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CHAPTER 3
Risk Management Implementation
As illustrated by the various case study examples presented successes in steering the culture away from a worst-first men-
throughout this primer, each agency’s approach to risk man- tality to two things: (1) obtaining buy-in from top management
agement for resource allocation is specific to its unique needs (in this case, GDOT’s Chief Engineer/Deputy Commission),
and applications. Likewise, each agency will face different and (2) creating a sense of ownership among its technical ranks
challenges for continued implementation and refinement over by asking the agency’s pavement, bridge, and maintenance
time. In the context of their unique programs, this section experts to provide details for the new process.
summarizes each DOT’s risk management implementation Looking ahead, GDOT also plans to focus on two areas that
considerations and next steps. will further the implementation of its asset management and
risk management efforts. The first is to develop an approach
for informing the allocation of funds across program areas
3.1 GDOT Pavement and (e.g., pavement versus bridge versus roadway expansion)
Bridge Preservation through tradeoff analysis. The second is to develop data gov-
Risk Assessment ernance standards for its condition and performance data.
For example, identify each data element required to calculate
From a technical perspective, GDOT is testing the pavement
each metric, and then, for each element, determine a standard
risk factors to ensure their overall validity. It also is evaluat-
definition, a data owner, a QA/QC process, a data storage pro-
ing the potential for enhancing the process for application to
tocol, etc. This work will set the stage for a central repository
its Interstate Highway System. The bridge risk factors were
that provides GDOT staff with ready access to timely and
incorporated into GDOT’s latest programming cycle. In both
quality performance data.
cases, the intent of the resulting priority scores (which combine
condition with risk) is to serve as one input into the decision-
making process. They are combined with other factors such
3.2 Mn/DOT’s Bridge Programming
as legislative requirements for the equitable distribution of
Risk Assessment
funds, proximity to other planned projects, and engineering
Risk assessment and management is being implemented at
judgment. The intent of GDOT’s asset management (and risk
Mn/DOT due to leadership from the commissioner, who has
management) program is to inform—rather than dictate—
hired a risk expert to incorporate these principles into the
resource allocation decisions.
agency’s overall decision-making process. It is expected that
From an institutional perspective, GDOT is working to
this assessment will be used to inform decisions about project
address the paradigm shift of moving from a worst-first to a
selection. The exact process of incorporating the new risk
most-at-risk approach. For example, it is likely that a risk-based
model with the existing Mn/DOT Decision Matrix for prior-
approach will lead to GDOT letting certain low-risk assets
itizing projects still must be determined.
deteriorate to a point that is lower than would have been
Agencywide, risk management implementation is going to
tolerated under a worst-first approach. This, in turn, may lead
be an organic process to ensure risk practices are used where
to GDOT lowering its overall condition targets, which would be
valuable and scalable. Although the vision is to successfully
significant internally because GDOT historically prides itself
integrate risk management throughout Mn/DOT, imple-
on the overall condition of its assets relative to other agencies
mentation has been mindful of both need and demand for
throughout the United States. GDOT attributes its early
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the service from internal customers. One tool for this is the approach and move away from a “one design fits all” approach
to bridge reconstruction. In particular, WSDOT hopes to
Mn/DOT Risk Management Workshop. These workshops
develop a risk assessment procedure that considers tradeoffs
have increased the department’s ability to move forward with
between different program areas and that incorporates flexi-
difficult projects, program goals, decisions, and initiatives.
bility in design standards.
In just under 2 years, over 40 diverse risk management work-
shops have helped generate cooperation and communication
for a variety of topics and decisions.
3.5 Caltrans’ Bridge Seismic Safety
Retrofit Program
3.3 TxDOT’s Statewide Freight As the program comes to a close and after evaluating the
Resiliency Plan
program in retrospect, Caltrans identified several lessons
learned from the program with implications for next steps.
Considering the complexity involved in developing a
resiliency plan, TxDOT is proceeding with a three-staged
• The mandate resulted in a funding priority for the program
approach to risk management, as shown in Figure 1.3.1. The
SFR Plan completed in February 2011 focused on Stage 1, an over other programs; a tighter financial constraint could
assessment of the freight system’s preparedness from the per- have resulted in a different overall process, prioritization
spective of TxDOT as the managing organization. The results scheme, or set of mitigation strategies.
• Retrofitting as part of the program was exempt from the
of the Stage 1 plan indicate that the overall freight transporta-
tion system in Texas is prepared for an event, but there are state environmental impact report (EIR) requirements in
physical and institutional improvements that could provide order to expedite the process. In some cases, replacement
higher levels of resiliency. As a result, TxDOT’s Transportation may have been a cheaper construction alternative but was not
Planning and Programming Division could use the SFR Plan selected since it would have been subject to the more time-
to inform the planning process and to advocate for additional consuming and costly EIR requirements.
• The availability of additional data for the bridges that were
funding for freight-related improvements in the state. Assessing
the robustness and resiliency of the freight network informs screened for potential seismic vulnerabilities would have
decisionmakers by providing a risk-based assessment of the reduced the up-front analysis time and cost for the retrofit
state’s transportation needs. program. Caltrans is currently working to expand its bridge
In the stages to follow, Stage 2 will focus on communication database.
• Some retrofit projects were incorporated into widening or
and plan implementation during response to an actual event
and its recovery. Stage 3 incorporates a continuous feedback other highway improvement projects. This often increased
loop to update the plan on a regular basis to keep it relevant efficiency, but sometimes made the project subject to EIR
and effective over time. requirements.
3.4 Washington State’s Bridge 3.6 Summary of Common Themes
Retrofit Risk Assessment
Taken collectively, the experiences at the five agencies
WSDOT’s approach for programming bridge retrofits described above help to illustrate a number of common themes
and reconstruction is still in its nascent stages, and has yet to related to the development and implementation of a risk
be specifically defined. Looking ahead, WSDOT hopes to use management process. These include
research from this and other studies to further develop its
• When developing a risk management process, there is a need
to work closely with, and gather input from, all involved
parties within the agency (e.g., bridge engineers, the asset
management group) and/or external to the agency (system
users, peer reviewers, etc.);
• Agencies have, or desire to, fit risk assessment and man-
agement within existing performance-based planning and
programming processes, with the culmination of the process
Source: TranSystems.
being a factor or adjustment to existing prioritization scores
Figure 1.3.1. Texas SFR plan stages. and therefore influencing the programming process;
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• Agencies want to evolve into performing tradeoffs between impact on the entire system (other through a systems-level
different assets within their risk management process, but view of the consequences of a risk occurring); and
• Although the risk management approaches reviewed for this
this has not yet been implemented among the interviewed
agencies; study all align generally with the generic risk management
• During the risk management process, it is important to process described in this primer, the details vary signifi-
consider both the individual facility (often through asset- cantly based on the individual needs of the implementing
specific estimates of the likelihood of a risk) and its potential agency.
