics and performance indicators for evaluating effectiveness of financial risk countermeasures.
• Task 5 – Develop decision-making tools for resource allocation under conditions of financial uncertainty.
• Task 6 – Develop methodology and guidance on consideration of program and potentially project-level financial risk within the enterprise.
• Task 7 – Pilot test the developed processes with multiple state DOTs and revised methodology as needed.
• Task 8 – Develop an implementation guide to help state DOTs to incorporate these processes into existing agency programs and projects.
The purpose of the proposed research project is to provide state DOTs with the necessary tools to assess and manage financ…
Background/Description
Financial risks can threaten the strategic objectives of transportation agencies - e.g., the safe and reliable and efficient movement of people and goods. For example, the Highway Trust Fund is tied to taxes on gas and diesel. However, the recent COVID-19 pandemic greatly reduced American consumption, thus dramatically reducing revenues. State DOTs have seen their budgets slashed by 30% or more, forcing delays in some projects. Furthermore, external mandates can impose both risks and opportunites. A well-funded mandate could mean state DOTs have additional funding for enhancing resilience, while an unfunded mandate could force a DOT to choose between maintenance and projects. The objective of this project is to help transportation leaders with decision-making tools for allocating limited resources when subjected to unpredicatable financial conditions.
Objectives
The purpose of the proposed research project is to provide state DOTs with the necessary tools to assess and manage financial risk at the enterprise and program levels.
The specific research tasks to accomplish the main objective include:
• Task 1 – Conduct an in-depth literature review of all studies related to assessment and management of financial risks in transportation agencies, especially at the enterprise and program levels, including national and international examples as available.
• Task 2 – Conduct a gap assessment of the state of practice to determine what is still needed to incorporate financial risk at the enterprise and program levels.
• Task 3 – Develop a methodology for identifying and quantifying financial risks at the enterprise and program levels.
• Task 4 – Develop metrics and performance indicators for evaluating effectiveness of financial risk countermeasures.
• Task 5 – Develop decision-making tools for resource allocation under conditions of financial uncertainty.
• Task 6 – Develop methodology and guidance on consideration of program and potentially project-level financial risk within the enterprise.
• Task 7 – Pilot test the developed processes with multiple state DOTs and revised methodology as needed.
• Task 8 – Develop an implementation guide to help state DOTs to incorporate these processes into existing agency programs and projects.
Financial risks can threaten the strategic objectives of transportation agencies - e.g., the safe and reliable and efficient movement of people and goods. For example, the Highway Trust Fund is tied to taxes on gas and diesel. However, the recent COVID-19 pandemic greatly reduced American consumption, thus dramatically reducing revenues. State DOTs have seen their budgets slashed by 30% or more, forcing delays in some projects. Furthermore, external mandates can impose both risks and opportunites. A well-funded mandate could mean state DOTs have additional funding for enhancing resilience, while an unfunded mandate could force a DOT to choose between maintenance and projects. The objective of this project is to help transportation leaders with decision-making tools for allocating limited resources when subjected to unpredicatable financial conditions.
Literature Search Summary
This research need was recommended and prioritized through multiple stakeholder engagements during the 20-123 project. No related literature was found that incorporated financial risk at the enterprise and program levels. In addition, the recent COVID-19 pandemic highlighted the consequences of income and financial instability in transportation agencies.
The importance of incorporating risk at the enterprise and program levels has been recognized, and AASHTO published a guide summarizing how DOTs can establish and benefit from an enterprise risk management (ERM) program (AASHTO Guide for Enterprise Risk Management, 2016). This guide divides risk into four levels: enterprise, program, project, and activity. Risks to the enterprise are identified as the risks that affect the organization and its strategic objectives; while risk to the program includes risks that are “common to group of projects that achieve strategic goals” or those that “could affect the performance of major programs such as safety, pavements, bridges, maintenance, information technology, local programs, project delivery, finance, and human resources”. The guide provides an overview on what enterprise risk management is, highlights the benefits, and also includes information of how to identify, assess and manage those risks. However, further guidance and methodologies on how to assess and manage financial risks at the enterprise and program levels are still needed.
Objectives
The purpose of the proposed research project is to provide state DOTs with the necessary tools to assess and manage financial risk at the enterprise and program levels.
The specific research tasks to accomplish the main objective include:
• Task 1 – Conduct an in-depth literature review of all studies related to assessment and management of financial risks in transportation agencies, especially at the enterprise and program levels, including national and international examples as available.
• Task 2 – Conduct a gap assessment of the state of practice to determine what is still needed to incorporate financial risk at the enterprise and program levels.
• Task 3 – Develop a methodology for identifying and quantifying financial risks at the enterprise and program levels.
• Task 4 – Develop metrics and performance indicators for evaluating effectiveness of financial risk countermeasures.
• Task 5 – Develop decision-making tools for resource allocation under conditions of financial uncertainty.
• Task 6 – Develop methodology and guidance on consideration of program and potentially project-level financial risk within the enterprise.
• Task 7 – Pilot test the developed processes with multiple state DOTs and revised methodology as needed.
• Task 8 – Develop an implementation guide to help state DOTs to incorporate these processes into existing agency programs and projects.
Urgency and Potential Benefits
The recent COVID-19 pandemic greatly reduced American consumption, thus dramatically reducing revenues. State DOTs have seen their budgets slashed by 30% or more, forcing delays in some projects and reductions in workforce. A well-funded mandate could mean state DOTs have additional funding for enhancing resilience, while an unfunded mandate could force a DOT to choose between maintenance and projects. Not having the necessary funding for certain programs or projects may have a short or long term negative impacts on agency mission (e.g., lack of funding to continue or improve safety programs).
This project aims to provide transportation leaders with the necessary decision-making tools for allocating resources when subjected to unpredicatable financial conditions in order to reduce risks and increase the return on investment (ROI).
Implementation Considerations
In order to implement financial risk assessments at the enterprise level, senior executives and policy makers need to take the lead and champion these initiatives.
Similarly, program managers need to take the major role on encouraging the implementation of financial risk assessments into program level.
It is key that senior executives, policy makers and program managers need to have a communication plan to communicate with peers on their areas in order to assess the financial risks to multiple programs and/or projects that may affect each other. In addition, providing staff training on the subject of financial risk, especially at the enterprise and program levels, is a key factor on successful implementation. Training material (including guidance, workshops, peer exchanges, etc.) to help implementation champions should be developed and used to create awareness and facilitate assessments.
ERM - Assessing Financial Risk at the Program and Enterprise Levels
Funding
$450,000
Research Period
18-24 months
Description
Financial risks can threaten the strategic objectives of transportation agencies - e.g., the safe and reliable and efficient movement of people and goods. For example, the Highway Trust Fund is tied to taxes on gas and diesel. However, the recent COVID-19 pandemic greatly reduced American consumption, thus dramatically reducing revenues. State DOTs have seen their budgets slashed by 30% or more, forcing delays in some projects. Furthermore, external mandates can impose both risks and opportunites. A well-funded mandate could mean state DOTs have additional funding for enhancing resilience, while an unfunded mandate could force a DOT to choose between maintenance and projects. The objective of this project is to help transportation leaders with decision-making tools for allocating limited resources when subjected to unpredicatable financial conditions.
Literature Search Summary
This research need was recommended and prioritized through multiple stakeholder engagements during the 20-123 project. No related literature was found that incorporated financial risk at the enterprise and program levels. In addition, the recent COVID-19 pandemic highlighted the consequences of income and financial instability in transportation agencies.
The importance of incorporating risk at the enterprise and program levels has been recognized, and AASHTO published a guide summarizing how DOTs can establish and benefit from an enterprise risk management (ERM) program (AASHTO Guide for Enterprise Risk Management, 2016). This guide divides risk into four levels: enterprise, program, project, and activity. Risks to the enterprise are identified as the risks that affect the organization and its strategic objectives; while risk to the program includes risks that are “common to group of projects that achieve strategic goals” or those that “could affect the performance of major programs such as safety, pavements, bridges, maintenance, information technology, local programs, project delivery, finance, and human resources”. The guide provides an overview on what enterprise risk management is, highlights the benefits, and also includes information of how to identify, assess and manage those risks. However, further guidance and methodologies on how to assess and manage financial risks at the enterprise and program levels are still needed.
Objectives
The purpose of the proposed research project is to provide state DOTs with the necessary tools to assess and manage financial risk at the enterprise and program levels.
The specific research tasks to accomplish the main objective include:
• Task 1 – Conduct an in-depth literature review of all studies related to assessment and management of financial risks in transportation agencies, especially at the enterprise and program levels, including national and international examples as available.
• Task 2 – Conduct a gap assessment of the state of practice to determine what is still needed to incorporate financial risk at the enterprise and program levels.
• Task 3 – Develop a methodology for identifying and quantifying financial risks at the enterprise and program levels.
• Task 4 – Develop metrics and performance indicators for evaluating effectiveness of financial risk countermeasures.
• Task 5 – Develop decision-making tools for resource allocation under conditions of financial uncertainty.
• Task 6 – Develop methodology and guidance on consideration of program and potentially project-level financial risk within the enterprise.
• Task 7 – Pilot test the developed processes with multiple state DOTs and revised methodology as needed.
• Task 8 – Develop an implementation guide to help state DOTs to incorporate these processes into existing agency programs and projects.
Urgency and Potential Benefits
The recent COVID-19 pandemic greatly reduced American consumption, thus dramatically reducing revenues. State DOTs have seen their budgets slashed by 30% or more, forcing delays in some projects and reductions in workforce. A well-funded mandate could mean state DOTs have additional funding for enhancing resilience, while an unfunded mandate could force a DOT to choose between maintenance and projects. Not having the necessary funding for certain programs or projects may have a short or long term negative impacts on agency mission (e.g., lack of funding to continue or improve safety programs).
This project aims to provide transportation leaders with the necessary decision-making tools for allocating resources when subjected to unpredicatable financial conditions in order to reduce risks and increase the return on investment (ROI).
Implementation Considerations
In order to implement financial risk assessments at the enterprise level, senior executives and policy makers need to take the lead and champion these initiatives.
Similarly, program managers need to take the major role on encouraging the implementation of financial risk assessments into program level.
It is key that senior executives, policy makers and program managers need to have a communication plan to communicate with peers on their areas in order to assess the financial risks to multiple programs and/or projects that may affect each other. In addition, providing staff training on the subject of financial risk, especially at the enterprise and program levels, is a key factor on successful implementation. Training material (including guidance, workshops, peer exchanges, etc.) to help implementation champions should be developed and used to create awareness and facilitate assessments.
Author(s)
Please add at least one champion.
Others Supporting Problem Statement
Please add at least one supporting organization.
Potential Panel Members
Please add at least one potential panel member.
Person Submitting Statement
Please add information about the person submitting the statement.
Notes
Rank 5 in 2021
Ready to submit this statement? Generate a PDF for submittal here.
TAM/ERM - Incorporating Risk Management into Maintenance Practice
FHWA Directive 5520 encourages state DOTs to develop risk-based, cost effective strategies to minimize the impacts of climate change. Environmental stressors, such as extreme heat and extreme cold, and changes in the frequency and magnitude of extreme events, is changing the lifecycle of transportation assets; i.e, reducing service life, shortening replacement cycles, and increasing maintenance costs. Maintenance personnel offer valuable insight as to the costs associated with achieving performance goals. At the same time, maintenance personnel will require guidance as to how to incorporate risk models into maintenance, inspection, replacement, and repair cycles so that scheduled and routine maintenance continue to mitigate the risk from asset deterioration.
To fulfill the requirements of MAP-21 and FAST Act, state DOTs started to establish enterprise risk management (ERM) programs and develop risk-based assets management plan. FHWA Directive 5520 further encourages state DOTs to develop risk-based, cost-effective strategies to minimize the impacts of climate change and extreme weather events. Environmental stressors, such as natural disasters (e.g. earthquake, flood, high wind, wildfire etc.), higher average temperature etc. are changing the lifecycle of transportation assets, which also change the maintenance needs of infrastructure assets. Incorporating climate change into risk modeling and risk-based maintenance planning is important for an informative, forward-looking, and sustainable decision making and funding allocation strategy. Guidance and tools are not currently available to support the practice.
The purpose of the proposed project is to develop a guidance and prototype tool to help state DOTs assess and manage risk in maintenance practice. The specific research tasks to accomplish the main objective include:
Task 1 – Conduct a State DOT survey and in-depth interview with selected DOTs to determine the state-of-practice for
• the methodologies and tools used for risk assessment and management, and how they are integrated into asset management and maintenance practice (at enterprise level, program level, and project level).
• the methodologies for quantifying risks caused by climate change and extreme weather events
---- determine extreme weather events and climate factors need to be considered
---- determine performance matrices to measure the effects of extreme weather events and climate changes
---- quantify the risks associated with the performance effects
• maintenance actions and associated risk mitigation requirements; and effectiveness and cost of the actions.
Task 2 – Analysis the survey and interview results to find gaps that require more studies. Develop an interim report to document the survey, interview, and the results of the gap study.
Task 4 – Develop solutions for the gaps identified in Task 3.
Task 5 – Develop a draft guideline for incorporating risk management (including risks caused by climate change) in maintenance practice. Develop a prototype tool that implements the framework suggested in the draft guideline to facilitate trad-off decisions for better management limited resources and prioritize work.
Task 6 – Work with volunteer states to conduct at least two pilot projects to validate/test the developed guideline and tool. Feedbacks from the pilot states will be discussed and addressed to finalize the deliverables.
To fulfill the requirements of MAP-21 and FAST Act, state DOTs started to establish enterprise risk management (ERM) progr…
Background/Description
FHWA Directive 5520 encourages state DOTs to develop risk-based, cost effective strategies to minimize the impacts of climate change. Environmental stressors, such as extreme heat and extreme cold, and changes in the frequency and magnitude of extreme events, is changing the lifecycle of transportation assets; i.e, reducing service life, shortening replacement cycles, and increasing maintenance costs. Maintenance personnel offer valuable insight as to the costs associated with achieving performance goals. At the same time, maintenance personnel will require guidance as to how to incorporate risk models into maintenance, inspection, replacement, and repair cycles so that scheduled and routine maintenance continue to mitigate the risk from asset deterioration.
Objectives
To fulfill the requirements of MAP-21 and FAST Act, state DOTs started to establish enterprise risk management (ERM) programs and develop risk-based assets management plan. FHWA Directive 5520 further encourages state DOTs to develop risk-based, cost-effective strategies to minimize the impacts of climate change and extreme weather events. Environmental stressors, such as natural disasters (e.g. earthquake, flood, high wind, wildfire etc.), higher average temperature etc. are changing the lifecycle of transportation assets, which also change the maintenance needs of infrastructure assets. Incorporating climate change into risk modeling and risk-based maintenance planning is important for an informative, forward-looking, and sustainable decision making and funding allocation strategy. Guidance and tools are not currently available to support the practice.
The purpose of the proposed project is to develop a guidance and prototype tool to help state DOTs assess and manage risk in maintenance practice. The specific research tasks to accomplish the main objective include:
Task 1 – Conduct a State DOT survey and in-depth interview with selected DOTs to determine the state-of-practice for
• the methodologies and tools used for risk assessment and management, and how they are integrated into asset management and maintenance practice (at enterprise level, program level, and project level).
• the methodologies for quantifying risks caused by climate change and extreme weather events
---- determine extreme weather events and climate factors need to be considered
---- determine performance matrices to measure the effects of extreme weather events and climate changes
---- quantify the risks associated with the performance effects
• maintenance actions and associated risk mitigation requirements; and effectiveness and cost of the actions.
Task 2 – Analysis the survey and interview results to find gaps that require more studies. Develop an interim report to document the survey, interview, and the results of the gap study.
Task 4 – Develop solutions for the gaps identified in Task 3.
Task 5 – Develop a draft guideline for incorporating risk management (including risks caused by climate change) in maintenance practice. Develop a prototype tool that implements the framework suggested in the draft guideline to facilitate trad-off decisions for better management limited resources and prioritize work.
Task 6 – Work with volunteer states to conduct at least two pilot projects to validate/test the developed guideline and tool. Feedbacks from the pilot states will be discussed and addressed to finalize the deliverables.
FHWA Directive 5520 encourages state DOTs to develop risk-based, cost effective strategies to minimize the impacts of climate change. Environmental stressors, such as extreme heat and extreme cold, and changes in the frequency and magnitude of extreme events, is changing the lifecycle of transportation assets; i.e, reducing service life, shortening replacement cycles, and increasing maintenance costs. Maintenance personnel offer valuable insight as to the costs associated with achieving performance goals. At the same time, maintenance personnel will require guidance as to how to incorporate risk models into maintenance, inspection, replacement, and repair cycles so that scheduled and routine maintenance continue to mitigate the risk from asset deterioration.
Literature Search Summary
This research differs from the existing body of research found in a review of relevant literature due to its focus on the integration of risk management with existing processes. During the review, there was no body of work that mentions incorporating risk management into the existing maintenance practices. In addition, transportation practitioners during multiple stakeholder engagements during the development of the NCHRP 20-123 project initiated the conversation and advocated for the need of this potential research topic.
Objectives
To fulfill the requirements of MAP-21 and FAST Act, state DOTs started to establish enterprise risk management (ERM) programs and develop risk-based assets management plan. FHWA Directive 5520 further encourages state DOTs to develop risk-based, cost-effective strategies to minimize the impacts of climate change and extreme weather events. Environmental stressors, such as natural disasters (e.g. earthquake, flood, high wind, wildfire etc.), higher average temperature etc. are changing the lifecycle of transportation assets, which also change the maintenance needs of infrastructure assets. Incorporating climate change into risk modeling and risk-based maintenance planning is important for an informative, forward-looking, and sustainable decision making and funding allocation strategy. Guidance and tools are not currently available to support the practice.
The purpose of the proposed project is to develop a guidance and prototype tool to help state DOTs assess and manage risk in maintenance practice. The specific research tasks to accomplish the main objective include:
Task 1 – Conduct a State DOT survey and in-depth interview with selected DOTs to determine the state-of-practice for
• the methodologies and tools used for risk assessment and management, and how they are integrated into asset management and maintenance practice (at enterprise level, program level, and project level).
• the methodologies for quantifying risks caused by climate change and extreme weather events
---- determine extreme weather events and climate factors need to be considered
---- determine performance matrices to measure the effects of extreme weather events and climate changes
---- quantify the risks associated with the performance effects
• maintenance actions and associated risk mitigation requirements; and effectiveness and cost of the actions.
Task 2 – Analysis the survey and interview results to find gaps that require more studies. Develop an interim report to document the survey, interview, and the results of the gap study.
Task 4 – Develop solutions for the gaps identified in Task 3.
Task 5 – Develop a draft guideline for incorporating risk management (including risks caused by climate change) in maintenance practice. Develop a prototype tool that implements the framework suggested in the draft guideline to facilitate trad-off decisions for better management limited resources and prioritize work.
Task 6 – Work with volunteer states to conduct at least two pilot projects to validate/test the developed guideline and tool. Feedbacks from the pilot states will be discussed and addressed to finalize the deliverables.
Urgency and Potential Benefits
Risk based asset management is still at its early stage in practice. Risk assessment and management framework that takes climate change and maintenance practice into consideration is rarely studied. This is an important topic for owners to make informed decision and allocate funding more effectively at enterprise, program, and project levels. Guidelines and tools are immediately needed to facilitate this practice.
Implementation Considerations
Workshops/Webinars will be developed and delivered to help state DOT personnel understand the developed guideline and prototype tool. The prototype tool will be tested and further developed into a product tool following the developed guideline and considering state specific risk factors. State DOTs will be responsible for engaging the necessary staff and conducting a risk assessment for their ongoing maintenance practices and implementing updated maintenance practices when possible.
It is a key that senior executives, policy makers and program managers need to have a communication plan to communicate with peers to effectively integrate risk management in maintenance decision making. Additional products and activities like training workshops to increase the integration of risk management into maintenances practices, as well as peer exchanges and informative presentations can help state DOTs adopt the concept in their practice with positive impacts.
TAM/ERM - Incorporating Risk Management into Maintenance Practice
Funding
$450,000
Research Period
18-24 months
Description
FHWA Directive 5520 encourages state DOTs to develop risk-based, cost effective strategies to minimize the impacts of climate change. Environmental stressors, such as extreme heat and extreme cold, and changes in the frequency and magnitude of extreme events, is changing the lifecycle of transportation assets; i.e, reducing service life, shortening replacement cycles, and increasing maintenance costs. Maintenance personnel offer valuable insight as to the costs associated with achieving performance goals. At the same time, maintenance personnel will require guidance as to how to incorporate risk models into maintenance, inspection, replacement, and repair cycles so that scheduled and routine maintenance continue to mitigate the risk from asset deterioration.
Literature Search Summary
This research differs from the existing body of research found in a review of relevant literature due to its focus on the integration of risk management with existing processes. During the review, there was no body of work that mentions incorporating risk management into the existing maintenance practices. In addition, transportation practitioners during multiple stakeholder engagements during the development of the NCHRP 20-123 project initiated the conversation and advocated for the need of this potential research topic.
Objectives
To fulfill the requirements of MAP-21 and FAST Act, state DOTs started to establish enterprise risk management (ERM) programs and develop risk-based assets management plan. FHWA Directive 5520 further encourages state DOTs to develop risk-based, cost-effective strategies to minimize the impacts of climate change and extreme weather events. Environmental stressors, such as natural disasters (e.g. earthquake, flood, high wind, wildfire etc.), higher average temperature etc. are changing the lifecycle of transportation assets, which also change the maintenance needs of infrastructure assets. Incorporating climate change into risk modeling and risk-based maintenance planning is important for an informative, forward-looking, and sustainable decision making and funding allocation strategy. Guidance and tools are not currently available to support the practice.
The purpose of the proposed project is to develop a guidance and prototype tool to help state DOTs assess and manage risk in maintenance practice. The specific research tasks to accomplish the main objective include:
Task 1 – Conduct a State DOT survey and in-depth interview with selected DOTs to determine the state-of-practice for
• the methodologies and tools used for risk assessment and management, and how they are integrated into asset management and maintenance practice (at enterprise level, program level, and project level).
• the methodologies for quantifying risks caused by climate change and extreme weather events
---- determine extreme weather events and climate factors need to be considered
---- determine performance matrices to measure the effects of extreme weather events and climate changes
---- quantify the risks associated with the performance effects
• maintenance actions and associated risk mitigation requirements; and effectiveness and cost of the actions.
Task 2 – Analysis the survey and interview results to find gaps that require more studies. Develop an interim report to document the survey, interview, and the results of the gap study.
Task 4 – Develop solutions for the gaps identified in Task 3.
Task 5 – Develop a draft guideline for incorporating risk management (including risks caused by climate change) in maintenance practice. Develop a prototype tool that implements the framework suggested in the draft guideline to facilitate trad-off decisions for better management limited resources and prioritize work.
Task 6 – Work with volunteer states to conduct at least two pilot projects to validate/test the developed guideline and tool. Feedbacks from the pilot states will be discussed and addressed to finalize the deliverables.
Urgency and Potential Benefits
Risk based asset management is still at its early stage in practice. Risk assessment and management framework that takes climate change and maintenance practice into consideration is rarely studied. This is an important topic for owners to make informed decision and allocate funding more effectively at enterprise, program, and project levels. Guidelines and tools are immediately needed to facilitate this practice.
Implementation Considerations
Workshops/Webinars will be developed and delivered to help state DOT personnel understand the developed guideline and prototype tool. The prototype tool will be tested and further developed into a product tool following the developed guideline and considering state specific risk factors. State DOTs will be responsible for engaging the necessary staff and conducting a risk assessment for their ongoing maintenance practices and implementing updated maintenance practices when possible.
It is a key that senior executives, policy makers and program managers need to have a communication plan to communicate with peers to effectively integrate risk management in maintenance decision making. Additional products and activities like training workshops to increase the integration of risk management into maintenances practices, as well as peer exchanges and informative presentations can help state DOTs adopt the concept in their practice with positive impacts.
Please add information about the person submitting the statement.
Notes
Ranked 3 in 2021
Ready to submit this statement? Generate a PDF for submittal here.
ERM - Risk and Resilience Program to Support Development of a Highway Risk & Resilience Manual
The US experienced 308 weather and climate related disasters since 1980 exceeding $2.085 trillion in physical losses and the loss of 14,492 lives. Between 1980-2020 the average number of billion- dollar events per year was 7.1, that number ballooned to 16.2 billion-dollar events per year on average between 2016-2020 (adjusted for Consumer Price Index). The most billion- dollar weather and climate related disasters occurred in 2020, with 22 billion-dollar events totaling $246.7 billion in losses and 553 deaths. As of September 2021, the current year is looking to break the record set in 2020 having experienced 18 billion-dollar events to date (Billion-Dollar Weather and Climate Disasters: Overview | National Centers for Environmental Information (NCEI) (noaa.gov) ). In addition, the recently published TRB Consensus Study on Resilience Metrics notes that 6 of the world’s 10 most costly natural disasters in 2020 occurred in the United States (TRB Resilience Metrics Consensus Study, 2021). With this level of impact on the nation’s infrastructure, transportation agencies need consistent methods to support decision making to address stressors such as extreme weather and climate change in planning, design, maintenance, and operations.
The TRB Resilience Metrics Consensus Study 2021 calls for the establishment of standard methods of analysis to support benefit-cost assessment to allow agencies to understand the “buy-down” of risk from capital and maintenance investments. In addition, the study calls on Congress to consider requiring that all federal funding candidate projects that involve long-lived assets requirement undergo well defined resilience assessments that account for changing risks of natural hazards and environmental conditions stemming from climate change. The proposed project will allow AASHTO and TRB to develop industry adopted standard methods of quantitative analysis in lieu of federally developed methods.
Proposed Program of Projects
A concerted level of commitment from AASHTO and TRB is needed to develop a single manual to serve as the “go-to” for quantitative analysis of financial risk to agency assets and the traveling public from extreme weather and climate change. Like the Highway Capacity Manual and the Highway Safety Manual, a single resource is needed to ensure consistent methods of analysis between projects and agencies, and to ensure adoption of robust quantitative methods to support benefit-cost analysis and decision making. A single manual will allow state, MPO, federal agencies to compare project investments on a level playing field – same models, same assumptions, same thresholds of performance. A single manual will also support the instruction of how to address extreme weather and climate change in planning and engineering curriculum at Universities ensuring future Transportation Professionals are equipped with the skills needed to support the adoption of such methods into practice. Finally, a single manual will allow the incorporation of extreme weather and climate change considerations in Professional Engineering examinations to further institutionalize these concepts in future design and decision making.
This program will establish a series of individual research projects to support the development of a Highway Resilience Manual born out of NCHRP 23-09, Scoping Study to Develop the Basis for a Highway Standard to Conduct an All-Hazards Risk and Resilience Analysis and NCHRP 20-123(04) Development of a Risk Management Strategic Plan and Research Roadmap. Similar to other NCHRP research programs such as NCHRP 20-102, Impacts of Connected Vehicles and Automated Vehicles on State and Local Transportation Agencies, this is a long-term research program that will result in an industry “standard” for all-hazards risk and resilience analysis for use in design, maintenance, and planning decision-making. In addition, the program of projects will address required data sources and work to field test the Highway Risk and Resilience Manual with a range of agencies as described in the following three phased approach and in the draft Research Roadmap:
Phase I: Development of Highway Risk and Resilience Manual. An anticipated 3-year phase consisting of multiple projects and costing approximately $3,500,000. Year 1 estimated to cost $1,500,000 with years 2 and 3 estimated at $1,000,000 each. There would be multiple projects under this phase including five projects identified through NCHRP 23-09:
Establish quantitative assessment methodology for top priority threats and assets (e.g., culverts and flooding)
Develop historical data capture process quantitative analysis methods
Establish performance metrics and thresholds for resilience and risk tolerance; provide guidance on reducing risk and improving resilience
Phase II: Implementation of Highway Risk and Resilience Manual. A 2-year, $2,000,000 program that would implement/apply the Highway Risk and Resilience Manual to 8-10 transportation agencies. A few potential projects in Phase II are outlined here:
Create internal and external agency communication and collaboration practices to incorporate Highway Risk and Resilience Manual in decision making
Develop capacity building plan to identify institutional and educational needs to incorporate Highway Risk and Resilience Manual into practice
Pilot test Highway Risk and Resilience Manual
Identify institutional organizational and procedural (IOP) changes and implementation strategies for the successful adoption of Highway Risk and Resilience Manual
Phase III: Development of Tools and Resources to Support the Highway Risk and Resilience Manual. A 2-year $1,500,000 effort to create automated, geospatial models that transportation agencies could use to implement the Highway Risk and Resilience Manual across networks or the transportation system.
Develop stand alone, open source computer script that can work within a GIS environment to automate Highway Risk and Resilience Manual calculations across multiple assets and threats in a geo-spatial setting
Develop spreadsheet-based tools to automate Highway Risk and Resilience Manual calculations across multiple assets and threats in a spreadsheet application
Selecting Performance Metrics for Evaluating Effectiveness of Risk Mitigation o Incorporating Risk Management into Maintenance Practice
Developing New Performance Metrics for Risk Management
Assessing the Impact of Common Risks on Federal Reporting Metrics
Transportation owners and operators are responsible for the transportation system and the delivery of a range of services and functions through the management of that system. There are inherent risks involved with the management of these systems, notwithstanding aging infrastructure, and fiscally constrained resources. Many agencies are moving toward performance-based resource allocation while simultaneously recognizing risks that may undermine their strategic goals. As these risks affect every component of a highway system to a greater or lesser extent, accurately accounting for and addressing these risks within a highway agency’s enterprise-wide management program is the goal which currently lacks analysis tools.
