FHWA Handbook Ancillary Assets

HANDBOOK FOR INCLUDING ANCILLARY
A S S E T S I N T R A N S P O R TAT I O N A S S E T
MANAGEMENT PROGRAMS
FHWA-HIF-19-068
Federal Highway Administration

Ofce of Research, Development,
and Technology
6300 Georgetown Pike
McLean, VA 22101-2296
September 2019
NOTICE
This document is disseminated under the sponsorship of the U.S. Department of Transportation
in the interest of information exchange. The U.S. Government assumes no liability for the use of
the information contained in this document. This report does not constitute a standard,
specification, or regulation.
The U.S. Government does not endorse products or manufacturers. Trademarks or

manufacturers’ names appear in this report only because they are considered essential to the
objective of the document.
QUALITY ASSURANCE STATEMENT

The Federal Highway Administration (FHWA) provides high-quality information to serve
Government, industry, and the public in a manner that promotes public understanding.
Standards and policies are used to ensure and maximize the quality, objectivity, utility, and
integrity of its information. FHWA periodically reviews quality issues and adjusts its programs
and processes to ensure continuous quality improvement.
COPYRIGHTS
Unless otherwise noted, FHWA is the source for all images in this document.
Cover images: © 2018 Applied Pavement Technology

Technical Report Documentation Page
1. Report No. 2. Government Accession No. 3. Recipient's Catalog No.
FHWA-HIF-19-068 None. None.
4. Title and Subtitle 5. Report Date
September 2019
6. Performing Organization Code
Handbook for Including Ancillary Assets Transportation Asset
Management Programs None.
8. Performing Organization Report No.
7. Author(s) None.
Brad W. Allen, P.E., Applied Pavement Technology, Inc.
Prashant Ram, P.E., Applied Pavement Technology, Inc.
Jeremy Koonce, P.E., Collins Engineers, Inc.
Dhooli Raj, P.E., Collins Engineers, Inc.
Stan Burns, P.E., Integrated Inventory, LLC.
Kathryn A. Zimmerman, P.E., Applied Pavement Technology,
Inc.
Dr. Omar Smadi, Ph.D. Iowa State University.
Kundayi Mugabe, Applied Pavement Technology, Inc.
9. Performing Organization Name and Address 10. Work Unit No. (TRAIS)
Applied Pavement Technology, Inc. None.
115 West Main Street, Suite 400 11. Contract or Grant No.
Urbana, IL 61801 DTFH6116C00016
13. Type of Report and Period Covered
12. Sponsoring Agency Name and Address

Final Report
Office of Research, Development, and Technology Jan 2018–Sept 2019
Federal Highway Administration 14. Sponsoring Agency Code
6300 Georgetown Pike
McLean, VA 22101-2296 None.
15. Supplementary Notes
FHWA Contracting Officer’s Representative: Morgan Kessler
16. Abstract
This handbook presents a methodology that will aid highway asset owners and
maintenance personnel with determining what assets, beyond pavements and bridges,
are most important to support their agencies’ missions and goals. The methodology
prioritizes asset classes and identifies data related to those assets that best support a
performance-based approach to managing the condition and utilization of those
assets. The methodology is comprehensive, yet flexible, so it may be tailored to each
agency’s specific needs.
17. Key Words 18. Distribution Statement

Asset management, ancillary assets, asset No restrictions. This document is
management program, transportation asset available to the public through the
management, prioritization, data needs, building National Technical Information Service,
information management, reliability-centered Springfield, VA 22161.
maintenance
19. Security Classify. (of this report) 20. Security Classify. (of this page) 21. No of 22. Price
Pages
Unclassified Unclassified 97 None.
Form DOT F 1700.7 (8-72) Reproduction of completed page authorized
Including Ancillary Assets Transportation Asset Management Programs
*SI is the symbol for the International System of Units. Appropriate rounding should be made to comply with Section 4 of ASTM
E380.
ii
Including Ancillary Assets Transportation Asset Management Programs Table of Contents
TA B L E O F CO NT E NT S
EXECUTIVE SUMMARY ................................................................................................1
Introduction ................................................................................................................... 1
An Overview of the Asset Prioritization Methodology.......................................................... 3
CHAPTER 1. INTRODUCTION ......................................................................................1
Advancing Asset Management ......................................................................................... 1
Purpose ......................................................................................................................... 1
Process Overview ........................................................................................................... 2
Target Audience ............................................................................................................. 4
CHAPTER 2. EFFECTIVE MANAGEMENT OF ANCILLARY ASSETS .................................5
Using Data to Drive Decisions .......................................................................................... 5
An Introduction to Performance-Based Management ......................................................... 6
Evaluating the Need to Collect Additional Data .................................................................. 7
CHAPTER 3. SELECTING ASSETS FOR INCLUSION IN ASSET MANAGEMENT
PROGRAMS ...............................................................................................................11
Introduction..................................................................................................................11
Step 1: Get Organized ...................................................................................................12
Step 2: Select Criteria ....................................................................................................16
Step 3: Establish Rating System......................................................................................23
Step 4: Establish Relative Weights ..................................................................................23
Step 5: Set Rating Values ...............................................................................................23
Step 6: Calculate Scores ................................................................................................25
Step 7: Develop Priority Tiers .........................................................................................26
Summary ......................................................................................................................27
CHAPTER 4. SELECTING AND COLLECTING DATA .....................................................29
Introduction ..................................................................................................................29
Define a Maintenance Approach......................................................................................31
Identify Data to Support Decision-Making ........................................................................39
Optimize Data Collection ................................................................................................45
Summary ......................................................................................................................58
CHAPTER 5. MANAGING ASSET DATA .......................................................................59
Introduction ..................................................................................................................59
The Benefits of BIM for Infrastructure .............................................................................59
Implementing BIM for Infrastructure ...............................................................................64
The Future of Building Information Management..............................................................68
Summary ......................................................................................................................69
REFERENCES .............................................................................................................71
GLOSSARY OF TERMS................................................................................................73
ACRONYMS ...............................................................................................................77
iii
List of Figures Including Ancillary Assets Transportation Asset Management Programs
L I S T O F FI G UR E S
Figure ES-1. Chart. Framework for selecting assets and data for inclusion in an asset
management program. ............................................................................ ES-1
Figure ES-2. Graphic. Key elements of performance-based management (adapted from GAO
1996). .................................................................................................... ES-2
Figure ES-3. Graphic. Factors influencing the strategic review process. ........................... ES-3
Figure ES-4. Graphic. Asset tier prioritization process. ................................................... ES-4
Figure ES-5. Graphic. Example of ranked order priorities used to establish prioritized tiers.ES-6
Figure ES-6. Graphic. Characteristics associated with the three main types of data collection
(adapted from Zimmerman and Manda 2015). ........................................... ES-7
Figure ES-7. Graphic. Data for cradle-to-cradle asset management. ................................ ES-8
Figure ES-8. Graphic. BIM for infrastructure central data hub. ........................................ ES-9
Figure ES-9. Graphic. Recommendations for BIM implementation. ................................. ES-10
Figure 1. Graphic. Connecticut DOT BIM noteworthy practice summary........................... 3
Figure 2. Graphic. Framework for selecting assets and data. .......................................... 4
Figure 3. Graphic. Assets included in the initial Minnesota DOT TAMP. ............................ 5
Figure 4. Graphic. Key components to managing assets with performance data (adapted
from GAO 1996). .......................................................................................... 7
Figure 5. Graphic. Factors influencing the strategic review process. ................................ 8
Figure 6. Graphic. Summary of Virginia DOT strategic review noteworthy practice. .......... 9
Figure 7. Graphic. Agency data checklist (NCHRP 2015a). .............................................10
Figure 8. Graphic. Products, process, and keys to success for prioritizing asset classes. ...12
Figure 9. Graphic. Typical business units contributing to asset priorities. ........................13
Figure 10. Graphic. Minnesota DOT's asset management system implementation team. ....14
Figure 11. Graphic. Ohio DOT Asset Management Leadership Team groups. ....................15
Figure 12. Graphic. Organizational readiness checklist. ...................................................21
Figure 13. Graphic. Minnesota DOT asset prioritization criteria. .......................................22
Figure 14. Graphic. Example of ranked order priorities used to create prioritized tiers. ......27
Figure 15. Graphic. Chapter 4 products, processes, and keys to success. .........................30
Figure 16. Graphic. Components of an RCM program (adapted from NASA 2008). ............32
Figure 17. Graphic. Reliability-centered maintenance (RCM) decision tree (adapted from
NASA 2008). ...............................................................................................33
Figure 18. Graphic. Example of applying the RCM decision tree—condition-based result. ...34
Figure 19. Graphic. Condition-based maintenance approach for sign structures used by
INDOT. .......................................................................................................35
Figure 20. Graphic. Example of applying the RCM decision tree––interval-based result. .....36
Figure 21. Graphic. Nevada DOT’s maintenance approach for ITS assets (NDOT 2018). ....37
Figure 22. Graphic. Sample data dictionary for impact attenuators (TDOT 2014). .............40
Figure 23. Graphic. Qualitative v. quantitative method for locating assets in the field. .......42
Figure 24. Graphic. Characteristics associated with manual data collection techniques
(adapted from Zimmerman and Manda 2015 with permission from National
iv
Including Ancillary Assets Transportation Asset Management Programs List of Figures
Academy of Sciences, courtesy of the National Academies Press, Washington,

DC). ...........................................................................................................46
Figure 25. Graphic. Characteristics associated with photogrammetric data collection
techniques (adapted from Zimmerman and Manda 2015 with permission from
National Academy of Sciences, courtesy of the National Academies Press,
Washington, DC). ........................................................................................47
Figure 26. Graphic. Characteristics associated with Mobile-LiDAR data collection techniques
DC). ...........................................................................................................48
Figure 27. Graphic. Factors in selecting a methodology for building an asset inventory
DC). ...........................................................................................................49
Figure 28. Graphic. Steps for developing or updating a highway asset inventory (adapted
from Zimmerman and Manda 2015 with permission from National Academy of
Sciences, courtesy of the National Academies Press, Washington, DC). ............51
Figure 29. Graphic. Definition of BIM for infrastructure. ..................................................59
Figure 30. Graphic. Advantages to BIM. ........................................................................60
Figure 31. Graphic. Consequences of unknown inventory................................................60
Figure 32. Graphic. BIM for infrastructure central data hub. ............................................62
Figure 33. Graphic. Data for cradle-to-cradle asset management. ....................................63
Figure 34. Graphic. Summary of Utah DOT's management integration noteworthy practice.
..................................................................................................................63
Figure 35. Graphic. General guidance for BIM implementation.........................................64
Figure 36. Graphic. Florida DOT BIM implementation noteworthy practice example. ..........65
Figure 37. Graphic. Different elements of a high-level data integration network. ...............66
Figure 38. Graphic. Ohio DOT BIM for infrastructure noteworthy practice. ........................68
Figure 39. Graphic. 3D Design Modeling and Construction. .............................................69
v
List of Tables Including Ancillary Assets Transportation Asset Management Programs
LI ST O F T ABLES
Table ES-1. Keys to success. .....................................................................................ES-11
Table 1. Typical highway asset classes (adapted from NHI 2017). ................................15
Table 2. Criteria for evaluating costs and level of effort. ..............................................19
Table 3. Example of rating values (adapted from NHI 2017). .......................................24
Table 4. Examples of prioritized tiers developed by Nevada and Ohio DOTs...................26
Table 5. Categorization of applicable maintenance approaches by asset class. ...............37
Table 6. Essential data to collect for the RCM maintenance approaches. .......................41
Table 7. Applicability of data collection methodologies for inventorying ancillary assets
(adapted from Zimmerman and Manda 2015). ...............................................53
Table 8. Applicability of performance data collection methodologies for ancillary assets
utilizing condition-based maintenance (adapted from Zimmerman and Manda
2015). ........................................................................................................55
Table 9. Applicability of performance data collection methodology for ancillary assets
utilizing interval-based maintenance (adapted from Zimmerman and Manda
2015). ........................................................................................................57
Table 10. Example data elements used in a BIM implementation. ...................................67
vi
Including Ancillary Assets Transportation Asset Management Programs Executive Summary
EXE C UT I VE SUMMAR Y
INTRODUCTION
This handbook will aid highway asset owners and maintenance personnel with establishing a
prioritized approach for selecting assets beyond pavements and bridges to add to an asset
management program in support of their agencies’ missions and goals. The methodology
presented prioritizes asset classes and identifies data related to those assets that best support a
performance-based approach to managing the condition and utilization of those assets. Figure
ES-1 introduces the framework described in the rest of this document.
Figure ES-1. Chart. Framework for selecting assets and data

for inclusion in an asset management program.
Managing Ancillary Assets Effectively

Transportation asset management (TAM) is a performance-based approach that uses agency
goals and objectives to drive resource allocation related to the installation, maintenance, repair,
rehabilitation, replacement, and operation of transportation infrastructure assets. TAM enables
State and local transportation agencies to improve accountability, decision-making, and
coordination between maintenance and capital programs and better manage the available
funding. This allows agencies to better address all stages of an asset’s service life, from initial
construction/installation to rehabilitation/replacement.
ES-1
Executive Summary Including Ancillary Assets Transportation Asset Management Programs
Asset management is supported by the collection, management, and analysis of quality asset
inventory and condition data. Asset management implementation is benefited by well-planned
information technology (IT) systems that consider the decision-making processes that agencies
use to keep assets operational and safe.
Highway agencies have traditionally focused their asset management implementations on

pavement and bridge assets. Therefore, there is less information available about the ancillary
assets (e.g., signs and signals, guardrail, culverts, lighting, pavement markings, retaining walls,
etc.) that an agency maintains. To increase the amount of available information, many agencies
have implemented maintenance quality assurance (MQA) programs that help maintenance
personnel identify and prioritize maintenance needs. Other agencies have taken a further step
by incorporating one or more ancillary assets into their transportation asset management plan
(TAMP).
Introducing Performance-Based Management

Performance-based management allows for
performance information to be routinely collected to
monitor whether progress is being made toward
agency goals and to communicate additional needs to
key stakeholders and the public. Figure ES-2 presents
four key elements an agency can use to implement
performance-based management to manage its
operational activities.
Goals and objectives are defined to enable the

alignment of resources with priorities. A set of
performance measures are established at each
organizational level that align with the overall goals.
Performance data is used to make decisions at all
levels. Over time, performance-based systems
integrate data-driven decision-making into daily Figure ES-2. Graphic. Key elements of
operations of the organization. This is accomplished performance-based management
(adapted from GAO 1996).
by balancing responsibilities with accountability and
evaluating the process regularly to ensure that
performance measures are driving the right decisions at the right time.
Benefits from a performance-based decision approach can include the following:
• Available funding is used to achieve agency goals and objectives.

• Resources are aligned with agency priorities.
• Agencies have the information needed to support funding needs.
• Planning and programming decisions are transparent.
• Agency accountability is improved.
ES-2
AN OVERVIEW OF THE AS SET PRIORITIZATION

METHODOLOG Y
The methodology introduced in this handbook includes three primary components, each of
which involves several activities. The process begins with activities associated with Asset
Prioritization, including a strategic review and the development of prioritized asset tiers. The
second part of the process involves a Data Needs assessment to determine what data needs to
be collected to support agency decisions and how the data collection will be done efficiently.
The final part, Data Management, includes activities to ensure that data governance is practiced
so that the data remains useful. An overview of each activity is provided.
Part 1: Asset Prioritization

A Strategic Review to Evaluate the Need to Collect Additional Data
An agency considering expanding its data

collection practices to include ancillary assets
may want to conduct a strategic review that
accounts for agency policies, budgets,
resources, and performance, as well as any
legislated mandates and available technology
related to the management of infrastructure or
supporting assets. Figure ES-3 displays the
components in a strategic assessment.
This strategic review process is typically driven

by the following factors:
Risks—The potential impacts of uncertainty on

agency objectives.
Changes—New organizational modifications
or technical advancements that make new
Figure ES-3. Graphic. Factors influencing the processes possible.
strategic review process.
Gaps—Disparities between existing and
desired management practices.
Prioritizing Asset Classes
Limited resources and budget constraints force agencies to make difficult decisions
regarding resource allocations. Thus, agencies looking to expand their asset management
programs to include additional information need a means of determining the benefits and
costs associated with system development, data collection, and data management.
A seven-step process (figure ES-4) was developed to help agencies prioritize their assets
into tiers. The process involves all business units that have a need for asset data or have a
role in collecting and managing asset data. These seven steps fit under the “Asset
Prioritization” process shown as part of the overall methodology summarized in figure ES-1.
ES-3
1. Get Organized 2. Select Criteria 3. Establish 4. Establish 5. Set Rating 6. Calculate 7. Develop
Rating Relative Values Scores Priority
System Weights Tiers
Figure ES-4. Graphic. Asset tier prioritization process.
STEP 1: GET ORGANIZED
A project team that represents all business areas with a need for information on assets included
in the prioritization effort should be assembled. This commonly starts by identifying a
champion, or team leader, who can communicate the vision for the effort to the full team and
ensure that the effort is working to maximize value for the whole agency. A project manager
should also be identified, either formally or informally, to ensure the team members are
participating as needed and the work products are developed on time. After the leadership is in
place, the remaining team members should be identified from stakeholder groups, both internal
and external to the agency, who have an interest in using, managing, or collecting information
about the assets.
This step is key to establishing the scope of the effort, identifying leadership and roles,
identifying the needs of each business unit and defining a list of asset classes to be considered
in the prioritization process.
S TEP 2: SELECT CRITERI A
The prioritization process begins by establishing criteria that can be used to rate each asset
class. Since the result of the prioritization process should help the agency fulfill its mission and
goals, the criteria should reflect factors that are important to the agency, such as:
• The value of deployed inventory or the amount spent to maintain the asset class.
• The amount of external influence on managing the asset class.
• The urgency in addressing repairs to the asset class.
• The potential impact to the agency if the asset class is not formally managed.
• The amount of effort and cost to collect asset inventory and performance data.
• The agency’s readiness to use the data to drive decisions.
STEP 3: ESTABLISH RATING SYSTEM
Once criteria have been selected, it is important to establish a means of rating each criterion.
The simplest means of rating objectively is to select a numeric scale. It is recommended that
scales of either 1 to 5 or 1 to 10 are used and that the same scale is used for all criteria.
However, some criteria cannot be rated objectively in this way. In addition to the numerical
scale, some criteria maybe considered as yes/no. Other criteria may be more subjective in
nature.
ES-4
STEP 4: ESTABLISH RELATIVE WEIGHTS
Weighting criteria allow agencies to consider the relative importance of different criteria.
Weighting can only be used for criteria that have been assessed using a common numeric scale.
Criteria evaluated based on yes/no or subjective means are not appropriate for weighting. Care
should be taken in establishing weights, and agencies may want to use an iterative process of
adjusting weights after the development of a prioritized list of assets. NCHRP Report 806, Guide
to Cross-Asset Resource Allocation and the Impact on Transportation System Performance
(NCHRP 2015b), provides information on several methods for establishing weights.
STEP 5: SET RATING VALUES
Once the evaluation criteria have been selected and relative weights have been established, the
prioritization team can begin the process of rating each asset according to each criterion. It is
recommended that the scores be developed through one or more workshops during which
scorers work together to develop a single priority score for each asset class. This approach
allows individuals to provide input to the decision and work to build a consensus for each score.
If necessary, survey tools or web meetings can be used to gather scores.
STEP 6: CALCULATE SCORES
Once all criteria have been rated, the raw priority scores are calculated by multiplying the rating
for each criterion by its weight. The final score for the asset class is the sum of all rating-
weighting products, as shown below:
Final Score = (Rating 1) x (Weight 1) + (Rating 2) x (Weight 2) + …

