Performance Measures and Targets for Transportation Asset Management (2006) / Chapter Skim
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Establish targets and track progress. While the framework is focused on using performance measures in support of asset management principles, it is also understood that agencies use performance measures for a variety of purposes, and it is not necessary (or desirable)
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Under Objective 1, the investigation of performance measures suitable to transportation asset management should consider the following features: a. Utility at various organizational levels in a transportation agency and at network, corridor, and project levels for short- and long-range decisions;
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Alignment of performance measures among asset classes, vertically and horizontally, from planning through program delivery, operations, and performance tracking; b. Capability of predicting performance and setting performance targets based on funding; c.
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Discuss these with representatives of at least 15 transportation agencies. Develop preliminary approaches for agencies to select performance measures appropriate to asset management and to select targets for these measures that meet Objectives 1 and 2.
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The asset management Self Assessment Tool from the Guide is revisited to derive guidelines for identifying and using performance measures in an asset management context. • Section 5.0 provides an in-depth discussion of important considerations in designing and using performance measures and setting performance targets in support of asset management.
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■2.1 Transportation Asset Management Principles Asset management is a strategic approach to managing transportation infrastructure that builds on several principles described in the Guide: • Policy-Driven -- Decisions on infrastructure management reflect policy goals and objectives that define asset condition, levels of performance, and quality of services to meet customer needs and broader economic, community, and environmental goals. • Performance-Based -- Goals and objectives must be tied to clear measures of performance.
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Performance monitoring is a critical part of asset management, providing current information on the condition and service levels of the transportation system and serving as the catalyst for feedback on future changes that should be considered in policy formulation, planning, programming, and program delivery. 6 Volume I: Research Report Policy Goals and Objectives Planning and Programming Program Delivery Systems Monitoring and Performance Results Q u ality Inform ation Figure 1.
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Policy objectives and performance targets guide an agency's overall resource allocation and program delivery. They also may drive the agency's strategic business process, if one exists.
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8 Volume I: Research Report Policy Goals and Objectives Performance Measures and Targets Anticipated Funding Public Involvement TRANSPORTATION AGENCY Infrastructure Management Functions (Right) Applied to Different Types of Investments (Left)
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It is about making investment decisions that address a wide range of policy goals and transportation system needs. • The categories provide a simple, useful way for decision-makers to align program investment categories and priorities with key policy objectives.
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Transportation agencies have for many years used performance measures to help forecast and track the impacts of program investments, maintenance, and operations improvements; monitor the condition of system assets; and gauge the management and service delivery of the agency. The value of performance 10 Volume I: Research Report
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Role of Performance Measures in Asset Management Since asset management is performance based, performance measures and associated data collection procedures and analytic tools are critical to its successful application. The implementation of an effective, successful transportation asset management concept within an agency uses performance measures as the key to a merit-based, data-driven decision support process.
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This view of asset management that is illustrated in Figure 2, as well as the critical roles that performance measures play in it, will provide a framework for further development throughout this report. Categories of Asset Management Performance Measures For the purposes of this study, a set of performance measure categories has been established in order to (1)
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Similarly, "present serviceability rating" is a customer perception of road surface condition and is classified with other preservation measures. While not all agencies follow this convention, grouping customer satisfaction with other measures is very useful in relating performance measures to asset management functions, as will be illustrated later in the report.)
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The interviews focused on current and planned agency practices in applying performance measures and how they relate to functions that are important to asset management. This section outlines specific objectives for the current practice review, provides a high-level summary of findings relevant to this research, and then presents a more focused set of observations based on a review of agency-specific references and the in-depth interviews.
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This interest in more comprehensive applications of performance measures throughout an agency's functions responds to several trends now affecting transportation organizations: • A general movement toward more policy- or mission-driven, outcome-influenced, and customeroriented business approaches in managing programs and delivering services; • The increasing use of performance measures as a formal component of policy formulation, longrange planning, program budgeting, and program delivery; • The increase of strategic business planning exercises, in which goals, objectives, performance targets, and tracking of target attainment are applied to key organizational or functional areas of an agency; and • A renewed focus on the importance of information and analytic tools in supporting performancebased management. Several national studies and workshops on transportation performance measures provide broadbased data on current practice.
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reviewed current programdevelopment and management practices in capital programming and project selection by state DOTs. Changes in these practices during the past 10–15 years have in some cases been dramatic, driven by a number of trends (e.g., greater competition for funds; changing roles of state, regional, and local agencies; new financing approaches; greater accountability for stewardship and management of the transportation system; and new analytic tools and approaches to data management)
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Issues and responses are organized in several areas: Making the Case for Performance Measurement, Designing Performance Indicators, Aligning Performance Processes, Using Performance Information, and Communicating Performance Information. • Performance Measures for Small Communities -- Final Report to the FHWA (36)
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The report provides examples of strategic performance measures used by state DOTs in Florida, Kentucky, Louisiana, Maryland, Minnesota, New Mexico, Pennsylvania, and Washington State. • Transportation Performance Measures in Australia, Canada, Japan and New Zealand (34)
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. Overview of Agency-Specific Practice Agency-specific information documents performance measures in use and establishes context (i.e., the relationship of performance measures to policy goals and objectives, the use of performance measures at different organizational levels and across agency units, and their application to different functions and activities [e.g., planning, project justification, program development, and tradeoff analyses]
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stressed the importance of program delivery in external reporting and in contributing to an agency's credibility in 21 Volume I: Research Report State AASHTO Regional Association Colorado 4 – WASHTO Florida 2 – SASHTO Idaho 4 – WASHTO Iowa 3 – Mississippi Valley Conference Maryland 1 – NASTO Michigan 3 – Mississippi Valley Conference Minnesota 3 – Mississippi Valley Conference Montana 4 – WASHTO New York 1 – NASTO Ohio 3 – Mississippi Valley Conference Pennsylvania 1 – NASTO South Carolina 2 – SASHTO Tennessee 2 – SASHTO Virginia 2 – SASHTO Washington 4 – WASHTO NASTO = Northeast Association of State Transportation Organizations SASHTO = Southeast Association of State Highway and Transportation Organizations WASHTO = Western Association of State Highway and Transportation Organizations Table 2. States Interviewed for This Study
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There is no single set of universal performance measures that will work in every agency, and there is no single, standard "right way" of implementing them. While transportation asset management rests on several core principles, application of these principles to addressing transportation system problems and needs varies across agencies to accommodate their particular system inventories, organizational structure and responsibilities, and management culture.
