Implementation of the AASHTO Guide for Enterprise Risk Management (2022)

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169   UDOT Documents and Tools A P P E N D I X B

170 Implementation of the AASHTO Guide for Enterprise Risk Management Enterprise Wide Risk M anagement Policy U DOT 0 3 -0 5 Effective: August 4, 2017 Purpose Utah Department of Transportation (Department) enterprise-wide risk management provides proper support to fulfill strategic objectives and improves decision-making through thoughtful analysis of transportation related challenges. An effective risk management strategy optimizes costs, preserves reputation, and strengthens desired outcomes. It also reduces the potential for fraud, waste, and abuse of agency assets, funds, and resources. Statutory Reference Utah Code 63I-5-401(f) Policy The Department’s enterprise wide risk management process will: • Support the achievement of strategic goals and performance measures. • Provide greater clarity and transparency to the public for the Department’s decision-making process. • Encourage thoughtful analysis by key decision makers in the organization when prioritizing funds, personnel, and resources to key projects and activities. • Improve allocation and prioritization of resources by weighing risks with potential rewards. • Reduce the chance of harm to the public and the public’s interest. All employees are expected to understand the potential dangers, risks, and vulnerabilities of their respective positions. Each division shall assign risk owners for the following risk types: Strategic Risks – Risks that affect the entire department and hinder the achievement of major priorities and goals. These risks will be managed under the oversight and delegation from the Executive Director’s Office and the Transportation Commission. Program Risks – Risks that affect major programs including safety, pavements, bridges, maintenance, information technology, local programs, project delivery, finances, human resource management, asset management, structures and maintenance planning. These risks will be monitored by division and region leaders. UDOT Risk Policy: is is the 2017 policy directive establishing UDOT’s ERM program.

UDOT Documents and Tools 171   Proj ect Risks – Risks that affect cost, scope, schedule, quality, and impact of construction projects. Division and region leaders will assign risk owners based on project type, experience of the owner, needs of the Department, and availability of resources. These risks are monitored by division leaders but managed by individuals assigned as risk owners within the project level. Activity Risks – Risks that affect major ongoing activities from a “ground” level. These may include everyday office risks, activities undertaken by general staff to perform their functions. Division and region leaders will coordinate with project managers, supervisors, and other personnel to identify and manage these risks as needed. Department Responsibility 1. Department leadership will complete an annual risk assessment to include risk types, mitigation strategies, designated risk owners, and risk ratings. 2. Division and Region Directors will coordinate their risk assessment results with the Internal Audit Division (Internal Audit). 3. Internal Audit will provide a master copy of the risk assessment completed by Department leadership to the Executive Director’s Office for review. 4. The Executive Director’s Office will approve the Department risk assessment and oversee the governance of risk management for the agency. I nternal Audit Responsibility 1. The Executive Director, with counsel from the Audit Advisory Team, will propose an audit schedule from the risk assessment in accordance with Utah Code 63I-5-401(f). The Transportation Commission will prioritize the final schedule. 2. Internal Audit will address all audit reports to the Executive Director’s Office and to the Audit Advisory Team. 3. Internal Audit will provide, as needed, risk based audit reports to the Transportation Commission, the State Auditor’s Office, the Office of Legislative Auditors, and the Governor’s Office of Management and Budget.

172 Implementation of the AASHTO Guide for Enterprise Risk Management UDOT Hiring Supervisor’s Toolkit: is document summarizes the steps and practices that UDOT hiring managers are to follow when recruiting, interviewing, hiring, and orienting new employees. 1 S upervisors Hiring T oolk it Follow the HR Hiring Process W ork ing w ith your HR Analyst - When you have a vacancy to fill, you will work with your region’s HR Analyst to write a job announcement and post the opening. There are some specific DHRM rules for recruitment and hiring, so your HR analyst will help you follow the steps to make sure you recruit and hire the best candidate for your team. Job announcements and posting Role of th e Hiring Manager - As the supervisor, you will have the role of hiring manager for the purpose of the recruitment process. Since this is a position you supervise, your understanding of the job duties and responsibilities is essential in making sure that the job description matches the actual job. When you have a vacancy, you can ask the HR analyst to provide you with the current DHRM job description for that position. Review the job description, including the requirements, minimum qualifications, and preferred qualifications. You should edit the job description as necessary so that it matches the job you intend to fill. This is the first example of the job expectations you can deliver to your new employee, and also helps the candidate better understand what the job entails. The HR analyst will prepare a final version of the job announcement for you to review. Once you approve the final version, the HR analyst will post the job announcement to the Government Jobs site used by DHRM. If you have other suggestions regarding where to post the announcement, please tell the HR analyst. Some possible places include social media channels, industry and trade associations sites, and school announcement boards. Reviewing applications - selecting candidates for interviews S electing candidates f or interview - After the announcement period closes, the HR analyst will review the submitted applications and conduct an initial screening for minimum qualifications. You can let the HR analyst know what is important and what level of filtering you want them to do. Once the HR analyst has screened the candidates based on your criteria, they will provide you with a list of qualified candidates, along with a packet containing the application materials submitted by the candidates. You can review the applications and select the candidates you want to invite for an interview. Select your candidates you want to interview. Ideally, you would have a small group

UDOT Documents and Tools 173   2 ( 5 -10 people) to invite for interviews. I nterview panel - As the hiring manager, you will be responsible for creating a hiring panel. The panel should include three or more people who are experienced with the position you are filling. C onsider the diversity of the panel with a mix of men/ women and ethnic and age members. The panelist should help you with asking questions and learning about the candidate’s qualifications. Important - every member of the panel must be present at every interview. If a panel member cannot attend, you must reschedule the interview. Select people who can attend every interview and who’s work schedule allows their participation in the entire interview process. Contacting candidates - C oordinate blocks of available dates and times with your interview panel. To schedule interviews, call the candidates to arrange a date and time. Don’t rely on email or text messaging for contact. Provide the candidate with the exact date, time, building address, room location for the interview. E mail the appointment information to confirm you have provided both verbal and written notification. If you want the candidate to bring anything to the interview, such as work examples, specify that in your communication. Preparing I nterview q uestions - Prepare a set of interview questions you will ask every candidate. DHRM rules require that you conduct a consistent interview process for every candidate, even if the candidate is an existing employee that you know well. The questions you ask should be related to the skills, experience and behaviors needed to perform the job. Ask questions that will help you distinguish relevant behavior qualities among the candidates. Don’t ask questions that would result in a candidate talking about their age, race, gender, national origin, religion, disability, marital/ family status, sexual orientation, or gender identity - the Deadly Interview Areas. The HR analyst can help you prepare questions and can review your questions to make sure your list avoids any issues with protected classes and employment law violations. Finally, you should talk with the panel members about what is important to you in hiring. Make sure you are all on the same page regarding the qualities you value. Decide a selection process that will rely on either a score or a rank system. You can use either approach. Interviewing C andidates Conducting th e interview - B efore the first interview, the panel members should prepare so that the interview goes smoothly and stays on time. Turn off phones/ laptops and other distractions. Have prepared questions ready for each member along with paper for making notes. Remember that all notes will be collected and submitted to the

174 Implementation of the AASHTO Guide for Enterprise Risk Management 3 HR Analyst and the end of the hiring process. Make sure your notes are professional as they become a public record of the interview. S tarting th e interview - Welcome the candidate and provide an explanation of how the interview will be conducted. You can do brief introductions, but most relevant information will be shared in the responses to questions. If a candidate shares personal information that could fall in the Deadly Interview Area, stop the candidate and bring the discussion back to relevant work-related responses. All candidates should be asked the same questions. Follow-up questions are allowed if they relate to job qualifications. C onclude the interview with information about the next step in the decision-making process. S election and ref erence ch eck s - Once your panel has made a decision about the top candidates, complete your ranking or scoring sheets and collect all materials. The interview notes and any other information should be given to the HR analyst. It is recommended that you contact people on the candidate’s list of references. References provide you with another view of the candidate and their qualifications. However, be aware that a current employer’s reference might not provide reliable information, depending upon the candidate’s current standing and reason for seeking new employment. A previous employer may provide more reliable information. Once you have made a final decision, notify the HR analyst of your selection decision so they can contact the candidate and begin the background check process. The HR analyst will also begin the formal job offer steps that begins the Onboarding process. Onboarding a N ew Hire As a supervisor you are the most important part of a new employee' s experience. Their relationship with you is one of the determining factors in job satisfaction, and begins building with your initial interaction. To facilitate the new employee/ employer relationship, and the employee' s integration into U DOT, a N ew Hire Welcome and Safety Training has been developed. B efore the N ew Hire' s First Day A new hire' s first few days will be spent at the C alvin Rampton C omplex in Taylorsville. The first day consists of an introduction to U DOT' s policies, procedures, benefits, and a welcome from the executive director. The second and third days will be focused on safety training and developing an understanding of U DOT' s safety culture. Managers need to complete th e f ollow ing steps bef ore a new employee is able to attend training:

UDOT Documents and Tools 175   4 S tep 1 . New Employee Orientation and Safety Training is held every other week on the first Monday of the pay period. Extend a personal welcome to your new hire. Offer acceptances must be completed before 5 p.m. on the Wednesday before New Employee Orientation and Safety Training. S tep 2 . Make sure your new employee completes Tour 1 and Tour 2 onboarding. The Department of Human Resource Management (DHRM) will send this information directly to the employee's email address used to apply for the position. S tep 3 . Request a Fuel Pin and Operator ID for your new employee by completing the form below. If you don't have their Employee ID, please reach out to your HR analyst who can provide this information. F uel Pin F orm - https://www.udot.utah.gov/main/uconowner.gf?n=33876226250623022 S tep 4 . (Only f or employees traveling more th an 5 0 miles one- w ay f rom eith er th eir h ome or w ork place) Assist the employee with necessary travel arrangements. Employees traveling more than 50 miles to attend training will need to plan to stay in the Salt Lake area for two nights. If the new hire will require accommodations please complete the Travel Fund Issuance Request form. S tep 5 . Remind your employee that they will need to bring their valid ID and documentation to complete an I9, Employment and Eligibility Verification form. A list of documents that may be used is available on the U.S. Citizenship and Immigration Services website. Employees who do not bring this information will be sent home. The New Employee’s First Day Reporting to their Workstation Schedule, Job Duties, and Expectations A new hire’s first thirty days on the job can set the tone for their entire work experience. UDOT is committed to making every employee’s experience a positive one and encourages supervisors to improve employee engagement and retention by doing the following: ● Ask the supervisor to assign an “ambassador”/mentor willing to assist with the new employee.(coworker buddy)

176 Implementation of the AASHTO Guide for Enterprise Risk Management 5 ● Have the “ambassador” introduce new employees to the rest of the team and relative departments. ● Clarify your new hire's schedule. ● Show them their personal work space. ● Review their job description, outline of duties, and expectations. ● Explain how their job fits in the department and how they will contribute to the unit/organization. ● Allow them time to complete the required online training assigned to them through the UDOT Learning Portal. ● Develop a performance plan using the Utah Performance Management system. ● Serve as a mentor or assign the new hire to a team member who can help train them throughout their first thirty days. ● Provide follow up before the 30 day mark about retirement and health insurance along with contacts. Have Purposeful Conversations:  Set up a meeting with your employee to discuss job expectations.  Answer questions that they may have.  Discuss fiscal responsibility and purchasing card expectations.  Discuss your preferences and expectations for routine check-ins/ status updates.  Ask them about their top 5 strengths.  Set clear expectations and begin to develop goals. Job Requirements Each region and location has their own unique process for setting up access to the facility for the new employee. If you aren’t sure what’s needed for them to gain entry, please contact your building management. As a supervisor, it's your responsibility to make sure the new hire has the following: ● Employee identification number. ● Employee key(s) and building access card. ● Access to the appropriate payroll system and an understanding of how to use it.

UDOT Documents and Tools 177   6 ( Refer to available resources and training - https: / / dhrm.utah.gov/ payroll) . ● Information on how to use state vehicles, how to check out vehicles, obtain an operator ID, make a fuel pin request, and etc. Technology Access As a supervisor, it’s your responsibility to make sure your new hire has all the necessary tools to be successful in their new position at U DOT. This may require reaching out to the Department of Technology Services ( DTS - https: / / dts.utah.gov/ ) . If you haven’t already arranged for the necessary technology, be sure your new employee has: ● Access to a computer, email, and voicemail ● Phone ● V ehicle ● U PL AN ● iPeMS ● N umetric ● Workflow Manager ● PDB S ● ProjectWise ● E mail on Personal Phone ● O: / drives etc ● SignC AD ● U TA Pass ● Masterworks ● Make sure they have the software programs they will need, system and network usernames and passwords, etc. ● Give a list of contacts that the new hire will need to perform job duties.

178 Implementation of the AASHTO Guide for Enterprise Risk Management UDOT Supervisor Hiring Checklist: is is an abbreviated form of the Hiring Supervisor’s Toolkit that enumerates the steps to recruit, interview, hire, and orient new employees. Hiring Phase: Announcement and interviews ❏ Request approval to hire ❏ Contact HR Analyst to begin recruitment process ❏ Write title of job – job working title ❏ Draft new description (if needed for job accuracy) ❏ Review and approve nal announcement ❏ Review qualied applicant list (list provided by HR) Interviews ❏ Decide applicant list to invite for interviews ❏ Form interview panel ❏ Contact candidates for interview appointments ❏ Review candidate applications ❏ Review interview process (HR guidance for Interviews) ❏ Determine question list ❏ Conduct interviews ❏ Conduct second interviews, if necessary ❏ Collect all interview materials/scoring sheets, send to HR Job Oer ❏ Select candidate(s) ❏ Call references ❏ Notify HR Analyst of nal candidate selection Onboarding Phase: New Employee Welcome and Safety Training - First three days ❏ Call new employee - extend welcome, explain New Employee Welcome (NEO), encourage completion of HR Onboarding Tours1 & 2, remind them of required ID documents, provide instructions for Day 4 ❏ If employee will be traveling and staying overnight in SLC, complete the Travel Fund Issuance Request form and arrange for Salt Lake hotel stay. ❏ Prepare for Day 4 (onsite welcome, workspace, access, etc.) ❏ Complete form for Fuel PIN and Operator ID ❏ Complete Building Door access key, if required for location Supervisor/Hiring Manager Check List a act onbo a lop o Recruit Top Talent Pick the Stars Let them know they made the right choice Build strength and purpose Set Clear Expectations Coach Career Growth Opportunities Encourage Career Options a act onbo a lop o Recruit Top Talent Pick the Stars Let them know they made the right choice Build strength and purpose Set Clear Expectations Coach Career Growth Opportunities Encourage Career Options a act onbo a lop o Recruit Top Talent Pick the Stars Let them know they made the right choice Build strength and purpose Set Clear Expectations Coach Career Growth Opportunities Encourage Career Options a act onbo a lop o Recruit Top Talent Pick the Stars Let them know they made the right choice Build strength and purpose Set Clear Expectations Coach Career Growth Opportunities Encourage Career Options

UDOT Documents and Tools 179   Day 4 - First day at worksite ❏ Show employee work location/work space/tour facility ❏ Provide equipment, clothing, tools, computer, telephone, door access ❏ Introduction to team and others ❏ Plan the work schedule ❏ Discuss work expectations and duties, answer questions ❏ Assure employee can access payroll system and can enter time Probation Period Phase: First 30 days ❏ Create Probation Period performance plan with employee in UPM ❏ Create and Review Learning Plan with employee ❏ Remind employee of deadline for retirement and healthcare plan selection ❏ Discuss top ve Strengths, develop goals First 60 days ❏ Review Employee Performance Plan - Hold coaching meeting First 90 days ❏ Review Employee Performance Plan - Hold coaching meeting Half year review ❏ Review Employee Performance Plan - Hold coaching meeting ❏ Make decision about retention 1 Year /End of Probation period ❏ Review Employee Performance Plan - Hold coaching meeting a act onbo a lop o Recruit Top Talent Pick the Stars Let them know they made the right choice Build strength and purpose Set Clear Expectations Coach Career Growth Opportunities Encourage Career Options a act onbo a lop o Recruit Top Talent Pick the Stars Let them know they made the right choice Build strength and purpose Set Clear Expectations Coach Career Growth Opportunities Encourage Career Options a act onbo a lop o Recruit Top Talent Pick the Stars Let them know they made the right choice Build strength and purpose Set Clear Expectations Coach Career Growth Opportunitie Encourage Career Options a act onbo a lop o Recruit Top Talent Pick the Stars Let them know they made the right choice Build strength and purpose Set Clear Expectations Coach Career Growth Opportunities Encourage Career Options Supervisor/Hiring Manager Check List

180 Implementation of the AASHTO Guide for Enterprise Risk Management 1 New Employee T oolk it B efore Your First Day Once you have accepted U DOT' s offer, there are a few items that need to be com- pleted before your first day. Your first few days will be spent at the C alvin Rampton C omplex in Salt L ake C ity for the N ew Hire Welcome and Safety Training. The follow- ing steps will need to be completed before you may attend training. S tep 1 . C omplete Tour 1 and Tour 2 onboarding. This information will be sent by the Department of Human Resource Management ( DHRM) to the email address you used to apply for the position. S tep 2 . Gather the documentation that will be required to complete an I9 , E mploy- ment and E ligibility V erification form. A list of documents that may be used is availa- ble on the U .S. C itiz enship and Immigration Services website, or the entire form is available on DHRM' s website. N ew hires must bring this information to the first day of N ew E mployee Orientation. ● Acceptable Documents - You will need one from L ist A or one from L ist B and L ist C . ● DHRM Website I9 Form - The acceptable document list is found on the last page of the PDF document. S tep 3 . L ocate your social security card and bring it to Welcome and Safety Training along with the documents mentioned above. Your social security card is required for payroll purposes and without it you will not be paid. S tep 4 . If you live more than 5 0 miles from the Salt L ake V alley, plan on being away from home for two nights. Your supervisor, or administrative staff, will help with the re- quired documents and reservations. A travel reimbursement will be issued after the training is complete. If you qualify, a travel advance may be provided. N ew E mployee Orientation Reporting to your Assigned W ork station UDOT New Employee Hiring Checklist: is document outlines the steps that a newly hired UDOT employee should expect and follow during the rst week on the job.

UDOT Documents and Tools 181   2 Following New Employee Orientation, you will report to your assigned work location and your job specific training will begin. Partner with your supervisor/manager to identify your initial duties; the purpose of your work; how it fits into UDOT's overarch- ing vision, mission and goals; and how you can begin making immediate contribu- tions. Schedule, Job Duties, and Expectations  Clarify your first week’s schedule, and confirm required and recommended train- ing.  Set up your personal work space.  Ask your manager for an overview of the functional area – its purpose, organiza- tional structure, and goals. The executive level organization chart and a map showing region boundaries, state routes and mileposts are available below.  Review your job description, outline of duties, and expectations. Ask how your job fits in the department, and how your job and department contribute to the unit/organization.  Review hours of work. Ask questions about policies and procedures for overtime, use of vacation and sick time, holidays, as well as any flexible work policies or procedures.  Ask any other questions on benefits, important deadlines, etc.  Take advantage of training opportunities, necessary certification offerings and complete required training.  Work with your supervisor to develop a performance plan using the Utah Perfor- mance Management system.  Develop an ongoing list of questions to ask your supervisor/co-worker/men- tor/ambassador. Socialization ● Be prepared to meet co-workers on the first day. ● Introduce yourself to others in the workplace. Work Environment Ask your manager about: ● Employee identification number. ● Employee key(s) and building access card. ● Using state vehicles, how to check out vehicles, pin numbers for gas card, etc. ● Department-specific safety and emergency information.

182 Implementation of the AASHTO Guide for Enterprise Risk Management 3 ● Taking a tour of the entire office or other UDO T locations. ● H ow to get additional supplies, business cards, etc. T ech nology Access and Related ● Set up your computer, email, and voicemail. ● Phone stipend. Sign the adobe form. ● Assure that you have the software programs you will need, system and network usernames and passwords, etc.

UDOT Documents and Tools 183   UDOT Employee Performance Workshop Presentation: is is the training presentation developed by UDOT to present to hiring managers on improving employee performance. G round Rules and Ex pectations Participate ▪ Add to discussions ▪ P articipate in group activities Create an Environment of Learning ▪ R espect others ▪ Speak one at a time ▪ Give/receive feedback Adh ere to HR standards ▪ Shield employee names ▪ Avoid situations under HR review

184 Implementation of the AASHTO Guide for Enterprise Risk Management Program Overview G etting to K now Y our Leadership S tyle How you show up as a leader and harness the power of trust to get results. G etting to K now Y our Team How to get daily and yearly results in your area of responsibility. S etting Employee Performance on the right path How to create the best opportunity for success. Employee P erformance Discussions Learning Objectives Today, you’ll learn how to: ▪ Lead yourself in such a way as to inspire trust and build relationships with others. ▪ Lead others based on tailored strategies that engage, motivate, and get results. ▪ Lead individuals and teams through the necessary changes to grow, evolve, and succeed as an organization. ▪ Create Employee Performance Conversations that guide or inform workplace behavior and job results.

UDOT Documents and Tools 185   ■ Discuss what it means to be intentional about the way you lead and who you are as a leader. ■ Discuss how leadership styles impact and influence relations that contribute to your role as a leader. ■ Explain how different strengths and ways of working might affect their ability to successfully lead and work with others. ■ Describe the DHRM Employee Performance expectations. ■ Create and document an employee performance plan for new hires. ■ Create and document annual employee performance plans, ■ Create and document performance improvement plans, prepare for discipline if needed. ■ Plan for employee performance discussions to achieve the best possible outcome. Name | Basic Job Role | What is the Role of a Supervisor? Introductions

186 Implementation of the AASHTO Guide for Enterprise Risk Management The Big Picture of Employee Performance 3 1 2 4 Select the Person ▪ Select for TALENT ▪ Do not select simply for experience, intelligence, or determination et Expectations ▪ Define the right OUTCOMES ▪ Not the right steps Develop the Person ▪ Find the RIGHT FIT ▪ Not simply the next rung on the ladder Motivate the Person ▪ Focus on STRENGTHS ▪ Not on weaknesses

UDOT Documents and Tools 187   Employee Performance Tool Kit Resources

188 Implementation of the AASHTO Guide for Enterprise Risk Management 1. er ormance lans and E aluations need to e completed in 2. Each career ser ice employee must ha e an annual per ormance plan ith rele ant goals o ecti es 3. Super isors must gi e regular ri en and er al eed ac to employees ased on the per ormance and eha ioral expectations ound in their plan 4. Each fiscal year an employee must recei e a per ormance e aluation 5. Employees ha e a right to include ri en comments pertaining to their per ormance 6. ro ationary employees shall recei e a per ormance e aluation at the end o their pro ationary period DHRM Rule and Requirements D T policy It is the ongoing process o communication between a supervisor and an employee that occurs throughout the year, in support of accomplishing the mission of the agency. What is Employee Performance Management?