+ (Rating n) x (Weight n)
This final score, based on the objective criteria, can be used to produce an initial ranked list of
asset priorities, which is refined into prioritized tiers in step 7.
STEP 7: DEVELOP PRIORITY TIERS
This step combines the information from Steps 1 through 6 to form the agency’s final
recommendation for expanding the asset classes included in its TAM program.
A tiered methodology recognizes that initial priority scores are just one set of inputs into the
final decision as to which assets to include in a new or expanding asset management program.
Additional considerations for data collection and available resources will also factor into these
decisions. Figure ES-5 is an example that illustrates how a ranked order list can be converted to
a set of prioritized tiers.
ES-5
The first time an agency completes this

process, the list of priority tiers may not
RANKED ORDER PRIORITIES PRIORITIZED TIERS
be fully informed of the costs associated
1 Sign Panels
with data collection and management. 2 Ancillary Structures
TIER 1
Those costs cannot be accurately
established until a data needs evaluation 3 Culverts
has been performed. If the evaluation 4 Guardrails TIER 2
results in major changes to the 5 Storm Sewers
assumptions used in rating the asset
6 Pavement Markings
criteria, the agency may want to repeat TIER 3
7 Rest Areas
the prioritization process using the
estimated data collection and Figure ES-5. Graphic. Example of ranked order priorities used
management costs. to establish prioritized tiers.
Part 2: Data Needs

Identifying and Selecting Data Needs
Agencies should collect, store, manage, and analyze large amounts of data in an effective and
efficient manner to support asset management. This section outlines the activities associated
with determining the data used to support performance-based management decisions for
ancillary transportation infrastructure assets. The process described in the following paragraphs
uses reliability-centered maintenance (RCM) to determine whether an asset is better managed
using a condition-based, interval-based, or reactive maintenance strategy.
Data Needs to Support Decision-Making
Quality asset data are vital in making effective planning and investment decisions. Data may be
considered essential, meaning that they include basic data attributes that help execute
maintenance activities, or desirable, meaning that they support the maintenance program but is
not essential. The quality of either type of data is important because the data serve as the basis
for establishing maintenance budgets and tracking maintenance activities.
Data Collection
The development of an asset inventory is the first step in establishing a strong asset
management program, and good data collection aids in making sound investment decisions.
The three main data collection techniques used for collecting transportation asset data are
manual data collection, photogrammetry, and mobile LiDAR (light image detection and
ranging). Figure ES-6 summarizes and compares the key considerations in selecting the most
suitable data collection technique.
The final selection of an approach to collecting asset inventory and condition data should
consider the following:
• The ability to see the asset from the roadway.
• The level of accuracy used to make decisions.
ES-6
• The exposure of the work crews to traffic.

• The way the data will be used.
• The resources available.
• The ability to collect the data as part of other data collection efforts.
MANUAL DATA
PHOTOGRAMMETRY MOBILE LIDAR
COLLECTION
Fair degree of accuracy Good accuracy(±1 ft.) High degree of accuracy (±3 in.)
(±a few ft.) Not labor intensive
Not labor intensive
Labor intensive Requires special equipment
Requires specialized
equipment Operates at traffic speeds
Safety issues with
personnel in the field Can only be used to inventory
Operates at traffic speeds assets visible from the road
Quality control activities Provides features for
Can only be used to inventory
require additional personnel estimating assets dimensions
assets from the road
in the field
Easily used in conjunction with
Easily used in conjunction
Best option for inventorying automated pavement condition
with automated pavement
assets not visible from the surveys
condition surveys
road Data can be used by multiple
Data can be used by multiple Divisions within an agency
Does not require
Divisions within an agency Quality control activities can
specialized technical
expertise or equipment Quality control activities can be done at a workstation
be done at a workstation Provides greatest benefit when
Most applicable when
data are used by multiple
collecting a limited amount Requires some technical
Departments
of data expertise
Requires specialized technical
expertise
Generates large data files that
must be managed
Figure ES-6. Graphic. Characteristics associated with the three main types of data collection
(adapted from Zimmerman and Manda 2015).
Part 3: Data Management

Definition of Building Information Management for Infrastructure
Chapter 5 presents the concept of building information management (BIM) for infrastructure.
BIM for infrastructure is a philosophy and strategy of organizing, sharing, and connecting all
agency information, including assets, and how an agency can manage assets through the entire
life cycle.
BIM for infrastructure is a philosophy of information management that provides a framework for
data integration of the agency’s different business systems. It can form a reliable basis for
managing assets during the entire life cycle, or from conception to demolition, of the asset. The
goal of BIM for infrastructure is to manage all agency data, including asset data, to achieve
accessible, accurate, and authoritative information. Asset and agency information that is
organized and shared allows an agency to effectively manage assets during their entire life
cycle while driving innovation to produce significant cost and time savings. Integration ensures
ES-7
that limited funding is allocated based on both engineering judgment and the best available
information. Wise data-driven decision-making will stretch funding and resources and improve
transparency.
BIM for infrastructure involves the processes related to the generation and management of the
physical highway infrastructure and functional characteristics (financials, plan sheets,
construction as-built plans, specification, etc.) in a digital format. It consists of data sets and
files that can be extracted and exchanged to support decision-making regarding the
department’s infrastructure in general or for specific assets. BIM for infrastructure supports the
transition from incomplete asset inventories and standalone silos of information to complete
authoritative statewide inventories. The shared information may then be used by all affected
parties for a wide range of purposes, including planning, environmental assessment, surveying,
design, construction, maintenance, asset management, and risk assessment.
Integrated M aintenance Approach
LIFE OF THE ASSET—CRADLE TO CRADLE
Agencies plan, design, construct, and maintain assets in a

continuous cycle, from “cradle to cradle.” The agency can
better manage individual assets or the entire inventory if data
is shared across the life cycle from the original long-range
statewide transportation plan to design and finally to
maintenance. For example, safety, maintenance, and design
units may have a need for information about the agency’s
LIFE OF THE ASSET guardrail. Shared information should include as-built plans,
CRADLE TO CRADLE specifications, inventory, and costs. BIM for infrastructure and
Example: Guardrail/Attenuator the cradle-to-cradle concept is illustrated in figure ES-7, which
• Planning—roadway represents a typical transportation agency and the different
characteristics, funding types of data used throughout the agency.
• Design/Construction—location,
type, specification, costs
BIM FOR INFRASTRUCTURE CENTRAL DATA HUB
• Maintenance—up-to-date
inventory, treatments and costs The data hub is a key feature of the BIM for infrastructure
• Safety—crash history, analysis
concept. The data hub is illustrated by figure ES-8. It is a
results, and performance data
• Benefits—Agency manages the
central repository for agency data that improves accessibility
assets with all available and the ability to share authoritative, trusted information.
information
Figure ES-8 demonstrates how the central data hub serves to

Figure ES-7. Graphic. Data for cradle- support cradle-to-cradle asset management. The figure
to-cradle asset management. represents a typical transportation agency and how it might
improve connectivity and commonality with its asset data. The
outer circle represents the four primary functions:
programming, project delivery, operations, and comptroller and performance. Each middle circle
represents a specific agency division such as design, planning, or maintenance. The diagram
illustrates how each division contributes to the total product of an agency, from planning to
ES-8
project development to asset management and operations. Each group produces and consumes
data daily. The goal of the agency in applying the BIM for infrastructure concept should be to
share authoritative information.
© 2018 Applied Pavement Technology

Figure ES-8. Graphic. BIM for infrastructure central data hub.
BIM for infrastructure is an evolving practice that requires years to implement. Figure ES-9
provides an overview of recommendations for effective BIM for infrastructure
implementation.
ES-9
VISION — Develop an Overarching Vision for BIM

• Manage assets from cradle to cradle
• Establish a holistic approach to managing agency data: inventory, finance, project, and
operational
GOALS — Set Agency Goals
• Strive to be wise stewards of public investments
VISION — DEVELOP AN OVERARCHING VISION FOR BIM
• Provide transparency in the allocation of limited resources to achieve the greatest benefit
• Establish a single authoritative source for each data element
• Break down silos
MISSION — Articulate a Clear, Unambiguous Statement

• Track asset from planning, design, build, maintenance, to operation
STRATEGIC DIRECTION — Develop High-Level Implementation Strategy

• Provide easy access to quality, map-displayed data
• Create a central data hub
• Create common linear reference system
• Develop data management, governance and interoperability processes and standards
• Evaluate existing data collection approaches for fit in the envisioned BIM framework and
develop action plan for any modifications needed to current practices and protocols
TACTICAL — Develop Implementation Strategy
• Integrate databases
• Create data dictionaries — definition of assets and attributes
• Determine critical (commonality) asset data to be tracked by all divisions
• Determine storage — on premise servers v. cloud-based
• Determine access — desktop v. web for public and internal users
TRANSFORMATION OF AGENCY CULTURE

• Identify champions from Executive Branch, Division Management, and Information
Technology (IT)
COMMITMENT
• Dedication: agreement within agency, resources, financial
AGENCY DATABASE STRUCTURE — Independent Business System Evolution

• Understand different needs for timeliness, specific data elements, and levels of
sophistication
• Unify to a common linear reference system
• Find opportunities to use the same data for multiple purposes
• Identify risks related to database implementation
CHALLENGES
• Change the culture of siloed divisions
• Create a culture of collaboration
• Promote trust
Figure ES-9. Graphic. Recommendations for BIM implementation.
ES-10
K eys to Success
Table ES-1 summarizes the key factors that will help ensure success in each of the key topics
discussed under the methodology summarized in this handbook.
Table ES-1. Keys to success.
TOP I C A RE A/A C TI VI TY S UG GE S T ED P RA CT I C ES
Managing ancillary assets • Use performance measures to define and improve agency goals.
effectively • Strategically recognize risks, changes, and gaps.
• Include all business units to determine criteria ratings and weights

Selecting assets for inclusion to prioritize assets in tiers.
in asset management systems • Document results and update periodically, especially upon
completion of data collection and management.
• Establish a realistic understanding of the intended function of the

Identifying and selecting data asset, failure modes, maintenance approaches, and
consequences/impacts of failure prior to data collection.
• Recognize areas of data integration across the agency using BIM

Managing asset data
and recent technologies to complete asset inventories.
ES-11
Including Ancillary Assets Transportation Asset Management Programs Chapter 1
C H A PT E R 1 . INTROD UCTION
ADVANCING ASSET MANAGEMENT
TAM is becoming widely accepted as an approach for managing transportation infrastructure
assets. TAM is intended to increase the accountability and transparency of agency decisions,
focus funds on agency priorities, and improve decision-making through performance-based
planning and programming.
As a performance-based approach to managing asset conditions, TAM depends on the

availability of quality inventory and condition data, as well as tools for evaluating the impacts of
different investment strategies on network-wide conditions. Implementing TAM requires a
significant investment in developing IT systems, as well as collecting, processing, and managing
data. For that reason, highway agencies have traditionally focused their efforts on pavement
and bridge assets. The availability of asset inventory and condition information for ancillary
highway assets (such as signs, guardrail, culverts, lighting, pavement markings, and retaining
walls) is less common.
Federal statute (23 CFR 119(e)) and regulations (23 CFR 515) require State Departments of
Transportation (DOTs) to develop TAMPs for pavements and bridges on the National Highway
System. Although the Federal regulations are focused on managing pavements and bridges on
the National Highway System, many State and local transportation agencies are implementing
TAM on a network-wide basis as a means of improving coordination between their maintenance
and capital programs so they make better use of available funding.
Many transportation agencies have collected part of the data necessary to manage ancillary
assets, but are missing complete inventories, conditions, or analysis tools to implement risk-
based TAM fully. Agencies that have implemented a performance-based management
framework for some classes of assets may wish to expand their asset management program to
include others. To date, there has been no comprehensive methodology for transportation
agencies to use regarding which additional assets should be included in their asset management
programs and what data is necessary to manage those assets. The FHWA initiated a research
effort in 2016 to address that gap, and this handbook represents the results of that research
effort.
PURPOSE
This handbook has been developed to assist State and local DOTs and other highway owners in
determining what assets and asset-related data—beyond pavements and bridges—are most
important in supporting agencies’ overall missions and goals. The methodology presented is
comprehensive and flexible so it may be tailored to each agency’s specific needs. This handbook
presents general information on asset management and performance management. While the
approaches discussed in the handbook may be helpful to those implementing the Federal
1
Chapter 1 Including Ancillary Assets Transportation Asset Management Programs
requirements, the handbook is not intended to address the Federal requirements or how to
meet those Federal requirements
PROCESS OVERVIEW
The methodology applies a performance-based management approach to determine which
asset information will be most useful to support decisions related to the installation,
maintenance, improvement, and replacement of ancillary assets. Performance-based
management is a framework that identifies measurable criteria that can be used to track
progress toward achieving the agency’s overall mission and goals. Chapter 2 provides an
overview of performance-based management and describes how this approach can be applied
to the management of asset conditions.
A methodology for selecting assets and data for inclusion in

ACRONYMS OF
TAM systems is presented in two parts: Asset Prioritization and
Data Needs. Asset Prioritization is presented in Chapter 3. This
INTEGRATED
chapter recommends agencies use a top-down view of the
PROCESSES
agency’s mission and priorities to determine a ranking for
adding assets to their TAM program to achieve their desired BIM:
goals. Chapter 4 presents a process for agencies to determine Building Information Management
which data elements are necessary or desired to support
management decisions throughout the life of each asset. CIM:
Civil Integrated Management
Asset data supports many different transportation objectives,
including safety, operations, and system efficiency. This means
that many different offices or business units within each transportation agency need to collect,
store, analyze, and report on asset data. Chapter 5 provides an overview of integrated data
governance and management, which can help agencies ensure they are collecting and
managing data in a way that best supports the needs of all users. The term used to describe
this integrated approach is building information management for infrastructure, or BIM for
infrastructure. This term is similar to building information modeling, which is used to describe
standardized approaches to data structures used in many industries across the world, from
manufacturing to the vertical building industry’s construction and management fields.
The term civil integrated management (CIM) has gained use at transportation agencies in the
United States to describe strategies for sharing all highway information and knowledge across
all divisions. CIM has been gaining popularity at transportation agencies to describe a means of
standardizing data sets related to highway design and construction activities. FHWA has chosen
the term BIM for infrastructure to indicate the connection of this approach to building
information modeling, but the term management is used in place of modeling to describe how
this approach not only leads to integrated data sets but also facilitates integrated management
practices throughout an asset’s life cycle from planning through design and construction and
finally to highway operations.
2
Figure 1 describes how Connecticut DOT has planned out an integrated data model based on
BIM for infrastructure and is using that to incorporate additional assets into the agency’s asset
management program.
Figure 2 represents how the two methodology

components and data management work together
to support performance-based management of
ancillary assets.
The Building Information Management (BIM) for

Each of the individual components depend on
infrastructure goal at Connecticut DOT is to have
input from key internal and external stakeholders inventory at the user's fingertips that is accurate,
authoritative, and accessible. Connecticut's case for
to identify what information is most critical to
the BIM for infrastructure effort is being driven by
making management decisions. Another safety and design engineers' need for accurate asset
inventory. During a typical year, Connecticut may have
commonality in all three components is that they
100-150 ongoing capital improvement projects. Before
use documented and shared processes, design can begin, existing conditions need to be
re-established from databases of unknown quality, or
organizational structures, and plans. Documented
by visiting the site. Connecticut has begun work on an
processes support coordination between business authoritative inventory that will be updated from new
construction projects. The BIM for infrastructure effort
units to ensure all business needs are met and
will also capture how old assets are decommissioned.
efforts are not duplicated. This will allow the department to understand the entire
life-cycle costs of specific assets from cradle to cradle.
Connecticut's objective is to manage data as an asset,
and make it accessible throughout the agency.
Figure 1. Graphic. Connecticut DOT

BIM noteworthy practice summary.
3
Figure 2. Graphic. Framework for selecting assets and data.
TARGET AUDIENCE
Implementing TAM makes use of collaboration from business units across the agency, including
maintenance, engineering, planning, and IT. This handbook is intended to be used by managers
who are involved in maintaining and replacing ancillary assets or who are involved in managing
the IT systems used to support the decision-making process. While topics such as management
strategy and IT architecture are discussed, these topics are presented to inform and provide
context to transportation managers. Readers who wish for more detail on subjects such as
performance-based management, risk management, or IT architecture are encouraged to
review the References section for additional resources in these areas.
4
CHAPTER 2. EFFECTIVE
MANAGEMENT OF ANCILLARY
ASSETS
USING DATA TO DRIVE DECISIONS
Transportation agencies are tasked with providing a transportation system that moves people,
goods, and services safely and efficiently. Although most of the available funding for preserving
the systems is spent on highways and bridges, agency personnel are responsible for keeping
many other ancillary assets operational, including signs and signals, guardrail (or guiderail),
culverts, lighting, pavement markings, and retaining walls. Traditionally, funding has been
inadequate to address the maintenance needs of these assets. In response, many agencies
allocate their available funding to address the most urgent demands, even if that means
postponing scheduled preventive maintenance activities that preserve asset conditions.
As agencies are adopting TAM principles, they are discovering that there are more effective
ways to manage their assets using data-driven decisions. Since most agencies have inventory
and condition information on their pavements and bridges, it has been relatively easy to
transition to a performance-based decision process for those assets. With less information
available about the ancillary assets that are maintained, the transition to using data-driven
decisions for managing other assets has been a little slower.
Even so, some agencies have made progress using data for managing some of their ancillary
assets. For instance, many agencies have implemented MQA programs that help maintenance
personnel identify and prioritize maintenance needs. Several agencies have taken it a step
further by incorporating one or more classes of ancillary assets into their agency’s TAMP. Figure
3 shows some of the assets included in Minnesota DOT’s initial TAMP.
Pavements Bridges Overhead Sign High Mast Highway Culverts

Structures Light Tower and Deep
Structures Stormwater Tunnels
Figure 3. Graphic. Assets included in the initial Minnesota DOT TAMP.
5
The development of a TAMP is relatively new to transportation

agencies in the United States, but TAMPs to establish funding
needs and set multiyear investment plans are common in
government agencies around the world. TAMPs are now
required by Federal statute (23 USC 119(e)) and regulation
(23 CFR part 515) to document the 10-year investment
strategy that State transportation agencies will use to reduce
risks and preserve or improve the condition of the pavements
TYPICAL TAMP CONTENT and bridges on the National Highway System. The minimum
• Summary of asset inventory content required to be in Federally-compliant TAMPs is shown
• Summary of asset conditions
in the call-out box at left (23 USC 119(e)(4)). However,
• Objectives, measures, and targets
agencies may choose to include additional information in their
• Comparison of conditions to targets
• Life-cycle planning
TAMPs.
• Risk-management practices
• Financial plan The inclusion of ancillary assets in a TAMP helps raise
• Investment strategies awareness for maintenance funding needs and has the
potential to positively influence the amount of funding
allocated to address these needs. For those reasons,
maintenance personnel have shown interest in building more complete inventories for ancillary
assets and adopting procedures to evaluate their performance on a regular basis. Since
resources are typically too constrained to collect inventory and condition information on all
assets at once, a process is needed to help agency personnel prioritize the order in which asset
data is collected.
AN INTRODUCTION TO PERFORMANCE-BASED
MANAGEMENT
The performance-based decisions that are the foundation to TAM use agency goals and
objectives to drive the allocation of resources. Performance information is collected regularly to
monitor whether progress is being made toward agency goals and to communicate additional
needs to key stakeholders and the public. The availability of data to support investment
decisions also helps improve the transparency of budgeting decisions and enables agencies to
demonstrate that they are using public funds wisely. There are several benefits to the use of
performance-based decisions for managing ancillary assets, as listed below:
• Available funding is used to achieve agency goals and objectives.