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The Florida DOT's mission is to provide a safe transportation system that ensures the mobility of people and goods, enhances economic prosperity, and preserves the quality of the environment and communities. The department's asset management process is the holistic approach used for decision making, investment analysis, and management of transportation assets.
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Competition for these capacity expansion (i.e., multimodal congestion relief) projects is statewide and includes a systematic, fact-driven Sidebar 3.1: Summary of Florida's Asset Management Approach (continued)
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By 2008 all districts must have 90-percent acceptable pavements. â– 3.4 Approaches to Selecting and Organizing Measures Existing Criteria to Select Performance Measures Criteria that agencies now use to select performance measures are listed in Table 3.
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Performance measures report for San Francisco Bay Area (16) Arizona DOT Planning (24)
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Agencies tailor their own classifications of performance measures to respond to policy objectives, programs, management styles, and reporting needs. While there is general agreement on preservation as a key category, agency practices vary in how to classify measures of transportation availability and traffic movement (i.e., to what degree do accessibility, mobility, trip reliability, and operational efficiency represent separate "categories" of measures as opposed to one being a subset of another)
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Examples of Ways to Organize Performance Measures (continued)
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. Some of the most common formulations were included in the tables, but each item should be viewed as representative of a larger set of performance measures that may take slightly different mathematical forms.
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• Examples from agency experience include the following: – While Minnesota DOT began moving to outcome measures several years ago, it is now starting to emphasize output measures at lower levels of the organization to support the outcomes at higher levels. – The Montana DOT has observed that maintenance and operations performance measures typically deal with outputs rather than outcomes.
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Data Supporting Operations and Management Measures DOTs vary widely in the extent to which they collect data to support operations and management performance measures. Examples of states that do support these measures include the following: • Florida DOT tracks several measures gauging incident response and travel time and delay on limited-access freeways managed by ITS.
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Vertical Alignment Vertical alignment enables performance measures to be used in a consistent way by different levels of an organization. Agencies rely on several approaches to vertical alignment: • Shared Use -- The most basic form of vertical alignment is the shared use of performance measures at different organizational levels, as is done by ODOT and New York State DOT.
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33 Volume I: Research Report Mission Values Goals Strategic Initiatives Organizational Performance Figure 3. Vertical Alignment of Performance Measures -- Ohio DOT
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Michigan DOT and local transportation agencies are members of an Asset Management Council; one of the responsibilities of this council is to report on infrastructure conditions in a consistent way. Vermont's law requires the Agency of Transportation to report on condition and trends in its infrastructure according to defined guidelines.
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While Maryland DOT expects to make improvements in vertically integrated performance measurement over the next few years, even then this will be just one tool, not the tool, for managing the department. â– 3.7 Use of Performance Measures Performance measures currently are being used to support high-level policy and resource allocation decisions, to evaluate and compare solutions at a corridor and project level, and to support daily operations.
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. Tradeoff Analysis Tradeoff analyses lie at the frontier of asset management.
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used for GASB 34 reporting (conducted by the research team as part of NCHRP Project 19-4) , and from a Cambridge Systematics report for the Vermont Agency of Transportation (9)
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The process is well received by the districts because it sets the type of work needed to meet the targets, but provides flexibility in terms of actual project selection. 38 Volume I: Research Report Performance Level Current Performance Level 1997 2001 6–Year Target 10–Year Target 20–Year Target Baseline Performance 20–Year Performance Level Trend-Bas ed Perform ance Proje ctions Current Performance Level Policy -Base d Per forma nce T arget Fu tu re P er fo rm an ce G ap Figure 5.
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– Ohio DOT noted that the use of multiple measures can often lead to conflicting priorities. District deputy directors review certain performance measures every day, and the agency's standard management reports allow for comments regarding conflicting performance requirements.
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In addition, criteria used for project prioritization should be consistent with policy objectives and associated performance measures. The use of performance measures rarely makes decisions easier or automatic, but it can inform the decision-making process and communicate more effectively the consequences of investment choices.
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Over time, however, data collection and processing techniques and analytic tools can evolve to yield a more robust and descriptive set of multimodal performance measures that support the policy framework established by an agency. 42 Volume I: Research Report Policy Goals and Objectives Planning and Programming Program Delivery Systems Monitoring and Performance Results Q u ality Inform ation Figure 7.
