AASHTO TAMGFI-1-2011 Transportation Asset Management Guide A Focus On Implementation.pdf

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1、 American Association of State Highway and Transportation Officials444 North Capitol Street, NW Suite 249Washington, DC 20001202-624-5800 phone/202-624-5806 faxwww.transportation.org 2011 by the American Association of State Highway and Transportation Officials. All rights reserved. Duplication is a

2、 violation of applicable law.ISBN: 978-1-056051-499-2 Publication Code: TAMGFI-1 2011 by the American Association of State Highway and Transportation Officials.All rights reserved. Duplication is a violation of applicable law.iiiExecutive Committee20102011Voting MembersOfficers:President: Susan Mart

3、inovich, NevadaVice President: Kirk Steudle, MichiganSecretary-Treasurer: Carlos Braceras, UtahRegional Representatives:REGION I: Vacant, One-Year TermGeorge Campbell, New Hampshire, Two-Year TermREGION II: Mike Hancock, Kentucky, One-Year TermH. B. “Buck” Limehouse, South Carolina, Two-Year TermREG

4、ION III: Thomas K. Sorel, Minnesota, One-Year TermVacant, Two-Year TermREGION IV: Amadeo Saenz, Jr., Texas, One-Year TermFrancis G. Ziegler, North Dakota, Two-Year TermNonvoting MembersImmediate Past President: Larry L. “Butch” Brown, MississippiAASHTO Executive Director: John Horsley, Washington, D

5、C 2011 by the American Association of State Highway and Transportation Officials.All rights reserved. Duplication is a violation of applicable law.ivSubcommittee on Asset ManagementThe Subcommittee on Asset Management includes members from the Standing Committee on Planning (SCOP), Standing Committe

6、e on Highways (SCOH), Standing Committee on Rail Transportation (SCORT), Standing Committee on Public Transportation (SCOPT), and the SCOH Maintenance Subcommittee.Chairman: Kirk Steudle, MichiganVice Chairman: Neil Pedersen, MarylandSecretary: Julius “Butch” Wlaschin, FHWAAASHTO Liaison: Matthew Ha

7、rdyJohn Adam, Iowa (SCOH)Ronald Adams, Wisconsin (SCORT)Angela Alexander, Georgia (SCOP)Michael Bridges, Louisiana (SCOFA)Scott Christie, Pennsylvania (SCOH)Paul Degges, Tennessee (SCOH)Tim Henkel, Minnesota (SCOP)Ahmad Jaber, Utah (SCOP)Martin Kidner, Wyoming (SCOP)Lacy Love, North Carolina (SCOH M

8、aintenance Subcommittee)Catherine Nelson, Oregon (SCOH)Ron Patton, South Carolina (SCOP)Gregory Slater, Maryland (SCOP)David Spacek, Illinois (SCOPT)Kenneth L. Sweeney, Maine (SCOH)Donald Vaughn, Alabama (SCOH)Larry Velasquez, New Mexico (SCOH)David Vieth, Wisconsin (SCOH) 2011 by the American Assoc

9、iation of State Highway and Transportation Officials.All rights reserved. Duplication is a violation of applicable law.vPrefaceThe AASHTO Transportation Asset Management GuideA Focus on Implementation, aims to encourage transportation agencies to address strategic questions as they confront the task

10、 of managing the surface transportation system. Drawn from both national and international knowledge and experience, it provides guidance to State Department of Transportation (DOT) decision makers, as well as county and municipal transportation agencies, to assist them in realizing the most from fi

11、nancial resources now and in the future, preserving highway assets, and providing the service expected by customers. Divided into two parts, Part One of the implementation guide focuses on leadership and goal and objective setting, while Part Two is more technically orientated.This implementation gu

12、ide is based on research conducted under National Cooperative Highway Research Program (NCHRP) Project 08-69, Supplement to the AASHTO Transportation Asset Management Guide: Volume 2A Focus on Implementation. AECOM served as prime contractor for the research with the assistance of subcontractors Pau

13、l D. Thompson and Spy Pond Partners. 2011 by the American Association of State Highway and Transportation Officials.All rights reserved. Duplication is a violation of applicable law.viAcknowledgmentsThe following people contributed to the preparation or review of the implementation guide.AECOMMark G