UDOT Documents and Tools 189   he Paradigm hi rom raditional Management to People uccess Planning Set goals and measures Monitoring Measure performance Provide feedback Conduct progress reviews Developing Address poor performance Recognize good performance Reward Recognize and reward for good performance Performance Management includes:

190 Implementation of the AASHTO Guide for Enterprise Risk Management Recruitment and Hiring Onboarding Regular and constructi e eed ac Super isory notes nnual er ormance lans er ormance Impro ement lans I Disciplinary ction Supervisory Tools: Supervisor’s role is to: ccurate and specific o announcement lternate ays to recruit Reach target audience Interview se eha ior ased uestions Check references Recruitment and Hiring

UDOT Documents and Tools 191   Supervisor’s role is to: • Determine what needs to be done • Delegate the work appropriately • Make sure employees have the required tools and resources to do their job • onitor production and eha ior • Evaluate what was done • Recognize and reward employees for their accomplishments Onboarding Onboarding - Probation Plan 14 days before start First 3 Days - NEO First 30 Days Probation period ends First 60 Days First 90 Days Mid point review

192 Implementation of the AASHTO Guide for Enterprise Risk Management Annual Employee Performance Plan - UPM Esta lish goals and o ecti es Fre uent eed ac and clarification o expectations Document performance Performance Improvement Plans - P I P -

UDOT Documents and Tools 193   nsuccess ul per ormance e aluation Not meeting deadlines set y super isor Timeliness and accuracy pro lems Not ollo ing through omplaints rom others Some eha ioral pro lems Wh at types of issues req uire a PIP? Performance Improvement Discipline Poor Performance Cause Misconduct Behavioral Problems ontinued er ormance Issues Non puniti e Intent uniti e Employee Development Goal Punishment/Modify behavior Generally 90 days Duration May be short term (suspension up to 30 days) Department Head Grievable areer Ser ice Re ie ce Performance Improvement vs. Discipline

194 Implementation of the AASHTO Guide for Enterprise Risk Management Performance Improvement Plan - PIP-- L imited duration R equired Documentation R esolution or escalation Discipline: Action Leads to Action Employee does: ction that iolates policy Supervisor does: all HR Discussion ith employee Document action Determine hat le el o discipline

UDOT Documents and Tools 195   Discipline ri en reprimand Suspension ithout pay up to calendar days per incident usually one to ten days Demotion Dismissal Level of Discipline

196 Implementation of the AASHTO Guide for Enterprise Risk Management Resisting super ision insu ordination Dishonesty Inappropriate eha ior nsa e eha ior Not ollo ing esta lished policies and procedures or place harassment Failing er ormance Impro ement lan Fraud The Ethics iolations Reasons for Discipline onsistent application o rules and standards rior no ledge o rules and standards Se erity o the in raction Repeated nature o the iolations re ious oral arnings discussions re ious ri en arnings Employee s past or record E ect on agency operations otential harm to persons or property HR will ask you:

UDOT Documents and Tools 197   Starting so Employees ho toe the line ill resent you eniency may e interpreted as a ea ness and you can expect employees to test your limits Incomplete research inade uate records Documentation is ery important cting hen angry Disciplining in pu lic eing indicti e e sure the reasons ehind your actions are not ased on personality clashes or personal pre udice e ng someone else do it Pitfalls wh en disciplining Track both outstanding and poor performance. Serve as a memory jogger. Purpose of Supervisor Notes

198 Implementation of the AASHTO Guide for Enterprise Risk Management Be factual e specific e timely oid udgemental language and personal derogatory comments Supervisor Notes Reminders Example: onday pril ohn arri ed at minutes late he didn t se le into his or station until I called him into my o ce at in ormed him that he as late and that he needed to e at his or station ready to or at He said he had a long ee end and as sorry I reminded him that eing on time as important His response as I no you don t ha e to remind me I told him I d e atching or him to impro e Supervisor Notes Ex ercise:

UDOT Documents and Tools 199   Example: Spoke with Sue today about her poor performance. Told her she is always misses deadlines and she does not seem to have a good work ethic. I think she has a lot of personal problems including mental health issues. Employees tell me that she sometimes acts cra y and is hard to deal ith S upervisor N otes Ex ercise: DO Keep Supervisor Notes Communicate frequently Set clear expectations Rely on facts and specific in ormation PI P and D iscipline - D o and D on’t DON’T Share personal in ormation ith others Assume or speculate Pass judgement Do not e indicti e Be consistent

200 Implementation of the AASHTO Guide for Enterprise Risk Management G etting to Know Your Leadersh ip Style GALLUP = old new!

UDOT Documents and Tools 201   GALLUP Guiding Principles These guiding principles ill help in orm coaching con ersations ith managers and teams Themes are neutral Theses are not labels ead with positive intent Differences are advantages People need one another 1. 2. 3. 4. 5. Activity: Name it, Claim it, Aim it!

202 Implementation of the AASHTO Guide for Enterprise Risk Management Explore how your Cli on trengths influence your management style hat are the t o or three most important li onStrengths themes you use in your role hat ma es you a great manager hat parallels can you dra et een those characteri ations and your li onStrengths Ho ould your team characteri e your management style hat aspects o your role do you thin you are good at In hat aspects o your role do you struggle hat are your alues Ho do those alues in uence your management style hat is the iggest challenge you currently ace A Model for Team Success To maximize a team performance, every team members must: Be Connected to a Common Purpose Communicate ith e eryone e ecti ely Collaborate to find the est most e ecti e methods to or together and use the team s resources Celebrate indi idual strengths and team success

UDOT Documents and Tools 203   A ctivity: G etting to know the manager’s needs Understand the Team’s Strengths and Weaknesses What are your team’s strengths? Or: Of all the things your team does well, which two or three does it do best? What are your team’s weaknesses? Or: What frustrates you about your team? Who are your team’s high performers? hat are the t o or three most important li onStrengths themes you use in your role? hat potential lind spots or glare actors should you e a are o

204 Implementation of the AASHTO Guide for Enterprise Risk Management Develop Team Members’ Strengths How do you help your team members develop? Ho do you help your team mem ers find the right tas s o and career path Ho much time do you in est in indi iduali ed coaching and mentoring o team mem ers Ho do you do it Ho do you prepare team mem ers or the uture Ho can you use your dominant themes to help your team mem ers de elop and align their talents to ecome a hero in their role Motivate eam Members hat is your approach to recognition Ho do each o your team mem ers li e to e recogni ed hat actors moti ate each o your team mem ers to gro and achie e more Ho does your team uild on success Ho can you use your dominant talents to find out hat moti ates and engages each o your team mem ers and to indi iduali e your approach to recogni ing them

UDOT Documents and Tools 205   dentify Performance eeds hat are you accounta le or hat does the organi ation expect o you and the outcomes of your work? hat is the most important challenge you currently ace hat are your team s points o pain hat is the most important challenge your team currently aces What does success look like for this challenge? What are some things that might get in your team’s way? What do you see as your team’s greatest challenge in the future? How do you measure team success? Communicating Expectations How do you ensure that team members know what tasks they must perform at work each day? What do you expect of each team member? How do you communicate these expectations to each person How does each team member know whether they are succeeding? Ho can you use your dominant talents to e more intentional a out defining the right outcomes and then allo ing each team mem er to find their o n route hat potential lind spots or glare actors should you e a are o

206 Implementation of the AASHTO Guide for Enterprise Risk Management Activity: G etting to k now th e individual’ s needs Seven Activities for Employee Performance and Team Success 1 uild Relationships 2 Communicate Clearly 3 Create ccountability 4 Develop People 5 nspire thers 6 ead Change 7 hink Critically

UDOT Documents and Tools 207   The Big Picture of Employee Performance 3 1 2 4 Select the Person ▪ Select for TALENT ▪ Do not select simply for experience, intelligence, or ▪ Define the right OUTCOMES ▪ Not the right steps Develop the Person ▪ Find the RIGHT FIT ▪ Not simply the next rung on the ladder ▪ Focus on STRENGTHS ▪ Not on ea nesses

208 Implementation of the AASHTO Guide for Enterprise Risk Management 1. Do I know what is expected of me at work? 2. Do I have the materials and equipment to do my work right? 3. At work, do I have the opportunity to do what I do best every day? 4. In the last se en days ha e I recei ed recognition or praise or doing good work? 5. Does my supervisor, or someone at work, seem to care about me as a person? 6. Is there someone at work who encourages my development? 7. At work, do my opinions seem to count? 8. Does the purpose of my company make me feel like my work is important? 9. re my co or ers commi ed to doing uality or 10. Do I have a best friend at work? 11. In the last six months, have I talked with someone about my progress? 12. t or ha e I had opportunities to learn and gro Employee Discussions to Define Performance Gallup Q 12 Setting Employee Performance on th e Righ t Path

UDOT Documents and Tools 209   Strengths Discovery Discussion Guide Helps employees identi y areas or impro ement Imparts ays to impro e and correct eha ior and or per ormance oost confidence in areas they ha e corrected their eha ior and or per ormance oti ates eha ior change Wh y give feedback ? Types of feedback : Rein orcing eed ac ommends a good o done rges recipient to continue ith per ormance and strengthen it orrecti e eed ac oints out areas o eha ior and or per ormance needing impro ing or modi ying and suggestions on ho to impro e h k ?

210 Implementation of the AASHTO Guide for Enterprise Risk Management P roviding regular, high-quality informal feedback is one of the most important ways to improve employee engagement. Informal feedback that is fair and accurate can improve performance by up to 3 9.1% . Wh y G ive Feedback Feedback Basics Positive eedback Constructive eedback De nition Input to another individual about an e ort ell done Input to another individual a out an e ort that needs to e impro ed ot the same as raise riticism Purpose To rein orce a specific desired eha ior or per ormance To create a areness hen there is a discrepancy et een demonstrated eha ior and expected eha ior

UDOT Documents and Tools 211   Components of Effective Positive Feedback - START S T A R T ituation Timely ction Results hanks Positive Feedback - START ituation Timely ction Results hanks hat as the situation or context in hich you o ser ed the indi idual s positi e eha ior ositi e eed ac should e gi en at the appropriate time description o the positi e eha ior the indi idual demonstrated our sincere personal expression o appreciation o the positi e eha ior or the team mem er s actions hat actually happened as a result o the team mem er s eha ior

212 Implementation of the AASHTO Guide for Enterprise Risk Management Constructive Feedback - CEDAR C Clarify E Explain D Discuss A Agree R Review Constructive Feedback Clarify Explain Discuss Agree Review Clarify the expected behavior or result. Explain the di erence et een the expectation and the current reality. s or the Team em er s point o ie Share input gain insight and discuss challenges and solutions Gain agreement on expectation and reality Set ollo up expectations times and possi le outcomes of a change is not made.

UDOT Documents and Tools 213   Re su lt s o R es po ns i ili tie s S ill s G oa ls Behaviors interpersonal s ills team or and colla oration commitment moti ation tone approach and other defined or implied organi ational alues or competencies On Target On Target Target n Target or Results ser a le eha iors Target or Results eha iors n Target or Results Target eha ior Ne to Role and De eloping Target or Results n Target ser a le eha iors Re su lt s o R es po ns i ili tie s S ill s G oa ls Behaviors interpersonal s ills team or and colla oration commitment moti ation tone approach and other defined or implied organi ational alues or competencies On Target On Target Target n Target or Results ser a le eha iors Target or Results eha iors n Target or Results Target eha ior Target or Results n Target ser a le eha iors An alternative to measuring performance with out using ratings and rank ings U se the Employee P erformance Continuum to quickly surface and differentiate six employee performance types: 1. High performers 2. M id-level performers 3 . New and developing performers 4 . On-target behaviors, but off-target work results performers 5 . On-target work results, but value detracting behavior performers 6 . Off-target work results and value detracting behavior performers

214 Implementation of the AASHTO Guide for Enterprise Risk Management Resources Practice cenarios

UDOT Documents and Tools 215   ou ust o ered a Design Engineer position to a top applicant and the candidate accepted the o Ste e the ne employee ill egin his first day at D T in t o ee s hat do you need to do to prepare or this ne employee Your new Roadway Design engineer, Steve, has completed the Ne Employee rientation at the omplex and has een on the o or a couple o ee s Ste e is has pre ious or experience ut hasn t or ed as part o team li e at those at D T Ste e is generally uiet and seems reluctant to as uestions hat can you do to help Ste e eel engaged and a mem er o your team

216 Implementation of the AASHTO Guide for Enterprise Risk Management New Hire Performance Plan with Steve. What are your understands and agrees to the performance goals. What can you do to get Steve’s best work? How will you check on his progress? Steve has now been on the job for two years, but recently something isn t or ing ou e noticed that Ste e seems to e constantly or ing ut he is late ith minor deadlines and his or product has accuracy and detail pro lems He expresses a lac o illingness to impro e and ac no ledge his mista es hen con ronted he lames the errors on other people hat can you do to address this situation ith Ste e

UDOT Documents and Tools 217   In a new twist, Steve has volunteered for extra projects and work for the team. He has been staying late at night. Yesterday, another employee told you that he sa Ste e carrying multiple laptops a pro ector and sur ey tools to his car a er hours Today the computers and equipment are missing. Another employee says Steve's entries appear to be overcharging for items not in the design specs. What should you do? Disciplinary ction ase Background Fran is a pro ationary employee He is minutes late at least t o days per ee and has recently een missing or or a ariety o reasons ou ha e tal ed to Fran a out the impact his tardiness and a sences ha e on the cre The er al discussion has not impro ed his a endance olution hat options do you ha e in dealing ith the pro lem

218 Implementation of the AASHTO Guide for Enterprise Risk Management Disciplinary ction ase Background arcie has een an Transportation Technician III or fi e years ou recei ed a contractor complaint indicating that arcie had inappropriately touched a male customer nother co or er erified the incident In addition you recei ed a co or er complaint that arcie has een using the Departments loader or personal use olution hat actions should you ta e uestions and Comments

UDOT Documents and Tools 219   UDOT Coaching Your Team Facilitator’s Guide: is is the guidebook UDOT developed for facilitators who lead training on improving employee performance. Coaching Your Team Virtual Class F A C I L I T A T O R ’ S G U I D E ta

220 Implementation of the AASHTO Guide for Enterprise Risk Management 2 Utah Department of Transportation Table of Contents Guide Icons ...........................................................................................................................................................................................5 Facilitator Setup ..................................................................................................................................................................................7 Zoom Setup ...........................................................................................................................................................................................................7 Slides ......................................................................................................................................................................................................................7 Handouts ...............................................................................................................................................................................................................7 Introduction ..........................................................................................................................................................................................9 Objectives ..............................................................................................................................................................................................................9 Introductions ........................................................................................................................................................................................................11 Check Prerequisites ............................................................................................................................................................................................11 Participation in a Zoom Meeting ....................................................................................................................................................................11 Privacy ...................................................................................................................................................................................................................17 Coaching Conversation Model ..........................................................................................................................................................19 Listen ......................................................................................................................................................................................................................19 Learn ......................................................................................................................................................................................................................23 Lead ........................................................................................................................................................................................................................23 Measuring Engagement ....................................................................................................................................................................................25 Coaching Tools .....................................................................................................................................................................................29 Name, Claim, and Aim .......................................................................................................................................................................................31 Specific Tools .......................................................................................................................................................................................................31 Name, Claim, Aim Activity ...............................................................................................................................................................39 Employee’s Perspective.......................................................................................................................................................................41 Scenario #1 ...........................................................................................................................................................................................................41 Scenario #2 ...........................................................................................................................................................................................................41 Employee Perspective Activity .........................................................................................................................................................45 Job Responsibilities ............................................................................................................................................................................49 Alignment .............................................................................................................................................................................................................49 No Alignment.......................................................................................................................................................................................................51 Job Responsibilities Activity - Name it ..........................................................................................................................................53

UDOT Documents and Tools 221   3 Support & Resources ...........................................................................................................................................................................55 Document & Follow Up ......................................................................................................................................................................59 Final Practices......................................................................................................................................................................................61 Scenario #1 ........................................................................................................................................................................................................... 3 Scenario #2 ........................................................................................................................................................................................................... 3 Scenario #3 ........................................................................................................................................................................................................... 5 Scenario #4 ........................................................................................................................................................................................................... 7 Summary & Conclusion ......................................................................................................................................................................69

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UDOT Documents and Tools 223   5 uide Icons Deliver Time Discussion Flip chart Practice Preparation Video Resources Handout FYI Guide Icons The follo ing icons ill help you identify the types of facilitation utili ed.

224 Implementation of the AASHTO Guide for Enterprise Risk Management 6 Utah Department of Transportation Traine r Tip Open t he Ala rm & C lock a pplicat ion th rough your S tart m enu. C hange it to T imer. Y ou can cl ick the time t o chan ge the countd own amoun t and then c lick th e Play symb ol to start. After startin g, you can m aximiz e it to share w ith par ticipan ts for break times. You c an also u se it y ourself for br eakout sessio ns. Coaching Your Team Virtual Class P A R T I C I P A N T ’ S G U I D E

UDOT Documents and Tools 225   7 acilitator Setup Facilitator Setup This guide provides e amples of the flo and content. It provides e amples of ho things could be e plained and ho to cover the content. Please DO NOT use this guide as a script. Please take the time to put things into your o n ords hile follo ing the same outline and flo . Zoom Setup Make sure the oom meeting is setup in advance. evie the rosters to get an idea of ho to break up the group into various breakouts. It can be helpful to consider putting people of the same or different departments together at times. It can be easy to randomi e but for some activities, give thought to the best group dynamics here possible. Slides Access the file Coaching our Team.ppt on your computer and have it ready to share hen needed. Handouts Load the follo ing handouts into a oogle Drive older and copy the U L for that folder to share ith the class hen needed. Handouts Needed Coaching your Team P Name it, Claim it, Aim it orksheet Theme Map orksheet Talent Map orksheet Coaching Notes orksheet

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UDOT Documents and Tools 227   9 Introduction Introduction Time: 5 Minutes Thank you all for joining us today. I m your instructor for today s course, Coaching your team . << Start with slides on slide 1 and Introduce yourself>> <<Take a moment to review the agenda for the day, paying attention, and taking breaks.>> e d like to take some time to introduce ourselves but first, e are going to take a quick look at hat e are going to learn in today s session. <<Advance Slide to objectives>> Objectives In Coaching your team, e are going to learn about ho to, Define coaching. E plain the value of coaching. Adopt a coaching mentality during individual strengths conversations. Define UDOT s cultural strength based development approach. E plain the benefits in a strengths based development approach. Identify a team member s top five strengths. Utili e strength based tools during individual coaching conversations. Prepare for individual strength based coaching conversations. Translate the strength into an action people can do. Each of these skills are critical for supervisors, managers, and leaders to use every single day. These can be huge differentiators for a successful and engaged team. Engagement is the primary responsibility for us as leaders. e are looking for ays to engage our team members so they bring their full selves to the job. It means they devote their time and their passion to getting things done and done ell. <<Advance slide to Engagement Numbers>>

228 Implementation of the AASHTO Guide for Enterprise Risk Management 10 Utah Department of Transportation 5 Engagement Engagement

UDOT Documents and Tools 229   11 Introduction If you turn to page 5, you can jot do n these numbers. In the United States, appro imately 31 of employees are currently engaged in their jobs. Today e are going to talk more about hat that means and ho e can influence this number at UDOT. Introductions Ne t, let s take some time to introduce ourselves so e can get to kno ho is in the class ith us. e are going to take turns and I d like each of us to mention a fe things about ourselves. <<Advance Slide to Introductions>> Please let us kno your name, your position and department, and let us kno ho many people you supervise and manage in your team. <<Give participants time to introduce themselves. Ask each participant to choose the next person.>> Check Prerequisites <<Advance slide to Prerequisites>> efore e dive into the material for today, e ant to check in on the pre ork e ere as signed. There are some online modules and activities to complete. The reason for the pre ork is so that e can dive into more substantial discussions and not spend a lot of time in this session covering some of the basic concepts. Is there anyone here ho did not complete the pre ork <<Identify participants who may not have completed all the prework and politely ask them to drop off and register for the next session after they have completed it. If someone has partially completed the prework, it’s an instructor’s decision whether to let them attend based on how much was completed.>> Participation in a Zoom Meeting <<Advance slide to zoom environment.>>

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UDOT Documents and Tools 231   13 Introduction Ne t e d like to introduce you to the room e are using. It s an online Zoom meeting and e have some tools and resources e ill use today to help ith some of our activities and content. In the lo er left, you have controls for your video and audio hich are helpful if you are having technical difficulties. e ll come back to that. <<Advance slide to zoom environment 2.>> In the middle, you have controls to see the participants, use the chat, and react. <<Advance slide to zoom environment 3.>> On the right, you have controls to leave a break out room or to leave the meeting. Audio & Video <<Advance slide to Zoom meeting Controls: Video>> I m glad e can all see and hear everyone. Since e have a good si ed group today, I m going to ask that e keep our microphones un muted. This ill make it easier for us to jump into the conversation and add a comment or ask a question. Ho ever, if you find there is a lot of background noise here you are, I ll ask you mute until you are ready to talk. ou ll find the mute option on the bottom bar. I m glad to see everyone has their video turned on. It really helps us engage ith me as ell as each other. I m planning to lead us through some material but a big part of today is going to depend on each of you to interact and actively participate. e find if e are able to see each other s face, e are more likely to engage ith others as a person and be illing to contribute our o n ideas. Each of you have a tremendous amount of background kno ledge, e perience, and ideas about ho e can apply hat e learn today and I m eager to hear it all. <<Identify anyone without the video turned on and ask them to turn it on or offer to help them troubleshoot until it works. It may help to send them to a break room with a co-facili- tator until they get it resolved.>> I m going to use a fe slides today but as much as e can I m going to keep our vie on each other so e can feel this is more of a conversation than just a lecture. Even if I do share some thing, you can adjust your vie so that you can see about half and half if you prefer.

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UDOT Documents and Tools 233   15 Introduction Chat <<Advance slide to Zoom Meeting Controls: Chat>> e have a chat indo at the bottom of the screen. In there, you can send chats to everyone in the class or to individual people. Some of our activities may involve you putting ans ers or information into that indo so let s take a look. <<Open the chat window and enter in a welcoming message to the group. Ask them all to reply with something like “What did you have for breakfast today?” so you can verify they have all seen it and can use it. Also show them where they can change the chat person from “Everyone” to a single person.>> Renaming <<Advance slide to Zoom Meeting Controls: Renaming>> Ne t, e d like to ask everyone to adjust ho your name appears ithin the Zoom area. e are going to change it to sho your first name and then follo it ith a 2 4 character abbreviation of your top five. or e ample, my top five are list your top five and so I m going to adjust my name to sho these abbreviations after ards. <<Adjust your name to list your top five.>> This ill help others kno more about your top five but you ill also be able to see ho others in our class today use their top five in their day to day ork. To adjust your name, 1. Click the participants button near the bottom. 2. ind your name in the list and click the More button. ou ll see the more button as you roll over your name. 3. Click, ename . 4. Enter your first name and then in parenthesis, enter an abbreviation of your top five talents. 5. emember some talents share the same first characters like Command and Communication so you ll ant to use an abbreviation e can recogni e but also isn t used by others. Here on the screen you can see a fe e amples but abbreviate it as you like.

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UDOT Documents and Tools 235   17 Introduction Reactions <<Advance slide to Zoom Meeting Controls: Reactions>> inally, e have a reactions area here you can give us a virtual clap or you can give a thumbs up . These can be quick and easy ays to interact ith the group ithout necessarily having to say something. <<End sharing so you can transition to breakouts>> Break out rooms inally, e are going to have some time to ork together in a larger group as ell as in small er groups or even 1 1 ith a partner. This helps us to meet and ork ith different people in the class as ell as speak a little easier about potential ideas and coming up ith a consensus. e are going to try one just to see ho it orks. I m going to send everyone to a break out room and hile you are in that room, you can only see and hear the others ho are in the same room ith you. I on t see you or hear you unless I join your room. I can send out broadcast messages to everyone but they only sho for a fe seconds near the top of your screen. I ll send one hile you are there so you can see it. hen I close the rooms, it gives you a second count do n before you rejoin the main room. ou can either ait for that to elapse or you can click Leave oom in the lo er right. Let s try it. <<Randomly break out the class into groups of 3-5 people. While they are in their room, send a simple broadcast message and then close the rooms. Wait for everyone to rejoin the main room before proceeding.>> Do e have any questions about ho the Zoom environment orks <<Answer questions as needed.>> Privacy <<Advance slide to Privacy Notice>> The last thing I ant to mention is that everything e discuss in this training doesn t leave this training. Like they say in egas, hat happens in Training, stays in Training. I d like to make sure everyone feels comfortable that if e share something e are going to respect that persons illingness to share and not repeat anything to others.

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UDOT Documents and Tools 237   19 Introduction On the same note, e d also like to remind everyone not to share anything too specific about someone on your team or about others in a ay here e may kno ho you are talking about. e are going to talk about ho to have effective coaching conversations today and it may involve issues e are facing ith our teams.

238 Implementation of the AASHTO Guide for Enterprise Risk Management 20 Utah Department of Transportation 6 Utah Department of Transportation ledoM noitasrevnoC gnihcaoC 7 Coaching Conversation Model L Employee s Current Employee s Current Top ive L ob L Support Document ollo up

UDOT Documents and Tools 239   21 Coaching Conversation Model Coaching Conversation Model Time: 20 Minutes <<Advance slide to Coaching Conversation Model Title>> e are going to start into our content today by talking about a basic model e can use hile having these kinds of conversations ith our team members. It s a Coaching Conversation Model and it goes something like this. <<Advance Slide to Listen, Learn and Lead>> If you turn to Coaching Conversation Model on page , you can jot do n the details of this model. Here e see three large steps Listen, Learn, and Lead. Each of these have a fe steps ithin them to help guide us through large parts e ant to touch on during our conversations. It s important to consider that this isn t a linear flo from beginning to end. ather, its a cir cular flo back and forth bet een different parts. ou also may consider this could take more than a single conversation to get all the ay to the end because some of it can take time and it can help to pause and reflect on hat as said. It s important to consider that e aren t going to be giving you a script to follo during these conversations. They have to flo naturally using your o n talents and styles. e are going to give you some potential questions you may use or some points to cover but it s going to be up to you to make this your o n and decide ho you ant to say or ask some of these things. Listen <<Advance slide to full model>> If you turn to page 7, you can fill in some of the missing details from the slide as e talk about them. e start our conversations by listening to our team members. e aren t looking for ays to contribute to the conversation and instead, our focus is simply on listening to hat the employ ee says and ho he or she says it.

