Successful Practices in GIS-Based Asset Management (2015)

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4C H A P T E R 2 2.1 Information Gathering The first task in this study was to gather information about current practice in using GIS in support of asset manage- ment. The focus was on applications of GIS for transportation asset management, but there was also interest in identify- ing advanced or innovative examples of asset management applications in other industries that could have applicability for transportation. The research team conducted a literature review, solicited information about GIS applications from the vendor community, and conducted interviews with transpor- tation agency staff. The literature review included over 100 references, identified through searches of the Transportation Research International Documentation (TRID) database and known websites [e.g., Federal Highway Administration (FHWA), Urban and Regional Information Systems Association (URISA), GIS-T Conference Proceedings, etc.] Because asset-management software vendors, data collec- tion vendors, and system implementation consultants bring experience from a variety of agencies, the research team sent a request for information about notable GIS/TAM applica- tions to leading companies, identified based on the team’s professional experience. Twenty-two application examples were submitted, using a standard format defined by the research team to highlight application functions and notable features. Finally, the research team conducted in-depth interviews with six state DOTs and two local agencies in the United Kingdom and Australia. These interviews were intended to identify current practices and lessons learned from a sample of agencies that are generally recognized as progressive with respect to implementation of GIS. The products of Task 1 were an annotated bibliography, a set of vendor case study examples, and a set of agency inter- view summaries. 2.2 Synthesis of Lessons Learned Task 2 synthesized the materials gathered in Task 1. The syn- thesis was organized into three parts: examples of successful applications, documented benefits and return on investment from GIS/TAM implementation, and successful approaches to enhancing use of GIS for asset management. Technical Memo 1 was drafted and provided a detailed summary of this material; key findings are summarized below. Examples of Successful Applications Agencies are using GIS tools to support business processes for asset management, including data collection, commu- nication of information about asset condition and needs, treatment selection and prioritization, work planning and management, and disaster recovery. Applications for data collection and display/communication are most common. The more sophisticated examples of integrating GIS tools within strategic and operational decision making are from local jurisdictions that have implemented integrated asset management systems covering a wide range of asset classes, and utilities with real-time monitoring capabilities. Specific examples of applications are highlighted below. Data Collection • Collecting (and updating) spatially-referenced asset inven- tory and condition data (including images) in the field using video, light imaging detection and ranging (LiDAR) technology, and hand-held GPS-enabled devices—with real-time or near real-time updates to master databases. • Assigning location referencing to capital projects as they are defined and maintenance activities as they are completed. Guidance Development

5 • Crowd-sourcing information on asset deficiencies and needs from customers—directly from GPS-enabled smartphones or from specially designed websites allowing customers to specify locations. Communication with Customers, Stakeholders, and Decision Makers • Making information available via smartphone apps about facility maintenance responsibilities to ensure that work requests are properly directed. • Gathering stakeholder feedback on proposed plans and projects. • Presenting current and historical system performance to agency executives and legislative staff. • Sharing a variety of information needed for asset manage- ment and project scoping (inventory, condition, planned projects, traffic, etc.) via web-based map interfaces within and outside of the agency. • Presenting candidate or programmed projects including GIS layers providing backup information used for estab- lishing priorities (e.g., average daily traffic, functional class, remaining life, etc.). Improved Maintenance, Repair, and Replacement Strategies • Analyzing historical maintenance and inspection records to detect patterns and understand trends. • Tracking asset value and aggregating this information across asset classes by selected geographic areas. • Prioritizing maintenance and rehabilitation activities through spatial analysis considering level of service stan- dards, maintenance history, traffic, freight movements, congestion levels, crashes, seismic activity, major genera- tors, growth projections, intermodal connections, natural features, and climate change-related risk factors. • Analyzing the relationship between weather (rainfall, tem- perature, freeze-thaw cycles) and pavement deterioration. Work Planning, Scheduling, and Management • Utilizing GIS-enabled customer call center applications that can be used to locate work requests and display real-time status of work requests and projects on maps. • Utilizing maintenance management applications with auto- mated workflow from defect reporting using mobile apps, work scheduling, resource deployment, completion tracking, inventory updating, and financial tracking. • Developing preventive maintenance programs encompass- ing multiple assets based on location. • Coordinating work scheduling across assets within a corridor. • Tracking real-time locations of maintenance vehicles for improved dispatching, materials stocking, and priority response efficiencies. Disaster Recovery • Identifying assets damaged or destroyed as a result of natu- ral disasters for guiding restoration planning. Benefits and Return on Investment Five references were identified that quantified positive net benefits or return on investment (ROI) from GIS imple- mentation. In general, these analyses emphasized staff time savings due to automation of data collection, management, mapping, and analysis tasks. One study also included benefits from improved decision making based on safety