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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2023. A Guide to Incorporating Maintenance Costs into a Transportation Asset Management Plan. Washington, DC: The National Academies Press. doi: 10.17226/27291.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2023. A Guide to Incorporating Maintenance Costs into a Transportation Asset Management Plan. Washington, DC: The National Academies Press. doi: 10.17226/27291.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2023. A Guide to Incorporating Maintenance Costs into a Transportation Asset Management Plan. Washington, DC: The National Academies Press. doi: 10.17226/27291.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2023. A Guide to Incorporating Maintenance Costs into a Transportation Asset Management Plan. Washington, DC: The National Academies Press. doi: 10.17226/27291.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2023. A Guide to Incorporating Maintenance Costs into a Transportation Asset Management Plan. Washington, DC: The National Academies Press. doi: 10.17226/27291.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2023. A Guide to Incorporating Maintenance Costs into a Transportation Asset Management Plan. Washington, DC: The National Academies Press. doi: 10.17226/27291.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2023. A Guide to Incorporating Maintenance Costs into a Transportation Asset Management Plan. Washington, DC: The National Academies Press. doi: 10.17226/27291.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2023. A Guide to Incorporating Maintenance Costs into a Transportation Asset Management Plan. Washington, DC: The National Academies Press. doi: 10.17226/27291.
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Below is the uncorrected machine-read text of this chapter, intended to provide our own search engines and external engines with highly rich, chapter-representative searchable text of each book. Because it is UNCORRECTED material, please consider the following text as a useful but insufficient proxy for the authoritative book pages.

2023 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 RESEARCH REPORT 1076 A Guide to Incorporating Maintenance Costs into a Transportation Asset Management Plan Brad W. Allen Kathryn A. Zimmerman Gregory M. Duncan Applied Pavement Technology, Inc. Urbana, IL Rob Zilay Je Holabaugh Dye Management Group Bellevue, WA Subscriber Categories Administration and Management • Maintenance and Preservation Research sponsored by the American Association of State Highway and Transportation Ofcials in cooperation with the Federal Highway Administration

NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM Systematic, well-designed, and implementable research is the most effective way to solve many problems facing state departments of transportation (DOTs) administrators and engineers. Often, highway problems are of local or regional interest and can best be studied by state DOTs individually or in cooperation with their state universities and others. However, the accelerating growth of highway transporta- tion results in increasingly complex problems of wide interest to high- way authorities. These problems are best studied through a coordinated program of cooperative research. Recognizing this need, the leadership of the American Association of State Highway and Transportation Officials (AASHTO) in 1962 ini- tiated an objective national highway research program using modern scientific techniques—the National Cooperative Highway Research Program (NCHRP). NCHRP is supported on a continuing basis by funds from participating member states of AASHTO and receives the full cooperation and support of the Federal Highway Administration (FHWA), United States Department of Transportation, under Agree- ment No. 693JJ31950003. The Transportation Research Board (TRB) of the National Academies of Sciences, Engineering, and Medicine was requested by AASHTO to administer the research program because of TRB’s recognized objectivity and understanding of modern research practices. TRB is uniquely suited for this purpose for many reasons: TRB maintains an extensive com- mittee structure from which authorities on any highway transportation subject may be drawn; TRB possesses avenues of communications and cooperation with federal, state, and local governmental agencies, univer- sities, and industry; TRB’s relationship to the National Academies is an insurance of objectivity; and TRB maintains a full-time staff of special- ists in highway transportation matters to bring the findings of research directly to those in a position to use them. The program is developed on the basis of research needs iden- tified by chief administrators and other staff of the highway and transportation departments, by committees of AASHTO, and by the FHWA. Topics of the highest merit are selected by the AASHTO Special Committee on Research and Innovation (R&I), and each year R&I’s recommendations are proposed to the AASHTO Board of Direc- tors and the National Academies. Research projects to address these topics are defined by NCHRP, and qualified research agencies are selected from submitted proposals. Administration and surveillance of research contracts are the responsibilities of the National Academies and TRB. The needs for highway research are many, and NCHRP can make significant contributions to solving 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 research 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 by going to https://www.mytrb.org/MyTRB/Store/default.aspx Printed in the United States of America NCHRP RESEARCH REPORT 1076 Project 23-08 ISSN 2572-3766 (Print) ISSN 2572-3774 (Online) ISBN 978-0-309-69921-1 Library of Congress Control Number 2023946509 © 2023 by the National Academy of Sciences. National Academies of Sciences, Engineering, and Medicine and the graphical logo are trade- marks of the 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, APTA, FAA, FHWA, FTA, GHSA, or NHTSA 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 research 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 National Academies of Sciences, Engineering, and Medicine. 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 Academies of Sciences, Engineering, and Medicine; the FHWA; or the program sponsors. The Transportation Research Board does not develop, issue, or publish standards or spec- ifications. The Transportation Research Board manages applied research projects which provide the scientific foundation that may be used by Transportation Research Board sponsors, industry associations, or other organizations as the basis for revised practices, procedures, or specifications. The Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; and the sponsors of the National Cooperative Highway Research Program do not endorse products or manufacturers. Trade or manufacturers’ names or logos appear herein solely because they are considered essential to the object of the report.