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Performance measures must be directly incorporated in analytic tools. Several types of management systems have been successfully used by DOTs for many years.
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Performance measures should: • Be sensitive and responsive to policy objectives and • Convey meaningful information about the transportation system. Strategic Perspective Asset management encourages a long-term view of performance, cost, and impacts.
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Decisions Based on Good Information Asset management is supported by good information. Performance measures should: • Be a part of an agency's routine business processes, supported by management system and other analytic tools; • Meet the criteria described above in terms of how they are incorporated within an agency's management system and analytic tools; • Be amenable to analytic procedures appropriate to different organizational levels; and • Have realistic and feasible data requirements, relying on quantitative measurements where possible.
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were also ranked highly, several respondents raised exceptions to them: • Asset management criteria may not be applicable to all programs, business processes, and decisions. • Developing performance measures for some policy objectives, programs, and functions may be difficult.
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Cross-business-line performance measures reflecting policy objectives are needed. Policy-level measures are not always seen as manageable at the mid-management level.
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This is a new area not now in the industry's culture. This criterion is imporant at the system level but not at the corridor and project levels.
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Performance measures are only one of many tools to address this principle. This is not a priority today, but will be in the future.
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Table 5. Feedback on Performance Measure Criteria (continued)
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Feedback on Performance Measure Criteria (continued)
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They also were considered in development of the framework presented in Section 5.0 and Volume II. Guidelines for Using Performance Measures in Transportation Asset Management Revisiting the Asset Management Self Assessment An extensively used feature of the Guide is a Self Assessment Tool that helps agencies judge their progress in implementing asset management principles and identify opportunities for improving asset management practice.
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for evaluating an existing set of performance measures and selecting new ones. The result of this analysis is a set of guidelines for identifying and using performance measures in a transportation asset management context.
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14. Performance measures reflecting asset condition and performance should be used consistently across different functional units and at different levels of the organization.
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for Identifying and Using Performance Measures Policy-driven The agency's goals and objectives are linked to specific performance measures and evaluation criteria for resource allocation. Criteria used to set program priorities, select projects, and allocate resources are consistent with stated policy objectives and defined performance measures.
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Implication(s) for Identifying and Using Performance Measures (continued on next page)
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Implication(s) for Identifying and Using Performance Measures (continued on next page)
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Our agency regularly collects customer perceptions of asset condition and performance. We periodically distribute reports of performance measures relevant to customer/stakeholder satisfaction with transportation system and services.
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The following topics are discussed: • Addressing federal transportation planning regulations; • Linking resource allocation to policy objectives; • Aligning performance measures across the organization (and beyond) ; • Tailoring measures to decisions -- ensuring appropriate sensitivity; • Analytic constructions of performance measures to understand overall health, critical deficiencies, and trends; • Providing solid foundation data; • Structuring performance tradeoffs; • Predicting performance and setting targets based on funding; • Setting long-term performance goals; and • Obtaining internal and external buy-in.
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and programs for metropolitan area and statewide transportation, respectively, that address: • All modes of transportation, including nonmotorized modes; • Development and integrated management and operation of the transportation system; and • Coordination among MPOs, state DOTs, and affected public transportation providers. Scope of planning process.
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These applications of performance measures are not mutually exclusive. Agencies that are interested in performance-based management can apply these techniques in combination -- a strategy that would be entirely consistent with good asset management practice.
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62 Volume I: Research Report Sidebar 5.2: State Highway Administration's Use of Asset Management Principles to Influence Resource Allocation The Maryland General Assembly enacted a significant transportation revenue program in 2004. During the early planning for this program, the Maryland State Highway Administration (MSHA)
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. Performance Measure Families for Vertical Alignment Agencies use different approaches to establish a consistent set of performance measures that are useful at various organizational levels.
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Rankings of highway segments by congestion index, travel time, or travel time cost Report card showing improvements in 10 worst congestion bottlenecks Map illustrating locations of improved, constant, and worsening congestion Pavement Condition Congestion roughness, rutting, faulting, etc. Pavement condition index as a function of above conditions Poor condition based on pavement condition index Customer perceptions of pavement condition expressed through surveys mileage meeting or exceeding pavement performance targets Map illustrating highway sections with improved, stable, and declining pavement condition Specific measures of pavement cracking, Percent of highways in Good, Fair, or Report card showing percent of highway Table 7.
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Horizontal alignment is promoted through consistent interpretation of performance measures throughout the organization and across policy objectives and programs. For example, all agency units should adhere to the same threshold values that define "good," "fair," and "poor" for a performance measure.
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. Another common example is in metropolitan areas, where the interests of state DOTs, MPOs, and transit agencies converge with respect to transportation investments.
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For example, when gauging the impacts of intersection improvements for mobility and operational efficiency, use a measure like "time savings at intersections" rather than more general measures like "overall reduction in total network travel time." – Defining performance measures that are more sensitive and meaningful at a network level. For example, "percent reduction in intersection delays" likely gives a clearer indication of potential impacts than would "minutes of travel time saved due to intersection improvements." • The type of measure used also can affect its sensitivity and, therefore, its suitability for different timeframes and levels of decisions.
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Performance measures ideally can be "rolled up" from the project level and rolled up to the system or network level. Measures need to reflect proposed corridor improvements on broader systemwide performance.
