Successful Practices in GIS-Based Asset Management (2015)

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N A T I O N A L C O O P E R A T I V E H I G H W A Y R E S E A R C H P R O G R A M NCHRP REPORT 800 Successful Practices in GIS-Based Asset Management Spy Pond Partners, LLC Arlington, MA i n a s s o c i a t i o n w i t h Transcend Spatial Solutions, LLC Sarasota, FL James P. Hall Springfield, IL Subscriber Categories Administration and Management • Data and Information Technology • Policy TRANSPORTAT ION RESEARCH BOARD WASHINGTON, D.C. 2015 www.TRB.org Research sponsored by the American Association of State Highway and Transportation Officials in cooperation with the Federal Highway Administration

NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM Systematic, well-designed research provides the most effective approach to the solution of many problems facing highway administrators and engineers. Often, highway problems are of local interest and can best be studied by highway departments individually or in cooperation with their state universities and others. However, the accelerating growth of highway transportation develops increasingly complex problems of wide interest to highway authorities. These problems are best studied through a coordinated program of cooperative research. In recognition of these needs, the highway administrators of the American Association of State Highway and Transportation Officials initiated in 1962 an objective national highway research program employing modern scientific techniques. This program is supported on a continuing basis by funds from participating member states of the Association and it receives the full cooperation and support of the Federal Highway Administration, United States Department of Transportation. The Transportation Research Board of the National Academies was requested by the Association to administer the research program because of the Board’s recognized objectivity and understanding of modern research practices. 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Research projects to fulfill these needs are defined by the Board, and qualified research agencies are selected from those that have submitted proposals. Administration and surveillance of research contracts are the responsibilities of the National Research Council and the Transportation Research Board. The needs for highway research are many, and the National Cooperative Highway Research Program can make significant contributions to the solution of highway transportation problems of mutual concern to many responsible groups. The program, however, is intended to complement rather than to substitute for or duplicate other highway research programs. Published reports of the NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM are available from: Transportation Research Board Business Office 500 Fifth Street, NW Washington, DC 20001 and can be ordered through the Internet at: http://www.national-academies.org/trb/bookstore Printed in the United States of America NCHRP REPORT 800 Project 08-87 ISSN 0077-5614 ISBN 978-0-309-30839-7 Library of Congress Control Number 2015931064 © 2015 National Academy of Sciences. All rights reserved. COPYRIGHT INFORMATION Authors herein are responsible for the authenticity of their materials and for obtaining written permissions from publishers or persons who own the copyright to any previously published or copyrighted material used herein. Cooperative Research Programs (CRP) grants permission to reproduce material in this publication for classroom and not-for-profit purposes. Permission is given with the understanding that none of the material will be used to imply TRB, AASHTO, FAA, FHWA, FMCSA, FTA, or Transit Development Corporation endorsement of a particular product, method, or practice. It is expected that those reproducing the material in this document for educational and not-for-profit uses will give appropriate acknowledgment of the source of any reprinted or reproduced material. For other uses of the material, request permission from CRP. NOTICE The project that is the subject of this report was a part of the National Cooperative Highway Research Program, conducted by the Transportation Research Board with the approval of the Governing Board of the National Research Council. The members of the technical panel selected to monitor this project and to review this report were chosen for their special competencies and with regard for appropriate balance. The report was reviewed by the technical panel and accepted for publication according to procedures established and overseen by the Transportation Research Board and approved by the Governing Board of the National Research Council. The opinions and conclusions expressed or implied in this report are those of the researchers who performed the research and are not necessarily those of the Transportation Research Board, the National Research Council, or the program sponsors. The Transportation Research Board of the National Academies, the National Research Council, and the sponsors of the National Cooperative Highway Research Program do not endorse products or manufacturers. Trade or manufacturers’ names appear herein solely because they are considered essential to the object of the report.

The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. Upon the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and technical matters. Dr. Ralph J. Cicerone is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achievements of engineers. Dr. C. D. Mote, Jr., is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, upon its own initiative, to identify issues of medical care, research, and education. Dr. Victor J. Dzau is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy’s purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Academy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine. Dr. Ralph J. Cicerone and Dr. C. D. Mote, Jr., are chair and vice chair, respectively, of the National Research Council. The Transportation Research Board is one of six major divisions of the National Research Council. The mission of the Transporta- tion Research Board is to provide leadership in transportation innovation and progress through research and information exchange, conducted within a setting that is objective, interdisciplinary, and multimodal. The Board’s varied activities annually engage about 7,000 engineers, scientists, and other transportation researchers and practitioners from the public and private sectors and academia, all of whom contribute their expertise in the public interest. The program is supported by state transportation departments, federal agencies including the component administrations of the U.S. Department of Transportation, and other organizations and individu- als interested in the development of transportation. www.TRB.org www.national-academies.org