Investing in risk and resilience strategies and enhanced recovery to reduce or eliminate the impact of external events is also paramount to ensure a thriving, viable transportation system. Risk management requires the identification and assessment of potential threats and hazards, asset vulnerabilities from applicable threats, an evaluation of potential mitigation actions to reduce risk, a clear and easy to implement process to prioritize mitigation activities, and investment that aligns with agency strategic and performance goals. Asset management and more recently performance management, has been an ongoing focus of many research efforts. However, guidance for analytical risk assessment methods to support risk-based asset management processes is lagging. Risk assessment processes, methods, and tools are needed to integrate risk management into asset and performance management systems. In addition, an understanding of the relationship between risks and system resilience is lacking.
Basics needed:
• Adopted definitions
• Standard framework for quantitative risk based on expected financial losses to agency and traveling public
• Establishment of performance metrics for risk and resilience
• Suggested risk tolerance and resilience performance targets that agencies can customize
• Methods to incorporate climate projections into decision making
• Methods to analyze both deterministic and probabilistic input data (500-yr flood versus climate scenarios)
Future research can expand threats analyzed; assets analyzed; climate projections; life cycle cost; remaining life consideration of assets; environmental impacts, etc.
Research Tracks:
Threat Identification and Modeling
Asset Vulnerability from Identified Relevant Threats
Asset Characteristic
Establishing Risk and Resilience Performance Metrics and Levels of Performance
Intersection between Risk/Resilience Assessment and Performance Management
Intersection between Risk/Resilience Assessment and Asset Management
Education and Outreach
Transportation owners and operators are responsible for the transportation system and the delivery of a range of services …
Background/Description
The US experienced 308 weather and climate related disasters since 1980 exceeding $2.085 trillion in physical losses and the loss of 14,492 lives. Between 1980-2020 the average number of billion- dollar events per year was 7.1, that number ballooned to 16.2 billion-dollar events per year on average between 2016-2020 (adjusted for Consumer Price Index). The most billion- dollar weather and climate related disasters occurred in 2020, with 22 billion-dollar events totaling $246.7 billion in losses and 553 deaths. As of September 2021, the current year is looking to break the record set in 2020 having experienced 18 billion-dollar events to date (Billion-Dollar Weather and Climate Disasters: Overview | National Centers for Environmental Information (NCEI) (noaa.gov) ). In addition, the recently published TRB Consensus Study on Resilience Metrics notes that 6 of the world’s 10 most costly natural disasters in 2020 occurred in the United States (TRB Resilience Metrics Consensus Study, 2021). With this level of impact on the nation’s infrastructure, transportation agencies need consistent methods to support decision making to address stressors such as extreme weather and climate change in planning, design, maintenance, and operations.
The TRB Resilience Metrics Consensus Study 2021 calls for the establishment of standard methods of analysis to support benefit-cost assessment to allow agencies to understand the “buy-down” of risk from capital and maintenance investments. In addition, the study calls on Congress to consider requiring that all federal funding candidate projects that involve long-lived assets requirement undergo well defined resilience assessments that account for changing risks of natural hazards and environmental conditions stemming from climate change. The proposed project will allow AASHTO and TRB to develop industry adopted standard methods of quantitative analysis in lieu of federally developed methods.
Proposed Program of Projects
A concerted level of commitment from AASHTO and TRB is needed to develop a single manual to serve as the “go-to” for quantitative analysis of financial risk to agency assets and the traveling public from extreme weather and climate change. Like the Highway Capacity Manual and the Highway Safety Manual, a single resource is needed to ensure consistent methods of analysis between projects and agencies, and to ensure adoption of robust quantitative methods to support benefit-cost analysis and decision making. A single manual will allow state, MPO, federal agencies to compare project investments on a level playing field – same models, same assumptions, same thresholds of performance. A single manual will also support the instruction of how to address extreme weather and climate change in planning and engineering curriculum at Universities ensuring future Transportation Professionals are equipped with the skills needed to support the adoption of such methods into practice. Finally, a single manual will allow the incorporation of extreme weather and climate change considerations in Professional Engineering examinations to further institutionalize these concepts in future design and decision making.
This program will establish a series of individual research projects to support the development of a Highway Resilience Manual born out of NCHRP 23-09, Scoping Study to Develop the Basis for a Highway Standard to Conduct an All-Hazards Risk and Resilience Analysis and NCHRP 20-123(04) Development of a Risk Management Strategic Plan and Research Roadmap. Similar to other NCHRP research programs such as NCHRP 20-102, Impacts of Connected Vehicles and Automated Vehicles on State and Local Transportation Agencies, this is a long-term research program that will result in an industry “standard” for all-hazards risk and resilience analysis for use in design, maintenance, and planning decision-making. In addition, the program of projects will address required data sources and work to field test the Highway Risk and Resilience Manual with a range of agencies as described in the following three phased approach and in the draft Research Roadmap:
Phase I: Development of Highway Risk and Resilience Manual. An anticipated 3-year phase consisting of multiple projects and costing approximately $3,500,000. Year 1 estimated to cost $1,500,000 with years 2 and 3 estimated at $1,000,000 each. There would be multiple projects under this phase including five projects identified through NCHRP 23-09:
Establish quantitative assessment methodology for top priority threats and assets (e.g., culverts and flooding)
Develop historical data capture process quantitative analysis methods
Establish performance metrics and thresholds for resilience and risk tolerance; provide guidance on reducing risk and improving resilience
Phase II: Implementation of Highway Risk and Resilience Manual. A 2-year, $2,000,000 program that would implement/apply the Highway Risk and Resilience Manual to 8-10 transportation agencies. A few potential projects in Phase II are outlined here:
Create internal and external agency communication and collaboration practices to incorporate Highway Risk and Resilience Manual in decision making
Develop capacity building plan to identify institutional and educational needs to incorporate Highway Risk and Resilience Manual into practice
Pilot test Highway Risk and Resilience Manual
Identify institutional organizational and procedural (IOP) changes and implementation strategies for the successful adoption of Highway Risk and Resilience Manual
Phase III: Development of Tools and Resources to Support the Highway Risk and Resilience Manual. A 2-year $1,500,000 effort to create automated, geospatial models that transportation agencies could use to implement the Highway Risk and Resilience Manual across networks or the transportation system.
Develop stand alone, open source computer script that can work within a GIS environment to automate Highway Risk and Resilience Manual calculations across multiple assets and threats in a geo-spatial setting
Develop spreadsheet-based tools to automate Highway Risk and Resilience Manual calculations across multiple assets and threats in a spreadsheet application
Selecting Performance Metrics for Evaluating Effectiveness of Risk Mitigation o Incorporating Risk Management into Maintenance Practice
Developing New Performance Metrics for Risk Management
Assessing the Impact of Common Risks on Federal Reporting Metrics
Objectives
Transportation owners and operators are responsible for the transportation system and the delivery of a range of services and functions through the management of that system. There are inherent risks involved with the management of these systems, notwithstanding aging infrastructure, and fiscally constrained resources. Many agencies are moving toward performance-based resource allocation while simultaneously recognizing risks that may undermine their strategic goals. As these risks affect every component of a highway system to a greater or lesser extent, accurately accounting for and addressing these risks within a highway agency’s enterprise-wide management program is the goal which currently lacks analysis tools.
Investing in risk and resilience strategies and enhanced recovery to reduce or eliminate the impact of external events is also paramount to ensure a thriving, viable transportation system. Risk management requires the identification and assessment of potential threats and hazards, asset vulnerabilities from applicable threats, an evaluation of potential mitigation actions to reduce risk, a clear and easy to implement process to prioritize mitigation activities, and investment that aligns with agency strategic and performance goals. Asset management and more recently performance management, has been an ongoing focus of many research efforts. However, guidance for analytical risk assessment methods to support risk-based asset management processes is lagging. Risk assessment processes, methods, and tools are needed to integrate risk management into asset and performance management systems. In addition, an understanding of the relationship between risks and system resilience is lacking.
Basics needed:
• Adopted definitions
• Standard framework for quantitative risk based on expected financial losses to agency and traveling public
• Establishment of performance metrics for risk and resilience
• Suggested risk tolerance and resilience performance targets that agencies can customize
• Methods to incorporate climate projections into decision making
• Methods to analyze both deterministic and probabilistic input data (500-yr flood versus climate scenarios)
Future research can expand threats analyzed; assets analyzed; climate projections; life cycle cost; remaining life consideration of assets; environmental impacts, etc.
Estimated Timeframe: 5-7 Years Funding: $7,000,000
Background
The US experienced 308 weather and climate related disasters since 1980 exceeding $2.085 trillion in physical losses and the loss of 14,492 lives. Between 1980-2020 the average number of billion- dollar events per year was 7.1, that number ballooned to 16.2 billion-dollar events per year on average between 2016-2020 (adjusted for Consumer Price Index). The most billion- dollar weather and climate related disasters occurred in 2020, with 22 billion-dollar events totaling $246.7 billion in losses and 553 deaths. As of September 2021, the current year is looking to break the record set in 2020 having experienced 18 billion-dollar events to date (Billion-Dollar Weather and Climate Disasters: Overview | National Centers for Environmental Information (NCEI) (noaa.gov) ). In addition, the recently published TRB Consensus Study on Resilience Metrics notes that 6 of the world’s 10 most costly natural disasters in 2020 occurred in the United States (TRB Resilience Metrics Consensus Study, 2021). With this level of impact on the nation’s infrastructure, transportation agencies need consistent methods to support decision making to address stressors such as extreme weather and climate change in planning, design, maintenance, and operations.
The TRB Resilience Metrics Consensus Study 2021 calls for the establishment of standard methods of analysis to support benefit-cost assessment to allow agencies to understand the “buy-down” of risk from capital and maintenance investments. In addition, the study calls on Congress to consider requiring that all federal funding candidate projects that involve long-lived assets requirement undergo well defined resilience assessments that account for changing risks of natural hazards and environmental conditions stemming from climate change. The proposed project will allow AASHTO and TRB to develop industry adopted standard methods of quantitative analysis in lieu of federally developed methods.
Proposed Program of Projects
A concerted level of commitment from AASHTO and TRB is needed to develop a single manual to serve as the “go-to” for quantitative analysis of financial risk to agency assets and the traveling public from extreme weather and climate change. Like the Highway Capacity Manual and the Highway Safety Manual, a single resource is needed to ensure consistent methods of analysis between projects and agencies, and to ensure adoption of robust quantitative methods to support benefit-cost analysis and decision making. A single manual will allow state, MPO, federal agencies to compare project investments on a level playing field – same models, same assumptions, same thresholds of performance. A single manual will also support the instruction of how to address extreme weather and climate change in planning and engineering curriculum at Universities ensuring future Transportation Professionals are equipped with the skills needed to support the adoption of such methods into practice. Finally, a single manual will allow the incorporation of extreme weather and climate change considerations in Professional Engineering examinations to further institutionalize these concepts in future design and decision making.
This program will establish a series of individual research projects to support the development of a Highway Resilience Manual born out of NCHRP 23-09, Scoping Study to Develop the Basis for a Highway Standard to Conduct an All-Hazards Risk and Resilience Analysis and NCHRP 20-123(04) Development of a Risk Management Strategic Plan and Research Roadmap. Similar to other NCHRP research programs such as NCHRP 20-102, Impacts of Connected Vehicles and Automated Vehicles on State and Local Transportation Agencies, this is a long-term research program that will result in an industry “standard” for all-hazards risk and resilience analysis for use in design, maintenance, and planning decision-making. In addition, the program of projects will address required data sources and work to field test the Highway Risk and Resilience Manual with a range of agencies as described in the following three phased approach and in the draft Research Roadmap:
Phase I: Development of Highway Risk and Resilience Manual. An anticipated 3-year phase consisting of multiple projects and costing approximately $3,500,000. Year 1 estimated to cost $1,500,000 with years 2 and 3 estimated at $1,000,000 each. There would be multiple projects under this phase including five projects identified through NCHRP 23-09:
Establish quantitative assessment methodology for top priority threats and assets (e.g., culverts and flooding)
Develop historical data capture process quantitative analysis methods
Establish performance metrics and thresholds for resilience and risk tolerance; provide guidance on reducing risk and improving resilience
Phase II: Implementation of Highway Risk and Resilience Manual. A 2-year, $2,000,000 program that would implement/apply the Highway Risk and Resilience Manual to 8-10 transportation agencies. A few potential projects in Phase II are outlined here:
Create internal and external agency communication and collaboration practices to incorporate Highway Risk and Resilience Manual in decision making
Develop capacity building plan to identify institutional and educational needs to incorporate Highway Risk and Resilience Manual into practice
Pilot test Highway Risk and Resilience Manual
Identify institutional organizational and procedural (IOP) changes and implementation strategies for the successful adoption of Highway Risk and Resilience Manual
Phase III: Development of Tools and Resources to Support the Highway Risk and Resilience Manual. A 2-year $1,500,000 effort to create automated, geospatial models that transportation agencies could use to implement the Highway Risk and Resilience Manual across networks or the transportation system.
Develop stand alone, open source computer script that can work within a GIS environment to automate Highway Risk and Resilience Manual calculations across multiple assets and threats in a geo-spatial setting
Develop spreadsheet-based tools to automate Highway Risk and Resilience Manual calculations across multiple assets and threats in a spreadsheet application
Selecting Performance Metrics for Evaluating Effectiveness of Risk Mitigation o Incorporating Risk Management into Maintenance Practice
Developing New Performance Metrics for Risk Management
Assessing the Impact of Common Risks on Federal Reporting Metrics
Literature Search Summary
Several studies on the topic of risk and resilience have been conducted through the NCHRP Process as well as FHWA and a few state DOTs. Below is a short list of some of the more relevant NCHRP projects that speak to quantitative methods of analysis for threats to asset condition and performance as well as those that worked to provide guidance on how to incorporate such analyses into decision making processes:
• NCHRP 23-09 [Active] Scoping Study to Develop the Basis for a Highway Standard to Conduct an All-Hazards Risk and Resilience Analysis
NCHRP 20-123(04) Development of a Risk Management Strategic Plan and Research Roadmap
• NCHRP 08-113 Integrating Effective Transportation Performance, Risk, and Asset Management Practice
• NCHRP 23-08 A Guide for Incorporating Maintenance Costs into a Transportation Asset Management Plan
• NCHRP 08-36 Task 146 Incorporating Resilience Considerations in Transportation Planning, TSMO and Asset Management
• NCHRP 20-127 – Business Case and Communication Strategies for State DOT Resilience Efforts
• FHWA – Integrating Resilience into the Planning Process
• Colorado DOT - Risk and Resilience Analysis Procedure A Manual for Calculating Risk to CDOT Assets from Flooding, Rockfall, and Fire Debris Flow
The proposed program of projects would work to integrate this research and extend quantitative methods of analysis into a single manual or standard analysis procedure to ease the burden of the profession when seeking information from disparate sources.
Objectives
Transportation owners and operators are responsible for the transportation system and the delivery of a range of services and functions through the management of that system. There are inherent risks involved with the management of these systems, notwithstanding aging infrastructure, and fiscally constrained resources. Many agencies are moving toward performance-based resource allocation while simultaneously recognizing risks that may undermine their strategic goals. As these risks affect every component of a highway system to a greater or lesser extent, accurately accounting for and addressing these risks within a highway agency’s enterprise-wide management program is the goal which currently lacks analysis tools.
Investing in risk and resilience strategies and enhanced recovery to reduce or eliminate the impact of external events is also paramount to ensure a thriving, viable transportation system. Risk management requires the identification and assessment of potential threats and hazards, asset vulnerabilities from applicable threats, an evaluation of potential mitigation actions to reduce risk, a clear and easy to implement process to prioritize mitigation activities, and investment that aligns with agency strategic and performance goals. Asset management and more recently performance management, has been an ongoing focus of many research efforts. However, guidance for analytical risk assessment methods to support risk-based asset management processes is lagging. Risk assessment processes, methods, and tools are needed to integrate risk management into asset and performance management systems. In addition, an understanding of the relationship between risks and system resilience is lacking.
Basics needed:
• Adopted definitions
• Standard framework for quantitative risk based on expected financial losses to agency and traveling public
• Establishment of performance metrics for risk and resilience
• Suggested risk tolerance and resilience performance targets that agencies can customize
• Methods to incorporate climate projections into decision making
• Methods to analyze both deterministic and probabilistic input data (500-yr flood versus climate scenarios)
Future research can expand threats analyzed; assets analyzed; climate projections; life cycle cost; remaining life consideration of assets; environmental impacts, etc.
Urgency and Potential Benefits
Agencies are working to incorporate risk and resilience assessments from climate and extreme weather into their decision-making processes including design and maintenance within their overall asset management programs. However, the industry lacks a consistent, adopted method to support quantitative trade off analysis including benefit-cost assessments. As the recent TRB Resilience Metrics Consensus Study noted – the industry also lacks metrics to understand what acceptable risk is or how to measure resilience of highway systems. Without these methods or metrics, limited research dollars may be expended developing multiple methods without industry consensus as to what the target performance of system resilience should be.
The benefits of an industry adopted quantitative method of assessment of risk to highway assets and overall system resilience is the ability to understand and justify investments to maintain overall system operations and performance to withstand or rebound from climate related events when they occur. This type of proactive approach demonstrates the industry’s commitment to reducing losses to public infrastructure and the traveling public from climate related threats.
Notes and Considerations
Research Tracks:
Threat Identification and Modeling
Asset Vulnerability from Identified Relevant Threats
Asset Characteristic
Establishing Risk and Resilience Performance Metrics and Levels of Performance
Intersection between Risk/Resilience Assessment and Performance Management
Intersection between Risk/Resilience Assessment and Asset Management
Education and Outreach
ERM - Risk and Resilience Program to Support Development of a Highway Risk & Resilience Manual
Funding
$7,000,000
Research Period
5-7 Years
Description
Please provide a brief description of the project.
Literature Search Summary
Several studies on the topic of risk and resilience have been conducted through the NCHRP Process as well as FHWA and a few state DOTs. Below is a short list of some of the more relevant NCHRP projects that speak to quantitative methods of analysis for threats to asset condition and performance as well as those that worked to provide guidance on how to incorporate such analyses into decision making processes:
• NCHRP 23-09 [Active] Scoping Study to Develop the Basis for a Highway Standard to Conduct an All-Hazards Risk and Resilience Analysis
NCHRP 20-123(04) Development of a Risk Management Strategic Plan and Research Roadmap
• NCHRP 08-113 Integrating Effective Transportation Performance, Risk, and Asset Management Practice
• NCHRP 23-08 A Guide for Incorporating Maintenance Costs into a Transportation Asset Management Plan
• NCHRP 08-36 Task 146 Incorporating Resilience Considerations in Transportation Planning, TSMO and Asset Management
• NCHRP 20-127 – Business Case and Communication Strategies for State DOT Resilience Efforts
• FHWA – Integrating Resilience into the Planning Process
• Colorado DOT - Risk and Resilience Analysis Procedure A Manual for Calculating Risk to CDOT Assets from Flooding, Rockfall, and Fire Debris Flow
The proposed program of projects would work to integrate this research and extend quantitative methods of analysis into a single manual or standard analysis procedure to ease the burden of the profession when seeking information from disparate sources.
Objectives
Transportation owners and operators are responsible for the transportation system and the delivery of a range of services and functions through the management of that system. There are inherent risks involved with the management of these systems, notwithstanding aging infrastructure, and fiscally constrained resources. Many agencies are moving toward performance-based resource allocation while simultaneously recognizing risks that may undermine their strategic goals. As these risks affect every component of a highway system to a greater or lesser extent, accurately accounting for and addressing these risks within a highway agency’s enterprise-wide management program is the goal which currently lacks analysis tools.
Investing in risk and resilience strategies and enhanced recovery to reduce or eliminate the impact of external events is also paramount to ensure a thriving, viable transportation system. Risk management requires the identification and assessment of potential threats and hazards, asset vulnerabilities from applicable threats, an evaluation of potential mitigation actions to reduce risk, a clear and easy to implement process to prioritize mitigation activities, and investment that aligns with agency strategic and performance goals. Asset management and more recently performance management, has been an ongoing focus of many research efforts. However, guidance for analytical risk assessment methods to support risk-based asset management processes is lagging. Risk assessment processes, methods, and tools are needed to integrate risk management into asset and performance management systems. In addition, an understanding of the relationship between risks and system resilience is lacking.
Basics needed:
• Adopted definitions
• Standard framework for quantitative risk based on expected financial losses to agency and traveling public
• Establishment of performance metrics for risk and resilience
• Suggested risk tolerance and resilience performance targets that agencies can customize
• Methods to incorporate climate projections into decision making
• Methods to analyze both deterministic and probabilistic input data (500-yr flood versus climate scenarios)
Future research can expand threats analyzed; assets analyzed; climate projections; life cycle cost; remaining life consideration of assets; environmental impacts, etc.
Urgency and Potential Benefits
Agencies are working to incorporate risk and resilience assessments from climate and extreme weather into their decision-making processes including design and maintenance within their overall asset management programs. However, the industry lacks a consistent, adopted method to support quantitative trade off analysis including benefit-cost assessments. As the recent TRB Resilience Metrics Consensus Study noted – the industry also lacks metrics to understand what acceptable risk is or how to measure resilience of highway systems. Without these methods or metrics, limited research dollars may be expended developing multiple methods without industry consensus as to what the target performance of system resilience should be.
The benefits of an industry adopted quantitative method of assessment of risk to highway assets and overall system resilience is the ability to understand and justify investments to maintain overall system operations and performance to withstand or rebound from climate related events when they occur. This type of proactive approach demonstrates the industry’s commitment to reducing losses to public infrastructure and the traveling public from climate related threats.
Implementation Considerations
Please provide implementation considerations for the project.
Please add information about the person submitting the statement.
Notes
Research Tracks:
Threat Identification and Modeling
Asset Vulnerability from Identified Relevant Threats
Asset Characteristic
Establishing Risk and Resilience Performance Metrics and Levels of Performance
Intersection between Risk/Resilience Assessment and Performance Management
Intersection between Risk/Resilience Assessment and Asset Management
Education and Outreach
Ready to submit this statement? Generate a PDF for submittal here.
A Guide for Creating Visualizations
A visualization can be “effective” in several ways: providing information, informing policy and decision making, and influencing behavior. There is little guidance on how to systematically evaluate a visualization’s effectiveness by either of these measures. This problem affects both transportation professionals and the traveling public – including movers of freight.
Even with clear visualizations providing insight – sophisticated “nuggets of truth” from vast amounts of information and solutions to vexing problems, there may be viewers who do not comprehend or respond. Developing a means to evaluate the effectiveness of visualizations deployed internally and externally would significantly enhance their value.
This research addresses this problem by: evaluating the effectiveness of noteworthy practices currently being pioneered by state DOTs that were documented, but not assessed, in previous NCHRP projects; addressing the new tools that have proliferated, such as Tableau, R, Infogram; and ultimately developing an easy-to-use guide to creating effective visualizations.
The object of this research is to develop an easy-to-use guide for evaluating the effectiveness of transportation visualizations that state DOTs can use to improve communication and decision-making. With this guide, state DOTs will have the tools to hone their message, manage the data overload that occurs in visualizations and impact travel behavior with effective visual data increasing safety, security and mobility.
The suggested tasks for this research are:
1) Research the essential components of what makes a visualization effective. Build off NCHRP 226 and 20-24(93)B(02). Evaluate the visualization techniques and practices documented in NCHRP Synthesis 52-16.
2) Create a guidebook that clearly communicates how to approach a new visualization and guide its creation.
3) Evaluate how to gain feedback on the effectiveness of a visualization in communicating information and influencing behavior, and also facilitates decision making. This could build off practices currently used for public service announcements (PSA).
4) Identify or develop noteworthy practices for evaluating the effectiveness of a visualization.
5) Create a Guidebook that provides state DOTs with options for evaluating the effectiveness of a visualization.
6) Integrate the two elements – creation and evaluation – into a guide that demonstrates the feedback loop of continuous improvement enabled by joining these two functions.
7) Establish an online case study website that showcases exceptional and innovative visualizations. This could include a category for the use of emerging data and emerging analytic capacity so state DOTs could maintain currency in innovative practices. The website would be updated by the TRB AED80 Visualization in Transportation Committee yearly by acknowledging award winning entries.
The object of this research is to develop an easy-to-use guide for evaluating the effectiveness of transportation visualiz…
Background/Description
A visualization can be “effective” in several ways: providing information, informing policy and decision making, and influencing behavior. There is little guidance on how to systematically evaluate a visualization’s effectiveness by either of these measures. This problem affects both transportation professionals and the traveling public – including movers of freight.
Even with clear visualizations providing insight – sophisticated “nuggets of truth” from vast amounts of information and solutions to vexing problems, there may be viewers who do not comprehend or respond. Developing a means to evaluate the effectiveness of visualizations deployed internally and externally would significantly enhance their value.
This research addresses this problem by: evaluating the effectiveness of noteworthy practices currently being pioneered by state DOTs that were documented, but not assessed, in previous NCHRP projects; addressing the new tools that have proliferated, such as Tableau, R, Infogram; and ultimately developing an easy-to-use guide to creating effective visualizations.
Objectives
The object of this research is to develop an easy-to-use guide for evaluating the effectiveness of transportation visualizations that state DOTs can use to improve communication and decision-making. With this guide, state DOTs will have the tools to hone their message, manage the data overload that occurs in visualizations and impact travel behavior with effective visual data increasing safety, security and mobility.
The suggested tasks for this research are:
1) Research the essential components of what makes a visualization effective. Build off NCHRP 226 and 20-24(93)B(02). Evaluate the visualization techniques and practices documented in NCHRP Synthesis 52-16.
2) Create a guidebook that clearly communicates how to approach a new visualization and guide its creation.
3) Evaluate how to gain feedback on the effectiveness of a visualization in communicating information and influencing behavior, and also facilitates decision making. This could build off practices currently used for public service announcements (PSA).
4) Identify or develop noteworthy practices for evaluating the effectiveness of a visualization.
5) Create a Guidebook that provides state DOTs with options for evaluating the effectiveness of a visualization.
6) Integrate the two elements – creation and evaluation – into a guide that demonstrates the feedback loop of continuous improvement enabled by joining these two functions.
7) Establish an online case study website that showcases exceptional and innovative visualizations. This could include a category for the use of emerging data and emerging analytic capacity so state DOTs could maintain currency in innovative practices. The website would be updated by the TRB AED80 Visualization in Transportation Committee yearly by acknowledging award winning entries.
A visualization can be “effective” in several ways: providing information, informing policy and decision making, and influencing behavior. There is little guidance on how to systematically evaluate a visualization’s effectiveness by either of these measures. This problem affects both transportation professionals and the traveling public – including movers of freight.
Even with clear visualizations providing insight – sophisticated “nuggets of truth” from vast amounts of information and solutions to vexing problems, there may be viewers who do not comprehend or respond. Developing a means to evaluate the effectiveness of visualizations deployed internally and externally would significantly enhance their value.
This research addresses this problem by: evaluating the effectiveness of noteworthy practices currently being pioneered by state DOTs that were documented, but not assessed, in previous NCHRP projects; addressing the new tools that have proliferated, such as Tableau, R, Infogram; and ultimately developing an easy-to-use guide to creating effective visualizations.
Literature Search Summary
NCHRP Synthesis 52-16, Visualization of Highway Performance Measures, identified the problem stated above, that there is little guidance or widely shared practices on how to evaluate a visualization’s effectiveness using a systematic process. This research will build and expand upon that research, as well as NCHRP 226, Vizguide, NCHRP Project 20-24(93)B(02), Communicating Performance Management, and NCHRP Synthesis 20-05/Topic 52-16 Visualizing of Highway Performance Measures.
Objectives
The object of this research is to develop an easy-to-use guide for evaluating the effectiveness of transportation visualizations that state DOTs can use to improve communication and decision-making. With this guide, state DOTs will have the tools to hone their message, manage the data overload that occurs in visualizations and impact travel behavior with effective visual data increasing safety, security and mobility.
The suggested tasks for this research are:
1) Research the essential components of what makes a visualization effective. Build off NCHRP 226 and 20-24(93)B(02). Evaluate the visualization techniques and practices documented in NCHRP Synthesis 52-16.
2) Create a guidebook that clearly communicates how to approach a new visualization and guide its creation.
3) Evaluate how to gain feedback on the effectiveness of a visualization in communicating information and influencing behavior, and also facilitates decision making. This could build off practices currently used for public service announcements (PSA).
4) Identify or develop noteworthy practices for evaluating the effectiveness of a visualization.
5) Create a Guidebook that provides state DOTs with options for evaluating the effectiveness of a visualization.
6) Integrate the two elements – creation and evaluation – into a guide that demonstrates the feedback loop of continuous improvement enabled by joining these two functions.
7) Establish an online case study website that showcases exceptional and innovative visualizations. This could include a category for the use of emerging data and emerging analytic capacity so state DOTs could maintain currency in innovative practices. The website would be updated by the TRB AED80 Visualization in Transportation Committee yearly by acknowledging award winning entries.