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While networkwide measures are appropriate for long-range planning and broad-based evaluation of policy objectives, more focused measures are needed at a regional or district level for project programming and budgeting, and detailed measures are needed at corridor and project levels. Dealing with Attribution Issues "Attribution" refers to the extent to which transportation system performance can be attributed to the actions of the transportation agency as opposed to external trends that are beyond an agency's control.
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These data can help the agency to recognize and understand shifts in economic and social trends, driver behavior, vehicle characteristics, and other external factors that affect travel demand and transportation system performance. They also can guide the agency in setting realistic future performance targets that account for these external shifts and, if necessary, to recommend changes in policy objectives that respond to significant changes in external forces.
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. Sidebar 5.4 provides an example of how available analytic tools and data can be used to analyze options for improving corridor mobility.
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Minor street green time: 30 sec Major street average speed: 20 mph Minor street average speed: 20 mph Light rail average speed: 15 mph Example Performance Comparison Signal Turn Performance Measure Base Case Improvements Restrictions V/C Ratio 1.00 1.00 1.00 Travel time 15 (auto) 15 (auto)
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Type of Measure and Threshold Value One way to distinguish between overall health and critical deficiencies is through the type of performance measures used and the establishment of critical threshold values. For individual facilities, overall health can be gauged through indexes based on a set of conditions (e.g., a present serviceability index or a pavement condition index for pavement condition or a bridge health index for bridge condition)
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per million seat-miles. • A ratio -- for example, fatal to nonfatal accidents, bus ridership to rail ridership, travel time in congested conditions to travel time in free-flow conditions.
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In relative terms based on population, bus ridership is declining, but rail is increasing, indicating that the rate of growth of rail ridership exceeds the rate of increase in regional population. 0 200 400 600 800 1,000 1,200 1,400 1,600 Daily Person Trips (in Thousands)
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Example Bus versus Rail Transit Ridership Figure 10. Example Per Capita Ridership of Bus and Rail Transit
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Care must be taken, however, to select the trend that best illustrates what is intended to be communicated. Further Examples of Analytic Constructions Additional ways to distinguish between general condition or health and more detailed views of condition and critical deficiencies are to focus on the mathematical function used within performance measures.
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. How might this decline in network condition be displayed using different performance measures?
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79 Volume I: Research Report 0 10 20 30 40 50 60 70 80 90 100 0 10 15 20 25 Time Condition 10% Limit at Upper End Network Average Condition 5 0 10 20 30 40 50 60 70 80 90 100 Percent Above or Below Threshold Value 0 10 15 20 25 Time Percent Poor (<45) Percent Good to Fair (>45)
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"Transportation agencies need to consider the uncertainty introduced by inaccurate data when taking action based on their system of performance measures" (12 p.
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. Under NCHRP Project 20-57, analytic tools were developed to support tradeoff analysis by applying information generated by an agency's management systems (10)
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They may use it, for example, to set realistic performance targets in light of anticipated funding, but they may not yet apply the information to conduct tradeoff analyses. As an example of how management systems can provide performance-cost relationships, Figure 15 illustrates three scenarios that have been analyzed for an example network of 500 bridges using the AASHTOWare Pontis® 4.0 bridge management system.
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The practical implications of these guidelines for performance measures are the following performance measure criteria: • A focus on preservation; • A quantitative measure or index of condition or performance (many existing pavement, bridge, rail, and maintenance measures meet this criterion) ; • Inspection surveys (at a minimum frequency of every 3 years)
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These GASB requirements coincide with asset management criteria for a policy-driven and performance-based process, identification and evaluation of options through tradeoff analyses, 84 Volume I: Research Report Sidebar 5.5: GASB Modified Approach Requirements GASB 34 requires general purpose state and local governments to report the value of their infrastructure assets in Comprehensive Annual Financial Reports (CAFRs) and to depreciate the value of those assets.
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• If an agency chooses to apply the GASB modified approach and does so correctly, the procedures it uses reinforce good asset management practice in preservation. • Conversely, if an agency follows the asset management criteria described throughout this section, it is in a position to apply the GASB modified approach if it chooses to do so.
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• Use available models that show how user costs (e.g., travel time, vehicle operating costs, and accident costs) change with different levels of condition or performance.
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â– 5.10 Obtaining Internal and External Buy-In Virtually all authorities agree on the importance of internal and external acceptance of performance measures to their successful application as well as public and agency support for the decisions based upon performance measurement. While there is widespread agreement on the principles to be followed and the resulting benefits, there are somewhat different takes on the relative number of performance measures that best serves this objective.
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Many state DOTs and FHWA use some version of free-flow travel conditions or travel at the speed limit as a standard for comparisons. While these work well in communications with the public, they are not as relevant to the amount of transportation service that can be provided.
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. The number of performance measures should be limited to the minimum needed to support decisions at the intended level.
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Many performance measures now used by agencies are compatible with asset management concepts, associated data collection efforts, existing management systems, other analytic tools such as geographic information systems (GIS) , and reporting mechanisms.