C O O P E R A T I V E R E S E A R C H P R O G R A M S CRP STAFF FOR NCHRP REPORT 800 Christopher W. Jenks, Director, Cooperative Research Programs Christopher Hedges, Manager, National Cooperative Highway Research Program Andrew C. Lemer, Senior Program Officer Sheila A. Moore, Program Associate Eileen P. Delaney, Director of Publications Scott E. Hitchcock, Editor NCHRP PROJECT 08-87 PANEL Area of Transportation Planning—Forecasting Kathryn A. Zimmerman, Applied Pavement Technology, Inc., Urbana, IL (Chair) Wenling Chen, Virginia DOT, Richmond, VA Terrence C. Bills, ESRI, Redlands, CA John H. Daly III, Genesee County (MI) Road Commission, Flint, MI Paul A. DeBarry, NTM Engineering Inc., Dillsburg, PA W. Cory Pope, Utah DOT, Salt Lake City, UT William H. Tansil, Michigan DOT, Lansing, MI Nadarajah “Siva” Sivaneswaran, FHWA Liaison Matthew Hardy, AASHTO Liaison Thomas Palmerlee, TRB Liaison

F O R E W O R D NCHRP Report 800: Successful Practices in GIS-Based Asset Management presents guidance for state transportation agencies on using geographic information system (GIS) technologies in transportation asset management (TAM). The guidance is in two parts: The first, for senior transportation agency leadership, presents the business case for investment in GIS tech- no logies for TAM; the second part, for TAM practitioners, describes lessons learned from current examples of successful practices for implementing these technologies and practical evidence of the benefits and challenges associated with adoption of GIS-based TAM. State departments of transportation (DOTs) and other transportation agencies are respon- sible for development, utilization, and maintenance of a spatially-distributed system of physical assets. A DOT’s management structure necessarily is also distributed spatially, but typically is influenced more by the particular technical concerns associated with bridges, pavements, and other classes of assets, rather than geography. While the organization’s over- arching goal is to develop and manage the system to yield the highest possible return on the public’s investment in transportation infrastructure, exercising effective stewardship and ensuring that available resources are applied most effectively across asset classes are continu- ing challenges. Individual DOTs, the American Association of State Highway and Transpor- tation Officials (AASHTO), and the Federal Highway Administration (FHWA) have actively pursued development of principles, practices, and technologies to support effective TAM. Rapid advances in the capabilities and sophistication of computer software and hardware for GIS applications have led to widespread and growing GIS adoption in transportation plan- ning and systems management. Applications of GIS technologies to TAM are yielding a vari- ety of improvements in such areas as asset inventory control and maintenance management, condition assessment and monitoring, and database management. The objectives of this research were to (1) develop guidance for how DOTs and other trans- portation agencies can enhance their asset-management capabilities through effective adop- tion of GIS technologies and (2) encourage more extensive adoption of GIS technologies by conducting pilot demonstrations and workshops on implementation of GIS-based TAM practices. The guidance developed is intended to present for senior DOT leadership the busi- ness case for investment in GIS technologies and for practitioners information on lessons learned from leading current practice, approaches to evaluating benefits of adoption of GIS technologies, and strategies for how an agency can effectively apply GIS technologies in TAM. The research was conducted by a team led by Spy Pond Partners, LLC, of Arlington, MA. The research team conducted a critical review of recent experience among public- and private-sector users of GIS technologies for management of fixed-capital assets, consider- ing applications outside the transportation sector as well as within transportation agencies. By Andrew C. Lemer Staff Officer Transportation Research Board

From this review the team extracted important lessons regarding benefits and challenges in the adoption of these technologies. Using these lessons and other examples, the research team prepared guidance materials to present to senior DOT leadership the business case for adoption of GIS technologies in TAM. The team also produced guidance for DOT staff and contractors regarding the rationale and practical strategies for implementation of GIS- based TAM. These guidance materials were then tested and refined through a series of pilot demonstrations, workshops, and webinars engaging DOT personnel. The team’s final report presents this work and the resulting guides for senior DOT leader- ship and for TAM practitioners. The final report, meant to be used by DOT staff and others responsible for advancing TAM in their agencies, is structured to facilitate both strategic thinking about adoption of GIS in a DOT’s TAM activities and practical adoption of GIS technologies.

C O N T E N T S 1 Chapter 1 Introduction 1 1.1 Document Overview 1 1.2 Project Overview 4 Chapter 2 Guidance Development 4 2.1 Information Gathering 4 2.2 Synthesis of Lessons Learned 6 2.3 Case Studies 6 2.4 Executive Guide 7 2.5 Implementation Guide 8 Chapter 3 Outreach 8 3.1 Outreach Plan 8 3.2 Pilot Demonstrations 14 3.3 Workshops 16 3.4 Webinars 19 Chapter 4 Conclusions 21 Annex A Executive Guide 39 Annex B Implementation Guide 131 Annex C GIS/TAM Workshop Presentation Slides