• Resources are aligned with agency priorities.
• Agencies have the information needed to support funding needs.
• Planning and programming decisions are transparent.
• Agency accountability is improved.
The Government Accountability Office (GAO) introduced four key components to implementing
performance-based management to manage operational activities, as shown in figure 4 (GAO,
1996).
6
First, the agency should define its goals and

objectives so resources can be aligned with agency
priorities.
Secondly, the agency should develop a set of

performance measures at each organizational level
that aligns with the overall goals. For example, an
agency goal to maintain 80 percent of the network
in good condition might necessitate performance
measures for assessing the condition of each asset
the agency maintains. The selected performance
measures should drive decisions and be practical to
collect.
The third component to performance-based

management is to use the performance data to
make decisions at all levels. Some maintenance
personnel use MQA data to identify and prioritize
Figure 4. Graphic. Key components to managing
assets with performance data maintenance needs for ancillary assets. Only a few
(adapted from GAO 1996). agencies are currently using this performance data
to determine the level of funding allocated to
maintenance. As agencies become more confident in their use of performance-based
management for ancillary assets, the use of the data at the policy level, where funding
allocation decisions are usually made, is expected to increase.
The last component involves institutionalizing performance-based management into the

organization’s daily operations. This involves balancing responsibilities with accountability and
evaluating the process regularly to ensure measures are driving the right decisions (GAO 1996).
EVALUATING THE NEED TO COLLECT ADDITIONAL DATA
ASSET PRIORITIZATION The decision to collect additional information on one or more

ancillary assets is a strategic decision that each agency makes
X Conduct strategic review independently. For that reason, the methodology begins with a
strategic review of agency needs (as summarized previously in
Prioritize assets into a tiered system figure 2).
While most agencies recognize the advantages to having complete and accurate inventory and
condition information on their assets, the resources to keep the information current ought to be
available, and existing business processes and software tools are necessary to support the
analysis and reporting of the information.
7
As shown in figure 5, this strategic assessment is

usually driven by risks that the agency is trying
to manage, organizational or technical changes
that make new processes possible, or gaps
between existing and desired management
practices. The agency’s strategic review should
consider agency policies, budgets, resources,
and performance, as well as any legislated
mandates and available technology, when
deciding to expand its data collection efforts to
include ancillary assets. Each of the key drivers
in the process is explained further in the
following subsections.
The Types of Changes That Drive the

Decision to Collect Ancillary Asset Data Figure 5. Graphic. Factors influencing
the strategic review process.
There are many factors that could trigger a
change in an agency’s requirements, priorities,
or procedures that might drive the need to collect additional ancillary asset data. For example,
an agency could decide to:
• Make performance-based investment decisions for assets other than pavements and
bridges.
• Invest in new technology, such as LiDAR, to see what information can be obtained from it.
• Better integrate information across business units, leading to a review of future data needs.
• Better understand the cost of constructing, maintaining, preserving, rehabilitating, and
replacing assets other than pavements and bridges.
• Adopt changes to avoid continued damage due to recurring events such as slope failures or
flooding.
• Develop a process that better responds to requests for funds to expand data collection
efforts from various business units within the agency.
Any of these types of changes should prompt the agency to evaluate its data needs using the
process described in chapter 2. Figure 6 provides a summary of how a strategic review led
Virginia DOT to replace its maintenance management system (MMS) to improve consistency
and quality of management practices across Districts.
The Types of Risks That Drive the Decision to Collect Ancillary Asset Data
Risks are the potential impact of uncertainty on agency objectives. Risks can be negative,
presenting threats, or positive, presenting opportunities. A risk assessment could lead agencies
to question whether they have sufficient data to manage their risks adequately. For instance, an
8
agency that is anticipating an increased

potential for devastating destruction to
the transportation system due to
unexpected weather or seismic events
might make a strategic decision to
collect the data needed to better assess
or manage that risk. Risks could also Through a strategic review of its IT systems, the Virginia DOT
recognized that its current maintenance management system
lead an agency to invest in new (MMS) required updating to better take advantage of new
technologies or approaches that allow it technology. The agency needed a modern MMS that supported
to make better use of its resources. The mobile devices for field personnel while improving the
management of asset data to drive maintenance budgets, work
following list includes some questions
orders, work reporting, and performance management. During
that an agency could use to evaluate the review, the agency recognized several additional issues:
whether risks might be reduced by • The MMS was not being used consistently by all Districts.
having additional data on ancillary
• The asset inventory data was not well connected to budget and
assets available: work-planning activities.
• There was no centralized guidance on asset data collection
• Does the agency have areas that practices.
have been damaged several times
• District resources available to support MMS were insufficient.
over the last few years due to
• Districts made their own decisions regarding data collection
weather or other events? priorities in the absence of data collection guidance
• Could a program to clean and/or and inadequate resources.
repair culverts lead to less damage Based on these findings, Virginia DOT developed an RFP for a
due to flooding? new MMS and established an oversight committee to determine
• Can the agency quantify the impacts which assets and data elements would be collected by all
Districts and how the data would be collected consistently.
that maintenance cuts have on
safety, mobility, and asset To implement the new MMS, VDOT has focused on planning out
the data sets for each asset to eliminate redundant data and
conditions? make sure asset data adequately supports the agency's
• Does the agency have a good management needs. This effort is supported by a cross-
disciplined team that is enabling VDOT to both design a more
understanding of the percentage of
effective MMS and put in place improved data management
ITS assets that have exceeded the practices.
expected manufacturers’ life
estimate by more than 50 percent?
Figure 6. Graphic. Summary of Virginia DOT
• Are there any legislated deadlines strategic review noteworthy practice.
that the agency is at risk of missing?
• Are agency software systems so outdated that they have become difficult to maintain?
The Types of Gaps That Drive the Decision to Collect Ancillary Asset Data
A strategic review of an agency’s business processes and tools to support asset management
might identify several gaps between desired and actual performance. Strategies to address the
gaps might include several different steps, including additional data collection and
management. For instance, a strategic review might indicate that business units within the
9
transportation agency are each individually

procuring data collection services and
maintaining nonintegrated data sets to support AGENCY DATA CHECKLIST
their ongoing responsibilities.
• Develop strategic plan—policies, interdepartmental

Organizationally, this approach may not be coordination, data governance
desirable from a data and systems governance • Develop a goal or vision: “One Version of Truth”
perspective. Since the independent systems • Determine business system improvements
may not easily “talk” to one another, there is a • Determine authoritative division and agency data
potential for duplicative data being collected in • Prioritize assets to inventory
several business units, and the data collected • Determine how data will be integrated into existing
by one group may not satisfy the needs of business systems
another group. NCHRP Report 814, • Determine how business systems, processes, and
procedures need to evolve to consume the new data
Transportation Agency Self-Assessment of Data
• Determine how collections take place—field apps,
to Support Business Needs: Final Research integrated MMS, complete collection
Report (NCHRP 2015a), tackled this challenge • Determine how data will be used for TAMP,
maintenance work plans, budgets, STIP, and other
and provided a checklist, summarized in figure agency plans
7, to use when conducting a strategic review of • Collaborate and think agency wide
existing data gaps.
Figure 7. Graphic. Agency data checklist (NCHRP 2015a).
Examples of the types of gaps that might drive
an agency to consider collecting additional data
on ancillary assets include those listed below:
• The agency may identify gaps in its ability to adequately estimate future maintenance needs
for maintenance-related assets.
• Policy or safety issues related to the use of certain products or materials may drive the need
to collect data to identify the extent to which replacements will have to be made. In recent
years, these types of issues drove several State highway agencies to begin collecting
information on the manufacturer of in-place guardrail end treatments.
• The impact of potential changes in State or Federal standards may not be well understood
because of the lack of reliable data.
• Existing software tools might not have the features needed to manage ancillary assets using
a performance-based approach.
• Data may not be integrated in a way that supports BIM for infrastructure.
10
CHAPTER 3. SELECTING ASSETS

FOR INCLUSION IN ASSET
MANAGEMENT PROGRAMS
INTRODUCTION
Given unlimited resources, transportation agencies would have full inventories of all their assets
with frequent and thorough condition assessments. However, facing the realities of limited
resources and budget constraints, agencies are forced to
ASSET PRIORITIZATION make difficult decisions regarding how extensively available
resources are dedicated to collecting, managing, and using
Conduct strategic review asset information versus delivering work that preserves and
improves asset conditions and system performance. Agencies
Prioritize assets into a
X tiered system looking to expand their asset management programs to
include additional information need a means of determining
the benefits and costs associated with system development, data collection, and data
management. This chapter describes the activities associated with the second step in the
methodology introduced in chapter 1, Prioritizing Assets.
Figure 8 shows processes, products, and keys to success related to the activities involved in
developing a prioritized asset list. These products and process steps are generic to agency type,
organizational structure, or assets under consideration. Each agency should tailor these steps to
their specific needs and determine the best means of executing each step.
Process
Prioritization is essential to ensure the effective and efficient use of limited resources. This
chapter introduces a seven-step process framework that leverages coordination between
business units that have a need for asset data or have a role in collecting or managing asset
data. This framework can be modified to fit the needs of each agency.
Prioritizing asset classes for inclusion in an agency’s asset management program relies on an
understanding of the agency’s IT policies, architecture, and strategies. Asset management
systems, where asset data are typically stored and analyzed, are IT systems that need to serve
the full agency. The agency’s IT strategy for managing and sharing data is a significant factor in
determining the level of effort and cost needed to implement asset management systems that
support the agency’s decision-making processes. If the agency has not documented its IT
strategy for asset data, the prioritization process offers a good opportunity to do so. Chapter 5
provides an overview of what should be considered when developing an IT strategy for
managing asset data using the BIM for infrastructure approach.
11
PROCESS 1. Get Organized 2. Select Criteria 3. Establish 4. Establish 5. Set Rating 6. Calculate 7. Set Priority
Rating Relative Values Scores Tiers
System Weights
Asset IT
Classes
Strategic
Prioritized Plan
into Tiers
PRODUCTS
Coordination
Strong Objective between
Leadership Approach Business
Units
KEYS TO SUCCESS
Figure 8. Graphic. Products, process, and keys to success for prioritizing asset classes.
Products
The primary product of an asset-prioritization effort is a prioritized list of asset classes for
inclusion in the agency’s TAM program, with the asset classes grouped into tiers. A secondary
product may be a TAM-IT strategy to support implementation of the prioritized list. Together,
the list of prioritized asset classes and the documented IT strategy can support justification of
investments in expanding asset management systems and help align efforts to improve data
collection and data sharing practices.
Keys to Success
It is important to understand how data can be utilized by different business units to achieve the
agency’s mission and goals. For example, safety, maintenance, and design units may have a
need for information about the agency’s guardrail. This approach requires a team to be
assembled to review the agency’s relevant goals, policies, and practices related to performance
management and asset management.
STEP 1: GET ORGANIZED

Leadership is critical to the success of any coordinated effort. There are two
distinct leadership roles for this effort: Champion and Project Manager. At public
agencies, these roles are rarely formalized, but they are common to nearly all
successful efforts related to expanding asset management programs to include ancillary assets.
The Champion should be an individual with the authority to ensure the cooperation of all
needed business units. The Champion’s role is to communicate the vision to the full team and
ensure that the effort is focused on maximizing value for the entire agency. The Champion will
either have the authority to approve the final recommendations or be responsible for attaining
approval from the appropriate authority.
12
The Project Manager is responsible for planning the effort and managing daily activities.
Planning can include defining specific tasks and assigning them to team members with
deadlines. Effective project managers ensure the team is participating as needed and the work
products are developed on time. For efforts involving only agency staff, the Project Manager’s
role is typically informal. If the effort includes outside support, such as a consulting firm or IT
vendor, the Project Manager’s role is likely to be more formal and include budget
responsibilities.
Once project leadership has been established, it is important to identify all the stakeholders who
might have an interest in using, managing, or collecting information about ancillary assets. An
example of potential stakeholders is shown in figure 9.
Figure 9. Graphic. Typical business units contributing to asset priorities.
Project leadership should contact these potential stakeholders to determine need and interest in
participating in the effort. This outreach will establish an initial range of assets to be included in
the prioritization effort. For example, the effort may be limited to deployed or constructed
highway infrastructure, or it may include similar assets in different modes, or assets such as
fleet equipment that are used to service the infrastructure. This outreach should identify:
• The known needs of each business unit for asset data.

• A general understanding of each unit’s current asset data.
• An initial assessment of each unit’s current analysis and reporting capabilities.
Based on the results of the initial outreach, a project team that represents all business areas
with either a need for information on the assets included in the prioritization effort or a role in
collecting or managing the necessary data should be assembled. Figure 10 provides a list of
business areas involved in implementing Minnesota DOT’s asset management system. By
involving a wide array of stakeholders in the early stages of planning its asset management
program, Minnesota DOT was able to include multiple assets in its initial TAMP and develop a
long-term strategy for adding additional assets.
13
Individuals selected to participate in the asset

prioritization effort should include the people
expected to be responsible for developing and
overseeing data collection and data management When Minnesota DOT began to plan for its asset
policies, procedures, and contracts. This helps management system, the agency created a new position to
lead the effort. However, the full effort was not left to one
ensure later efforts are coordinated, efficient, individual. To collect and document information on the
and in line with the overall asset management benefits and costs of collecting, managing, and using asset
data, the project lead reached out to multiple internal and
vision. external units, including:
• Asset Management Steering Committee
The team may also benefit from including • Asset Management Project Office (AMPO)
individuals who have experience with similar • Specialty/expert offices (e.g., Safety, Maintenance, and
Operations)
assets, or who have participated in similar • District Maintenance and Operations Managers
efforts. For example, if the prioritization effort is • Minnesota IT Services (MnIT) project management and
focusing on highway assets, but the agency contracting personnel
already has asset data for aviation or transit • MnDOT Administrative personnel (materials
management, financial)
assets, individuals who were involved in the • MnDOT TIM office
earlier efforts could provide valuable experience • Vendor personnel*
to the team. *MnDOT had already selected an IT Vendor.
Several factors have allowed Ohio DOT to Figure 10. Graphic. Minnesota DOT's asset
advance in its asset management implementation management system implementation team.
and data integration efforts. Primary among
these is the establishment of their Asset Management Leadership Team, shown in figure 11.
Within the Asset Management Leadership Team is a TAM Audit Group that is responsible for
ensuring that asset management data is well defined, consistent with agency needs, and able
to be efficiently collected and managed.
The final aspect of organizing the effort is to define the list of asset classes to be considered in
the prioritization process. This is more involved than simply providing asset class names. In
addition to names, the list should provide a definition for each asset class, making it clear how
each class differs from the others. A common example of asset classes that make use of specific
definitions to be consistently identified are culvert pipes and storm sewer systems. Typically,
culverts are single pipes that are open at both ends. However, it is not uncommon for multiple
culverts to connect or for culverts to be fed from surface drains. Several connected culverts,
which are fed by surface drains, may be considered a storm sewer system. Agencies should
strive to define each asset class as specifically as possible. Table 1 provides a list of common
ancillary asset classes that State DOTs might consider including in their asset management
program.
14
ASSET MANAGEMENT LEADERSHIP TEAM
Communications Infrastructure TAM Audit Data Governance

Group Group Group Group
• Comprised of Central • Comprised of Central • Comprised of Central • Comprised of Central
Office and District Office and District Office and District Office and District
personnel personnel personnel personnel
• Communicates TAMP • Provides oversight during • Oversees all asset data • Sets agency standards
messages throughout the development of the collection requirements
• Develops data
all levels of ODOT and Work Plan
• Ensures data governance governance and data
externally
• Ensures business needs of and collection standards collection standards for
• Designs and implements Planning, Operations, are in place for any asset all asset data collected
communication plans for Engineering, Construction, data collected by the by the Department
ODOT’s strategic and other functions are Department
direction and measures represented in all aspects
its effectiveness of TAM activities
Figure 11. Graphic. Ohio DOT Asset Management Leadership Team groups.
Table 1. Typical highway asset classes (adapted from NHI 2017).
F UN C TI ON AL A RE A AS S E T CL AS S
• Drainage Structures
• Overhead Sign and Signal
Structures
• Retaining Walls (Earth Retaining Structures)
(not Bridges or otherwise in
• Noise Barriers
the National Bridge Inventory)
• Sight Barrier
• High-Mast Light Poles
• Signals
Traffic Control and
• ITS Equipment
Management—Active Devices
• Network Backbone
• Signs
Traffic Control and • Guardrail
Management—Passive Control • Guardrail End Treatments
Devices • Impact Attenuator
• Other Barrier Systems
15
F UN C TI ON AL A RE A AS S E T CL AS S
• Drain Inlets and Outlets

• Culverts (<20 ft. total span)/Pipes
Drainage Systems and • Ditches
Environmental Mitigation • Stormwater Retention Systems
Features • Curb and Gutter
• Erosion Control
• Other Drains (e.g. Underdrain and edge drain)
• Lighting
Other Safety Features • Pavement Markings
• Rockfall
• Sidewalks
• Curbs
• Fence
• Turf
Roadside Features • Brush Control
• Roadside Hazard
• Landscaping
• Access Ramps
• Bike Paths
• Rest areas
• Weigh stations
• Parking lots
Other Facilities and
• Buildings
Other Items
• Fleet
• Roadside graffiti
• Roadside litter
STEP 2: SELECT CRITERIA