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• Integrate Performance Measures into the Organization: engaging stakeholders to ensure buyin, designing families of measures that can be used at different organizational levels and for different types of decisions, ensuring consistency across measures, identifying needed improvements to data collection and analytic tools, designing communication devices, and documenting measurement and reporting procedures. • Establish Performance Targets: establishing both long-term (desired or optimal)
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Figure 17. Guidance for Performance Measures and Targets Tailor Measures to Decisions Design consistent Measures Across Program Areas Identify Improvements to Data and Tools Design Communication Devices Engage Stakeholders Document Definitions and Procedures Inventory Existing Measures Consider Policy and Public Input Assess and Select Measures for Further Design and Implementation Define Contexts and Time Horizons Select Scope of Measures for Targets Develop Long-Term Goals Consider Funding Availability Analyze Resource Allocation Scenarios and Tradeoffs Establish Targets and Track Progress Assess Gaps Define Selection Criteria Identify Candidate Measures/Adjustments to Existing Measures Identify Performance MeasuresI tif f Integrate Performance Measures into the OrganizationI te rate erf r a ce eas res i t t e r a izati Establish Performace Targetst li f t
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and analytic tools are available to enable effective use of each of the selected performance measures. Step 5: Design communication devices -- This step considers the critical role of communication in a performance measurement effort.
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The framework stresses the importance of financially constrained performance targets as a fundamental part of good asset management practice. However, goals that are independent of resource constraints provide an important foundation.
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12. Dalton, Doug, et al., "Transportation Data and Performance Measurement," TRB Conference Proceedings 26: Performance Measures to Improve Transportation Systems and Agency Operations, Transportation Research Board (2001)
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23. Pickrell, Steven, and Lance Neumann, "Use of Performance Measures in Transportation Decision Making," TRB Conference Proceedings 26: Performance Measures to Improve Transportation Systems and Agency Operations, Transportation Research Board (2001)
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35. Vandervalk, Anita, "TRB and Florida Examples," Panel Discussion: Part 1 of "Selecting Measures, Data Needs, and Analytical Issues," TRB Conference Proceedings 26: Performance Measures to Improve Transportation Systems and Agency Operations, Transportation Research Board (2001)
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9. Busby, David, et al., Workshop Summary of "Agency Implementation of Transportation System Performance Measures," TRB Conference Proceedings 26: Performance Measures to Improve Transportation Systems and Agency Operations, Transportation Research Board (2001)
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29. Dalton, Doug, et al., "Transportation Data and Performance Measurement," TRB Conference Proceedings 26: Performance Measures to Improve Transportation Systems and Agency Operations, Transportation Research Board (2001)
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48. Meyer, Michael, "Measuring That Which Cannot Be Measured -- At Least According to Conventional Wisdom," TRB Conference Proceedings 26: Performance Measures to Improve Transportation Systems and Agency Operations, Transportation Research Board (2001)
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65. Pickrell, Steven, and Lance Neumann, "Use of Performance Measures in Transportation Decision Making," TRB Conference Proceedings 26: Performance Measures to Improve Transportation Systems and Agency Operations, Transportation Research Board (2001)
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88. Vandervalk, Anita, "TRB and Florida Examples," Panel Discussion: Part 1 of "Selecting Measures, Data Needs, and Analytical Issues," TRB Conference Proceedings 26: Performance Measures to Improve Transportation Systems and Agency Operations, Transportation Research Board (2001)
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Volume II: Guide for Performance Measure Identification and Target Setting
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1 1.3 Document Overview ............................................................................................... 2 2.0 Using Performance Measures for Asset Management .........................................................
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This volume begins with an overview of transportation asset management principles and a discussion of the implications of these principles for identification and use of performance measures. From an asset management perspective, performance measures should address key agency goal areas; cover asset condition, service/function, and delivery; and provide a balanced set of perspectives.
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The volume ends with a list of performance measures that may be considered for transportation asset management (Appendix A) and examples of performance targets established by a wide range of departments of transportation (DOTs)
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. NCHRP Project 20-60, "Performance Measures and Targets for Transportation Asset Management," was undertaken as a logical next step.
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â– 1.3 Document Overview The remainder of this volume consists of two sections: Section 2.0 discusses the role of performance measures in transportation asset management and the implications of transportation asset management best practices for the selection and implementation of performance measures. Section 3.0 presents the framework for selecting performance measures and setting performance targets.
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It is also a process of gathering information to make well-informed decisions. Transportation agencies have used performance measures for many years to help track and forecast the impacts of transportation investments, monitor the condition of highway features, and gauge the quality of its services.
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. Building on the general asset management framework used throughout the Guide, Figure 1 illustrates that performance measures and targets are required at several points in an agency's resource allocation and delivery process: 4 Volume II: Guide for Performance Measure Identification and Target Setting Resource Allocation Decisions Program and Service Delivery Performance Measures and Targets… Policy Goals and Objectives Translate Policy Objectives into Guidance for Decision Making Provide a Framework for Evaluating Options to Define the Best Mix of Investments Within and Between Programs Help to Define Expectations and Outcomes for Budget Decisions Help Track Effectiveness of Program and Service Project Delivery Provide a Basis for Monitoring System Conditions System Conditions and Service Levels Funding Levels Public Input Financial Staff Equipment Other Analysis of Options and Tradeoffs Preservation Capacity Expansion Operations Figure 1.
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These guidelines are organized according to key principles of asset management from the Guide. Principle: There are clear links between policy goals and objectives and decisions at all levels.
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10. Monitoring of outcome- and output-oriented performance measures needs to be accompanied by tracking of actual activity costs in order to provide the basis for credible prediction tools that analyze investments versus performance.
