Implementation of the AASHTO Guide for Enterprise Risk Management (2022) / Chapter Skim
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169 UDOT Documents and Tools A P P E N D I X B
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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.
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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.
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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.
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UDOT Documents and Tools 173 2 ( 5 -10 people) to invite for interviews.
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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.
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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.
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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.
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UDOT Documents and Tools 177 6 ( Refer to available resources and training - https: / / dhrm.utah.gov/ payroll)
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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)
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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
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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 completed 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.
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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 overarching vision, mission and goals; and how you can begin making immediate contributions.
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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.
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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
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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.
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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.
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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
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UDOT Documents and Tools 187 Employee Performance Tool Kit Resources
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188 Implementation of the AASHTO Guide for Enterprise Risk Management 1. er ormance lans and E aluations need to e completed in 2.
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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:
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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
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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
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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 -
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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)
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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
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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
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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:
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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.
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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:
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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.
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200 Implementation of the AASHTO Guide for Enterprise Risk Management G etting to Know Your Leadersh ip Style GALLUP = old new!
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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.
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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
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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?
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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
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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?
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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
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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
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208 Implementation of the AASHTO Guide for Enterprise Risk Management 1. Do I know what is expected of me at work?
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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 ?
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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% .
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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
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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.
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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.
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214 Implementation of the AASHTO Guide for Enterprise Risk Management Resources Practice cenarios
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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
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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.
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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.
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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
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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
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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
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UDOT Documents and Tools 221 3 Support & Resources ...........................................................................................................................................................................55 Document & Follow Up ......................................................................................................................................................................59 Final Practices......................................................................................................................................................................................61 Scenario #1 ........................................................................................................................................................................................................... 3 Scenario #2 ...........................................................................................................................................................................................................
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222 Implementation of the AASHTO Guide for Enterprise Risk Management 4 Utah Department of Transportation
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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.
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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.
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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.
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226 Implementation of the AASHTO Guide for Enterprise Risk Management 8 Utah Department of Transportation
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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 .
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228 Implementation of the AASHTO Guide for Enterprise Risk Management 10 Utah Department of Transportation 5 Engagement Engagement
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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.
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230 Implementation of the AASHTO Guide for Enterprise Risk Management 12 Utah Department of Transportation
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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.
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232 Implementation of the AASHTO Guide for Enterprise Risk Management 14 Utah Department of Transportation
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UDOT Documents and Tools 233 15 Introduction Chat < |
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234 Implementation of the AASHTO Guide for Enterprise Risk Management 16 Utah Department of Transportation
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UDOT Documents and Tools 235 17 Introduction Reactions < |
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236 Implementation of the AASHTO Guide for Enterprise Risk Management 18 Utah Department of Transportation
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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.
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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
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UDOT Documents and Tools 239 21 Coaching Conversation Model Coaching Conversation Model Time: 20 Minutes < |
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240 Implementation of the AASHTO Guide for Enterprise Risk Management 22 Utah Department of Transportation
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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.
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242 Implementation of the AASHTO Guide for Enterprise Risk Management 24 Utah Department of Transportation
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UDOT Documents and Tools 243 25 Coaching Conversation Model Lead ith Positive Intent. All talents can be misapplied or misdirected.
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244 Implementation of the AASHTO Guide for Enterprise Risk Management 26 Utah Department of Transportation
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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.
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246 Implementation of the AASHTO Guide for Enterprise Risk Management 28 Utah Department of Transportation
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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.
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248 Implementation of the AASHTO Guide for Enterprise Risk Management 30 Utah Department of Transportation
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UDOT Documents and Tools 249 31 Coaching Tools Coaching Tools Time: 20 Minutes < |
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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
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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.
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252 Implementation of the AASHTO Guide for Enterprise Risk Management 34 Utah Department of Transportation
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UDOT Documents and Tools 253 35 Coaching Tools lo limpses of E cellence Satisfaction < |
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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]
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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.
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256 Implementation of the AASHTO Guide for Enterprise Risk Management 38 Utah Department of Transportation
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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.
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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?
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UDOT Documents and Tools 259 41 Name, Claim, Aim Activity Name, Claim, Aim Activity Time: 20 minutes < |
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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.
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UDOT Documents and Tools 261 43 Employee s Perspective Employee's Perspective Time: 10 minutes < |
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262 Implementation of the AASHTO Guide for Enterprise Risk Management 44 Utah Department of Transportation
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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.