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UDOT Documents and Tools 241   23 Coaching Conversation Model Employee’s Current Position & Expectations Here, e ant to gain an understanding of hat the employee feels his or her job is really about and hat you and others may e pect. Don t orry too much if this is off from ho you may define at this point. ou ll have a chance later to clarify and adjust e pectations if you need. ut before you do that, let the employee flo freely about ho he or she describes the job. Pay attention to the follo ing points. hat responsibilities does the employee list first These may feel the most important or most meaningful to him or her. Pay attention to body language and facial e pressions as the employee describes his her job. This may help you see hat lights up her passion or hat deflates him her. Employee’s Current Performance Everyone has an opinion about ho they are doing on the job. It can be informative to see ho the employee s level of performance aligns ith your appraisal or ith the appraisal of others. Again, resist the temptation to correct the employee at this point and instead, just listen to hat the employee says and ho he says it. Pay attention to the follo ing points. Does the employee describe his performance as better or orse than you think he s doing hat feedback if any does the employee use as a starting point Does the employee listen to feedback from you or others about ho he s doing Does the employee emphasi e the feedback from some people more than others Identify Top Five Talent Themes As preparation, e recommend you ask your employees to gather their top five talent themes and to send them to you in advance if you haven t already seen them. Seeing this list can give you a lot of insight into the skills and talents they bring to the table. Today e are going to dive into these various talents and understand the value each of them bring. efore e do, e ant to share some important principles to use them effectively. <<Advance slide to Principles of Strengths>> Each theme is neutral. Neither good or bad all by itself. It s going to depend on ho ell it s aimed and focused on a goal. Themes are not labels. ust because e can summari e some talents ithin a theme doesn t mean everyone uses them the same ay.

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UDOT Documents and Tools 243   25 Coaching Conversation Model Lead ith Positive Intent. All talents can be misapplied or misdirected. e should al ays look at a talent for hat it could become a strength. Differences are advantages. Having a diverse set of talent themes in yourself and your teams can lead to ama ing outcomes for you, your team, and UDOT. People need one another. e are not an island. e are unable to achieve everything by ourselves. e only thrive by orking ith others to achieve our common goals. Does this seem doable Can you imagine yourself applying this so far Ho do you feel your employees ould respond to this approach <<Facilitate short discussion>> <<Advance Slide to Listen, Learn, and Lead>> Learn e ve listened to a lot of hat the employee has to say about his or her role, responsibilities, and top talent themes. The ne t stage comes here e start to learn about ho e can ork together ith the employee to align their talents to ards their responsibilities. In this part, e transition from the active listening to a more interactive conversation. Job Alignment hen e look at an employee s talents and job responsibilities, there are t o possible out comes. Either they align ell or they don t. e are going to look at various resources and tools you can use to properly align an employee s responsibilities to hat they do best everyday. This ma imi es the value the employee can produce and benefits the employee, you, the team, and all of UDOT. Lead No that e ve revie ed their talents and properly aligned their talents to their responsi bilities, it comes time to lead and help our employees by providing the guidance, tools, and resources they need to be successful.

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UDOT Documents and Tools 245   27 Coaching Conversation Model Support & Resources Nobody can accomplish their jobs ithout the assistance from others. e all need support and resources to ensure e reach our final goals. The key is to determine hat they are early on and to start orking early to locate and attain them. Support can simply be your guidance as a leader or from other e perts ithin your team. If the employee is learning something ne , it can help to hear feedback about ho he or she is progressing and hat to learn ne t. Support can also come in the form of recognition. hen someone accomplishes a goal, its valuable to him or her to share that sense of accomplishment. It doesn t al ays have to be much and can simply be recogni ing and congratulating them during a team meeting. esources on the other hand are different. esources could mean budget, tools, soft are, ma chinery, training, additional orkers, and much more. There are natural constraints e all must ork ithin but during this course, e are going to look at hat e can do and here e can go to seek additional resources hen necessary. Document & Follow Up If you didn t document it, it didn t happen. Documentation is a key part of any leader s toolkit. Our memories are imperfect and fallible. e could leave the discussion ith different under standings of ho things should happen and if there is no documentation, there is no ay of kno ing ho is right. Documentation doesn t have to be complicated. It can be a simple notebook sho ing the date of the meeting and the general discussion as ell as ho is going to follo up. e ill talk about hat good and bad documentation can look like in today s session. Measuring Engagement <<Advance to Employee Engagement Title Slide>> At UDOT, e are striving to engage our people and to help them bring their best and feel they connect ith others and ith our goals. e measure this through our engagement survey. ou recently received a survey asking about ho you feel at ork and perform our jobs. The T elve uestions are <<Advance slide to Questions list>>

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UDOT Documents and Tools 247   29 Coaching Conversation Model 1. Do you kno hat is e pected of you at ork 2. Do you have the materials and equipment to do your ork right 3. At ork, do you have the opportunity to do hat you do best every day 4. In the last seven days, have you received recognition or praise for doing good ork 5. Does your supervisor, or someone at ork, seem to care about you as a person . Is there someone at ork ho encourages your development 7. At ork, do your opinions seem to count . Does the mission purpose of your company make you feel your job is important 9. Are your associates fello employees committed to doing quality ork 1 . Do you have a best friend at ork 11. In the last si months, has someone at ork talked to you about your progress 12. In the last year, have you had opportunities to learn and gro These 12 questions eren t picked at random. They are time tested and scientifically proven to separate and measure ho many people are truly engaged at ork, not engaged, or even actively disengaged. In your pre ork, e discussed hat it means to be engaged. Can someone remind us hat these terms mean <<Advan e slides to n a ed isen a ed as you as t e roup to define en a ed and disengaged. >> Engaged Those ho enthusiastically participate to help drive UDOT s success and the value for the traveling public. In the US, this is appro . 31 of all orkers Disengaged Those ho are actively orking counter to UDOT s success. In the US, this is appro . 13 of all orkers. Neither Engaged nor Disengaged Not really attached to their ork and are putting in time but not their passion into their ork. In the US, this is appro . 5 of all orkers <<Advan e lide to s o definitions and lari y i t ere are any misunderstandin s.>> <<Advance slide to Engagement Numbers and remind them of the US proportions for en- gaged employees.>> <<Advance Slide to Value of Engagement>> Engagement isn t just a bu ord. It has a real meaning for our people and for UDOT. If e compare the top quartile of engaged organi ations to the bottom quartile, e see, 17 higher productivity 1 higher customer metrics 41 lo er absenteeism 7 fe er safety incidents

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UDOT Documents and Tools 249   31 Coaching Tools Coaching Tools Time: 20 Minutes <<Show slide Coaching Tools title>> e are going to revie a fe of the coaching tools you sa in the pre ork but most impor tantly in a fe minutes, e are going to practice ho to use them. Each of these tools helps you facilitate a process of helping the employee name their strengths, claim their strengths, and aim their strengths. These tools are not necessary in every conversation. Think of them as a tool belt. hen you are doing a project, you may not al ays need everything in your tool belt but they are there hen you need them. . <<Advance slide to Name, Claim, Aim worksheet>> In your pre ork, you sa this orksheet and alked through ho to name your strengths, claim them, and then aim them to ards a meaningful goal. ou should have had some time to reflect and complete the orksheet for yourself. Please turn to Name It, Claim It, Aim It on page and pull out your completed ork sheet no . << a ilitate a s ort five minute dis ussion ere you as parti ipants to s are t eir t ou ts on each question in the Name, Claim, Aim worksheet. Be cautious you don’t require people to participate as they may have more personal thoughts and may not feel comfortable to share. It may help if you share your own answers to the same questions to start things off. >> Please tell us your thoughts on the first question, “What words or phrases (if any) in this theme description describe me?” Please tell us your thoughts on the second question, “When did this theme help me be successful in the past?” Please tell us your thoughts on the third question, “How does this theme help me be successful in my role?” Please tell us your thoughts on the fourth question, “In what two ways could I start using this theme more intentionally in my job tomorrow?”

250 Implementation of the AASHTO Guide for Enterprise Risk Management 32 Utah Department of Transportation 10 Utah Department of Transportation tnelaT ot seulC eviF Clue What Does it Mean? What to Ask earning apid Learning lo limpses of E cellence Satisfaction

UDOT Documents and Tools 251   33 Coaching Tools Name, Claim, and Aim The essence of the Name step is to ask someone to read the descriptions of their top five talent themes and to see in hat ays the theme applies to them. emember these are themes and they each encompass a variety of different behaviors together. The entire theme may not apply to you e actly so it s important at this stage to understand the general definition and hich parts connect ith you. The claim stage is here you help your employee appreciate the po er and opportunities that his or her dominate themes give to him or her. Help your employee describe ho they uniquely use or define the strength. emember there is a guiding principle of Themes are not labels and e must resist the temp tation to put everyone ith the same theme in the same bucket. The reality is that there are many different ays a person could e hibit each of the 34 themes. No t o people are e actly alike and this stage allo s us to personali e ho each theme applies to us. The final stage is here e intentionally invest in the application and development of our tal ents. Help your employee identify specific goals and take actions to fle his or her talents to accomplish goals, reach desired outcomes, and better respond to situations that happen every day. Ne t, e are going to look at a fe specific tools e can use during these phases to help en courage our employees to name, claim, and aim their talents. pe ifi ools Five Clues to Talent <<Advance slide to Five Clues to Talent and it will show the headers>> Please turn to ive Clues to Talent on page 1 . e may already be using our talents more than e reali e. There are moments here things click and things seem to flo hile e ork. Times here e lose track of hat is happening around us as e go into the one . hen this happens, it s very likely e are subconsciously leveraging our talents in a natural ay. ou can take notes of this on page 1 . There are five clues to help us identify here our talents lie and ho e may be using them. They are, earning apid Learning

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UDOT Documents and Tools 253   35 Coaching Tools lo limpses of E cellence Satisfaction <<Click to animate the questions>> Here are some potential questions you can ask to help your employees find their talents. earning To hat kinds of activities are you naturally dra n apid Learning hat kinds of activities do you seem to pick up quickly lo In hat activities did you seem to automatically kno the steps to be taken limpses of E cellence During hat activities have you had moments of subconscious e cellence hen you thought, Ho did I do that Satisfaction hat activities give you a kick, either hile doing them or immediately after finishing them, and you think, hen can I do that again ou don t need to see all five clues. Only one or t o could be enough to tell you that may be a natural talent for you. Also, don t get caught up on specifically hat as happening but rather H as it so e citing or e ample, if someone mentions they find a lot of satisfaction from doing home improvement projects, is it because she envisions a thrilling future from using all the ne improvements uturistic or because she enjoys the routine and structure of orking on the project Discipline . It s the same activity, but for very different reasons. ecause of this, consider asking in your ay, hat as it about doing that you found most e citing or is there a recent accomplishment you are especially proud of <<Advance slide to Five Clues to Talent 2>> Let s alk through this briefly. As I discussed these questions, it s likely something you ve do came to mind that reflects these factors for you. ould anyone illing to share something from your personal life or ork that aligns ith these ive Clues to Talent <<Facilitate a short 1-2 minute discussion. Offer a personal example to get the class talking if necessary. >> Theme Map <<Advance slide to Theme Map>> The ne t tool e are going to revie is a theme map. This tool allo s someone really claim their talents. They start by looking at each of his or her top five talents and then identify characteristics that describe them from their report, the value they bring, the role they play, the needs they have, and their motivations. Here is an e ample of hat one could look like after

254 Implementation of the AASHTO Guide for Enterprise Risk Management 36 Utah Department of Transportation 12 Utah Department of Transportation Talent Map [Enter Theme Here] [Enter Theme Here] [Enter Theme Here] [Enter Theme Here] [Enter Theme Here] How does this theme influence how you make things happen? How does this theme affect how you influence others? How does this theme affect how you build and nurture relationships? How does this theme affect how you think about and analyze information and situations? Talent Map

UDOT Documents and Tools 255   37 Coaching Tools they have taken some time to ponder the questions. This isn t the kind of activity someone could do on the fly. It takes a little time and reflection to really think through these questions and ans er them meaningfully. To conduct this ith your team, e recommend the follo ing preparation. 1. Provide them ith blank versions of the theme map. 2. Ask them to ork on each of their top five strengths separately and list one at the top of each page. 3. or their characteristics, ask them to revie the description of the talent in their report. Pick out the ords that best describe them and ho they use that talent. emember, not everyone uses it the same ay. 4. or value, ask them ho their talent helps set them apart. Ho does it make them successful in hat they do 5. or their role, ask them to think about ho their talent helps them fill a need. hat is it about that talent that helps them provide for the team . or their needs, ask them to be honest about hat they need from you or others on the team to be successful. e all need particular things to really get into the flo . hat are they 7. inally, ask them to think about hat really drives them and motivates them. hat gets them e cited about their ork hat makes them smile ive them a fe days to a eek to finish the assignment and then schedule a time to follo up ith them and ask them to share hat they discovered in their theme map. As they talk, listen closely to hat they emphasi e, hat makes them smile, and hat they don t mention. Hearing this from his or her perspective can really be enlightening about hat makes them tick and ho to help them claim their talent. Talent Map <<Advance slide to Talent Map>> Turn to Talent Map on page 12. The Talent Map is an e cellent tool for helping your team e amine their top five as a collection of talents to help them e cel in different domains. As you can see in the template, e rite our top five talent themes across the top and then ans er four key questions as seen do n the left side. Let s look at those questions. 1. Ho does this theme influence ho you make things happen 2. Ho does this theme affect ho you influence others 3. Ho does this theme affect ho you build and nurture relationships

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UDOT Documents and Tools 257   39 Coaching Tools 4. Ho does this them affect ho you think about and analy e information and situations ou ll notice these questions relate to the strength domains you see here. As you look at this chart, there are some important considerations to remember. Each domain represents a potential grouping of themes that help enable people to con tribute to teams in certain ays. hile the talent themes help enable, they don t limit. Each theme can be applied in numerous ays. Never assume ho someone uses a theme. There are a ide variety of ays e can apply our talents. or e ample, let s say someone has a theme of Activator in his top five. If e look at the do mains, e may assume this person is strong ith influencing hich is certainly possible. In team situations, it is likely an Activator can help get the team going. He could influence the team to take action. Ho ever, hile this may be the case, e don t kno for sure. Activators can also be great at e ecuting, building relationships, or thinking strategically. or e ample, He may use his tendency to get things started to help the team e ecute and get projects from a planning phase to an action phase. He may use his activator theme to find out more about others and help them see the value others may have for getting something started. He may use this theme to look more strategically at a list of projects and quickly choose hich may be the best to start no , and hich to start later. The themes are idely varied in ho they are applied. A theme tends to list tendencies for people. Not absolutes. Having a theme doesn t automatically guarantee you are good at some thing unless you claim your talent and aim it at a goal.

258 Implementation of the AASHTO Guide for Enterprise Risk Management 40 Utah Department of Transportation How does this theme help me be successful in my role? THEN, AIM IT! After naming and claiming your talents, start using them intentionally. Exercise your talents to help you focus on specific action items to achieve a goal. For each of your top five themes, ask yourself, In what two ways could I start using this theme more intentionally tomorrow? To help you get started, read the action items for this theme that appear in your report. FIRST, NAME IT! This is the first step in making sense of your Signature Themes report. As you read your report, think about whether the theme description genuinely describes you. For each of your top five themes, ask yourself, What words or phrases in this theme description strongly resonate with me? NEXT, CLAIM IT! Begin to claim your talents by remembering times in the past that they contributed to your success. Consider how each theme helped you make things happen and how you applied it to your relationships. For each of your top five themes, ask yourself, When did this theme help me be successful in the past? Name it, Claim it, and Aim it 13 Name, Claim, Aim Activity ytivitcA miA ,mialC ,emaN Pull out your 34 eport and your Name, Claim, Aim orksheet. ith a partner, take a fe minutes to revie your responses on the name, claim, aim orksheet and our thoughts behind it. As a partner, e should take time to listen first to ho he or she describes the talents and then take time to offer opinions or advice about ho he or she may be able to best leverage a talent to ards achieving a goal. After minutes, s itch roles and do the same for your partner.

UDOT Documents and Tools 259   41 Name, Claim, Aim Activity Name, Claim, Aim Activity Time: 20 minutes <<Advance slide to Name, Claim, Aim Activity Instructions> Please turn to Name, Claim, Aim Activity on page 13. Ne t, e are going to have a chance to start our first coaching conversations In a fe minutes, e are going to pair up ith others in the class 1 1 and discuss some of our thoughts around Name, Claim, and Aim. As a coach, you ill have a chance to ask your partner about his or her thoughts on Name, Claim, Aim for his or her top five themes. As a coach, take the time to listen first and then offer suggestions or advice on ho your partner can best leverage his or her natural talents. After about minutes, s itch roles and do the same for your partner. After you have both had a chance to discuss your Name, Claim, Aim, e ill come back here to discuss as a group. <<Break the class up into 1-1 pairs. Give the participants 8 minutes and broadcast an an- nouncement to switch roles. After 7 minutes elapses, announce there is one minute left and lose t e rea outs it a se ond delay to allo t em to finis . As t e roup omes a to the main room, debrief for 4 minutes and ask them to share some thoughts on how the conversations went.>> Thank you all for sharing some of the insights into your talent themes. I really appreciate your input and illingness to share. e don t have time today in this session to do the entire ork sheet so I recommend you take some time after class to read through and finish the final pages.

260 Implementation of the AASHTO Guide for Enterprise Risk Management 42 Utah Department of Transportation 14 Utah Department of Transportation Employee Perspectives hen talking to an employee about his or her performance, you may likely align on your perspectives, but there are t o other possibilities to prepare for. The employee feels he she is performing better than you do. The employee feels he she is performing orse than you do.

UDOT Documents and Tools 261   43 Employee s Perspective Employee’s Perspective Time: 10 minutes <<Advance slide to Employee’s Perspective>> Please turn to Employee Perspectives on page 14. As a part of the listen phase, e ant to inquire about ho the employee feels she is doing in the job compared to the e pectations. This can offer interesting insight into the areas she feels she e cels in and hich areas she may feel less proud. Ans ering this question requires an immense amount of trust in you. She must trust you aren t going to use this against her and trust your intentions are there to help her gro into her role. In most cases, e e pect you and your employee s perspective to align on his her performance. ut, hat do e do if they don t align The conversation can go in t o different directions. <<Advance slide to Two Directions>> The employee feels he she is performing better than you do. The employee feels he she is performing orse than you do. << is ussion uestion ave you seen t is at appened lease don t s are spe ifi s about others).>> Let s talk about these t o possibilities. Scenario #1 This could happen if the employee hasn t seen the outcomes of the ork or if they are lacking feedback. It s important to help clarify ho his her ork is actually received in a constructive ay. ocus on specifics and not generalities. Use e amples to clarify ho he she may have missed specific e pectations. <<Can anyone provide other reasoning for why an employee would have this impression?>>

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UDOT Documents and Tools 263   45 Employee s Perspective Scenario #2 This could be from a self confidence issue or a lack of feedback. Sometimes people assume the orst if they haven t heard feedback. Clarify the value of the employee s ork and the impact he she has on the team and department. As you start to discuss strengths, focus on ho the employee s strengths are valuable and ho the employee leverages them to achieve objectives. <<Can anyone provide other reasoning for why an employee would have this impression?>> Here is a summary of ho this may play out for some of your employees. <<Advance Slide and discuss the table>> Employee's Perspective Not Meeting Requirements Meeting or Exceeding Requirements Meeting or Exceeding Requirements The employee doesn't hear the positive feed- back about the work or misinterprets signals. You are aligned and you can focus on help- ing the employee aim their talents. Not Meeting Requirements You are aligned but now you can focus on help- ing the employee claim their talents, identify goals, and aim their talents towards success. The employee hasn't heard or doesn't understand expectations. Could also be the employee hasn't heard feedback about how expectations are missed. Y ou r Pe rs pe ct iv e

264 Implementation of the AASHTO Guide for Enterprise Risk Management 46 Utah Department of Transportation 15 Employee Perspective Activity ytivitcA evitcepsreP eeyolpmE Scenario #1 Scenario #1 The employee feels he she is performing better than you do as the manager. The employee has rarely received any specific feedback and the little feedback he or she hears is generally positive. There have been issues ith getting assignments done on time and the employee tries to meet deadlines but since nobody has told him her its a problem, he she doesn t feel it s critical. Scenario #2: The employee feels he she is performing orse than you do as the manager. The employee doesn t hear much about ho assignments go and tends to assume the orst case situation. As the manager, you feel the employee does ell but you no reali e you haven t taken the time to communicate that clearly to the employee.

UDOT Documents and Tools 265   47 Employee Perspective Activity Employee Perspective Activity Time: 20 minutes <<Advance slide to Employee Perspective Activity Instructions>> Please turn to Employee Perspective Activity on page 15. Let s take a look at hat this feels like. e are going to have a chance to practice the conversation e may end up having ith our employees. I understand that at times it can feel unrealistic to role play, ho ever this can be a valuable opportunity to really give things a try. Training is an opportunity to try ne things and see ho they feel. ou have a safety net here. If something doesn t come out right, try it again. It s better to ork out the kinks in the conversation flo here rather than hen e are sitting ith an employee and things come out rong leaving the employee alienated, offended, or demorali ed. e are going to pair up ith our same partners e just had and practice the conversation. ou have the same t o scenarios to play out. Please turn to page 15 in your participant guide. <<Advance Slide to Scenario #1>> Scenario #1 The employee feels he she is performing better than you do as the manager. The employee has rarely received any specific feedback and the little feedback he or she hears is generally positive. There have been issues ith getting assignments done on time and the em ployee tries to meet deadlines but since nobody has told him her its a problem, he she doesn t feel it s critical. <<Advance Slide to Scenario #2>> Scenario #2 The employee feels he she is performing orse than you do as the manager. The employee doesn t hear much about ho assignments go and tends to assume the orst case situation. As the manager, you feel the employee does ell but you no reali e you haven t taken the time to communicate that clearly to the employee. ou ill each have a chance to be the manager for one of the t o scenarios. The person ith the first name alphabeti ed first has the first opportunity to be the manager. hen you are playing the role of the employee, be realistic and provide some possible details of ho you feel you either e ceed the e pectations of your job or here you don t feel like you meet them.

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UDOT Documents and Tools 267   49 Employee Perspective Activity hen you are playing the role of the manager, remember to start ith listening. esist the temptation to just jump in immediately and offer advice. Listen to hat the employee says and ho he or she describes their performance. <<As i t ere are additional uestions and o er additional uidan e and larifi ation as needed. When ready, break up the group into the same pairs as before. At the 8 minute mark, send a broadcast message to switch roles. At 16 minutes, return them to the main room. Debrief for 4 minutes. >> Ho did it go ere there things you feel you did ell hat things did your partner do ell as there anything you felt you need to do differently

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UDOT Documents and Tools 269   51 ob esponsibilities Job Responsibilities Time: 10 minutes <<Advance slide to Job Responsibilities Title>> <<Advance to Listen, Learn, Lead>> As you revie the employee s top five strengths, compare them to the various responsibilities he she has in the job. ou ill inevitably find the follo ing. Some or all e pectations strongly align ith one or more of his her top five talent themes. Most or all e pectations don t dra upon someone s top talent themes or it isn t clear yet. The employee feels drained doing those tasks and doesn t engage talents. Alignment hen the employee s talents align ith his her job responsibilities you are in good shape Ask the employee questions about ho he she leverages the top five strengths to deliver results. Help the employee claim and aim their strengths to ards their tasks. hat other options should e consider to help the employee focus his or her talents hen e have a strong alignment <<Solicit responses from the group to spark discussion>> If you turn to ob esponsibilities on page 1 , you ll see depending on ho strong the employee performs the ork, you may consider some of the follo ing options, Aligning more of the same type of ork for this employee a ay from others ho don t share the same top five talents. Asking the employee to share best practices ith others on the team so they can also deliver on similar responsibilities. Asking the employee to mentor another person on the team ho may be struggling ith similar tasks.

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UDOT Documents and Tools 271   53 ob esponsibilities No Alignment It is challenging hen the ork required of a job does not seem to align ith a persons talents. The employee may feel over helmed and struggles to engage and accomplish the ork. It most likely he she isn t fully utili ing a talent or doesn t see ho the ork does align ith his or her talents. The employee may do ell but doesn t have passion for the ork as someone else may. In some cases, an employee could get caught up in the smaller tasks and has lost sight of the bigger picture to see ho the ork is meaningful or impacts others. One principle of a strengths based approach to personal development is that only some behav iors can be learned. e can t assume everyone can or ants to learn a ne behavior if it isn t aligned ith their talents. hat should e first consider hen e have a eak alignment <<Solicit responses from the group to spark discussion>> Depending on the employee, here are some additional considerations. Naturally, these depend on ho reasonable they are to implement and e may not al ays have an opportunity to change responsibilities. <<Advance slide to Considerations for Weak Alignment>> If you look at ob esponsibilities on page 1 , you ll see e can, Ask the employee to evaluate the top five talent themes and ask, in hat ays do these talents help you do ou may find there is more alignment than originally thought. Ask the employee if there are different tasks that may align ith talents. Ask the employee if there are aspects of the ork that do inspire him her. Shift ork ithin the team so this employee can do different tasks aligning ith his her strengths. Identify other positions the employee may consider hich ould better leverage his her strengths. e shouldn t discount ho a unique combination of talents can enable someone to do great ork. emember that just because someone has a particular set of talents, it doesn t al ays preclude them from doing certain ork. Ho ever, they may need to think creatively about ho to apply that talent. This doesn t change ho the person is. or e ample, someone may think that to be a good Engineer, someone needs Analytical or possibly Intellection in his or her top five. It s true certain talents may enable things more easily, but someone could leverage other talents like oo or Empathy to become a great Engineer as ell.