An objective prioritization process requires the establishment of common criteria
for comparing each asset under consideration. By selecting criteria, the team is
identifying what matters to them when determining asset class priority, and what
does not. Criteria used to prioritize asset classes should reflect the benefit or cost
of including each asset class in the asset management program. Each criterion has three
components to maximize the objectivity of the process:
• The attribute, benefit, cost, or risk being considered to differentiate between asset classes.
• A means of rating each asset regarding the criterion.
• A weight assigned to signify the relative importance of each criterion in relation to the
others.
16
While each agency will need to select criteria to meet its specific needs, there are common
categories that should be considered: importance, external influence, need to respond impact
on the agency’s mission, effort and cost to implement, risk, and organizational readiness.
Following are descriptions and details on the types of information that can be used to define
and rate each of the criteria.
Importance
How important is the asset to the agency and its mission? This can also be described as the
priority the agency places on the asset or the urgency normally placed on keeping the asset in
service. Importance can be assessed in many ways. Possibly, the most common way is the cost
to replace existing assets with assets meeting current standards. This can be very difficult when
no asset inventory is in place. For assets without existing inventories, it may be easiest to
assess the amount spent on annual maintenance, repair, and replacement efforts.
It is recommended that this effort consider capital expansion trends to consider the total value
or annual maintenance needs at some point in the future. ITS assets can be used as an
example of the importance of looking forward. In most locations, the total value of deployed
ITS assets in the year 1990 was relatively small. By the year 2000 the value of deployed assets
had grown significantly, but the annual maintenance and replacement costs were still relatively
small because the assets were new. By 2010, the ITS maintenance and repair costs became a
significant expense for many State DOTs.
External Influence
Transportation agencies do not operate independent of external influences. Some external
groups, typically government entities, can direct agencies to act through statute, regulation, or
mandate. For example, Federal statute requires that States maintain inventories for public
bridges (23 USC 114). States or localities may have similar mandates for other assets. New York
State DOT, for instance, operates under a general permit for the State Pollutant Discharge
Elimination System, 1 which requires the DOT to inventory and periodically inspect all outfalls of
stormwater from its highways.
Other regulations may not directly require an inventory but it may be challenging to meet the
requirements without one. The Americans with Disabilities Act (ADA) (42 U.S.C. § 12101, et
seq.) does not require facility owners to inventory assets that provide access to the
transportation system. However, maintaining pedestrian facilities that comply with the ADA
requirements without an inventory can be extremely difficult for a large agency such as a State
DOT. In some cases, failure to maintain these assets in compliance with regulations has led to
court or administrative findings, which led agencies to obtain inventory and condition data for
related assets.
1
New York State Article 17 Title 8, Environmental Conservation Law Implementing Regulations - 6NYCRR
Part 750.
17
Need to Respond
Government transportation agencies exist to serve the public. While agencies may not be under
any specific mandate to respond to the public concerns, it is generally expected that these
agencies should be responsive to significant concerns raised by stakeholder groups or the
general public. The ability to quickly and accurately answer questions from the public or other
stakeholder groups goes a long way toward establishing a positive agency reputation. The
callout box presents examples of the type of the information that may be requested from the
maintenance units and how BIM can help in addressing them.
Impact on the Agency’s Mission

As described in Chapter 2, a performance-based 4 O’CLOCK FRIDAY AFTERNOON
management system supports delivery of the CALL TO MAINTENANCE
agency’s mission by establishing and tracking
measurable goals, objectives, and targets. Any At any given time, agency executives, legislators, and
asset prioritization effort should be directly tied to the public may wish to know any number of
maintenance metrics, such as number of poor signs
the agency’s mission and any existing goals and replaced, preservation projects completed, or winter
objectives. Typically, these will include some snow and ice financial information. Follow-up questions
aspects of efficiency, safety, environmental might include the request to display this information on
a map, with the ability to query by region, district, state
stewardship, and economic growth. route, city, or legislative district. Generally, to answer
these types of questions the maintenance office would
need to review different databases, such as financial,
While it may be difficult to directly tie asset maintenance, planning, functional classification, and
conditions to broad goals, such as safety geospatial.
improvement, it is very likely that a connection can
Building Information Management, or BIM, is a
be made to initiatives or programs that have been philosophy that promotes data as an asset that is
established or identified. For example, the agency managed and shared. Agencies that organize and
may have identified updating nonstandard manage their data as an asset will be able to answer
these and many other 4 o’clock Friday afternoon calls.
guardrail systems as a means of improving
system-wide safety. In many cases, measurable
goals or targets have been established and can be used to evaluate the criteria.
Effort and Cost to Implement

Many factors contribute to the cost and effort of implementing an asset inventory and
inspection program. This evaluation should consider both initial and recurring resource needs.
Including an asset class in an asset management program requires more than developing an
inventory database and making the data available to field staff. Many factors need to be
evaluated, including data standards, data collection, quality control, quality assurance, staffing
levels, and contract costs. Often when agencies are looking to implement agency-wide or
“enterprise” asset management systems, there have already been efforts made by individual
business units. These initial efforts can be leveraged to reduce initial resource needs and
maximize the likelihood that the asset data is kept current and is used to improve business
practices and performance. Table 2 lists the types of criteria suggested for evaluating costs and
level of effort to implement.
18
Table 2. Criteria for evaluating costs and level of effort.
FA CT O R DES C R IP T IO N P OT ENT I AL C R IT E RI A
Having even partial inventories in place can • Full inventory of the asset class
greatly reduce the resource needs to implement established
a new inventory system. However, if data has • Condition assessment data to support
Existing Data been collected by different means, to different business needs established
standards, or is out of date, considerable effort • Data quality is adequate to support
may be needed to make the data suitable for business needs
the identified purposes.
Since the purpose of the asset management • Performance goals have been
system is to support a performance-based established
Performance process for managing asset conditions, any prior • Performance measures have been
Management efforts to develop performance programs for an identified
asset can reduce initial costs and help ensure • Performance targets have been set
continued use.
Asset management analysis uses data on • Treatment strategies have been

current and past conditions, and investments to defined
predict the impact of future investments. • Treatment costs are known
Considerable research may be needed to model • Treatment decision trees have been
how asset conditions deteriorate with time and developed
usage, and how different treatment applications • Deterioration rates are understood
Analysis improve conditions. While performance will vary • Treatment benefits (improvement to
based on environmental, material, and usage conditions) are understood
factors, agencies can often take advantage of • Standard analysis tools or processes
work done by others. Pavement and bridge have or can be obtained
management systems are commonly
implemented with “typical” performance models,
until the agency can develop custom models.
While the initial cost of asset management • Cost of data collection

systems can be significant, the data collection is • Data collection can be combined with
the largest cost in the life of any system. other current data collection efforts
Agencies should seek every possible efficiency • Data collection can be combined with
Data
while collecting data of sufficient quality for other new data collection efforts
Collection
their needs. • Data collection standards exist
• The complexity, difficulty, of data
collection
• The data collection cycle
19
Risk
Risk plays an important role in the prioritization process. Agencies should consider the degree
to which asset data helps the agency address gaps in the agency’s asset management program,
mitigate threats, or take advantage of opportunities in weighing the priority of each asset class.
The following are examples of threats and opportunities that can be addressed with asset data:
• Inventory data can allow rapid access to information to determine which assets comply with
new safety or structural standards.
• Knowledge of assets susceptible to flooding can improve the efficiency of emergency
response plans.
If the agency has a robust risk-management program, then risk-based criteria can be developed
by reviewing the agency’s risk register. If the agency does not have an ongoing risk-
management process, the asset prioritization team can identify criteria by asking the following:
• Can the data be used to reduce the likelihood or consequences of a known threat?
• Can the data be used to take advantage of future opportunities?
Agencies wishing to learn more about risk management at transportation agencies may wish to
read the Guide for Enterprise Risk Management published by the American Association of State
Highway and Transportation Officials (AASHTO).
Organizational Readiness
Organizational readiness refers to the organization’s ability to take advantage of the new or
expanded asset management information once it is in place. Agencies can invest millions of
dollars and thousands of hours of staff time developing IT systems, researching performance
models, and collecting data, but these investments are of little benefit unless the data and
analysis are used to improve business decisions. Staff should be available to keep the data
current and run analyses. Data should be accessible to those who need it. Management
processes need to be in place to use the data and information to improve performance. Figure
12 presents an example checklist that can be used to assess organizational readiness. Figure 13
summarizes the various prioritization categories and criteria used by the Minnesota DOT during
the development of the Minnesota State Highway Investment Plan (MnSHIP).
20
No, and there are No, but there are

no current efforts to current efforts to
ASSET CLASS Yes
assign, implement, assign, implement,
or develop. or develop.
1. Has an asset “owner” unit been

1 2 3
identified?
2. Has an asset “owner” lead been

1 2 3
identified?
3. Do staff have adequate knowledge

1 2 3
and expertise?
4. Are decision-making processes in

place that can take advantage of the 1 2 3
new data or information?
5. Are necessary resources available to

populate, manage, and run the 1 2 3
system?
Total Score
Figure 12. Graphic. Organizational readiness checklist.
21
NOTEWORTHY PRACTICE: MINNESOTA DOT PRIORITIZATION CRITERIA

Minnesota DOT developed a spreadsheet with columns for each criterion and rows for
each asset. The spreadsheet was distributed to stakeholders across business units.
Stakeholder input was then compiled and analyzed by the project lead. The resulting
prioritized list of assets was vetted by the Asset Management Steering Committee before
being adopted.
Category Criteria
• Asset inventory size (level of impact)

• Statewide or metro-only impact
Asset Information • Asset complexity—interactions with other databases
• Completeness of current inventory
• Quality of current data
• Current management system name

• Management system health, functionality
Existing Management • Management system maintenance costs
System, Replacement • Relative [selected vendor] maintenance costs
Project
• Relative level of vendor resources required
• Relative level of MnIT resources required
• Relative level of asset management team resources required
• Breadth of organization impacted, involved, or benefited

• Staff needs to develop or remediate data
• System measures and targets
• Operations measures and targets
Business Readiness • Effort to deliver resource demand model
• Stakeholder level of interest
• Stakeholder availability
• Asset in TAMP, Minnesota State Highway Improvement Program
(MnSHIP), Products and Services
Figure 13. Graphic. Minnesota DOT asset prioritization criteria.
22
STEP 3: ESTABLISH RATING SYSTEM

Once criteria have been selected, it is important to establish a means of rating
each criterion. The simplest means of rating objectively is to select a numeric
scale. It is recommended that scales of either 1 to 5 or 1 to 10 are used and that
the same scale is used for all criteria. However, some criteria cannot be rated
objectively in this way. In addition to the numerical scale, some criteria may be rated using a
yes/no option. Other criteria may be more subjective in nature.
Examples of how quantitative ratings can be established for criteria is provided in table 3, which
is adapted from NHI Course 134112 Enhanced Maintenance Management Systems (NHI 2017).
This example uses a rating scale of 1 to 5. Using a larger scale, such as 1 to 10, allows raters to
distinguish smaller differences between conditions or situations. Scales larger than 1 to 10 are
not recommended as these can become confusing to raters and may not provide sufficient
differences between condition rating values.
STEP 4: ESTABLISH RELATIVE WEIGHTS

Weighting criteria allow agencies to consider the relative importance of different
criteria. For example, an agency may not feel that the difficulty of collecting data
is as important as the importance of the data in meeting agency goals. Care
should be taken in establishing weights, and agencies may want to use an iterative process to
adjust weights after the development of a prioritized list of assets. Since this method
recommends transforming the calculated priorities into broader tiers, the weighting method can
be relatively simple. Weighting can only be used for criteria that have been assessed using a
common numeric scale. Criteria evaluated based on yes/no or subjective means are not
appropriate for weighting. If agencies wish to learn more about establishing relative weights for
selection criteria, NCHRP Report 806, Guide to Cross-Asset Resource Allocation and the Impact
on Transportation System Performance, provides information on several methods for
establishing weights.
STEP 5: SET RATING VALUES

Once the evaluation criteria have been selected and the ratings and weights have
been established, the prioritization team can begin the process of rating each asset
according to each criterion. It is recommended that the rating values are developed
through one or more workshops during which raters work together to develop single priority
ratings for each asset class.
A workshop approach allows for conversation and for raters to be influenced by each other’s
knowledge. Workshop facilitation is critical to ensure that all participants have an opportunity to
contribute to the process. The travel costs associated with workshops can be mitigated, at least
in part, through web meetings and conference calls. Scheduling conflicts can be mitigated by
holding several smaller workshops or a series of meetings instead of one large event.
23
Table 3. Example of rating values (adapted from NHI 2017).
a. Availability of standards for data collection.
L EV EL RA TI NG
No standards available or planned 1

Standards under development 2
Standards inconsistent among agencies 3
Experimental standards 4
Widely accepted standards 5
b. Relative quantity and dollar value of the asset.
L EV EL RA TI NG
Not important (< 1%) 1

Somewhat important (1–5%) 2
Moderately important (5–10%) 3
Important (10–20%) 4
Very Important (> 20%) 5
c. Relative importance of the asset to the agency and road users.
L EV EL RA TI NG
Not important to majority of users 1

Somewhat important 2
Moderately important 3
Important 4
Very important—Assign a rating of 5 to any high-risk assets 5
d. Availability of automated data collection tools.
L EV EL RA TI NG
No automated procedures 1
Automated procedures under development 2
Experimental automated procedures 3
Automated procedures inconsistent among agencies 4
Widely accepted automated procedures 5
24
e. Frequency of data collection.
L EV EL RA TI NG
Very infrequently (5–10 years) 1

Infrequently (2–5 years) 2
Annually 3
Frequently (quarterly) 4
Very frequently (monthly) 5
f. Time to implement IT system.
L EV EL RA TI NG
2 or more years 1
18–24 months 2
12–18 months 3
6–12 months 4
Less than 6 months 5
STEP 6: CALCULATE SCORES

Once all criteria have been rated, the raw priority scores are calculated by
multiplying the rating for each criterion by its weight. The final score for the asset
class is the sum of all rating-weighting products.
Final score = (Rating 1) x (Weight 1) + (Rating 2) x (Weight 2) + …

+ (Rating n) x (Weight n)
The final score can be used to develop an initial ranked list of prioritized asset classes. This list
can be further refined using yes/no and subjective criteria. Often these criteria are considered
in step 7 as assets are grouped into priority tiers.
Ohio DOT held a workshop that identified the threats and opportunities that could be addressed
with additional asset data. Threats and opportunities were identified and then ranked based on:
• The relative impact (negative or positive) of the risk or threat occurring.

• The likelihood that asset data could be used to mitigate the risk or take advantage of the
opportunity.
• The cost to obtain and manage the data necessary.
The group worked through facilitated exercises to come to a consensus of the benefit and cost
of collecting data for each asset class under consideration. Using this benefit and cost data, the
workshop participants developed a draft set of priority tiers. Those priorities were vetted
through the Asset Management Leadership Team before being adopted as the prioritized tiers
25
shown in table 4. Table 4 also includes the results of the asset prioritization effort conducted by
the Nevada DOT. The development of tiers is discussed in the next step, but the differences in
the two examples provided in the table reflect differing priorities or different levels of
preparedness by each agency.
Table 4. Examples of prioritized tiers developed by Nevada and Ohio DOTs.
TI ER
NE VA DA D OT O HI O DO T
L EV EL
• Pavements • Pavements
• Bridges • Bridges
I • ITS assets • Culverts
• Rest areas, buildings and storage facilities • Barriers/guardrail
• Overhead sign structures
• Slopes • Lighting
• Guardrails, barriers, impact attenuators • Retaining walls
II • Hydraulic infrastructure • Curb ramps
• Signs • Geotechnical assets
• Sign structures
• Traffic Signals • Signals
• Noise barrier walls • Noise walls
• Lighting structures • Ground mounted signs
• Bike paths and sidewalks • Sidewalks
• Pavement marking
• Weigh stations and pump houses
III
• Retaining walls
• Curb and gutter
• Embankments
• ADA Features
• Cattle guards and fences
• Landscape features
STEP 7: DEVELOP PRIORITY TIERS

The last step aggregates the information from steps 1–6 to form the agency’s
prioritized list for expanding the asset classes included in its TAM program. The
priority tiers group assets so that plans can be established for collecting, storing,
and managing the necessary data.
Determining which assets to include in a specific implementation project depends on many

interconnected factors, which makes it challenging to develop an accurate ranked order of all
assets. The process can be simplified by using a tiered system, where assets of similar priority
are grouped together. Figure 14 illustrates how a ranked order list can be converted to a set of
prioritized tiers.
26
The prioritization process should be kept

as objective as possible; however, many
RANKED ORDER PRIORITIES PRIORITIZED TIERS
of the evaluation criteria are subjective in
1 Sign Panels TIER 1 nature. A tiered methodology recognizes
2 Ancillary Structures
that initial priority scores are just one set
3 Culverts
of inputs into the final decision of which
4 Guardrails TIER 2 assets to include in a new or expanding
5 Storm Sewers asset management system.
6 Pavement Markings
7 Rest Areas
TIER 3 Considerations for data collection, data
governance, and available resources will
Figure 14. Graphic. Example of ranked order priorities used to also factor into these decisions. Agencies
create prioritized tiers.
with a fully developed IT strategy for
asset management, particularly one that
has established the agency’s approach to implementing BIM for infrastructure, will provide
much of the information needed to understand the benefits of grouping different asset classes
into specific tiers. For example, assets collected by the same means may be combined into a
tier, so data collection can be coordinated with data collection service procurement. Similarly,
assets may be combined into tiers based on the schedule for adding the data sets to a central
data repository.
When an agency has completed the steps in the prioritization process for the first time, the list
of priority tiers is not fully informed by the costs associated with data collection and
management. These costs may need to be established during the next component of the
methodology, as described in chapter 4. If the data collection and management costs result in
major changes to the assumptions used in rating the asset criteria, the agency may want to
repeat the prioritization process using the updated costs.
SUMMARY
This chapter describes the activities associated with prioritizing the order in which assets may
be incorporated into an asset management program. A seven-step process is introduced that
can be adapted to the specific needs of each agency. The steps result in a prioritized list of
asset classes that are grouped into priority tiers. It is recommended that agencies document
their final prioritization process so their tiers can be updated periodically to reflect changes in
the inventory status or a better understanding of costs for data collection and management.
Chapter 4 presents a process that agencies can follow to determine the data elements needed
to manage their ancillary assets and the most cost-effective means of collecting that data.
27
C H A PT E R 4 . SEL ECT I NG
AND COL LE CTING D ATA
INTRODUCTION
To support TAM, agencies collect, store, manage, and analyze large amounts of data. The data
can be used by the agency to identify metrics and define performance measures to verify if a
particular maintenance approach is working effectively and how it might be able to be
improved. Specific data collection related to asset condition assists with prioritization of repairs,
resource allocation, and budgeting. Information shared with the public assists with positive
community relations and outreach.
This chapter introduces the activities associated with the second component to the
methodology: Data Needs. It provides information that can be used to determine the data
needed to support the use of performance-based maintenance decisions for ancillary assets and
the best way to collect the data. Figure 15 summarizes the processes, products, and keys to
success related to selecting and collecting data for ancillary assets.
Processes
This chapter presents a framework for establishing a performance-based management strategy
for ancillary assets, identifying data elements for collection, and selecting the most appropriate
data collection techniques. This framework is presented as a set of related processes that can
be adapted to each agency’s specific needs.
The process for establishing a performance-based management strategy uses the RCM
approach. RCM uses a set of risk-based questions to help the agency determine the most
effective and efficient approach. Once the management approach is defined, data elements are
classified as essential or desired and assessed for priority. Data quality is essential to effectively
support decision-making, so data collection approaches are described to help an agency
determine the most efficient means of collecting high-quality data.
Products
The framework presented in this chapter will allow agencies to develop three products to
support implementation of their TAM program. Following the RCM process, agencies can
develop a performance-based management approach for each asset class. Documenting this
approach allows the agency to effectively coordinate between functional groups such as
maintenance, engineering, and planning. The management approach establishes the types of
maintenance activities that the agency will implement to extend asset service lives, as well as
the factors that contribute to determining the most effective activity at any point in an asset’s
life. Using the documented management approach, agencies can identify and document the
data needed to manage each asset class. Understanding and documenting the data needs
allows agencies to determine the most effective means of data collection for each data element,
29
coordinate between asset classes to avoid redundant data collection activities, and improve
overall agency efficiency.
Keys to Success
Successful implementation of the framework presented in this chapter requires an
understanding of the intended function, potential failure modes, available maintenance options,
and consequences of failure for each asset class. This information is likely not housed in any
one functional area or business unit within a single agency. Collecting this information will
require coordination between different groups across the agency.
Design Identify data Select most Document steps in

