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The National Academies

NCHRP 20-123(04) [Active]

Development of a Risk Management Strategic Plan and a Research Roadmap
[ NCHRP 20-123 (Support for AASHTO Committees and Councils) ]

  Project Data
Funds: $225,000
Staff Responsibility: Sid Mohan
Research Agency: Jacobs Government Services Company
Principal Investigator: Mara Campbell
Effective Date: 7/2/2020
Completion Date: 1/1/2022

BACKGROUND
 
In 2014, the American Association of State Highway and Transportation Officials (AASHTO) Subcommittee on Asset Management (then a joint subcommittee of the Standing Committees on Planning and Highways) established the Transportation Asset Management (TAM) Research Roadmap (http://www.tam-portal.com/roadmap/). In 2016, the current AASHTO Committee on Performance-Based Management, developed its own Transportation Performance Management (TPM) Research Roadmap (https://www.tpm-portal.com/tpm-roadmap/). These roadmaps seek to guide future transportation performance management research efforts in productive directions, responding to identified priorities, gaps, and overlap with other ongoing or proposed efforts.
 
In 2017, the AASHTO Committee on Performance-Based Management (CPBM) developed a strategic plan that included input from the CPBM’s Subcommittee on Risk Management. In 2018, the CPBM developed a 2-year action plan that identified specific tasks the committee and subcommittees would undertake to support the strategic plan. In addition, the Transportation Research Board (TRB) Asset Management Committee (ABC40), in partnership with other TRB committees, has started a joint Subcommittee on Risk Management. Finally, the Federal Highway Administration (FHWA) has adopted a new strategic plan that includes efforts to implement the new federal performance management provisions, which include the requirement that state departments of transportation (DOTs) develop risk-based asset management plans.
 
Given all of the work taking place on developing strategic plans and action plans, the AASHTO CPBM Subcommittee on Risk Management proposes to host a strategic planning session to include appropriate members of state DOTs, AASHTO committees and councils, TRB committees, and FHWA, and develop a strategic approach and action plan to better align all of the risk management activities that will be taking place over the next 5 years.
 
There is a current need to further update both the TAM and TPM Research Roadmaps to address risk management projects and/or develop a stand-alone risk management research roadmap, as the practice of risk management is still new and emerging in most state DOTs. Additionally, the publication of the AASHTO Guide for Enterprise Risk Management and its implementation efforts have created a need to better understand, implement, and utilize risk management in state DOTs.
 
OBJECTIVES
 
NCHRP has contracted a consultant to lead this research effort to (a) develop a comprehensive strategic approach and action plan to coordinate the risk management activities that AASHTO committees and councils, TRB committees, and FHWA can use to guide their future activities, and (b) develop a long-term risk management Research Roadmap that will guide future research and development activities to be undertaken by the transportation industry in a coordinated fashion. The products developed through the above objectives, while relevant for other groups and organizations, will be managed by the AASHTO CPBM Subcommittee on Risk Management.
  
Objective (a) - Develop a comprehensive strategic approach and action plan to coordinate the risk management activities that AASHTO committees and councils, TRB committees, and FHWA can use to guide their future activities.
  1. Review existing activities and resources of the appropriate AASHTO committees and councils and TRB committees, including current strategic plans, ongoing research, and recently completed research.
  2. Conduct a kick-off teleconference with the strategic leadership of the Subcommittee on Risk Management and other appropriate committees and councils to plan the strategic planning workshop activities.
  3. Conduct a practitioner survey of risk management practitioners (from AASHTO committees and councils, and TRB committees), FHWA, and the private sector to identify important issues and concerns related to risk management.
  4. Hold a strategic planning workshop with key risk management practitioners (from AASHTO committees and councils, and TRB committees), and FHWA.
  5. Develop a comprehensive strategic approach and action plan related to risk management based on the results from above.
  6. Incorporate comments from the project panel, selected members of AASHTO committees and councils, and TRB committees, and deliver final product.
Objective (b) - Develop a long-term risk management Research Roadmap that will guide future research and development activities to be undertaken by the transportation industry in a coordinated fashion.
  1. Develop a strategy for conducting the research review that will produce a focused, structured view of the research landscape for use by practitioners and that will support the identification of risk management research gaps and priorities for the roadmap. Anticipated sources include but are not limited to peer-reviewed research, the Transportation Research Information Database (TRID), Research in Progress Database (RIP), TRB Snap Searches on relevant topics, and FHWA publications.
  2. Conduct at least one in-person event, involving AASHTO committees and subcommittees as appropriate (e.g., asset management, risk management, organizational management, etc.), the TRB Joint Subcommittee on Risk Management, NCHRP, FHWA, and AASHTO representatives. The in-person engagement event is anticipated to be held adjacent to independently scheduled meetings of one or more AASHTO councils or committees. The contractor will not be responsible for the travel costs of participants. Prior to the engagement event, the project team will submit a detailed plan for the engagement event to NCHRP for review and approval prior to initiating the outreach effort. The plan should describe content, facilitation, advance materials, and intended participants for the event.
  3. Conduct an assessment of high-priority gaps in current research for inclusion in the research roadmap. Gaps may address emerging topics or describe research that will extend, augment, or update previously studied topics and important, older studies. A detailed plan for conducting the gap assessment will be submitted to NCHRP for review and approval prior to initiating the gap assessment effort.
  4. Develop a collection of potential risk management research products through 2025. This will include the drafting of initial research problem statements associated with the research ideas.
  5. Convene a group of at least 20 key risk management stakeholders and host a one-day workshop to gather feedback on the risk management research roadmap. The workshop will include participants from the strategic planning workshop listed under Objective (a), and will have the participants work on and edit the research problem statements.
  6. Prepare a final report on how to incorporate the risk management projects into the existing TAM and TPM research roadmaps, develop a stand-alone Risk Management Research Roadmap, and/or a combination of the two. Anticipated final deliverables include at least six well-defined and carefully crafted problem statements that address high-priority research gaps identified during the project.  

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