272 Implementation of the AASHTO Guide for Enterprise Risk Management 54 Utah Department of Transportation 17 ob esponsibility Activity ytivitcA ytilibisnopseR boJ ith a ne partner, e are going to practice the part of our conversations here e discuss the alignment of talents and job responsibilities. e are going to focus on an employee ho has talents ell aligned ith the job. As the manager, your goal is to help your employee identify ho the talents align and identify ays to continue and leverage that alignment.

UDOT Documents and Tools 273   55 ob esponsibilities Activity Name it Job Responsibilities Activity - Name it Time: 20 minutes <<Advance slide to Job Responsibility Activity Instructions>> Let s put this to practice. Turn to ob esponsibility Activity on page 17 and e are going to break up ith a ne partner and run through a conversation ith our employee. In this situation, e are going to focus on an employee ho has talents ell aligned ith his or her responsibilities. The part to practice is the listening and identifying ho the talents align. Once you identify ho , look for ays you may be able to continue leveraging it. <<As i t ere are additional uestions and o er additional uidan e and larifi ation as needed. When ready, break up the group into new pairs. At the 8 minute mark, send a broadcast message to switch roles. At 16 minutes, return them to the main room. Debrief for 4 minutes. >>

274 Implementation of the AASHTO Guide for Enterprise Risk Management 56 Utah Department of Transportation 18 Utah Department of Transportation Support & Resources E ample, ohns top five talents are, 1. Activator Influencing People ho are especially talented in the Activator theme can make things happen by turning thoughts into action. They are often impatient. 2. Analytical Strategic Thinking People ho are especially talented in the Analytical theme search for reasons and causes. They have the ability to think about all the factors that might affect a situation. 3. elator elationship uilding People ho are especially talented in the elator theme enjoy close relationships ith others. They find deep satisfaction in orking hard ith friends to achieve a goal. 4. Individuali ation elationship uilding People ho are especially talented in the Individuali ation theme are intrigued ith the unique qualities of each person. They have a gift for figuring out ho people ho are different can ork together productively. 5. Includer elationship uilding People ho are especially talented in the Includer theme are accepting of others. They sho a areness of those ho feel left out, and make an effort to include them. Scenario ohns activator and his analytical sho as he suggests a ne ay to fast track projects. He recommends a method for ho the various team members can join together Includer to discuss project risks using a ne categori ation system Analytical he developed. He feels if the risks are lo , some projects could be fast tracked and started earlier Activator . Questions In hat ays can e support ohns request Ho should e respond to his suggestion and the ork he s put in so far hat kinds of resources do e think ohn may need

UDOT Documents and Tools 275   57 Support esources Support & Resources Time: 5 minutes <<Advance slide to Support & Resources>> <<Advance slide to Listen, Learn, Lead>> It is time to change to the Lead phase of our conversation. It s important to empo er our employees and help to champion their ork. This means e must be proactive to offer and provide the support and resources they need to succeed in their roles. This perfectly aligns ith a key ay to measure an employee s engagement by asking them, Do you have the materials and equipment to do your ork right <<Ask the group the following questions to spark conversation.>> hat kinds of resources do e have at our disposal that e could use to help empo er our employees Are e al ays able to provide our employees ith e actly hat they ant hat should e do <<Facilitate open discussion and ask them to share ideas or examples of what they can do. It is likely some participants will focus the negative; on what they can’t do. Do your best to steer the conversation towards things they can do. >> Let s look at an e ample. If you look at page 1 , you ll see some details. ohn is your employee and his top five talents are, <<Advance slide to John’s Top Five>> 1. Activator Influencing People ho are especially talented in the Activator theme can make things happen by turning thoughts into action. They are often impatient. 2. Analytical Strategic Thinking People ho are especially talented in the Analytical theme search for reasons and causes. They have the ability to think about all the factors that might affect a situation. 3. elator elationship uilding People ho are especially talented in the elator theme enjoy close relationships ith others. They find deep satisfaction in orking hard ith friends to achieve a goal. 4. Individuali ation elationship uilding People ho are especially talented in the Individuali ation theme are intrigued ith the unique qualities of each person. They have a gift for figuring out ho people ho are different can ork together productively.

276 Implementation of the AASHTO Guide for Enterprise Risk Management 58 Utah Department of Transportation 19 E amples of Support esources secruoseR & troppuS fo selpmaxE

UDOT Documents and Tools 277   59 Support esources 5. Includer elationship uilding People ho are especially talented in the Includer theme are accepting of others. They sho a areness of those ho feel left out, and make an effort to include them. His activator and his analytical sho as he suggests a ne ay to fast track projects. He rec ommends a method for ho the various team members can join together Includer to discuss project risks using a ne categori ation system Analytical he developed. He feels if the risks are lo , some projects could be fast tracked and started earlier Activator . e are going to break into small groups for just four minutes and quickly discuss the ques tions on the bottom of page 1 . hen e come back, e are going to ask a member from each team to share ith us your thoughts. <<Break up the class into groups of 3-5 people. Keep the pace moving and after four minutes, pull them back to the main room. Ask a member of each group to share at least one idea. >> hat thoughts do e have about ho e could support ohn ith his potential ideas ou can take notes on page 19. << a ilitate t e open dis ussion and eep t e ideas o in rom one person to t e ne t. >> <<Advance Slide to Examples of Support & Resources>> If you go to E amples of Support esources on page 19, you can take note of a fe e amples of support and resources to consider, etting a higher level of authori ation hen needed. Assigning others to help ith a task. orking ith a partner group to establish or improve a orking relationship. Purchasing tools to aid in improving, simplifying, or speeding things up. Providing additional training to aid in their skills and kno ledge. Naturally, e can t al ays accommodate all requests due to a lack of budget, time, or authori ation. In these times e need to be more creative about ho e can resolve issues and provide the help our team needs. hat kinds of requests have you made or seen here e had to think creatively about resolv ing it

278 Implementation of the AASHTO Guide for Enterprise Risk Management 60 Utah Department of Transportation Date Manager Employee Meeting type Current responsibilities and updates Employee's top five strengths. Employee’s perspective on performance How do job responsibilities align with the employee's strengths? Support/resources needed? Follow up date/time/method Coaching Notes 20 Utah Department of Transportation pU wolloF & tnemucoD Date Manager Employee Meeting type Current responsibilities and updates Employee's top five strengths. Employee’s perspective on performance How do job responsibilities align with the employee's strengths? Support/resources needed? Follow up date/time/method Coaching Notes

UDOT Documents and Tools 279   61 Document ollo Up Document & Follow Up Time: 10 minutes <<Advance slide to Document & Follow up Title>> The final part of coaching conversations is to document hat you agreed upon and ho and hen you plan to follo up ith the employee. <<Ask the group>> ill someone e plain hy this may be the most critical step of the hole conversation <<Solicit answers and discuss.>> It s important to get specifics of ho is going to do hat, by hen, and ho you ll follo up. Avoid generalities like, I ll check in later because neither of you kno hat check in looks like and hen later is. It could be tomorro or ne t month. Instead, be specific like, I ll schedule another 1 1 meeting for us in t o eeks on Thursday . <<Advance slide to Coaching Notes>> If you turn to Document ollo Up on page 2 , here is a possible template you can use to document some of these discussions. It s optional and you can certainly use others but this may give you a good starting point of ho to document hat happens. <<Provide a link to the Coaching Notes handout in the chat window.>>

280 Implementation of the AASHTO Guide for Enterprise Risk Management 62 Utah Department of Transportation 21 inal Practices Final Practices Scenario #1 An employee feels he she does better than the manager does. The employee is leveraging his her strengths ell but isn t receiving the coaching he she needs to improve. Once he she finds out about here to improve, he she does so. If you are playing the employee for this first scenario, please use your o n top five talents. If you are playing the manager, do your best to listen, learn, and lead. Scenario #2 An employee doesn t feel very motivated or engaged. Mostly this comes from a misalignment of strengths. The employees strengths are, 1. Achiever E ecuting People ho are especially talented in the Achiever theme have a great deal of stamina and ork hard. They take great satisfaction from being busy and productive. 2. ocus E ecuting People ho are especially talented in the ocus theme can take a direction, follo through, and make the corrections necessary to stay on track. They prioriti e, then act. 3. Discipline E ecuting People ho are especially talented in the Discipline theme enjoy routine and structure. Their orld is best described by the order they create. 4. Self Assurance Influencing People ho are especially talented in the Self Assurance theme feel confident in their ability to manage their o n lives. They possess an inner compass that gives them confidence that their decisions are right. 5. Includer elationship uilding People ho are especially talented in the Includer theme are accepting of others. They sho a areness of those ho feel left out, and make an effort to include them. If the manager can figure out ays to better leverage those strengths, the employee ill turn around.

UDOT Documents and Tools 281   63 inal Practices Final Practices Time: 60 minutes (15 each) <<Advance slide to Final Practice Instructions>> e are going to put it all together and have a couple of dry runs. e are going to pair up again ith a ne partner and practice a four scenarios. The key to this practice is that e can put our entire coaching conversation flo into action. emember it is, <<Advance Slide to Coaching Conversation Flow>> Listen evie the employee s current position e pectations Ask the employee his her perspective on performance in the current position and achievement of objectives Identify employee s top five strengths. Learn Determine ho job responsibilities align or don t align ith the employee s strengths name and claim . Identify opportunities to align ork ith the employee s strengths aim . Identify opportunities to reduce or reassign ork or collaborate ith someone for ork that doesn t align ith the employee s strengths Lead Ask the employee hat support resources he she needs to accomplish objectives Document and follo up at a future date. Please remember that these practices are important. Training gives you an opportunity to try out ne things here there aren t the same consequences you ill have in real conversations. If something doesn t feel right, try it again or maybe ask your partner for ideas about ho you ould like to ask or say something. This gives us a chance to really say the things rather than just think them. It s sometimes surprising ho different it can feel to think something but then to actually try to do it or say it.

282 Implementation of the AASHTO Guide for Enterprise Risk Management 64 Utah Department of Transportation 21 inal Practices Final Practices Scenario #1 An employee feels he she does better than the manager does. The employee is leveraging his her strengths ell but isn t receiving the coaching he she needs to improve. Once he she finds out about here to improve, he she does so. If you are playing the employee for this first scenario, please use your o n top five talents. If you are playing the manager, do your best to listen, learn, and lead. Scenario #2 An employee doesn t feel very motivated or engaged. Mostly this comes from a misalignment of strengths. The employees strengths are, 1. Achiever E ecuting People ho are especially talented in the Achiever theme have a great deal of stamina and ork hard. They take great satisfaction from being busy and productive. 2. ocus E ecuting People ho are especially talented in the ocus theme can take a direction, follo through, and make the corrections necessary to stay on track. They prioriti e, then act. 3. Discipline E ecuting People ho are especially talented in the Discipline theme enjoy routine and structure. Their orld is best described by the order they create. 4. Self Assurance Influencing People ho are especially talented in the Self Assurance theme feel confident in their ability to manage their o n lives. They possess an inner compass that gives them confidence that their decisions are right. 5. Includer elationship uilding People ho are especially talented in the Includer theme are accepting of others. They sho a areness of those ho feel left out, and make an effort to include them. If the manager can figure out ays to better leverage those strengths, the employee ill turn around.

UDOT Documents and Tools 283   65 inal Practices Scenario #1 o ahead and turn to inal Practices on page 21 and look at our first scenario. <<Advance Slide to Scenario #1>> Scenario #1 An employee feels he she does better than the manager does. The employee is leveraging his her strengths ell but isn t receiving the coaching he she needs to improve. Once he she finds out about here to improve, he she does so. If you are playing the employee for this first scenario, please use your o n top five talents. If you are playing the manager, do your best to listen, learn, and lead. <<Ask for questions and when the group is ready split them into pairs. Remember this pairing for the next scenarios. After 12 minutes, call them back to the main room and debrief. >> reat ork Let s go onto Scenario #2. Scenario #2 Let s look at Scenario #2 on page 21. <<Advance Slide to Scenario #2>> An employee doesn t feel very motivated or engaged. Mostly this comes from a misalignment of strengths. The employees strengths are, 1. Achiever E ecuting People ho are especially talented in the Achiever theme have a great deal of stamina and ork hard. They take great satisfaction from being busy and productive. 2. ocus E ecuting People ho are especially talented in the ocus theme can take a direction, follo through, and make the corrections necessary to stay on track. They prioriti e, then act. 3. Discipline E ecuting People ho are especially talented in the Discipline theme enjoy routine and structure. Their orld is best described by the order they create. 4. Self Assurance Influencing People ho are especially talented in the Self Assurance theme feel confident in their ability to manage their o n lives. They possess an inner compass that gives them confidence that their decisions are right.

284 Implementation of the AASHTO Guide for Enterprise Risk Management 66 Utah Department of Transportation 22 Utah Department of Transportation Scenario #3 An employee performs above average but is no finding the ork boring because he isn t using his top five ell and only uses 3 of 5 regularly. The top five talents are, 1. esponsibility E ecuting People ho are especially talented in the esponsibility theme take psychological o nership of hat they say they ill do. They are committed to stable values such as honesty and loyalty. 2. Self Assurance Influencing People ho are especially talented in the Self Assurance theme feel confident in their ability to manage their o n lives. They possess an inner compass that gives them confidence that their decisions are right. 3. Ma imi er Influencing People ho are especially talented in the Ma imi er theme focus on strengths as a ay to stimulate personal and group e cellence. They seek to transform something strong into something superb. 4. oo Influencing People ho are especially talented in the oo theme love the challenge of meeting ne people and inning them over. They derive satisfaction from breaking the ice and making a connection ith another person. 5. Discipline E ecuting People ho are especially talented in the Discipline theme enjoy routine and structure. Their orld is best described by the order they create. He she doesn t just come out and say it because he she is scared that admitting it ill mean he she ill have to change to a ne job and he she loves the job. hen the manager figures out there aren t the right kinds of challenges, the manager should ork ith the employee to find ays to make the same job more interesting and to utili e his her talents and turn them all into strengths.

UDOT Documents and Tools 285   67 inal Practices 5. Includer elationship uilding People ho are especially talented in the Includer theme are accepting of others. They sho a areness of those ho feel left out, and make an effort to include them. If the manager can figure out ays to better leverage those strengths, the employee ill turn around. <<Ask for questions and when the group is ready split them into pairs. Remember this pairing for the next scenarios. After 12 minutes, call them back to the main room and debrief. >> reat ork Let s go onto Scenario #3. Scenario #3 Turn to Scenario #3 on page 22, for ne t scenario. <<Advance Slide to Scenario #3>> An employee performs above average but is no finding the ork boring because he isn t using his top five ell and only uses 3 of 5 regularly. The top five talents are, 1. esponsibility E ecuting People ho are especially talented in the esponsibility theme take psychological o nership of hat they say they ill do. They are committed to stable values such as honesty and loyalty. 2. Self Assurance Influencing People ho are especially talented in the Self Assurance theme feel confident in their ability to manage their o n lives. They possess an inner compass that gives them confidence that their decisions are right. 3. Ma imi er Influencing People ho are especially talented in the Ma imi er theme focus on strengths as a ay to stimulate personal and group e cellence. They seek to transform something strong into something superb. 4. oo Influencing People ho are especially talented in the oo theme love the challenge of meeting ne people and inning them over. They derive satisfaction from breaking the ice and making a connection ith another person. 5. Discipline E ecuting People ho are especially talented in the Discipline theme enjoy routine and structure. Their orld is best described by the order they create. He she doesn t just come out and say it because he she is scared that admitting it ill mean he she ill have to change to a ne job and he she loves the job. hen the manager figures out there aren t the right kinds of challenges, the manager should ork ith the employee to find ays to make the same job more interesting and to utili e his her talents and turn them all into strengths.

286 Implementation of the AASHTO Guide for Enterprise Risk Management 68 Utah Department of Transportation 23 inal Practices Scenario #4 An employee ho e hibits a lot of futuristic and ideation strengths. ecause of that, he she has some ne ideas about ho things could be simplified or improved in ork but needs some additional resources to accomplish them requiring additional budget. Since you have no additional budget to spend, you need to think creatively ith the employee to resolve the resource needs. The employee s top five are, 1. Achiever E ecuting People ho are especially talented in the Achiever theme have a great deal of stamina and ork hard. They take great satisfaction from being busy and productive. 2. uturistic Strategic Thinking People ho are especially talented in the uturistic theme are inspired by the future and hat could be. They inspire others ith their visions of the future. 3. Ideation Strategic Thinking People ho are especially talented in the Ideation theme are fascinated by ideas. They are able to find connections bet een seemingly disparate phenomena. 4. Significance Influencing People ho are especially talented in the Significance theme ant to be very important in the eyes of others. They are independent and ant to be recogni ed. 5. Communication Influencing People ho are especially talented in the Communication theme generally find it easy to put their thoughts into ords. They are good conversationalists and presenters.

UDOT Documents and Tools 287   69 inal Practices <<Ask for questions and when the group is ready split them into pairs. Remember this pairing for the next scenarios. After 12 minutes, call them back to the main room and debrief. >> reat ork Let s go onto our final scenario. Scenario #4 Let s go to page 23 for our last scenario. <<Advance Slide to Scenario #4>> An employee ho e hibits a lot of futuristic and ideation strengths. ecause of that, he she has some ne ideas about ho things could be simplified or improved in ork but needs some additional resources to accomplish them requiring additional budget. Since you have no addi tional budget to spend, you need to think creatively ith the employee to resolve the resource needs. The employee s top five are, 1. Achiever E ecuting People ho are especially talented in the Achiever theme have a great deal of stamina and ork hard. They take great satisfaction from being busy and productive. 2. uturistic Strategic Thinking People ho are especially talented in the uturistic theme are inspired by the future and hat could be. They inspire others ith their visions of the future. 3. Ideation Strategic Thinking People ho are especially talented in the Ideation theme are fascinated by ideas. They are able to find connections bet een seemingly disparate phenomena. 4. Significance Influencing People ho are especially talented in the Significance theme ant to be very important in the eyes of others. They are independent and ant to be recogni ed. 5. Communication Influencing People ho are especially talented in the Communication theme generally find it easy to put their thoughts into ords. They are good conversa tionalists and presenters. <<Ask for questions and when the group is ready split them into pairs. Remember this pairing for the next scenarios. After 12 minutes, call them back to the main room and debrief. >> reat ork

288 Implementation of the AASHTO Guide for Enterprise Risk Management 70 Utah Department of Transportation

UDOT Documents and Tools 289   71 Summary Conclusion Summary & Conclusion Time: 10 minutes <<Advance slide to Conclusion>> I really appreciate everyone s participation and contributions to today s class. ou all did really ell and hile it s possible this may feel ne and a k ard to start out, you are ell on your ay to applying this in your everyday interactions ith your employees. If e focus on promoting engagement, finding ays people can leverage their talents, and guide them to ards their goals, your people ill succeed, your team ill succeed, you ill succeed, and UDOT ill succeed. ould anyone be illing to share one thing they learned today you plan to use right a ay << Solicit answers from the group and ask them to share their thoughts on what they plan to put to immediate action. >> Thank you all for your time and attention today.

290 Implementation of the AASHTO Guide for Enterprise Risk Management UDOT Coaching Your Team Participants’ Guide: is is the guidebook UDOT developed for participants in the training on improving employee performance. Coaching Your Team Virtual Class P A R T I C I P A N T ’ S G U I D E

UDOT Documents and Tools 291   2 Utah Department of Transportation

292 Implementation of the AASHTO Guide for Enterprise Risk Management 3 Table of Contents Engagement ..........................................................................................................................................................................................5 Coaching Conversation Model ..........................................................................................................................................................6 Coaching Tools .....................................................................................................................................................................................8 Name It, Claim It, Aim It .................................................................................................................................................................................. ive Clues to Talent ............................................................................................................................................................................................1 Theme Map ...........................................................................................................................................................................................................11 Talent Map ............................................................................................................................................................................................................12 Name, Claim, Aim Activity ...............................................................................................................................................................13 Employee Perspectives .......................................................................................................................................................................14 Employee Perspective Activity .........................................................................................................................................................15 Scenario #1 ...........................................................................................................................................................................................................15 Scenario #2 .........................................................................................................................................................................................................15 Job Responsibilities ............................................................................................................................................................................16 Job Responsibility Activity ...............................................................................................................................................................17 Support & Resources ...........................................................................................................................................................................18 Scenario .................................................................................................................................................................................................................1 uestions ...............................................................................................................................................................................................................1 Examples of Support & Resources ...................................................................................................................................................19 Document & Follow Up ......................................................................................................................................................................20 Final Practices......................................................................................................................................................................................21 Scenario #1 ...........................................................................................................................................................................................................21 Scenario #2 ...........................................................................................................................................................................................................21 Scenario #3 ...........................................................................................................................................................................................................22 Scenario #4 ...........................................................................................................................................................................................................23

UDOT Documents and Tools 293   4 Utah Department of Transportation

294 Implementation of the AASHTO Guide for Enterprise Risk Management 5 Engagement Engagement

UDOT Documents and Tools 295   6 Utah Department of Transportation Coaching Conversation Model

296 Implementation of the AASHTO Guide for Enterprise Risk Management 7 Coaching Conversation Model L Employee s Current Employee s Current Top ive L ob L Support Document ollo up

UDOT Documents and Tools 297   8 Utah Department of Transportation Coaching Tools Name It, Claim It, Aim It FIRST, NAME IT! This is the first step in making sense of your Signature Themes report. As you read your report, think about whether the theme description genuinely describes you. For each of your top five themes, ask yourself, What words or phrases in this theme description strongly resonate with me? NEXT, CLAIM IT! Begin to claim your talents by remembering times in the past that they contributed to your success. Consider how each theme helped you make things happen and how you applied it to your relationships. For each of your top five themes, ask yourself, When did this theme help me be successful in the past? Name it, Claim it, and Aim it

298 Implementation of the AASHTO Guide for Enterprise Risk Management 9 Coaching Tools How does this theme help me be successful in my role? THEN, AIM IT! After naming and claiming your talents, start using them intentionally. Exercise your talents to help you focus on specific action items to achieve a goal. For each of your top five themes, ask yourself, In what two ways could I start using this theme more intentionally tomorrow? To help you get started, read the action items for this theme that appear in your report.

UDOT Documents and Tools 299   10 Utah Department of Transportation Five Clues to Talent Clue What Does it Mean? What to Ask earning apid Learning lo limpses of E cellence Satisfaction

300 Implementation of the AASHTO Guide for Enterprise Risk Management 11 Coaching Tools Theme Map [Enter Theme Here] (Theme) Characteristics (words that describe me): The Value I bring: The Role I Play (words that describe who I am): The Needs I have: My Motivations (what I love/hate):

UDOT Documents and Tools 301   12 Utah Department of Transportation Talent Map [Enter Theme Here] [Enter Theme Here] [Enter Theme Here] [Enter Theme Here] [Enter Theme Here] How does this theme influence how you make things happen? How does this theme affect how you influence others? How does this theme affect how you build and nurture relationships? How does this theme affect how you think about and analyze information and situations? Talent Map

302 Implementation of the AASHTO Guide for Enterprise Risk Management 13 Name, Claim, Aim Activity Name, Claim, Aim Activity Pull out your 34 eport and your Name, Claim, Aim orksheet. ith a partner, take a fe minutes to revie your responses on the name, claim, aim orksheet and our thoughts behind it. As a partner, e should take time to listen first to ho he or she describes the talents and then take time to offer opinions or advice about ho he or she may be able to best leverage a talent to ards achieving a goal. After minutes, s itch roles and do the same for your partner.

UDOT Documents and Tools 303   14 Utah Department of Transportation Employee Perspectives hen talking to an employee about his or her performance, you may likely align on your perspectives, but there are t o other possibilities to prepare for. The employee feels he she is performing better than you do. The employee feels he she is performing orse than you do.