RCM process needs to support appropriate data the process for the
decision making collection approach approach selected
PROCESS
Determine most suitable Identify “essential” and Investigate applicability, Procedures and protocols,
maintenance approach “desired” data to support evaluate pros and cons of equipment and vendors,
the maintenance various data collection training and certification,
approach selected approaches, such as data collection, and
manual, photogrammetry, quality assurance
and mobile LiDAR
• Performance-based management approach for each asset class

• Data needs to support maintenance approach
• Data collection approach for each asset class
PRODUCTS
• Realistic understanding of the intended function of the asset, failure modes, maintenance approaches,
and consequences/impacts of failure prior to data collection
KEYS TO SUCCESS
Figure 15. Graphic. Chapter 4 products, processes, and keys to success.
30
DEFINE A MAINTENANCE APPROACH

To know what data is needed to support decision-making, an
DATA NEEDS agency should first understand the decisions that will be made
using the data. Before collecting data on a class of assets, the
X Define maintenance approach agency should formalize its approach to managing those assets
and identify the key decisions that will be made throughout the
Identify data to support
decision-making life of a typical asset in that class. RCM is the process used to
determine the most effective maintenance strategy to ensure
Optimize data collection
that a physical asset continues to perform in a manner
consistent with design specifications. The RCM process can be
used by transportation agencies to plan the type of maintenance
approach used for ancillary assets to improve the overall safety and reliability of the asset in a
cost-effective manner during the asset’s life cycle.
Background
The concept of RCM originated in the airline industry in the 1960s due to the high cost of
maintenance activities. RCM took the airline industry from the “the more maintenance the
better” mindset to a philosophy that maintenance should be performed when the benefits
clearly outweigh the associated risks and costs. In a 1968 study, the maintenance requirements
in one example reduced from 200 man-hours per flight hour to 3.3 man-hours per flight hour
with the use of RCM (Nowlan and Heap 1978). In addition, when the preventive maintenance
was reduced and the time between overhauls of the planes minimized, the aircraft safety and
dispatch reliability improved due to reduced maintenance-induced failures.
The highly structured RCM process results in a consensus from stakeholders in the identification
of maintenance practices to develop a policy for ease of maintenance and effective operation.
The seven basic questions included in the evaluation criteria for the RCM process are as follows
(SAE International 2009):
• What is the item supposed to do, and what are its associated performance standards?
• In what ways can it fail to provide the needed or desired functions?
• What are the events that cause each failure?
• What happens when each failure occurs?
• In what way does each failure matter?
• What systematic task can be performed proactively to prevent or diminish to a satisfactory
degree the consequences of the failure?
• What needs to be done if a suitable preventive task cannot be found?
RCM integrates the underlying philosophies built into preventive maintenance, predictive
maintenance, real-time monitoring, reactive maintenance, and proactive maintenance to
increase the probability that an asset will perform in the desired manner over its intended
design life. The primary objectives of RCM are to maximize asset reliability and minimize life-
cycle costs by integrating maintenance approaches rather than applying them independently. By
focusing on reliability and costs throughout the life of an asset, RCM directly supports the
31
practice of life-cycle planning for asset management. The three main components of an RCM
program that are most relevant to life-cycle planning of ancillary highway assets are condition-
based maintenance, interval-based maintenance, and reactive maintenance (see figure 16).
Figure 16. Graphic. Components of an RCM program (adapted from NASA 2008).
RCM Application to the Transportation Industry

The maintenance approach for assets such as pavements and bridges, which are being
managed using relatively mature management systems, may be based on a predictive
monitoring approach. Routine asset condition surveys provide information on current condition
and the time-series condition data can be used to develop forecasting models that predict when
the assets will need a specific type of maintenance activity. Assets such as ITS devices and
traffic signals may need a different approach, requiring a regular replacement cycle based on
historical performance or the service life estimated by the manufacturer. These assets may be
more suited to an interval-based maintenance approach. Other roadway assets, such as raised
pavement markers, may require replacement only when they fail to perform their intended
function, and hence a reactive maintenance approach may be the preferred strategy.
RCM Process for Ancillary Assets

The first step is to define the function and associated performance standards for the asset. In
addition to the primary function of the asset, there are several secondary functions including,
but not limited to, safety, environmental, appearance, containment, and/or economy. The DOT
needs to assign where, when, and under what conditions the asset will operate and what will be
the performance standards. It is possible for an asset to have a functional or partial failure that
allows the asset to remain in service with reduced capabilities. A total failure would render the
asset out of service (e.g., sign falling from mounting, retaining wall slope stability failure,
32
guardrail demolished by natural or man-made disaster). After defining the failure modes and
potential impacts, the RCM process asks what can be done to prevent or predict the failure. The
results of the failure modes and effects analysis (FMEA) leads to the three possible outcomes
introduced earlier: condition-based, interval-based, or reactive maintenance. Figure 17 shows a
decision-logic tree that can be used in determining the most suitable maintenance approach for
ancillary assets.
YES NO
YES NO
YES NO
YES
NO
YES NO
Figure 17. Graphic. Reliability-centered maintenance (RCM) decision tree

(adapted from NASA 2008).
33
Examples are provided below demonstrating how two State DOTs have applied the RCM
process to select maintenance approaches for ancillary assets. Indiana DOT determined that
high-mast light poles were best managed through condition-based maintenance, while Nevada
DOT determined that ITS assets were best managed through interval-based maintenance.
Condition-Based M aintenance
Ex am ple–High-M ast Light Pole
Condition-based maintenance includes

predictive maintenance and real-time
monitoring. Infrastructure assets typically
have inspection schedules prescribed by
national standards. The inspector noting
the maintenance requirements in the
© 2018 Collins Engineers
recommendation segment of the condition
survey eases the workload on the
YES
maintenance department to only repair and
replace assets that require attention, not
those that are still within their useful life.
An example of condition-based
maintenance is the high-mast light pole
that provides lighting pointed toward the
YES ground to ensure the safety of the traveling
public. The functional failure of this asset
occurs if one or more of the bulbs in the
light do not work. Alternately, a complete
failure occurs if the pole itself falls due to
the connection at the foundation, poor
installation, the material for the pole does
not meet material specifications, or some
other unforeseen failure mechanism occurs.
The questions and answers shown in figure
18 illustrate the use of the RCM decision
tree.
The Indiana Department of Transportation

(INDOT) has been performing condition-
CONDITION-BASED MAINTENANCE
based maintenance for its overhead sign
structures for the past several years, as
Figure 18. Graphic. Example of applying the RCM decision described in figure 19.
tree—condition-based result.
34
NOTEWORTHY PRACTICE
The Indiana Department of Transportation (INDOT) has been performing condition-
based maintenance for their overhead sign structures for the last 8 years. In general,
the process is as follows:
Condition inspection Develop inspection Inspection reports Districts review Districts create In-house crews
of asset report submitted to districts reports and work orders perform work*
prioritize work
*If in-house crews are unable to perform work, it may get contracted out to a local contractor.
Figure 19. Graphic. Condition-based maintenance approach for sign structures used by INDOT.
This process has been working well for INDOT and has led to the identification of several goals, including:
1. Improve tracking of maintenance work to be performed.

2. Increase collaboration between districts within the agency.
3. Improve the prioritization and tracking of major repairs and replacements.
4. Execute an indefinite duration indefinite quantity (IDIQ) contract to expedite the delivery of work by contractors.
I nterval-Based M aintenance
Interval-based maintenance is performed without regard to the asset condition and consists of
regularly scheduled inspections or replacements. An example of an asset managed using
interval-based maintenance is ITS traffic cameras. The purpose of the ITS traffic cameras is to
observe vehicular traffic on the roadway. The functional failure of this asset occurs if the
camera stops taking images. Figure 20 illustrates the approach used by the Nevada Department
of Transportation (NDOT) to manage its ITS traffic cameras. A more complete description of
Nevada DOT’s approach to manage its ITS assets follows.
NEVADA DOT’S INTERVAL-BASED MAINTENANCE APPROACH
The Nevada DOT (NDOT) has adopted an interval-based approach to maintain its ITS devices.
This approach uses age data and manufacturer recommendations to establish asset conditions
and replacement cycles. This approach is expected to provide better conditions for lower cost
than a worst-first reactive strategy.
Nevada DOT has been rapidly expanding its deployment of ITS devices for many years. These
devices are critical to the safe and efficient operations of the agency’s highway network. The
agency sought a means of managing these assets to minimize the risk of failures impacting
traffic operations at a practicable life-cycle cost.
35
To address the risk of device failure, the agency

developed deterioration rates for each subclass
of ITS device, based on expert opinion provided
by NDOT staff. The deterioration rates typical
time over which a device deteriorates from one
condition to another, with condition described as
© 2018 Collins Engineers © 2018 Collins Engineers
the risk of failure (e.g., “good” represents “low
risk”). Next NDOT developed lists of appropriate
maintenance actions to be performed on assets
in each condition state. NO
Using the deterioration rates, rating system and

maintenance-actions, NDOT developed a
spreadsheet tool to calculate the cost of
performing the maintenance actions within
YES
appropriate timeframes and the impact of those
actions on asset conditions. Using the
spreadsheet, NDOT performed a 20-year
analysis comparing the new interval-based
strategy to the old reactive strategy of replacing
devices when they fail. The results of this NO
analysis showed that to maintain similar
conditions, the interval-based strategy would
cost 56 percent less ($1.1 million) than the
reactive strategy. NDOT has since incorporated
the interval-based strategy into its TAMP and YES
programming practices. Figure 21 shows the
matrix of deterioration rates and maintenance
actions NDOT developed as part of its interval-
based maintenance approach.
Figure 20. Graphic. Example of applying the RCM
R eactive M aintenance decision tree––interval-based result.
Reactive maintenance assumes that failure is not detrimental to the operation of the asset. It is
typically applied where there are no effective monitoring approaches to assist the agency,
and/or there are no regular deterioration or failure patterns. Therefore, this maintenance
method is to repair after the failure. Budgeting for reactive maintenance activities may be
planned by estimating the failure event frequency based upon historical data.
36
Current Resulting Condition Resulting Condition Resulting Condition Resulting Condition

Condition After Inspection After Minor Repair After Major Repair After Replacement
Good Good – – –
Low Risk Low Risk Good – –
Medium Risk Medium Risk Medium Risk Low Risk –
High Risk High Risk High Risk Medium Risk Good
Good: Device age is less than 80 percent of the manufacturers’ recommended service life.
Low Risk: Device age is between 80 to 100 percent of the manufacturers’ recommended service life.
Medium Risk: Device age is between 100 to 125 percent of the manufacturers’ recommended service life.
High Risk: Device age is greater than 125 percent of the manufacturers’ recommended service life.
-n/a
Figure 21. Graphic. Nevada DOT’s maintenance approach for ITS assets (NDOT 2018).
Application of RCM Decision Tree to Ancillary Assets

The RCM decision tree is applied to a generally accepted asset classification hierarchy, which
categorizes the assets by asset class, asset elements, and then sub-elements to help the
agency manage the information (Rose et al. 2014). The user should clearly define and
document the higher-level goals of the agency and how these are supported by each asset
element as the RCM decision tree is applied. Table 5 presents a summary of the applicability of
condition, interval, or reactive maintenance for each of the asset classes.
Table 5. Categorization of applicable maintenance approaches by asset class.
a. Structures (not Bridges or otherwise in the national bridge inventory).
AS S E T CO ND IT I ON IN TE R VAL RE A CT IV E
EL E M EN TS BAS ED BAS ED BAS ED
Drainage structures Preferred Not recommended Feasible
Overhead sign and signal
Preferred Not recommended Feasible
structures
Retaining walls
(earth retaining Preferred Not recommended Feasible
structures)
Noise barriers Preferred Not recommended Feasible
Sight barriers Preferred Not recommended Feasible
High-mast light poles Preferred Not recommended Feasible
37
b. Traffic control and management—active devices.
Signals Feasible Preferred Feasible
ITS equipment Feasible Preferred Feasible
Network backbone Feasible Preferred Feasible
c. Traffic control and management—passive control devices.
Signs Feasible Feasible Preferred
Guardrail Feasible Feasible Preferred
Guardrail end treatments Feasible Feasible Preferred
Impact attenuator Feasible Feasible Preferred
Other barrier systems Feasible Feasible Preferred
d. Drainage systems and environmental mitigation features.
Drain inlets and outlets Feasible Preferred Feasible
Culverts (<20 ft. total
Preferred Feasible Feasible
span)/pipes
Ditches Feasible Preferred Feasible
Stormwater retention
Feasible Preferred Feasible
systems
Curb and gutter Feasible Preferred Feasible
Erosion control Feasible Preferred Feasible
Other drains Feasible Preferred Feasible
e. Other safety features.
Lightning Feasible Feasible Preferred
Pavement
Feasible Feasible Preferred
markings
Rockfall Feasible Feasible Preferred
38
f. Roadside features.
Sidewalks Feasible Feasible Preferred
Curbs Feasible Feasible Preferred
Fence Feasible Feasible Preferred
Turf Feasible Feasible Preferred
Brush control Feasible Feasible Preferred
Roadside hazard Feasible Not recommended Preferred
Landscaping Feasible Preferred Feasible
Access ramps Feasible Preferred Feasible
Bike paths Feasible Preferred Feasible
g. Other facilities and other items.
Rest areas Preferred Feasible Feasible
Weigh stations Preferred Feasible Feasible
Parking lots Feasible Preferred Feasible
Buildings Preferred Feasible Feasible
Fleet Feasible Preferred Feasible
Roadside graffiti Feasible Feasible Preferred
Roadside litter Feasible Preferred Feasible
IDENTIFY DATA TO SUPPORT DECISION-MAKING

Data-driven decisions rely on asset data to make effective
DATA NEEDS investment decisions. Good data collection practices will enable
an agency to perform strategic RCM maintenance and enable
Define maintenance approach efficient work order distribution. With the appropriate data,
metrics can be derived, and performance measures can be
X decision-making compared to verify whether a maintenance approach is working
Optimize data collection
effectively and how it might be improved. Asset data can be
classified as being either essential or desirable. Regardless of
which type of data is being collected, it is important that the data
is complete and reliable.
39
Using data to manage assets requires that ATTENUATORS

decision makers understand and trust the Energy-absorbing barriers that provide protection from vehicles
data they are using. A data dictionary defines striking rigid bodies such as bridge columns and barrier walls
each of the asset attributes needed.
Development of a data dictionary prior to
selecting a data collection approach will
ensure consistency in the data collection
process and can also help in agency-wide
data integration, as discussed in Chapter 5. A
data dictionary typically describes the
LRS to reference Log mile location of front nose of attenuator
attributes that are to be collected, the level of
detail necessary, and the level of accuracy GPS to reference GPS location of front nose of attenuator
that is expected. An excerpt from a sample
Feature type 04
data dictionary from the Tennessee DOT is
shown in figure 22. Feature characteristics: 00758 – GREAT
Choose from the following 00759 – TRACC
types 00760 – Quadguard
Essential Data 00761 – Hex-foam sandwich
00762 – React
For any type of RCM practice, it is important
01330 – TAU-II
to be able to identify individual assets 01331 – SCI
efficiently and consistently within the 01332 – HEART
enterprise. To do this, there are some basic 013333 – QUEST
data attributes that are essential to Feature location: 1 – Left
adequately execute maintenance activities. Choose from the following 2 – Right
locations 4 – Median Right
Basic essential data attributes include the type
6 – Median Left
of asset, location of the asset, and a unique 7 – Centerline
identifier (asset ID). There may be other data
Height Report tallest height to nearest 0.1 feet
attributes that an agency deems essential that Measure vertically from the ground to the top
could be subcategories of the data elements of the attenuator
listed above or completely different attributes.
Width Report widest point to nearest 0.1 feet
It is up to the agency to determine what data
Figure 22. Graphic. Sample data dictionary
attributes are essential to their needs.
for impact attenuators (TDOT 2014).
If asset data is being used or modified by multiple business units, it is paramount that there are
data governance rules established because there can only be one source of truth for data. For
example, if a department within an agency is maintaining data for a high-mast light pole
through multiple departments, such as a structures department and a lighting department, then
there should only be one name for the type of asset (high-mast light pole), one location, and
one asset ID. Table 6 summarizes the essential data used for various RCM maintenance
approaches.
40
Table 6. Essential data to collect for the RCM maintenance approaches.
MA IN TE NA N CE AS S E T AS S E T AS S E T CO ND IT I ON
TY P E S UP P O RT ED TY P E L OC AT IO N UN I QU E I D DAT A
Interval-based
X X X -
maintenance
Reactive-based
X X X -
maintenance
Condition-based
X X X X
maintenance
Asset Class and Subgroup
Identifying the asset class, and subgroup as necessary, is essential to supporting asset
management decisions because assets that serve the same function but have different
attributes are often maintained differently. The asset class should always fall within one of the
predetermined asset types within the agency. In other words, an agency should define a
complete list of assets that ensures all the agency’s assets fit within one of these asset classes.
Agencies may decide to continue to divide assets into levels of subgroups such that assets with
similar attributes can be maintained similarly and often more efficiently.
Location
The location of the asset can be determined numerous ways. Some of the more common types
of locating assets in the field include using:
• Global Positioning System (GPS) coordinates.

• Latitude/longitude.
• Linear Referencing System (LRS).
• Route and mile points.
• Route, mile points, and offsets.
• Street addresses.
• Intersections.
• Others.
Often agencies will locate an asset with a quantitative method (e.g., LRS or GPS coordinates)
and then also use a qualitative method (address or exit number) to assign a common locator
that is familiar to agency personnel. As seen in figure 23, the reason for this is that the
quantitative method allows for a precise location that is used in a database, mapping software,
or asset management system. The qualitative method tends to be better understood by
maintenance crews and other agency personnel. For example, if a work order listed only GPS
coordinates for the work location, it would not be intuitive for a maintenance foreman to know
precisely where to go. If, on the other hand, the location was presented with route and mile
point, the maintenance foreman would know exactly where to go. Technology is making the
41
need for the quantitative method less critical since most people currently rely on electronic
mapping systems.
Unique Identifier
To identify each asset separately and to

ensure the correct asset is being
v.
maintained, it is essential to have a
unique identifier (or asset ID) for each
asset within the inventory. This is very
simple to understand, but its importance
cannot be understated. This becomes
Quantitative Qualitative even more critical when using a database
Good for databases, Good for speaking to or electronic asset management system
mapping software, and asset maintenance crews with vast as these systems require a unique
management systems institutional knowledge of a
maintenance area identifier for each asset in the system.
Having a unique asset ID, visible to the
Figure 23. Graphic. Qualitative v. quantitative method for user, also makes it easier to address
locating assets in the field.
maintenance work orders so that there is
no confusion on the asset being worked
on.
Condition
In a condition-based maintenance approach, there is at least one additional piece of data that is
essential: asset condition. This can be collected and displayed in numerous ways. It can be one
value—number, letter, word, and so on—or can be numerous values representing the different
components or functionalities within the asset. Often it is simplest to designate one value
representing the overall health index of the asset, which may be a culmination of smaller asset
element values. The evaluation scale for condition can be represented numerous ways, such as:
• Number scale: 1 to 10, 10 to 1, 1 to 100, 100 to 1, etc.

