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67 A p p e n d i x A This section presents brief summaries of the five reports that were reviewed in detail to col- lect information on the process and principles used to allocate resources to meet highway asset preservation needs. NCHRP Project 20-74 âDeveloping an Asset-Management Framework for the Interstate Highway Systemâ (NCHRP Report 632) (6) The objective of NCHRP Project 20-74 was to develop a practical framework for applying asset management principles and practices to managing Interstate Highway Systems (IHS) investments. The framework developed through the project is intended to provide a basis for making decisions across asset classes in an integrated manner and from a systemwide perspective about operation and maintenance as well as new construction and reconstruction. Summary of Information Presented in this Report: The information presented in this report provides a good understanding of the state-of-the-practice in asset management, framework for managing interstate highway assets, asset categories and asset types, the analytical tools, and the performance measures for making resource allocation decisions. The summary of key information presented in this report is as follows: ⢠Asset management process that incorporates the issues of significance to managing IHS ⢠Guidance for implementing IHS Asset Management Framework and a demonstration of the application of IHS Asset Management Framework ⢠Grouping of different highway asset types into four major asset categories, namely Roads, Structures, Safety Features, and Facilities ⢠Recommended core and additional performance measures by different performance categories, such as Preservation, Mobility, Safety, and Environment ⢠Enumeration of all the analytical tools commonly used in the industry and the context to the analytical tools, such as business rules, analysis data, analysis parameters, and core asset data The approach to defining performance measures is also available. NCHRP Synthesis of Highway Practice 371: Managing Selected Transportation Assets: Signals, Lighting, Signs, Pavement Markings, Culverts, and Sidewalks (8) The objectives of this synthesis were to gain a better understanding of the state-of-the-practice for managing transportation infrastructure assets other than pavements and bridges, to identify best practices, and to document gaps in existing knowledge and needs for further research. The study focused primarily on six types of âselectedâ assets: ⢠Traffic signals, including structural components ⢠Lighting, including structural components Literature Review Summary
68 Resource Allocation Logic Framework for Highway Asset preservation ⢠Signs, both ground-mounted (or roadside) and overhead, including structural components ⢠Pavement lane striping and other markings ⢠Drainage culverts and pipes (but not bridges) ⢠Sidewalks, including the walkway itself, curbs, and corners on urban roads and streets (corner curbs, and curb cuts and ramps, if present) This synthesis examined several key aspects of asset management related to the six selected infrastructure assets, including primary sources of technical guidance for management; basic approaches to budgeting for and conducting preservation, operation, and maintenance; orga- nizational responsibilities for ongoing maintenance; measurement of asset condition and per- formance, including methods and frequencies of data collection; estimates of service lives (or deterioration models) for key components of the selected assets; and major gaps in knowledge that impede better asset management, with suggestions for future research. These data were gathered through a review of U.S. and international literature and a survey of state, provincial, county, and city transportation agencies in the United States and Canada. Summary of Findings: The information gathered provides a good understanding of the chal- lenges and issues related to managing non-bridge and non-pavement asset types, data availabil- ity, and guidelines to evaluate conditions of these assets. From an organizational, institutional, and procedural view, non-bridge and non-pavement assets present challenges in management, coordination, and data compilation. From an engineering and technical standpoint, selected assets comprise a number of components and materials, serve in many different environments, and are subject to many different types of deterioration. As such, developing the models that adequately explain these deterioration mechanisms and that can predict service lives for the complete range of possible conditions is a major challenge. NCHRP 20-68: U.S. Domestic Scan Program: Best Practices in Asset Management (4) The objective of this study was to identify best-case examples of the application of asset man- agement principles and practice in U.S. transportation agencies. Six state DOTs (Florida, Michi- gan, Minnesota, Ohio, Oregon, and Utah) were interviewed as a part of this study. The report presented the findings of this study under the following categories: decisionmaking process, asset management approach, management and data systems, results of system preservation strategy, and lessons learned. Summary of Findings ⢠All state DOTs interviewed use a Preserve First Policy and have implemented a performance- based asset management system. ⢠State DOTs use specific performance categories (e.g., safety, performance conditions, cus- tomer satisfaction, mobility) to make resource allocation decisions. ⢠Investment decisions are made to meet performance targets. ⢠Mostly private contractors are used to perform maintenance activities. ⢠Bridge and pavement management systems are more advanced than other maintenance management systems. A Flexible Framework for Sustainable Multi-Objective Cross-Asset Infrastructure Management (9) Detailed literature review revealed that there are very few reports that describe or present an analytical approach or framework that focuses on cross-asset management. Most asset manage- ment systems only allow for a stove-piped analysis for any asset (e.g., pavement, bridge). How- ever, the cross-asset management provides a unified approach for managing different types of assets in an integrated process. In this approach, instead of considering individual asset types