304 Implementation of the AASHTO Guide for Enterprise Risk Management 15 Employee Perspective Activity Employee Perspective Activity Scenario #1 Scenario #1 The employee feels he she is performing better than you do as the manager. The employee has rarely received any specific feedback and the little feedback he or she hears is generally positive. There have been issues ith getting assignments done on time and the employee tries to meet deadlines but since nobody has told him her its a problem, he she doesn t feel it s critical. Scenario #2: The employee feels he she is performing orse than you do as the manager. The employee doesn t hear much about ho assignments go and tends to assume the orst case situation. As the manager, you feel the employee does ell but you no reali e you haven t taken the time to communicate that clearly to the employee.

UDOT Documents and Tools 305   16 Utah Department of Transportation Job Responsibilities Compare an employee s job responsibilities to their top five talent themes. In hat ays do the talents and responsibilities align In hat ays do they differ If they align, Aligning more of the same type of ork for this employee a ay from others ho don t share the same top five talents. Asking the employee to share best practices ith others on the team so they can also deliver on similar responsibilities. Asking the employee to mentor another person on the team ho may be struggling ith similar tasks. If they don t align, Ask the employee to evaluate the top five talent themes and ask, in hat ays do these talents help you do ou may find there is more alignment than originally thought. Ask the employee if there are different tasks that may align ith talents. Ask the employee if there are aspects of the ork that do inspire him her. Shift ork ithin the team so this employee can do different tasks aligning ith his her strengths. Identify other positions the employee may consider hich ould better leverage his her strengths.

306 Implementation of the AASHTO Guide for Enterprise Risk Management 17 ob esponsibility Activity Job Responsibility Activity ith a ne partner, e are going to practice the part of our conversations here e discuss the alignment of talents and job responsibilities. e are going to focus on an employee ho has talents ell aligned ith the job. As the manager, your goal is to help your employee identify ho the talents align and identify ays to continue and leverage that alignment.

UDOT Documents and Tools 307   18 Utah Department of Transportation Support & Resources E ample, ohns top five talents are, 1. Activator Influencing People ho are especially talented in the Activator theme can make things happen by turning thoughts into action. They are often impatient. 2. Analytical Strategic Thinking People ho are especially talented in the Analytical theme search for reasons and causes. They have the ability to think about all the factors that might affect a situation. 3. elator elationship uilding People ho are especially talented in the elator theme enjoy close relationships ith others. They find deep satisfaction in orking hard ith friends to achieve a goal. 4. Individuali ation elationship uilding People ho are especially talented in the Individuali ation theme are intrigued ith the unique qualities of each person. They have a gift for figuring out ho people ho are different can ork together productively. 5. Includer elationship uilding People ho are especially talented in the Includer theme are accepting of others. They sho a areness of those ho feel left out, and make an effort to include them. Scenario ohns activator and his analytical sho as he suggests a ne ay to fast track projects. He recommends a method for ho the various team members can join together Includer to discuss project risks using a ne categori ation system Analytical he developed. He feels if the risks are lo , some projects could be fast tracked and started earlier Activator . Questions In hat ays can e support ohns request Ho should e respond to his suggestion and the ork he s put in so far hat kinds of resources do e think ohn may need

308 Implementation of the AASHTO Guide for Enterprise Risk Management 19 E amples of Support esources Examples of Support & Resources

UDOT Documents and Tools 309   20 Utah Department of Transportation Document & Follow Up Date Manager Employee Meeting type Current responsibilities and updates Employee's top five strengths. Employee’s perspective on performance How do job responsibilities align with the employee's strengths? Support/resources needed? Follow up date/time/method Coaching Notes

310 Implementation of the AASHTO Guide for Enterprise Risk Management 21 inal Practices Final Practices Scenario #1 An employee feels he she does better than the manager does. The employee is leveraging his her strengths ell but isn t receiving the coaching he she needs to improve. Once he she finds out about here to improve, he she does so. If you are playing the employee for this first scenario, please use your o n top five talents. If you are playing the manager, do your best to listen, learn, and lead. Scenario #2 An employee doesn t feel very motivated or engaged. Mostly this comes from a misalignment of strengths. The employees strengths are, 1. Achiever E ecuting People ho are especially talented in the Achiever theme have a great deal of stamina and ork hard. They take great satisfaction from being busy and productive. 2. ocus E ecuting People ho are especially talented in the ocus theme can take a direction, follo through, and make the corrections necessary to stay on track. They prioriti e, then act. 3. Discipline E ecuting People ho are especially talented in the Discipline theme enjoy routine and structure. Their orld is best described by the order they create. 4. Self Assurance Influencing People ho are especially talented in the Self Assurance theme feel confident in their ability to manage their o n lives. They possess an inner compass that gives them confidence that their decisions are right. 5. Includer elationship uilding People ho are especially talented in the Includer theme are accepting of others. They sho a areness of those ho feel left out, and make an effort to include them. If the manager can figure out ays to better leverage those strengths, the employee ill turn around.

UDOT Documents and Tools 311   22 Utah Department of Transportation Scenario #3 An employee performs above average but is no finding the ork boring because he isn t using his top five ell and only uses 3 of 5 regularly. The top five talents are, 1. esponsibility E ecuting People ho are especially talented in the esponsibility theme take psychological o nership of hat they say they ill do. They are committed to stable values such as honesty and loyalty. 2. Self Assurance Influencing People ho are especially talented in the Self Assurance theme feel confident in their ability to manage their o n lives. They possess an inner compass that gives them confidence that their decisions are right. 3. Ma imi er Influencing People ho are especially talented in the Ma imi er theme focus on strengths as a ay to stimulate personal and group e cellence. They seek to transform something strong into something superb. 4. oo Influencing People ho are especially talented in the oo theme love the challenge of meeting ne people and inning them over. They derive satisfaction from breaking the ice and making a connection ith another person. 5. Discipline E ecuting People ho are especially talented in the Discipline theme enjoy routine and structure. Their orld is best described by the order they create. He she doesn t just come out and say it because he she is scared that admitting it ill mean he she ill have to change to a ne job and he she loves the job. hen the manager figures out there aren t the right kinds of challenges, the manager should ork ith the employee to find ays to make the same job more interesting and to utili e his her talents and turn them all into strengths.

312 Implementation of the AASHTO Guide for Enterprise Risk Management 23 inal Practices Scenario #4 An employee ho e hibits a lot of futuristic and ideation strengths. ecause of that, he she has some ne ideas about ho things could be simplified or improved in ork but needs some additional resources to accomplish them requiring additional budget. Since you have no additional budget to spend, you need to think creatively ith the employee to resolve the resource needs. The employee s top five are, 1. Achiever E ecuting People ho are especially talented in the Achiever theme have a great deal of stamina and ork hard. They take great satisfaction from being busy and productive. 2. uturistic Strategic Thinking People ho are especially talented in the uturistic theme are inspired by the future and hat could be. They inspire others ith their visions of the future. 3. Ideation Strategic Thinking People ho are especially talented in the Ideation theme are fascinated by ideas. They are able to find connections bet een seemingly disparate phenomena. 4. Significance Influencing People ho are especially talented in the Significance theme ant to be very important in the eyes of others. They are independent and ant to be recogni ed. 5. Communication Influencing People ho are especially talented in the Communication theme generally find it easy to put their thoughts into ords. They are good conversationalists and presenters.

UDOT Documents and Tools 313   UDOT Asset Risk Management Process: is is the guide UDOT developed for assessing environmental risks to its corridors. e process contained in the guide is to be used as part of the long-term planning process for Utah highway corridors. UDOT ASSET RISK MANAGEMENT PROCESS June 2020 Risk Integration Approach The Utah Department of Transportation (UDOT) Risk Management Team was tasked to develop a risk management process to integrate and incorporate risk and resilience assessment into UDOT’s current decision-making processes. This UDOT Risk Management Process identifies, values, and prioritizes environmental threats to the UDOT transportation system. Incorporation of this Risk Process into existing decision-making processes will result in UDOT understanding and accepting or reducing environmental risk in the Utah transportation system.

314 Implementation of the AASHTO Guide for Enterprise Risk Management UDOT ASSET RISK MANAGEMENT PROCESS NOTICE This report was developed by the Utah Department of Transportation in accordance with a grant from the Federal Highway Administration (FHWA). The statements, findings, conclusions, and recommendations are those of the authors and do not necessarily reflect the views of FHWA or the U.S. Department of Transportation.

UDOT Documents and Tools 315   CONTENT INTRODUCTION GOA S O UDOT ASSET RISK MANAGEMENT PROCESS Definitions ................................................................................................................................................. uild on perience .................................................................................................................................. PROCESS O ER IE esilience of System ................................................................................................................................. UD T Asset is anagement rocess ................................................................................................... is anagement Wor ing roup ......................................................................................................... MODE ASED APPROAC Step dentify assets and environmental threats ..................................................................................... dentify Assets ......................................................................................................................................... dentify nvironmental Threats .............................................................................................................. Selected nvironmental Threats ............................................................................................................. Step ompute the is alue .............................................................................................................. onse uence ......................................................................................................................................... Threat robability ................................................................................................................................. is alue ............................................................................................................................................. Step dentify riticality ....................................................................................................................... apping riticality ............................................................................................................................... Step rioriti e is s ............................................................................................................................ STRATEGIC IMP EMENTATION O RISK apture nstitutional nowledge ............................................................................................................. ncorporate is in orridor lanning .................................................................................................... mplementation Steps ............................................................................................................................ ncorporate is into the ro ect Development rocess ......................................................................... MANAGE ASSET RISKS esponse ategories ................................................................................................................................ lanned esponse ................................................................................................................................. eactive esponse ................................................................................................................................ Update Data Sources ............................................................................................................................... onitor esults ....................................................................................................................................... APPENDI A RISK PRIORIT ANA SIS MET ODO OG APPENDI RISK PROCESS DE E OPMENT APPENDI C REP ACEMENT COST DE E OPMENT PROCESS APPENDI D USER COST DE E OPMENT PROCESS APPENDI E ITT E COTTON OOD CAN ON MUDS IDE CASE STUD

316 Implementation of the AASHTO Guide for Enterprise Risk Management UDOT ASSET RISK MANAGEMENT PROCESS I E Figure . is integration approach ............................................................................................................ Figure . Asset is anagement process flowchart ................................................................................. Figure . ncorporating is into orridor lanning ................................................................................ Figure . Asset ris response categories ................................................................................................... Figure . Triangle ris model .................................................................................................................. Figure . Triangle ris model with added ris ........................................................................................ Figure . Triangle ris model with reduced ris ..................................................................................... Figure . Triangle ris model refined ..................................................................................................... Figure . is probability graph ............................................................................................................. Figure . Total ris model ..................................................................................................................... Figure . is ratio model with ris to ero ......................................................................................... Figure . FHWA user cost formula ....................................................................................................... D T E Table . riticality criteria and weights .................................................................................................... Table . ridge dec and approaches field attributes added during analysis ......................................... A Table . o culverts field attributes added during analysis .................................................................. A Table . ipe culverts replacement cost estimates .................................................................................. A Table . ipe culverts field attributes added during analysis .................................................................. A Table . oad surface field attributes added during analysis .................................................................. A Table . Flood ris field attributes added during analysis ...................................................................... A Table . oc fall field attributes added during analysis ......................................................................... A Table . odeled earth ua e scenario results ........................................................................................ A Table . arth ua e ris field attributes added during analysis ........................................................... A Table . Time re uired to temporarily fi asset for different ris scenarios ....................................... A Table . User cost by asset and ris ha ard ........................................................................................ A Table . wner cost by asset and ris ha ard ..................................................................................... A Table . ormali ed criticality criteria ............................................................................................... A

UDOT Documents and Tools 317   INTR ODU CTION The Utah Department of Transportation (UDOT) Risk Management Team was tasked to develop a risk- management process to integrate and incorporate risk and resilience assessment into UDOT’s current decision-making processes. This UDOT Asset Risk Management Process identifies, values, and prioritizes environmental threats to the UDOT transportation system. The UDOT Asset Risk Management Process is one element of Asset Management, Project Identification, Corridor Planning, Project Development and other UDOT decision-making processes. Incorporation of this Risk Process into existing decision-making processes will result in UDOT understanding and accepting or reducing environmental risk in the Utah transportation system. Risk management is one element of the Utah Transportation Asset Management Plan (TAMP), which ensures alignment of investment strategies with the UDOT Strategic Goals. Assessing and addressing asset environmental risk as part of Asset Management ensures assets are managed in the most cost-effective method to keep the Utah transportation system in a state of good repair. Figure 1 . Risk integration approach The UDOT risk decision-making process is data driven and transparent and is to be used for transportation project identification, development, and selection. This report details the overall risk process and the appendices define detailed steps and support information key to the transparency and repeatability of the process. GOAL S OF U DOT ASSET R ISK M ANAGEM ENT P R OCESS The UDOT Asset Risk Management Process has the following goals: • Support the achievement of the UDOT strategic goals and performance measures. • Provide greater clarity and transparency to the public for UDOT’s decision-making processes. • Encourage qualitative, thoughtful analysis by key decision makers in the organization when prioritizing funds, personnel, and resources to projects and activities. P age 1

318 Implementation of the AASHTO Guide for Enterprise Risk Management UDOT ASSET RISK MANAGEMENT PROCESS • mprove allocation and prioriti ation of resources by weighing ris s along with contribution to strategic goals. To accomplish these goals, UD T has developed a process to incorporate asset ris analysis into e isting decision ma ing processes throughout UD T. The asset ris analysis process is intended to have the following characteristics • Collaborative. deas and suggestions from a variety of sources are incorporated. • Transferable. ther transportation agencies are able to use what UD T develops. • Tailorable. Steps within the process may be tailored to wor with the culture, structure, and goals of other organi ations. • Consistent. The process is model based so that calculations can be consistently generated. D elow are definitions of terms used in this report as they relate to the UD T Asset is anagement rocess. • Consequence is the total cost to include owner cost plus user cost. • Criticality is a measure of the importance of a specific location to the functioning of the overall transportation system. For the statewide ris analysis the criticality measure is the combination of AADT, Truc ADT and redundancy. • Event is an environmental threat that has occurred or may occur in Utah. vents are currently limited to roc fall, avalanche, debris flow, flooding and earth ua e with respect to bridges. • Hardening is the process of modifying an asset to increase the ability of the asset to withstand environmental events. Hardening an asset lowers ris by shifting the event at which it will fail to one of lower probability. • Impeded flow is the slowing of traffic flow that occurs during construction of asset repairs or replacement. mpeded flow delay costs are lin ed to construction costs. • Mitigation is any strategy that reduces the ris from environmental threats to an asset or the transportation system. • Owner cost is the repair or replacement cost of an asset damaged or lost to an environmental event. • Probability refers to the annual probability of each threat occurring. • Rapidity is the ability to restore functionality in an accelerated manner measured against standard closure or repair times. • Redundancy is a measure of alternative routes available to the impacted location and is included as a criticality measure along with AADT and Truc ADT. • Replacement cost e uals wner cost. • Resilience is the ability of the transportation system to recover and regain functionality after an environmental event. esilience increases as ris and or criticality decreases. • Resourcefulness is the ability to identify, diagnose, and treat transportation disruptions with available resources.

UDOT Documents and Tools 319   • Ris event ori on is the slope m of the ris curve and is the change in ris divided by the change in probability. • Robustness is the ability of an asset to withstand an event without significant loss of performance. Design standards set the level of robustness for asset e posure to environmental threats. obustness is increased through asset hardening. • Total cost includes the owner and user costs of any asset failure or damage. • Total ris value is the sum or integration of all ris s from the probable beginning of damage to the probable point of asset failure. • ser cost is the vehicle running cost and the lost time cost due to additional travel time related to the damaged or lost asset. • ensitivity is a measure of how much damage will occur when a probable event occurs. E UD T completed two pilot studies over a period of years to develop a framewor for assessing asset ris and for proactively investing in measures that reduce asset ris and damage that results from environmental events such as severe weather, flooding, and earth ua es. oth pilot studies involved numerous UD T employees, who were tas ed to e amine ris from a variety of perspectives. The first pilot study, which focused on portions of , produced ( ) definitions of relevant environmental threats (events), ( ) estimates of the probability of such events, ( ) possible financial losses that may result, and ( ) the best opportunities to harden assets against damage resulting from environmental events. The second pilot study, which was funded by the Federal Highway Administration (FHWA), focused on integrating asset ris management into UD T s e isting practices and procedures. This study resulted in a methodology for the ualitative assessment of ris to the Utah transportation system based on the environmental threats and assets selected in the first study. This study also compared uantitative and ualitative approaches to ris analysis. This comparison illustrated that a uantitative approach is superior to a ualitative approach if uality data are available. UD T subse uently developed an Asset is anagement rocess, which is a combination of ualitative and uantitative analysis based on FHWA guidance. The Asset is anagement rocess e plains the lessons UD T learned from the pilot studies. t also builds on the methodology of is Analysis and anagement for ritical Asset rotection ( A A ), which is a ris analysis program developed by AS nnovative Technologies nstitute, . The UD T approach combines e isting data with valuable institutional nowledge. The UD T process is intended to be incorporated into other UD T decision ma ing processes over time. OCE O E IE R S esilience provides a comprehensive measure to compare one area of the transportation system to another and to compare response options for lowering ris in any area. When the cost and improvement to resilience is nown, it is possible to compare benefit cost ratios and then choose the best ris response option. esponse options include proactively maintaining assets in fair and good condition. This concept is reflected in the adage that good roads cost less . ptions also include preparing for

320 Implementation of the AASHTO Guide for Enterprise Risk Management UDOT ASSET RISK MANAGEMENT PROCESS environmental events with a response plan document for each forecasted event and disruption. The Utah TA is the overall plan for asset management. Asset ris assessment is one component of the TA , and resilience is one of its ob ectives. esilience against environmental threats means forecasting what could happen, responding to the conse uences of a disruptive event and loo ing ahead to be readier than before to face future disruptions. n this way, resiliency is an important indicator of how well the current system is running through proactive maintenance and operations and preparedness to minimi e or avoid future disruptions. esilience decreases as asset condition deteriorates so maintaining assets as the TA details is important to retaining system resilience. Appendi includes a detailed discussion of the relationship between ris and asset condition. esilience is inversely proportional to ris and criticality. esilience increases as ris and or criticality decreases. Resilience ris criticality mprovements to resilience can come from improvements in rapidity, resourcefulness, robustness, and redundancy. • Rapidity is a measure of the speed of restoration of functionality after an event compared to a standard response speed. This impact to resiliency is captured in decreased user costs related to facility closure and impeded flow during repair. • Resourcefulness measures the availability of ade uate resources to respond to an event. esourcefulness is closely aligned with apidity and is captured in decreased user costs. • Robustness is a measure of the strength of an asset or area to withstand environmental events without significant degradation or loss of performance. obustness is increased by hardening an asset to withstand more severe environmental events. t is inversely proportional to ris . is decreases as assets are made more robust. • Redundancy is a measure of the availability of alternative routes to circumvent the area affected by the environmental event. edundancy is one of three criticality measures used in the process along with AADT and Truc ADT. t is inversely proportional to ris . The more availability of alternative routes the lower the ris and criticality of an area relative to other areas. mproving the resilience of the UD T system decreases the environmental ris s to the system. UDOT A R M P The intent of the UD T Asset is anagement rocess is to identify potentially destructive environmental events, prioriti e ris s, develop response strategies with appropriate return on investment, calculate costs and probability and strategically implement ris analysis into other UD T decision ma ing processes. This model based approach provides a consistent method of calculating and analy ing ris that can be tailored to statewide, UD T region, corridor or pro ect level views. The approach includes numerous steps that fit into the flowchart depicted below.

UDOT Documents and Tools 321   Figure 2 . Asset Risk Management process flowch art Identify the asset and environmental threat (event) pairs to be analyzed. Identify and weight criticality criteria to prioritize transportation system locations. Calculate the consequence by combining owner and user costs of the event. Add the probability to compute the risk value for a specific location or state wide. Prioritize risk by response zones by combining risk value and criticality to identify the highest risk locations. Identify asset-hardening options to improve system robustness for highest priority locations. Calculate return on investment for each option and include the best option in a project scope. Incorporate risk into the UDOT corridor planning process and into the project selection processes to ensure risk is reduced or accepted through project completion. Monitor risk and update data sources as projects are completed, develop plans for response strategies that do not include robustness and document decisions and modify processes. The cost models included in this process are used for comparing one risk to another and one hardening option to another. The calculated costs are not accurate for construction purposes but provide consistent and repeatable data for comparing risks. The overall process has been developed to fit UDOT’s current structure and processes. The user may want to modify any and all steps to fit other situations. P age 5

322 Implementation of the AASHTO Guide for Enterprise Risk Management UDOT ASSET RISK MANAGEMENT PROCESS R M G The is anagement Wor ing roup consists of representatives from the central office, regional planners, and other region disciplines. This group was instrumental in developing the ris process and will be ey to future refinements and implementation. The roup s responsibilities specifically include the support and refinement of the UD T ris management process through the following activities • stablish criteria and weights used in the statewide criticality measure. • ollaborate on the development of user and owner cost models. • ollaborate on the ris analysis methodology. • Set the State s threshold for robustness analysis. • ollaborate on improvements to the redundancy criteria used in the criticality measure. • Develop a performance measure for ris reduction. • Help develop a process to consider ris in the ST process. • hampion the capture of robustness in concept development process. • hampion the improvement of design standards to reduce ris . *Over time and with experience, robustness thresholds will be set for risk analysis. The highest risk priorities will be analyzed first and analysis will continue down the prioritized list until no benefit is found. This will help to set a realistic robustness threshold. O E E O C S I I A The is anagement Wor ing roup built on the wor done by participants in prior ris studies to establish assets to be addressed in the UD T ris process. The previous two pilot studies resulted in selection of the four asset categories bridge, culvert, non culvert, and roadway. The is anagement Wor ing roup reviewed the selection process of the two prior studies and agree that the following assets be considered in the current UD T Asset is anagement rocess • ridges • ridge approach slabs • oadways • ulverts ther assets may be added as the process matures and additional asset condition data becomes available. ASS T DATA T UD T collects visible asset data on a yearly basis using an instrumented van. The van collects pavement surface condition data, uses idar to provide geometric data, and completes a photo log to capture visible assets such as signs, guardrail, striping, etc. ess visible data, such as culverts, re uire a manual data collection process that is not completed annually. Structures have a continuous inspection process to collect data on a year cycle. All these efforts help identify, locate, and trac assets and their current condition.

UDOT Documents and Tools 323   I E T nvironmental threats included in the UD T Asset is anagement rocess were identified through multiple steps and the participation of many people, including two pilot studies. STUD S is analysis studies for and US were overseen by wor ing groups consisting of representatives from the regions and central office. These groups included engineers responsible for construction and maintenance personnel. n addition there were e perts in structures, geotech, hydraulics, and planning. The environmental threats selected by these wor ing groups were earth ua e li uefaction, fire, flood debris, flood overtop, flood scour, and pro imity to railway, oil gas pipeline, water pipeline, and water in canals and ditches. n the prior studies an evaluation to estimate potential costs of these threats shows the pro imity threats to be minor relative to environmental threats of earth ua e and flood. The is anagement Wor ing roup repeated this effort to identify environmental threats to consider in the UD T process. elow is a list of potential threats identified by the group. • arth ua e • i uefaction • Wind • andslide • Debris flow • Fire • oc fall • Winter Weather • Sin hole • oad • Flood • ightning • Avalanche S E T oth lists provide valuable insights into threats to the Utah transportation system. The ob ective of the UD T Asset is anagement rocess is to identify the environmental threats for which response strategies will reduce or eliminate the ris . Discussions by the is anagement Wor ing roup members resulted in the following decisions • ow value ris s such as the pro imity threats in the first table will be responded to appropriately if they occur. • Fire events have very little impact on assets and there are no reasonable options for hardening assets against fire. Therefore, fire is addressed as it relates to the resulting debris flow. • arth ua e ris is significant and there are no nown options for hardening assets, e cept for bridges, to earth ua e or li uefaction events. ridges should be included in ris prioriti ation and robustness analysis for earth ua es. • The environmental threats that are included in the UD T Asset is anagement rocess are o Flooding o oc fall o Avalanche o Debris flow o arth ua e with respect to bridges

324 Implementation of the AASHTO Guide for Enterprise Risk Management UDOT ASSET RISK MANAGEMENT PROCESS S C R The ris definition developed by the FHWA is ris consequence t reat. The value of ris in the two pilot studies used the methodology of is Analysis and anagement for ritical Asset rotection ( A A ) developed by AS nnovative Technologies nstitute, . n the A A formula a vulnerability term is added (ris consequence t reat vulnerability). ulnerability is defined in this process as the probability that an event will cause the estimated damage and in the A A formula is derived from a ualitative process using empirical analysis and engineering udgement. However, to compute ris value vulnerability is only needed at the failure probability. At the failure probability vulnerability is so the e uation reverts to the FHWA definition of ris value as Ris value consequence t reat probability C There are two components of conse uence related to environmental threats wner costs and User costs. wner costs are the repair or replacement cost of an asset damaged or lost to the event. User costs are vehicle running costs and lost time due to additional travel time related to the damaged or lost asset. The upper boundary for owner and user costs is set as an event that totally destroys an asset which will be replaced using current standards and best practices. Consequence total cost owner cost user cost The purpose of calculating owner and user costs is to support the prioriti ation of asset ris s and comparison of asset hardening alternatives. Therefore, a model based approach is applied to cost analysis using fundamental asset parameters to compute owner and user costs. This creates a consistent and repeatable process to compare one cost estimate to another. The costs are high level estimates of the average costs and times to replace an asset for each type of event. The costs are not accurate enough nor intended to be used for budgeting purposes at the pro ect or corridor level. These estimates are part of the ris process to create consistency in establishing priorities and comparing return on investment results for hardening alternatives. wner cost is the combination of the cost of the temporary repair to restore traffic flow and the cost to replace the damaged asset to current standards and unimpeded traffic flow. wner costs are included in the ris map display and details. The cost model for calculating owner costs for pavement, bridges, bo culverts, and pipe culverts are found later in this document. Further definition of owner costs is detailed in Appendi . User cost for replacement of a damaged asset is the combination of the user cost during the initial full closure for temporary repairs and the impeded flow costs during the replacement of the asset. User costs are included in the ris map display and details. The user cost model for pavement, bridges, bo culverts and pipe culverts is found later in this document. Further definition of user costs is detailed in Appendi D. T P An annual probability of each threat (flood, roc fall, avalanche, earth ua e, and debris flow) was developed using authoritative procedures. The specific methods used to define each threat probability are defined in Appendi A.