• Low value (good) to high value (poor).
• Low value (poor) to high value (good).
• Letter scale: A (good) to F (poor).
• Word scale: good, fair, poor.
• Color scale: Green (good) to Red (poor).
It is easiest to compare assets to one another when different assets use the same condition
scale. However, based on the age of a program, the existence of legacy systems, the
importance of assets, and the number of stakeholders involved, it is not always practical to use
the same rating system for each asset.
In condition-based maintenance, it is important to distinguish between functional and structural

condition. The functional condition pertains to the ability of the asset to perform its intended
42
function. The structural condition is an assessment of the reliability of the component or asset
to remain in place without risk of endangering the public, the agency’s reputation, existing
property, or the environment. For example, if a traffic signal is malfunctioning and the signal
head is not working, then this is a scenario of poor functional condition and may increase the
risk of an accident to the traveling public. An example of poor structural condition is if a traffic
signal pole is severely corroded at the base: this may increase the risk of the pole falling into
the intersection, causing an increased risk of harming the traveling public, the agency’s
reputation, and/or property. In condition-based maintenance, it is desirable to maintain good
functional and good structural condition.
Desirable Data
In addition to the essential data needed to support a maintenance program, there is likely a
significant amount of additional data that is desired for any given type of asset. There are many
reasons for collecting additional data. As noted below, the additional data may:
• Provide additional clarity and accuracy to the essential data collected.

• Support different departments within an agency.
• Assist in generating accurate work orders.
• Help manage asset risks.
• Track the asset’s full life cycle to make informed decisions.
The above list is not all-inclusive but provides clear examples of reasons why additional data
collected in the field could be beneficial to an agency. Each of these items is described in more
detail below.
Other desirable data attributes that are not described further may include (HMEP 2013):
• Maintenance intervals.
• Frequency of failure.
• Allocated risk factors.
• Maintenance requirements.
• Engineering specific data.
Provide Additional Clarity and Accuracy to the Essential Data Collected
As discussed earlier, it can be beneficial and desirable to collect essential data (such as location
information) in more than one format. It can be important to collect location data for use in an
electronic system in GPS or latitude/longitude format, but route and mile point data might also
be useful for maintenance crews and other agency personnel. The GPS or latitude/longitude
data is generally more accurate and more easily maintained in a data set, but the route and
mile point data are easier to describe to a maintenance crew member. BIM for infrastructure is
enabling agencies to support systems that easily translate between location systems. This
technology allows the data to be provided to each user in the most appropriate form. For
example, integrated MMSs that can display work orders in a mobile mapping environment
43
locate an asset on a map with routing directions built into the system, even if the location
stored for that asset in the database is in Latitude/Longitude coordinates.
Condition data is another example where it often may be desired to collect additional data. For
condition-based maintenance, it is important to know the overall condition of an asset.
However, it may be even more beneficial to know the condition of various asset elements. For
example, if a 100-foot-long retaining wall is in poor condition overall but there is a support
element in the middle of the structure that is driving the poor condition, that information would
be useful for planning maintenance needs. In this example, instead of slating an entire
structure for replacement, the maintenance crews may be able to fix the poor component and
leave the remaining portion of the structure in service.
Support Different Departm ents w ithin an Agency
It is quite common that different business units within an agency have an interest in the same
asset but for different reasons. For an overhead sign, the traffic unit may be interested in the
actual sign, while the bridge and structures units may be interested in the condition of the
structure supporting the sign. If there is electricity running to the site, then perhaps the
electrical department has an interest in the asset, and if there is a variable message sign or
dynamic message sign mounted to the structure, then the ITS group may also be interested in
the asset. In these cases, the various entities would likely all have different data needs to
describe the asset, its condition, and its functionality. Whenever different departments within
the agency are collecting data on the same assets, it is critical to develop a data dictionary and
establish data governance rules for managing the data. Chapter 5 presents more information on
how BIM for infrastructure can integrate data across IT systems and business units.
Assist in Generating Accurate W ork Orders
Accurate work orders are important to ensure that an MMS accurately reflects work
accomplishments and maintenance needs. Often, only elements or components of an asset are
replaced or repaired. Knowing the type of work that will be needed enables maintenance crews
to bring the correct equipment, tools, and materials to the site, helping to avoid wasteful trips
between the garage and the work site. Even if the entire asset is going to be replaced, some
basic data on the existing type, size, and model would typically make it easier to repair or
completely swap out assets.
Help M anage Asset R isks
Evaluating risks requires more information than knowing the location and condition of an asset.
Risk is the product of likelihood and consequence of failure. It can be influenced by numerous
factors, such as age, asset type, asset material, and design parameters. Risks can also be
skewed if only average condition information is available because a component with a high-risk
failure potential could be masked if the rest of the asset is in good condition.
44
Track the Full Asset Life Cycle to M ake Inform ed Decisions
By collecting additional data, an agency can begin to manage maintenance activities over the
full asset life cycle. This type of data can include asset age, work history, and inspection history.
With this information, agencies are better prepared to evaluate whether it is cost-effective to
maintain an asset or whether more expensive repairs are necessary.
OPTIMIZE DATA COLLECTION

Decision-making for the maintenance and operation of transportation assets is primarily
dependent on available inventory, condition, and maintenance data. Data collection methods
have transformed considerably over the years due to advances in technology. The use of
automated data collection equipment has not only increased the data collection and processing
speeds, but it has also provided the ability to collect a wide range of data for multiple assets
using the same equipment with minor adjustments.
The ability to make sound investment decisions relies on the

DATA NEEDS
following (Zimmerman and Manda 2015):
Define maintenance approach
• Availability of a comprehensive asset inventory.
decision-making • Method of assessing current conditions and performance.
• Tools for evaluating the impacts of different investment
X Optimize data collection
strategies on system performance.
The development of an asset inventory is the first step in establishing a strong asset
management program. This section describes the various data collection approaches to support
the development of an asset inventory database. The key steps involved in the data collection
process are also discussed. The scope of this section is limited to the approaches, processes,
and generic protocols related to ancillary transportation assets maintained by State DOTs, such
as overhead sign structures, guardrails, high-mast tower lighting, and ITS devices.
Much of the information presented in this section has been adapted from The NCHRP Project
20-07/Task 357 A Guide to Collecting, Processing, and Managing Roadway Asset Inventory Data
(Zimmerman and Manda 2015). Background information and additional details for much of the
information presented in this section are in the NCHRP report cited above.
Data Collection Approaches

The information provided in this section focuses on the use of three types of data collection
techniques/technologies: manual techniques and two types of automated techniques,
photogrammetry and mobile LiDAR.
M anual Techniques
Manual data collection techniques involve the collection of assets by staff at the asset’s location.
There are three general types of manual data collection: nondestructive testing, destructive
45
testing, and remote sensing. The manual data collection process typically involves one or more
surveyors/raters collecting the data using one or more of the following methods:
• Record inventory and condition information using a pencil and paper.

• Utilize Global Position System (GPS) technology to locate assets in the field.
• Use handheld computers, tablets, or mobile phones to record field data.
Figure 24 summarizes some key characteristics associated with manual data collection.
MANUAL DATA COLLECTION
DATA COLLECTION AND PROCESSING

Data are collected by personnel walking in the field or by recording
information while looking out the windshield of a vehicle. Data are
recorded on paper or on handheld computers.
• Can be very detailed if necessary
• Data must be processed manually if collected on paper
• Little to no expertise required for data collection and processing
• Provides means to survey assets not visible from the roadway
© 2018 Collins Engineers
• Most common approach to data collection by state highway
agencies and only method used to inventory drainage assets
APPLICATION VALUE ADDED LIMITATIONS

Can be used to Does not require Accuracy of distance
inventory all specialized measuring devices
roadway assets, equipment, so it can be is limited to a few feet.
including ones that are not implemented easily at a
Quality assurance and lack of
visible from the roadway. relatively low cost.
consistency can be an issue if
Many agencies use handheld Assets not easily visible from inspectors are not trained.
computers to enhance data the roadway can be surveyed.
Data collection is slower than
collections and processing
Inspections in the field usually other available methods and
efficiency.
lead to good quality data. may expose inspectors to
traffic.
Figure 24. Graphic. Characteristics associated with manual data collection techniques (adapted from
Zimmerman and Manda 2015 with permission from National Academy of Sciences,
courtesy of the National Academies Press, Washington, DC).
Autom ated Techniques
Automated data collection techniques involve the use of a specially equipped vehicle at near-
traffic speeds to collect asset data. The two popular automated data collection techniques used
for establishing highway asset inventories are photogrammetry and mobile LiDAR.
46
PHOTOGRAMMETRY
Photogrammetry typically involves the use of laser sensors to monitor pavement surface
characteristics (such as rutting or roughness) and digital cameras strategically mounted on the
vehicle to capture various roadway features (e.g., signs, signals, curb and gutter, etc.) that are
visible from the right-of-way. The main characteristics associated with photogrammetry-based
data collection are shown in figure 25.
PHOTOGRAMMETRY

Data can be collected at the same time as data for other applications
by adding a ROW camera and other specialty-positioned cameras. The
surveys are conducted at traffic speeds.
• Asset inventory is created by extracting data from a data processing
interface usually licensed by the equipment manufacturer.
• Little to no expertise required to build an inventory.
• Data are convenient and accessible—for example, data can be
extracted a year after the surveys were conducted if resources are
not available prior to that.

Can be used to Increases Accuracy of the
inventory all consistency by roadway asset
roadway assets limiting the amount of location may be limited to a
visible from the roadway. human intervention. few feet.
Data can be collected for Images can be reused for Dimensions of assets cannot
multiple assets simultaneously multiple purposes with another be extracted accurately.
at highway speeds. survey.
Assets that are not visible
Improves safety by reducing the from the roadway cannot be
number of personnel in the field. inventoried.
Figure 25. Graphic. Characteristics associated with photogrammetric data collection techniques (adapted from
47
MOBILE LIDAR
Some data collection vehicles are equipped with remote-sensing technology to measure
distances by analyzing the reflected light from an asset after being lit by a laser. This
technology is commonly referred to as mobile LiDAR. Mobile LiDAR can locate objects in the
field to a high precision level, from 3 inches up to a range of around 250 feet. A 3-D point cloud
that can be used in determining offsets or measuring vertical distances is then generated. As
with photogrammetry, this technique is limited to the assets visible from the ROW and within
the range of the imaging devices used. Figure 26 summarizes some of key characteristics
associated with mobile LiDAR.
MOBILE LIDAR

LiDAR is a remote sensing technology that collects data in 3-D point
clouds. Data are captured by a van driven at traffic speeds with a LiDAR
sensor mounted on top and paired with a scanner, photo detector, and
GPS. The equipment can be coupled with lasers and cameras for other
applications, such as pavement condition surveys.
• Data are extracted from a data processing interface usually licensed by
the equipment manufacturer.
• Specialized expertise is beneficial to effectively manage the data.
• Survey images can be used later to inventory a new asset without
resurveying.
• The process becomes increasingly more cost-effective as the number
of applications for the data increases.

Can be used to Assets can be located accurately LiDAR by
inventory all to within a few inches. itself does
roadway assets not capture
Vertical clearances and dimensions can
visible from the roadway. objects in color, which
be estimated within a few inches.
may be used to classify
Data can be collected for
Increases consistency by reducing human some assets (such as
multiple assets
intervention. signs).
simultaneously at highway
speeds. Point cloud can be reused for multiple purposes Assets that are not
without resurveying. visible from the roadway
cannot be inventoried.
Improves safety by reducing personnel in the
field.
Figure 26. Graphic. Characteristics associated with Mobile-LiDAR data collection techniques (adapted from
48
A summary of the key considerations in selecting the most suitable data collection methodology
for highway assets is provided in figure 27.
MANUAL DATA
PHOTOGRAMMETRY MOBILE LIDAR
COLLECTION
Fair degree of accuracy Good accuracy (±1 ft.) High degree of accuracy (±3 in.)
(± a few ft.) Not labor intensive
Not labor intensive
Labor intensive Requires special equipment
Requires specialized
Operates at traffic speeds
Safety issues with equipment
personnel in the field Can only be used to inventory
Operates at traffic speeds assets visible from the road
Quality control activities
Can only be used to inventory Provides features for
require additional personnel
assets from the road estimating assets’ dimensions
in the field
Easily used in conjunction with
Easily used in conjunction
Best option for inventorying automated pavement condition
with automated pavement
assets not visible from the surveys
condition surveys
road Data can be used by multiple
Data can be used by multiple Divisions within an agency
Does not require
Divisions within an agency Quality control activities can
specialized technical
expertise or equipment Quality control activities can be done at a workstation
be done at a workstation Provides greatest benefit when
Most applicable when
collecting a limited amount data are used by multiple
Requires some technical
Departments
of data expertise
Requires specialized technical
expertise
Generates large data files that
must be managed
Figure 27. Graphic. Factors in selecting a methodology for building an asset inventory (adapted from
Other Data Collection Techniques and Em erging Technologies
There are other methods of manual data collection that are less common but can be very
practical:
• Nondestructive Evaluation (NDE): NDE provides the ability to collect data on an asset
while not disturbing or destroying the asset’s condition or physical properties. There are
dozens of different types of NDE available, and they all typically require training and
certification to be used properly and reliably in the field. Examples of NDE include ultrasonic
testing, radiography, dye penetrant, impact echo, and acoustic emissions. Other types of
NDE can be found at FHWA’s website:
https://fhwaapps.fhwa.dot.gov/ndep/TechnologyMenu.aspx (FHWA 2015).
• Remote Sensing: Another method of data collection is remote sensing. With remote
sensing, condition data is typically collected and stored in a computer onsite with the asset
or the data transmitted to the agency for collection and storage. Remote sensors can be
49
used to monitor flow or scour in a culvert, movement of a retaining wall, or the propagation
of a fatigue crack in a high-mast light tower. Sometimes a combination system containing
NDE and remote sensing may be engaged to most efficiently monitor high vulnerability
areas on an asset.
• Destructive Testing: This another method of testing to obtain data, but as the name
suggests, there will be some destruction to the asset or component, albeit typically
insignificant. Testing such as concrete cores and steel coupons are examples of destructive
testing.
Em erging Technologies
Some of the promising techniques that are currently either in the development phase or
undergoing feasibility testing for potential use in highway asset data collection are summarized
in this section:
• 360-Degree Camera: These cameras consist of six lenses to provide a 360-degree

horizontal perspective of a selected area. The images from each of the cameras are stitched
together using image processing algorithms to provide a seamless 360-degree view of the
photographed areas. One of the six cameras is positioned vertically to generate a spherical
view of the area. This technology can potentially be useful in monitoring areas such as
intersections and interchanges.
• Flash LiDAR: Flash LiDAR, also referred to as a time-of-flight (TOF) camera, illuminates the
whole area of interest at once, as opposed to mobile LiDAR, in which every single point is
illuminated with a laser. Each pixel in the image generated provides an indication of the
time elapsed between the instant that the camera’s laser flash pulse hits the targeted asset
and the instant it bounces back to the cameras focal plane. The resulting output is a 3-D
image from depth measurements for each point on the asset. Flash LiDAR is currently being
tested for applications in the military and automobile industry.
• Airborne LiDAR: Aerial or airborne LiDAR techniques have been around for several years,
but airborne LiDAR’s use has been limited by the Federal Aviation Administration’s (FAA)
restrictions imposed to avoid conflicts with air traffic. Airborne LiDAR is more useful as a
planning and design tool rather than building highway asset inventories. These techniques
have been used on large projects to assist with grading, utilities, drainage analysis, erosion
control, and roadway designs.
Steps in Data Collection

Asset data collection and management activities can be organized into a four-step process
(Zimmerman and Manda 2015). The key considerations in the first three steps, illustrated in
Figure 28, are described in this chapter. The considerations under step 4 are discussed in
chapter 5.
50
YES
NO
NO
YES
Figure 28. Graphic. Steps for developing or updating a highway asset inventory (adapted from
51
Step 1: Getting Ready to Select a Data Collection Approach
Prior to an approach for data collection, an agency needs to understand the characteristics and
the intended function of the assets on which data is to be collected, identify fiscal or other
constraints that need to be considered, determine the maintenance approach to be used for the
asset, and identify the data needs for maintenance approach selected.
Step 2: Selecting a Data Collection Approach
Once the asset(s) to be included in the inventory have been selected and constraints and data
needs have been identified and understood, an agency can then start working on selecting the
most suitable data collection approach. Tables 7, 8, and 9 show the applicability of manual,
photogrammetry, and LiDAR data collection to different types of assets that are being managed
through different RCM approaches.
Pierce, McGovern, and Zimmerman (2010) summarize key data collection protocols/related
issues/processes/activities that should be documented. These items are listed below:
• Protocols to be used for collecting the data (e.g., resolution of cameras to be used, type of
sensors to be used, desired level of accuracy, etc.).
• Deliverables that will be provided to the agency.
• Quality control process to ensure an accurate and repeatable process.
• Acceptance testing to determine whether the quality criteria have been met and corrective
actions to be taken if criteria are not met.
• Roles and responsibilities for each personnel involved in the data collection process.
• Verification that all parties involved in the process understand their roles and
responsibilities.
• Maps showing locations of assets to be included in the survey along with data formats.
• Troubleshooting guide for field personnel.
52
Table 7. Applicability of data collection methodologies for inventorying ancillary assets

(adapted from Zimmerman and Manda 2015).
AS S E T E LE M E N TS M AN UA L P H O T O G RAM M E T RY LI D A R
Drainage structures 2 Preferred Varies Varies

Overhead sign and signal structures 3 Feasible Feasible Preferred
Retaining walls (earth retaining structures), 4 Feasible Feasible Preferred
Noise barriers Feasible Feasible Preferred
Sight barriers Feasible Feasible Preferred
High-mast light poles Feasible Feasible Preferred
Signals Feasible Feasible Preferred

ITS equipment 5
Feasible Preferred Preferred
Network backbone Preferred Feasible Feasible
c. Traffic control and management—passive devices.
Signs Feasible Preferred Feasible

Guardrail Feasible Feasible Preferred
Guardrail end treatments Feasible Feasible Preferred
Impact attenuator Feasible Feasible Preferred
Other barrier systems Feasible Feasible Preferred
Drain inlets and outlets Preferred Varies Varies