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Each of these questions is discussed below. Content and Scope Performance measures are needed that: • Cover key policy goals and objectives, including asset preservation, service to transportation system users, and (to the extent possible)
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The overall performance 8 Volume II: Guide for Performance Measure Identification and Target Setting • Economic Health • Security • Environmental Quality • Equity Societal View • Accessibility, Travel Time and Cost, Delay, Reliability, Safety, Comfort, Convenience • Perception/Understanding/Satisfaction/Value Customer View • Quality • Efficiency • Activity Costs • Accomplishments • Schedule and Budget Adherence • Use of Resources • Deficiencies • Efficiency • Effectiveness • Benefit-Cost • Improvement Need/Backlog • System Health • Physical Condition • Remaining Life • Remaining Value • Preservation Need/Cost Agency View Delivery Asset Service and FunctionAsset Condition Figure 2. Scope and Coverage of Performance Measures for Asset Management
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investment versus capacity expansion. This decision implies the need for performance measures that focus on travel time, delay, and reliability.
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, impacts of implemented strategies, and other factors affecting performance (e.g., traffic trends) are important elements of an overall performance measurement program for asset management.
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â– 3.2 Identifying Performance Measures Hundreds of possible performance measures can be useful for asset management, and no single set of measures will work well in every situation. The challenge is to identify a manageable set that can be effectively implemented and used within a given organization.
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Tailor Measures to Decisions Design consistent Measures Across Program Areas Identify Improvements to Data and Tools Design Communication Devices Engage Stakeholders Document Definitions and Procedures Inventory Existing Measures Consider Policy and Public Input Assess and Select Measures for Further Design and Implementation Define Contexts and Time Horizons Select Scope of Measures for Targets Develop Long-Term Goals Consider Funding Availability Analyze Resource Allocation Scenarios and Tradeoffs Establish Targets and Track Progress Assess Gaps Define Selection Criteria Identify Candidate Measures/Adjustments to Existing Measures Identify Performance MeasuresI tif f Integrate Performance Measures into the OrganizationI te rate erf r a ce eas res i t t e r a izati Establish Performace Targetst li f t Figure 3. Guidance for Performance Measures and Targets
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gaps in coverage of key policy goals or result areas, (2) gaps in use of performance measures to guide resource allocation, and (3)
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In deciding where to focus, you will want to consider where additional performance measures will have the greatest impact on your agency's ability to make better resource allocation decisions, gain public confidence, and secure needed resources. Step 3: Define Selection Criteria There are many factors to consider in selecting performance measures for asset management.
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You may also want to ignore criteria that are not relevant given the intended purpose of the performance measures. Criterion 1: Feasible • Data Requirements.
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Can this measure be used at a broad level outside of the organization across other jurisdictions in order to enable a consistent regional or statewide view of performance? Step 4: Identify Candidate Measures/Adjustments to Existing Measures Appendix A provides a list of performance measures that can be of value for asset management.
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b Annual Change in Travel Time Between Major Cities c Percent Population Within 10 Minutes of a State Highway d Time from End of Snow Event to Bare Pavement e Backlog -- System Completion SAFETY a Serious Crashes/Million VMT b Number of Fatalities c Backlog -- Economically Justified Safety Improvements Table 2. Performance Measures: Uses and Audiences Example Format
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For example, the remaining value of assets can be useful for high-level, strategic, and long-range planning decisions to make the case for additional investment. It can also be used at a corridor level as part of a study of future corridor development and management options in order to characterize future preservation needs.
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19 Volume II: Guide for Performance Measure Identification and Target Setting Policy Objective/Performance Measure Fe as ib le –D at a/ T oo ls M ea ni ng fu l f or P ol ic y T re nd In fo F ea si bl e C an F or ec as t U se fu l F ee d ba ck Se ns it iv it y C an L in k to A ge nc y A ct io ns Sc en ar io T es ti ng N eu tr al it y V er ti ca l a lig nm en t H or iz on ta l A lig nm en t C ro ss -J ur is d ic ti on al 1 SYSTEM PRESERVATION a Percent Poor Pavements -- -- b Average Bridge Health Index -- -- c Remaining Value d Backlog -- -- e Customer Ratings -- -- 2 MOBILITY/ACCESSIBILITY a Travel Time Index (Urban Freeways) b Annual Change in Travel Time Between Major Cities -- c Percent Population Within 10 Minutes of a State Highway -- d Time from End of Snow Event to Bare Pavement -- -- -- e Backlog -- System Completion -- 3 SAFETY a Serious Crashes/Million VMT -- b Number of Fatalities c Backlog -- Economically Justified Safety Improvements -- KEY: Meets criterion.
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Step 1: Engage Stakeholders Necessary ingredients for a successful performance measurement implementation are: • Top management support and leadership, • Stakeholder buy-in and commitment to use the measures, • Integration of performance measures into existing business processes and decision-making forums, and • Clear ownership and responsibility for each measure and associated data and tools. These ingredients need to be considered during the process of performance measure selection.