Urgency and Potential Benefits
Effective data visualization has the power to dramatically improve the safety and efficiency of the transportation system. Previous research demonstrates that state DOTs have invested considerable time and expertise in developing visualizations for performance measures and need to communicate results effectively.
This guide would build on and evolve prior work by developing clear guidance on how to create effective visualizations and how to evaluate their effectiveness. It will enable states to focus and capitalize upon the investment, time and expertise they are currently deploying. It will provide a roadmap to the states who are in the early development of their visualization efforts and will provide an opportunity for well-established programs to expand their efforts by evaluating the effectiveness of their visualizations.
Addressing the creation and evaluation of effective visualizations together creates a feedback loop that enables and promotes continuous improvement.
Implementation Considerations
Transportation planners and practitioners responsible for analyzing and communicating data through visualization have a great need for this research. This guide has a built-in audience of the users of both previous research efforts and the Transportation Asset Management (TAM) portal. Additionally, the guide would lend itself to promotion through the committees of the TRB data section, particularly AED80; and the AASHTO Committee structure, particularly CDMA (Data), COP (Planning), CPBM (Performance), and TAM (Asset management).
There is a rich body of research in NCHRP 226, Vizguide, and NCHRP Project 20-24(93)B(02), Communicating Performance Management, and NCHRP Synthesis 52-16, Visualization of Highway Performance Measures, documented the range of practices state DOTs are currently using regarding their visualization of performance measures. The goal of this research would be to evaluate the noteworthy practices currently being pioneered by state DOTs using the foundation of these previous NCHRP projects and then develop an easy-to-use guide to creating effective visualizations.
NCHRP Synthesis 52-16, Visualization of Highway Performance Measures, found that there is little guidance or widely shared practices on how to evaluate a visualization’s effectiveness using a systematic process. This finding illuminated a need to implement a clear set of principles that can be used to evaluate visualizations that are used internally and externally. This evaluation guide would cover two distinct objectives – the effectiveness of the visualization is communicating information and the effectiveness of the visualization is changing behavior.
Even though the depth of information presented in many of the visualizations provided to the general public presents a sophisticated view of vast amounts of information, it does not yet provide a complete solution. Even with clear visualizations providing insight to solutions that could solve vexing problems (e.g., the effectiveness of wearing seat belts or not texting), there are still a significant number of people who don’t respond to the data and are killed in crashes they may have survived if they chose to buckle up or not text while they drive. Determining the means to evaluate the effectiveness of visualizations, not only to provide information, but to influence behavior would significantly enhance the value and the time and effort spent creating the visualizations.
Literature Search Summary
NCHRP Synthesis 52-16, Visualization of Highway Performance Measures, identified the problem stated above, that there is little guidance or widely shared practices on how to evaluate a visualization’s effectiveness using a systematic process. This research will build and expand upon that research, as well as NCHRP 226, Vizguide, NCHRP Project 20-24(93)B(02), Communicating Performance Management, and NCHRP Synthesis 20-05/Topic 52-16 Visualizing of Highway Performance Measures.
Objectives
The object of this research is to develop an easy-to-use guide for evaluating the effectiveness of transportation visualizations that state DOTs can use to improve communication and decision-making. With this guide, state DOTs will have the tools to hone their message, manage the data overload that occurs in visualizations and impact travel behavior with effective visual data increasing safety, security and mobility.
The suggested tasks for this research are:
1) Research the essential components of what makes a visualization effective. Build off NCHRP 226 and 20-24(93)B(02). Evaluate the visualization techniques and practices documented in NCHRP Synthesis 52-16.
2) Create a guidebook that clearly communicates how to approach a new visualization and guide its creation.
3) Evaluate how to gain feedback on the effectiveness of a visualization in communicating information and influencing behavior, and also facilitates decision making. This could build off practices currently used for public service announcements (PSA).
4) Identify or develop noteworthy practices for evaluating the effectiveness of a visualization.
5) Create a Guidebook that provides state DOTs with options for evaluating the effectiveness of a visualization.
6) Integrate the two elements – creation and evaluation – into a guide that demonstrates the feedback loop of continuous improvement enabled by joining these two functions.
7) Establish an online case study website that showcases exceptional and innovative visualizations. This could include a category for the use of emerging data and emerging analytic capacity so state DOTs could maintain currency in innovative practices. The website would be updated by the TRB AED80 Visualization in Transportation Committee yearly by acknowledging award winning entries.
Urgency and Potential Benefits
Effective data visualization has the power to dramatically improve the safety and efficiency of the transportation system. Previous research demonstrates that state DOTs have invested considerable time and expertise in developing visualizations for performance measures and need to communicate results effectively.
This guide would build on and evolve prior work by developing clear guidance on how to create effective visualizations and how to evaluate their effectiveness. It will enable states to focus and capitalize upon the investment, time and expertise they are currently deploying. It will provide a roadmap to the states who are in the early development of their visualization efforts and will provide an opportunity for well-established programs to expand their efforts by evaluating the effectiveness of their visualizations.
Addressing the creation and evaluation of effective visualizations together creates a feedback loop that enables and promotes continuous improvement.
Implementation Considerations
Transportation planners and practitioners responsible for analyzing and communicating data through visualization have a great need for this research. This guide has a built-in audience of the users of both previous research efforts and the Transportation Asset Management (TAM) portal. Additionally, the guide would lend itself to promotion through the committees of the TRB data section, particularly AED80; and the AASHTO Committee structure, particularly CDMA (Data), COP (Planning), CPBM (Performance), and TAM (Asset management).
Frank Broen
AED80 Visualization in Transportation, AED
Notes
Ready to submit this statement? Generate a PDF for submittal here.
EDI (Equity, Diversity, and Inclusion) and Other Indicators to Improve TAM Impact and Outcomes
Investments in roadways have historically been focused on safety, mobility, and system preservation considerations. As our understanding of the impacts of roadway decisions mature, other factors such as socio-economic impact, sustainability, accountability, transparency, integrity, and innovation are increasing in importance by State Departments of Transportation (DOTs). Recently, strategic initiatives related to DEI are growing in importance and need to be considered in transportation investment planning. Advancing the understanding of DEI and other related indicators can help DOTs improve the impact of TAM investment decisions, especially to underserved communities.
The objective of this research is to produce guidance on how DOTs can improve the use of DEI and other related indicators in TAM investment decision making processes.
Tasks will include:
• Compile DEI and other related indicators for use in TAM decision-making
• Develop a framework for applying DEI and other related indicators in TAM decision-making processes, including:
o analysis activities to forecast impact
o scenario planning including identifying alternate investment options with an equity lens
o investment tradeoff decision-making
o community engagement activities including increasing the involvement of underserved communities.
• Develop additional quantitative and qualitative performance measures for asset management and planning that consider DEI and other factors in transportation investment decisions
• Produce a summary of challenges, inherent inequities, and obstacles in asset management and planning activities in order to help transportation add value to underserved communities
• Develop guidance for transportation agencies to use the DEI and other related indicators to balance competing strategic objectives related to asset performance, safety, mobility, and DEI.
Note: Title formerly "Socio-Economic Indicators in TAM Processes"
See: FHWA TAM Expert Task Group summary of this topic and potential R&I-sponsored research effort addressing equity
Note: Some TAM processes do include related socio-economic indicators, including NPV, ROI, IRR, FYRR and also social indicators such as population influenced, percentage of tax revenue utilized, revenue sources and the implied equity considerations (including racial and social equity). It is suggested to examine the indicators utilized in different states, and whether the socio-economic indicators are part of the decision making process.
The objective of this research is to produce guidance on how DOTs can improve the use of DEI and other related indicators …
Background/Description
Investments in roadways have historically been focused on safety, mobility, and system preservation considerations. As our understanding of the impacts of roadway decisions mature, other factors such as socio-economic impact, sustainability, accountability, transparency, integrity, and innovation are increasing in importance by State Departments of Transportation (DOTs). Recently, strategic initiatives related to DEI are growing in importance and need to be considered in transportation investment planning. Advancing the understanding of DEI and other related indicators can help DOTs improve the impact of TAM investment decisions, especially to underserved communities.
Objectives
The objective of this research is to produce guidance on how DOTs can improve the use of DEI and other related indicators in TAM investment decision making processes.
Tasks will include:
• Compile DEI and other related indicators for use in TAM decision-making
• Develop a framework for applying DEI and other related indicators in TAM decision-making processes, including:
o analysis activities to forecast impact
o scenario planning including identifying alternate investment options with an equity lens
o investment tradeoff decision-making
o community engagement activities including increasing the involvement of underserved communities.
• Develop additional quantitative and qualitative performance measures for asset management and planning that consider DEI and other factors in transportation investment decisions
• Produce a summary of challenges, inherent inequities, and obstacles in asset management and planning activities in order to help transportation add value to underserved communities
• Develop guidance for transportation agencies to use the DEI and other related indicators to balance competing strategic objectives related to asset performance, safety, mobility, and DEI.
Investments in roadways have historically been focused on safety, mobility, and system preservation considerations. As our understanding of the impacts of roadway decisions mature, other factors such as socio-economic impact, sustainability, accountability, transparency, integrity, and innovation are increasing in importance by State Departments of Transportation (DOTs). Recently, strategic initiatives related to DEI are growing in importance and need to be considered in transportation investment planning. Advancing the understanding of DEI and other related indicators can help DOTs improve the impact of TAM investment decisions, especially to underserved communities.
Literature Search Summary
• American Association of State Highway and Transportation Officials (AASHTO). 2021. State DOT CEOs Talk Transportation Equity at EPW Hearing. Online article published May 12, 2021. AASHTO, Washington D.C.
• Archer, D. (2021). Transportation Policy and the Underdevelopment of Black Communities, New York University School of Law, Public Law Research Paper No. 21-12, New York, NY.
• Colorado Senate Bill 21-260, Sustainability of the Transportation System. Signed June 17, 2021. Https://leg.colorado.gov/bills/sb21-260.
• Connect Oakland, TRB Webinar: Addressing Justice in Transportation, June 28, 2021
• ICF Incorporated, LLC. (2020). Summary of Critical Issues for Transportation and Equity. Transportation Research Board. Washington, D.C.
• Larson, S. (2021) How Chicago Could Build Equity into Transportation. Chicago Metropolitan Agency for Planning, Chicago, IL
• Litman, T. (2021). Evaluating Transportation Equity: Guidance for Incorporating Distributional Impacts in Transportation Panning. Victoria Transport Policy Institute, Victoria, British Columbia, Canada.
• Minnesota DOT (MnDOT). (2019). Advancing Transportation Equity: Strategies for Reducing Transportation Disparities, CTS Research Brief 2019-01, St. Paul, MN.
• National Public Radio (NPR). (2021). A Brief History of How Racism Shaped Interstate Highways, NPR Online News Article published April 7, 2021
• North Front Range Metropolitan Planning Organization (NFRMPO). 2021. Environmental Justice (EJ) Plan. North Front Range Metropolitan Planning Organization, Fort Collins, CO.
• Singer, J. (2018). Inside the Nation’s First Transportation Equity Program. Vision Zero Cities Journal, Transportation Alternatives, Published Online November 13, 2018.
• Twaddell, H. and B. Zgoda. (2020). Equity Analysis in Regional Transportation Planning Processes – Volume 1: Guide. Transit Cooperative Research Program (TCRP) Research Report 214. Transportation Research Board. Washington, D.C.
• Van Dort, L. A. Guthrie, Y. Fan, G. Baas. (2019). Advancing Transportation Equity: Research and Practice – Final Report. Center for Transportation Studies, University of Minnesota, Minneapolis, MN.
• Van Orden, D., and C. Grauberger. (2002). Environmental Justice Report. CDOT-DTD-R-2002-7. Colorado Department of Transportation, Research Branch. Denver, CO.
Objectives
The objective of this research is to produce guidance on how DOTs can improve the use of DEI and other related indicators in TAM investment decision making processes.
Tasks will include:
• Compile DEI and other related indicators for use in TAM decision-making
• Develop a framework for applying DEI and other related indicators in TAM decision-making processes, including:
o analysis activities to forecast impact
o scenario planning including identifying alternate investment options with an equity lens
o investment tradeoff decision-making
o community engagement activities including increasing the involvement of underserved communities.
• Develop additional quantitative and qualitative performance measures for asset management and planning that consider DEI and other factors in transportation investment decisions
• Produce a summary of challenges, inherent inequities, and obstacles in asset management and planning activities in order to help transportation add value to underserved communities
• Develop guidance for transportation agencies to use the DEI and other related indicators to balance competing strategic objectives related to asset performance, safety, mobility, and DEI.
Urgency and Potential Benefits
Most of the recent research related to environmental justice process have been focused on new transportation development. As state focus more of their budgets on maintaining their systems through TAM, better guidance is needed to ensure DEI and related considerations can be applied in a holistic view of investment decisions in transportation agencies.
The Biden administration and Secretary of Transportation Buttigieg stated that the administration’s priority encompasses efforts to “finally address major inequities – including those caused by highways that were built through Black and Brown communities, decades of disinvestment that left small towns and rural main streets stranded, and the disproportionate pollution burden from trucks, ports, and other facilities (AASHTO Daily Brief 03/29/21).” On May 25, 2021, the U.S. DOT published a Request for Information (ROI) on Transportation Equity Data in response to the Executive Order signed January 20, 2021, “Advancing Racial Equity and Support for Underserved Communities Through the Federal Government (Equity E.O.).” The information obtained through the ROI is intended to support the U.S. DOT’s determination of “whether, and to what extent, programs and policies perpetuate systemic barriers to opportunities and benefits for people of color and other underserved groups (Federal Register V. 86, No. 99, May 25, 2021).” The ROI specifically seeks input regarding the availability of potential data and assessment tools in the transportation sector that can support the U.S. DOT’s evaluation.
Implementation Considerations
• Transportation agency chief engineers, planning directors, asset managers, and transportation performance management leads will use the research products to improve their decision impact.
• The research will provide guidance on specific application and/or calculable modifications to existing tools and methods that transportation agencies can follow to make the changes needed for research implementation.
• The AASHTO Committee on Performance-Based Planning, the AASHTO TAM Portal, TRB Standing Committee on Transportation Asset Management (AJE30), TRB Standing Committee on Performance Management (AJE20) will support the research implementation.
• TRB presentations and webinars are will be required for research implementation.
• Workshops, peer exchanges, pilot testing, verification and validation of research results are possible implementation actions.
Notes and Considerations
Note: Title formerly "Socio-Economic Indicators in TAM Processes"
See: FHWA TAM Expert Task Group summary of this topic and potential R&I-sponsored research effort addressing equity
Note: Some TAM processes do include related socio-economic indicators, including NPV, ROI, IRR, FYRR and also social indicators such as population influenced, percentage of tax revenue utilized, revenue sources and the implied equity considerations (including racial and social equity). It is suggested to examine the indicators utilized in different states, and whether the socio-economic indicators are part of the decision making process.
EDI (Equity, Diversity, and Inclusion) and Other Indicators to Improve TAM Impact and Outcomes
Funding
$400,000
Research Period
24 months
Description
Please provide a brief description of the project.
Literature Search Summary
• American Association of State Highway and Transportation Officials (AASHTO). 2021. State DOT CEOs Talk Transportation Equity at EPW Hearing. Online article published May 12, 2021. AASHTO, Washington D.C.
• Archer, D. (2021). Transportation Policy and the Underdevelopment of Black Communities, New York University School of Law, Public Law Research Paper No. 21-12, New York, NY.
• Colorado Senate Bill 21-260, Sustainability of the Transportation System. Signed June 17, 2021. Https://leg.colorado.gov/bills/sb21-260.
• Connect Oakland, TRB Webinar: Addressing Justice in Transportation, June 28, 2021
• ICF Incorporated, LLC. (2020). Summary of Critical Issues for Transportation and Equity. Transportation Research Board. Washington, D.C.
• Larson, S. (2021) How Chicago Could Build Equity into Transportation. Chicago Metropolitan Agency for Planning, Chicago, IL
• Litman, T. (2021). Evaluating Transportation Equity: Guidance for Incorporating Distributional Impacts in Transportation Panning. Victoria Transport Policy Institute, Victoria, British Columbia, Canada.
• Minnesota DOT (MnDOT). (2019). Advancing Transportation Equity: Strategies for Reducing Transportation Disparities, CTS Research Brief 2019-01, St. Paul, MN.
• National Public Radio (NPR). (2021). A Brief History of How Racism Shaped Interstate Highways, NPR Online News Article published April 7, 2021
• North Front Range Metropolitan Planning Organization (NFRMPO). 2021. Environmental Justice (EJ) Plan. North Front Range Metropolitan Planning Organization, Fort Collins, CO.
• Singer, J. (2018). Inside the Nation’s First Transportation Equity Program. Vision Zero Cities Journal, Transportation Alternatives, Published Online November 13, 2018.
• Twaddell, H. and B. Zgoda. (2020). Equity Analysis in Regional Transportation Planning Processes – Volume 1: Guide. Transit Cooperative Research Program (TCRP) Research Report 214. Transportation Research Board. Washington, D.C.
• Van Dort, L. A. Guthrie, Y. Fan, G. Baas. (2019). Advancing Transportation Equity: Research and Practice – Final Report. Center for Transportation Studies, University of Minnesota, Minneapolis, MN.
• Van Orden, D., and C. Grauberger. (2002). Environmental Justice Report. CDOT-DTD-R-2002-7. Colorado Department of Transportation, Research Branch. Denver, CO.
Objectives
The objective of this research is to produce guidance on how DOTs can improve the use of DEI and other related indicators in TAM investment decision making processes.
Tasks will include:
• Compile DEI and other related indicators for use in TAM decision-making
• Develop a framework for applying DEI and other related indicators in TAM decision-making processes, including:
o analysis activities to forecast impact
o scenario planning including identifying alternate investment options with an equity lens
o investment tradeoff decision-making
o community engagement activities including increasing the involvement of underserved communities.
• Develop additional quantitative and qualitative performance measures for asset management and planning that consider DEI and other factors in transportation investment decisions
• Produce a summary of challenges, inherent inequities, and obstacles in asset management and planning activities in order to help transportation add value to underserved communities
• Develop guidance for transportation agencies to use the DEI and other related indicators to balance competing strategic objectives related to asset performance, safety, mobility, and DEI.
Urgency and Potential Benefits
Most of the recent research related to environmental justice process have been focused on new transportation development. As state focus more of their budgets on maintaining their systems through TAM, better guidance is needed to ensure DEI and related considerations can be applied in a holistic view of investment decisions in transportation agencies.
The Biden administration and Secretary of Transportation Buttigieg stated that the administration’s priority encompasses efforts to “finally address major inequities – including those caused by highways that were built through Black and Brown communities, decades of disinvestment that left small towns and rural main streets stranded, and the disproportionate pollution burden from trucks, ports, and other facilities (AASHTO Daily Brief 03/29/21).” On May 25, 2021, the U.S. DOT published a Request for Information (ROI) on Transportation Equity Data in response to the Executive Order signed January 20, 2021, “Advancing Racial Equity and Support for Underserved Communities Through the Federal Government (Equity E.O.).” The information obtained through the ROI is intended to support the U.S. DOT’s determination of “whether, and to what extent, programs and policies perpetuate systemic barriers to opportunities and benefits for people of color and other underserved groups (Federal Register V. 86, No. 99, May 25, 2021).” The ROI specifically seeks input regarding the availability of potential data and assessment tools in the transportation sector that can support the U.S. DOT’s evaluation.
Implementation Considerations
• Transportation agency chief engineers, planning directors, asset managers, and transportation performance management leads will use the research products to improve their decision impact.
• The research will provide guidance on specific application and/or calculable modifications to existing tools and methods that transportation agencies can follow to make the changes needed for research implementation.
• The AASHTO Committee on Performance-Based Planning, the AASHTO TAM Portal, TRB Standing Committee on Transportation Asset Management (AJE30), TRB Standing Committee on Performance Management (AJE20) will support the research implementation.
• TRB presentations and webinars are will be required for research implementation.
• Workshops, peer exchanges, pilot testing, verification and validation of research results are possible implementation actions.
Note: Title formerly "Socio-Economic Indicators in TAM Processes"
See: FHWA TAM Expert Task Group summary of this topic and potential R&I-sponsored research effort addressing equity
Note: Some TAM processes do include related socio-economic indicators, including NPV, ROI, IRR, FYRR and also social indicators such as population influenced, percentage of tax revenue utilized, revenue sources and the implied equity considerations (including racial and social equity). It is suggested to examine the indicators utilized in different states, and whether the socio-economic indicators are part of the decision making process.
Ready to submit this statement? Generate a PDF for submittal here.
TPM – Analysis and Assessment of the National Performance Management Data
MAP-21 and the FAST Act laid the groundwork for a comprehensive national-level performance management framework. The first four-year reporting period began on January 1, 2018 and ends on December 31, 2021 and will result in the first complete set of consistent national-level performance management data. This will result in a unique opportunity to conduct the first analysis and assessment of this unique data set as well as combined with other data sets to tell a more complete and consistent state DOT performance management story.
An initial assessment of these data sets has been conducted. In 2020, FHWA sent out letters to each state DOT indicating whether they had made significant progress towards their target achievement for the five safety performance measures. And, in 2021, FHWA sent out subsequent letters about making significant progress with respect to the asset measures and system performance measures. AASHTO obtained copies of these data and conducted its own preliminary analysis of the data to better understand:
1. How far off were the targets from the actual numbers?
2. What is the impact of those states that did not make significant progress?
3. How many states' targets showed improvement?
4. What kind of targets did states establish?
5. What is the correlation between target setting technique and making significant progress?
6. Are there other techniques that could be used to determine making significant progress?
The results of this preliminary analysis was insightful and revealed a lot of good information. For example, a number of visuals were developed to show the how impactful missing a target by less than 0.05% can have on a state DOT not making significant progress. It also demonstrated the complexity associated with understanding what it meant for a state DOT to meet or exceed a target. However, this preliminary analysis, conducted by AASHTO staff and consultant support through the TPM Pooled Fund project, was very limited due to the resources available.
In fall 2021, the Committee on Performance-Based Management leadership group agreed that a more robust and extensive analysis is warranted that includes not only an analysis and assessment of the data, but recommendations on future capacity building activities to support state DOTs in the future as well as an assessment of future performance measures that may be better at telling the national TPM story.
Approach
This research will conducted in four parts.
Part 1 will focus on the detailed analysis of each of the 17 performance measures for the three federal performance measurement areas (safety, asset condition, and system performance). The analysis will primarily include the four years of performance measurement data reported by state DOTs as part of the federal performance management requirements for the first reporting period which goes January 1, 2018 through December 31, 2021. This data is consistent among all of the states and for all of the performance measures resulting in important consistency among the performance measures.
For each of the performance measurement areas, the following will be conducted:
• Data Analysis—Analysis of the performance measures data to better understand how states are performing. All of the data should be made available through the
• Target Setting Approach—Analysis of what type and how state DOTs established targets.
• Target Achievement—Assessment of the extent to which state DOTs achieved their targets.
All of this data and analysis, where applicable, should be made available through the AASHTO TPM Portal Benchmarking website at https://benchmarking.tpm-portal.com/.
Part 2 will focus on developing a comprehensive performance management story which provides an authoritative assessment and narrative of how state DOTs are performing. The performance management story should be based upon the following three categories:
• Funding Sources—A detailed analysis and assessment of the funding sources that state DOTs use to fund transportation projects in their states. This should include an assessment at the individual state as well as at the national level.
• Project Selection Process—A summary of the approaches, frameworks, and techniques state DOTs use to identify projects to fund using their funding sources.
• Condition, Outputs, and Outcomes—Using the results of the Data Analysis from Part 1, provide a summary of the condition of critical assets, the type of outputs state DOTs are seeing through their project selection process, and the long-term outcomes of the project selection process.
The State DOT TPM Story should be made available through the AASHTO TPM Portal website at www.tpm-portal.com. The State DOT TPM Story should include a print version and interactive web-based version that can be reasonably updated as new data is made available.
Part 3 will focus on future capacity building activities and performance measures that could be used to better tell the national TPM story. First, based upon the results and insights gained from Part 1 and 2, needed capacity building activities will be identified and delivered as resources allow. These activities could include training programs offered through the AASHTO TC3 program, new/updated NHI training, or peer exchanges. The focus should be on how best to build the capacity of transportation agencies to deliver a performance-based management program gained from the insights and experiences of the first performance management reporting period.
Second, the final report will provide some conclusions on future performance measures, approaches, and technologies that could be used by transportation agencies to implement and deliver a performance-based management program. These recommendations should be based upon the insights and experience from the first performance management reporting period. It should reflect the idea that the performance management field is constantly changing and evolving, just as society and technology does, and that what and how we measure performance is dynamic.
The objective of this research is to prepare an authoritative analysis and assessment of the national performance management data and, based upon the analysis and assessment, to provide recommendations on future capacity building activities and possible new performance measures. There are three sub-objectives focused on:
Analysis of the national performance management data for the three performance measurement areas (safety, assets, and system performance) will be conducted to better understand trends, target setting approaches, and target achievement by state DOTs; and
Assessment of the performance management data that provides a comprehensive and compelling story on the results of the performance management provisions.
Identification of future capacity building needs and performance measures.
The objective of this research is to prepare an authoritative analysis and assessment of the national performance manageme…
Background/Description
MAP-21 and the FAST Act laid the groundwork for a comprehensive national-level performance management framework. The first four-year reporting period began on January 1, 2018 and ends on December 31, 2021 and will result in the first complete set of consistent national-level performance management data. This will result in a unique opportunity to conduct the first analysis and assessment of this unique data set as well as combined with other data sets to tell a more complete and consistent state DOT performance management story.
An initial assessment of these data sets has been conducted. In 2020, FHWA sent out letters to each state DOT indicating whether they had made significant progress towards their target achievement for the five safety performance measures. And, in 2021, FHWA sent out subsequent letters about making significant progress with respect to the asset measures and system performance measures. AASHTO obtained copies of these data and conducted its own preliminary analysis of the data to better understand:
1. How far off were the targets from the actual numbers?
2. What is the impact of those states that did not make significant progress?
3. How many states' targets showed improvement?
4. What kind of targets did states establish?
5. What is the correlation between target setting technique and making significant progress?
6. Are there other techniques that could be used to determine making significant progress?
The results of this preliminary analysis was insightful and revealed a lot of good information. For example, a number of visuals were developed to show the how impactful missing a target by less than 0.05% can have on a state DOT not making significant progress. It also demonstrated the complexity associated with understanding what it meant for a state DOT to meet or exceed a target. However, this preliminary analysis, conducted by AASHTO staff and consultant support through the TPM Pooled Fund project, was very limited due to the resources available.
In fall 2021, the Committee on Performance-Based Management leadership group agreed that a more robust and extensive analysis is warranted that includes not only an analysis and assessment of the data, but recommendations on future capacity building activities to support state DOTs in the future as well as an assessment of future performance measures that may be better at telling the national TPM story.
Approach
This research will conducted in four parts.
Part 1 will focus on the detailed analysis of each of the 17 performance measures for the three federal performance measurement areas (safety, asset condition, and system performance). The analysis will primarily include the four years of performance measurement data reported by state DOTs as part of the federal performance management requirements for the first reporting period which goes January 1, 2018 through December 31, 2021. This data is consistent among all of the states and for all of the performance measures resulting in important consistency among the performance measures.
For each of the performance measurement areas, the following will be conducted:
• Data Analysis—Analysis of the performance measures data to better understand how states are performing. All of the data should be made available through the
• Target Setting Approach—Analysis of what type and how state DOTs established targets.
• Target Achievement—Assessment of the extent to which state DOTs achieved their targets.
All of this data and analysis, where applicable, should be made available through the AASHTO TPM Portal Benchmarking website at https://benchmarking.tpm-portal.com/.
Part 2 will focus on developing a comprehensive performance management story which provides an authoritative assessment and narrative of how state DOTs are performing. The performance management story should be based upon the following three categories:
• Funding Sources—A detailed analysis and assessment of the funding sources that state DOTs use to fund transportation projects in their states. This should include an assessment at the individual state as well as at the national level.
• Project Selection Process—A summary of the approaches, frameworks, and techniques state DOTs use to identify projects to fund using their funding sources.
• Condition, Outputs, and Outcomes—Using the results of the Data Analysis from Part 1, provide a summary of the condition of critical assets, the type of outputs state DOTs are seeing through their project selection process, and the long-term outcomes of the project selection process.
The State DOT TPM Story should be made available through the AASHTO TPM Portal website at www.tpm-portal.com. The State DOT TPM Story should include a print version and interactive web-based version that can be reasonably updated as new data is made available.
Part 3 will focus on future capacity building activities and performance measures that could be used to better tell the national TPM story. First, based upon the results and insights gained from Part 1 and 2, needed capacity building activities will be identified and delivered as resources allow. These activities could include training programs offered through the AASHTO TC3 program, new/updated NHI training, or peer exchanges. The focus should be on how best to build the capacity of transportation agencies to deliver a performance-based management program gained from the insights and experiences of the first performance management reporting period.
Second, the final report will provide some conclusions on future performance measures, approaches, and technologies that could be used by transportation agencies to implement and deliver a performance-based management program. These recommendations should be based upon the insights and experience from the first performance management reporting period. It should reflect the idea that the performance management field is constantly changing and evolving, just as society and technology does, and that what and how we measure performance is dynamic.