Culverts (<20 ft. total span)/pipes Preferred Varies Varies
Ditches Preferred Varies Varies
Stormwater retention systems Preferred Varies Varies
Curb and gutter Feasible Feasible Preferred
Erosion control Preferred Feasible Feasible
Other drains Preferred Varies Varies
2
May not be visible from the roadway.
3
Vertical clearances best measured with mobile LiDAR.
4
The need for dimension data lends them to use of mobile LiDAR.
5
Automated techniques save time.
53
Lighting Feasible Preferred Feasible

Pavement markings Feasible Varies Preferred
Rockfall Preferred Varies Feasible

Fence Feasible Feasible Preferred
Turf Preferred Varies Varies
Brush control Preferred Varies Varies
Roadside hazard Preferred Varies Varies
Landscaping Feasible Feasible Preferred
Access ramps Feasible Feasible Preferred
Bike paths Feasible Feasible Preferred

Parking lots Feasible Feasible Preferred
Fleet Preferred n/a n/a
Roadside graffiti Preferred Varies Varies
Roadside litter Preferred n/a n/a
54
Table 8. Applicability of performance data collection methodologies for ancillary assets utilizing condition-based
maintenance (adapted from Zimmerman and Manda 2015).
AS S E T EL EM EN TS MA N UAL P H OT OG RA M ME T RY L IDA R
Drainage structures Preferred Varies Varies
Overhead sign and signal structures Preferred Varies Varies
Retaining walls (earth retaining structures) Preferred Varies Varies
Noise barriers Preferred Preferred Feasible
High-mast light poles Preferred Preferred Feasible
Signals Preferred Preferred Feasible
ITS equipment Preferred Varies Varies
Network backbone Preferred Varies Varies
Signs Preferred Varies Varies
Guardrail Feasible Varies Varies
Guardrail end treatments Feasible Varies Varies
Impact attenuator Feasible Varies Varies
Other barrier systems Preferred Varies Varies
Stormwater retention system Preferred Varies Varies
Curb and gutter Feasible Feasible Feasible
Erosion control Feasible Feasible Feasible
Other drains Feasible Feasible Feasible
55
Lightning Preferred Feasible Feasible
Pavement markings Feasible Feasible Feasible
Rockfall Feasible Feasible Feasible
Sidewalks Preferred Feasible Feasible
Curbs Preferred Feasible Feasible
Fence Feasible Feasible Feasible
Turf Feasible Varies Varies
Brush control Feasible Varies Varies
Roadside hazard Feasible Varies Varies
Landscaping Feasible Varies Varies
Access ramps Feasible Feasible Preferred
Bike paths Feasible Feasible Feasible
Parking lots Feasible Feasible Feasible
Fleet Preferred n/a n/a
Roadside graffiti Feasible Varies Varies
Roadside litter Feasible Varies Varies
56
Table 9. Applicability of performance data collection methodology for ancillary assets utilizing interval-based
maintenance (adapted from Zimmerman and Manda 2015).
Drainage structures Preferred Varies Varies
Overhead sign and signal structures Feasible Feasible Preferred
Retaining walls (earth retaining structures) Feasible Feasible Preferred
Noise barriers Feasible Feasible Preferred
High-mast light poles Feasible Feasible Preferred
Signals Feasible Feasible Preferred
ITS equipment Feasible Preferred Preferred
Network backbone Preferred Feasible Feasible
Signs Feasible Preferred Feasible
Barrier systems Feasible Preferred Preferred
Stormwater retention systems Preferred Varies Varies
Other drains Preferred Varies Varies
Lighting Feasible Preferred Feasible
57
Step 3: Collecting the Data
The third step involved data collection using the approach selected and regularly evaluating the
process to determine if a different approach may be warranted.
SUMMARY
This chapter discussed the key issues and considerations in selecting the data that needs to be
included when an agency decides to move forward with incorporating various ancillary highway
assets in its asset management program. The key topics covered include:
• Reliability-centered maintenance: Process to determine the most suitable maintenance

approach (condition-based, interval-based, or reactive) to manage ancillary assets.
• Data needs: Essential and desirable data needed to support reliability-based decision-
making.
• Data collection: Approaches available to collect asset inventory and condition data and
general steps in collecting the data.
The next chapter discusses the key considerations in processing, maintaining, and managing
the collected data.
58
CHAPTER 5. MANAGING ASSET

DATA
INTRODUCTION
This chapter presents how an agency can utilize data to
support management of the asset through its entire life
cycle. BIM for infrastructure, defined in figure 29, is DATA
presented as a model framework for storing and sharing MANAGEMENT
data across the organization to support integrated asset
management. BIM for infrastructure promotes a philosophy
that all asset information, from conception to demolition, Building Information
should be managed, organized, and shared across the Management—Agency Data
entire highway agency. It also supports the transition from
incomplete asset inventories and standalone silos of
information to complete, authoritative repositories of
agency-wide inventories. This sharing of agency
information—including cost, technical
(attributes and specifications), project, and
BUILDING INFORMATION
program information—allows agencies to
MANAGEMENT (BIM)
effectively manage assets at the lowest cost
and to the greatest benefit.
BIM is a system of processes for collecting, storing,
and exchanging data used to plan, design, construct,
THE BENEFITS OF BIM FOR operate, and maintain highway infrastructure through
INFRASTRUCTURE the entire life cycle. The key word is data — it refers
to everything accessible in a single digital
Wise Transportation Stewardship
environment. Data include not only physical
Transportation agencies in the United States characteristics (assets and attributes) but also
have collectively invested hundreds of billions of functional characteristics (financial, design,
dollars in their transportation systems (FHWA specifications, etc.). In BIM, data files can be
2017). Wise stewardship of the system requires extracted and exchanged across business units to
organizations to know where to allocate their support decision-making regarding the department’s
limited funds to optimize performance. BIM for infrastructure in general and assets in particular.
infrastructure is a philosophy that promotes the
concept that knowledge and information are
assets that should be managed. Figure 29. Graphic. Definition of BIM
for infrastructure.
Implementing BIM for infrastructure requires an
agency to think beyond individual data silos and collaborate across the organization. Its
foundational concepts encourage collaboration between agency divisions and the reuse of asset
data from asset conception to demolition. The goal is for all divisions to collaboratively share
authoritative data for a wide range of purposes, including planning, environmental assessment,
59
surveying, design, construction, maintenance, asset management, and risk assessment. By

reducing redundant data, systems, and processes, BIM for infrastructure has the potential to
produce significant savings in both time and resources.
Integration of data ensures that limited funding is

allocated not only based on engineering analysis and
judgement but also on the best available information.
An agency will, at the same time, improve
transparency and public trust. The following guiding
principles distinguish BIM from less comprehensive
approaches to data management: Authoritative Hub Common Portal
Single Database
• Trusted
• Strategic Plan—Interdepartmental coordination. ‣ Single source of truth • Geospatial—common
• Authoriative Hub—Integrated database and web ‣ Governance— link of data
Agency agreements • Real-time data
services.
• Shared information • Display—often
• Common Data Dictionary—Agency agreement on web-based maps
assets and attributes. • Benefits
• Business Improvements—Query, analyze, display, ‣ Transparent Agency
collaboration
and report data.
‣ Savings—time and
resources, both staff
Figure 30 presents some of the advantages to BIM for and funding
infrastructure. Figure 30. Graphic. Advantages to BIM.
Complete, Authoritative, and Accessible

Data
Most transportation agencies have incomplete
asset inventories. As shown in figure 31,
incomplete inventories and unknown assets can
lead to significant consequences for
transportation agencies. To establish an
inventory, many agencies either drive out to
Expensive Partial, Erroneous Info
the site or review paper “as built” plans to
• Redevelop the inventory • Non-Optimal decisions identify what they own. Documenting the
over and over • Transparency inventory by either method can be expensive,
• Inventory instead of • Loss of trust
imprecise, and inadequate. Performance-based
analysis
programs will more readily succeed if the
agency establishes data collection standards
Figure 31. Graphic. Consequences of (known as a Data Dictionary) for creating the
unknown inventory.
inventory and assessing the condition of
individual assets.
Compounding the problem of incomplete or inaccurate data is duplicate data, which occurs
when several agency business units collect different and often incompatible data about the
same assets. An example of this takes place when different business units collect data using
60
different LRSs or note assets with different attributes. The different standards result in assets
that are difficult to integrate into the agency’s business systems.
Recent improvements in technologies make it possible for agencies to realize complete

inventories displayed on web-based maps. Technological improvements include mobile data
collection and digital field collection devices with cloud-based mapping applications that enable
users to download and upload inventory and display, share, query, and perform analysis from
desktops or mobile devices in real time. Agencies now working across functional areas have the
capability of geospatially locating every asset “from fencepost to fencepost.”
Figure 32 shows how an agency can set up its central data hub (or central repository) to
support cradle-to-cradle asset management. The outer ring represents the typical functions:
programming, project delivery, operations, and comptroller and performance. This last function
covers internal controls and performance management that support all agency functions. The
middle ring of circles represents specific agency divisions, such as design, planning, and
maintenance. Each division contributes to the total management of an agency asset from
planning to design, construction, and operations, and in doing so each group produces and
consumes asset data on a day-to-day basis. The goal of the agency should be to have each
data element represent a single authoritative source of information, eliminating duplicative and
inaccurate data. A key feature illustrated by figure 32 is the middle circle—the data hub or
central repository for agency data (including asset data and all project/program, financial, and
safety information, for example). The hub provides the agency’s location of accessible, shared,
and trusted information.
61

Figure 32. Graphic. BIM for infrastructure central data hub.
62
Managing the Full Asset Life Cycle—Cradle to Cradle

A central tenant of asset management is administration of an
asset during its life cycle, at the lowest cost but providing the
greatest benefit. Figure 33 illustrates how a typical agency
might manage an asset during its entire life cycle.
Agencies plan, design, construct, and maintain assets in a

continuous cycle, from cradle to cradle. For example, an
asset may begin its “life” in planning, maintenance, or the
design phases. Many assets may originate from an agency’s
capital program. The assets developed during the
construction phase will then be maintained in the operational
LIFE OF THE ASSET
CRADLE TO CRADLE phases. Assets such as pavements and bridges may be
maintained and renewed for decades. Other assets, such as
Example: Guardrail/Attenuator
• Planning—roadway
signs, guardrails, and signals, may be modified as
characteristics, funding components reach their expected life or are systemically
• Design/Construction—location, updated. Agencies are better able to manage the life of an
type, specification, costs
asset when data is shared across the business units that are
• Maintenance—up-to-date
inventory, treatments and costs responsible for each life-cycle stage.
• Safety—crash history, analysis
results, and performance data
• Benefits—Agency manages the
assets with all available
information
ZERO FATALITIES, INJURIES, AND CRASHES
In 2012, Utah integrated department databases
Figure 33. Graphic. Data for cradle-to- across many of the agency business systems. UDOT
cradle asset management. branded this integration of databases UPlan. During
the same timeframe, UDOT completed a statewide
asset inventory, the scope of which was the
geospatial location of all above-ground assets and
Figure 33 presents an example of the types corresponding attributes. Taking advantage of these
of data that are collected and used through efforts, the Traffic and Safety Division created a
“Safety App” that provides crash information and
the life cycle of guardrails and attenuators. asset inventory that is authoritative and timely, all at
The BIM for infrastructure concept can the user’s fingertips.
enhance the management of an asset Since 2014, Traffic and Safety has had the ability to
during its life cycle by ensuring decision- display all crashes (vehicle, bicyclist, and
pedestrian), and existing asset inventory (signs,
makers in each phase have access to the guardrail, etc.) on a map interface. This cloud- and
data that was collected or used in previous map-based game-changing information technology
phases. Figure 34 provides a summary of allows the user to query for crashes by severity,
specific crash attribute (run of the road, age of the
how Utah DOT is implementing cradle to driver), and specific assets (the presence of rumble
cradle asset management through BIM for strips, guardrail, width, curvature of the road, etc.).
infrastructure. This easy-to-use technology enhances the planning
and project development practices by providing
complete, timely, and accurate data to users
throughout the agency.
Figure 34. Graphic. Summary of Utah DOT's

management integration noteworthy practice.
63
IMPLEMENTING BIM FOR INFRASTRUCTURE

Implementing BIM for infrastructure requires an agency to determine where data/information
resides, what business units are collecting, producing, or consuming information, how data is
formatted, and how data
is used. It also requires VISION — Develop an Overarching Vision for BIM
the establishment of a • Manage assets from cradle to cradle
• Establish a holistic approach to managing agency data: inventory, finance, project, and
strong geospatial operational
foundation that includes a
VISION — DEVELOP AN OVERARCHING VISION FOR BIM

GOALS — Set Agency Goals
single LRS calibrated to • Strive to be wise stewards of public investments
• Provide transparency in the allocation of limited resources to achieve the greatest benefit
real world coordinates— • Establish a single authoritative source for each data element
latitude, longitude, and • Break down silos
MISSION — Articulate a Clear, Unambiguous Statement
elevation. The aspects of
• Track asset from planning, design, build, maintenance, to operation
BIM for infrastructure that
STRATEGIC DIRECTION — Develop High-Level Implementation Strategy
are particularly relevant to • Provide easy access to quality, map-displayed data
• Create a central data hub
developing and expanding • Create common linear reference system
asset management • Develop data management, governance and interoperability processes and standards
• Evaluate existing data collection approaches for fit in the envisioned BIM framework and
programs are discussed in develop action plan for any modifications needed to current practices and protocols
the next sections. TACTICAL — Develop Implementation Strategy
Additional information can • Integrate databases
• Create data dictionaries — definition of assets and attributes
be found in NCHRP • Determine critical (commonality) asset data to be tracked by all divisions
Report 831, Civil • Determine storage — on premise servers v. cloud-based
• Determine access — desktop v. web for public and internal users
Integrated Management TRANSFORMATION OF AGENCY CULTURE
(CIM) for Departments of • Identify champions from Executive Branch, Division Management, and Information Technology
(IT)
Transportation (NCHRP
COMMITMENT
2016). • Dedication: agreement within agency, resources, financial
AGENCY DATABASE STRUCTURE — Independent Business System Evolution
Figure 35 provides an • Understand different needs for timeliness, specific data elements, and levels of sophistication
• Unify to a common linear reference system
overview of what an • Find opportunities to use the same data for multiple purposes
agency should consider • Identify risks related to database implementation
when developing a plan CHALLENGES

• Change the culture of siloed divisions
for implementation. The • Create a culture of collaboration
agency will need to come • Promote trust
to consensus on what is
Figure 35. Graphic. General guidance for BIM implementation.
truly critical, not only to the
success of individual business
units but the agency, too. The agency’s long-term goal should be integration of all data that is
accessible through a single data portal to identify specific steps, budgets, and schedules for
making IT improvements related to BIM for infrastructure.
64
Establishing an Implementation Roadmap

BIM for infrastructure requires a
comprehensive review of an agency’s IT
systems that are used for asset
management. Due to the costs and level of EN TERPRI SE I N FORM ATI ON M AN AGEM EN T
effort needed to change or modernize IT During the last several years, Florida Department of
systems, agencies should expect the Transportation (FDOT) has been implementing a statewide
initiative to organize and manage agency data. FDOT has
transition to BIM to take several years and launched this effort to meet the challenges of big data by
involve multiple projects or internal efforts. integrating technology and business systems. FDOT’s vision is
to change the agency culture by transforming data into
Creation of a BIM roadmap can help information.
ensure BIM for infrastructure This effort combines the resources, goals, and objectives of
implementation progresses over such a Florida’s Technology and Operation Divisions into the initiative
known as ROADS, which stands for:
long timeframe. The roadmap should
• R—Reliable, accurate, authoritative, accessible data
include a set of actions or projects the
• O—Organized data that produces actionable information
agency will undertake to improve data
• A—Accurate governance-produced data
quality, governance, management, and
• D—Data and technology integration
sharing.
• S—Shared agency data to perform cross-functional analysis.
Data Hub Creation Florida’s goal is to create a foundation for success. In order to
achieve this goal, the reorganized agency has created
processes, procedures, and guidelines so that all data
Asset data refers to all agency (financial, safety, project, program, assets, etc.) are organized
data/information, including but not limited and accessible.
to financials, projects, programs, and Florida’s steering committee, known as RET (ROADS Executive
Team), is led by the agency’s Chief of Transportation
physical assets. Typically, agency data Technology and Civil Integrated Management Officer. The
reside in many different isolated business committee, which includes district secretaries, financial and
planning executives, and operational directors, is charged with
systems that were developed governance leadership and instituting processes that will
independently to manage daily operations change the culture of the agency by converting data to
knowledge.
for specific areas such as design,
Four ROADS initiatives are in progress: Safety, Grants, Assets,
maintenance, and/or safety. The goal of and Data Warehouse. These 6-month implementation efforts
BIM for infrastructure is for the agency to are creating the framework, agency processes, governance
structure, procedures, data dictionaries, and business system
organize and share digital asset data in a glossaries. The Safety initiative will manage crash data across
central “hub.” Every day, agencies produce the roadway system. The Grants initiative will include
management, funding, programs and projects of MPOs, and
and create more data and more city and county governments. The Asset initiative will
information—“as-builts” (signs, guardrails, standardize inventory attributes for 120 different classes of
infrastructure assets and the agency’s approximately 170
miles of pavement), crashes (location and enterprise software applications. Part of this effort is to
determine specific authoritative source data to include in the
attributes), the agency statewide data warehouse. The fourth initiative is the development of the
transportation improvement plan (STIP), agency’s data warehouse. The warehouse will provide a single
authoritative site for sharing the accurate data. Five additional
financial data, and projects past and initiatives will kick off over the next 4 years.
present across the organization—that are Through the ROADS initiatives, Florida DOT has created a
managed and added to the hub. Figure 36 strategic direction for data integration covering data stewards,
division responsibilities, asset inventory, business system
provides an example of how Florida DOT is integration, and an implementation roadmap. By coordinating
integrating its data systems to improve its efforts, the agency is able to maximize the value of its data
while streamlining processes for data collection, management,
decision-making. and dissemination.
Figure 36. Graphic. Florida DOT BIM implementation

noteworthy practice example.
65
Figure 37 illustrates how a transportation agency might integrate asset data by creating a
central data hub. For simplicity, just a few agency business databases are displayed—
STIP/Design, Construction, Maintenance, and the Linear Reference System (LRS). The diagram
illustrates how all business systems could be loaded into the central data hub—a location of
authoritative agency data including asset data. Users would not access individual business
systems but instead would access needed data through the authoritative data hub. Also,
applications would have access through the authoritative data hub. Applications might include
in-house developed, custom off the shelf (COTS), third-party on-premises, and third-party
software as a service (SAAS). Users would access data or applications from either department
servers or from “the cloud.” The agency could provide limited access to public users while
providing a secure interface for those with a valid user ID. Implementation of a data hub would
require the agency to evaluate servers and storage requirements.
Managing the agency’s data is a

shared responsibility, making
collaboration across business
units critical for determining not
only what data is needed to
manage assets but also how the
data will be organized and
managed. Resources are not
unlimited; therefore, it is
important for the organization to
set limits and determine what is
critical to its mission. Business
units should review how
inventory and management of
specific assets will help foster and
improve the agency’s mission.
The agency’s strategic direction,
goals, and performance measures
will help focus the individual
business units on what is critical
to the success of the Figure 37. Graphic. Different elements of a high-level data
integration network.
organization. Several international
standards exist to help agencies design and develop their data model. One commonly-followed
standard is the International Organization for Standards (ISO) International Standard
16739:2013, Industry Foundation Classes (IFC) for data sharing in the construction and facility
management industries (ISO 2013). The IFC describes the data model for building and
construction industry data. It is a platform-neutral and open file format specification. The data
model was developed by buildingSMART (formerly the International Alliance for Interoperability,
IAI) to facilitate interoperability in the architecture, engineering, and construction (AEC)
industry and is a commonly used collaboration format in BIM-based projects. This standard can
also be adapted for use in BIM for infrastructure.
66
Extract, Translate, and Load Data