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Depending on the types of performance measures being implemented, stakeholders may all be within a single agency, or they may be in several different agencies -- for example, a state DOT and the state's metropolitan planning organizations (MPOs) (in the case of congestion measures)
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22 Volume II: Guide for Performance Measure Identification and Target Setting Short- or Medium-Term • Network Summary roll-ups of corridor or subnetwork performance • Evaluation of accomplishments versus targets • Comparisons of performance under different 3- to 6-year investment scenarios • Progress toward long-term, strategic policy objectives • Predicted long-term conditions or needs at system or modal level (life-cycle analyses where appropriate) • Broad-based tradeoffs among modal, system, location and program options Corridor • Description of existing conditions to assess connectivity and consistency of corridor level of development by mode • Forecasts of performance for different corridor investment options • Assessment of options for project packaging and staging (considering coordination of detours and alternative routes and modes of travel)
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• Use performance measures to identify critical infrastructure deficiencies by establishing a threshold value of a condition index based on experience or engineering judgment about what level is serious enough to threaten structural integrity, dramatically increase user costs, or result in many customer complaints. An alternative to using a condition index is to focus on one or more conditions that are judged as critical to facility performance (e.g., pavement roughness or rut depth for pavement preservation, condition of bridge superstructure and substructure elements for bridge preservation, or congestion level for mobility)
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Developing a consistent set of performance measures will enable an agency to describe asset condition or service level for engineers, administrators, legislative bodies, and the traveling public. Performance measures that are consistently defined across program areas responsible for different asset classes and/or functions can be extremely valuable for providing a high-level understanding of performance for upper-level managers and for facilitating tradeoff analysis and target setting.
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. Step 4: Identify Improvements to Data and Tools Successful integration of performance measures into your organization's decision-making processes will depend on the quality of data that you use and the availability of credible analytical methods and tools for prediction of performance measure values.
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for (1) predicting the value of the performance measure that would result from implementation of a particular project or program strategy or from investing a given level of resources and (2)
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Such standards could: – Identify "official" data sources to be used for performance measures that are calculated using system quantities (e.g., mileage by functional class) , VMT, annual average daily traffic [AADT]
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In many transportation agencies, there will be a need for an education process for engineering staff on the fundamentals of performance-based management. Devices that have been used successfully by agencies for performance reporting include the following: • Continual reports of performance such as Washington DOT's accountability website, including the quarterly Gray Notebook: Measures, Markers, and Mileposts (www.wsdot.wa.gov/accountability/default.htm)
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. If and when the agency decides to change the performance measures that it uses or to modify the details of how a given performance measure is calculated, the documentation for the old measure should be archived along with the performance results that exist.
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Step 3: Develop Long-Term Goals Setting short- to mid-term performance targets that are realistic based on funding availability is critical for helping decision-makers to make performance-based resource allocation tradeoffs. This is a fundamental part of good asset management practice.
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• Use available models that show how user costs (e.g., travel time, vehicle operating costs, and accident costs) change with different levels of condition or performance.
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, can predict a broader set of preservation, safety, and congestion-related performance measures for different resource allocation scenarios. Some agencies have developed in-house tools or informal spreadsheet-based or "back-of-the-envelope" calculation methods to provide this capability as well.
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Relationship Between Infrastructure Condition and Needed Expenditure 0 20 40 60 80 100 0 1 3 5 7 9 10 Time (years) Bridges with Health Index >75% (in Percent)
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. Examples of targets established by state DOTs are provided in Appendix B
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Florida DOT Communication of Performance Targets
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2004 2009 2013 Figure 8. Montana DOT Communication of Performance Targets
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2. Cambridge Systematics, Inc., PB Consult, Inc., and System Metrics Group, NCHRP Report 545: Analytical Tools for Asset Management, Transportation Research Board (2005)
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These measures have not been fully vetted as the best ones for asset management because this distinction depends largely on the characteristics of the implementing agency. However, if implemented properly, these candidates have potential for being "good measures." Categories used for measures are defined as follows: • Preservation -- Measures the condition of the transportation system and actions to keep the system in a state of good repair.
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Key performance measures include output-oriented accomplishment measures that complement outcome-oriented measures in the other categories, measures of efficiency and effectiveness in use of resources, and impacts on customers that need to be considered in evaluation of alternative delivery strategies. A-2 Volume II: Guide for Performance Measure Identification and Target Setting
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• Ratio of current value to replacement cost Examples Table A.1 Preservation Performance Measures (continued on next page)
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• VMT-weighted average pavement condition • Percent of VMT on roads in poor condition • Percent of truck VMT or tonnage affected by weight or clearance restrictions • Number of overload permits rejected due to bridge structural capacity deficiency • Number of functionally obsolete bridges • User costs associated with rough roads or detours due to bridge posting or road restrictions • Hours or days during which asset not in service due to preservation work Customer Perception • Customer rating of asset condition or agency preservation activities • Customer satisfaction rating Table A.1 Preservation Performance Measures (continued)
