Risk-Based Asset and Performance Management: A Geotechnical
Perspective Scott A. Anderson FHWA - Resource Center
Slide 2
Risk-Based Asset and Performance Management Cant do all we
would like Need to Optimize Cant do it all at once Need to
Prioritize This is the motivation for management There is also a
catalyst
Slide 3
Catalysts for management Bridge safety Pavement cost
Geotechnical performance
Slide 4
MAP-21 National Performance Goals 1.Safety 2.Infrastructure
Conditions: State of Good Repair 3.Congestion Reduction 4.System
Reliability- improve efficiency 5.Freight Movement and Economic
Vitality 6.Environmental Sustainability 7.Reduced Project Delivery
Delays 4
Slide 5
FAQ on MAP-21 Question 2: What requirements does MAP-21 have
pertaining to asset management? Answer 2: Each State is required to
develop a risk-based asset management plan for the National Highway
System (NHS) to improve or preserve the condition of the assets and
the performance of the system. (23 U.S.C. 119(e)(1), MAP-21 1106)
The Secretary is required to issue a regulation not later than 18
months after date of enactment, after consultation with the States,
which will establish the process to develop the State asset
management plan for the NHS. (23 U.S.C. 119(e)(8), MAP-21 1106)
Source: FHWA website 5
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Question 3: What are the scope and content of a risk-based
asset management plan? Answer 3: In general, a State risk-based
asset management plan includes strategies that lead to a program of
projects that would make progress toward achievement of the State
targets for asset condition and performance of the NHS in
accordance with 23 U.S.C. 150(d) and supporting progress toward the
achievement of the national goals identified in 23 U.S.C. 150(b).
(23 U.S.C. 119(e)(2), MAP-21 1106) States must address pavements
and bridges but are encouraged to include all infrastructure assets
within the highway right-of-way in their risk-based asset
management plan. 23 U.S.C. 119(e)(4) (MAP-21 1106) requires that a
State asset management plan be in a form that the Secretary
determines to be appropriate. It also requires that the plan
include: 1.a summary listing of the pavement and bridge assets on
the NHS in the State, including a description of the condition of
those assets; 2.asset management objectives and measures;
3.performance gap identification; 4.lifecycle cost and risk
management analysis; 5.a financial plan; and 6.investment
strategies. 6
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Question 4: What other infrastructure assets within the highway
right-of-way can be included in a risk-based asset management plan?
Answer 4: While the MAP-21 risk-based asset management plan
specifies pavements and bridges on the NHS in 23 U.S.C. 119(e)(4),
23 U.S.C. 119(e)(3) (MAP-21 1106) requires the Secretary to
encourage States to include all infrastructure assets within the
highway right-of-way. Examples of such infrastructure assets
include: pavement markings, culverts, guardrail, signs, traffic
signals, lighting, Intelligent Transportation Systems (ITS)
infrastructure, rest areas, etc., in the asset management plan. 7
Really? 1.Safety 2.Infrastructure Conditions: State of Good Repair
3.Congestion Reduction 4.System Reliability- improve efficiency
5.Freight Movement and Economic Vitality 6.Environmental
Sustainability 7.Reduced Project Delivery Delays
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Geotechnical Impacts on System Performance Though the pavement
and bridges are in excellent condition, the performance here is
poor.
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The Geotechnical Role We can address many performance goals The
intent of the law may fail if we dont manage our assets to support
performance goals The language we speak will become less relevant
if we arent managing our assets We are responsible for certain
links in a transportation corridor (The System)
Some Practical Definitions 1.Asset Management 2.Performance
Management 3.Geotechnical Asset Next slides 11
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Physical assets along a corridor 12
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Independent features, not elements of others 13
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Comprised of earth or performance achieved through earth
interaction with structure or inclusion 14
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Geotechnic al Asset Physical Asset Corridor and/or GAM Section
ROW Feature Independent Feature
SlopeRockSoilModifiedEmbankmentRockSoilModifiedSubgradeRockSoilModified
Earth Retaining Structure Stabilized Earth Steel or Reinforced
Concrete Element of other Structure Bridge Element Tunnel Element
Pavement Element Outside- ROW Feature Slopes Water bodies Structure
s (walls, etc.) Non- Corridor Material Sites Stockpiles or other
Non- Physical Asset DataKnowledgeEquipment Proposed Geotechnical
Asset Taxonomy 1/8/14 The adjective Geotechnical means the asset is
comprised of earth, pertains to earth, or its performance is
achieved through earth interaction with a structure or inclusion.