Objectives
The objective of this research is to prepare an authoritative analysis and assessment of the national performance management data and, based upon the analysis and assessment, to provide recommendations on future capacity building activities and possible new performance measures. There are three sub-objectives focused on:
Analysis of the national performance management data for the three performance measurement areas (safety, assets, and system performance) will be conducted to better understand trends, target setting approaches, and target achievement by state DOTs; and
Assessment of the performance management data that provides a comprehensive and compelling story on the results of the performance management provisions.
Identification of future capacity building needs and performance measures.
MAP-21 and the FAST Act laid the groundwork for a comprehensive national-level performance management framework. The first four-year reporting period began on January 1, 2018 and ends on December 31, 2021 and will result in the first complete set of consistent national-level performance management data. This will result in a unique opportunity to conduct the first analysis and assessment of this unique data set as well as combined with other data sets to tell a more complete and consistent state DOT performance management story.
An initial assessment of these data sets has been conducted. In 2020, FHWA sent out letters to each state DOT indicating whether they had made significant progress towards their target achievement for the five safety performance measures. And, in 2021, FHWA sent out subsequent letters about making significant progress with respect to the asset measures and system performance measures. AASHTO obtained copies of these data and conducted its own preliminary analysis of the data to better understand:
1. How far off were the targets from the actual numbers?
2. What is the impact of those states that did not make significant progress?
3. How many states' targets showed improvement?
4. What kind of targets did states establish?
5. What is the correlation between target setting technique and making significant progress?
6. Are there other techniques that could be used to determine making significant progress?
The results of this preliminary analysis was insightful and revealed a lot of good information. For example, a number of visuals were developed to show the how impactful missing a target by less than 0.05% can have on a state DOT not making significant progress. It also demonstrated the complexity associated with understanding what it meant for a state DOT to meet or exceed a target. However, this preliminary analysis, conducted by AASHTO staff and consultant support through the TPM Pooled Fund project, was very limited due to the resources available.
In fall 2021, the Committee on Performance-Based Management leadership group agreed that a more robust and extensive analysis is warranted that includes not only an analysis and assessment of the data, but recommendations on future capacity building activities to support state DOTs in the future as well as an assessment of future performance measures that may be better at telling the national TPM story.
Approach
This research will conducted in four parts.
Part 1 will focus on the detailed analysis of each of the 17 performance measures for the three federal performance measurement areas (safety, asset condition, and system performance). The analysis will primarily include the four years of performance measurement data reported by state DOTs as part of the federal performance management requirements for the first reporting period which goes January 1, 2018 through December 31, 2021. This data is consistent among all of the states and for all of the performance measures resulting in important consistency among the performance measures.
For each of the performance measurement areas, the following will be conducted:
• Data Analysis—Analysis of the performance measures data to better understand how states are performing. All of the data should be made available through the
• Target Setting Approach—Analysis of what type and how state DOTs established targets.
• Target Achievement—Assessment of the extent to which state DOTs achieved their targets.
All of this data and analysis, where applicable, should be made available through the AASHTO TPM Portal Benchmarking website at https://benchmarking.tpm-portal.com/.
Part 2 will focus on developing a comprehensive performance management story which provides an authoritative assessment and narrative of how state DOTs are performing. The performance management story should be based upon the following three categories:
• Funding Sources—A detailed analysis and assessment of the funding sources that state DOTs use to fund transportation projects in their states. This should include an assessment at the individual state as well as at the national level.
• Project Selection Process—A summary of the approaches, frameworks, and techniques state DOTs use to identify projects to fund using their funding sources.
• Condition, Outputs, and Outcomes—Using the results of the Data Analysis from Part 1, provide a summary of the condition of critical assets, the type of outputs state DOTs are seeing through their project selection process, and the long-term outcomes of the project selection process.
The State DOT TPM Story should be made available through the AASHTO TPM Portal website at www.tpm-portal.com. The State DOT TPM Story should include a print version and interactive web-based version that can be reasonably updated as new data is made available.
Part 3 will focus on future capacity building activities and performance measures that could be used to better tell the national TPM story. First, based upon the results and insights gained from Part 1 and 2, needed capacity building activities will be identified and delivered as resources allow. These activities could include training programs offered through the AASHTO TC3 program, new/updated NHI training, or peer exchanges. The focus should be on how best to build the capacity of transportation agencies to deliver a performance-based management program gained from the insights and experiences of the first performance management reporting period.
Second, the final report will provide some conclusions on future performance measures, approaches, and technologies that could be used by transportation agencies to implement and deliver a performance-based management program. These recommendations should be based upon the insights and experience from the first performance management reporting period. It should reflect the idea that the performance management field is constantly changing and evolving, just as society and technology does, and that what and how we measure performance is dynamic.
Literature Search Summary
NCHRP 20-24(20), (37), (97), (127)NCHRP 20-24(37): This project, Measuring Performance among State DOTs: Sharing Good Practices, put in place a foundation on which the first set of national performance measures were created. A similar program needs to established on which to further develop relevant national-level performance measures.
Data Sources
• National Bridge Inventory (NBI): https://www.fhwa.dot.gov/bridge/nbi.cfm
• 17 National Performance Measure Reporting System: https://www.fhwa.dot.gov/tpm/reporting/state/
• National Performance Management Research Data Set (NPMRDS): https://npmrds.ritis.org/analytics/
• Highway Statistic Series: https://www.fhwa.dot.gov/policyinformation/statistics.cfm
• FHWA Performance Management Data including: Results from the current reporting period (January 1, 2018 through December 31, 2021), AASHTO Analysis of the National PM Safety Data (May 2020), Target Data Analysis of the Federal Performance Measures (July 2021)
Objectives
The objective of this research is to prepare an authoritative analysis and assessment of the national performance management data and, based upon the analysis and assessment, to provide recommendations on future capacity building activities and possible new performance measures. There are three sub-objectives focused on:
Analysis of the national performance management data for the three performance measurement areas (safety, assets, and system performance) will be conducted to better understand trends, target setting approaches, and target achievement by state DOTs; and
Assessment of the performance management data that provides a comprehensive and compelling story on the results of the performance management provisions.
Identification of future capacity building needs and performance measures.
Urgency and Potential Benefits
The results of this research are important and significant. This will be the first time that researchers will be able to use a complete set of the national-level performance management data to conduct a detailed and comprehensive analysis of the performance management program. This will research will serve as an authoritative and independent assessment of the data that can be used to tell the story of the state DOT and be used to inform transportation policy decisions in the future.
TPM – Analysis and Assessment of the National Performance Management Data
Funding
$550,000
Research Period
18 months
Description
Evaluate current federal PM3 measures
Literature Search Summary
NCHRP 20-24(20), (37), (97), (127) NCHRP 20-24(37): This project, Measuring Performance among State DOTs: Sharing Good Practices, put in place a foundation on which the first set of national performance measures were created. A similar program needs to established on which to further develop relevant national-level performance measures. Data Sources
• National Bridge Inventory (NBI): https://www.fhwa.dot.gov/bridge/nbi.cfm
• 17 National Performance Measure Reporting System: https://www.fhwa.dot.gov/tpm/reporting/state/
• National Performance Management Research Data Set (NPMRDS): https://npmrds.ritis.org/analytics/
• Highway Statistic Series: https://www.fhwa.dot.gov/policyinformation/statistics.cfm
• FHWA Performance Management Data including: Results from the current reporting period (January 1, 2018 through December 31, 2021), AASHTO Analysis of the National PM Safety Data (May 2020), Target Data Analysis of the Federal Performance Measures (July 2021)
Objectives
The objective of this research is to prepare an authoritative analysis and assessment of the national performance management data and, based upon the analysis and assessment, to provide recommendations on future capacity building activities and possible new performance measures. There are three sub-objectives focused on:
Analysis of the national performance management data for the three performance measurement areas (safety, assets, and system performance) will be conducted to better understand trends, target setting approaches, and target achievement by state DOTs; and
Assessment of the performance management data that provides a comprehensive and compelling story on the results of the performance management provisions.
Identification of future capacity building needs and performance measures.
Urgency and Potential Benefits
The results of this research are important and significant. This will be the first time that researchers will be able to use a complete set of the national-level performance management data to conduct a detailed and comprehensive analysis of the performance management program. This will research will serve as an authoritative and independent assessment of the data that can be used to tell the story of the state DOT and be used to inform transportation policy decisions in the future.
Implementation Considerations
Please provide implementation considerations for the project.
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Keeping Inventory and Condition Data Up to Date
Emerging technologies, such as the use of drones for inspections, LiDAR field data collection, and continuous monitoring of real-time sensor data (among others), hold the promise of transforming asset data collection for transportation asset management. As this technology has been evolving and improving, federal regulation, specifically, MAP-21 and the FAST Act, has pushed many agencies to collect and utilize a detailed inventory of infrastructure assets and transportation data. With the collection of high-volume asset inventory and condition data, such as LiDAR point cloud data, the accessibility and affordability of data collection has become a clear issue for agencies, particularly as they aim to manage and visualize collected data for both strategic and operational transportation asset management planning purposes. Therefore, research and guidance on the benefits and applications of these emerging technologies as well as how frequently that inventory and condition data need to be collected or assessed is necessary.
The focus of this research would be on the following:
• Address the adoption and practical application of these emerging collection technologies and the rapid pace of technological advancement.
• Provide guidance on the level of detail and frequency interval necessary for data collection to support TAM at both the state and local levels.
• Determine how condition assessment can be applied to the performance measures of both pavement and non-pavement assets.
• Further investigate and recommend tools capable of visualizing asset extraction layers, as well as presenting data to stakeholders in powerful GIS formats with standardized TAM graphics for universal interpretation.
• The research should consider any refinements that would need to occur in network level asset management data collection to make the data useful for compliance (i.e. ADA), safety (i.e. bridge clearances) or engineering (design or construction) purposes.
Working backward from the key decisions that need to be made across stakeholder groups over an asset’s lifecycle, this project seeks to identify current practices and recommend ongoing improvements in relation to collecting, storing, sharing, and maintaining asset inventory and condition data (“data management”). With a focus on implementation, the project will build on existing research by identifying the pros and cons of different data management methods and technologies, so that decision makers across departments can collaborate more effectively when planning and investing in data management approaches. The practice of data management is evolving at a rapid pace, given the proliferation of new technologies that are being used increasingly alongside traditional approaches. In parallel, agencies are recognizing the multi-stakeholder nature of asset management, as departments such as compliance, safety, engineering, operations and environmental begin to see the benefits of access to reliable, accurate asset information. This project will answer key data management questions such as: What data should be collected to address all stakeholder needs? How, when, and how often? Using which technologies and platforms? At what cost? And why?
It will also provide guidance to agencies on the most appropriate approaches to collecting, storing, sharing and maintaining asset data, based on the needs of the various stakeholders involved in data-based decision-making.
Working backward from the key decisions that need to be made across stakeholder groups over an asset’s lifecycle, this p…
Background/Description
Emerging technologies, such as the use of drones for inspections, LiDAR field data collection, and continuous monitoring of real-time sensor data (among others), hold the promise of transforming asset data collection for transportation asset management. As this technology has been evolving and improving, federal regulation, specifically, MAP-21 and the FAST Act, has pushed many agencies to collect and utilize a detailed inventory of infrastructure assets and transportation data. With the collection of high-volume asset inventory and condition data, such as LiDAR point cloud data, the accessibility and affordability of data collection has become a clear issue for agencies, particularly as they aim to manage and visualize collected data for both strategic and operational transportation asset management planning purposes. Therefore, research and guidance on the benefits and applications of these emerging technologies as well as how frequently that inventory and condition data need to be collected or assessed is necessary.
The focus of this research would be on the following:
• Address the adoption and practical application of these emerging collection technologies and the rapid pace of technological advancement.
• Provide guidance on the level of detail and frequency interval necessary for data collection to support TAM at both the state and local levels.
• Determine how condition assessment can be applied to the performance measures of both pavement and non-pavement assets.
• Further investigate and recommend tools capable of visualizing asset extraction layers, as well as presenting data to stakeholders in powerful GIS formats with standardized TAM graphics for universal interpretation.
• The research should consider any refinements that would need to occur in network level asset management data collection to make the data useful for compliance (i.e. ADA), safety (i.e. bridge clearances) or engineering (design or construction) purposes.
Objectives
Working backward from the key decisions that need to be made across stakeholder groups over an asset’s lifecycle, this project seeks to identify current practices and recommend ongoing improvements in relation to collecting, storing, sharing, and maintaining asset inventory and condition data (“data management”). With a focus on implementation, the project will build on existing research by identifying the pros and cons of different data management methods and technologies, so that decision makers across departments can collaborate more effectively when planning and investing in data management approaches. The practice of data management is evolving at a rapid pace, given the proliferation of new technologies that are being used increasingly alongside traditional approaches. In parallel, agencies are recognizing the multi-stakeholder nature of asset management, as departments such as compliance, safety, engineering, operations and environmental begin to see the benefits of access to reliable, accurate asset information. This project will answer key data management questions such as: What data should be collected to address all stakeholder needs? How, when, and how often? Using which technologies and platforms? At what cost? And why?
It will also provide guidance to agencies on the most appropriate approaches to collecting, storing, sharing and maintaining asset data, based on the needs of the various stakeholders involved in data-based decision-making.
Emerging technologies, such as the use of drones for inspections, LiDAR field data collection, and continuous monitoring of real-time sensor data (among others), hold the promise of transforming asset data collection for transportation asset management. As this technology has been evolving and improving, federal regulation, specifically, MAP-21 and the FAST Act, has pushed many agencies to collect and utilize a detailed inventory of infrastructure assets and transportation data. With the collection of high-volume asset inventory and condition data, such as LiDAR point cloud data, the accessibility and affordability of data collection has become a clear issue for agencies, particularly as they aim to manage and visualize collected data for both strategic and operational transportation asset management planning purposes. Therefore, research and guidance on the benefits and applications of these emerging technologies as well as how frequently that inventory and condition data need to be collected or assessed is necessary.
The focus of this research would be on the following:
• Address the adoption and practical application of these emerging collection technologies and the rapid pace of technological advancement.
• Provide guidance on the level of detail and frequency interval necessary for data collection to support TAM at both the state and local levels.
• Determine how condition assessment can be applied to the performance measures of both pavement and non-pavement assets.
• Further investigate and recommend tools capable of visualizing asset extraction layers, as well as presenting data to stakeholders in powerful GIS formats with standardized TAM graphics for universal interpretation.
• The research should consider any refinements that would need to occur in network level asset management data collection to make the data useful for compliance (i.e. ADA), safety (i.e. bridge clearances) or engineering (design or construction) purposes.
Literature Search Summary
• PROJECT: Best Practices on Collecting Asset Information from the Construction Stage, South Carolina Department of Transportation, 2021, Proposed 2021-10-01
• PROJECT: Automated Guardrail Inventory and Condition Evaluation, Massachusetts Department of Transportation, 2021, Active 2021-01-18
• Highway Asset and Pavement Condition Management using Mobile Photogrammetry, Transportation Research Record: Journal of the Transportation Research Board, 2021
• Automated Real-Time Roadway Asset Inventory using Artificial Intelligence, Transportation Research Record: Journal of the Transportation Research Board, Volume 2674, Issue 11, 2020, pp 220-234, 2020-11
• Computer Vision for Rapid Updating of the Highway Asset Inventory, Transportation Research Record: Journal of the Transportation Research Board, Volume 2674, Issue 9, 2020, pp 245-255, 2020-09
• GIS Tools and Apps—Integration with Asset Management, 2020, 155p, 2020-02
• PROJECT: A Method for Pavement Marking Inventory and Retroreflectivity Condition Assessment Using Mobile LiDAR, Massachusetts Department of Transportation, $200,000, 2019, Active, 2019-10-21
• SCDOT Asset Data Collection Assessment, 2019, 99, 2019-08
• PROJECT: GIS Tools and Applications: Integration with Asset Management, Minnesota Department of Transportation, $59,021.12, 2019, Completed, 2019-04-19
• Novel Cloud and Mobile Technology for Road Asset Management in Saint Lucia, 26th World Road Congress, 2019, 9, 2019
• Implementation of Road Asset Management System in Saint Lucia, 26th World Road Congress, 2019, 16, 2019
• Innovative Approaches to Asset Management, 2019, 110, 2019
• Machine Learning Powered Roadside Asset Extraction using LiDAR, TAC 2018: Innovation and Technology: Evolving Transportation - 2018 Conference and Exhibition of the Transportation Association of Canada, 2018
• Life-Cycle Approach to Collecting, Managing, and Sharing Transportation Infrastructure Asset Data, Journal of Construction Engineering and Management, Volume 143, Issue 6, 2017-06
• Highway Asset Inventory Data Collection Using Airborne LiDAR, Transportation Research Board 96th Annual Meeting, 2017, 15
• Evaluation of High-Speed Mobile Technologies for Sign Inventory and Maintenance, Transportation Research Board 96th Annual Meeting, 2017, 13, 2017
• Implementation of Aerial LiDAR Technology to Update Highway Feature Inventory, 2016, 133, 2016-12
• Guide for Efficient Geospatial Data Acquisition using LiDAR Surveying Technology, 2016, 12, 2016
• LEVERAGING CONSTRUCTION INSPECTION AND DOCUMENTATION FOR ASSET INVENTORY AND LIFE CYCLE ASSET MANAGEMENT Transportation Research Board 95th Annual Meeting, 2016, 20, 2016
• Handbook For Including Ancillary Assets in Transportation Asset Management Programs, Federal Highway Administration, 2018
Objectives
Working backward from the key decisions that need to be made across stakeholder groups over an asset’s lifecycle, this project seeks to identify current practices and recommend ongoing improvements in relation to collecting, storing, sharing, and maintaining asset inventory and condition data (“data management”). With a focus on implementation, the project will build on existing research by identifying the pros and cons of different data management methods and technologies, so that decision makers across departments can collaborate more effectively when planning and investing in data management approaches. The practice of data management is evolving at a rapid pace, given the proliferation of new technologies that are being used increasingly alongside traditional approaches. In parallel, agencies are recognizing the multi-stakeholder nature of asset management, as departments such as compliance, safety, engineering, operations and environmental begin to see the benefits of access to reliable, accurate asset information. This project will answer key data management questions such as: What data should be collected to address all stakeholder needs? How, when, and how often? Using which technologies and platforms? At what cost? And why?
It will also provide guidance to agencies on the most appropriate approaches to collecting, storing, sharing and maintaining asset data, based on the needs of the various stakeholders involved in data-based decision-making.
Urgency and Potential Benefits
Inventory and condition data collection and data management are continuously changing in response to changing demands of state and local agencies. However, despite these changing demands, inventory data is constantly being used by multiple stakeholders to make decisions (planning, operations, safety, contractors). While the inventory data may not necessarily be accurate or timely due to these agency constraints or because the agency’s collection processes lack maturity (i.e. ancillary assets), this data is still being used to make decisions at all levels within an agency, yet there is little consensus on how to manage data related to those assets.
The benefits of this research are that it will provide a complete view of inventory and condition issues across asset classes; support agencies with lessons learned from others (from data collection to post-processing/extraction and related decision making) and enable collaboration on new approaches, particularly for secondary asset data management; support implementation of TAMPs by helping to ensure data is reliable and accurate; support preparation for emerging technologies such as CAVES, which will be dependent on secondary assets, such as striping, roadside units (RSUs) and signals.
Implementation Considerations
Methods to incorporate products into practice:
- Web-based training for agency staff
- Case studies from peer agencies
- Assessment of existing technologies including functionalities, pros/cons, and costs
Intended audience:
- Decision makers at all organizational levels and across departments/disciplines
- Contractor and consultant community
Emerging technologies, such as the use of drones for inspections, LiDAR field data collection, and continuous monitoring of real-time sensor data (among others), hold the promise of transforming asset data collection for transportation asset management. As this technology has been evolving and improving, federal regulation, specifically, MAP-21 and the FAST Act, has pushed many agencies to collect and utilize a detailed inventory of infrastructure assets and transportation data. With the collection of high-volume asset inventory and condition data, such as LiDAR point cloud data, the accessibility and affordability of data collection has become a clear issue for agencies, particularly as they aim to manage and visualize collected data for both strategic and operational transportation asset management planning purposes. Therefore, research and guidance on the benefits and applications of these emerging technologies as well as how frequently that inventory and condition data need to be collected or assessed is necessary.
The focus of this research would be on the following:
• Address the adoption and practical application of these emerging collection technologies and the rapid pace of technological advancement.
• Provide guidance on the level of detail and frequency interval necessary for data collection to support TAM at both the state and local levels.
• Determine how condition assessment can be applied to the performance measures of both pavement and non-pavement assets.
• Further investigate and recommend tools capable of visualizing asset extraction layers, as well as presenting data to stakeholders in powerful GIS formats with standardized TAM graphics for universal interpretation.
• The research should consider any refinements that would need to occur in network level asset management data collection to make the data useful for compliance (i.e. ADA), safety (i.e. bridge clearances) or engineering (design or construction) purposes.
Literature Search Summary
• PROJECT: Best Practices on Collecting Asset Information from the Construction Stage, South Carolina Department of Transportation, 2021, Proposed 2021-10-01
• PROJECT: Automated Guardrail Inventory and Condition Evaluation, Massachusetts Department of Transportation, 2021, Active 2021-01-18
• Highway Asset and Pavement Condition Management using Mobile Photogrammetry, Transportation Research Record: Journal of the Transportation Research Board, 2021
• Automated Real-Time Roadway Asset Inventory using Artificial Intelligence, Transportation Research Record: Journal of the Transportation Research Board, Volume 2674, Issue 11, 2020, pp 220-234, 2020-11
• Computer Vision for Rapid Updating of the Highway Asset Inventory, Transportation Research Record: Journal of the Transportation Research Board, Volume 2674, Issue 9, 2020, pp 245-255, 2020-09
• GIS Tools and Apps—Integration with Asset Management, 2020, 155p, 2020-02
• PROJECT: A Method for Pavement Marking Inventory and Retroreflectivity Condition Assessment Using Mobile LiDAR, Massachusetts Department of Transportation, $200,000, 2019, Active, 2019-10-21
• SCDOT Asset Data Collection Assessment, 2019, 99, 2019-08
• PROJECT: GIS Tools and Applications: Integration with Asset Management, Minnesota Department of Transportation, $59,021.12, 2019, Completed, 2019-04-19
• Novel Cloud and Mobile Technology for Road Asset Management in Saint Lucia, 26th World Road Congress, 2019, 9, 2019
• Implementation of Road Asset Management System in Saint Lucia, 26th World Road Congress, 2019, 16, 2019
• Innovative Approaches to Asset Management, 2019, 110, 2019
• Machine Learning Powered Roadside Asset Extraction using LiDAR, TAC 2018: Innovation and Technology: Evolving Transportation - 2018 Conference and Exhibition of the Transportation Association of Canada, 2018
• Life-Cycle Approach to Collecting, Managing, and Sharing Transportation Infrastructure Asset Data, Journal of Construction Engineering and Management, Volume 143, Issue 6, 2017-06
• Highway Asset Inventory Data Collection Using Airborne LiDAR, Transportation Research Board 96th Annual Meeting, 2017, 15
• Evaluation of High-Speed Mobile Technologies for Sign Inventory and Maintenance, Transportation Research Board 96th Annual Meeting, 2017, 13, 2017
• Implementation of Aerial LiDAR Technology to Update Highway Feature Inventory, 2016, 133, 2016-12
• Guide for Efficient Geospatial Data Acquisition using LiDAR Surveying Technology, 2016, 12, 2016
• LEVERAGING CONSTRUCTION INSPECTION AND DOCUMENTATION FOR ASSET INVENTORY AND LIFE CYCLE ASSET MANAGEMENT Transportation Research Board 95th Annual Meeting, 2016, 20, 2016
• Handbook For Including Ancillary Assets in Transportation Asset Management Programs, Federal Highway Administration, 2018
Objectives
Working backward from the key decisions that need to be made across stakeholder groups over an asset’s lifecycle, this project seeks to identify current practices and recommend ongoing improvements in relation to collecting, storing, sharing, and maintaining asset inventory and condition data (“data management”). With a focus on implementation, the project will build on existing research by identifying the pros and cons of different data management methods and technologies, so that decision makers across departments can collaborate more effectively when planning and investing in data management approaches. The practice of data management is evolving at a rapid pace, given the proliferation of new technologies that are being used increasingly alongside traditional approaches. In parallel, agencies are recognizing the multi-stakeholder nature of asset management, as departments such as compliance, safety, engineering, operations and environmental begin to see the benefits of access to reliable, accurate asset information. This project will answer key data management questions such as: What data should be collected to address all stakeholder needs? How, when, and how often? Using which technologies and platforms? At what cost? And why?
It will also provide guidance to agencies on the most appropriate approaches to collecting, storing, sharing and maintaining asset data, based on the needs of the various stakeholders involved in data-based decision-making.
Urgency and Potential Benefits
Inventory and condition data collection and data management are continuously changing in response to changing demands of state and local agencies. However, despite these changing demands, inventory data is constantly being used by multiple stakeholders to make decisions (planning, operations, safety, contractors). While the inventory data may not necessarily be accurate or timely due to these agency constraints or because the agency’s collection processes lack maturity (i.e. ancillary assets), this data is still being used to make decisions at all levels within an agency, yet there is little consensus on how to manage data related to those assets.
The benefits of this research are that it will provide a complete view of inventory and condition issues across asset classes; support agencies with lessons learned from others (from data collection to post-processing/extraction and related decision making) and enable collaboration on new approaches, particularly for secondary asset data management; support implementation of TAMPs by helping to ensure data is reliable and accurate; support preparation for emerging technologies such as CAVES, which will be dependent on secondary assets, such as striping, roadside units (RSUs) and signals.
Implementation Considerations
Methods to incorporate products into practice:
- Web-based training for agency staff
- Case studies from peer agencies
- Assessment of existing technologies including functionalities, pros/cons, and costs
Intended audience:
- Decision makers at all organizational levels and across departments/disciplines
- Contractor and consultant community
Based on these changing conditions, the objective of this research is to investigate the needs and benefits from incorpora…
Objectives
Based on these changing conditions, the objective of this research is to investigate the needs and benefits from incorporating TSMO assets in TAMPs. The study will develop a guide for state DOTs to facilitate the inclusion of TSMO in TAMP without disrupting the established and on-going planning process.
Connecting Transportation Asset Management (TAM) and Transportation System and Management Operations (TSMO)
Since the early adoptions of transportation asset management (TAM) practices, and performance rule-making association with the Fixing America’s Surface Transportation (FAST) Act, state agencies have been encouraged to add assets beyond pavements and bridges in their risk-based transportation asset management plans (TAMPs). With rapidly growing advancements and uses of technology in transportation system and management operations (TSMO), new assets are becoming widespread critical components of the network such as communications and security technology, sensors, cameras, and other intelligent transportation system (ITS) infrastructure technologies.
TAMPs cross multiple functions (e.g., planning, engineering, maintenance, operation, finance and procurement) entailing the management and inclusion of all the components required to achieve the TAMP goal, which is maintaining and improving physical assets with a focus on engineering and economic analysis based upon quality information. Typically, transportation agencies focus on the benefits of deploying new technologies when installed and implemented in the exploration stage. However, moving forward to an exploitation phase, agencies need to start considering the long-term management of these technologies to maintain their good operational state.
In addition to managing the condition of TSMO assets, TAM decisions to other assets will have an impact on the operations of the network, such as traffic flows, that depend on traffic management and operations. The timing of the traffic management installation could span from the 20 minutes necessary to “make safe” a pothole in a live travel lane, to the multi-year management of lanes through a construction zone. Delivery of the TAMP is therefore dependent on safe, planned, and dependable access to the transportation infrastructure. Several agencies have realized the need to link TAM and TSMO from the early stages of developing their TAMP; however, establishing the connection was challenging and hard to achieve in most cases. Currently, Ohio DOT is in the process of connecting TSMO and TAM as reported in their TAMP. Additionally, Caltrans has been including their transportation management system (TMS) technology assets into the TAMP.
Objectives
Based on these changing conditions, the objective of this research is to investigate the needs and benefits from incorporating TSMO assets in TAMPs. The study will develop a guide for state DOTs to facilitate the inclusion of TSMO in TAMP without disrupting the established and on-going planning process.
The objectives of this research are to develop guidance promoting the use of performance-based management strategies in ma…
Objectives
The objectives of this research are to develop guidance promoting the use of performance-based management strategies in maintenance and to present the resulting information in a format that is easily accessible to the maintenance community.
Guidance on Using Performance-Based Management Approaches for Maintenance
Estimated Timeframe: 24 months Funding: $500000
Objectives
The objectives of this research are to develop guidance promoting the use of performance-based management strategies in maintenance and to present the resulting information in a format that is easily accessible to the maintenance community.