UDOT Documents and Tools 325   R is value is computed by multiplying the conse uence by the probability that the threat will occur. The ris value has been mapped on the UD T transportation networ for each of the four assets and color coded by levels of total value. The resulting total ris by asset map is an interactive U lan map in the associated lin . Ris Priority nalysis https bit.ly e S I C riticality is a measure of the importance of a specific location to the functioning of the overall transportation system. riticality is developed from UD T internal data sources and helps to establish the relative importance of selected locations. riticality may consist of a variety of criteria such as AADT, Truc olume, Distance to aintenance shed, conomic value, edundancy, and may be tailored to the goals and ob ectives of a specific location. y applying a weighting factor to each criterion it is possible to emphasi e the most important criteria and analy e many alternatives to address ris . riticality criteria may consist of what is important to an agency now and be changed to reflect what is important in the future. This fle ibility enables the development of a statewide view, region view, corridor view, or pro ect view of ris . The criticality model is a fle ible and powerful tool for ris prioriti ation and analysis. riticality criteria for the Utah state wide view has been set by the is anagement Wor ing roup. riticality for each corridor will be set by the corridor planning team and criticality at the pro ect level will be set by the concept development team. The is anagement Wor ing roup set the following criteria and weights for statewide criticality. T C CRITERIA EIG T T T T M C The is riority analysis map uses the is anagement Wor ing roup criteria for criticality and displays the criticality for threat asset pairs across the state in different colors to represent route criticality from high to low. riticality is displayed with weighting applied to the criteria and with the criteria unweighted giving a planning team the ability to use weights and factors appropriate to a specific corridor or pro ect. The formula and steps used to create this map are detailed in Appendi A. S P R The calculation for the analysis to prioriti e ris s is ris value multiplied by criticality to generate a single number. This number gives us ris priority the higher the value of ris times criticality the higher the priority. Ris priority ris value criticality is priority is mapped on the UD T transportation networ and color coded by level of priority. The resulting ris priority map is interactive in the associated lin available here https bit.ly b

326 Implementation of the AASHTO Guide for Enterprise Risk Management UDOT ASSET RISK MANAGEMENT PROCESS T TE IC I E ENT TION O I The UD T ris process is intended to be strategically implemented into other UD T decision ma ing processes. nitial implementation of the ris process will be at the corridor and pro ect development level. valuation at either level includes incorporating institutional nowledge from all participants into the ris evaluation and analy ing ris for potential mitigation options. C I K is s that are not identified by data sources are captured by the nowledge and e perience of corridor and pro ect planning participants that include ities, ounties, and s as well as UD T staff. articipants do a visual wal through of the corridor or pro ect using the photo log captured while gathering pavement condition data. This enables UD T to fill the gaps in data with the nowledge and e perience of the participants, and to set ris priorities and thresholds to meet established corridor and pro ect goals. Data gaps e ist because regular inspection programs are lac ing, data is not reported, and data driven ris analysis does not include every possible ris . As an e ample, culvert condition data collected by maintenance crews is not reported bac to the central office. aintenance representatives included in the corridor and pro ect planning processes help to capture this institutional nowledge. The output of the corridor planning process is a corridor master plan to include corridor specific criteria and weights for the criticality measure, a prioriti ed list of ris s, and a ris criticality threshold of ris s to be analy ed. Through this collaborative process the ris mitigation strategies are compatible with corridor goals and have the support of all sta eholders. The output of the pro ect development process is a pro ect scope that includes asset hardening solutions in the pro ect budget if the analysis results in hardening solutions that show appropriate return on investment. I R C P mplementing the UD T Asset is rocess into the Solutions Development process will allow ris to be evaluated and asset hardening options to be analy ed at the same level as elements to address safety, preservation, and mobility goals. The UD T Solutions Development process creates a corridor vision that defines how the roadway corridor will be used. All modes of transportation and freight movement are considered. This planning process allows UD T to develop holistic pro ects based on community goals, and ma e strategic decisions about individual pro ects within the corridor including scope and timing. The ris priority map is an input to the UD T Solutions Development process. ncorporating ris into the corridor level of planning allows ris reduction to be incorporated into future pro ects and the cost weighed against other pro ect needs.

UDOT Documents and Tools 327   Figure 3 . Incorporating Risk into Corridor Planning Implementation Steps The risk priority analysis map depicts the risk along each roadway in 1 /1 0-mile segments. In order to analyze risk in the corridor the following steps should be followed during the Solutions Development process. 1 . Note the type of risks at locations along the corridor in order to develop possible asset-hardening options using Total Risk by Segments in the Risk V alue map tab. 2 . G ather institutional knowledge related to other known risks within the corridor that is not captured in the map. G enerate owner and user cost details for these additional risks. 3. Select the locations of highest risk for asset hardening analysis. 4 . Record the owner and user cost details from the Total Risk by Segment map tab for each selected location. 5. B rainstorm asset hardening or other risk mitigation options for each selected location. 6 . Develop cost estimates for each option. a. Use the Replacement Cost model in this document, if pertinent, to asset-hardening options. b. Use unit costs from the construction database for other mitigation options. c. Use the User Cost model in this document for total closure and impeded flow days estimated for each option. 7 . Estimate percentage of risk reduced by each risk mitigation option. 8 . Calculate benefit per cost of risk reduction for each option to select best option(s). 9. Calculate pay-back period for each selected option to make go/no-go decision. 1 0. Incorporate selected options into the corridor plan for future proj ects. Incorporate Risk into t h e Project Development Process If a corridor plan is not available, the UDOT Asset Risk Management Process can be incorporated into the proj ect-development process. The same steps detailed above for the Solutions Development process can be used at the proj ect level. P age 13

328 Implementation of the AASHTO Guide for Enterprise Risk Management UDOT ASSET RISK MANAG EMENT PROCESS M ANAGE ASSET R ISK S The highest-level risks are addressed in the planning for corridors and proj ects. Remaining risks require different levels of response. Response Categories With risk value and criticality computed, risks are prioritized into three categories of response. • The highest risks, those with high risk value and high criticality, will be analyzed for alternatives to mitigate the risk by hardening the asset to increase robustness of the physical assets that may be affected by the event. • Risks with a lower risk value and/or lower criticality or those with no asset hardening alternatives will be assigned to the Planned Response category. This category involves documenting a response to be initiated when the event occurs. This planned response will include details of communication and equipment to be used. • The lowest category of risk indicates that UDOT will respond to the event, if it occurs, making necessary repairs to the damaged assets and opening the roadway to free-flowing traffic. Figure 4 . Asset risk response categories Each category of response is separated by a threshold. The boundaries between Robustness and Planned Response (Robustness Threshold), and Planned Response and Respond to Event (Planning Threshold) are not fully developed. It will take time and experience for the Risk Working G roup to establish these threshold boundaries. Planned Response Hardening assets to avoid or minimize environmental damage may not be the best use of limited resources. Responding to environmental damage may be a better option. A planned response is preferred when the damage is large scale or occurs on critical routes. Available equipment should be identified in order to mobilize as quickly as possible in a planned sequence of events. The goal of a planned response is to make temporary fixes and open routes as quickly as possible while more extensive repairs are planned and executed. F or general planned responses UDOT developed an Emergency Operations Plan (EOP) with an Emergency Operations Center/Department Operations Center (DOC). The steps taken are preparedness, P age 14

UDOT Documents and Tools 329   response, and recovery. reparedness lessens the time it will ta e to respond, and then speeds the recovery process. reparedness relates directly to apidity and esourcefulness in the is rocess. reparedness includes ) dentifying the most li ely and most catastrophic events ) dentifying vulnerabilities to assets, personnel and UD T mission ) ontinuity of perations lans ontinuity of overnment which address a) ey UD T asset function identification b) ey personnel roles and responsibilities c) rime vendor identification ) nformation management and dissemination UD T Structures Division includes a planned response for events causing structural damage in the ridge anagement anual. hapter of the manual includes communication, e uipment, procedures, and priorities for responding to an emergency event. R R When a plan does not e ist UD T responds as needed to an event. A reactive response is the best option for the lowest priority ris s. t is appropriate for fre uently occurring events that cause little or no damage to assets and can be uic ly cleared by maintenance resources. A mudslide in ittle ottonwood anyon that occurred Aug , demonstrates UD T s ability to respond and the process of reacting. The details of the damage and UD Ts reaction is found in Appendi . U D S t is important that the outputs from the ris process are updated regularly to ensure they are accurate inputs to all UD T decision ma ing processes. As previously e plained, data for pavement and bridges is repetitively collected. Some data e ists for culverts which is augmented with institutional nowledge in the corridor or concept process. A process for recording this captured nowledge still needs to be developed. Threats will be reviewed annually by ree amining the national data sources to update the ris priority map. obustness improvements will be e tracted from pro ect data. There is a process in place to regularly update the map of assets repaired by emergency funding. A process to update the ris map as pro ects are constructed is a critical feedbac loop that still needs to be developed. M R apturing data and lessons learned from significant environmental events is a process under development. aluable insight is gained by a review of our response and the suggested improvements from the individuals involved adds valuable options to consider in ris management. Development of plans is underway for response strategies that do not include asset hardening. The UD T Asset is anagement rocess team will continue to document decisions and modify processes as lessons are learned through process implementation.

330 Implementation of the AASHTO Guide for Enterprise Risk Management EN I I IO IT N I ET O O O O is is a broad concept, and while managing it is necessary, measuring it is comple . This pro ect approaches ris as the intersection of three concepts assets, threats, and criticality. y e amining each of these features, real world measurements can be ta en to guide decision ma ing. Here, e isting S data are leveraged into a framewor that allows managers to integrate ris modeling into their corridor plans that reflect the three concepts. Assets are the infrastructure elements that may be e posed to ris . Assets include bridges, bridge approaches, culverts, and road surfaces. To create measurable and comparable outputs, assets are measured in dollars to represent the replacement cost. Threats are considered here to be events that could ( ) directly damage the assets, and ( ) could be mitigated with planning. While more threats e ist than are e amined here, the threats have been narrowed to represent spatially e plicit, infrastructure altering events. These ris events include flooding, roc falls, avalanches, earth ua es, and debris flows that may result from wildfires. These items are measured as annual probabilities, and the final dataset e presses the combined probability of a threat event occurring. While nowing where threats and infrastructure intersects is important, on its own it does not help prioriti e management decisions. To do this re uires a measure of how important the infrastructure is and how great the threat against it may become. n this methodology, criticality introduces this prioriti ation factor by e amining networ function as measured by daily passenger vehicles and truc volumes. oad closure scenarios are modeled to e amine the daily delay cost, measured in time and mileage increase, for nearest alternative route. Finally, criticality is combined with ris value to calculate final ris priority. ach of these elements is processed according to the following methodologies and placed in the conte t of a web application that can be used as the foundation for better ris management planning. P A A D O C Spatial and attribute data were ac uired from UD T sources for bridges, bridge approaches, bo culverts, pipe culverts, and road surfaces. arious methods were used to standardi e the data for analysis, including modifications to geometries and attributes. Additional calculations were performed to calculate replacement and repair costs. Specific details are provided below. R S All asset features were aligned to UD T s inear eference System ( S). The S was ac uired from (https maps.udot.utah.gov arcgis rest services S outes apServer) and segmented into . mile units to enable a finer resolution to display assets and threats to identify areas of interest. Segment continuous lines in the S layer into tenth mile (. mile) units • Using S, add points every feet (. mile) with the enerate oints Along ines tool. • Use points to split the S layer into . mile segments with the Split ine at oint tool. • Discard all data e cept the shape and label attributes. The process split the original S layer, with , features, into the target S layer, with , features.

UDOT Documents and Tools 331   After owner costs were calculated for all asset features, as described below, they were aggregated bac to roadway segments for use in later phases of the pro ect. D A ridge location was obtained through UD T s online S services (located online at https maps.udot.utah.gov arcgis rest services UD T ridges ublic yShed apServer). The data were filtered down to only the collection of state owned vehicle bridges. Attributes for dec area and approach slabs were obtained from TUS database connections as described in table below. T IE D ADDED DESCRIPTION DATA SOURCES CA CU ATIONS PER ORMED RATIONA E T T OT CO OT ONT I I T C T OT C T O C I T T T OT CO OT ONT I I T C T T T I C OT I T T C T N Spatial location of bridges did not overlap precisely with S road segment spatial data. n order to assign bridge attributes to segments a script was developed to move bridge points to the closest road segment of the same road name. n this way bridges were moved to the correct road and traffic direction.

332 Implementation of the AASHTO Guide for Enterprise Risk Management Fields were added to this dataset to calculate the cost per s uare foot, replacement cost, user cost, repair cost, conse uence, and temporary repair cost. Descriptions of the fields added and how items are calculated are shown in the table above. C o culverts were included in the bridge data as described in the ridge section and processed in the same manner as bridges. Data were obtained through UD T s online S services (located online at https maps.udot.utah.gov arcgis rest services UD T ridges ublic yShed ). The data were filtered down to only the collection of state owned bo culverts. Attributes for dec area and approach slabs were obtained from TUS database connections as described in table below. T IE D ADDED DESCRIPTION DATA SOURCE CA CU ATIONS PER ORMED RATIONA E T T OT CO OT ONT I I T C T OT C T O C I T T I C OT I T T C C I T N

UDOT Documents and Tools 333   P C ulvert analysis used UD T feature service (https maps.udot.utah.gov arcgis rest services omple ulverts Authoritative FeatureServer). This dataset contains nearly , features representing culverts owned by UD T (for this pro ect, bo culverts are considered separate from pipe culverts). The locational and attribute accuracy varies significantly across the dataset and modifications were necessary for this analysis. Attributes for culvert si e and length were available for a subset of the culverts. For those culverts with attributes, the table below was used to calculate replacement cost. For culverts that were missing values for either diameter, length, or both, an average replacement cost was calculated using culverts with nown values. The spatial location of mapped culverts did not always overlap with S road segments. To assign culverts to the segments, culverts that intersected segments had their associated data applied to the road segment at the intersection. ulverts that had no spatial correlation but were used as place holders were converted to points. These points were then applied to the nearest segment and data were assigned spatially. Simplified culvert replacement cost table (provided by ason Henrie, ro ect anager at Stanley onsultants). eplacement cost estimates calculated by W ST. T P CU ERT PIPE DIAMETER INC REP ACEMENT COST OOT ESTIMATED REP ACEMENT COST OR CU ERT IT KNO N DIAMETER UNKNO N ENGT Fields were added to this dataset to ensure that the origin of costs was documented, then these costs were calculated. The fields include

334 Implementation of the AASHTO Guide for Enterprise Risk Management T P IE D ADDED DESCRIPTION DATA SOURCES CA CU ATIONS PER ORMED RATIONA E C E C C C E C I C OT I C T C OT I C R S These data were pulled from UD T feature service (http maps.udot.utah.gov arcgis rest services F SurfaceArea apServer) with Surface Type, Surface Area S FT, olume D, eplacement ost, User ost, and epair ost fields added. The road surface layer came as a multi part polygon. The data were manipulated by separating the multi part geometries into individual polygons, then converted to points by using the centroid of the polygon. These points were then snapped to the appropriate S segment for future spatial referencing. Descriptions and calculations of these fields are as follows

UDOT Documents and Tools 335   T R IE D ADDED DESCRIPTION DATA SOURCES CA CU ATIONS PER ORMED RATIONA E T N I C T CONC ETE T C T O C C OT I C OT I C T CO T T C OT I C T CO T P S P T D Threats identified as having potential to damage assets and that can be mitigated with planning include flood, roc fall, avalanche, earth ua e, and debris flow. is layers were either sourced from authoritative data providers or developed following procedures from literature. As with the asset data, various methods were used to standardi e the threat data along the S segment layer. The specific methods used to prepare each threat layer is described below. R The Federal mergency anagement Agency (F A) flood ris data are used to calculate probabilities for flooding based on and year flood ones. Utah does not currently have complete flood ris map coverage. Spatial data from F A s Flood nsurance ate aps (F ) are available from the A for a portion of Utah. For other portions of Utah only static maps are available while some areas do not have flood maps. For this analysis, e isting digital data were used where possible. Static maps were digiti ed in areas that intersected UD T highways using the following method • eoreference images in S using SS or other reference points • Digiti e the shape as polygon data inside the e isting flood one data As with asset data, many fields needed to be added and calculated to create a useful dataset. These fields included

336 Implementation of the AASHTO Guide for Enterprise Risk Management T IE D ADDED DESCRIPTION DATA SOURCES CA CU ATIONS PER ORMED RATIONA E C T T O C R R oc fall ris uses the roc fall ha ard rating system produced in by Utah State University ( ac et al.) to calculate segments of road at ris for roc fall damage. This analysis calculated an annual probability roc fall ris based on the roc fall is field in the original attribute table. T R IE D ADDED DESCRIPTION DATA SOURCES CA CU ATIONS PER ORMED RATIONA E I The geometry of the Utah State University roc fall data was incorrect, not matching the route and milepost information in the attributes. eometries were recreated using the route and milepost attributes along the S. ow the roc fall ris map identifies the correct locations for roc fall ris . Some of the attribute data was cleaned before recreating the geometry . outes labelled as a route were changed to the UD T label of indicating direction of travel to match the S, and for start and end mileposts of e actly the same values (a point) the end milepost value was e tended . so the location would show as a small line. A R A historic avalanche location dataset was ac uired from the Utah Avalanche enter which provided point locations for nown avalanche occurrences in Utah over the last years. For this analysis, only points from the last years were used due to spatial inaccuracy issues with the older points. Avalanche points were then manually filtered based on their pro imity to UD T highways such that avalanches not near a highway or that could be determined to have no impact to a highway were e cluded from analysis. The remaining avalanche points were then manually moved to the nearest highway segment which would li ely be impacted by the avalanche. n this way highway segments which have a documented ris for avalanche could be identified. Avalanche probabilities were assigned to each segment by tallying the number of avalanches that have occurred for each segment over the last years and multiplying by to determine the year avalanche probability.

UDOT Documents and Tools 337   E R arth ua e ris was only assessed for bridges because it was determined that bridges are the only asset that can be sufficiently hardened to mitigate the ris of damage from earth ua es. ther assets are e cluded from potential mitigation and will be addressed through a planned response to an event. UD T ( ebecca i ) provided bridge damage result tables from nine earth ua e damage models run for hypothetical earth ua es centered at different locations along three ma or Utah fault lines, the ast ache, Hurricane, and Wasatch faults. Among other data, each model produced an estimated Damage evel indicated by one of five colors (see table below). stimated bridge damage includes considerations for the current condition of each bridge. This methodology combined the results of all the models into one dataset by e tracting the ma imum damage level for each bridge across all the model results and then combining with the probability of an earth ua e magnitude . over the ne t years. arth ua e probability assigned according to the wor ing group study on Utah earth ua e probabilities report (https ugspub.nr.utah.gov publications misc pubs mp mp .pdf). • . Wasatch Fault S ast ench • . Wasatch Fault righam ity • . Wasatch Fault ephi • . Hurricane Fault • . Wasatch Fault S enchman • . Wasatch Fault Weber • . Wasatch Fault rovo • . ast ache Fault T M DAMAGE E E DAMAGE E E UDOT ACTIONS DE A E PECTED N O C N N N M C E R • Using a python script, iterate through each fault one to compare it to the bridge points from each layer and e tract the ma value at each point across the different fault scenarios. This information is stored in the damage level field. The name of the fault that is aligned to the damage measurement is stored in the Fault ame field. • e t, calculate arth ua e probability according to the wor ing group study on Utah arth ua e robabilities report (https ugspub.nr.utah.gov publications misc pubs mp mp .pdf). The fault identified in the Fault ame field from step is aligned to data from the report that states the probability that a . magnitude earth ua e will occur within years. This number is then divided by to represent an annual ris and stored in the ercent rob field.

338 Implementation of the AASHTO Guide for Enterprise Risk Management • ample the probability of a . magnitude earth ua e happening anywhere along the Wasatch fault is in years. The probability number of . comes from . to provide the annual probability of occurrence of . for any given year. A list of all added fields in this dataset follows T E IE D ADDED DESCRIPTION DATA SOURCES CA CU ATIONS PER ORMED RATIONA E N C C N T N C E E N T E C D M A custom debris flow model was developed for the entire state of Utah following procedure outlined in the document developed by the United States eological Survey (Stevens et al., ). The model uses the following datasets to calculate debris flow probability along state roads • Watershed atchments and flowlines from the ational Hydrography Dataset lus High esolution ( HD lus H ) Watershed catchment layer. (https www.usgs.gov core science systems ngp national hydrography nhdplus high resolution What s t) o reprocessing steps ( ) Download data from all HU watersheds in Utah. ( ) erge catchment layers into a single vector layer clipped to the Utah boundary. ( ) erge flowlines into a single vector layer clipped to Utah boundary. • recipitation from AA s Hydrometeorological Design Studies enter, recipitation Fre uency Data Server. Semiarid Southwest olume, recipitation Fre uency stimates, artial Duration Series, ear Average ecurrence nterval, inute Duration. (https hdsc.nws.noaa.gov hdsc pfds pfds gis.html) o reprocessing steps ( ) Download data. ( ) ultiply raster by , to get inches, then multiply by . to get millimeters.

UDOT Documents and Tools 339   • Soils data (clay and li uid limit) from USDA and S s ridded ational Soil Survey eographic Database (g ATS ). (https www.nrcs.usda.gov wps portal nrcs detail soils survey geo cid nrcseprd ) o reprocessing steps ( ) Download state data. ( ) oin tables chori on, component, and map unit. ( ) Summari e (average) representative clay content and li uid level by map unit to get clay and li uid level for each map unit. ( ) Divide percentages by to get ratio for input into model parameters. • Forest cover from the ational and over Database ( D) dataset (https www.mrlc.gov national land cover database nlcd ) o reprocessing steps ( ) Download US data. ( ) lip to Utah oundary. ( ) eclassify such that three forest classes (raster value , , ) are all others . • Slope watershed roughness from A meter statewide digital elevation model. o reprocessing steps ( ) alculate percent slope raster. ( ) alculate greater than or e ual to using spatial analyst. ( ) alculate watershed roughness elevation ((ma min) (s rt (area meters)) • Utah Division of atural esources Wildfire is Assessment ortal Wildfire Threat o This is a number that is closely related to the li elihood of an acre burning and is displayed in the Utah W A by the Fire Threat nde . The Fire Threat nde is derived from historical fire occurrence, landscape characteristics including surface fuels and canopy fuels, and percentile weather derived from historical weather observations and terrain conditions. These inputs are combined using analysis techni ues based on established fire science to develop resultant fire behavior. M C D P The methodology for Debris Flow robability is as follows P e e Publis ed x . . . R . . I . C . pplied x . . . R . . I . C . The coefficient on basin ruggedness was modified to a positive value under the assumption the basin ruggedness has a positive relationship to the probability of debris flow. t is thought that negative value is a typographical error in the literature. Where • probability of debris flow occurrence • e . (mathematical constant base of the natural logarithm) • S the percentage of the basin area with slopes e ual to or greater than percent • basin ruggedness, the change in basin elevation (meters) divided by the s uare root of the basin area (s uare meters) • A the percentage of basin area burned at moderate to high severity, which is a subset of the percentage of forested area in the basin, in this case of the forested area was used • average storm intensity (in millimeters per hour)

340 Implementation of the AASHTO Guide for Enterprise Risk Management • clay content of the soil (in percent) • the li uid limit of the soil (percentage of soil moisture by weight The wildfire threat probability is used to obtain the li elihood that a fire would lead to a debris flow. FT units are and represent a probability of fire. Debris Flow probability is multiplied by FT to calculate the fire ad usted debris flow probability. erform a spatial oin with the probability measurements to e tract values to stream layers. Debris Flow olume is based on US S reports (https pubs.usgs.gov sim pdf S .pdf) and is as follows The e uation is . ln . . T . Where • debris flow volume (water, sediment, and debris) in cubic meters • S the percentage of the basin area with slopes e ual to or greater than percent • A the percentage of basin area burned at moderate to high severity, which is a subset of the percentage of forested area in the basin, in this case of the forested area was used (which is a subset of the total basin area) • T the total storm rainfall in millimeters, in this case the mean rainfall across each watershed basin from a ear Average ecurrence nterval, inute Duration. Additional processing The debris flow model calculated probabilities of debris flow at a catchment polygon level. For use in the overall is odel, additional steps were ta en to narrow down the location of actual debris flow ris . . atchment basin debris flow ris was assigned to HD flow line geometry. This step narrows down the spatial location of primary ris to the linear stream portions of each watershed. . emoved stream segments from debris flow model if the slope of the stream line is less than . alculated elevations from Statewide m D of the beginning and ending points for each stream segment. Then calculated the elevation change along the stream and divided by the length of the stream segment to calculate percent slope.