Inclusions are any and all non-earth modifications: pipes, anchors,
grids, fabrics, grouts, etc. Investigation and test results, lab
and field equipment, key personnel High slopes, shorelines, and
structures typically owned by others outside the ROW that are
sources of risk because they can impact performance Established
management systems for other structures that have (or should have)
geotechnical elements. Others, could be added; for example
culverts. Predominant distinction in how feature is managed.
Features with inclusions are modified.
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Current Practice Implementation in States today They are all
taking steps: some big, some small
AlabamaGeorgiaFloridaKentuckyUtah North Carolina South Carolina
Washington D.C. New Hampshire South Dakota
TennesseeConnecticutMaineMarylandOregon New Jersey New
YorkPennsylvaniaOhio North Dakota
IndianaMichiganIllinoisMissouriNebraska
IowaWisconsinMinnesotaArizonaMontana
CaliforniaColoradoKansasWashingtonIdaho Alaska Vermont
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Remember the fine print? 23 U.S.C. 119(e)(4) (MAP-21 1106)
requires that a State asset management plan be in a form that the
Secretary determines to be appropriate. It also requires that the
plan include: 1.a summary listing of the pavement and bridge assets
on the NHS in the State, including a description of the condition
of those assets; 2.asset management objectives and measures;
3.performance gap identification; 4.lifecycle cost and risk
management analysis; 5.a financial plan; and 6.investment
strategies. Thats what these states are doing, all in their own
ways. Lets look at linking Condition, Performance and Risk
Management - and define Condition and Risk Management as we do
so
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Two diversions to show breadth of the revolution Performance
Based Practical Design (PBPD) SHRP2 - R19B: BRIDGE FOR SERVICE LIFE
BEYOND 100 YEARS: SERVICE LIMIT STATE DESIGN Then on to some new
ideas
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The PBPD approach: grounded in performance management exercise
engineering judgment to build up the improvements from existing
conditions to address purpose and need uses appropriate
performance-analysis tools considers both short- and long-term
project and system goals PBPD Definition
SHRP2 R19B Bridges for Service Life beyond 100 Years: Executive
Summary The objectives of SHRP 2 Project R19B were to develop
design and detailing guidance and calibrated Service Limit States
(SLSs) to provide 100 year life, and to develop a framework for
further development of calibrated SLSs. Generally, it has been
assumed that maintenance activities will be sufficient to prevent
significant loss of the strength and stiffness that would result in
unsatisfactory service level performance. Consideration of SLSs
requires different input data than the previously calibrated
Strength Limit State I (ULSs). In ULSs, the limit state function is
defined with two variables, resistance, which was considered
constant in time, and loads. For SLSs, a different approach is
needed : As exceeding service limit states does not lead to a
clear, immediate, loss of functionality, defining the resistance is
very subjective. Acceptable performance can be subjective (full
life-cycle analysis is required). Resistance and load effects can
be and often are correlated. Load must be considered to be a
function of time, described by magnitude and frequency of
occurrence. Resistance may be strongly affected by quality of
workmanship, operation procedures and maintenance. Resistance is
subject to changes in time, mostly but not only deterioration, with
difficulty predicting initiation time and time-varying rate of
deterioration (e.g. corrosion, accumulation of debris, cracking).
Resistance can depend on geographical location (climate, exposure
to industrial pollution, exposure to deicing agents or proximity to
the ocean).
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Pavement Deterioration Curve PCI = Condition Galehouse et al.,
2006
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Deterioration models How are these levels related to
Performance Goals?
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Example: With four Performance Goals and four Asset Classes,
these are the components of Level of Service (LOS). A description
of condition with respect to different goals Performance Goals
SafetyInfrastructureCongestionEnvironmental Asset Classes Retaining
WallsLOS RW,S LOS RW,I LOS RW,C LOS RW,E SlopesLOS SL,S LOS SL,I
LOS SL,C LOS SL,E EmbankmentsLOS EM,S LOS EM,I LOS EM,C LOS EM,E
SubgradeLOS SB,S LOS SB,I LOS SB,C LOS SB,E Asset Class Performance
Goals Level of Service (LOS) describes condition with respect to
Goals Linking Condition and Performance
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Risk Management Risk(E) = Probability(E) x Consequence(E)
(Vulnerability included here with Consequence) Risk management is
an important part of asset management (AASHTO TAM Guide and ES) MAP
21 reads as follows: IN GENERALA State shall develop a risk-based
asset management plan for the National Highway System to improve or
preserve the condition of the assets and the performance of the
system.