14、ordonGeorge JasonSmithOsama Tomeh (through May 2009)Brett ElstonPaul D Thompson (consultant)Spy Pond PartnersHyun-A ParkFrances HarrisonNCHRP Project PanelMichael Bridges, Louisiana Department of Transportation, ChairBrad Allen, P.E., New York State Department of TransportationAdjo Amekudzi, Georgia

15、 Institute of TechnologyJohn Daly, III, PhD, Genesee County Road CommissionLeonard Evans, Ohio Department of TransportationRachel Falsetti, P.E., California Department of TransportationTracy Larkin-Thomason, Nevada Department of TransportationLacy Love, North Carolina Department of TransportationBen

16、jamin Orsbon, AICP, South Dakota Department of TransportationJeffrey Smith, Maryland State Highway AdministrationSteve Gaj, Federal Highway AdministrationNadarajah “Siva” Sivaneswaran, Federal Highway AdministrationTransportation Research BoardThomas PalmerleeNCHRP StaffAndrew Lemer, PhDNanda Sriniv

17、asanCharlotte Thomas 2011 by the American Association of State Highway and Transportation Officials.All rights reserved. Duplication is a violation of applicable law.viiContentsList of Figures xvList of Tables xviiiList of Case Studies.xixChapter 1 An Overview to the Guide 1-11.1 Why TAM? . 1-21.1.1

18、 TAM Addresses Both Community and Political Needs . 1-21.1.2 TAM Is a Business Model 1-31.2 About the Guide 1-41.2.1 Aims of the Guide 1-41.2.2 Intended Audience: Who Should Use the Guide 1-51.2.3 Implementation: The Key Management Steps 1-51.2.4 Using the Guide to Implement TAM: Where to Begin. 1-7

19、1.3 Guide Structure: Chapter by Chapter 1-81.4 Important TAM Concepts . 1-111.4.1 Understanding Asset Management . 1-111.4.2 TAM Benefits . 1-131.4.3 TAM and the Institutional Environment. 1-141.4.4 Life-Cycle Principles 1-181.4.5 What Does Effective TAM Look Like in Practice? 1-201.4.6 TAM Evolutio

20、n. 1-23Part One Getting Started and Developing the Transportation Asset Management PlanChapter 2 Setting Direction for TAM 2-32.1 Step 1: Set Agency Goals and Objectives for TAM . 2-42.1.1 Review Enterprise Strategy. 2-52.1.2 Define the Context for Setting TAM Objectives 2-52.1.3 Determine Preferred

21、 Enterprise Management Framework . 2-102.1.4 Link TAM to Organizational Planning, Strategy, and Policy. 2-122.1.5 Obtain Organizational Commitment. 2-142.2 Step 2: Perform an Agency Self Assessment and TAM Gap Analysis. 2-142.2.1 Strategic Self Assessment . 2-162.2.2 TAM Maturity Scale . 2-172.2.3 T

22、AM Gap Analysis . 2-25 2011 by the American Association of State Highway and Transportation Officials.All rights reserved. Duplication is a violation of applicable law.viii AASHTO Transportation Asset Management Guide2.2.4 Identify Appropriate Asset Management Practice 2-312.2.5 TAM Improvement Plan

23、: Hypothetical Case Study 2-312.3 Step 3: Define the Scope of TAM in the Agency . 2-342.3.1 Asset Types . 2-352.3.2 TAM Decision Making . 2-362.3.3 Targeted Business Processes. 2-382.3.4 Targeted Asset Management Capabilities. 2-382.3.5 Targeted Data Needs. 2-392.3.6 Measuring Costs and Benefits of

24、TAM Implementation 2-39Chapter 3 Align the Organization3-13.1 Step 4: Develop the Change Strategy 3-23.1.1 Change Is Part of the Business Model 3-33.1.2 Change Leadership 3-33.1.3 Define Clear Goals and a Strong Rationale for Change . 3-53.1.4 Plan for Change Management. 3-53.1.5 Why Change Fails. 3

25、-63.2 Step 5: Integrate TAM into the Organizational Culture 3-73.2.1 Communicating Change . 3-73.2.2 Gaining Commitment . 3-83.2.3 Monitoring Progress and Rewarding Success. 3-93.3 Step 6: Integrate TAM into Business Processes 3-103.3.1 Linking Agency, TAM, and Operational Objectives 3-103.3.2 Build