e National Academy of Sciences was established in 1863 by an Act of Congress, signed by President Lincoln, as a private, non- governmental institution to advise the nation on issues related to science and technology. Members are elected by their peers for outstanding contributions to research. Dr. Marcia McNutt is president. e National Academy of Engineering was established in 1964 under the charter of the National Academy of Sciences to bring the practices of engineering to advising the nation. Members are elected by their peers for extraordinary contributions to engineering. Dr. John L. Anderson is president. e National Academy of Medicine (formerly the Institute of Medicine) was established in 1970 under the charter of the National Academy of Sciences to advise the nation on medical and health issues. Members are elected by their peers for distinguished contributions to medicine and health. Dr. Victor J. Dzau is president. e three Academies work together as the National Academies of Sciences, Engineering, and Medicine to provide independent, objective analysis and advice to the nation and conduct other activities to solve complex problems and inform public policy decisions. e National Academies also encourage education and research, recognize outstanding contributions to knowledge, and increase public understanding in matters of science, engineering, and medicine. Learn more about the National Academies of Sciences, Engineering, and Medicine at www.nationalacademies.org. e Transportation Research Board is one of seven major programs of the National Academies of Sciences, Engineering, and Medicine. e mission of the Transportation Research Board is to provide leadership in transportation improvements and innovation through trusted, timely, impartial, and evidence-based information exchange, research, and advice regarding all modes of transportation. e Board’s varied activities annually engage about 8,000 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. e program is supported by state transportation departments, federal agencies including the component administrations of the U.S. Department of Transportation, and other organizations and individuals interested in the development of transportation. Learn more about the Transportation Research Board at www.TRB.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 RESEARCH REPORT 1076 Waseem Dekelbab, Deputy Director, Cooperative Research Programs, and Manager, National Cooperative Highway Research Program Jennifer L. Weeks, Senior Program Officer Anthony P. Avery, Senior Program Assistant Natalie Barnes, Director of Publications Heather DiAngelis, Associate Director of Publications NCHRP PROJECT 23-08 PANEL Field of Administration—Area of Agency Administration Anita K. Bush, Nevada Department of Transportation, Carson City, NV (Chair) John H. Daly, Alpha Infrastructure Management Group, Flint, MI Christopher M. Diaczok, Maryland Department of Transportation, Hanover, MD Louis E. Feagans, Jr., Indiana Department of Transportation, Indianapolis, IN Ning Li, Virginia Department of Transportation, Richmond, VA Nadereh Moini, New Jersey Sports & Exposition Authority, Lyndhurst, NJ Patrick Norman, North Carolina Department of Transportation, Carthage, NC Ken Valentine, Vermont Agency of Transportation, Barre, VT Steven J. Wilcox, Mott MacDonald, Saratoga Springs, NY Morgan Kessler, FHWA Liaison