Literature Review Summary 69 independently, several types of assets are managed simultaneously. Based on the overall strategic level policies and asset values, resources are allocated across different asset types, such as road- ways, electrical facilities, and water-distribution facilities. The resources allocated to each asset category are then distributed within each asset class. At the strategic level, cross-asset management can be described as a process with the following four major steps: (1) setting strategic policies and objectives, (2) evaluation of performance mea- sures and indicators, (3) combining the indicators for each domain and developing and index for each domain, and (4) optimizing the allocation of resources for maximizing the achievement of the various goals within the available constraints. Overview of Resource Allocation and Utilization in Asset Management (Dehghanisanij and Flintsch 2004) (9) Cross-asset resource allocation involves identifying and measuring performance indicators for each aspect (e.g., safety, mobility, preservation). These aspects can then be integrated to develop a combined performance indicator for each asset. Optimization techniques can be used to allocate available resources based on defined objective functions and performance targets. Summary of Findings: This research paper presents the current practice in different steps of the cross-asset management process and presents the challenges in developing a cross-asset management framework. The key findings from this study include the following: ⢠Asset management in the context of multi-objective and multi-constraint domains is getting more attention from both decisionmakers and engineers. ⢠Goals and policies are being increasingly linked to performance measures. ⢠To simplify the decisionmaking process, different measures and indicators with different scales associated with different assets are increasingly merged into combined indices. ⢠Limitations in human, funding, and natural resources and an increasing trend toward con- sidering multiple objectives are reshaping asset management. ⢠Application of soft computing and optimization techniques capable of simultaneously con- sidering multiple objectives and constraints has shown great potential to enhance the process. ⢠The integration of more effective performance measures and multi-objective, cross-asset opti- mization techniques should allow a more efficient use of the available resources.
70 Resource Allocation Logic Framework for Highway Asset preservation NCHRP Report 551: Performance Measures and Targets for Transportation Asset Management (1) This report was published in 2006. The primary objectives of this project were to investigate performance measures suitable for use in an asset management approach that effectively address resource allocation in transportation facility preservation, operation, improvement, and expan- sion and develop a framework for establishing performance measures and setting targets for use in asset management practice. This study provides information on the following key topics: ⢠Current State-of-the-Practice. Presents the current state-of-the-practice with respect to per- formance measurement as it relates to asset management. The state-of-the-practice was deter- mined by conducting a literature interview and interviews with several transportation agencies. ⢠Criteria for Selecting Performance Measures for Asset Management. Presents the criteria for selecting performance measures useful for an asset management approach. The asset man- agement self-assessment tool was used to derive guidelines for identifying and using perfor- mance measures in an asset management context. ⢠Performance Measures Design Considerations for Use in Asset Management. Provides an in depth discussion of important considerations in designing and using performance mea- sures and setting performance targets in support of asset management. ⢠Recommended Framework for Incorporating Performance Measures in the Asset Manage- ment Practice. Presents the recommended framework for identifying, designing, and using performance measures for asset management and for setting performance targets. Key findings of this report are as follows: ⢠A number of state DOTs collect and manage performance measures in four major categories: Preservation, Mobility and Accessibility, Operations and Maintenance, and Safety. ⢠Agencies understand the importance of program delivery measures in achieving the results intended during resource allocation and in strengthening the credibility of the agency for com- municating both resource allocation recommendations and program delivery accomplishments. Information Relevant to the Research Allocation Project: The report presents several exam- ples of commonly used performance measures by different categories. This information served as a useful input for this study. The guidance for integrating performance measures into asset management practice also served as a useful input.