26、 in Mechanisms for Both Formal and Informal Communication and Review. 3-103.4 Step 7: Establish Asset Management Roles 3-113.4.1 Asset Management and the Organization Chart . 3-133.4.2 Asset Management Leadership . 3-133.4.3 Teamwork and Culture 3-143.4.4 Building the Team: Step by Step 3-153.4.5 Su

27、pporting the Team. 3-173.5 Step 8: Establish Performance Management Standards 3-203.5.1 Performance Management: Linking TAM to Agency Goals and Objectives. 3-203.5.2 Outcome and Output Measures. 3-223.5.3 Examples of Agency Alignment 3-233.5.4 How to Assess the Performance of an Agency 3-243.5.5 Usi

28、ng Performance Measures to Benchmark with Other Agencies 3-253.5.6 Evolution of National Standards for Performance Measures 3-283.5.7 Communication of Performance Measures and Expectations 3-29Chapter 4 Transportation Asset Management Plan.4-14.1 Why a Transportation Asset Management Plan? 4-24.1.1

29、TAMP Benefits . 4-4 2011 by the American Association of State Highway and Transportation Officials.All rights reserved. Duplication is a violation of applicable law.AASHTO Transportation Asset Management Guide ix4.1.2 Documenting Knowledge, Processes, and TAM Analysis Outputs 4-44.1.3 An Effective P

30、lanning and Communication Tool. 4-54.2 Writing and Updating a TAMP. 4-74.2.1 Business Process Context 4-84.2.2 Options for TAMP Structure. 4-104.2.3 Who Needs to Be Involved? . 4-184.2.4 Keep It Simple, Focused, and Useful 4-204.2.5 The Iterative Process of TAMP Development, Review, and Improvement

31、. 4-214.3 Linking the Plan to Existing Business Processes 4-234.3.1 Key Business Processes 4-234.3.2 TAM Supports the Objectives. 4-274.4 Using This Guide to Develop a TAMP. 4-27Part Two Processes, Tools, and Data to Support Transportation Asset ManagementChapter 5 Enabling Processes and Tools for S

32、ervice Planning .5-55.1 Agency-Wide Strategic Performance Measurement 5-65.1.1 Mission Perspective 5-75.1.2 Management Systems and Performance Measures. 5-85.1.3 Agency Mission Performance Measures. 5-95.1.4 Control Factors5-185.1.5 External Factors 5-205.1.6 Management Metrics. 5-215.1.7 Inventory

33、. 5-225.1.8 Performance Measurement Examples. 5-225.2 Linking Strategic Performance Measures to Levels of Service 5-225.2.1 Using Strategic Plans to Develop Agency Goals 5-245.2.2 Understanding Customers and Users 5-275.2.3 Developing Levels of Service. 5-315.2.4 Levels of Service and Performance Me

34、asures 5-395.3 Growth and Demand Forecasting 5-405.3.1 Long-Range Planning . 5-415.3.2 Uncertainty in Forecasting 5-425.3.3 Asset Planning and Improvement Strategies 5-435.3.4 Non-Asset Solutions . 5-475.4 Risk Assessment and Management. 5-505.4.1 Sources and Types of Risk 5-525.4.2 How to Apply Ris

35、k Management as a Core Part of TAM 5-525.4.3 Risk Identification and Treatment. 5-545.4.4 Network Resilience and Asset Criticality . 5-56 2011 by the American Association of State Highway and Transportation Officials.All rights reserved. Duplication is a violation of applicable law.x AASHTO Transpor

36、tation Asset Management GuideChapter 6 Enabling Processes and Tools for Life-Cycle Management and Asset Preservation 6-16.1 Asset Inventory, Condition Assessment, and Performance Monitoring . 6-26.1.1 Inventory Attributes 6-36.1.2 Condition and Functional Performance 6-36.1.3 Application of Asset In

37、ventory, Condition, and Performance Data . 6-86.2 Life-Cycle Asset Management 6-106.2.1 Safety, Mobility, and the Environment. 6-116.2.2 The Asset Life Cycle. 6-146.2.3 Standardization .6-166.2.4 Adopt a Top-Down Perspective 6-176.2.5 Identifying Activities 6-186.2.6 Identifying Activity DriversWarr

38、ants and Intervention Strategies . 6-226.2.7 Development of Cost, Effectiveness, and Activity Metrics 6-246.2.8 Optimizing Life-Cycle Costs 6-276.2.9 Deterioration and Intervention 6-336.3 Models. 6-356.3.1 Deterioration Models 6-366.3.2 Other Forecasting Models. 6-406.3.3 Using Models to Improve De