NCHRP Research Report 1076: A Guide to Incorporating Maintenance Costs into a Trans- portation Asset Management Plan provides asset management and maintenance management professionals with a six-part framework for incorporating maintenance costs and assets into a transportation asset management plan (TAMP). The Guide presents a user-friendly framework that leads practitioners through all phases of TAMP development and execution, including data collection, life-cycle planning, risk management, financial planning, and capital programming. Similarly, it provides direction on how to incorporate specific cate- gories of maintenance activities into the TAMP process. The Guide will be of interest to transportation planners, asset managers, and maintenance managers responsible for inte- grating maintenance into TAMPs. Transportation asset management involves a strategic and systematic process for operat- ing, maintaining, and improving transportation assets. The Moving Ahead for Progress in the 21st Century (MAP-21) Act included requirements for state departments of transpor- tation (DOTs) to complete TAMPs of all pavement and bridge assets every 4 years to help agencies maximize the useful life of an asset. TAMPs include a 10-year financial plan with corresponding investments for meeting the plan’s goals and objectives. The costs of future anticipated work must be considered within this plan [23 CFR 515.7(e)(4)], including the initial construction, maintenance, preservation, rehabilitation, and reconstruction of agency assets. Initial assessments of TAMPs submitted to the Federal Highway Administration in 2019 indicated a gap in the inclusion of maintenance cost forecasts for both the pavement and bridge categories of assets that are tracked in TAMPs. Accurate estimation and inclusion of maintenance activities’ costs into TAMPs will improve an agency’s ability to manage and achieve the maximum value of agency assets. Under NCHRP Project 23-08, “A Guide for Incorporating Maintenance Costs into a Transportation Asset Management Plan,” Applied Pavement Technology was tasked with developing a practical guide to incorporating maintenance costs into a risk-based TAMP. Using input from state DOTs collected through a literature review and stakeholder engage- ment, the Guide leads practitioners through a six-part framework designed to tackle the biggest challenges agencies face in projecting future maintenance costs in TAMP activities, including defining appropriate maintenance tasks for the TAMP, identifying and using data to facilitate TAMP planning, conducting life-cycle planning techniques, developing strategies for projecting maintenance costs, and integrating maintenance activities into a 10-year financial plan. F O R E W O R D By Jennifer L. Weeks Staff Officer Transportation Research Board

The Guide is accompanied by an executive summary, a final report detailing the con- duct of research, an announcement to market the research, a technical memo outlining implementation strategies, and a presentation with an overview of the project to inform the transportation asset management community about the research. These materials can be found on the National Academies Press website (nap.nationalacademies.org) by searching for NCHRP Research Report 1076, as can the associated NCHRP Web-Only Document 372: Incorporating Maintenance Costs into a Transportation Asset Management Plan.

1 Chapter 1 Introduction 1 Background 2 Relationship to Existing Guidance 2 Challenges to Incorporating Maintenance into TAMP Processes 4 Overcoming the Challenges 5 Guide Organization 7 Chapter 2 Defining and Categorizing Maintenance Activities 7 The Lack of Consistency in Defining Maintenance 8 Strategies for Maintaining Assets 10 The Implications of Selecting a Maintenance Strategy 16 Chapter 3 Data to Support Integrating Maintenance into a TAMP 16 Maintenance Data to Support TAMP Development 16 How Much Data Is Enough Data? 21 Assessing Data Readiness 26 Collecting Maintenance Cost Data 32 Chapter 4 Incorporating Maintenance into Life-Cycle Planning 32 What Is Life-Cycle Planning? 33 Is Life-Cycle Planning the Same as a Life-Cycle Cost Analysis? 35 Approaches for Considering Maintenance Costs in an LCP Analysis 39 Understanding the Cost to Maintain New Assets 40 Understanding the Cost of Delayed Maintenance 42 Chapter 5 Incorporating Maintenance into Risk Management 42 Background 44 Mitigation Risk Events 46 Mitigating the Risk of Long-Term Change or Trends 46 Preparing Maintenance for the Future 48 Chapter 6 Incorporating Maintenance into Financial Plans 48 The Purpose of a Financial Plan 48 Financial Plan Development Process 53 Forecasting Maintenance Costs 55 Chapter 7 Incorporating Maintenance into Investment Strategies 55 Investment Strategies 55 Investment Strategy Development Process C O N T E N T S

65 Chapter 8 Implementation and Continual Improvement 65 Coordinating Maintenance with the Capital Program 68 Defining Required Competencies 69 Building Maintenance Crew Capabilities 70 Building Maintenance Contract Capacity 72 Organizational Strengthening: Building Maintenance Capacity 72 Continual Improvement 74 References and Bibliography Note: Photographs, figures, and tables in this report may have been converted from color to grayscale for printing. The electronic version of the report (posted on the web at nap.nationalacademies.org) retains the color versions.

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Since 2018, State departments of transportation (DOTs) have been required to develop risk-based transportation asset management plans (TAMPs) and to update processes for developing these plans every four years. To date, several DOTs have described challenges in showing clear connections between maintenance investments and asset condition.

NCHRP Research Report 1076: A Guide to Incorporating Maintenance Costs into a Transportation Asset Management Plan, from TRB's National Cooperative Highway Research Program, leads practitioners through a six-part framework designed to tackle the biggest challenges agencies face in projecting future maintenance costs in TAMP activities. Supplemental to the report is a pocket guide.

Supplemental to the report are NCHRP Web-Only Document 372: Incorporating Maintenance Costs into a Transportation Asset Management Plan, an Executive Summary, an Implementation Memorandum, an Overview Presentation, and a Publication Announcement.

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