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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.
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UDOT Documents and Tools 265 47 Employee Perspective Activity Employee Perspective Activity Time: 20 minutes < |
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266 Implementation of the AASHTO Guide for Enterprise Risk Management 48 Utah Department of Transportation
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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.
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268 Implementation of the AASHTO Guide for Enterprise Risk Management 50 Utah Department of Transportation
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UDOT Documents and Tools 269 51 ob esponsibilities Job Responsibilities Time: 10 minutes < |
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270 Implementation of the AASHTO Guide for Enterprise Risk Management 52 Utah Department of Transportation
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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.
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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.
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UDOT Documents and Tools 273 55 ob esponsibilities Activity Name it Job Responsibilities Activity - Name it Time: 20 minutes < |
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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.
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UDOT Documents and Tools 275 57 Support esources Support & Resources Time: 5 minutes < |
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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
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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.
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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?
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UDOT Documents and Tools 279 61 Document ollo Up Document & Follow Up Time: 10 minutes < |
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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.
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UDOT Documents and Tools 281 63 inal Practices Final Practices Time: 60 minutes (15 each) < |
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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.
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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. < |
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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.
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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.
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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.
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UDOT Documents and Tools 287 69 inal Practices < |
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288 Implementation of the AASHTO Guide for Enterprise Risk Management 70 Utah Department of Transportation
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UDOT Documents and Tools 289 71 Summary Conclusion Summary & Conclusion Time: 10 minutes < |
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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
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UDOT Documents and Tools 291 2 Utah Department of Transportation
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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
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UDOT Documents and Tools 293 4 Utah Department of Transportation
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294 Implementation of the AASHTO Guide for Enterprise Risk Management 5 Engagement Engagement
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UDOT Documents and Tools 295 6 Utah Department of Transportation Coaching Conversation Model
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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
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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.
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298 Implementation of the AASHTO Guide for Enterprise Risk Management 9 Coaching Tools How does this theme help me be successful in my role?
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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
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300 Implementation of the AASHTO Guide for Enterprise Risk Management 11 Coaching Tools Theme Map [Enter Theme Here] (Theme)
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UDOT Documents and Tools 301 12 Utah Department of Transportation Talent Map [Enter Theme Here] [Enter Theme Here]
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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.
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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.
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From page 304... ...
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.
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From page 305... ...
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.
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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.
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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.
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308 Implementation of the AASHTO Guide for Enterprise Risk Management 19 E amples of Support esources Examples of Support & Resources
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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?
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From page 310... ...
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.
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From page 311... ...
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.
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From page 312... ...
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.
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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.
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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)
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UDOT Documents and Tools 315 CONTENT INTRODUCTION GOA S O UDOT ASSET RISK MANAGEMENT PROCESS Definitions ................................................................................................................................................. uild on perience ..................................................................................................................................
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316 Implementation of the AASHTO Guide for Enterprise Risk Management UDOT ASSET RISK MANAGEMENT PROCESS I E Figure . is integration approach ............................................................................................................
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UDOT Documents and Tools 317 INTR ODU CTION The Utah Department of Transportation (UDOT) Risk Management Team was tasked to develop a riskmanagement process to integrate and incorporate risk and resilience assessment into UDOT's current decision-making processes.
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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
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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.
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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.
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UDOT Documents and Tools 321 Figure 2 . Asset Risk Management process flowch art Identify the asset and environmental threat (event)
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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.
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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.
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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 )
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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.
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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.
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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.
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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.
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UDOT Documents and Tools 329 response, and recovery. reparedness lessens the time it will ta e to respond, and then speeds the recovery process.
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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.
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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)
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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.
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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)
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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.
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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.
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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.
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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.
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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.
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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 )
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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.
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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 .
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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.
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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 .
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344 Implementation of the AASHTO Guide for Enterprise Risk Management . Delay time (Dh)
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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 .
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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.
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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.
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From page 348... ...
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)
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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.
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From page 350... ...
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
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From page 351... ...
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)
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From page 352... ...
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.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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From page 360... ...
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.
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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.
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From page 362... ...
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.
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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.
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From page 364... ...
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.
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UDOT Documents and Tools 365 UDOT Knowledge Management E ort Background: is document summarizes the background issues that in uenced UDOT during NCHRP Project 20-44 (02) in its pursuit of a knowledge management framework.
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From page 366... ...
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 )
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From page 367... ...
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 )
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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 .
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Key Terms
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