1、Transportation AssetManagement GuideNovember 2002prepared forNational Cooperative Highway Research Program(NCHRP) Project 20-24(11)American Association of State Highway and Transportation Officials444 North Capitol Street, NWSuite 249Washington, DC 20001 Pub Code: RP-TAMG-1Transportation Asset Manag
2、ement Guide November 2002 prepared for National Cooperative Highway Research Program (NCHRP) Program 20-24(11) prepared by Cambridge Systematics, Inc. with Parsons Brinckerhoff Quade insti-tutional relationships between DOTs and other public and private groups; multimodal transportation plan-ning; p
3、rogram development for capital projects and for maintenance and operations; delivery of agency programs and services; and real-time and periodic system monitoring. All of these management proc-esses have important implications for an agencys attainment of its goals in public policy, financial resour
4、ce availability, engineering standards and crite-ria, maintenance and operations levels of service, and overall system performance. A number of support activities are involved as well. Information technology can inform many of these management processes, and agencies have already expended considerab
5、le sums to develop asset man-agement systems, databases, and other analytic tools. These systems must, however, complement the decision-making processes and organizational struc-tures of individual agencies if they are to operate effectively and support good asset management at all organizational le
6、vels. Effective communication of information on asset management between an agency and its governing bodies, stakeholders, and customers is likewise critical to success. The objectives of this study have been to gather information on asset management practices in the United States and overseas, deve
7、lop a framework for transportation asset management, and apply this framework to produce a Transportation Asset Management Guide. The study has been organized in two phases: Phase I encompassed information gathering, framework development, and recommendation of a research program; and Phase II has p
8、roduced this Guide. 2002 by the American Association of State Highway and Transportation Officials.All rights reserved. Duplication is a violation of applicable law.Foreword ii Transportation Asset Management Guide The work in Phase I has been documented in three reports: 1. A comprehensive framewor
9、k for transportation asset management that established the basis for developing this Guide; 2. A synthesis of current information and practices in asset management; and 3. A prioritized program of research in asset management. This Guide builds on this earlier work to provide state DOTs and other tr
10、ansportation agencies guidance on implementing asset management concepts and prin-ciples within their business processes. At its core, asset management deals with an agencys decisions in resource allocation and utilization in managing its system of transportation infrastructure. Asset man-agement is
11、 a way of looking at an agencys “way of doing business” to see if there are better ways to reach decisions in infrastructure management e.g., by basing decision methods and criteria on current policy guidance, considering a range of alternatives, focusing on outcomes of decisions, and applying more
12、objec-tive information to decisions. Asset management therefore relates to existing agency functions e.g., participating in and informing the development of transportation policies, long-range planning, priority programming and development of the statewide transportation improvement program (STIP),
13、delivering programs and services, and moni-toring system condition. It is not a separate function on its own, nor is it a complete departure from current practice. In fact, while all agencies reflect good asset management to some degree in their daily operations, all have room for improvement: “Ever
14、yone is doing something, but no one is doing everything.” The intent of this Guide is to provide individual agencies with the flexibility to tailor and customize their asset management efforts to their particular needs and situations, with an effort as broad or as narrow as they choose to undertake.
15、 The Guide provides a self-assessment exercise to assist agencies in identifying where they may wish to focus their asset management efforts. This edition is the initial version of the Transportation Asset Management Guide. It will assist transportation agencies in becoming familiar with the ideas a
16、nd techniques by which asset management can influence their resource allocation and utilization processes and decisions. Since transportation asset management is a continually and rapidly evolving field, the AASHTO Strategic Plan envisions periodic updates of this Guide to reflect changes in transpo
17、rtation policy and to be able to report current DOT experiences and practices. The Strategic Plan also recommends a number of tasks and research efforts, results of which will likewise be useful additions to future versions of this Guide. 2002 by the American Association of State Highway and Transpo
18、rtation Officials.All rights reserved. Duplication is a violation of applicable law.TABLE OF CONTENTS Transportation Asset Management Guide iii FORWARD i SUMMARY S-1 S.1 Strategic Infrastructure Management. S-1 S.2 Goals and Benefits of Asset Management S-1 S.3 Principles of Asset Management. S-2 S.