improve- ments, litigation risk reductions, construction change order reductions, project cost reductions (from enhanced scoping), and improved maintenance efficiencies. In addition, several vendors provided quantitative examples of cost savings from system implementations, though detailed backup for these examples was not made available. Several challenges inherent in analyzing ROI for a proposed GIS-TAM initiative include prediction of costs for multi-year enterprise scale initiatives, distinguishing costs and benefits specifically attributable to use of GIS as opposed to those that would result from an automated system without GIS capabili- ties, accounting for uncertainty, quantifying intangible benefits such as improved decision making and enhanced customer ser- vice, and accounting for changes in behavior that result from availability of new tools and information presentation methods. A framework for describing value and ROI associated with GIS applications for asset management was developed that relates specific GIS-TAM capabilities to value added. Key components of benefit that can be assessed include: • Data Collection Efficiency—staff time savings from auto- mated data collection, capture, processing, quality assur- ance, and loading; reduced risk of worker injury due to less field time. • Maintenance and Project Management Efficiency—staff time savings from streamlined and integrated business processes and optimized deployment of staff and equip- ment, lower likelihood of project overruns due to improved access to current expenditure information. • Decision Support Efficiency—staff time savings from automation of data integration, mapping, and analysis tasks; and reduced need for on-site review time.

6• Project and Program Development Effectiveness— improved prioritization based on understanding of multi- ple complex factors, improved project scoping based on understanding of root causes and ongoing maintenance costs, and ability to package work for efficiency. • Improved Program Development—improved ability to analyze implications of program changes. • Risk Avoidance—reduced failure risks for critical assets, potentially leading to lower insurance costs. • Disaster Recovery—greater likelihood of full FEMA reimbursement based on availability of accurate records of asset inventory by location. • Accountability and Credibility—enhanced reputation and level of public trust gained through information sharing. Barriers and Success Factors Seven key ingredients for success—and associated barriers that tend to impede agency progress—were identified based on the literature review: • Sustained Executive Support—this is especially critical when major investments and multi-year initiatives are required to fill gaps in foundational GIS tools and data. • Business Unit Manager Engagement—managers respon- sible for asset and maintenance management must recog- nize opportunities for using GIS and serve as champions for implementation. • GIS Expertise and Tools—asset management unit staff must have access to GIS tools and must have the necessary expertise to use these tools and access the data they need to perform analyses. • Accurate Foundational Geospatial Data—the organiza- tion must have an accurate base map with road centerlines and jurisdiction boundaries and a centrally-managed linear referencing system (LRS) to provide the foundation for data collection, storage, analysis, and display. • Data Sets That Can Be Geospatially Integrated and Shared—consistent location referencing must be used and standards for accuracy and precision must be established to enable different data sets to be integrated and produc- tively analyzed. • Management Systems Integrated with GIS—agencies must implement processes for integrating spatially-referenced information across different maintenance, asset, and financial management systems—that often use varying methods for asset location across systems. They must also implement processes to keep asset location data in sync as the base network changes. • Coordinated Approaches to Field Data Collection— agencies that pursue a coordinated and consistent approach across business units for field data collection can facilitate data integration, achieve economies of scale, and spread the cost of investments in new technologies across multiple data collection efforts. 2.3 Case Studies The research team identified the following selected case studies to supplement the extensive set of examples already identified in Phase 1 of the project: • West Virginia DOT—fast track implementation of GIS capabilities in conjunction with ERP and asset manage- ment system deployment. • Washington State DOT—Use of GIS for asset management decision support. • Maryland State Highway Administration—integration of GIS within the agency’s approach to asset management. • Utah DOT—use of GIS for external communication, data sharing in the cloud, use of spatially-referenced asset inventory data for project scoping within field offices. • Illinois DOT—building foundation data through an out- sourced approach. Case studies were developed through interviews with GIS and asset management staff at these agencies and review of relevant documents and websites. Each of these case studies is included in the Implementation Guide. 2.4 Executive Guide Based on the lessons learned, a draft Executive Guide was developed. The purpose of the Executive Guide is to pro- vide a high level overview of how GIS can be used within TAM business processes, how agencies can benefit from these applications, and how agencies can approach putting these capabilities in place. Following panel review of the initial Executive Guide, revisions were made to shorten the docu- ment, sharpen the messages, and present information in a highly graphical format. The revised version of the Executive Guide is a 15-page document structured as follows: • An attention-grabber that introduces three potential appli- cations of GIS for asset management that can save agencies money and improve communication with elected officials (one page). • An overview of the guide and a question for executives to consider: “Is your agency maximizing the use of GIS for transportation asset management?” (one page). • An overview of TAM (one page) • An overview of GIS (one page). • Benefits of using GIS for TAM (one page). • ROI examples (one page). • Opportunities to leverage GIS for more effective asset management—overview and examples (six pages).