The objectives of this research project are to
• Develop enhanced techniques to consider and evaluate asset manag…
Objectives
The objectives of this research project are to
• Develop enhanced techniques to consider and evaluate asset management-related risks as part of investment decision-making practices, including qualitative, quantitative, and analytical methods—building on and aligning with previous and continuing research efforts in the areas of TAM and risk management;
• Review effective processes to determine how existing and potential approaches can be used when integrating enterprise, network, and program level risk analysis. Alternative approaches should address how state departments of transportation (DOTs) make multi-objective, cross-asset investment decisions under uncertainty to best support national, state, and local asset performance goals for pavements, bridges, and other assets;
• Develop strategies and procedures for risk mitigation and response with applicable tools and tracking mechanisms for transportation agencies to improve risk assessment in existing and evolving asset management business processes; and
• Develop implementation guidance, including practical tools and techniques for incorporating risk and uncertainty, as well as possible measures of asset resilience that can be integrated into risk assessment procedures in support of national, state, and local asset performance goals.
Risk Assessment Techniques for Transportation Asset Management
Estimated Timeframe: Funding: $
Background
As transportation agencies are faced with aging and deteriorating infrastructure in a context of limited resources, it becomes imperative that assets are managed efficiently and effectively. To this end, Federal Regulations Title 23 CFR Part 515 require state transportation agencies to develop Risk-Based Transportation Asset Management Plans (TAMP), including a risk management plan. The risk management plan must include identification, assessment, evaluation, and prioritization of risks, as well as a mitigation plan for addressing and monitoring top priority risks. State transportation agencies are seeking to improve the assessment of risks to transportation assets as part of optimized investment decision-making.
Transportation agencies must contend with a wide variety of risks as they manage transportation assets. Owners must respond to impacts of events both within and outside their control. These risks can include funding uncertainty, regulatory changes, leadership and policy changes, increasing costs, severe weather events, evolving technology, and others. Underestimating risk can lead to costly repairs and reconstruction, while overestimating risk can lead to wasted resources. Asset owners require better techniques for assessing and managing risk.
Approaches to managing risk range from qualitative assessments of likelihood and consequence at the enterprise level to quantitative, probabilistic approaches at the network and program levels such as scenario analysis, simulation, and other approaches to predictive modeling. Successful organizations, across both the public and private sectors, effectively and efficiently quantify the effects of risk and uncertainty related to threats and opportunities.
Objectives
The objectives of this research project are to
• Develop enhanced techniques to consider and evaluate asset management-related risks as part of investment decision-making practices, including qualitative, quantitative, and analytical methods—building on and aligning with previous and continuing research efforts in the areas of TAM and risk management;
• Review effective processes to determine how existing and potential approaches can be used when integrating enterprise, network, and program level risk analysis. Alternative approaches should address how state departments of transportation (DOTs) make multi-objective, cross-asset investment decisions under uncertainty to best support national, state, and local asset performance goals for pavements, bridges, and other assets;
• Develop strategies and procedures for risk mitigation and response with applicable tools and tracking mechanisms for transportation agencies to improve risk assessment in existing and evolving asset management business processes; and
• Develop implementation guidance, including practical tools and techniques for incorporating risk and uncertainty, as well as possible measures of asset resilience that can be integrated into risk assessment procedures in support of national, state, and local asset performance goals.
Proposed Research Activities
The research plan should be presented as a two-phase effort. Phase I will synthesize materials on existing practice and perform a critical assessment of existing tools, approaches, performance measures, and procedures that can be used to build new or improved risk assessment tools and techniques in support of transportation asset management. Phase II will produce supporting implementation guidance and tools.
The research should build on existing asset management guidance detailed in previous NCHRP reports, the American Association of State Highway and Transportation Officials (AASHTO) Transportation Asset Management (TAM) Guide, and other state-of-the-practice guidance for assessing and managing risks, including the Federal Highway Administration (FHWA). AASHTO material is available on the AASHTO TAM portal, and FHWA guidance is accessed through its web pages focused on asset management and resilience. The research also will help improve the state of practice in risk-based transportation asset management and help ensure that the full range of relevant factors is incorporated into transportation agency resource allocation procedures.
In meeting the objectives of this study, the research plan should consider, but not be limited to, the following.
Phase I
1. Incorporate results from a review of available literature, ongoing research, legislative requirements, and state-of-the-practice for risk assessment into a set of possible approaches for managing transportation assets more effectively, including identifying gaps in current procedures.
2. Identify and assess potential approaches and techniques for enterprise, network, and program level risk assessment to develop procedures and strategies for improving existing asset management decision in support of project objectives. Potential approaches should address how state DOTs make multi-objective, cross-asset investment decisions under uncertainty in support of national, state, and local asset performance goals for pavements, bridges, and other assets.
3. Identify potential constraints and barriers to implementation and steps to address them.
Phase I will conclude with preparation of an interim report detailing the results of Phase I research and presenting an updated detailed scope of work for Phase II. Phase I should account for no more than 40% of the overall effort. NCHRP will meet with the research team at the end of Phase I to review. NCHRP approval of the interim report is required before proceeding with Phase II.
Phase II
4. Based on the conclusions of Phase I, develop improved strategies and tools for risk-based asset management and prepare draft implementation guidance.
5. Conduct a set of test scenarios with three or more state DOTs using the draft implementation guidance and associated tools. Summarize lessons learned and present recommended changes and improvement to the guidance and tools as appropriate.
6. Prepare draft and final reports and supporting materials detailing the results of the research.
The research plan should build in appropriate checkpoints with the NCHRP project panel including, at a minimum (1) a kick-off teleconference meeting to be held within 1 month of the contract’s execution date; (2) the face-to-face interim deliverable review meeting to be held at the end of Phase I; and (3) at least two additional web-enabled teleconferences tied to NCHRP review and approval of any other interim deliverables as deemed appropriate.
Final deliverables will include at a minimum: (1) implementation guidance and supporting analytical tools (e.g., visualizations, metrics, strategies); (2) a final report that documents the entire research effort; (3) an executive summary as a stand-alone document that outlines the research findings and recommendations; and (4) a presentation (e.g., a Microsoft® PowerPoint, video, etc.) aimed at state DOT staff and senior management that simply and concisely explains why the guidance and supporting materials are helpful and how they will be used. Any tools or models developed as part of the research program will be open source using readily available software. Final deliverables will also include a stand-alone technical memorandum entitled, “Implementation of Research Findings and Products.”
The objective of this synthesis is to document current state DOT practice and experience regarding collecting and ensuring…
Objectives
The objective of this synthesis is to document current state DOT practice and experience regarding collecting and ensuring the accuracy of element level data. The synthesis will also examine how DOTs are using the data from inspection reports.
Information to be gathered includes (but is not limited to):
• Practices for collecting element level data (e.g., collection software, nondestructive evaluation methods);
• Practices and methods for ensuring the accuracy of the data collected;
• DOT business processes that use element level data (e.g., project scoping, maintenance, bridge asset management modeling and analyses, performance measurement and reporting); and
• Aspects of DOT bridge management systems that use element level data (e.g., deterioration models, action types, action costs, decision rules, performance indices).
Using Bridge Element Data in Asset Management Decision Making
Estimated Timeframe: 9 months Funding: $45000
Background
State departments of transportation (DOTs) have been transitioning to using element inspection data for documenting bridge conditions since 2014. This condition assessment methodology offers a significant opportunity to improve the timing, cost efficiency, and accuracy of bridge maintenance, rehabilitations, and replacement decisions. However, there is no standard guidance on achieving those benefits. Bridge management platforms such as AASHTOWare BrM can combine these data with other inputs to forecast future conditions and recommend optimal plans for a portfolio of bridges.
Anecdotal evidence suggests that state DOTs that receive the inspection reports are taking numerous approaches to using the data. Many DOTs rely on general condition ratings reported to the National Bridge Inventory for bridge maintenance and investment decisions. Still others have begun to incorporate the element level data into those decisions.
Objectives
The objective of this synthesis is to document current state DOT practice and experience regarding collecting and ensuring the accuracy of element level data. The synthesis will also examine how DOTs are using the data from inspection reports.
Information to be gathered includes (but is not limited to):
• Practices for collecting element level data (e.g., collection software, nondestructive evaluation methods);
• Practices and methods for ensuring the accuracy of the data collected;
• DOT business processes that use element level data (e.g., project scoping, maintenance, bridge asset management modeling and analyses, performance measurement and reporting); and
• Aspects of DOT bridge management systems that use element level data (e.g., deterioration models, action types, action costs, decision rules, performance indices).
Proposed Research Activities
Information will be collected through literature review, a survey of DOTs, and follow-up interviews with selected agencies for the development of case examples. Information gaps and suggestions for research to address those gaps will be identified.
Information Sources (Partial):
• NCHRP Scan Team Report for Scan 07-05, Best Practices in Bridge Management Decision-Making (2009). (http://onlinepubs.trb.org/onlinepubs/nchrp/docs/NCHRP20-68A_07-05.pdf
• Utah DOT, Bridge Management Manual (2017). https://drive.google.com/file/d/1Qnl3isRKugZl9kyCFS11GCIPiVfKQNFF/view
• NCHRP Web-Only Document 259, Guidelines to Improve the Quality of Element-Level Bridge Inspection (2019). http://www.trb.org/Main/Blurbs/178842.aspx
• Joint Transportation Research Program FHWA/IN/JTRP-2016/13, Element Level Bridge Inspection: Benefits and Use of Data for Bridge Management. https://docs.lib.purdue.edu/jtrp/1606/
• AASHTO Technical Services Program, Bridge Preservation BMS Working Group survey
Bridge Preservation BMS Working Group:
https://tsp2bridge.pavementpreservation.org/national-working-groups/#Bridge%20Preservation%20BMS%20Working%20Group
AASHTO Technical Services Program: https://tsp2bridge.pavementpreservation.org/
The objectives of this research for NCHRP 02-25 are the following:
1. To produce a roadmap of effective human capit…
Objectives
The objectives of this research for NCHRP 02-25 are the following:
1. To produce a roadmap of effective human capital strategies for state DOTs, identifying critical areas necessary in the future to attract, retain, and develop a sustainable, qualified transportation design, construction, and maintenance workforce;
2. To identify trends, policies, and processes critical for developing and maintaining an adaptive organizational framework that will attract, retain, and develop a qualified workforce beyond 2030; and
3. To prepare an evidence-based guide that transportation industry organizations may use when developing and establishing an effective human capital program for a qualified workforce into 2030 and beyond.
The scope will be limited to the transportation workforce in design, construction, and maintenance.
Attracting, Retaining, and Developing the Transportation Workforce: Design, Construction and Maintenance (NCHRP 02-25)
Estimated Timeframe: Funding: $700000
Objectives
The objectives of this research for NCHRP 02-25 are the following:
1. To produce a roadmap of effective human capital strategies for state DOTs, identifying critical areas necessary in the future to attract, retain, and develop a sustainable, qualified transportation design, construction, and maintenance workforce;
2. To identify trends, policies, and processes critical for developing and maintaining an adaptive organizational framework that will attract, retain, and develop a qualified workforce beyond 2030; and
3. To prepare an evidence-based guide that transportation industry organizations may use when developing and establishing an effective human capital program for a qualified workforce into 2030 and beyond.
The scope will be limited to the transportation workforce in design, construction, and maintenance.
The objective of this synthesis is to document the various technologies used by DOTs to inspect highway infrastructure dur…
Objectives
The objective of this synthesis is to document the various technologies used by DOTs to inspect highway infrastructure during construction and maintenance of assets.
Information to be gathered includes (but is not limited to):
• The technologies used for inspection of new and existing highway infrastructure assets (e.g., geospatial technologies, mobile software applications, nondestructive evaluation, remote sensing and monitoring);
• The different methods used to assess the viability, efficiencies, and return on investment (ROI) of inspection technologies;
• How information from these assessments is being used (e.g., for construction project management, to allocate resources, to determine condition of the asset).
Highway Infrastructure Inspection Practices for the Digital Age
Estimated Timeframe: 9 months Funding: $45000
Background
Highway infrastructure inspection is critical in any transportation system because it ensures conformance with plans, specifications, and material requirements over the lifecycle of the asset. Historically, state departments of transportation (DOTs) have employed on-site workforces to execute infrastructure inspection using traditional inspection methods. With the latest technological advancements, the inspection landscape has been rapidly changing through incorporation of technologies such as Unmanned Aircraft Systems (UAS), embedded and remote sensors, intelligent machines, mobile devices, and new software applications. These technologies can potentially satisfy the need for cost-effective and efficient inspection and monitoring of highway infrastructure (e.g. roadways, bridges, drainage systems, signage).
Objectives
The objective of this synthesis is to document the various technologies used by DOTs to inspect highway infrastructure during construction and maintenance of assets.
Information to be gathered includes (but is not limited to):
• The technologies used for inspection of new and existing highway infrastructure assets (e.g., geospatial technologies, mobile software applications, nondestructive evaluation, remote sensing and monitoring);
• The different methods used to assess the viability, efficiencies, and return on investment (ROI) of inspection technologies;
• How information from these assessments is being used (e.g., for construction project management, to allocate resources, to determine condition of the asset).
Proposed Research Activities
Information will be collected through literature, a survey of DOTs, and follow-up interviews with selected agencies for the development of case examples. Information gaps and suggestions for research to address those gaps will be identified.
Information Sources (Partial):
• Chase, S., Edwards, M. (2011). “Developing a Tele-Robotic Platform for Bridge Inspection.” Virginia Transportation Research Council and Mid-Atlantic University Transportation Centers Program.
• FHWA research on the use of RFID tags to track paving materials (https://www.fhwa.dot.gov/publications/research/infrastructure/pavements/14061/index.c fm)
• Heymsfield, E., and Kuss, M. L. (2014). “Implementing Gigapixel Technology to Highway Bridge Inspections.” Journal of Performance of Constructed Facilities, 10.1061/(ASCE)CF.1943-5509.0000561, 04014074.
• Gibb, S. P. (2018). “Non-destructive Evaluation Sensor Data Processing and Fusion for Automated Inspection of Civil Infrastructure.” MS Thesis.
• La, H. M., Gucunski, N., Dana, K., and Kee, S. (2017). “Development of an Autonomous Bridge Deck Inspection Robotic System.” Journal of Field Robotics, 34(8), 1489–1504. Retrieved from https://onlinelibrary. wiley.com/doi/abs/10.1002/rob.21725, https://doi.org/10.1002/rob. 21725.
• Mulder, G. (2015). “e-Construction,” Iowa Department of Transportation, Presentation on May 27, 2015.
• NCHRP Project 22-33: Multi-State In-Service Performance Evaluations of Roadside Safety Hardware (Research in progress)
• NCHRP Synthesis 545: Electronic Ticketing of Materials for Construction Management
• NCHRP Synthesis 548: Development and Use of As-Builts Plans by State DOTS
• NCHRP Synthesis 20-05/Topic 51-01: Practices for Construction-Ready Digital Terrain Models (Current Synthesis)
• Effective Use of Geospatial Tools in Highway Construction (Publication No. FHWA HIF10-089, October, 2019)
• NCHRP Project 20-68A, Scan 17-01: Successful Approaches for the Use of Unmanned Arial Systems by Surface Transportation Agencies.
The objective of this research is to develop guidance coupled with one or more prototypical, analytical model(s) to suppor…
Objectives
The objective of this research is to develop guidance coupled with one or more prototypical, analytical model(s) to support life-cycle planning and decision-making that applies life-cycle cost analysis as a component of a system-wide transportation asset management program. This guidance and associated analytical model(s) will apply quantitative asset-level, project-level, and network-level inputs to demonstrate methods for calculating life-cycle costs associated with alternative scenarios while taking into account preservation, rehabilitation, replacement, maintenance, and potential risk mitigation actions on a range of highway assets. To the degree possible, costs should reflect condition, risk and uncertainty, mobility, safety, and any other quantifiable aspect of transportation system performance. Although this research is targeted to state DOT highway assets within the overall transportation network, the research should also identify additional research necessary to expand the process to include other modes.
Implementation of Life-Cycle Planning Analysis in a Transportation Asset Management Framework
Estimated Timeframe: 24 months Funding: $500000
Background
State and federal policies are increasingly requiring state departments of transportation (DOTs) and other transportation agencies to implement a transportation asset management (TAM) approach to manage their existing assets. Defined as a strategic and systematic process of operating, maintaining, upgrading, replacing, and expanding physical assets effectively throughout their life cycle, TAM requires an agency to focus on strategic business and engineering practices to allocate resources cost effectively so that assets are maintained in the best condition possible, for the longest duration, at the least practicable cost.
State DOTs and other agencies need better economic analysis tools for assessing cost effectiveness of various maintenance treatments, thus enabling them to manage transportation assets more efficiently at the network level. One such industry-accepted practice and tool used by transportation agencies is project level life-cycle cost analysis (LCCA). LCCA is an engineering-economic analysis technique that allows comparison of the relative merits of competing project implementation alternatives. By considering all of the costs—agency and user—incurred during the service life of an asset, this analytical practice guides decision-makers in selecting of projects and other action alternatives that are the most cost effective over their service life.
A limitation of the traditional LCCA practice is its focus on individual project-level analysis which is not always compatible with network-level analysis requiring a broader focus on long-term maintenance and operation of a set of existing assets. Life cycle planning (LCP), however, is a relatively new concept aimed at providing tools and techniques that state DOTs and other transportation agencies can use to conduct an economic cost analysis for a network of transportation assets to manage them cost-effectively over their project life, covering the time each asset goes into service after construction to the time it is disposed of or retired. LCP can take advantage of asset management system capabilities, which include network-level condition data, by applying an engineering-economic analysis approach to evaluate and compare the cost-effectiveness of maintenance strategies to preserve assets at a desired performance level.
While LCP is in its infancy compared with LCCA, the American Association of State Highway and Transportation Officials (AASHTO), the Federal Highway Administration (FHWA), state governments, and international agencies have all developed analytical methods that can be used to create more robust LCP methods and tools. For example, NCHRP Report 713: Estimating Life Expectancies of Highway Assets, documents various methods for assessing the deterioration and life expectancy of a variety of highway assets, including signs, traffic signals, street lighting, sidewalks, culverts, pavements, and bridges. These methods, which can be used to assign an economic value to agency actions taken to maintain existing assets as well as quantifying, in economic terms, user and non-user stakeholder concerns, are foundational to developing more robust LCP analysis tools and techniques.
LCP could become an integral part of a system for managing assets at the network level to evaluate the economic aspects of various actions more effectively and to build strategies a transportation agency can take to increase project longevity. This research is needed to develop guidance and analytical models to enable state DOTs and other transportation agencies to implement a life cycle planning process applicable to TAM.
Objectives
The objective of this research is to develop guidance coupled with one or more prototypical, analytical model(s) to support life-cycle planning and decision-making that applies life-cycle cost analysis as a component of a system-wide transportation asset management program. This guidance and associated analytical model(s) will apply quantitative asset-level, project-level, and network-level inputs to demonstrate methods for calculating life-cycle costs associated with alternative scenarios while taking into account preservation, rehabilitation, replacement, maintenance, and potential risk mitigation actions on a range of highway assets. To the degree possible, costs should reflect condition, risk and uncertainty, mobility, safety, and any other quantifiable aspect of transportation system performance. Although this research is targeted to state DOT highway assets within the overall transportation network, the research should also identify additional research necessary to expand the process to include other modes.
Proposed Research Activities
In support of the research objective, the guidance documents and analytical model(s) should be formulated to enable assessment of tradeoff decisions, helping decision-makers understand how investment at one point in the asset’s life cycle can affect the whole. In formulating this guidance, the research plan should consider, but not be limited to, the following:
1. How to build on data and performance measures in current use, including capabilities of existing asset management systems;
2. Incorporating a mutually compatible set of quantitative life-cycle planning performance measures and/or underlying assumptions for use in various decision-making scenarios;
3. Accounting for constrained budgets affecting agency and stakeholder performance goals, while minimizing life-cycle costs;
4. Incorporating risk and uncertainty analysis;
5. Assessing how multiple competing objectives affect different asset classes and how these effects relate to the model(s); and
6. Identifying commonly used analysis parameters and the rationale for establishing and using these parameters.
The guidance will serve as the basis for developing a prototypical analytical model. This model, to be developed with open source or other easily accessible software, is meant to be a transparent working application that agencies can use or adapt to serve their own needs. The workplan should also indicate how the research team expects to validate the proposed analytical approach.
The research plan should be divided into two phases, and each phase should be divided into tasks with a detailed description of the work proposed, including interim deliverables.
Phase I
• Develop input to the overall LCP analysis guidance, including the framework for prototypical analytical model(s).
• Prepare an Interim Report that describes work done in the early tasks, including input to the overall guidance supporting the proposed LCP analysis.
• Include an updated work plan for the remaining tasks to be accomplished in Phase II.
NCHRP will meet with the research team at the end of Phase I to review, approve, or modify the Interim Report and the updated scope of work prior to moving on to Phase II. Level of effort in Phase I should not exceed 40% of the overall effort.
Phase II
• Translate the model framework into the prototypical analytical model(s).
• Complete the necessary validation steps along with supporting guidance materials.
Phase II will result in completion of all final documentation.
In addition, the research plan should build in appropriate checkpoints with the NCHRP project panel including, at a minimum, (1) a kick-off teleconference meeting to be held within 1 month of the contract’s execution date; (2) the face-to-face interim deliverable review meeting with the NCHRP project panel to be held at the end of Phase I; and (3) at least two additional web-enabled teleconferences tied to NCHRP review and approval of any other interim deliverables as deemed appropriate.
Final deliverables will include at a minimum: (1) guidance and models (e.g., metrics, tools, and strategies); (2) a final report that documents the entire research effort; (3) a stand-alone summary that outlines the research findings and recommendations; and (4) a presentation aimed at state DOT senior staff and decision-makers that simply and concisely explains why the guide and supporting materials are helpful and how they will be used. Final deliverables will also include a stand-alone technical memorandum entitled, “Implementation of Research Findings and Products.”
Start date: September 2020 End date: February 2022
The objective of this research is to develop a guide for state DOTs and other transportation agencies on incorporating mai…
Objectives
The objective of this research is to develop a guide for state DOTs and other transportation agencies on incorporating maintenance costs in a risk-based TAMP, including but not limited to the following:
1. A detailed presentation of procedures for identifying, collecting, and managing required data;
2. Using life-cycle planning tools and techniques to demonstrate financial requirements and cost-effectiveness of maintenance activities and preservation programs and the potential change in costs and liabilities associated with deferring these actions;
3. Formulating strategies that identify how to invest available funds over the next 10 years (as required by the TAMP) using life-cycle and benefit-cost analyses (and other applicable tools and techniques) to measure tradeoffs between capital and maintenance activities in alternative investment scenarios; and
4. Designing components of a financial plan showing anticipated revenues and planned investments in capital and maintenance costs for the next 10 years.
A Guide for Incorporating Maintenance Costs into a Transportation Asset Management Plan
Estimated Timeframe: 18 months Funding: $350000
Background
The Moving Ahead for Progress in the 21st Century Act (MAP-21) established a performance-based Federal-Aid Highway Program that includes a requirement for state departments of transportation (DOTs) and metropolitan planning organizations (MPOs), and other transportation planning agencies to develop and regularly update a risk-based Transportation Asset Management Plan (TAMP). The TAMP is designed to identify investment and management strategies to improve or preserve asset conditions as well as the performance of the National Highway System (NHS). Although only pavements and bridges on the NHS are required to be included in the TAMP, states are encouraged to include additional assets. At a minimum, the TAMP should include the following:
A summary of NHS pavement and bridge assets, including a description of conditions;
Asset management objectives and performance measures;
Identification of any performance gaps;
A life-cycle cost and risk management analysis; and
A 10-year financial plan and corresponding investment strategies.
While most states are able to capture past and planned expenditures on capital projects, states are finding it challenging to incorporate maintenance costs into their TAMP.
The absence of maintenance cost data in a TAMP must be addressed to capture the full amount of investments being made by states in the transportation system. This issue is especially important as state transportation agencies increase their attention to system preservation, placing greater emphasis on preventive maintenance.
Objectives
The objective of this research is to develop a guide for state DOTs and other transportation agencies on incorporating maintenance costs in a risk-based TAMP, including but not limited to the following:
1. A detailed presentation of procedures for identifying, collecting, and managing required data;
2. Using life-cycle planning tools and techniques to demonstrate financial requirements and cost-effectiveness of maintenance activities and preservation programs and the potential change in costs and liabilities associated with deferring these actions;
3. Formulating strategies that identify how to invest available funds over the next 10 years (as required by the TAMP) using life-cycle and benefit-cost analyses (and other applicable tools and techniques) to measure tradeoffs between capital and maintenance activities in alternative investment scenarios; and
4. Designing components of a financial plan showing anticipated revenues and planned investments in capital and maintenance costs for the next 10 years.
Proposed Research Activities
The research plan should (1) include a kick-off web conference to review the amplified work plan with the NCHRP project panel, convened within 1 month of the contract’s execution; (2) address how the proposer intends to satisfy the project objective; (3) be divided logically into (at least) two phases encompassing specific detailed tasks for each phase that are necessary to fulfill the research objectives, including appropriate milestones and interim deliverables; and (4) incorporate opportunities for the project panel to review, comment on, and approve milestone deliverables. It should also include a review of other related studies in general and NCHRP research studies in particular.
In response to the objective, the research plan should
• Identify and review previous and ongoing NCHRP studies and other research indicative of the state-of-the-art with respect to defining, calculating, and incorporating maintenance costs in asset management plans;
• Review a diverse sample of existing TAMPs and summarize the extent to which maintenance costs are incorporated into the life cycle-cost analysis, risk and uncertainty analysis, and benefit-cost, financial planning and investment strategies; and identify key gaps in how maintenance costs are considered in a TAMP;
• Determine adequacy of available maintenance cost data to support the needs in each TAMP content area and identify what information is needed as a function of asset categories; and
• Develop guidelines to better account for past and planned maintenance costs as states develop their TAMP;
o Consider agencies at various levels of maturity in terms of their maintenance management practices in the guidelines and address special requirements necessary to incorporate assets in addition to pavements and bridges in the TAMP; and
o Consider how to address the impact on future maintenance cost increases from assets brought to the transportation system as a function of new capital improvements.
Phase I
At a minimum, work in Phase I will include the following steps:
1. Review of existing experience and conditions affecting inclusion of maintenance costs in TAMP;
2. Identify the types of assets that will be considered in the analysis in addition to pavement and bridges;
3. With assistance from the NCHRP panel, identify potential DOTs and other transportation agencies as subjects of a set of case studies for developing procedures for, and benefits from, the inclusion of maintenance costs in the TAMP;
4. Carry out the case studies and gather information from selected agencies to identify and evaluate data requirements, availability, opportunities, and constraints; and
5. Create a preliminary framework for the guide to be refined in Phase II, for incorporating maintenance costs in TAMPs, comprising a basic structure identifying tools, techniques, and procedures.
The work accomplished in Phase I will be documented in an interim report that describes the preliminary steps necessary to analyze and understand the process and requirements for incorporating maintenance costs in TAMPs. The NCHRP project panel will meet with the research team at the end of Phase I to review the interim report. NCHRP approval of the interim report is required before proceeding with Phase II.
Phase II
Building on the framework presented in Phase I and input from the NCHRP panel following the interim review, the research team will follow up with the agencies that previously participated in the case studies to refine and expand that preliminary framework, creating a guide for state DOTs and other transportation agencies on how to develop the resources and procedures for incorporating maintenance costs in TAMPs. At a minimum, this guide will include the following:
1. Procedures for identifying, collecting, and managing required data;
2. How to use life-cycle planning tools and techniques to demonstrate financial requirements and cost-effectiveness of maintenance activities and preservation programs and the potential change in costs and liabilities associated with deferring these actions;
3. Strategies that identify how to invest available funds over the next 10 years (as required by the TAMP) using life-cycle and benefit-cost analyses (and other applicable tools and techniques) to measure tradeoffs between capital and maintenance activities in alternative investment scenarios; and
4. Components of a financial plan showing anticipated revenues and planned investments in capital and maintenance costs for the next 10 years.
Final deliverables of Phase II will include at a minimum:
• A detailed guide for state DOTs and other transportation agencies on requirements for incorporating maintenance costs in TAMPs, defining critical steps necessary to acquire resources and necessary data, and to implement new procedures;
• A contractor’s final report that documents the entire research effort. This report should also include recommendations for additional validation in diverse settings, research on applicable procedures, data collection, analytical methods, and tools;
• A stand-alone executive summary that outlines the findings and recommendations;
• Communication material aimed at state DOTs and other transportation agencies that explains the benefits of using the guide and the potential return on investment in expanding the TAMP to include maintenance costs; and
• A stand-alone technical memorandum entitled, “Implementation of Research Findings and Products” (See Special Note B).
The research plan should build in appropriate checkpoints with the NCHRP project panel including, at a minimum, (1) a kick-off teleconference meeting to be held within 1 month of the contract’s execution date; (2) the face-to-face interim deliverable review meeting to be held at the end of Phase I; and (3) at least two additional web-enabled teleconferences tied to NCHRP review and approval of any other interim deliverables as deemed appropriate.
The objective of this research is to provide a scoping study for a transportation framework for all-hazards risk and resil…
Objectives
The objective of this research is to provide a scoping study for a transportation framework for all-hazards risk and resilience analysis of transportation assets. The scoping study must accomplish the following objectives:
1. Develop a comprehensive and consistent set of risk- and resilience-related terminology for transportation agency use; and
2. Provide a research roadmap for developing a framework for a quantitative all-hazards risk and resilience analysis of transportation assets, with its associated tools, and guidance on its application.