39、cision Making. 6-416.3.4 Optimized Decision Making . 6-466.3.5 Using Data to Improve the Models. 6-516.4 Maintenance Processes 6-546.4.1 Planned Maintenance 6-546.4.2 Reactive Maintenance 6-556.4.3 Maintenance Frequencies 6-556.4.4 Maintenance Engineering Analysis 6-56Chapter 7 Enabling Processes an

40、d Tools for TAM Integration 7-17.1 Program Planning 7-27.1.1 Objectives and How to Get There. 7-27.1.2 The Investment Candidate File . 7-37.1.3 Evaluation and Prioritization 7-67.1.4 Trade-Off Analysis . 7-107.1.5 Resource Allocation 7-137.1.6 Implementation of the Investment Candidate File 7-147.1.

41、7 Budget Integration. 7-157.2 Program Delivery 7-197.2.1 Project Development. 7-197.2.2 Procurement Models . 7-237.3 Asset Valuation and Depreciation. 7-257.3.1 Principles and Methods. 7-28 2011 by the American Association of State Highway and Transportation Officials.All rights reserved. Duplicatio

42、n is a violation of applicable law.AASHTO Transportation Asset Management Guide xi7.3.2 Depreciated Replacement Cost Valuation 7-307.3.3 DRC Valuation Approaches and Methodology 7-307.3.4 Depreciation, Asset Consumption, and Change in Service Potential . 7-357.3.5 Identifying Future Asset Replacemen

43、t Needs and Commitments 7-387.4 Acting Sustainably 7-427.4.1 Definitions of Sustainability 7-437.4.2 Environmental Sustainability 7-447.4.3 Economic Sustainability . 7-467.4.4 Social Sustainability 7-497.4.5 Sustainability Performance Measures. 7-497.4.6 Developing and Integrating Sustainability Goa

44、ls and Objectives in TAM 7-537.4.7 Enhancing Sustainability. 7-54Chapter 8 Information Systems and Data 8-18.1 Transportation Asset Management Information Systems . 8-28.1.1 Definition of a Transportation Asset Management Information System 8-28.1.2 Components of a Transportation Asset Management Sy

45、stem 8-28.2 Transportation Asset Management System Integration 8-58.2.1 TAMIS Integration Framework 8-58.2.2 Key Principles for TAMIS Implementation 8-78.2.3 Alternative Models for TAMIS Implementation 8-98.3 Asset Management and Enterprise Resource Planning. 8-108.3.1 Enterprise Resource Planning S

46、ystems and TAM 8-118.3.2 Alternative Approaches to Integration of TAM and ERP. 8-148.3.3 Lessons Learned . 8-148.4 Data to Support Transportation Asset Management . 8-158.4.1 Overview. 8-158.4.2 TAM Data Planning and Management . 8-18Part Three Case Studies and ExamplesAppendix A Gap Analysis Spread

47、sheet .A-5A.1 Introduction . A-5A.2 The Gap Analysis Process.A-5A.3 Using the Tool A-7A.3.1 Instructions Worksheet A-8A.3.2 Project Information Worksheet. A-8A.3.3 General Arrangement Worksheet A-10A.3.4 Gap Scoring Worksheet A-10A.3.5 Data Entry Worksheet. A-10A.3.6 Worksheet Outputs A-54A.3.7 Addi

48、tional Outputs A-55 2011 by the American Association of State Highway and Transportation Officials.All rights reserved. Duplication is a violation of applicable law.xii AASHTO Transportation Asset Management GuideAppendix B Colorado Case StudyB-1B.1 Introduction B-1B.2 Governance.B-2B.3 TAM Backgrou

49、nd.B-2B.4 Policy GuidanceB-5B.5 Management Systems B-5B.5.1 Pavement B-5B.5.2 Maintenance B-6B.5.3 Bridge .B-6B.5.4 GISB-6B.5.5 Financial B-6B.6 Planning and Programming .B-6B.6.1 Preventive Maintenance .B-6B.7 Program Delivery .B-7B.8 Information and Analysis .B-7B.8.1 Performance Measures .B-7B.9 Current Status and Future Goals.B-10B.10 Analysis of TAM Effectiveness .B-10B.11 Lessons Learned .B-10Appendix C Missouri Case Study C-1C.1 Introduction C-1C.2 MoDOT Performance Management .C-2C.3 Getting S