Implementation of the AASHTO Guide for Enterprise Risk Management (2022) / Chapter Skim
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Pages 19-81
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19 Pilot Case Studies Nine initiatives were selected for implementation by the three DOTs during the pilot. Each initiative is described here as a case study.
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20 Implementation of the AASHTO Guide for Enterprise Risk Management crashes. TDOT expected to develop a risk mitigation strategy that addressed gaps in its quickclearance process that was formal, consistent, and repeatable.
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Pilot Case Studies 21 Resources Needed Several resources were needed to implement the quick-clearance initiative. As already mentioned, assigning an initiative lead, providing high-level support to the implementation effort, and the MOU were among the key resources needed for the successful implementation of the initiative.
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H.O.T. Brochure 1 Source: TDOT.
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Pilot Case Studies 23 Tools Developed The following tools were developed during the implementation of this pilot initiative and could be of use to other state DOTs: • An MOU developed by TDOT and signed with TDOS. • A training curriculum.
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H.O.T. Brochure Source: TDOT.
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Pilot Case Studies 25 handling the six focus areas, the TDOT sta had the opportunity to make a big impact on quickly reopening roads following a crash. In addition, TDOT developed a four-page HOT eld exercise document for the simulation that detailed the steps to follow to test the operation team's ability to respond and quickly and safely clear a roadway incident.
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26 Implementation of the AASHTO Guide for Enterprise Risk Management potato truck crash that spurred criticism from the governor. The potato truck incident catalyzed the need and created pressure to change quickly.
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Pilot Case Studies 27 assessment process for new-start projects that identifies risks to projects' costs and schedules. The final product includes an Excel-based risk tool that helps staff identify and assess risks to project schedules and track the mitigation strategies.
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28 Implementation of the AASHTO Guide for Enterprise Risk Management The risk register is populated with risks that have been assessed for their likelihood and impact. Additionally, each risk is assigned to a risk owner responsible for the risk's mitigation.
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Pilot Case Studies 29 Successes/Accomplishments The risk initiative provided TDOT with: • Consensus that a risk tool was needed and would help identify and manage risks that cause project delays or change orders. • An electronic risk tool that will assess and monitor risks to all significant projects.
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30 Implementation of the AASHTO Guide for Enterprise Risk Management Next Planned Date/Event for Reviewing Risk Date and Comments Monitoring and Control Source: TDOT. Figure 4.6.
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Pilot Case Studies 31 for "NCHRP Research Report 986." TDOT intends to include the tool in all TDOT project- development reports so that as new, large TDOT projects are developed, the risk tool will become part of the set of reports that are produced during the project-development process. The Risk Assessment Tool: The tool is an Excel-based tool with three tabs, which are: 1.
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32 Implementation of the AASHTO Guide for Enterprise Risk Management were not documented in a way so that other sta were informed about them to allow for any mitigation. Initially there was also some concern that tracking risks was more work.
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Pilot Case Studies 33 • Comments about the risks identified in the tool will be added to TDOT's project-management software. • Discussions were held with headquarters and the design and standards departments to have the tool included as a process in the agency's design guidelines.
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34 Implementation of the AASHTO Guide for Enterprise Risk Management orders during construction. The initiative's mitigation strategy was designed to reduce the risk of those threats by ensuring that the responsible project engineer has assurances that all elements are complete.
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Pilot Case Studies 35 go/no-go decision as to whether the bid plans package is complete. The specialty areas that will review submittals for projects and approve or deny them include staff from: • Headquarters' construction; • District operations; • Environmental document preparation; • Environmental permits preparation; • Geotechnical engineering; • Regional operations; • Right-of-way, including railroad and utility coordination; • Roadway design, including Americans with Disability Act requirements, pavement design, quality assurance/quality control review, and work zone review; • Structures; • Traffic operations; • Regional utility office; and • Division 4.