Once the data hub is established, data is extracted, translated, and loaded from agency
business systems into the data hub. A series of software scripts and routines would be used for
the extraction, translation, and loading of data (see the following Data Requirements section).
The routines would make business system database tables readable, intuitive, and
understandable. The loading ensures data accuracy and integrity and follows agency
governance policies. All data extracts would run after business hours each night to avoid
impacting application performance during business hours.
The example shown in table 10 demonstrates how a small subset of data is pulled from four
existing business applications: STIP/Design, Construction, Maintenance, and LRS. Table 10
identifies a few data elements that might be extracted from each application. In this example,
data element names represent the data as it is known by the end-users or displayed on reports
and may not reflect the name of the field where the data is stored.
Table 10. Example data elements used in a BIM implementation.
S Y S TE M
DAT A S E C UR IT Y
OF CO M M EN T
EL E M EN T AC C ES S
RE C O RD
Project Manager Design Public Include title, District
PM Phone Number Design Public Include e-mail, District e-mail, address
Letting Date Construction Public Add Note: “Subject to Change”
Contract Amount Construction Internal May be shared with Public
Include percentage of original contract
Contract Change Orders Construction Internal
amount that may be shared with Public
Sign Inventory Maintenance Public Report by State Route and Milepost
Each Attribute is a separate, specific data
Sign Attributes Maintenance Internal
element
Functional Classification LRS Public Provide top 6 functional road classifications
Specific Data Elements—Sq. Yds., Section,
Pavement Attributes STIP Public
Type, Distress, Next Sch. Treatment
Converts all street names to Route and
State Route, Milepost LRS Public
Milepost
Pavement Management Reports all pavement information to a single
Maintenance Public
Sections, Distresses authoritative “section”
Bridge Inventory Maintenance Internal Location assigned to center of bridge deck
Data Governance
For data to be shared effectively within an agency or with external stakeholders, the data needs
to be well defined. All groups responsible for collecting, managing, organizing, and using the
data should manage to the same standards—also known as data governance. Figure 38
67
provides a noteworthy practice on how Ohio DOT has taken advantage of data governance
tools to improve its TAM practices.
In a BIM for infrastructure environment,

software scripts can translate information
collected to different standards (time,
description, LRS) into the central data hub,
but this is not a trivial task. An agency will
find the integration task easier if it Ohio DOT information is centrally organized in a data
establishes governance policies for the warehouse (Oracle) and publicly displayed through
organization. The governance policies ODOT’s web-mapping portal known as
TIMS—Transportation Information Management
should address authoritative sources of System. Ohio brands its TIMS site with the phrase
information: geospatial, assets and asset “Better Data Better Decisions.” The TIMS system
attributes, division roles and responsibilities, provides the user the ability to query, develop, and
reporting years (calendar, State, and share maps of not only asset information but also many
Federal time periods), and program/project other data sets, such as projects, traffic, environmental,
and safety information.
ownership. As an example, an agency asset
data dictionary governance policy would Information can be viewed from a desktop or a mobile
assign the following to responsible parties: device. Data can be exported to shapefiles, KMZ-KML,
Excel, or geodatabases. Work is beginning on the
development of Business Intelligence (BI) products,
• What assets are to be inventoried? such as straight-line-diagrams and query tools. Future
• What attributes will be collected? efforts also include linking financial and asset
• How will financial data be collected? management databases.
• How is information stored?
• How often is specific asset data to be Figure 38. Graphic. Ohio DOT BIM for
infrastructure noteworthy practice.
updated?
THE FUTURE OF BUILDING INFORMATION MANAGEMENT

The goal is for agencies in the future to be able to have complete knowledge of all information
pertaining to the entire asset inventory. The future of BIM for infrastructure may include:
• Business systems that track and share information.

• Asset information that is managed, organized, and shared across the entire highway
agency.
• 3-D Design and Construction, described further in figure 39, using software that can
produce 3-D digital and as-built plans.
• As-built plan files that are delivered in the agency’s Data Dictionary format.
• Secure data using techniques such as authentication routines.
• Information that is provided from the cloud to agency by map-based apps.
• Big data and database architecture that improve data sharing and decision-making save
agencies time and resources.
68
SUMMARY
BIM for infrastructure is an information
management philosophy that provides a
framework for integration of data from an
agency’s different business systems. It can
form a reliable basis for managing assets
during the entire life cycle, from
conception to demolition, of the asset.
Data integration can drive innovation in an
agency, producing significant cost and time
savings. Integration also helps ensure that
3D DESIGN MODELING limited funding is allocated based on
AND CONSTRUCTION engineering analysis and judgment as well
as the best available information. Wise
Three-dimensional (3D) Design and Construction in data-driven decision-making will stretch
transportation is a mature technology that serves as
the building block for the modern-day digital funding and resources and improve
jobsite. The technology allows for faster, more transparency in an agency.
accurate and more efficient planning, design, and
construction. As the benefits are more widely
recognized, many in the U.S. highway industry will
transition to 3D Design and Construction over the
traditional two-dimensional (2D) design process.
Using 3D design and construction, teams can

connect virtually to develop, test, and alter project
designs throughout the design and construction
phases. Intricate design features can be viewed
geospatially, or in a 3D view, from multiple
perspectives. Simulations can be run to detect
design flaws before construction begins. Data
exported from the 3D Design models can be
transferred to a global positioning system (GPS)
machine control that guides and directs construction
equipment like bulldozers, excavators, and paving
machines. The connectivity allows workers to
receive and work with the most accurate, up-to-
date models even if mid-cycle design changes are
made.
A few agencies now require contractors to provide

digital “As-Builts” in the departments data dictionary
format (assets with specific attributes).
Figure 39. Graphic. 3D Design Modeling and Construction.
69
Including Ancillary Assets Transportation Asset Management Programs References
R E F E R E NCE S
Federal Highway Administration (FHWA). 2015. Nondestructive Evaluation (NDE) Web Manual.
Version 1.0. Federal Highway Administration, Washington, DC.
Federal Highway Administration (FHWA). 2017. Highway History webpage. Question 6. Federal
Highway Administration, Washington, DC.
Government Accountability Office (GAO). 1996. Executive Guide: Effectively Implementing the
Government Performance and Results Act. U.S. Government Accountability Office, Washington,
DC.
Highway Maintenance Efficiency Programme (HMEP). 2013. Highway Infrastructure Asset

Management: Guidance Document. IK Roads Liaison Group, London, UK.
International Organization for Standardization (ISO). 2013. Industry Foundation Classes (IFC)
for Data Sharing in the Construction and Facility Management Industries. ISO 16739:2013.
International Organization for Standardization, Geneva, Switzerland.
National Aeronautics and Space Administration (NASA). 2008. RCM Guide. Reliability-Centered
Maintenance Guide for Facilities and Collateral Equipment. National Aeronautics and Space
Administration, Washington, DC.
National Cooperative Highway Research Program (NCHRP). 2015a. Data to Support

Transportation Agency Business Needs: A Self-Assessment Guide. NCHRP Report 814. Appendix
D. Transportation Research Board. Washington, DC.
National Cooperative Highway Research Program (NCHRP). 2015b. Guide to Cross-Asset

Resource Allocation and the Impact on Transportation System Performance. NCHRP Report 806.
Transportation Research Board, Washington, DC.
National Cooperative Highway Research Program (NCHRP). 2016. Civil Integrated Management
(CIM) for Departments of Transportation: Volume 1: Guidebook. NCHRP Report 831.
Transportation Research Board, Washington, DC.
National Highway Institute (NHI). 2017. Enhanced Maintenance Management Systems:

Principles and Practices for Enhanced Maintenance Management Systems. National Highway
Institute Course 134112. Participant Workbook. FHWA-NHI-10-102. Federal Highway
Administration, Washington, DC.
Nevada Department of Transportation (NDOT). 2018. Transportation Asset Management Plan.

Nevada Department of Transportation, Carson City, NV.
71
References Including Ancillary Assets Transportation Asset Management Programs
Nowlan, F. S., and H. F. Heap. 1978. Reliability-Centered Maintenance. AD-A0660579. United

Airlines, San Francisco, CA.
Pierce, L. M., G. McGovern, and K. A. Zimmerman. 2010. Practical Guide for Quality
Management of Pavement Condition Data Collection. U.S. Department of Transportation,
Federal Highway Administration, Washington, DC.
Rose, D., K. Shah, J. P. O’Har, and W. Grenke. 2014. NCHRP 08-36, Task 114. Transportation
Asset Management Ancillary Assets. American Association of State Highway and Transportation
Officials, Washington, DC.
SAE International. 2009. Evaluation Criteria for Reliability-Centered Maintenance (RCM)

Processes. JA1011_200909. SAE International, Warrendale, PA.
Tennessee DOT (TDOT). 2014. Request for Proposals for Statewide Roadway Asset Data
Collection. RFP #40100-40914. Attachment E, p. 64.
Zimmerman, K. A., and K. Manda. 2015. A Guide to Collecting, Processing, and Managing
Roadway Asset Inventory Data. NCHRP Project 20-07/Task 357. Final Report. Unpublished.
National Cooperative Highway Research Program, Transportation Research Board, Washington,
DC. Adapted and reprinted with permission from National Academy of Sciences, Courtesy of the
National Academies Press, Washington, DC.
72
Including Ancillary Assets Transportation Asset Management Programs Glossary
GL OS SA RY O F T E RMS
Ancillary Asset: All physical assets other than pavements and bridges, as defined by 23 U.S.C.
119, that a transportation agency wishes to or does manage.
Asset: A physical roadway infrastructure item that has value. Assets are sometimes referred to
as roadway “furniture” or “features.” An asset may be a single item, such as a sign, or a linear
item, such as a road or guardrail section. An asset may also be a spatial item such as a rest
area or mowable acreage.
Asset Class: Assets with the same characteristics and function (e.g., bridges, culverts, tunnels,
pavements, or guardrail) that serve a common function (e.g., roadway system, safety,
Intelligent Transportation, signs, or lighting).
Asset Inventory: A complete list of assets, including location, attribute, and condition data
needed for management of the assets throughout their life cycles.
Asset Management: A strategic and systematic process of operating, maintaining, and

improving physical assets, with a focus on both engineering and economic analysis based upon
quality information, to identify a structured sequence of maintenance, preservation, repair,
rehabilitation, and replacement actions that will achieve and sustain a desired state of good
repair over the life cycle of the assets at minimum practicable cost.
Asset Prioritization: A methodology for ranking asset classes into prioritized tiers.
Asset Subgroup: A specialized group of assets within an asset class with the same
characteristics and function (e.g., concrete pavements or asphalt pavements).
Building Information Management (BIM) for infrastructure: A system of processes for

digital data and the collaborative exchange of that data during all stages of the asset
management life cycle.
Business Unit: A generic term for an organizational unit within a transportation agency at any
level of the agency’s hierarchy (e.g., department, office, division, bureau, or unit).
Civil Integrated Management (CIM): The technology-enabled collection, organization,

managed accessibility, and use of accurate data and information throughout the life cycle of a
transportation asset.
Condition Assessment: A physical inspection and rating of roadway assets to determine the
condition of individual assets, roadway sections, or overall road networks.
73
Glossary Including Ancillary Assets Transportation Asset Management Programs
Condition-Based Maintenance: A maintenance approach in which maintenance activities are

scheduled based on regularly monitored performance.
Data Collection: The act of recording measurements or observations as discrete data

elements in a software product.
Data Dictionary: A document or data set that describes the attributes of data elements to be
collected (e.g., the appropriate level of detail, the data owner, and the level of accuracy that is
expected of each asset).
Data Governance: The discipline that establishes the criteria and requirements for data; their
quality, management, policies, and business process; and risk management for handling of
data. In short, it is a corporate approach to collecting and managing data.
Data Needs: Essential and desirable data (asset inventory, condition, maintenance, and other
attributes) that are needed to support reliability-based decision-making.
Failure Modes and Effects Analysis (FMEA): An analysis approach used in RCM in which
each system, subsystem, and component is evaluated to determine the loss of function that
would constitute a failure.
Flash LiDAR: A specific type of LiDAR that illuminates the whole area of interest at once with
laser light as opposed to scanning the area of interest with one or more laser beams.
Interval-Based Maintenance: A maintenance approach in which maintenance activities are

scheduled at specific time intervals based on analysis of asset performance.
LiDAR: An acronym for light distancing and ranging. It is a surveying technique that operates
on the same principle as radar but uses pulses of light to detect distances from the sensor to
objects. Pulses of light in the form of lasers are emitted. They travel to objects and reflect back
to the sensor.
Maintenance Management: The actions associated with organizing, administering, and

supervising highway maintenance activities, customer services, and infrastructure preservation.
Maintenance Management System (MMS): A framework of policies, procedures, and

standards, supported by software, used to manage and support the activities involved with
maintaining highway assets.
Nondestructive Evaluation (NDE): Any of a set of methods for collecting information on an

asset without causing damage to the asset.
Performance-Based Management: A strategic approach of using data to set goals and

assess progress toward achieving those goals.
74
Including Ancillary Assets Transportation Asset Management Programs Glossary
Performance Measure: A unit of measurement for rating asset condition or maintenance

performance.
Performance Target: A level of performance defined using a specific performance measure

that is established as an objective to be achieved within a specific period.
Photogrammetry: A survey technique that uses photography to determine the location of

objects.
Priority Tiers: Groups of assets that will be added to an asset management program with a
common effort or within the same timeframe.
Reactive Maintenance: A maintenance approach in which maintenance activities are

performed in response to reported asset conditions or events.
Reliability-Centered Maintenance (RCM): The process used to determine the most

effective maintenance strategy to ensure that a physical asset continues to perform in a manner
consistent with design specifications. The primary objectives of RCM are to maximize asset
reliability and minimize life-cycle costs by integrating maintenance approaches rather than
applying them independently. The three main components of an RCM program that are most
relevant to ancillary highway assets are condition-based maintenance, interval-based
maintenance, and reactive maintenance.
Risks: The potential consequences, positive or negative, arising from uncertainty.
Transportation Asset Management Plan (TAMP): A document that describes how a

highway agency will carry out asset management. This includes how the agency will make risk-
based decisions from a long-term assessment of the transportation system as it relates to
managing its physical assets and laying out a set of investment strategies to address the
condition and system performance gaps. This document describes how the highway network
system will be managed to achieve targets for asset condition and system performance
effectiveness while managing the risks, in a financially responsible manner, at a minimum
practicable cost over the life cycle of its assets.
75
Including Ancillary Assets Transportation Asset Management Programs Acronyms
ACRONYMS
ADA Americans with Disabilities Act
AASHTO Association of State Highway and Transportation Officials
BIM Building Information Management
CIM Civil Integrated Management
COTS Custom off the Shelf
DOT Department of Transportation
FAA Federal Aviation Administration
FHWA Federal Highway Administration
FMEA Failure Modes and Effects Analysis
GPS Global Positioning System
ISO International Organization for Standards
IT Information Technology
LiDAR Light Image Detection and Ranging
LRS Linear Referencing System
MMS Maintenance Management System
MQA Maintenance Quality Assurance
NCHRP National Cooperative Highway Research Program
NDE Nondestructive Evaluation
NHI National Highway Institute
RCM Reliability-Centered Maintenance
SAAS Software as a Service
STIP Statewide Transportation Improvement Plan
TAM Transportation Asset Management
TAMP Transportation Asset Management Plan
77

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HANDBOOK FOR INCLUDING ANCILLARY

Federal Highway Administration

The U.S. Government does not endorse products or manufacturers. Trademarks or

QUALITY ASSURANCE STATEMENT

Cover images: © 2018 Applied Pavement Technology

12. Sponsoring Agency Name and Address

17. Key Words 18. Distribution Statement

Academy of Sciences, courtesy of the National Academies Press, Washington,

Figure ES-1. Chart. Framework for selecting assets and data

Managing Ancillary Assets Effectively

Highway agencies have traditionally focused their asset management implementations on

Introducing Performance-Based Management

Goals and objectives are defined to enable the

Benefits from a performance-based decision approach can include the following:

• Available funding is used to achieve agency goals and objectives.

AN OVERVIEW OF THE AS SET PRIORITIZATION

Part 1: Asset Prioritization

An agency considering expanding its data

This strategic review process is typically driven

Risks—The potential impacts of uncertainty on

STEP 1: GET ORGANIZED

S TEP 2: SELECT CRITERI A

STEP 3: ESTABLISH RATING SYSTEM

STEP 4: ESTABLISH RELATIVE WEIGHTS

STEP 5: SET RATING VALUES

STEP 6: CALCULATE SCORES

Final Score = (Rating 1) x (Weight 1) + (Rating 2) x (Weight 2) + …

STEP 7: DEVELOP PRIORITY TIERS

The first time an agency completes this

Part 2: Data Needs

Data Needs to Support Decision-Making

• The exposure of the work crews to traffic.

Part 3: Data Management

Integrated M aintenance Approach

LIFE OF THE ASSET—CRADLE TO CRADLE

Agencies plan, design, construct, and maintain assets in a

Figure ES-8 demonstrates how the central data hub serves to

© 2018 Applied Pavement Technology

VISION — Develop an Overarching Vision for BIM

MISSION — Articulate a Clear, Unambiguous Statement

STRATEGIC DIRECTION — Develop High-Level Implementation Strategy

TRANSFORMATION OF AGENCY CULTURE

AGENCY DATABASE STRUCTURE — Independent Business System Evolution

Figure ES-9. Graphic. Recommendations for BIM implementation.

Table ES-1. Keys to success.

• Include all business units to determine criteria ratings and weights

• Establish a realistic understanding of the intended function of the

• Recognize areas of data integration across the agency using BIM

As a performance-based approach to managing asset conditions, TAM depends on the

A methodology for selecting assets and data for inclusion in

Figure 2 represents how the two methodology

The Building Information Management (BIM) for

Figure 1. Graphic. Connecticut DOT

Figure 2. Graphic. Framework for selecting assets and data.

Pavements Bridges Overhead Sign High Mast Highway Culverts

Figure 3. Graphic. Assets included in the initial Minnesota DOT TAMP.

The development of a TAMP is relatively new to transportation

• Available funding is used to achieve agency goals and objectives.

First, the agency should define its goals and

Secondly, the agency should develop a set of