19、4 Management Framework and Self-Assessment S-2 S.5 Organization of the Guide . S-3 1.0 INTRODUCTION . 1-1 1.1 Transportation Asset Management. 1-1 1.2 Benefits and Outcomes . 1-3 1.3 Building on Previous Work . 1-4 1.4 Getting Started. 1-7 2.0 FRAMEWORK AND PRINCIPLES . 2-1 2.1 Developing the Concep
20、t. 2-1 2.2 Principles of Good Practice 2-4 2.3 Management Framework. 2-8 2.4 Customizing and Asset Management Approach 2-13 3.0 SELF-ASSESSMENT 3-1 3.1 Introduction to Self-Assessment . 3-1 3.2 Self-Assessment Exercise 3-3 3.3 Where Next?. 3-8 4.0 DEVELOPING A STRATEGY. 4-1 4.1 Setting the Stage 4-1
21、 4.2 Define the Scope of Asset Management. 4-6 4.3 Establish Roles and Responsibilities. 4-8 4.4 Build an Action Plan . 4-8 5.0 POLICY GOALS AND OBJECTIVES 5-1 5.1 Introduction . 5-1 5.2 Role of Policy Guidance . 5-1 5.3 Improved Policy-Making . 5-2 5.4 Relating Policy to Performance . 5-4 5.5 Playi
22、ng a Proactive Role in Policy Formulation 5-6 2002 by the American Association of State Highway and Transportation Officials.All rights reserved. Duplication is a violation of applicable law.TABLE OF CONTENTS (CONTINUED) iv Transportation Asset Management Guide 6.0 PLANNING AND PROGRAMMING 6-1 6.1 I
23、ntroduction . 6-1 6.2 Long-Range Planning . 6-1 6.3 Capital Programming Process . 6-6 6.4 Program Structure and Definition 6-12 6.5 Maintenance and Operations Programming . 6-15 7.0 PROGRAM DELIVERY . 7-1 7.1 Overview 7-1 7.2 Alternative Delivery Methods. 7-1 7.3 Program Management 7-9 7.4 Cost Trac
24、king . 7-13 8.0 INFORMATION AND ANALYSIS . 8-1 8.1 Overview 8-1 8.2 Information Needs and Data Quality. 8-1 8.3 Data Integration and Accessibility 8-7 8.4 Decision Support . 8-10 8.5 Systems Monitoring and Feedback. 8-17 8.6 Reporting and Documentation 8-20 9.0 IMPLEMENTATION . 9-1 9.1 Introduction
25、. 9-1 9.2 Example First Steps. 9-1 9.3 Looking to the Long Term . 9-3 9.4 Final Thoughts. 9-8 GLOSSARY G-1 2002 by the American Association of State Highway and Transportation Officials.All rights reserved. Duplication is a violation of applicable law.LIST OF TABLES Transportation Asset Management G
26、uide v 2.1 Examples of How Asset Management May Influence Current Business Practices 2-6 2.2 Policy Goals and Objectives . 2-9 2.3 Planning and Programming. 2-10 2.4 Program Delivery. 2-11 2.5 Information and Analysis. 2-11 3.1 Policy Guidance Diagnostic 3-10 3.2 Planning and Programming. 3-11 3.3 P
27、rogram Delivery Diagnostic. 3-12 3.4 Information and Analysis Diagnostic . 3-13 4.1 Sample Implementation Plan Format . 4-12 6.1 Examples of Potential Tradeoffs Between Types of Program Investments . 6-10 6.2 Illustration of a Tradeoff Analysis. 6-11 7.1 Delivery Method Summary 7-10 7.2 Examples of
28、Program Delivery Performance Measures. 7-12 7.3 Cost Data Types and Uses 7-13 7.4 FMS versus MMS Cost Tracking Comparisons . 7-14 2002 by the American Association of State Highway and Transportation Officials.All rights reserved. Duplication is a violation of applicable law. 2002 by the American Ass
29、ociation of State Highway and Transportation Officials.All rights reserved. Duplication is a violation of applicable law.LIST OF FIGURES Transportation Asset Management Guide vii 1.1 FHWAs Overview of Transportation Asset Management 1-5 2.1 Example Resource Allocation and Utilization Process in Asse
30、t Management 2-2 2.2 Managed Business Process . 2-4 4.1 Policies Support Preservation 4-2 4.2 Life-Cycle-Cost Approach Used for Asset Preservation 4-2 4.3 Policies Support Life-Cycle Approach 4-3 4.4 Policy Guidance Supports Performance-Based Approach. 4-3 4.5 Agency Proactively Works with Policy-Ma
31、kers 4-3 4.6 Long-Range Plans Provide Programming Guidance 4-4 4.7 Evaluation Criteria Are Consistent with Policies 4-4 4.8 Alternative Delivery Options Evaluated 4-5 4.9 Process for Program Adjustments . 4-5 4.10 Sufficient Condition Information Collected . 4-5 4.11 System Models Reflect Actual Ass
32、et Deterioration Rates 4-6 5.1 Policy Goals and Objectives within Resource Allocation and Utilization . 5-1 6.1 Planning and Programming within Resource Allocation and Utilization. 6-1 6.2 Example of Information for Use in a Planning Tradeoff Analysis 6-5 6.3 Original Program Structure 6-13 6.4 New,
33、 More Streamlined Program Structure. 6-13 6.5 Maintenance Quality Assurance Framework. 6-17 7.1 Program Delivery within Resource Allocation and Utilization 7-1 7.2 Virginia DOT Maintenance Outsourcing Map 7-8 8.1 Information and Analysis within Resource Allocation and Utilization . 8-1 8.2 Data Impr
34、ovement Model 8-2 8.3 Typical Infrastructure Management Systems 8-11 8.4 Typical Management Systems in Transportation Operations, Safety, and Customer Service 8-12 8.5 Typical Systems to Manage Agency Resources . 8-13 8.6 Typical Systems to Manage Programs and Projects 8-14 8.7 Example of Budget Sce