Accomplishment of the project objective(s) will require at least the following four tasks.
Scoping Study to Develop the Basis for a Highway Standard to Conduct an All-Hazards Risk and Resilience Analysis
Estimated Timeframe: 18 months Funding: $250000
Background
Risk-informed asset management and an understanding of system resilience are two relatively new concepts within the transportation industry. Transportation agencies often use all-hazards risk and resilience analyses to make decisions about enhancing system resilience. The Federal Emergency Management Administration defines "all-hazards" as “Natural, technological, or human-caused incidents that warrant action to protect life, property, environment, and public health or safety…” (https://training.fema.gov/programs/emischool/el361toolkit/glossary.htm). To conduct all-hazards risk and resiliency analyses for transportation assets, a transportation agency must:
• Know assets’ locations and their criticality for service delivery;
• Understand potential natural and man-made threats and associated likelihoods affecting assets;
• Be able to quantify the potential consequences from applicable threats to assets while adequately addressing the considerable uncertainty in those consequences; and
• Understand the link between risk and resilience.
In 2006, the American Society of Mechanical Engineers published Risk Analysis and Management for Critical Infrastructure Protection (RAMCAP), an all-hazards approach to critical infrastructure risk assessment. The initial document focused on terrorist activities but has since expanded into analysis of natural hazards such as extreme weather, seismic events, and changing environmental conditions, given the increased activity from such threats in recent years. RAMCAP identifies transportation as a critical sector, along with industries such as banking, oil/gas, electricity, water/wastewater, and nuclear energy. To date, several industries, including the water/wastewater sector, have developed an industry-specific standard for risk assessment. By demonstrating an active approach to risk assessment and management developed and approved by professionals within the water/wastewater sector, those agencies have seen improvements in bond ratings and reductions in insurance premiums. While RAMCAP provides a generic approach to critical infrastructure risk assessment, it does not provide specific information on asset performance under applicable threats for any one critical sector.
Through pilot studies, state departments of transportation (DOTs) have applied RAMCAP and similar guidance to risk and resilience analysis in their states. FHWA’s Vulnerability Assessment and Adaptation Framework (FHWA-HEP-18-020), for example, is guidance based on significant pilot studies in a large number of states. Four key lessons from the state DOT pilot studies include:
1. Though some research studies have been published on transportation asset performance under physical threats, this information is scattered across many published articles dating back to the 1960s and has not been compiled in a user-friendly format.
2. State agencies see the need for a common language for risk and resilience practitioners to facilitate adoption and implementation of consistent and effective risk management and resilience practices.
3. A simple industry framework is needed to support compilation of information for risk-based analysis of transportation assets, to reduce the burden on state DOTs and metropolitan planning organizations by clarifying the bases for quantifying annual risk and ensuring system resilience:
• Threat probabilities by type of hazard and by geographic location;
• Asset vulnerability to each applicable threat, appropriately considering asset resilience; and
• Quantitative anticipated consequences from each applicable threat to each asset, appropriately considering the significant uncertainties in those consequences.
4. Agencies prefer not to be constrained by proprietary solutions for all-hazards risk and resilience analyses but have the flexibility to implement open-source, repeatable methodologies. Inputs for these analyses should be derived from data readily available to agencies or other users.
The AASHTO Committee on Transportation System Security and Resilience and the Subcommittees on Risk Management and Asset Management have, collectively, identified the need for a transportation-specific framework that responsible agencies can use in conducting their own all-hazards risk and resilience analyses to facilitate enterprise-wide transportation decision-making. Research is needed to develop this framework and provide guidance on its use.
Objectives
The objective of this research is to provide a scoping study for a transportation framework for all-hazards risk and resilience analysis of transportation assets. The scoping study must accomplish the following objectives:
1. Develop a comprehensive and consistent set of risk- and resilience-related terminology for transportation agency use; and
2. Provide a research roadmap for developing a framework for a quantitative all-hazards risk and resilience analysis of transportation assets, with its associated tools, and guidance on its application.
Accomplishment of the project objective(s) will require at least the following four tasks.
Proposed Research Activities
Task 1. Conduct preliminary work for roadmap development. Some preliminary work must be conducted before guidance on roadmap development can be sought (see Task 2) and the roadmap can be designed (see Task 3). This groundwork has two parts, which shall be done concurrently.
Task 1a. Develop a risk- and resilience-related glossary of terms. Transportation agencies may use this glossary as a common reference for future research on this topic. To develop the glossary, the terminology presented in NCHRP_Synthesis_527: Resilience in Transportation Planning, Engineering, Management, Policy, and Administration, should be reviewed, with the prospect of making the terminology more broadly actionable. At minimum, the following items should be considered for the glossary development:
Nature and extent of risk faced by state DOTs, including ways of characterizing risk both qualitatively and quantitatively;
Terminology adopted by risk standards organizations;
Risk and resilience terminology already in use in the transportation industry; and
Terminology already adopted and standardized within technical disciplines that support the transportation industry.
Where it is not feasible to propose a single characterization or definition, the glossary will enable translation across disciplines, and it shall include a quick reference matrix or table to help users understand how terms are used in different contexts or guidance.
Task 1b. Conduct a state-of-practice review. This review will summarize current, leading practices, including but not limited to the following:
Identifying critical transportation assets;
Estimating vulnerability to various threats or hazards;
Assessing consequences from damage and loss of functionality;
Developing recovery strategies to enable assessment of risk and system resilience, including RAMCAP and other relevant work; and
Incorporating cybersecurity and other emerging threats associated with evolution of transportation technology.
NCHRP must approve the glossary of terms (Task 1a) and state-of-practice review (Task 1b) products before work on Task 2 may begin.
Task 2. Engage the transportation industry for roadmap development guidance. To obtain broad industry input on roadmap development, the research team should explore, at a minimum, the following engagement options:
Relevant AASHTO and other industry meetings, including those of the Committee on Transportation System Security and Resilience (CTSSR) and the Subcommittees on Risk Management and Asset Management; and
Conducting a webinar for AASHTO committee and subcommittee members and other interested parties presenting an executive-level summary and forum to discuss pertinent frameworks and how they relate to the proposed effort for transportation.
Task 2 shall include the following milestones:
Submittal of a technical memorandum summarizing results from Tasks 1 and 2.
Presentation of the memorandum at an interim meeting with the project panel in Washington, D.C. The memorandum shall include multiple proposed approaches for designing the roadmap.
Approval of the memorandum by NCHRP before proceeding with Task 3.
Task 3. Design research roadmap and develop research problem statements.
Task 3a. Design research roadmap to develop the quantitative all-hazards framework. The roadmap design should recognize that the framework would ultimately include associated tools and application guidance.
Outline work groups composed of AASHTO committee members and possibly non-AASHTO experts who will guide and validate the roadmap; and
Conduct invitational, multi-day workshop for up to 20 key personnel to validate the roadmap, preferably in conjunction with another AASHTO meeting.
Task 3b. Develop associated problem statement(s) for research supporting the roadmap. The research problem statement(s) will focus on developing the framework and its associated tools and application guidance. NCHRP will provide a template for the problem statement(s).
The Task 3 products will include (1) a validated roadmap document that includes the findings of Tasks 1-2; and (2) research problem statements. NCHRP approval of both of these products is required before their use in Task 4.
Task 4. Final report preparation. The roadmap document developed and validated in Tasks 1-3 shall be combined with the research problem statement(s) developed in Task 3 to constitute the final project report.
The objective of this research is to develop a guide for the formulation of long-range plans and budgets for replacement o…
Objectives
The objective of this research is to develop a guide for the formulation of long-range plans and budgets for replacement of highway operations equipment. The guide shall include processes and tools for consideration in making investment decisions. For the purpose of this research, long-range is defined as 20-25 years.
Guide for the Formulation of Long-Range Plans and Budgets for Replacement of Highway Operations Equipment
Estimated Timeframe: Funding: $324998
Background
State highway agency equipment fleet assets are vital to the delivery of agency programs, projects, and services. These fleets represent a significant capital investment and require recurring maintenance, operational expenditures, and timely replacement to achieve the desired level of performance, reliability, and economy. A variety of practices have been used by state departments of transportation (state DOTs) agencies for making investment decisions for highway operation equipment. However, there is no widely accepted process for determining the long-range needs and budgets.
There is a need to identify current practices, review relevant information, and develop rational processes that will provide state DOTs a realistic means for making investment decisions. A guide for formulating the long-range plans for replacement needs and budgets of highway operations equipment can then be prepared to facilitate use of these processes. Such a guide will help highway equipment managers and administrators in making decisions regarding replacement needs and budgets. NCHRP Research Report 879: Optimal Replacement Cycles of Highway Operations Equipment (http://www.trb.org/Publications/Blurbs/177263.aspx) contains guidance on the processes and tools that should be considered in making decisions regarding the optimal replacement cycles of on- and off-road highway operations equipment used by state DOTs; these can be useful for this research.
Recent work completed under NCHRP Project 13-06, “Guide for the Formulation of Long-Range Plans for Replacement Needs and Budget of Highway Operations Equipment” (http://onlinepubs.trb.org/onlinepubs/nchrp/docs/NCHRP13-06_RevisedInterimReport.pdf), provided a review of some of the issues related to the formulation of long-range plans and budgets for replacement of highway operations equipment and proposed a preliminary research plan for developing related guidance (see Special Note B). However, additional research is needed to further define and address the issues associated with the formulation of long-range plans and budgets for replacement of highway operations equipment and develop the needed guidance.
Objectives
The objective of this research is to develop a guide for the formulation of long-range plans and budgets for replacement of highway operations equipment. The guide shall include processes and tools for consideration in making investment decisions. For the purpose of this research, long-range is defined as 20-25 years.
Proposed Research Activities
Accomplishment of the project objective will require at least the following phases.
Phase I—Planning: Prepare and submit, no later than 4 months after the contract award, Interim Report 1 that documents (1) the factors contributing to the formulation of long-range plans for replacement needs and budgets of highway operations equipment, and the practices and processes that merit further consideration or improvement in this research, and discuss their deficiencies; (2) an assessment of the relevance of the identified factors to the formulation of long-range plans for replacement needs and budgets of highway operations equipment, and the factors that should be used in the processes for formulating such plans; (3) a proposed research plan, to be executed in Phase II, to (a) develop rational processes and tools, based on computational models for formulating long-range plans and budgets for replacement of highway operations equipment; (b) present case examples to illustrate use of the proposed processes and tools; and (c) develop a detailed outline of the guide.
Phase II—Development of Processes, Tools, and Illustrative Examples: Execute the plan approved in Phase I. Based on the results of this work, prepare and submit Interim Report 2 that (1) documents proposed processes and tools for formulating long-range plans and budgets for replacement needs of highway operations equipment; (2) presents case examples or hypothetical scenarios to (a) illustrate use of the proposed processes and tools for all equipment classes and (b) show how these processes and tools may be used for making specific replacement and investment decisions; and (3) presents a detailed outline of the guide.
Phase III—Development of Guide and Tools: Prepare the guide for formulating long-range plans and budgets for replacement of highway operations equipment, associated tool, and a user manual to facilitate use of the guide and tool.
Phase IV—Final Deliverables: Prepare and submit, no later than 18 months after the contract award, draft final deliverables. Deliverables will include (1) a research report documenting the work performed in the project and used to develop the guide and associated tool; (2) the guide for formulating long-range plans for replacement needs and budgets of highway operations equipment; (3) user manual for the guide and tool; (4) illustrative examples; and (5) the tool in an electronic format.
The objectives of this project are to (a) document (beyond anecdotal discussions alone) concerns, issues and challenges DO…
Objectives
The objectives of this project are to (a) document (beyond anecdotal discussions alone) concerns, issues and challenges DOTs and other government agencies have encountered in implementing federal transportation performance management (TPM) regulations; and (b) provide a framework for more systematic assessment of the costs associated with implementation.
Performance Management Implementation Concerns, Issues and Challenges
Estimated Timeframe: Funding: $225000
Background
After more than a decade of steady progress, transportation agencies have reached a critical moment in advancing TPM practice. Federal performance management regulations initiated by the Moving Ahead for Progress in the 21st Century Act (MAP-21) established a new paradigm of nationally-coordinated performance measurement, target setting, and reporting across a range of domains including safety, asset management, multimodal mobility and air quality, and transit. State departments of transportation (DOTs), metropolitan planning organizations (MPOs), and transit agencies have responded – meeting the challenge by prioritizing advancement in areas including data collection, measure calculation, target setting, coordination and communication, and performance-based planning.
These advances have required significant investment on the part of state DOTs and other transportation agencies. Organizations including the Federal Highway Administration (FHWA), the American Association of Transportation Officials (AASHTO), and the Transportation Research Board (TRB) have also worked extensively to assist agencies in implementation: fostering the dissemination and adoption of successful practices, promoting performance management concepts, and helping develop improved tools and approaches. Yet practitioners also recognize that performance management implementation is a process of continuous improvement and many real issues and challenges remain to be resolved.
Objectives
The objectives of this project are to (a) document (beyond anecdotal discussions alone) concerns, issues and challenges DOTs and other government agencies have encountered in implementing federal transportation performance management (TPM) regulations; and (b) provide a framework for more systematic assessment of the costs associated with implementation.
Proposed Research Activities
The research should build on previous research by NCHRP and others to characterize at least the following components of these concerns, issues and challenges:
• Prioritized list of concerns, issues and challenges encountered
• Explanation and discussion of each concern, issue, or challenge
• Specific examples of each concern, issue, or challenge as experienced by DOTs, MPOs, or others
• Realistic proposals of how concerns, issues and challenges may be addressed, ameliorated, or eliminated, for example through staff training, provision of guidance or other technical resources, or revisions to regulations
• Proposed framework for data collection and analysis that agencies may use to develop estimates of their implementation levels of effort
• Possible next steps and action items to be undertaken by various stakeholders to address concerns, issues and challenges.
The objectives of this research are to (1) estimate the current and future effect of dynamic CAV technologies on roadway a…
Objectives
The objectives of this research are to (1) estimate the current and future effect of dynamic CAV technologies on roadway and TSMO asset maintenance programs; (2) develop guidance on existing and proposed measureable standards associated with roadway and TSMO asset maintenance for preventive, reactive, and emerging maintenance needs; and (3) identify the associated resource and workforce development needs.
Determining the Impact of Connected and Automated Vehicle Technology on State DOT Maintenance Programs
Estimated Timeframe: Funding: $300000
Background
Connected and Automated Vehicle (CAV) technology is progressing rapidly. Numerous research and deployment initiatives are underway as the transportation industry continues to examine how roadway assets such as traffic control signs, markings, signals, guardrail, computing systems, communications infrastructure and systems, and other permanent and temporary ancillary devices can be designed or enhanced to facilitate CAV operations. With the diffusion of CAV technologies, effects on state transportation agency maintenance programs—which have constrained budgets and workforces—need to be examined to ensure that transportation agencies are prepared for the challenges of CAV implementation while maintaining the existing roadway system and its ancillary roadway assets at an acceptable level of service. Research is needed to (1) explore the effect of CAV technologies on roadway and Transportation Systems Management and Operations (TSMO) asset maintenance programs, and (2) develop guidance on measureable standards and resource implications.
Objectives
The objectives of this research are to (1) estimate the current and future effect of dynamic CAV technologies on roadway and TSMO asset maintenance programs; (2) develop guidance on existing and proposed measureable standards associated with roadway and TSMO asset maintenance for preventive, reactive, and emerging maintenance needs; and (3) identify the associated resource and workforce development needs.
The objective of this research is to develop a guide for state DOTs and other transportation planning agencies to understa…
Objectives
The objective of this research is to develop a guide for state DOTs and other transportation planning agencies to understand, predict, plan for, and adapt to the potential impacts of emerging disruptive technologies. In preparing this guide, the research should identify issues, effects, and opportunities at the intersection of disruptive transportation technologies and organizational performance for senior managers at state DOTs and other transportation planning agencies; and it should include but not be limited to the following components:
· Categories of technology disruptors, such as big data, expanding digitization, vehicle and infrastructure technologies, mobility as a service, the sharing economy, mobility of people and goods, alternative travel modes, and communication technologies;
· New business opportunities or partnerships and collaboration models involving the private and public sectors, as well as impacts on how agencies execute planning and prioritize investments, implement, maintain, manage and operate the transportation system;
· Roles and responsibilities of federal, state, regional, and local agencies in evaluating, approving, regulating, enforcing, and managing new ways of moving people and goods; and
· Improving overall customer service, including effects on the transportation system’s ability to provide improved access and mobility for all users.
The target audience for this research is practitioners as well as decision-makers at state DOTs and their transportation partner organizations.
Emerging Issues: Impact of New Disruptive Technologies on the Performance of DOTs
Estimated Timeframe: 23 months Funding: $250000
Background
The arrival of the 4th Industrial Revolution and the rapid development and fusion of multiple disruptive and innovative technologies are changing the behavior and the expectations of customers and stakeholders—not only in the United States, but all over the world. The deployment of these technologies—artificial intelligence, big data and digitization, the Internet of Things (IoT), wireless technologies (5G/6G), connected and autonomous vehicle (CAV) technologies, on-demand ride sharing services, Mobility as a Service (MaaS), the sharing economy, and others—is bringing a revolution that will fundamentally alter the way we live, work, relate to one another, and do business. In its scale, scope, and complexity, the transformation is moving at a pace at which governmental entities are not readily prepared.
Mobility is also transforming rapidly as new technologies disrupt traditional ways people and goods move throughout the transportation systems. The rapid deployment of mobile internet is upending the traditional approaches with new customer-centric business models based on the sharing economy such as car hailing, bike sharing, scooter sharing, time sharing, customized shuttle bus, parking sharing, etc. While the new business models bring more conveniences and efficiencies to the users and to the national and local economies, they are also creating new challenges and needs that state departments of transportation (DOTs) and other transportation agencies must grapple with as decision-makers. As technology previously foreign to transportation rapidly affects traditional ways of doing business, organizational structure and performance is affected across all modes and aspects of transportation. Institutional processes or procedures may be retooled or adjusted to accommodate updated or more effective methods to improve performance outcomes. These processes or procedures are necessary to help those agencies struggling to define meaningful performance measures, such as managing data collection, maintaining accountability, and streamlining reporting.
Objectives
The objective of this research is to develop a guide for state DOTs and other transportation planning agencies to understand, predict, plan for, and adapt to the potential impacts of emerging disruptive technologies. In preparing this guide, the research should identify issues, effects, and opportunities at the intersection of disruptive transportation technologies and organizational performance for senior managers at state DOTs and other transportation planning agencies; and it should include but not be limited to the following components:
· Categories of technology disruptors, such as big data, expanding digitization, vehicle and infrastructure technologies, mobility as a service, the sharing economy, mobility of people and goods, alternative travel modes, and communication technologies;
· New business opportunities or partnerships and collaboration models involving the private and public sectors, as well as impacts on how agencies execute planning and prioritize investments, implement, maintain, manage and operate the transportation system;
· Roles and responsibilities of federal, state, regional, and local agencies in evaluating, approving, regulating, enforcing, and managing new ways of moving people and goods; and
· Improving overall customer service, including effects on the transportation system’s ability to provide improved access and mobility for all users.
The target audience for this research is practitioners as well as decision-makers at state DOTs and their transportation partner organizations.
Proposed Research Activities
The research plan should (1) include a kick-off web conference to review the amplified work plan with the NCHRP project panel, convened within 1 month of the contract’s execution; (2) address how the proposer intends to satisfy the project objectives; (3) be divided logically into two phases encompassing specific detailed tasks for each phase that are necessary to fulfill the research objective, including appropriate milestones and interim deliverables; and (4) incorporate opportunities for the project panel to review, comment on, and approve milestone deliverables. The resulting guide should address methods, procedures, tools, and techniques for improving organizational performance in the context of disruptive technologies. At a minimum, it should address potential effects on organizational structure and performance in terms of safety and mobility, planning, programming, asset management, investment strategies, and overall operations. Where possible, proactive and innovative practices and strategies should be identified, including a review of relevant experience outside of the United States.
The objective of this research is to develop and disseminate a practitioner-ready guidebook for state DOTs that is focused…
Objectives
The objective of this research is to develop and disseminate a practitioner-ready guidebook for state DOTs that is focused on methods for the target-setting component of transportation performance management. The guidebook will provide information on selecting effective methods that use both qualitative and quantitative sources to establish performance targets. The guidebook will also address how to re-evaluate targets, taking into account unforeseen changes impacting the transportation system, performance data, and performance reporting requirements.
Effective Methods for Setting Transportation Performance Targets
Estimated Timeframe: 27 months Funding: $500000
Background
In 2012, the Moving Ahead for Progress in the 21st Century Act (MAP-21) established national performance management requirements for state departments of transportation (DOTs). Successive legislation, regulation, and guidance have reinforced these requirements in the Transportation Performance Management (TPM) framework, with its seven national performance goals and related performance measures within three measure areas: safety (PM1); pavement and bridge condition (PM2); and travel time reliability, congestion, and emissions (PM3). State DOTs are required to establish performance targets for each performance measure and to regularly report on progress towards meeting those targets. In addition, some states have developed additional, non-TPM measures and targets to manage their safety, asset management, system performance, and other program areas.
Performance targets can be established using quantitative or qualitative methods, or some combination of both methods. For example, a quantitative method could use historical data to project a trend line. A qualitative method may establish a target based on factors such as agency leadership priorities. An example of a combined approach is adjusting trend data for fatalities and serious injuries with stakeholder perspectives to establish a Vision Zero safety target. Combined approaches can also be risk-based; a state DOT may adjust projections to account for funding scenarios or uncertainty in the capacity of the state DOT and/or partner agencies to deliver the planned program. Additionally, some targets may be defined by state statute. Any of these methods can result in a target that reflects a desired outcome and allows for ongoing evaluation of progress towards attaining the target using performance-based decision making and performance reporting.
However, establishing targets presents a number of challenges. Reliance on historical trend data can result in a target that cannot account for unforeseen events, such as severe weather that significantly increases winter maintenance costs or macroeconomic factors that affect transportation funding. These events require a state DOT to adjust their program, reallocating resources in ways that can affect progress towards a target. Some challenges are more technical in nature. For example, state DOT understanding and interpretation of federal guidance on calculation procedures has periodically changed, such as how to round calculated values or how to handle overlapping Traffic Management Channel (TMC) segments or segments that are only partly on the National Highway System (NHS). These changes in calculation methods can shift trends or targets that were established using prior calculation methods.
In 2010, NCHRP Report 666: Target-Setting Methods and Data Management to Support Performance-Based Resource Allocation by Transportation Agencies (available at http://www.trb.org/Publications/Blurbs/164178.aspx) describes steps for state DOTs to establish performance targets and documented quantitative and qualitative approaches used by state DOTs to establish targets. Since that publication, state DOTs, the Federal Highway Administration (FHWA), Metropolitan Planning Organizations (MPOs), and local governments have gained experience in target setting in connection with the first round of TPM requirements. As part of the ongoing evolution of transportation performance management, state DOTs are required to re-evaluate performance targets and provide a Mid Performance Period Progress Report to FHWA in October 2020 that documents performance towards targets and any revisions to targets.
Research is needed to improve the practice of target setting by developing more effective yet practical methods for state DOTs to establish and/or re-evaluate performance targets, strengthening state DOT capacity to use performance management to make better decisions in transportation planning and programming.
Objectives
The objective of this research is to develop and disseminate a practitioner-ready guidebook for state DOTs that is focused on methods for the target-setting component of transportation performance management. The guidebook will provide information on selecting effective methods that use both qualitative and quantitative sources to establish performance targets. The guidebook will also address how to re-evaluate targets, taking into account unforeseen changes impacting the transportation system, performance data, and performance reporting requirements.
The objective of this research is to develop resources for state DOTs and other transportation organizations to help them …
Objectives
The objective of this research is to develop resources for state DOTs and other transportation organizations to help them explain the value of investing in resilience throughout the life cycle of planning, engineering, design, operations, construction, and maintenance activities.
The resources should provide tools for state DOTs to (1) build the business case for investing in resilience strategies and (2) develop communication strategies to make the public and stakeholders aware of the importance of resilience as part of the state DOT's overall mission. This project should consider the diversity of resiliency issues among state DOTs and agencies.
Accomplishment of the project objective will require at least the following tasks.
Business Case and Communications Strategies for State DOT Resilience Efforts
Estimated Timeframe: Funding: $350000
Background
Significant research has been conducted on many different aspects of system resilience and security, but research is lacking on the topics of (1) how state transportation officials can make a business case for investing in resilience strategies and (2) resilience-oriented communications strategies. Communications strategies are central to successful balloting of state and local funding initiatives. This project is focused on both the "hard" technical business cases and the arguably "harder" communications strategies applicable to the general public as well as governors, legislators, staff and leadership at state departments of transportation (DOTs), and regional transportation planning organizations.
The 2015 Fixing America’s Surface Transportation (FAST) Act (Pub. L. No. 114-94) included several requirements for transportation agencies that reflected an increasing concern for system and operational resilience and security. For example, statewide and metropolitan transportation planning processes were to consider projects/strategies to improve the resilience and reliability of the transportation system. It continued all prior National Highway Performance Program (NHPP) eligibilities and added (among four new eligible categories) one for projects to reduce the risk of failure of critical NHS infrastructure (defined to mean a facility, the incapacity or failure of which would have a debilitating impact in certain specified areas). The FAST Act keeps in place a resilience provision introduced in the 2012 Moving Ahead for Progress in the 21st Century Act (MAP-21), which required state DOTs to develop risk-based asset management plans.
State DOTs are addressing resilience issues in concert with local and regional organizations, including governments, planning organizations, non-profits, and the business community. In order to identify effective business case and communications strategies for state DOT resilience efforts, it is key to acknowledge the different demographics, infrastructure, and resource capabilities of each state DOT and agency, as well as the differing resilience opportunities and challenges they face. In addition, some state DOTs and local and regional transportation agencies have begun and achieved robust resilience activities. It is apparent that system resilience is becoming an ever more important concern for transportation officials at all levels of government.
Objectives
The objective of this research is to develop resources for state DOTs and other transportation organizations to help them explain the value of investing in resilience throughout the life cycle of planning, engineering, design, operations, construction, and maintenance activities.
The resources should provide tools for state DOTs to (1) build the business case for investing in resilience strategies and (2) develop communication strategies to make the public and stakeholders aware of the importance of resilience as part of the state DOT's overall mission. This project should consider the diversity of resiliency issues among state DOTs and agencies.
Accomplishment of the project objective will require at least the following tasks.
Proposed Research Activities
Phase I
Task 1. Literature review. Review relevant practice, performance data, research findings, and other information related to (a) building a business case for resilience and (b) resilience communications strategies. Include a broad spectrum of industries and resources; legal and regulatory justifications; social and economic losses associated with disruptions; international and other levels of cross-border planning. See Special Note F.
Task 2. Employing quantitative and/or qualitative research methods, review current resilience business case examples and communications strategies. Measuring performance of communications efforts—especially as it relates to public and internal agency support for resilience initiatives—is of particular interest. Include common obstacles and how they are overcome. Ensure that a full range of diverse disruptions is represented, and at least includes those caused by various shocks and stressors, such as natural, societal, technological, and human-caused. Include unpublished information such as after action reports from state DOTs.
Note: If proposed, survey/interview instruments and sampling plans shall be submitted for NCHRP review and approval prior to use.
Task 3. Based on what was learned in Task 1 and Task 2, develop a revised work plan to support the development of project deliverables in Phase II (i.e., case studies and tools).
Task 4. Prepare an interim report on the findings and conclusions of Tasks 1 through 3. The interim report should include draft tables of contents for products that will be developed in Phase II and detailed plans for Task 5 and Task 6. The research plan shall provide a 2-month period for review and approval of the interim report. An interim meeting of the project panel to discuss the interim report with the research agency will be required.
Note: For budget purposes, to allow for the possibility of an in-person meeting, assume NCHRP will be responsible for the cost of panel member travel and will provide the meeting facility. The interim meeting may be held virtually or in a blended in-person/remote format. For the interim meeting, provide a PowerPoint presentation suitable, upon revision, for posting on the NCHRP project web page. The research agency shall not begin work on the remaining tasks without NCHRP approval.
Phase II
Task 5. Based on the approved Phase II work plan, prepare no fewer than 6 diverse case studies of how agencies have (a) developed business cases for resilience and (b) planned and executed communication strategies for resilience programs. Case studies should cover communications tailored for various internal and external stakeholders such as
• Governors
• Legislators
• Policymakers
• Local communities
• General public
• State DOT leadership
• State DOT staff
• Regional transportation planning organizations such as Metropolitan Planning Organizations (MPOs) and Rural Planning Organizations (RPOs)
Task 6. Prepare tools for state DOTs and other transportation organizations to explain the value of investing in resilience throughout the life cycle of a DOT’s planning, engineering, design, operations, construction, and maintenance activities. The tools should support agencies as they (1) build the business case for investing in resilience strategies and (2) develop communication strategies to make the public and stakeholders aware of the importance of resilience as part of a state DOT’s mission. Also prepare a final report documenting the research and a 2-page executive summary.
Tools for use by the primary audiences should include (a) “resilience communications plan in-a-box”; (b) “business case in-a-box”; and (c) Task 5 case studies.