UDOT Documents and Tools 341   A T P R S To ma e the threat layer compatible with the asset layer, it needs to be converted into the same S segments that are used for the asset data. The following methodology shows how the ombined Threat robability layer is generated and used to compile the threat probabilities into the S road segments layer in the previously established . mile segment units. n previous steps, the target layer for the eplacement ost Totals data came from the S layer on the UD T server. The S layer was then split incrementally into . mile segments. ew attribute fields were added to house the threat probability values. ecause of the variations in spatial accuracy and geometry types of the underlying threat layers, various methods were used to assign each threat probability to the segments as follows • valanc e anual intersect of historic avalanche points that intersect S road segments • EM lood one Spatial intersect of S segments with flood one to assign flood ris • Roc fall oc fall score snapped to nearest S segments • ebris low Spatial intersect of debris flow streams with S segments • Eart qua e Using a python script, the bridge points containing the probability data were snapped to the S segments the script applied a buffer and snapped the bridge to the S segment that contained the same S route information to ensure bridges were applied to the correct route. ridge data were then applied to the S with the Spatial oin tool using the intersect option • Combined T reats alculated within the S using the field calculator from the following e uation P a∪b∪c∪d∪e P a P b P c P d P e P aꓵb P aꓵc P aꓵd P aꓵe P bꓵc P bꓵd P bꓵe P cꓵd P cꓵe P dꓵe P aꓵbꓵcꓵdꓵe Where • robability of occurrence • a,b,c,d,e alculated percent chance of a given threat occurring P C U C User costs represent the costs to roadway users, including passenger cars and truc s, in terms of reroute time delay and mileage costs incurred due to a road closure. User costs are calculated by assessing the time and distance travelled on the ne t best alternative route, also nown as redundancy. ethods used to calculate redundancy and the resulting user cost are presented here. S R For this effort, system redundancy is measured in terms of time and distance re uired for vehicles to travel an alternative route. System redundancy is used in calculations of both User ost and riticality (criticality is discussed in art D below). edundancy analysis was performed using highway segments and completed for all , segments in the model space. ecause use of the Travel Demand odels within the state would result in better calculations for these parameters, UD T has initiated a research study to develop this method. The following methodology is a placeholder to generate the values for this initial analysis.

342 Implementation of the AASHTO Guide for Enterprise Risk Management S R M This method utili ed S networ analyst processing tools to calculate delay values for every segment of the S road networ . The analysis used A s Utah oads etwor Analysis networ with the following changes. Filtered roads that UD T would not use in rerouting of significant traffic volumes (e.g., mountain roads, dirt roads). emoved roads with cartocode of or higher. emoved roads with cartocode if the D TSurfaceType was Dirt, ative, mproved, or un nown. emoved roads with cartocode , a or ocal oads, ot aved Added ma or roads and highways in states bordering Utah to enable routing outside of Utah for hypothetical road closures near the border. Fi ed some nodes that should touch nearby nodes but didn t. ncluded one way designations that A had within the data. A python script was written and used to do the following items amined each road segment in the networ one at a time. reated starting and stopping locations along the route up to three segments before and after the segment being considered. an etwor Analyst without barriers to get the base distance and time to travel from the start location to the stop location using the segment being considered. reated a barrier on the segment being considered so that segment of road could not be travelled. an etwor Analyst with the barrier to get the reroute distance and time. esults Analysis results and processing assumptions for each segment include ase inutes ( ase inutes) Amount of time, in minutes, to travel length of segment under free flow conditions. eroute inutes (S inutes) Amount of time, in minutes, to travel length of alternative route under free flow conditions. Delay inutes (S Delay inutes) Additional time, in minutes, it ta es to travel the alternative route compared to the original route. (S ininutes ase inutes). ote f results of this calculation were negative, in cases where the alternative route was faster than the original route, value was set to . e oute Time Delay inutes values were deemed unreliable and were recalculated manually using reroute distance divided by H to get a rough estimate or reroute travel time Synta ( S Delay iles ) . a imum reroute time was , minutes. ase iles ( ase iles) Distance, in miles, of original segment. eroute iles (S iles) Distance, in miles, of alternative route. n cases where the alternative route was shorter than the original route, value was set to . Delay iles (S Delay iles) Additional distance, in miles, of alternative route. Model ssumptions and or rounds etwor Analysis did not find replacement routes for appro imately , segments. These segments were primarily dead end routes and highway on off ramps with only

UDOT Documents and Tools 343   one direction of travel. Delay inutes was assigned a value of , minutes for these segments, which is the ma imum delay value for routes with valid alternative routes Delay iles was assigned a value of . eroute results were manually validated from a series of sample locations distributed across the state. Alternative routes and times were assessed for accuracy based on visual interpretation. erouting was also done at bridge points. This included a second scenario (S iles) that considered multiple bridges or road segments out because of flooding. f a stream e isted within feet of the bridge the entire length of that stream segment became a barrier in the networ model and reroutes had to go around it. a or streams from the ational Hydrography Database were considered for the analysis. U C D The total cost to users (passenger car occupants and truc s) is calculated to show the impact of road closures and provide a measure of the relative importance of certain roadways. These costs can be assessed to provide a measure of criticality, or, the economic hardship that passenger vehicle occupants and truc drivers will face were a segment of highway closed due to a threat occurrence. ndividual user cost is obtained by multiplying the reroute delay time (hours) by the hourly user time value. This value is added to the product reroute distance (miles) multiplied by mileage costs. The individual user cost is then multiplied by the daily passenger car traffic volume and truc volume to calculate the daily cost of a segment closure. Finally, the daily cost is multiplied by the number of days re uired to temporarily fi the roadway assed causing the closure. assenger and Truc User ost are calculated as follows aily user cost Cd Tp M Mc Where • Dh delay (hours) • Tp hourly value of time • reroute miles • c mileage cost • daily vehicle or truc volume Total user cost C Cd d Where • d daily user cost • Dd number of days to fi damaged asset • F impeded flow cost M C U C User costs represent the total costs to all roadway users, including time and mileage e penses, incurred for the total time an asset is being repaired. For this analysis, user costs are calculated for each asset type for each ris ha ard because ris s have potential to impact assets differently resulting in varying intensity and time for repair. Daily user delay costs are calculated for each asset then multiplied by the number of days re uired to repair an asset. mpeded flow costs are added as indicated in the table below.

344 Implementation of the AASHTO Guide for Enterprise Risk Management . Delay time (Dh) is calculated for every roadway segment using route redundancy analysis as described in the previous section. . Hourly user value of time (Tp) is calculated as follows a) assenger ehicles value of time is . hour per person for passenger cars. ehicle occupancy for each passenger car is assumed to be . people. This assumption is based on collaboration between e perts at UD T and W ST. User value of time per passenger car is . . . hour (or . minutes . minute). b) Truc s value of time for truc s is . hour (or . minutes . minute). c) ehicle running costs are calculated by assuming . per gallon of gas, with a fuel efficiency of miles per gallon ( . . mile). . eroute miles ( ) is calculated for every roadway segment using route redundancy analysis as described in the previous section. . ileage cost is calculated for passenger vehicles and truc s as follows a) . miles reroute distance (miles). . Time and mileage costs are calculated both for passenger cars and for truc s separately and multiplied by respective daily traffic volumes then added together. Daily volumes for road segments calculated as follows a) AADT and TADT are UD T s measurements for passenger and truc volume, respectively. The AADT measurement can be used immediately. Truc measurement re uires the following preprocessing step to create a parallel measurement that includes all commercial vehicle volumes b) AADT AADT c) Truc ADT (TADT) (SUT UT ) AADT ote AADT and TADT values are not available for many local roads, highway on off ramps, and freeway interchanges. This means there is no user cost associated with these locations AADT is missing from , of , segments and TADT is missing , of , segments. . alculate the impeded flow delay user cost by multiplying asset replacement cost . . . Time re uired to temporarily fi asset for different ris scenarios T T ASSET EART UAKE A A ANC E DE RIS O OOD P AIN ROCK A N N N N N N N O N N N N O N N N N N C N N N C N N N N N N

UDOT Documents and Tools 345   . alculate User ost by asset and ris ha ard as follows T U ASSET EART UAKE A A ANC E DE RIS O OOD P AIN ROCK A N I I I N N I O I N N I O N I N N I C N I I C N I I N I I . alculate wner ost by asset and ris ha ard as follows T O ASSET EART UAKE A A ANC E DE RIS O OOD P AIN ROCK A N N O N O N N C N C N N P D R is value is a measure of the potential monetary conse uence from the loss of an asset combined with the threat to that asset. onse uence is the combined value of owner cost and user costs. is value is simply the product of conse uence and the probability of threat. is value is low where there is no threat or where there is a threat but no conse uence. High ris values occur when a high conse uence asset is located in an area where a threat also e ists. Threats were calculated for all roadway segments using methods discussed in art . Total ris represents the combined ris from all five threats and is calculated for every asset in this analysis and then combined at the road segment level. onse uence is calculated using both owner cost and user cost. wner costs represent the full replacement cost and temporary replacement costs and were calculated for all assets using methods discussed in art A. User costs represent the cost to roadway users, including passenger cars and truc s, in terms of reroute time delay and mileage costs incurred due to a road closure and were discussed in art .

346 Implementation of the AASHTO Guide for Enterprise Risk Management R C is value is calculated for every asset using the following e uation Ris value consequence probability of t reat Where • onse uence (owner cost user cost) • robability of threat threat probability derived for each asset Within the S, ris value is calculated for every individual asset and for each threat. n other words, there are five threat ris values for each asset. The five ris values are then summed to return the final ris value for each asset. This composite value is used, along with riticality, to calculate the final ris priority. P E C riticality is a decision step to define the relative importance, or weighting, of factors related to roadway usage and is ultimately used to calculate ris priority. For this analysis criticality is defined using three factors redundancy, AADT, and Truc ADT. ethods for calculating criticality are described here. C C edundancy is measured using delay time calculated for the nearest reroute option as described in art . ehicle and truc counts use values from AADT and Truc ADT from the latest available data assigned to each road segment and are described in art . To combine the three criticality criteria into a single criticality score, each criteria is normali ed from based on minimum and ma imum values. ach criteria is then weighted as follows and added together for each road segment. T N ACTOR ACTOR EIG T MIN MA T T T T T T T T P C R P is priority is used to identify the most critical transportation networ assets that also have a high ris value. n this final step of the process, the calculations identify specific roadway segments and assets which should be prioriti ed for responses, whether that is asset hardening, mitigation, or response planning. R P C is priority is calculated for every road segment as follows Ris priority ris value normali ed criticality

UDOT Documents and Tools 347   AP P ENDIX B: R ISK P R OCESS DEV EL OP M ENT Development of the UDOT Asset Risk Management Process involved many personnel, extensive research and numerous decisions. This Appendix contains a discussion of the ideas considered, ideas discarded, and decisions made along the way. This UDOT Asset Risk Management Process was developed to comply with the F H W A requirement for risk-based asset management. The framework was developed from two UDOT pilot studies. The first element UDOT considered was the method for computing the risk of each environmental threat. It was discovered that the method used in UDOT’s initial I-1 5 study, which consisted of computing risk at two probabilities and then summing them together, would not capture UDOT’s total risk exposure. One reason for this is that there are many possible environmental events between two specific event probabilities. The risk of each possible event could be calculated between the design standard (where no damage is expected) and the asset failure point, and those results could be summed but could more accurately be expressed by integrating risk values, from no damage to total replacement damage and beyond. Triangle Risk Model The triangle risk model illustrated in the chart below assumes that when an asset is totally destroyed at the failure point probability, the sensitivity is 1 , and the asset will need to be replaced to current standards. It also assumes that at the design standard (DS), sensitivity is zero and no damage will occur. F or the sake of simplicity, the cost of damage is assumed to increase linearly from a probability where no damage occurs until the probability where total failure (F P) occurs. Thus, the shaded area is bounded by the risk event horizon and represents the total risk exposure from the beginning of damage to total failure. Total risk = ½ TC x (DS-FP), where TC = total cost = owner cost + user cost Figure 5 . Triangle risk model B-1

348 Implementation of the AASHTO Guide for Enterprise Risk Management Asset deterioration over time adds additional risk and asset hardening reduces risk. The beginning of probable damage (DS), shifts to the left on the risk model illustration as assets deteriorate and shifts to the right as assets are upgraded or hardened to withstand more severe events. This model can be used to calculate the additional risk associated with asset deterioration. When an asset deteriorates, the risk event horizon moves to the left on the graph, so the asset is only able to withstand a higher threat probability “a” without damage. It is assumed that the cost probability curve retains the same slope and the failure probability (FP) also moves to the left the same amount. The added risk then becomes the added area represented by the change in probability multiplied by total cost or added risk = ( a - DS) T C or ∆P x T C. This is represented in the chart below. Figure 6 . Triangle risk model with added risk This model can be used to calculate the reduction in risk expected to result from asset upgrades or hardening. When an asset is hardened, the risk event horizon moves to the right on the graph, thus reflecting the asset’s ability to withstand a new, lower, probability “a” without damage. It is assumed that the cost/probability curve retains the same slope, and the failure probability (FP) also moves to the right the same ∆P amount. The reduced risk then becomes the subtracted area, which represents by the change in probability multiplied by total cost or reduced risk = ( DS - a) T C or ∆P x T C. This is represented in the chart below. B-2

UDOT Documents and Tools 349   Figure 7 . Triangle risk model with reduced risk Triangle Model Refined The triangle method of computing the risk assumes that cost will increase linearly as the probability declines. This may seem counterintuitive, but it reflects the reality that (for example) the severity of earthquakes increase exponentially as the probability of the event declines. An earthquake that occurs every 500 years is much more destructive than one that occurs every 1 00 years. To explore the effect of an ever-increasing cost curve, the case where risk is assumed to increase linearly with a decline in probability was considered. See the chart below. Figure 8 . Triangle risk model refined To produce this chart, a design standard ( DS) = . 0 1 ( a 1 0 0 - year event) was chosen along with a failure probability of .002 , a 500-year event. The total cost = $ 1 million, so that the risk at a failure probability is $ 2 ,000. The slope of this line is ∆ris ∆ robability = 2 , 0 0 0 / . 0 1 8 = - 2 5 0 , 0 0 0 and the intercept is B-3

350 Implementation of the AASHTO Guide for Enterprise Risk Management 2 ,500. B ecause cost = risk/ p rob ab ility the cost equation is cost = -2 5 0 ,0 0 0 + 2 ,5 0 0 / P. This is graphed in the chart below. Figure 9 . Risk /probability graph The area under this curve from the design standard to the failure probability is the value of the risk. This area is found by evaluating the integral of the cost-probability curve, which integral is represented by the equation below. ln(P) – 2 5 0 ,0 0 0 P = $ 2 ,0 3 4 . B y contrast, the triangle method produces a value of $ 4 ,000, where: 1 / 2 TC(DS - FP) = ½ x 1 ,0 0 0 ,0 0 0 x (. 0 1 - . 0 0 2 ) = $ 4 ,0 0 0 This means that the simple triangle method of calculating risk produces a result almost twice that of the more-refined risk model. To develop a cost/probability curve that delivers a more-accurate risk calculation, damage and failure data are required to define the shape of the curve for each asset-threat pair. Total Risk Model B oth the triangle and more-refined models consider only the risk between the design standard and the failure probability. This, however, does not capture all the risk. There are possible risk events above the failure probability. In looking at these risks, it is assumed that once an asset has failed, the total cost of repair does not increase significantly. Therefore, risks beyond the failure point can be represented by a rectangle with a height of TC and a maximum probability of zero (see the chart below). The area of the rectangle is TC(FP - 0 ), which reduces to TC x FP, or the value of risk at the failure point. Combining the triangle and rectangle methods to represent all risks then results in the following equation. Total risk = 1 / 2 TC(DS - FP) + TC x FP = 1 / 2 TC(DS + FP). B-4

UDOT Documents and Tools 351   Figure 1 0 . Total risk model L ooking back to the risk calculations used by AE M for the I- 1 5 study, the eq uation for risk was risk = cost x vulnerability x probability ( or R = CV P) . B ased on the FH WA definition of vulnerability, U DO T has adopted sensitivity as the term to denote the amount of damage that is sustained when a probable event occurs. Therefore, risk = cost x sensitivity x probability. In the AE M process, flooding risks were computed for a 1 0 0 - year event and a 5 0 0 - year event and the results were added together to calculate total risk. If assumptions from the above discussion are used in this formula then the design standard is a 1 0 0 - year event and sensitivity is zero, which means that the risk of a 1 0 0 - year event is zero because no damage is sustained. The sum of the 1 0 0 - year and 5 0 0 - year events becomes the risk of the 5 0 0 - year event with the assumption that a 5 0 0 - year event is the failure point and sensitivity is 1 0 0 % . The risk is then eq ual to .0 0 2 TC . This is one third the value that the total risk model provides, which is 1 / 2 T C( DS + FP) = 1 / 2 T C( . 0 1 - . 0 0 2 ) = . 0 0 6 T C. This indicates that the total risk model captures the total risk more completely than summing the risks for specific events. With this total risk model, comparison of the value of hardening an asset versus maintaining an asset at its current design standard can be made. To make this comparison, a design standard of 5 0 years, with 5 0 0 years as the failure point, can be selected to compute a total risk value. The 5 0 - year event was chosen as the design standard because that is the value typically chosen by U DO T for culverts. This total risk value has a risk standard value defined by the eq uation 1 / 2 T C( . 0 2 + . 0 0 2 ) . All other possible design standards are compared to this reference standard by setting the design standard to the variable “a” and allowing “a” to vary. The variable risk is defined by the eq uation 1 / 2 T C( a + . 0 0 2 ) , and the ratio of oth er risk s/ standard risk = 1 / 2 T C( a + . 0 0 2 ) / 1 / 2 T C( . 0 2 + . 0 0 2 ) = ( a + . 0 0 2 ) / . 0 2 2 . This is represented in the chart below, where risk ratio is the ratio of other risks to standard risk, and event freq uency is the events above the reference design standard year. This graph is independent of total cost, owner cost, or user cost. B-5

352 Implementation of the AASHTO Guide for Enterprise Risk Management F igure 1 1 . R isk ratio model with risk to zero In the graph above, note that in order to reduce the risk on an asset by 50% the asset must be hardened to withstand a 1 2 0-year event. L ooking at how deterioration affects the risk, a sharp incline in the graph should be noted; it means that a little deterioration has a significant effect on risk. F rom this, it may be concluded that not only do good roads cost less but good roads result in less risk. Maintenance to minimize asset deterioration is, therefore, an important part of risk management. A pplying R isk Calculations Now that we have examined models for risk calculations, we will explain how they are used in the UDOT Asset Risk Management Process. The process can be broken into the following three primary obj ectives: 1 . Identify and prioritize environmental risks. 2 . Identify and prioritize asset-hardening options. 3. Make a go/no-go decision on hardening options. Objective 1 : I dentify and Prioritize Environmental R isks Ideally, the risk calculations should be simplified by evaluating risk at the failure probability so that risk = T C x probability at f ailure, w h ere T C = replacement cost + user cost. This will not capture all possible risks, but it provides a consistent, repeatable method of calculating comparable risks. This ideal approach is challenged by the ability to determine the probability at which an asset will fail. Each threat-asset pair will have a different failure point, and because risk is a function of probability, the higher the probability, the higher the risk. This approach enables a reasonable comparison of risks to be made. F or example, a bridge may not fail until a 500-year event occurs but a culvert may fail at a 2 00- year event. The replacement value of the bridge is very high, but the probability of the failure event is B-6

UDOT Documents and Tools 353   relatively low. The replacement value of a culvert is very low compared to a bridge, but the probability of the failure event is higher. Therefore, this analysis allows a uantitative comparison of ris s between threat asset pairs. urrently, failure probabilities are not available on a statewide basis. The assumptions used to compare ris s and create the ris map are detailed in Appendi A. An alternative choice is to use an environmental event with a nown probability close to the failure probability. t is also possible, using the A A e uation ris TC t reat probability sensitivity, to select a sensitivity factor based on engineering udgement to apply to a selected environmental event. Using a consistent method is the ey to a ris map which highlights where the ris s are and the comparative value of those ris s. This narrows the focus of ris evaluation in the more detailed asset hardening analysis that follows to meet b ective . The value of ris s shown on the ris map also allows consideration of responses to ris other than asset hardening. ther categories of response are identified and discussed in the anage is section of the UD T Asset is anagement rocess document. O I P A O To meet this ob ective, a more detailed analysis to evaluate various asset improvement options must be performed. deally, the change in ris should be evaluated with reference to the design standard or failure probability where ris consequence probability . However, when an asset deteriorates, the total conse uence and design standard probability remain constant but sensitivity changes. ris consequence probability sensitivity, restoring the asset bac to the design standard removes and uantifies the ris savings. When sensitivity is lin ed to asset condition, the ris savings is captured. When an asset is hardened, the design standard probability and the failure probability change by the same amount. However, total conse uence remains the same and sensitivity is . Thus, the change in ris for hardening an asset is ris consequence probability . To ma e a comparison of various options to change asset condition, the ris savings provided by each option and the cost of implementing the option must be calculated. The ris savings could be the result of restoring the asset condition bac to its design standard condition or adding additional capacity to withstand more severe environmental threats. A cost benefit ratio is then computed from ris saving cost of the option. The best option will have the highest ratio. The challenge to this part of the process is identifying the asset hardening options and uantifying the ris savings associated with each option. O M G N G D A O The third ob ective is to determine if any hardening options are worth the investment. n other words does the benefit of the best option ustify the cost of the option To answer this uestion, the results of the study were reviewed and the benefit cost ratio inverted for each asset hardening option to compute a paybac period. The assumption is that the value of ris reduction of each asset hardening option represents money saved on a yearly basis. The ris money saved divided by the cost of the asset hardening option results in a paybac period. The paybac period relative to the life e pectancy of the asset provides valuable input for the go no go decision. To meet ob ectives and , the ris calculations have been ept as simple as possible. However, further analysis is needed to determine if it is reasonable to implement a proposed improvement. To ma e this decision a more accurate value for ris is preferred. Therefore, using the total ris model is

354 Implementation of the AASHTO Guide for Enterprise Risk Management recommended as described above for this analysis. f the actual shape of the cost probability curve were nown, the ris would be lower than the results of the total ris model. However, if the slightly larger values for ris produced by the model cannot ustify a go decision, there is little value in improving the accuracy of the ris calculation because it will only emphasi e the no go decision. Again, the goal is to eep the calculations as simple as possible and still ma e valid decisions. At this point it is worth e amining the variables that influence the benefit cost ratio and the cost benefit ratio by considering the option of replacing an asset. The cost of replacing the asset is the owner cost ( ). The ris benefit is the reduction in ris which can be e pressed as TC P. Where is the change in the probability associated with the asset replacement. The benefit cost ratio then becomes TC P OC. ut since TC OC C this e uation becomes C OC P. This means that the larger the ratio of user cost to owner cost, the larger the benefit. Also, because influences the value of ris in the ris e uation ris TC P, the benefit cost ratio is increased by asset hardening as well as higher user costs. From this it may be concluded that the best opportunities to reduce ris are in areas where there are high traffic volumes or very long detour routes creating high user costs. S The value of ris in the two pilot studies was derived from the methodology of A A , developed by AS nnovative Technologies nstitute, . n the A A formula, a vulnerability term is used, as follows Ris consequence t reat probability vulnerability R MC P Ris consequence t reat probability sensitivity OT n applying this formula, UD T substituted sensitivity for the vulnerability term to align with FHWA definitions of terms. The conse uence term is constant because it is the total user cost and owner cost when an asset fails. robability is the fre uency at which an event will occur. Sensitivity is a measure of how much damage will occur when a probable event occurs. Sensitivity and probability are separate measures, with sensitivity changing as severity increases and probability declines. The change in sensitivity versus probability defines the shape of the cost probability curve in the models described above. However, to use the models, only sensitivity at the design standard probability and the failure probability are needed. At the design standard probability, sensitivity is ero and at the failure probability sensitivity is . This achieves the goal of removing comple ity. When the value of sensitivity is set to in the e uation above, the slope of the triangle method of ris calculation results. Where the slope m consequence ris . When the actual shape of the cost probability curve or ris event hori on for each asset threat pair is introduced, the change in sensitivity is accounted for. The shape of the cost probability curve is a function of sensitivity. The shape of the cost probability curve can be developed from observable data over time by recording the e tent of damage that occurs for each environmental event and how that damage changes with the severity and probability of events. This will re uire more effort than has currently been applied, but it can be accomplished. However, nowing the shape of the cost probability curve will not improve the identification and prioriti ation of ris , it will not improve the mitigation analysis where one option is compared to another. t will improve the go no go decision process by producing more accurate ris values. ut, as

UDOT Documents and Tools 355   stated before, if a go decision cannot be ustified based on an inflated ris value the decision will not be improved by accounting for the shape of the cost probability curve which will only reduce the total ris . With this conclusion in mind the best use of future efforts is to • now the event design standard probability for each asset threat pair • Find the event probability at which an asset will fail o est determined in the design effort • stimate the change in ris with the change in sensitivity as it relates to asset condition o ris conse uence probability sensitivity o Where sensitivity is lin ed to condition • stimate the change in design standard or failure probability when an asset is hardened o Sensitivity at the failure probability o ris conse uence probability o r eep the original failure probability and apply engineering udgment to select a change in the sensitivity factor. C S The best time to reduce ris is in the design or reconstruction process. This is when the event design standard probability can be selected in which no asset damage will occur. r a design standard may be chosen that yields the best ris reduction for the funding available. This is also the stage when the probability of an event that will cause an asset to fail can be determined. With the design standard probability and failure probability calculated, the total ris can be determined along with the paybac period for increasing the design standard. t is recogni ed that environmental conditions will change over time. User costs will increase as traffic volumes rise. Flow rates will increase as more hard surfaces are added with development. limate change will continue to modify fre uency and severity of environmental events. Therefore, ris assessment of the Utah transportation system is a continuous process. As future e perience adds nowledge and as completed pro ect information is captured in the UD T management systems, the cost models will be updated and the UD T Asset is anagement rocess will be refined and improved.