35、narios and Effects on Infrastructure Condition . 8-16 8.8 Resulting Relationship Between Infrastructure Condition and Needed Expenditure. 8-16 8.9 Feedback Loops within Resource Allocation and Utilization 8-17 2002 by the American Association of State Highway and Transportation Officials.All rights
36、reserved. Duplication is a violation of applicable law.SUMMARY Transportation Asset Management Guide S-1 S.1 STRATEGIC INFRASTRUCTURE MANAGEMENT Transportation asset management represents a strategic approach to managing transportation infrastructure assets. It focuses on a department of transportat
37、ions (DOT) business processes for resource allocation and utilization with the objective of better decision-making based upon quality information and well-defined objectives. Recognizing its growing importance to transportation agencies worldwide, the American Association of State Highway and Transp
38、ortation Officials (AASHTO) in 1998 adopted asset management as a strategic initiative, and formed a Task Force to develop and implement a Strategic Plan for Transportation Asset Management.1 This NCHRP Project 20-24(11) has completed several tasks in the AASHTO Strategic Plan: Task 2-1-1 Identify a
39、nd document the state-of-the-art in asset management, specifically applica-ble to the state departments of transportation. Task 2-2-1 Identify and document the state-of-the-practice in asset management among the AASHTO member states. Task 2-3-1 Identify knowledge and technology gaps and define futur
40、e research projects. Task 2-4-1 Propose a generic framework for transportation asset management that can be adopted by member states to meet their indi-vidual needs. Task 5-1-1 Develop an AASHTO Guide for Transportation Asset Management. S.2 GOALS AND BENEFITS OF ASSET MANAGEMENT The value of asset
41、management will be reflected in its outcomes and benefits to transportation agencies and their customers. The key principles of asset manage-ment represent a way of doing business a perspec-tive that a department can adopt in looking at its current procedures and seeing how better decisions on 1 Thi
42、s Strategic Plan was adopted by the AASHTO Board of Directors in December 2000. infrastructure management can be made with better information. The goals of asset management are to: Build, preserve, and operate facilities more cost-effectively with improved asset performance; Deliver to an agencys cu
43、stomers the best value for the public tax dollar spent; and Enhance the credibility and accountability of the transportation agency to its governing executive and legislative bodies. Asset management can touch nearly every aspect of a transportation agencys business, including planning, engineering,
44、 finance, programming, construction, maintenance, and information systems. Asset man-agement should not be viewed, however, as yet another new program, requiring another new bureaucracy. Rather, asset management is a “way of doing business.” It brings a particular perspective to how an agency conduc
45、ts its existing procedures, reaches decisions, and applies its IT capabilities. It suggests principles and techniques to apply in policy-making, planning, project selection, program trade-offs, program delivery, data gathering, and management system application. This Guide is designed to help you id
46、entify where improvements in these processes can be made, and to suggest ideas and methods to do so. It will enable you to answer the following questions: How can your agency improve the way it cur-rently is managing its assets? Are current and planned initiatives sufficient, or do they require modi
47、fication, addition, or redirection? What approaches may work well in your agency or have worked well in other agencies similar to yours? The benefits of asset management may be seen in many different ways, depending upon an agencys transportation system, management philosophy, and current resources
48、and priorities. Following are some possible outcomes when an agency takes action to improve its asset management practices: Lower long-term costs for infrastructure preservation; Improved performance and service to customers; 2002 by the American Association of State Highway and Transportation Offic
49、ials.All rights reserved. Duplication is a violation of applicable law. Improved cost-effectiveness and use of available resources; A focus on performance and outcomes; and Improved credibility and accountability for decisions and expenditures. S.3 PRINCIPLES OF ASSET MANAGEMENT Asset Management Is a Strategic Approach. A strategic perspective takes a long view of infra-structure performance and cost, and considering options in a comprehensive, proactive, and informed way. It is driven by policy goals and objectives