7 • Sizing up agency capabilities—a checklist (one page). • Making it happen—tips on key implementation ingredi- ents (one page). • Further reading (one page). The complete Executive Guide is included as Annex A. 2.5 Implementation Guide An initial outline for the Implementation Guide was devel- oped during Phase 1 of the project. This outline included the following major sections: Section 1: Using GIS to Support Transportation Asset Management Establish the business context within which GIS technol- ogy is used and highlight key opportunities for using GIS within each business process. Section 2: Applications Catalog Present concrete examples of practical applications of GIS in asset management. Section 3: Successful Practices Describe strategies for successful implementation of GIS for TAM. Section 4: Implementation Planning Present a step-by-step approach to assessing existing capa- bilities and planning for improvements to these capabilities. Based on feedback at the March 2013 panel meeting, the Implementation Guide structure was modified and a pre- liminary draft was developed. One major comment that was addressed was to incorporate material that would help agen- cies to assess their existing level of implementation progress or maturity. This draft was further refined based on addi- tional input from the panel. A series of conceptual maps was added corresponding to each of the five identified asset man- agement business processes. These maps were designed to illustrate how GIS can be used to support key asset manage- ment functions. In addition, a series of figures was included with sample GIS data layers that are of value for asset man- agement. A figure was also added listing a standard set of steps for integrating a new GIS data source. Further modifications to the Guide were made during the outreach phase of the project, following discussions with the state DOT participants in the three pilot demonstrations, and based on feedback from workshop participants. These modi- fications were relatively minor in nature, and consisted of (1) updates to the types of GIS/TAM capabilities associated with different implementation levels and (2) additions to the lists of spatial data layers for asset management that were included. The final Implementation Guide outline is shown below; the complete Guide is included as Annex B. 1. Introduction Purpose of This Guide Guide Organization Definitions Setting the Context—The Practice of Transportation Asset Management TAM+GIS: Using GIS for More Effective Transportation Asset Management 2. Assessing Your Agency’s Capabilities Levels of GIS Implementation for Transportation Asset Management Understand the State of the Assets GIS Capabilities by TAM Business Process Assess and Manage Risks Identify Needs and Work Candidates Develop Programs Manage and Track Work Taking Stock Assessing the Agency’s GIS Foundation Using the Assessment Results: Developing an Overall Strategy For Agencies with a Relatively Weak GIS Foundation For Agencies with a Relatively Strong GIS Foundation 3. Evaluating Initiatives for Advancing Capabilities Options for Moving Forward Building a Business Case for GIS/TAM Initiatives Step 1: Articulate the Business Need Step 2: Define Options for Meeting the Business Need Step 3: Identify Costs for Each Option Step 4: Identify Benefits of Each Option Step 5: Identify Risks Step 6: Put It All Together 4. Getting It Done: Ingredients for Success The Seven Ingredients for Success Ingredient 1: Management Commitment and Organiza- tional Alignment Ingredient 2: GIS Tools and Expertise Ingredient 3: Well-Defined and Proactive Data Stewardship Ingredient 4: Accurate and Complete Foundational Geo- spatial Data Ingredient 5: Consistent Data Standards Enabling Spatial Data Integration Ingredient 6: Management Systems Linked with GIS Ingredient 7: Coordinated Data Collection Across the Agency Case Studies References Appendix A: Applications Catalog Appendix B: Resources