356 Implementation of the AASHTO Guide for Enterprise Risk Management EN I C E CE ENT CO T E E O ENT OCE An important goal of the UD T Asset is anagement rocess involved developing a S map that assigned ris values to the UD T assets considered for ris analysis. This necessitated the development of replacement cost models for the selected assets. An asset s replacement cost represents the total possible owner cost for a potential ha ard, and therefore an estimation of replacement cost is one component of the conse uence element of the ris value. lements included in the formulas for replacement costs and process to develop the formulas are detailed in this Appendi . ethods used to standardi e the data and incorporate formulas into the map as well as formula values are detailed in Appendi A. R C M The replacement cost of an asset is the sum total of e penses that would be incurred if the asset was destroyed and UD T were to rebuild the asset today according to today s construction costs and standards. A replacement cost model was developed for the following asset types • avement • ridges • o culverts • ipe culverts The UD T Asset is anagement rocess document describes the specific models and variable values used to calculate replacement cost for each of these assets. The models were created by UD T Division leads with the help of a consultant cost estimator. A temporary repair is assumed for all damaged assets to restore traffic flow as soon as possible. P UD T pavement engineers indicated that the two types of pavement typically used to build roads in Utah are asphalt and concrete. avement costs vary per the type and depth of pavement layers. For simplicity and consistency within UD T, this ris management process uses the pavement replacement costs currently used by UD T Asset anagement for the two basic types of pavement as detailed in the UD T Asset is anagement rocess document. Asset management pavement costs are updated regularly using a combination of institutional nowledge and recent UD T bid data. avement replacement costs include preliminary engineering, construction engineering, mobili ation, and traffic control. art of the replacement cost of pavement also includes related items such as e cavation, borrow, landscaping, geote tile layers, delineators, underdrains, and some drainage features. t is reasonable to include the cost of these other items in pavement replacement costs because these other items are also impacted when pavement is impacted by an event. D A ridge costs are highly variable and fluctuate according to a myriad of e ternal factors. ecause of this variability, UD T determined that a rough estimate of replacement cost that could be consistently applied to all bridges would be preferable to costly data analysis to determine the cost of each individual structure. C

UDOT Documents and Tools 357   Every bridge contains two elements—approach slabs and the bridge structure. UDOT structure engineers provided statewide average costs per square foot for each of these elements. These estimated costs include preliminary engineering, construction engineering, mobilization and traffic control. While this is a high-level approximation of bridge costs, this process falls in line with other procedures in the UDOT Asset Risk Management Process, emphasizing consistency in applying the process to every asset over accuracy for each unit. This ultimately facilitates effective comparison between assets. Culverts As part of this risk-management process, costs were developed for culvert replacement using a combination of institutional knowledge and recent UDOT bid data. The replacement cost includes trenching, excavation, backfill, bedding, and other related items listed below: 1. Items such as debris removal, clean and inspect pipes, culvert end sections, and culvert markers are all estimated by including a fixed percentage of 20% to the culvert and removal of existing culvert unit prices. The cost of these other items is often incurred as part of events that require culvert replacements. 2. Removal of the existing culvert. 3. Preliminary engineering (10%), construction engineering (8%), mobilization (7.6%), and traffic control (5.7%) which are percentages of the culvert and removal of existing culvert unit prices based on current asset data. 4. Pavement patching is assumed to be asphalt for all pipe sizes. A 5-foot uniform depth to the culvert crown of each pipe size was also assumed. The standard pavement replacement costs already included mobilization, traffic control, preliminary engineering, and construction engineering, so those costs were not applied again to that element of the culvert replacement cost. The cost model sums the unit price of the culvert with the items listed above into a total cost per foot for typical pipe sizes. Recent UDOT bid data was assumed to be representative of the types and depths of the existing culvert inventory. Box culvert costs were developed by UDOT Structures based on historical construction costs. Total Owner Cost Total owner cost for replacement of a damaged asset is the combination of the cost of the temporary repair to restore traffic flow and the cost to replace the damaged asset to current standards and unimpeded traffic flow. T otal ow ner cost = temporary repair cost + replacement cost I mplementation F ormulas for Owner Cost T otal ow ner cost = temporary repair cost + replacement cost C - 2

358 Implementation of the AASHTO Guide for Enterprise Risk Management epair and replacement costs are incorporated into the map of ris value and priority as detailed in Appendi A. The formula values are duplicated here for ease of use if needed for calculations during process implementation. • ridge approach slabs replacement s uare foot • ridge replacement s uare foot of bridge dec • ridge approach slab temporary repair of replacement cost • ridge temporary repair s uare foot of bridge dec • o culvert replacement s uare foot • o culvert temporary repair s uare foot • oncrete pavement replacement s uare yard • Asphalt pavement replacement s uare yard • oncrete pavement temporary repair of replacement cost • Asphalt pavement temporary repair of replacement cost • ipe culvert replacement See Table in Appendi A • ipe culvert temporary repair of replacement cost C

UDOT Documents and Tools 359   EN I E CO T E E O ENT OCE Total ris is a combination of owner cost and user cost. A model has been developed to calculate user costs, which are included in ris value and return on investment calculations. The UD T Asset is anagement rocess describes the specific models and variable values used to calculate user cost for each of these assets and threats. The models were created by UD T Division leads with the help of a consultant cost estimator. Following are the details of what is included in the user cost model. The formula values are detailed in Appendi A part and the results for each roadway segment are included in the S map. UDOT U C M Two phases of user costs are included in the user cost model . P ase one Full closure or detour delay due to closing the damaged roadway while a temporary repair is constructed. For the purposes of the model, a temporary repair is assumed for all damaged assets. . P ase two mpeded flow delay due to traffic control restrictions after the roadway is opened to limited traffic flow upon completion of the temporary repair. mpeded flow delay is caused by running traffic over the temporary repair, reducing speeds, or restricting lanes while the permanent repair is being organi ed and constructed. P O C For phase one, when transportation assets are closed by an event, users incur two types of costs • e icle running costs Additional costs (relative to a user s original path) such as e tra gas and vehicle maintenance due to waiting and detours around a damaged asset. • ser value of time The monetary value of additional travel time spent due to a damaged asset. P T I Since there is such variability in roadway types, number of lanes, wor ones, terrain, and the scope of permanent repairs re uired, a high level method of estimating user costs is used to provide a simple and repeatable process for ris prioriti ation. The percentage factor developed is based on the average user cost for normal roadway construction pro ects being roughly of the construction cost. ess than ideal disaster response conditions will increase user delay beyond normal conditions. The percentage used reflects additional time to plan and implement a permanent repair, additional impeded traffic flow, and running traffic on a temporary repair. T U C C I Total user cost for replacement of a damaged asset is the combination of the user cost during the initial full closure due to damage and the impeded flow costs during the replacement of the asset. The user cost for each roadway segment are found in the S map. O U C M n the US Final eport and Final eport provided to UD T by consulting firm A orporation , A used a similar user cost estimation model to the one depicted above. A stated, User costs include running time costs and value of time to both commercial and personal vehicle drivers. nformation used in the user cost portion of the conse uences model included the anticipated detour lengths around closures along mainline in terms of additional travel distance and anticipated travel time.

360 Implementation of the AASHTO Guide for Enterprise Risk Management In calculating user cost, AEM and other state transportation departments have utilized a modified version of the F H W A’s H Y RISK model to estimate the financial impact to travelers. H Y RISK is a computer program originally built to implement strategy for assessing the relative risk in monetary value of scour failure for bridge foundations. The F ederal H ighway Administration provides an even more granular method of calculating total user cost per day2 that necessitates deeper economic analysis, requiring inputs such as the number of passenger cars on business travel and the cost per hour of time-related vehicle depreciation by vehicle type. This model, shown below, could be used in future user cost estimations. Figure 1 2 . FHWA user cost formula D-2

UDOT Documents and Tools 361   EN I E ITT E COTTON OO C N ON I E C E T T E A T • pm udslide occurs in ittle ottonwood anyon ( ) debris bloc s roadway completely at isa Falls and Tanner Flats. ther minor slides across roadway happen at appro imately eight locations between appro imate mileposts . • pm Unified Fire is notified of mudslide occurrence from Unified olice Department Dispatch. • pm Salt a e ity Department of ublic Utilities (S D U) is notified of landslide by news reports. • pm S D U contacts etropolitan Water District of Salt a e and Sandy ( WDS S) about possible watershed compromise • pm Unified Fire arrives on scene of mudslide with edic ngine . • pm Station is notified of the mudslide occurrence. • pm Station mobili ed on scene to begin securing and clearing the debris. R is closed until furt er notice. rews wor through the night clearing debris. • pm Dominion nergy arrives on scene to assess their buried gas line. Arrived because they heard about the mudslide. • pm Station Station Supervisor a e rown puts in a call to Forest Service to inform them of mudslide no answer a e left voicemail. A • am ichelle age (D ), isa undel (T ), and ric haston (D ) arrive on scene to assess what needs to happen to reopen S . • am Dominion nergy discovers their buried gas line has been uncovered and damaged near Tanner Flats. • am Ale Fisher Willis ( ) and yan Ferrin ( ) arrive on scene. • am am ne way traffic (with pilot vehicle) is allowed up and down S to allow stranded people to get up and down ittle ottonwood anyon. • am Unified Fire Authority, S Dept. of ublic Utilities, and the etropolitan Water District of Salt a e Sandy ( WDS S) arrive on scene together to inspect any damage to the watershed. • pm Dominion nergy begins securing their damaged gas line. • am pm arious UD T personnel from egion aintenance Stations relieve a e s crew throughout the day. rews wor through the night clearing debris. A S • Entire ay a e s crew continues to clear debris from the roadway and clogged culverts. • pm R is reopened to way traffic with flaggers present at some locations near heavy wor . a e sends his crew home to rest. E

362 Implementation of the AASHTO Guide for Enterprise Risk Management A S • am pm a e s crew continues to clear debris from the roadway shoulders and clogged culverts. A M • Entire ay a e s crew continues to clear debris from the roadway shoulders and clogged culverts. • am US Forest Service first arrives on scene. A T • Entire ay a e s crew continues to clear debris from the roadway shoulders and clogged culverts. • am yan Ferrin ( ), eremy ilbert (Design), Shawn ambert (D ), aige Sidwell ( S), and Hardeep Singh ( otational) show up on scene to begin getting S fi es ( S done by aige) on clogged culverts and to determine the Scope f Wor for culvert replacement. nly out of appro imately culverts are S ed. • pm UD T egion Design begins oncept eport to repair culverts. ntent is to use an emergency Structures contract to complete wor per Shawn ambert. • pm Dominion nergy has completed their gas line repairs and has bac filled up to pipe elevation. A • Entire ay a e s crew continues to clear debris from the roadway shoulders and clogged culverts. • pm a e got culvert location length diameter information over to eremy ilbert in egion Design for all culverts to be replaced. • pm t is decided in a meeting with Structures that oncept eports will be created to compare cost time to construct ) bo culverts (Structures) and smooth plastic pipes ( Design), ) smooth plastic pipes ( Design). A T • Entire ay a e s crew continues to clear debris from the roadway shoulders and clogged culverts. • am aige Sidwell (UD T S) went up and got S fi es on the remaining clogged culverts that need to be dug out and replaced. A • Entire ay oncept eport from UD T egion Design is complete. ryan hamberlain is the for this pro ect. UD T can now apply for mergency Funding. S T • am ore minor mudslides occur at various locations. oad is still passable. • Entire ay a e and crew clean up debris from S . E

UDOT Documents and Tools 363   N E An e ample of what can happen is the year storm event in the mid canyon area of ittle ottonwood anyon. The debris destroyed many culverts and the road was closed from Thursday night until Saturday. There were no alternative routes which made this route critical. elow is a series of uestions and responses that detail the decisions made and actions ta en. The crews were called in the night of the mudslides to assist in getting people out of the slide area and begin e cavating the debris off the road. UD T s T and T assisted in the closure and notifications to the public. Attached is a document brea ing down the response. https docs.google.com document d HT d l p Tshw c m t g i h r edit The slide happened on Thursday night and the road was partially reopened Saturday. mergency evaluations of fol s that were stuc up canyon were able to ta e place on Friday. There has been a near continuous flagging operation ta ing place since the event as crews wor to clear debris and install new culverts. The road was completely closed immediately after the event with only authori ed personnel allowed in the slide areas. ndividuals that were stranded were allowed to go through the slide area on Friday. t was then partially opened to the public with a one way flagging operation on Saturday until debris was removed over the ne t few wee s. There is currently a pro ect going on that will remove more debris and install new culverts in a few areas. This will re uire one way flagging during the day through Than sgiving. The pro ect too about a month and a half to get a contractor on board. This time was used to establish a scope of wor , put together a concept level design, get approvals on the emergency authori ations and brief bidders on the pro ect. This was after our maintenance crews cleared the initial debris. The pro ect went out using an mergency Structures and eotechnical procurement contract. There is a pre selected pool of ualified contractors on the list for this contracting method. A Scope of Wor was sent to the list of bidders and site visit pre bid too place prior to the bid. idders were re uired to submit proposals including a wor plan, ey personnel identification and a cost estimate. The repairs are scheduled to be completed by Than sgiving, pending any possible delays. D years ago there was a pretty ma or mudslide at isa Falls (upper and lower) and Tanners that put about feet of debris on the roadway. This event re uired roadway and culvert repairs. n comparison, the event this summer deposited about feet of debris on the roadway near isa Falls. Additionally, about years ago there was an event that deposited about inches to a foot of debris at ntry of Snowbird. E

364 Implementation of the AASHTO Guide for Enterprise Risk Management es, the culverts at isa Falls and Tanners Flat have been repaired more than once. There are a few things that could help this in the future • Adding protection such as grates and headwalls to our culverts will help in the cleanup efforts for events li e this. This is being added in the current pro ect. • ore concrete curb and gutter could be added to the roadway to prevent erosion. Some curb and gutter is being added to this pro ect but there are more areas that could use this as well. • Some areas could use roc fall mitigation and slope stabili ation measures to minimi e the ris to the roadway. • nstalling larger culverts could allow our crews to more easily clear debris out of them. E

UDOT Documents and Tools 365   UDOT Knowledge Management Eort Background: is document summarizes the back- ground issues that inuenced UDOT during NCHRP Project 20-44 (02) in its pursuit of a knowledge management framework. U DOT K now ledge Management F ramew ork & B usiness Arch itecture S trategy 1 Note: This is a background document developed by the Utah Department of Transportation during the NCHRP 20-44 (02) project in 2020. It explains the department’s initial approach to developing a framework for knowledge management. Description A K nowledge Management framework includes several facets such as: business architecture, information management, assessment, collaboration, culture, communication, organiz ational learning, leadership, architecture, and technology ( What is E nterprise Architecture? ) . Together, these elements enhance The U tah Department of Transportation’s ( U DOT) effectiveness and efficiency by: ● Facilitating the development and maintenance of a strong enterprise knowledge accessibility and findability foundation; ● Facilitating agile decision-making and empowering employees; ● Aligning people and processes across the organiz ation to promote organiz ational resilience, and ● E nsuring knowledge is adequately maintained and appropriately reused and built upon. Historically, U DOT, like many other DOTs, has followed a predominantly decentraliz ed approach to transferring knowledge, collecting data, transforming this data into information, and creating reports. This approach has allowed each business unit to meet their specific needs but has resulted in the proliferation of disparate databases, reports, documents, and other information sources that are difficult to link together, easily access and standardiz e. U DOT is facing a challenge in aligning organiz ational knowledge, data, applications, technology, and staff with organiz ational goals and objectives necessary to drive and improve organiz ational agility as it moves into a fully digital environment. A more intentional and coordinated approach to data, content, and information management would improve efficiency, resulting in improved information at a lower total cost and better support a digital workforce. Problem S tatement There is no compelling reason, or clearly defined purpose to adopt a knowledge management framework and business architecture strategy. Proj ect G oal We deliver the right information so people are able to take the right action at the right time for the right reasons. Proj ect Ph ases 1. Research (1 - 3 ) - Meet with U DOT to establish a Department and student project team. Perform necessary research and identify potential risks. 2. Plan/ Design (4 - 8 ) - Identify the layers of K nowledge Management within U DOT and build a future state framework. Identify existing and needed business systems and processes. B uild a future state B usiness Architecture.

366 Implementation of the AASHTO Guide for Enterprise Risk Management U DOT K now ledge Management F ramew ork & B usiness Arch itecture S trategy 2 3. Pilot/ T est (9 ) - Identify potential projects/ processes to pilot/ test K nowledge Management framework and B usiness Architecture strategies. 4. Ref ine/ I mplementation (1 0 ) - Refine framework and strategy based on pilot outcomes. Develop a business and communication plan for implementing a Department-wide framework and strategy. Research Plan 1 . I dentif y, S etup & Engage th e Proj ect T eam (U DOT leads, U V U participates): Formaliz e a workgroup with representation across U DOT; building, leveraging, and sustaining the know-how and experience of U DOT’s employees and partners to carry out its mission in a business intelligence manner. 2 . L iterature Review & S ummary (U V U research es and presents f indings to U DOT ): L everage work accomplished by the American Association of State Highway Transportation Officials (AASHTO) , the Transportation Research B oard ( TRB ) , N ational C ooperative Highway Research Program ( N C HRP) reports and others on K nowledge Management, B usiness Architecture and Findability to guide the process. This would include researching processes outside of government to include industry best practices. 3 . I dentif y Risk s (F indings f rom literature review could h elp sh ow risk s - U V U . Helps support th e Problem S tatement): What happens to U DOT in the future if it does not implement a strong, sustainable knowledge management framework and business architecture strategy? How do we capture person-to-person ( e.g. face-to-face, email, etc.) knowledge transfer? How can U DOT achieve a highly effective and sustainable K nowledge Management framework while addressing rapid change and a culture of innovation? How can we train and learn as quickly as possible? 4 . I dentif y L ayers of K now ledge and develop th e f ramew ork f or K now ledge Management (U V U provides recommendations w ith out getting into th e w eeds of th e specif ics f or each group): This may include interviewing key U DOT employees and collecting current policies, processes, and practices. The focus would be on the identification and documentation steps needed to retain, utiliz e, and share intellectual / knowledge-based assets within U DOT. 5 . Develop th e B usiness Arch itecture f or U DOT (U V U provides th e overall recommendations and U DOT use to apply to specif ics): Identify all business needs across U DOT that align with U DOT’s competency framework and identify technology requirements. 6 . S ystem Maps Evaluation: Review existing U DOT system maps and recommend improvements. Develop a repeatable and simple method/ template for identifying, capturing, storing, and sharing this knowledge. 7 . People and Process Maps Evaluation: Review existing U DOT people and process maps and recommend improvements. Develop a repeatable and simple method for identifying, capturing, storing, and sharing this knowledge.

UDOT Documents and Tools 367   U DO T K now ledg e M anag ement F ramew ork & B usiness A rchitecture Strateg y 3 8 . Develop Q uantitative P erf ormance M etrics: In line with the Governor’s SU C C E SS framework measurement ( Q T/ OE ) , identify potential performance metrics in order to measure the success and effectiveness of implementing a K nowledge Management framework and B usiness Architecture strategy. 9 . I dentif y potential pilot proj ects ( Working tog ether w ith the U V U g roup, identif y the proj ects that w ould be best to beg in w ith) : Identify appropriate pilots to demonstrate the effectiveness of the K nowledge Management framework and B usiness Architecture strategy with the intent of reducing risks, leveraging available opportunities for innovation, and creating knowledge-sharing opportunities across U DOT. Projects may include: a. Data M anag ement L if ecy cle P rocess i. C reate Data Management L ifecycle Process for implementation within U DOT. ii. C reate a content lifecycle process for implementation enterprise-wide. iii. Develop governance and prioritiz e efforts to set rules and enforcement enterprise-wide. iv. Identify roles and responsibilities for improvement of data and information findability across U DOT. v. Develop metadata schema for U DOT content. b. O nline L ibrary ( Enterprise I ntranet) i. C reate an online library where all information sharing is available in one location for all U DOT employees, contractors, consultants, and local public agencies. 1. This includes a technological solution such as google teams, SharePoint, Microsoft Teams, K nowvation, or other technology to house the final online library function. ii. Apply the enterprise K nowledge Management and B usiness Architecture Framework principles to the U DOT Online L ibrary. 1 0 . C reate a K now ledg e M anag ement- based culture utilizing the B usiness A rchitecture strateg y ( U DO T implements using the f inding s and recommendations f rom U V U ) : Identify options for coordinating and collaborating across organiz ational and disciplinary boundaries and link people who have the requisite knowledge with those who need it to do their jobs. a. Develop a high-level communications strategy with print collateral that will help rapidly educate U DOT’s workforce on K nowledge Management ( e.g., what it is and why it is relevant to them) . L ink people who have tacit knowledge with those who need it to do their jobs. b. Align good decisions with best practices by building a B usiness Architecture strategy and a K nowledge Management framework that enables people to make good decisions and act in an effective manner.

368 Implementation of the AASHTO Guide for Enterprise Risk Management U DOT K now ledge Management F ramew ork & B usiness Arch itecture S trategy 4 Deliverables 1. Scope of work and timeline for project 2 . Summary of research 3 . Risk assessment 4 . K nowledge Management layers and future state framework 5 . B usiness Architecture future state framework 6 . Templates ( System/ Process) 7 . Pilot project identification 8 . K M/ B A communication/ implementation strategy 9 . Research Report and E xecutive Summary for senior leadership 10 . Propose N ext Steps Def initions K now ledge Management framework is a collection of policies, processes, and practices relating to the cultivation, identification and documentation, utiliz ation, sharing, and retention of intellectual/ knowledge-based assets in an organiz ation. It is a management practice that fosters collaboration across organiz ational and disciplinary boundaries and links people who have the requisite knowledge with those who need it to do their jobs. B usiness Arch itecture strategy provides a dynamic blueprint for the business to follow. Additional Resources ● Discipline of B usiness Architecture ● B eginning with B usiness Architecture ● Role of B usiness Architect ● Three Important Skills for B usiness Architects and Problems Solvers U V U S ummer S essions B lock 1 May 1 3 - end of J une B lock 2 J une 2 9 - mid- Aug