The objectives of this research are to (1) develop guidelines for the applications of RFID and wireless technologies for h…
Objectives
The objectives of this research are to (1) develop guidelines for the applications of RFID and wireless technologies for highway construction and infrastructure asset management and (2) plan and conduct a workshop to introduce the proposed guidelines to an audience of DOT staff and other stakeholders. At the minimum, the research shall include readiness assessment of RFID and wireless technologies for different applications and implementation requirements.
Guidelines for Applications of RFID and Wireless Technologies in Highway Construction and Asset Management
Estimated Timeframe: 30 months Funding: $370000
Background
Advancement in sensing and transmitting technologies such as radio-frequency identification (RFID), barcodes, e-ticketing, global positioning systems, and other associated technologies has significantly improved wireless transmission. Projects where such devices were used reported beneficial outcomes through improved resource and quality management. The wireless transmission technology enables sensing, counting, measuring, documenting, identifying, locating, tracking, and transmitting information in real time. These features can significantly improve construction project and infrastructure asset management. However, the beneficial outcomes have not attracted the highway construction industry to adopt it to its fullest potential
There are significant gaps between the capability of existing wireless transmission technologies and their implementation. Therefore, there is a need to provide guidelines for state departments of transportation (DOTs) to select the appropriate technology for a specific application for highway construction and infrastructure asset management
Objectives
The objectives of this research are to (1) develop guidelines for the applications of RFID and wireless technologies for highway construction and infrastructure asset management and (2) plan and conduct a workshop to introduce the proposed guidelines to an audience of DOT staff and other stakeholders. At the minimum, the research shall include readiness assessment of RFID and wireless technologies for different applications and implementation requirements.
Proposed Research Activities
PHASE I—Planning
Task 1. Conduct a literature review of relevant research and current state of practice related to RFID and wireless technologies for highway construction and infrastructure asset management. The review shall include published and unpublished research conducted through the NCHRP; FHWA; and other national, international, state, and pooled-fund sponsored research.
Task 2. Conduct a survey of DOTs to identify RFID and wireless technologies currently used for highway construction and infrastructure asset management. Collect data needed to achieve the research objective with consideration of the maturity of applications of RFID and wireless technologies. The survey shall be reviewed and approved by NCHRP before distribution.
Task 3. Synthesize the results of Tasks 1 and 2 to identify the knowledge gaps for the applications of RFID and wireless technologies. These gaps should be addressed in this research or in the recommended future research as budget permits.
Task 4. Propose a methodology for readiness assessment of RFID and wireless technologies for highway construction and infrastructure asset management to be fully developed in Phase II.
At a minimum, the methodology shall address the following:
Identify potential applications of RFID and wireless technologies (e.g., material tracking, construction managements, asset inventory tags, quality monitoring, and work zone safety);
Identify the advantages and disadvantages of RFID and wireless technologies for each application;
Evaluate the readiness of the identified technologies to be implemented by DOTs; and
Identify the requirements for implementing the technologies including IT infrastructure and security, organization structure and workflow, and training.
Task 5. Propose a preliminary outline for the guidelines based on the proposed methodology.
Task 6. Prepare Interim Report No. 1 that documents Tasks 1 through 5 and provides an updated work plan for the remainder of the research. This report must be submitted to NCHRP no later than 4 months after contract execution. The updated work plan must describe the process and rationale for the work proposed for Phases II though IV.
Note: Following a 1-month review of Interim Report No. 1 by the NCHRP, the research team will be required to meet in person with the NCHRP project panel to discuss the interim report. Work on Phases II though IV of the project will not begin until authorized by the NCHRP. Phase I shall be limited to $40,000.
PHASE II—Methodology Development
Task 7. Develop the methodology according to the approved Interim Report No.1.
Task 8. Develop examples to demonstrate the developed methodology. The selection of the examples should include at a minimum the identified technologies and applications in Phase I.
Task 9. Provide a detailed description of every chapter and section of the proposed guidelines and complete a sample chapter of the proposed guidelines selected by NCHRP. This chapter should be publication-ready.
Task 10. Prepare Interim Report No. 2 that documents the results of Tasks 7 through 9 and provides an updated work plan for the remainder of the project. This report is due no later than 8 months after approval of Phase I. The updated plan must describe the work proposed for Phases III and IV.
Note: Following a 1-month review of Interim Report No. 2 by the NCHRP, the research team will be required to meet in person with the NCHRP project panel to discuss the interim report, if necessary. Work on Phases III and IV of the project will not begin until authorized by the NCHRP. Phase II shall be limited to $100,000.
PHASE III—Guidelines Development
Task 11. Develop the guidelines according to the approved Interim Report No. 2.
Task 12. After NCHRP approval of the draft guidelines, plan and conduct workshop with 20 representatives of owners and other stakeholders to review the draft guidelines and implementation plan. Revise the draft guidebook according to the outcomes of the workshop. The invited representatives shall be approved by NCHRP.
Note: The costs for the workshop, including invitational travel for 20 attendees, should be included in the detailed budget for the research. For the purpose of estimating these costs, assume that the workshop will be held at the Beckman Center in Irvine, CA. NCHRP will cover costs associated with hosting the workshop at the Beckman Center as well as NCHRP panel member travel.
Task 13. Prepare Interim Report No. 3 that documents the results of Tasks 11 and 12 no later than 9 months after approval of Phase II. The updated work plan must describe the work proposed for Phase IV.
Note: Following a 1-month review of Interim Report No. 3 by the NCHRP, the research team will be required to meet in person with the NCHRP project panel to discuss the interim report, if necessary. Work on Phase IV of the project will not begin until authorized by the NCHRP. Phase III shall be limited to $180,000.
PHASE IV—Final Products
Task 14. Revise the draft guidelines considering the NCHRP’s review comments.
Task 15. Prepare final deliverables including: (1) the guidelines for the applications of RFID and wireless technologies for highway construction and infrastructure asset management, (2) a final report that documents the entire research effort, and (3) a stand-alone technical memorandum titled “Implementation of Research Findings and Products.” See Special Note D for additional information.
The objective of this research is to develop a “playbook” with standards, specifications, and process flows to help ai…
Objectives
The objective of this research is to develop a “playbook” with standards, specifications, and process flows to help airport operators with the accurate and timely delivery of new and replacement asset information/meta data to key airport stakeholders responsible for tracking and maintaining airport assets.
Guidelines for the Effective Transition of Asset Data from Design/Construction to Operations and Maintenance
Estimated Timeframe: Funding: $400000
Background
Many airport operators have challenges when transitioning asset data from the planning, design, and construction stages to the operations and maintenance stage. These challenges include issues with timeliness, conformity, completeness, and accuracy. Such issues may lead to poorly informed operations and maintenance planning decisions, resulting in significant financial and functional impacts to operations and maintenance departments. There are a number of technology-based platforms to assist in the efficient and accurate transfer of asset data (e.g., geographic information systems, computerized maintenance management systems, building information modeling), yet many airports need guidelines for mapping not only the transition process, but for involving key departments and stakeholders through the entire process, from procurement to commissioning.
Objectives
The objective of this research is to develop a “playbook” with standards, specifications, and process flows to help airport operators with the accurate and timely delivery of new and replacement asset information/meta data to key airport stakeholders responsible for tracking and maintaining airport assets.
With the original project being completed in early 2020, the project panel has focused on both implementation of TAM Guide…
Objectives
With the original project being completed in early 2020, the project panel has focused on both implementation of TAM Guide III and determining additional needs to make the TAM Guide III better based on the original literature research and review. An extensive literature search was conducted as a part of the original NCHRP project phase one work and the results generally incorporated and addressed in the new TAM Guide III; however, because of funding limitations, not all of the desired changes, updates, and enhancements could be addressed. Based on those limitations, the objective of this research is to provide further enhancements and content to the TAM Guide III.
Further Enhancements and Content for the AASHTO Transportation Asset Management Guide
Estimated Timeframe: 18 months Funding: $450000
Background
Over the past two decades, asset management practice in transportation asset management (TAM) has been progressing with guidance produced from NCHRP Project 20-24(11), Asset Management Guidance for Transportation Agencies, initiated in 1999 and completed in 2002; NCHRP Project 08-69, Supplement to the AASHTO Transportation Asset Management Guide: Volume 2—A Focus on Implementation (TAM Guide II), initiated in 2008 and completed in 2010; and the current project NCHRP Project 08-109(01), Updating the AASHTO Transportation Asset Management Guide—A Focus on Implementation (TAM Guide III). TAM is an area of great importance to state departments of transportation (DOT) and other transportation agencies. As defined in the transportation legislation Moving Ahead for Progress in the 21st Century (MAP-21), TAM is a “strategic and systematic process of operating, maintaining, and improving physical assets… that will achieve and sustain a desired state of good repair over the life cycle of the assets at minimum practicable cost.” In recent years interest in TAM has intensified in part due to the asset and performance management requirements introduced in MAP-21.
NCHRP Project 08-109, resulting in TAM Guide III, has developed an updated and new version of the existing AASHTO TAM Guide II using a new framework for asset management that has been adapted from the one developed by the UK-based Institute of Asset Management. This project was initiated to improve the existing guide’s effectiveness and thereby advance the practices of public-agency TAM. The research has been conducted in two phases, with the first phase focused on assessing the effectiveness of the current guide and developing a strategy for improving the guide’s effectiveness and presenting the guide in a form well suited to future updating. The second phase focused on developing the new print version of the TAM Guide III, as well as producing a TAM Guide III Digital Guide that will be added to AASHTO’s TAM Portal (http://tam.transportation.org).
Objectives
With the original project being completed in early 2020, the project panel has focused on both implementation of TAM Guide III and determining additional needs to make the TAM Guide III better based on the original literature research and review. An extensive literature search was conducted as a part of the original NCHRP project phase one work and the results generally incorporated and addressed in the new TAM Guide III; however, because of funding limitations, not all of the desired changes, updates, and enhancements could be addressed. Based on those limitations, the objective of this research is to provide further enhancements and content to the TAM Guide III.
The objective of this research was to develop guidance (tools, procedures, and policies) for identifying, evaluating, and …
Objectives
The objective of this research was to develop guidance (tools, procedures, and policies) for identifying, evaluating, and communicating multimodal transportation investment right-sizing scenarios. Although agencies are generally equipped to assess investment strategies, sufficient guidance is not readily available on how to identify and assess right-sizing or disinvestment scenarios in ways that clearly explain decisions associated with resource tradeoffs and constraints and how these decisions impact overall system resilience and sustainability. Outcomes of this research should enable agencies to answer questions such as, “Why are we spending more or less on (or eliminating) a given asset; and why is that a good decision given the functional requirements of the broader transportation system”? In response to this objective, the product of this research should be guidance for practitioners to implement and communicate right-sizing methods, applicable to individual projects and system-wide investment strategies. This guidance also defines and identifies additional components that can or should be encompassed by the concept of “right-sizing” as well as present a set of practical approaches for measuring and evaluating performance outcomes across a broad set of investment options.
Right-Sizing Transportation Investments: A Guidebook for Planning and Programming
Timeframe: Project Funding: $500000
Objectives
The objective of this research was to develop guidance (tools, procedures, and policies) for identifying, evaluating, and communicating multimodal transportation investment right-sizing scenarios. Although agencies are generally equipped to assess investment strategies, sufficient guidance is not readily available on how to identify and assess right-sizing or disinvestment scenarios in ways that clearly explain decisions associated with resource tradeoffs and constraints and how these decisions impact overall system resilience and sustainability. Outcomes of this research should enable agencies to answer questions such as, “Why are we spending more or less on (or eliminating) a given asset; and why is that a good decision given the functional requirements of the broader transportation system”? In response to this objective, the product of this research should be guidance for practitioners to implement and communicate right-sizing methods, applicable to individual projects and system-wide investment strategies. This guidance also defines and identifies additional components that can or should be encompassed by the concept of “right-sizing” as well as present a set of practical approaches for measuring and evaluating performance outcomes across a broad set of investment options.
This report extends and implements the results of NCHRP Report 806: Cross-Asset Resource Allocation and the Impact on Syst…
Objectives
This report extends and implements the results of NCHRP Report 806: Cross-Asset Resource Allocation and the Impact on System Performance. Case studies were used to illustrate key issues in implementing a cross-asset resource allocation approach, and the lessons learned were then used to improve the guidance and tools developed in NCHRP Report 806.
Case Studies in Cross-Asset, Multi-Objective Resource Allocation (NCHRP Report 921)
Timeframe: Project Funding: $398300
Objectives
This report extends and implements the results of NCHRP Report 806: Cross-Asset Resource Allocation and the Impact on System Performance. Case studies were used to illustrate key issues in implementing a cross-asset resource allocation approach, and the lessons learned were then used to improve the guidance and tools developed in NCHRP Report 806.
The report is intended to help transportation agencies with building data sets and tools that support the evaluation of da…
Objectives
The report is intended to help transportation agencies with building data sets and tools that support the evaluation of damage to assets associated with emergency events and to illustrate methodologies that are being used to integrate these risks into asset investment decisions.
Asset Management Approaches to Identifying and Evaluating Assets Damaged Due to Emergency Events
Timeframe: Project Funding: $45000
Objectives
The report is intended to help transportation agencies with building data sets and tools that support the evaluation of damage to assets associated with emergency events and to illustrate methodologies that are being used to integrate these risks into asset investment decisions.
The objective of this research is to provide transportation agencies with practical guidance, recommendations, and success…
Objectives
The objective of this research is to provide transportation agencies with practical guidance, recommendations, and successful implementation practices for
1. Integrating performance, risk, and asset management at transportation agencies;
2. Identifying, evaluating, and selecting appropriate management frameworks; and
3. Recruiting, training, and retaining human capital to support asset management and related functions.
Background
The AASHTO Subcommittee on Asset Management is seeking to implement the recently completed Transportation Asset Management Research Roadmap (TAM Research Roadmap), developed under the NCHRP 08-36 quick response research program. The TAM Research Roadmap was developed in cooperation with AASHTO, TRB, USDOT, and other industry partners. It includes a multi-year research agenda to improve the overall implementation of transportation asset management at state, regional, and local transportation agencies. The purpose of the TAM Research Roadmap is to enable the TAM community to identify, propose, and implement TAM research projects necessary to improve the understanding of TAM and allow projects to be funded through various research programs including NCHRP, USDOT funding sources, and other sources.
The practice of performance, risk, and asset management has evolved over many years. MAP-21 and the recently passed FAST Act, associated rules, and guidance have clarified the federal asset management requirements. Beyond federal requirements, broader research and practice in the areas of transportation performance, risk, and asset management initiated by state DOTs and other public and private entities have added to the availability of tools, methods, and strategies. Yet, practitioners continue to struggle with integration and implementation of research findings and regulatory requirements. This state of the practice, coupled with a detailed gap analysis, was the focus of the TAM Research Roadmap. To address identified gaps, additional research is needed to implement effective transportation management practices and identify human capital needs at state DOTs, regional organizations, and local agencies. The research proposed in this study was identified within the Research Roadmap and is designed to fill gaps in several high-priority areas.
Integrating Effective Transportation Performance, Risk, and Asset Management Practices
Timeframe: 30 months Project Funding: $666617
Background
The AASHTO Subcommittee on Asset Management is seeking to implement the recently completed Transportation Asset Management Research Roadmap (TAM Research Roadmap), developed under the NCHRP 08-36 quick response research program. The TAM Research Roadmap was developed in cooperation with AASHTO, TRB, USDOT, and other industry partners. It includes a multi-year research agenda to improve the overall implementation of transportation asset management at state, regional, and local transportation agencies. The purpose of the TAM Research Roadmap is to enable the TAM community to identify, propose, and implement TAM research projects necessary to improve the understanding of TAM and allow projects to be funded through various research programs including NCHRP, USDOT funding sources, and other sources.
The practice of performance, risk, and asset management has evolved over many years. MAP-21 and the recently passed FAST Act, associated rules, and guidance have clarified the federal asset management requirements. Beyond federal requirements, broader research and practice in the areas of transportation performance, risk, and asset management initiated by state DOTs and other public and private entities have added to the availability of tools, methods, and strategies. Yet, practitioners continue to struggle with integration and implementation of research findings and regulatory requirements. This state of the practice, coupled with a detailed gap analysis, was the focus of the TAM Research Roadmap. To address identified gaps, additional research is needed to implement effective transportation management practices and identify human capital needs at state DOTs, regional organizations, and local agencies. The research proposed in this study was identified within the Research Roadmap and is designed to fill gaps in several high-priority areas.
Objectives
The objective of this research is to provide transportation agencies with practical guidance, recommendations, and successful implementation practices for
1. Integrating performance, risk, and asset management at transportation agencies;
2. Identifying, evaluating, and selecting appropriate management frameworks; and
3. Recruiting, training, and retaining human capital to support asset management and related functions.
Proposed Research Activities
The Research Plan should present a proposed scope of work for all three components of the objective, divided into two phases, with discrete tasks for each phase. Phase I will comprise approximately 50% of the research effort, covering all initial tasks and preliminary results sufficient to indicate a realistic direction for the overall study. Phase I will culminate in an Interim Report that will present the results of the initial components of the research, including a detailed, annotated outline or description of the deliverables, and an updated work plan for completion of all deliverables in Phase ll. A face-to-face interim meeting with the NCHRP panel will be scheduled at the conclusion of Phase I to discuss and approve the Interim Report. Work on Phase ll tasks will not begin until the updated work plan is approved by NCHRP. The project schedule will include 1 month for NCHRP review and approval of the Interim Report.
The research plan should include but not be limited to the following:
1. A kick-off teleconference meeting of the research team and the NCHRP project panel, to be held within 1 month of the contract’s execution date;
2. A literature review that identifies and summarizes key products of previous research;
3. The aforementioned Interim Report which presents the products of Phase I, including a preliminary detailed, annotated outline and description of expected deliverables;
4. Final version of the deliverables that fulfills the project objective, including a separate report documenting the conduct of the research; and
5. A PowerPoint or similar presentation describing the project background, objective, research method, findings, and conclusions.
Notes and Considerations
To meet the study objective, the research plan should address the three components outlined below.
I. Successful Practices for Integrating Performance Management, Risk Management, and Asset Management at Transportation Agencies
Federal transportation legislation requires performance, risk, and asset management to influence agency planning and programming priorities. Agencies are advancing on performance management, and making strides on asset management; however, the role of risk management remains unclear to many. Currently, many resources on these topics exist but are not linked. In addition, states are required to follow relevant federal regulations affecting transportation asset management, including recently issued rules under MAP-21 that address preparation and implementation of risk-based asset management plans.
The purpose of this component is to develop resources for state transportation agencies to facilitate integration and optimization of performance, risk, and asset management in combination to improve the effectiveness of transportation agencies. These resources will enable decision makers to economically use these three management approaches to enhance achievement of strategic goals, organizational objectives, and performance targets. These resources should be useful at all levels of the enterprise, from the strategic and tactical to the operational levels, and apply to all major program areas.
The output of this component of the research will be a set of successful practices that integrate performance, risk, and asset management to improve overall outcomes, demonstrating how these practices have been implemented not only with respect to highway transportation but also as applied to other modes. It will summarize successful practices applicable to transportation systems in general, documenting experience applicable from international agencies as well as from other modes, including transit, aviation, marine, and rail— both public and private.
II. Using Case Studies to Identify, Evaluate, and Select Management Frameworks for Implementation by Transportation Agencies
Several standard frameworks for asset, performance and quality management have been developed which have the potential to improve management procedures used by U.S. transportation agencies. These include, but are not limited to, frameworks for managing assets, such as International Organization for Standardization (ISO) standard 55000; and other frameworks for performance and quality management such as Balanced Scorecard, Triple Bottom Line, Six Sigma, Total Quality Management, and ISO standard 9001. By adapting and applying relevant aspects of these various frameworks, transportation agencies have the potential to leverage the knowledge and experience built across a wide array of different organizations to manage transportation assets more effectively, better tie asset performance to agency goals and objectives, and deliver better results more efficiently.
At its core, transportation asset management shares many of the basic concepts of these management frameworks, as exemplified through its emphasis on concepts such as making investment decisions based on quality data and on continuous process improvement. Further, the AASHTO Transportation Asset Management Guide: A Focus on Implementation provides a brief discussion relating several of the most common frameworks to transportation asset management; however, the available high-level guidance is of limited use for agencies seeking to fully integrate asset management practices into their evolving management framework. Moreover, transportation agencies face a number of specific challenges and requirements not addressed in the guidance for implementing the standard frameworks–as most were initially developed for the private sector. Consequently, agency leaders are left in a situation in which they are highly familiar with the underlying concepts needed for improving how their agencies are managed, but lack specific procedures and tools needed to implement some of the best-established approaches.
Under this component of the study, research is needed to establish how transportation agencies can best implement emerging management frameworks that successfully integrate asset management into agency decision making. This research will generate case studies of how agencies have incorporated asset management via the implementation of relevant management processes. The research will also evaluate the case studies to determine effective procedures for implementation. As a result, these case studies will help transportation agencies leverage existing resources by improving management approaches, thereby improving transportation asset management outcomes in general.
III. How to Recruit, Train, and Retain Human Capital to Support Asset Management and Related Functions
As a multidisciplinary, holistic practice, TAM applies a different approach to managing transportation infrastructure investments. Implementation of TAM enables agencies to share processes, data, and management systems across traditional discipline stovepipes. Additionally, TAM brings with it new expectations, new fields of expertise, and emerging technologies.
Agencies have customarily been organized and staffed around specific technical skills, such as engineering, data collection and analysis, planning, budget, and accounting. Successful implementation of TAM, however, requires effective coordination across internal organizational boundaries encompassing multiple disciplines. Thus, innovations in TAM are leading to changes in organizational structure at transportation agencies, requiring employees to have different skill sets than in the past. Consequently, these new skill sets translate into a need for employees trained accordingly. As agencies continue their implementation of TAM principles, they face the difficult task of recruiting, training, and maintaining TAM human capital.
The focus of the third component of the study is to provide agencies with a description of human capital skills needed to implement key aspects of TAM. These skills include, but are not necessarily limited to, economic analysis, life-cycle planning, risk management, data integration, modeling, performance management, target setting, and multiple objective decision analysis. The product of this component will assist agencies in identifying those critical skills required and provide guidance on effective implementation of TAM, including an emphasis on coordination.
The objective of this research is to develop a guidebook presenting principles, organizational strategies, governance mech…
Objectives
The objective of this research is to develop a guidebook presenting principles, organizational strategies, governance mechanisms, and practical examples for improving management of the processes for collecting data, developing useful information, and providing that information for decision making about management of the transportation system assets. The guidebook should assist practitioners addressing at least the following topics:
• Conducting agency self-assessments of information management practices (for example, a maturity model and leading-practices descriptions), using existing tools and techniques to the extent these are available;
• Exploring transferrable data and information management practices from a variety of sources—DOTs and others not necessarily restricted to domestic transportation agencies—that have demonstrated effective asset management;
• Considering how to incorporate evolving technologies and state-of-the-art management practices, for example by providing agencies with management scenarios and exemplary data models;
• Establishing organizational structure, personnel capabilities requirements, outsourcing policies and practices, and governance policies and procedures to support effective provision of asset management information;
• Assessing options for staff development, outsourcing, and other strategies for ensuring the agency has appropriate capability and capacity for asset information management; and
• Developing a management roadmap for implementing unified, enterprise-wide governance of asset data and information, from initial project development through transportation asset and performance management.
Background
State departments of transportation (DOTs) and other transportation agencies produce, exchange, manage, and use substantial quantities of data and information for project development and subsequent management of the system assets for which they are responsible. These agencies devote considerable resources to data collection and storage and often face challenges such as duplicating effort or gaps in data collected by various organizational units; ensuring that data sources are well documented and information is current; and providing the people responsible for planning, design, construction, and operations and maintenance of system assets with access to reliable current information for decision making.
Continuing rapid evolution of data and information technologies presents challenges as agencies seek to ensure that the transportation system delivers high performance and the agency functions effectively and efficiently. Remote sensing, Lidar, GIS, 3-D graphic displays, and virtual reality (to name a few of the newer developments) are supplementing or replacing data acquisition and information management practices once based on physical measurements and storage and display in large-format print media. Many agencies must deal with legacy data while avoiding obsolescence in their management practices. Typically fragmented DOT business practices and the decades-long processes of asset development and life-cycle service have produced disparate data sets that are poorly suited to effective long-term system asset and performance management.
Efforts are being made to address these problems. The American Association of State Highway and Transportation Officials (AASHTO) for example has developed a set of Core Data Principles (https://data.transportation.org/aashto-core-data-principles/) for transportation data. Ongoing research sponsored by the Federal Highway Administration (FHWA) will provide an analysis of the civil integrated management (CIM) data practices. Guidance produced by NCHRP, AASHTO, and FHWA addresses transportation asset management, information management, and data self-assessment (data value and data management)—see Special Note B. However, additional research is needed to provide agencies with guidance on opportunities for improving their information acquisition and management; data governance and maintenance workflows; human and business-support resources needed for data and information management; and procedures for assuring that reliable information for effective asset management is available when and where it is needed.
NCHRP Project 08-115 Guidebook for Data and Information Systems for TAM (NCHRP Report 956)
Timeframe: 28 months Project Funding: $400000
Background
State departments of transportation (DOTs) and other transportation agencies produce, exchange, manage, and use substantial quantities of data and information for project development and subsequent management of the system assets for which they are responsible. These agencies devote considerable resources to data collection and storage and often face challenges such as duplicating effort or gaps in data collected by various organizational units; ensuring that data sources are well documented and information is current; and providing the people responsible for planning, design, construction, and operations and maintenance of system assets with access to reliable current information for decision making.
Continuing rapid evolution of data and information technologies presents challenges as agencies seek to ensure that the transportation system delivers high performance and the agency functions effectively and efficiently. Remote sensing, Lidar, GIS, 3-D graphic displays, and virtual reality (to name a few of the newer developments) are supplementing or replacing data acquisition and information management practices once based on physical measurements and storage and display in large-format print media. Many agencies must deal with legacy data while avoiding obsolescence in their management practices. Typically fragmented DOT business practices and the decades-long processes of asset development and life-cycle service have produced disparate data sets that are poorly suited to effective long-term system asset and performance management.
Efforts are being made to address these problems. The American Association of State Highway and Transportation Officials (AASHTO) for example has developed a set of Core Data Principles (https://data.transportation.org/aashto-core-data-principles/) for transportation data. Ongoing research sponsored by the Federal Highway Administration (FHWA) will provide an analysis of the civil integrated management (CIM) data practices. Guidance produced by NCHRP, AASHTO, and FHWA addresses transportation asset management, information management, and data self-assessment (data value and data management)—see Special Note B. However, additional research is needed to provide agencies with guidance on opportunities for improving their information acquisition and management; data governance and maintenance workflows; human and business-support resources needed for data and information management; and procedures for assuring that reliable information for effective asset management is available when and where it is needed.
Objectives
The objective of this research is to develop a guidebook presenting principles, organizational strategies, governance mechanisms, and practical examples for improving management of the processes for collecting data, developing useful information, and providing that information for decision making about management of the transportation system assets. The guidebook should assist practitioners addressing at least the following topics:
• Conducting agency self-assessments of information management practices (for example, a maturity model and leading-practices descriptions), using existing tools and techniques to the extent these are available;
• Exploring transferrable data and information management practices from a variety of sources—DOTs and others not necessarily restricted to domestic transportation agencies—that have demonstrated effective asset management;
• Considering how to incorporate evolving technologies and state-of-the-art management practices, for example by providing agencies with management scenarios and exemplary data models;
• Establishing organizational structure, personnel capabilities requirements, outsourcing policies and practices, and governance policies and procedures to support effective provision of asset management information;
• Assessing options for staff development, outsourcing, and other strategies for ensuring the agency has appropriate capability and capacity for asset information management; and
• Developing a management roadmap for implementing unified, enterprise-wide governance of asset data and information, from initial project development through transportation asset and performance management.
Proposed Research Activities
The research is planned to yield several products:
Interim Report 1 (IR1) presenting (a) a critical review of relevant current practice and research literature on asset-management data acquisition and information management and use; (b) a review of relevant leading asset data and information management practices of organizations other than domestic DOTs; (c) a review of applications of data analytics methods that asset-management decision makers could apply to discover useful information and improve decision making; and (d) new technology and practices likely to become available within the coming 2 to 5 years for data collection, for example through deployment of “smart cities” and connected and automated vehicles.
Interim Report 2 (IR2) presenting (a) an analysis of practices of DOTs and other relevant organizations to identify resource needs (for example, workforce and skill sets) and knowledge management practices regarding data and information management capabilities and (b) a system of maturity levels or other state-of-the-practice benchmarks to characterize a transportation agency’s asset-management information and management practices.
Interim Report 3 (IR3) presenting (a) strategies agencies can use to develop a management roadmap for implementing unified, enterprise-wide governance of asset data and (b) an annotated outline of the guidebook meeting the project objective.
Final documents comprising (a) the guidebook to assist DOTs and other transportation agencies in establishing, improving, and maintaining effective data and information management practices that support transportation system asset and performance management; (b) a summary description of the research conducted in this NCHRP project and underlying the guidance; (c) a plan for peer-exchange meetings, applications workshops, or other activities following publication of the guidebook to accelerate dissemination and DOT adoption of the guidance; and (d) a PowerPoint presentation usable by NCHRP or others to describe the research and its results. Extensions of the initially planned research will add functionality to an on-line version of the guidebook that will be made available on the AASHTO web site. The guidebook and summary documents will be published in cy2021 as NCHRP Research Report 956; until publication is complete, the contractor's final documents are available for download by clicking here: summary and guidebook.