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Challenge Risk is treated as though it is an additional
Performance Measure or Goal (TAMG 5.1.3) as though it were
additional to Safety, Congestion, Reliability, etc. This leaves
open a question (See TAMG 5.4): Risk of what; what event is
failure? This contributes to an imprecise use of the word, and
confusion
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Proposed Solution Explicitly do not consider risk as an
additional Performance Measure or Goal Treat risk as related to
each and every Performance Goal, and whether or not it will be met
(= failure) Safety, Congestion, Reliability, etc. Define Level of
Service (LOS) as also related to the same Performance Goals
Slide 28
Key Point LOS is static at a point in time, whereas Risk is
related to the potential rate of change of LOS LOS is today, what
condition and service is the asset providing through today; it is
not uncertain Risk is tomorrow; all else is the same, but of course
it is uncertain Risk is related to a prediction, a forecast of LOS
change through action or inaction
Slide 29
Risk Sources sources of the event (E) Natural Hazards e.g.
extreme/rare events External Agency Impacts e.g. poor materials or
construction Physical Failure e.g. deterioration Operational Risk
e.g. poor design, operation, or business decision All risks can be
identified in a 3-D matrix: Risk Sources x Assets x Performance
Goals TAM Guide (Section 5.4.1)
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Definition of the Event (E) = failure Slipping below a
condition state a target LOS for a Performance Goal 30
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Risk Cube
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GEOTECHNICAL RISK Performance Goals Risk Source Asset Class
Natural Hazards External Agency Impacts Physical Failure
Operational Risk Safety Subgrade Infrastructure Congestion
Environmental Embankments Slopes Retaining Walls R RW,S,NH R
EM,C,NH R SL,I,NH R RW,I,EAI R RW,E,OR R SB,E,NH R RW,S,NH R
RW,C,PF of ALL Risk Sources on GEOTECHNICAL Assets with respect to
ALL Performance Goals Can be done for GAM Section, Corridor or
entire inventory
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Simplification 64 cells (this example) is too many. MAP-21 has
7 Goals 112 cells Eliminate or categorize secondary contributors
Address Operational Risk and External Agency Impacts differently
through Established business practices Implementation of QC/QA
Plans
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2 Sources are managed separate from GAM Performance Goals Risk
Source Asset Class Natural Hazards External Agency Impacts Physical
Failure Operational Risk Safety Subgrade Infrastructure Congestion
Environmental Embankments Slopes Retaining Walls R RW,S,NH R
EM,C,NH R SL,I,NH R SB,E,NH R RW,S,NH R RW,C,PF
Slide 35
GAM Risks Performance Goals Risk Source Asset Class Natural
Hazards Physical Failure Safety Subgrade Infrastructure Congestion
Environmental Embankments Slopes Retaining Walls R RW,S,NH R
EM,C,NH R SL,I,NH R SB,E,NH R RW,S,NH R RW,C,PF
Natural Hazard Risk Source Performance Goals Natural Hazards
Safety Subgrade Infrastructure Congestion Environmental Embankments
Slopes Retaining Walls R RW,S,NH R EM,C,NH R SL,I,NH R SB,E,NH R
RW,S,NH
Slide 38
GAM Section, Corridor or Inventory LOS Risk Subgrade
Embankments Slopes Retaining Walls Performance Goals TAM Guide
Maturity Achieve minimum LOS before looking at Risk of falling
below it (might already be there)
Slide 39
US 2, Crookston, MN 4 months of monitoring Could more have been
done?
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Risk-Based Asset and Performance Management Cant do all we
would like Need to Optimize Cant do it all at once Need to
Prioritize What do you think?
Slide 41
Conclusions There is an evolution in practice It is
multidisciplinary Decisions are based on performance and risk These
are not new ideas for geotechs but there is lots of
opportunity