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for a given origin-destination pair or trip type • 95-percent reliable travel time • Travel time from freight intermodal facilities to highway facilities • Average shipment time (by commodity, mode, local versus long-distance) • Changes in average, median, and 90th-percentile travel time over time • Percent difference in travel time between second fastest emergency route and the fastest route Table A.2 Mobility and Accessibility Performance Measures (continued on next page)
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• Percent of working population within X miles of employment • PMT per capita Table A.2 Mobility and Accessibility Performance Measures (continued)
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• Estimated cost of recommended work with benefit/cost ratio greater than 1 Customer Perceptions • Customer ratings of trip time, reliability, congestion severity, travel cost, travel time, and so forth • Customer satisfaction with snow and ice removal Table A.2 Mobility and Accessibility Performance Measures (continued)
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catch basins • Sign and pavement marking retroreflectivity Cost Efficiency • Average cost per lane-mile constructed • Average operations and/or maintenance cost per lane-mile • Construction and maintenance expenditures per VMT • Cost per passenger trip (urban versus rural) • Cost per percent point increase in lane-miles in good condition • Ratio of oversize/overweight permit fees collected to dollar value of damage caused Table A.3 Operations and Maintenance Performance Measures
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• Estimated cost of recommended operational improvements with benefit/cost ratio greater than 1 Customer perceptions • Customer ratings of facility operations and availability Table A.3 Operations and Maintenance Performance Measures (continued)
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with identified cost-effective safety countermeasures Need/Backlog • Cost to implement identified safety countermeasures Customer Perception • Number of safety-related complaints • Customer ratings of transportation facility safety or operational response to incidents • Shipper satisfaction with damage/loss rates Table A.4 Safety Performance Measures
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A-11 Volume II: Guide for Performance Measure Identification and Target Setting Measure Type Examples Economic Costs and Benefits • Number of jobs within X minutes of population centers • Transportation-related impacts: jobs created, percent of state or regional gross product • Economic costs of pollution Direct User Costs • Average cost per trip • Average cost per ton-mile Transportation Infrastructure Support for Freight Movement • Road mileage converted to all-weather surfacing • Road mileage upgraded to support truck traffic Support Improved Service to Existing Urbanized Area • Extent to which projects fall within census urbanized area Support of Brownfield or Infill Sites • Serves one or more Brownfield or infill sites (expressed as Yes/No on project basis; percent or qualitative measure on system basis) Customer Perceptions • Percent of businesses that cite problems with transportation as a major factor in relocation, productivity, or expansion Table A.5 Economic Development Performance Measures
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with quieter road surface by 2010 Recycling • Amount (or percent) of recycled material used in road construction Table A.6 Transportation Environmental Impacts Performance Measures (continued on next page)
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• Percent of facilities passing security tests Customer Perceptions • Percent of customers identifying security as a concern • Change in customer concern about security over time Table A.8 Transportation Security Performance Measures
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A-14 Volume II: Guide for Performance Measure Identification and Target Setting Table A.9 Transportation Delivery Performance Measures Measure Type Examples Accomplishment • Quantity of work completed (e.g., lane-miles of pavement resurfacing and number of bridges reconstructed) • Dollar value of work completed by type Quality • Quality index (based on materials testing, pavement smoothness and inspection results)
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1–5 scale based on pavement, traffic operations and roadside 1–100 scale based on pavement, shoulders, roadside elements, drainage, and traffic services 0–100 scale based on surface distresses -- cracking, patching, roughness, rutting, faulting 0–5 scale based on pavement distress Good, fair, and poor based on pavement smoothness 1–100 scale based on cracking, potholes, deterioration, and other 0–100 scale based on roughness, 0–100 scale based on pavement Delaware Interstate ≥80% Overall ≥75 Overall ≥72% Priority ≥75% ≥65 Table B.1 Examples of State DOT Performance Targets Pavement Preservation (continued on next page)
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based on surface distress Colorado NHS ≥70% Other ≥55% Ride Index roughness with adjustment for pavement type Utah ≤15% ≤1.84 Roughness Index and Cracking Index Roughness index -- 0.0 to 5.0 based on public perception Cracking index -- 0.0 to 5.0 for each pavement section Idaho ≤18% <2.5 Sufficiency Rating based on surface distresses Michigan ≤30% Poor or Very Poor 80% >6 for all 3 criteria Interstate -- 75 Principal ≥3.0 NHS -- 3.5 Interstate ≥80% PL1 Interstate ≥80% 50% ≥2.75 Excellent, good, fair, poor, very poor, 1–5 scale based on vehicle response to PL-1: good condition; PL-2: requires Table B.1 Examples of State DOT Performance Targets (continued) Pavement Preservation
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condition and appraisal ratings SD -- FHWA rating that indicates a bridge is restricted to light vehicles, requires immediate rehabilitation to remain open, or is closed FO -- FHWA-defined rating based on deck geometry, load-carrying capacity, clearance, and approach roadway alignment 1–100 scale based on condition of major elements 0–100 scale based on 4 factors reflecting ability to remain in service Ratio of current value to replacement Pennsylvania Reduce by 50% by 2010 87–90% Overall ≥80 Oregon Table B.2 Examples of State DOT Performance Targets Structure Preservation
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of speed, travel time, and safety mile on Interstate and Freeways with annual ADT (AADT) greater than 20,000 vehicles per lane where travel speeds met or exceed minimum levels Percent of urban freeway miles in Describes operating condition in terms Annual percent growth in vehicles per Percent of interregional corridor miles 21% D for urban areas and C for 90% by 2020 Table B.4 Examples of State DOT Performance Targets Capacity Expansion
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ries per 100 million VMT) Percent of crashes on strategic highway system where road-related conditions are a contributing factor 3-year average rate per million VMT 3-year average 5-year fatality rate (fatalities per 100 5-year serious injury rate (serious inju1.8 10.22 <1% Improve over time Table B.5 Examples of State DOT Performance Targets Safety Table B.6 Examples of State DOT Performance Targets Transportation Environmental Impacts Measure Description State Target NOx Emissions Maryland VOC Emissions Maryland Impacted Wetlands Replaced Minnesota as a percent of total VOC emissions as a percent of total VOC emissions Ratio of acres of wetlands replaced to acres impacted Transportation-related VOC emissions Transportation-related VOC emissions <33.9% <40.2% 1
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Key Terms
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