Start date: September 2019 End date: December 2020
The objective of this synthesis is to document DOT collaboration with MPOs relative to target setting, investment decision…
Objectives
The objective of this synthesis is to document DOT collaboration with MPOs relative to target setting, investment decisions, and performance monitoring of pavement and bridge assets for performance-based planning and programming. The synthesis will focus on DOT practices to initiate and facilitate collaboration with MPOs.
Background
The FAST Act emphasizes preservation of the existing transportation system in the metropolitan long-range transportation factors. These factors directly link the practice of long-range transportation planning to the practice of transportation asset management. Transportation asset management (AM), one of the national performance areas identified in MAP-21, is a strategic approach and business model that prioritizes investments primarily based on the condition of assets. The asset management cycle involves asset management plan development, maintenance and engineering activities, asset management plan monitoring, asset prioritization, and investment trade-off activities. A key component of asset management plan development is the inclusion of a performance management framework intended to provide a systematic approach to measuring progress in the implementation of an asset management strategy while enabling auditing and monitoring. Performance measurement and transportation asset management are therefore inextricably linked.
MAP-21 resulted in increased attention being paid to performance-based transportation planning across local, regional and statewide planning scales. The result has been increased communication and coordination across the national performance goal areas. Yet the practice of asset management within state DOTs can happen separate and apart from the performance-based transportation planning activities that occur within MPOs. However, to achieve the strategic vision of transportation asset management for system preservation, measurement, monitoring and prioritization, the integration of DOT and MPO activities, and coordination in the development of AM performance measures, may be necessary.
Collaborative Practices for Performance-Based Asset Management between State Transportation Agencies and Metropolitan Planning Organizations
Timeframe: 15 months Project Funding: $45000
Background
The FAST Act emphasizes preservation of the existing transportation system in the metropolitan long-range transportation factors. These factors directly link the practice of long-range transportation planning to the practice of transportation asset management. Transportation asset management (AM), one of the national performance areas identified in MAP-21, is a strategic approach and business model that prioritizes investments primarily based on the condition of assets. The asset management cycle involves asset management plan development, maintenance and engineering activities, asset management plan monitoring, asset prioritization, and investment trade-off activities. A key component of asset management plan development is the inclusion of a performance management framework intended to provide a systematic approach to measuring progress in the implementation of an asset management strategy while enabling auditing and monitoring. Performance measurement and transportation asset management are therefore inextricably linked.
MAP-21 resulted in increased attention being paid to performance-based transportation planning across local, regional and statewide planning scales. The result has been increased communication and coordination across the national performance goal areas. Yet the practice of asset management within state DOTs can happen separate and apart from the performance-based transportation planning activities that occur within MPOs. However, to achieve the strategic vision of transportation asset management for system preservation, measurement, monitoring and prioritization, the integration of DOT and MPO activities, and coordination in the development of AM performance measures, may be necessary.
Objectives
The objective of this synthesis is to document DOT collaboration with MPOs relative to target setting, investment decisions, and performance monitoring of pavement and bridge assets for performance-based planning and programming. The synthesis will focus on DOT practices to initiate and facilitate collaboration with MPOs.
Proposed Research Activities
Information to be gathered includes (but is not limited to):
• AM related activities that have prompted DOT to facilitate collaboration with MPOs.
• How development and implementation of the Transportation Asset Management Plan (TAMP) informs the long-range planning activities at MPOs and DOTs.
• Activities DOTs are undertaking to promote asset preservation and target setting at MPOs
Efficiencies and innovations generated from the integration of long-range MPO planning and DOT-led AM activities.
• Challenges to effective DOT collaboration with MPOs (as reported by DOTs) to support transportation asset management (e.g. state and non-state ownership/maintenance).
• Identification of performance measures that support long-range planning and AM goals.
• DOT strategies for addressing discrepancies between state and federal performance measures (e.g. challenges with communication, analysis, etc.).
• How DOTs collaborate and coordinate with MPOs on asset management (e.g. agreements, special meetings, organizational structure, governance).
• How DOTs monitor and report the outcomes of asset management activities to MPOs
• How differing priorities between DOTs and MPOs may influence trade-off decisions by DOTs among performance areas (e.g. transit, congestion, safety).
Information will be collected through literature review, survey of DOTs, and follow-up interviews with selected agencies for the development of case examples highlighting DOT collaboration with MPOs to measure and monitor infrastructure condition and system performance. Information gaps and suggestions for research to address those gaps will be identified.
The objective of this research is to develop a guidebook that state transportation agencies and others can use for calcula…
Objectives
The objective of this research is to develop a guidebook that state transportation agencies and others can use for calculation and communication of the value of transportation assets, and for selecting valuation methods to be used in transportation asset management. This guidebook, applicable to transit as well as highway modes, should (1) present a standardized terminology for discussing asset value, (2) describe currently accepted valuation methods, (3) describe the merits and shortcomings of these methods to produce measures of asset value useful for communicating among stakeholders and making resource allocation decisions, and (4) present advice on determining which valuation methods will be most useful in communication and decision-making for a particular agency.
The guidebook shall include at least the following components:
• Terminology and definitions of asset value (a) determined by generally accepted accounting principles, considering initial acquisition or construction costs and depreciation, (b) based on engineering estimates to replace the asset (considering age, condition, obsolescence, and the like), (c) based on estimates of revenues that could be produced from the assets if they were operated as a business venture, (d) based on socio-economic returns to a region’s economy and wellbeing, or (e) other relevant definitions;
• Current best practices for computation and presentation of each of the definitions of value listed above, presented in a manner that can be used by transportation agencies;
• Analysis of the advantages and shortcomings of the value methods as factors to be considered in system-level resource allocation decisions, for example, investment planning, maintenance budgeting, lifecycle management, and presentations for public discussion;
• Identification and description of needs for data and information for value computations;
• A capability-maturity model that an agency can use to characterize its valuation practices and needs and strategies for improvement;
• Advice on incorporating valuation estimates into the agency’s asset management practices.
NCHRP anticipates that the guidebook may be published by AASHTO. It should be compatible with print and web-based versions of AASHTO’s Transportation Asset Management Guide.
Background
State transportation agencies are stewards for public infrastructure assets that are essential to economic vitality, public safety, and quality of life. Accurate, relevant, and reliable asset valuation is crucial for decision-making to ensure the effective, efficient, and economical management of these public assets.
Congress required, through the Moving Ahead for Progress in the 21st Century Act (MAP 21), enacted in 2012, that each state transportation agency develop and implement a risk-based transportation asset management plan (TAMP) that includes a valuation of pavements and bridges on the National Highway System (NHS). State transportation agencies are complying with the requirements through various approaches, but have struggled to incorporate asset valuation into their asset management practices and infrastructure investment and management decisions in a consistent, meaningful way. Practices have been developed and used internationally for incorporating asset valuation into an organization’s financial statements and decision-making processes, and some guidance has been produced in the United States, but such practices have not been much used in this country. Research is needed to make a detailed assessment of the issues and present practical guidelines and procedures for valuation of public-sector transportation assets in the United States and use of valuation in transportation system and asset management decision-making.
A Guide to Computation and Use of System Level Valuation of Transportation Assets
Timeframe: 16 months Project Funding: $600000
Background
State transportation agencies are stewards for public infrastructure assets that are essential to economic vitality, public safety, and quality of life. Accurate, relevant, and reliable asset valuation is crucial for decision-making to ensure the effective, efficient, and economical management of these public assets.
Congress required, through the Moving Ahead for Progress in the 21st Century Act (MAP 21), enacted in 2012, that each state transportation agency develop and implement a risk-based transportation asset management plan (TAMP) that includes a valuation of pavements and bridges on the National Highway System (NHS). State transportation agencies are complying with the requirements through various approaches, but have struggled to incorporate asset valuation into their asset management practices and infrastructure investment and management decisions in a consistent, meaningful way. Practices have been developed and used internationally for incorporating asset valuation into an organization’s financial statements and decision-making processes, and some guidance has been produced in the United States, but such practices have not been much used in this country. Research is needed to make a detailed assessment of the issues and present practical guidelines and procedures for valuation of public-sector transportation assets in the United States and use of valuation in transportation system and asset management decision-making.
Objectives
The objective of this research is to develop a guidebook that state transportation agencies and others can use for calculation and communication of the value of transportation assets, and for selecting valuation methods to be used in transportation asset management. This guidebook, applicable to transit as well as highway modes, should (1) present a standardized terminology for discussing asset value, (2) describe currently accepted valuation methods, (3) describe the merits and shortcomings of these methods to produce measures of asset value useful for communicating among stakeholders and making resource allocation decisions, and (4) present advice on determining which valuation methods will be most useful in communication and decision-making for a particular agency.
The guidebook shall include at least the following components:
• Terminology and definitions of asset value (a) determined by generally accepted accounting principles, considering initial acquisition or construction costs and depreciation, (b) based on engineering estimates to replace the asset (considering age, condition, obsolescence, and the like), (c) based on estimates of revenues that could be produced from the assets if they were operated as a business venture, (d) based on socio-economic returns to a region’s economy and wellbeing, or (e) other relevant definitions;
• Current best practices for computation and presentation of each of the definitions of value listed above, presented in a manner that can be used by transportation agencies;
• Analysis of the advantages and shortcomings of the value methods as factors to be considered in system-level resource allocation decisions, for example, investment planning, maintenance budgeting, lifecycle management, and presentations for public discussion;
• Identification and description of needs for data and information for value computations;
• A capability-maturity model that an agency can use to characterize its valuation practices and needs and strategies for improvement;
• Advice on incorporating valuation estimates into the agency’s asset management practices.
NCHRP anticipates that the guidebook may be published by AASHTO. It should be compatible with print and web-based versions of AASHTO’s Transportation Asset Management Guide.
Proposed Research Activities
The research should result in at least the following deliverable products and milestones:
• Interim Report 1 (IR1) presenting a critical review of (a) current practices in use for valuation of transportation assets in public and private sectors, in the United States and internationally, with particular attention to terminology, asset classes for which values are estimated, definitions of asset value, and methods used for estimating values; (b) key regulations, guides, and other publications that establish standards for how asset values are to be estimated or appraised and reported; and (c) how state transportation agencies and others currently use asset value in systemwide asset management, other resource allocation decision-making, and communication with stakeholders.
• Interim Report 2 (IR2) presenting (a) an annotated outline of the guidebook; (b) data and information an agency will need to utilize asset valuation as a factor in resource allocation decision-making; (c) a framework characterizing the valuation methods, users and other audiences for valuation methods, and system-level resource allocation decision-making situations or applications in which asset values are useful, for example, investment planning, maintenance budgeting, lifecycle management, and presentations for public discussion; (d) an analysis of the advantages and shortcomings of the valuation methods as factors to be considered in resource allocation decision-making; and (e) a capability-maturity model that an agency can use to characterize its valuation practices and needs and strategies for improvement.
• Interim Report 3 (IR3) describing (a) advice to agencies on incorporating valuation estimates into the agency’s asset management practices, and (b) a proposed plan for validation of the guidebook’s organization and methods in a selected group of state transportation agencies.
• The guidebook described by the project's objective.
The objectives of this research are to document (1) the state of practice within state DOTs as they implement these new re…
Objectives
The objectives of this research are to document (1) the state of practice within state DOTs as they implement these new requirements and (2) the impacts of implementation to date on asset condition, safety performance and the investment of federal transit funds. This research will provide states with information that will help them evaluate the effectiveness of their efforts to date and refine or adjust their implementation.
Background
On July 16, 2016 FTA issued the final transit asset management rule and an associated final notice regarding NTD reporting. State DOTs and their subrecipients have specific obligations under the rule and notice. On August 11, 2016, FTA issued the public transportation safety program final rule. This final rule in combination with the yet to be released final rule on public transportation agency safety plans and the final national public transportation safety plan, will create new obligations for State DOTs and their subrecipients. The Transit Asset Management (TAM) Plan rule and the Transit Agency Safety Plan rule are aimed at facilitating improvement in transit asset condition and safety performance.
Lessons Learned and Impacts to Date of State DOT Implementation of New Federal Transit Asset Management and Public Transportation Agency Safety Requirements
Timeframe: 20 Project Funding: $100000
Background
On July 16, 2016 FTA issued the final transit asset management rule and an associated final notice regarding NTD reporting. State DOTs and their subrecipients have specific obligations under the rule and notice. On August 11, 2016, FTA issued the public transportation safety program final rule. This final rule in combination with the yet to be released final rule on public transportation agency safety plans and the final national public transportation safety plan, will create new obligations for State DOTs and their subrecipients. The Transit Asset Management (TAM) Plan rule and the Transit Agency Safety Plan rule are aimed at facilitating improvement in transit asset condition and safety performance.
Objectives
The objectives of this research are to document (1) the state of practice within state DOTs as they implement these new requirements and (2) the impacts of implementation to date on asset condition, safety performance and the investment of federal transit funds. This research will provide states with information that will help them evaluate the effectiveness of their efforts to date and refine or adjust their implementation.
This guide to building information modeling (BIM) applications for airports presents guidance for evaluating the business …
Objectives
This guide to building information modeling (BIM) applications for airports presents guidance for evaluating the business case of applying and implementing BIM.
This guide to building information modeling (BIM) applications for airports presents guidance for evaluating the business case of applying and implementing BIM.
The objectives of this project are (1) to develop a playbook to support emergency management program review and developmen…
Objectives
The objectives of this project are (1) to develop a playbook to support emergency management program review and development for state transportation agencies and (2) to develop and execute a deployment strategy to familiarize the affected transportation agencies of every state with the playbook and supporting emergency management materials. The playbook and related products and activities should encompass state DOTs, public transportation systems, and other transportation agencies under state control or influence (i.e., state transportation agencies).
Background
There is a need for a strategy-driven, actionable guide—a playbook—that, with incidental implementation support, will help emergent and part-time transportation emergency managers to understand, plan, and implement an emergency preparedness program that fits their agency’s needs, capabilities, and challenges. Such a playbook will serve as a simple, practical, and comprehensive emergency preparedness program development guide for transportation emergency managers; be generally applicable to all transportation emergency operations centers (EOCs); and be consistent with ICS/NIMS/HSEEP doctrine. A transportation-specific playbook will help close the gap in transportation emergency preparedness and enable quicker and more effective uptake of valuable scenario-based training and exercising tools that help organizations apply prerequisite planning and program development.
Translating strategy from the playbook to the real world (how to do it) is complex, as states vary in how they organize their activities. This project will develop and execute a strategy to effectively bridge the gap between all-hazards emergency management research and state transportation agency practice to improve state transportation agency responses over a broad continuum of emergencies affecting the nation’s travelers, economy, and infrastructure.
A Pandemic Playbook for Transportation Agencies
Timeframe: Project Funding: $800000
Background
There is a need for a strategy-driven, actionable guide—a playbook—that, with incidental implementation support, will help emergent and part-time transportation emergency managers to understand, plan, and implement an emergency preparedness program that fits their agency’s needs, capabilities, and challenges. Such a playbook will serve as a simple, practical, and comprehensive emergency preparedness program development guide for transportation emergency managers; be generally applicable to all transportation emergency operations centers (EOCs); and be consistent with ICS/NIMS/HSEEP doctrine. A transportation-specific playbook will help close the gap in transportation emergency preparedness and enable quicker and more effective uptake of valuable scenario-based training and exercising tools that help organizations apply prerequisite planning and program development.
Translating strategy from the playbook to the real world (how to do it) is complex, as states vary in how they organize their activities. This project will develop and execute a strategy to effectively bridge the gap between all-hazards emergency management research and state transportation agency practice to improve state transportation agency responses over a broad continuum of emergencies affecting the nation’s travelers, economy, and infrastructure.
Objectives
The objectives of this project are (1) to develop a playbook to support emergency management program review and development for state transportation agencies and (2) to develop and execute a deployment strategy to familiarize the affected transportation agencies of every state with the playbook and supporting emergency management materials. The playbook and related products and activities should encompass state DOTs, public transportation systems, and other transportation agencies under state control or influence (i.e., state transportation agencies).
Start date: February 2016 End date: September 2017
The objective of this research is to develop a recommended Second Edition Guide for use by state transportation agencies i…
Objectives
The objective of this research is to develop a recommended Second Edition Guide for use by state transportation agencies in planning and developing their organizational functions, roles, and responsibilities for emergency response within the all-hazards context of the National Incident Management System (NIMS). The Second Edition Guide should be suitable for adoption by the AASHTO Special Committee on Transportation Security and Emergency Management (SCOTSEM). The updated Guide should reference the latest state of the practice and guidance in emergency management. This effort would include guidance from USDOT, FHWA, AASHTO, FEMA, TSA, DHS, and TRB on emergency management from a state-level DOT perspective. For example, information such as found in the National Disaster Response Framework; how response impacts short- to long-term recovery; pre-disaster planning for post disaster recovery; and efforts to include resilience and sustainability should all be looked at and addressed in the document.
Background
The 2010 Guide replaces a 2002 document, A Guide to Updating Highway Emergency Response Plans for Terrorist Incidents (available on the AASHTO website at http://scotsem.transportation.org/Documents/guide-ResponsePlans.pdf), which was released following the terrorist attacks of September 11, 2001, and the subsequent anthrax attacks.
In addition to the introduction, background, and institutional context for emergency response planning, the 2010 Guide has two major sections:
Sections 3-5: Design an Emergency Preparedness Program—this contains a program-level review of the all-hazards approach to emergency management, which will help transportation agencies assess their plans and identify areas needing improvement.
Section 6: Resource Guide—this contains guidance on organizational, staffing, and position decisions; decision-making sequences; a full emergency response matrix; and a purpose and supporting resources for action reference matrix.
A Guide to Emergency Management at State Transportation Agencies (NCHRP Research Report 931)
Timeframe: Project Funding: $100000
Background
The 2010 Guide replaces a 2002 document, A Guide to Updating Highway Emergency Response Plans for Terrorist Incidents (available on the AASHTO website at http://scotsem.transportation.org/Documents/guide-ResponsePlans.pdf), which was released following the terrorist attacks of September 11, 2001, and the subsequent anthrax attacks.
In addition to the introduction, background, and institutional context for emergency response planning, the 2010 Guide has two major sections:
Sections 3-5: Design an Emergency Preparedness Program—this contains a program-level review of the all-hazards approach to emergency management, which will help transportation agencies assess their plans and identify areas needing improvement.
Section 6: Resource Guide—this contains guidance on organizational, staffing, and position decisions; decision-making sequences; a full emergency response matrix; and a purpose and supporting resources for action reference matrix.
Objectives
The objective of this research is to develop a recommended Second Edition Guide for use by state transportation agencies in planning and developing their organizational functions, roles, and responsibilities for emergency response within the all-hazards context of the National Incident Management System (NIMS). The Second Edition Guide should be suitable for adoption by the AASHTO Special Committee on Transportation Security and Emergency Management (SCOTSEM). The updated Guide should reference the latest state of the practice and guidance in emergency management. This effort would include guidance from USDOT, FHWA, AASHTO, FEMA, TSA, DHS, and TRB on emergency management from a state-level DOT perspective. For example, information such as found in the National Disaster Response Framework; how response impacts short- to long-term recovery; pre-disaster planning for post disaster recovery; and efforts to include resilience and sustainability should all be looked at and addressed in the document.
The objective of this research is to develop a recommended second edition of Security 101 for use by transportation person…
Objectives
The objective of this research is to develop a recommended second edition of Security 101 for use by transportation personnel without a security background whose work requires them to address, perform, or supervise security or infrastructure protection activities as a part of their overall job responsibilities. The updated Security 101 should be suitable for adoption by the AASHTO Special Committee on Transportation Security and Emergency Management (SCOTSEM). The updated Security 101 should reference the latest practice and guidance in infrastructure protection encompassing cyber and physical security. This update would include guidance from USDOT, FHWA, AASHTO, APTA, FTA, FEMA, TSA, DHS, National Institute of Standards and Technology (NIST), International Organization for Standardization (ISO), and TRB. The work will update fundamental definitions for: (1) surface transportation physical and cyber security; (2) all-hazards planning; and (3) resilience of transportation operations in the post 9-11 environment. Emphasis will be placed upon expanding the Security 101 products to capture the current practice and guidance in relation to recently developed:
• Risk management and assessment processes
• Standards, guidance, and tools
• Technologies for transportation infrastructure protection
• Staffing models and deployment methods
• Design build and structural improvement criteria
• All-hazards resource acquisition, budgeting, and allocation
• Security and emergency management implementation methods and procedures
• Legal issues associated with security management
• Employee training requirements
Background
Since publication of Security 101, there have been both significant changes and a substantial increase in knowledge about surface transportation security. The decade-long effort to improve the state of security and emergency management practice in the transportation industry has produced new strategies, programs, and ways of doing business that have increased the security of our transportation systems as well as ensured their resiliency. Research is needed to update Security 101 to reflect the changed circumstances and to include cyber-related information.
Security 101: A Physical & Cyber Security Primer for Transportation Agencies
Timeframe: Project Funding: $
Background
Since publication of Security 101, there have been both significant changes and a substantial increase in knowledge about surface transportation security. The decade-long effort to improve the state of security and emergency management practice in the transportation industry has produced new strategies, programs, and ways of doing business that have increased the security of our transportation systems as well as ensured their resiliency. Research is needed to update Security 101 to reflect the changed circumstances and to include cyber-related information.
Objectives
The objective of this research is to develop a recommended second edition of Security 101 for use by transportation personnel without a security background whose work requires them to address, perform, or supervise security or infrastructure protection activities as a part of their overall job responsibilities. The updated Security 101 should be suitable for adoption by the AASHTO Special Committee on Transportation Security and Emergency Management (SCOTSEM). The updated Security 101 should reference the latest practice and guidance in infrastructure protection encompassing cyber and physical security. This update would include guidance from USDOT, FHWA, AASHTO, APTA, FTA, FEMA, TSA, DHS, National Institute of Standards and Technology (NIST), International Organization for Standardization (ISO), and TRB. The work will update fundamental definitions for: (1) surface transportation physical and cyber security; (2) all-hazards planning; and (3) resilience of transportation operations in the post 9-11 environment. Emphasis will be placed upon expanding the Security 101 products to capture the current practice and guidance in relation to recently developed:
• Risk management and assessment processes
• Standards, guidance, and tools
• Technologies for transportation infrastructure protection
• Staffing models and deployment methods
• Design build and structural improvement criteria
• All-hazards resource acquisition, budgeting, and allocation
• Security and emergency management implementation methods and procedures
• Legal issues associated with security management
• Employee training requirements
The objective of this research was to develop guidance for transportation decision makers to incorporate freight, transit,…
Objectives
The objective of this research was to develop guidance for transportation decision makers to incorporate freight, transit, and incident response stakeholders into the integrated corridor management (ICM) process. ICM can range from simple to sophisticated and may continually change. The research will make use of existing FHWA and SHRP2 efforts, incorporating these and other efforts as needed. The guidance should address a broad range of operational and efficiency issues, including documented characteristics and potential approaches related to implementation of the ICM strategies.
Incorporating Freight, Transit, and Incident Response Stakeholders into Integrated Corridor Management (ICM): Processes and Strategies for Implementation
Timeframe: Project Funding: $400000
Objectives
The objective of this research was to develop guidance for transportation decision makers to incorporate freight, transit, and incident response stakeholders into the integrated corridor management (ICM) process. ICM can range from simple to sophisticated and may continually change. The research will make use of existing FHWA and SHRP2 efforts, incorporating these and other efforts as needed. The guidance should address a broad range of operational and efficiency issues, including documented characteristics and potential approaches related to implementation of the ICM strategies.
The objective of this research is to develop a guide to bus transit service reliability. The guide will include a toolbox …
Objectives
The objective of this research is to develop a guide to bus transit service reliability. The guide will include a toolbox of resources that may be used to diagnose and manage bus transit service reliability and will describe benefits, costs, and outcomes of potential policies, strategies, and actions.
Minutes Matter: A Bus Transit Service Reliability Guidebook
Timeframe: Project Funding: $250000
Objectives
The objective of this research is to develop a guide to bus transit service reliability. The guide will include a toolbox of resources that may be used to diagnose and manage bus transit service reliability and will describe benefits, costs, and outcomes of potential policies, strategies, and actions.
This guide helps agencies to incorporate equity into their transportation plans through a five-step framework for conducting equity analyses. The five steps are: identifying populations for analysis, identifying needs and concerns, measure impacts of proposed agency activity, determine if impacts are disparate or have adverse effects, and develop strategies to avoid and mitigate inequities. Though intended for Metropolitan Planning Organizations (MPOs), this guide is also applicable to transit agencies, state DOTs, and other transportation agencies that seek to address equity in their plans, programs, and policies.
Equity Analysis in Regional Transportation Planning Processes, Volume 1: Guide
Timeframe: Project Funding: $300000
Background
This guide helps agencies to incorporate equity into their transportation plans through a five-step framework for conducting equity analyses. The five steps are: identifying populations for analysis, identifying needs and concerns, measure impacts of proposed agency activity, determine if impacts are disparate or have adverse effects, and develop strategies to avoid and mitigate inequities. Though intended for Metropolitan Planning Organizations (MPOs), this guide is also applicable to transit agencies, state DOTs, and other transportation agencies that seek to address equity in their plans, programs, and policies.
NCHRP Synthesis 546: Use of Weigh-in-Motion Data for Pavement, Bridge, Weight Enforcement, and Freight Logistics Applications documents how DOTs incorporate weigh-in-motion data into such applications as bridge and pavement design and management, load ratings, weight enforcement support, and freight planning and logistics.
Use of Weigh-in-Motion Data for Pavement, Bridge, Weight Enforcement, and Freight Logistics Application
Timeframe: Project Funding: $45000
Background
NCHRP Synthesis 546: Use of Weigh-in-Motion Data for Pavement, Bridge, Weight Enforcement, and Freight Logistics Applications documents how DOTs incorporate weigh-in-motion data into such applications as bridge and pavement design and management, load ratings, weight enforcement support, and freight planning and logistics.
The objectives of this research were the following:
1. To develop a framework for identifying, collecting, aggreg…
Objectives
The objectives of this research were the following:
1. To develop a framework for identifying, collecting, aggregating, analyzing, and disseminating data from emerging public and private transportation technologies.
2. To outline a process for using this framework to help decision-makers incorporate data from emerging technologies into transportation planning and policy.
Background
The expanding deployment of emerging transportation technologies, including connected vehicles (CVs), automated vehicles (AVs), shared mobility, mobility on demand, and activities associated with smart cities and communities, has increased the need and demand for improved management of associated data. While existing transportation databases have sometimes been curated and analyzed for specific project purposes, improved collaboration is needed to inform state and local agencies of lessons learned and best practices, which often produce ”big data” at magnitudes not previously seen.
To demonstrate and build on these emerging technologies, a wide range of institutions, both public and private, have initiated and invested in major pilot programs. These efforts are also supported by U.S. DOT through several federal initiatives such as the following:
• CV Pilot Deployment Program,
• The Smart City Challenge,
• The Advanced Transportation and Congestion Management Technologies Deployment Program of FHWA
As these efforts continue to expand, the amount and quality of data surrounding the application of emerging technologies is also expanding. In response, an improved collaborative approach to data analytics has the potential to improve our ability to address transportation planning and policy questions critical to informed and effective decision-making at state and local public agencies.
State and local transportation agencies are eager to learn from the experiences of early adopters of changing and emerging transportation technologies. Formulating a framework that establishes specific procedures for identifying, collecting, aggregating, analyzing, and disseminating data should significantly contribute to effective transportation decision-making.
Guidebook for Managing Data from Emerging Technologies for Transportation
Timeframe: Project Funding: $400000
Background
The expanding deployment of emerging transportation technologies, including connected vehicles (CVs), automated vehicles (AVs), shared mobility, mobility on demand, and activities associated with smart cities and communities, has increased the need and demand for improved management of associated data. While existing transportation databases have sometimes been curated and analyzed for specific project purposes, improved collaboration is needed to inform state and local agencies of lessons learned and best practices, which often produce ”big data” at magnitudes not previously seen.
To demonstrate and build on these emerging technologies, a wide range of institutions, both public and private, have initiated and invested in major pilot programs. These efforts are also supported by U.S. DOT through several federal initiatives such as the following:
• CV Pilot Deployment Program,
• The Smart City Challenge,
• The Advanced Transportation and Congestion Management Technologies Deployment Program of FHWA
As these efforts continue to expand, the amount and quality of data surrounding the application of emerging technologies is also expanding. In response, an improved collaborative approach to data analytics has the potential to improve our ability to address transportation planning and policy questions critical to informed and effective decision-making at state and local public agencies.
State and local transportation agencies are eager to learn from the experiences of early adopters of changing and emerging transportation technologies. Formulating a framework that establishes specific procedures for identifying, collecting, aggregating, analyzing, and disseminating data should significantly contribute to effective transportation decision-making.
Objectives
The objectives of this research were the following:
1. To develop a framework for identifying, collecting, aggregating, analyzing, and disseminating data from emerging public and private transportation technologies.
2. To outline a process for using this framework to help decision-makers incorporate data from emerging technologies into transportation planning and policy.
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