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36 Implementation of the AASHTO Guide for Enterprise Risk Management • e Final Construction Plan Submittal Delay Form is also a communication tool that alerts upper management about projects that will not make it to the scheduled bid letting. is advance noti cation provides management with a more realistic picture of which projects are ready for award and which are not.
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Pilot Case Studies 37 e form includes instructions to the project-development employee to complete and distribute the form. e form includes step-by-step instructions for the construction plan submittal.
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38 Implementation of the AASHTO Guide for Enterprise Risk Management all bid lettings. Its completion will be an expected assignment for the engineers who manage projects.
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Pilot Case Studies 39 Source TDOT. Figure 4.9.
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40 Implementation of the AASHTO Guide for Enterprise Risk Management developing risk assessment plans on projects as required by the pilot initiative. Meetings with Environmental Division sta were productive and ended with agreement to include risk in the document produced by that division.
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Pilot Case Studies 41 The risk statement was: If we don't offer career advancement opportunities and earning potential to new and current employees, then we risk losing our best and brightest employees to companies that do offer these opportunities, causing a loss of talent at UDOT resulting in an underperforming or overburdened workforce. Three strategies or mitigation objectives were identified for this objective.
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42 Implementation of the AASHTO Guide for Enterprise Risk Management It also allows UDOT to track the training that employees have received and to better understand the skills that employees have developed. e soware can help improve training by gathering and analyzing employee feedback and by indicating where employee skills could be enhanced with additional training.
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Pilot Case Studies 43 • New employees will feel con dent during their rst week at UDOT and in their new position. Designing the transition from new employee orientation to employee workstation will allow the shi to go smoothly and ensure that the employees will have the resources they need to start work.
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44 Implementation of the AASHTO Guide for Enterprise Risk Management a searchable website, which allows employees to find the courses they need to develop their career paths. UDOT faces competition from private-sector employers with higher initial salaries.
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Pilot Case Studies 45 Tools Developed Two tools were developed from this initiative. Toolkit.
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46 Implementation of the AASHTO Guide for Enterprise Risk Management Source UDOT. Figure 4.12.
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Pilot Case Studies 47 Yet another lesson was to expect technical complications in the early weeks of online training and orientation. UDOT had a new-hire orientation session based on the new, improved process developed during the project implementation.
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48 Implementation of the AASHTO Guide for Enterprise Risk Management The risk statement for the employee performance management objective was: If supervisors do not have effective ways to understand, measure, and discuss the employee's performance, then the employee will not be able to make meaningful and aligned goals, impacting the employer's ability to address unsatisfactory performance or reward excellent performance, resulting in unclear expectations leading to feelings of disengagement from their work and general dissatisfaction from their supervisors. The mitigation strategy UDOT developed for employee performance management risks was: Require employee development and success plans that facilitate meaningful conversations between each supervisor and employee.
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Pilot Case Studies 49 • When analyzing mitigation e orts, nd a system for managers. To nd a good system, conduct research on methods and applications and nd good practices.
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50 Implementation of the AASHTO Guide for Enterprise Risk Management supervisors become supervisors because of their technical skills, not for their role as team leaders. As employees become supervisors, they need training as leaders to win the support of their teams.
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Pilot Case Studies 51 enhance what was already in place, and the process led UDOT to methodically identify risks and develop objectives and mitigations to overcome these risks. e initiative provides tools to build from employees' strengths and allow supervisors to understand how to provide guidance that motivates employees.
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52 Implementation of the AASHTO Guide for Enterprise Risk Management Two pilot workshops were expected to be conducted in person, but because of COVID-19, the training was replaced with virtual sessions. The virtual training approach solved some problems, such as how to reach employees across such a large state and how to reduce travel time.
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Source: UDOT. Figure 4.15.
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54 Implementation of the AASHTO Guide for Enterprise Risk Management • It is important to review the performance and results of each mitigation strategy and revise them as needed. The pilot team thinks that it is hard to evaluate the lasting impact of any training.
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Pilot Case Studies 55 UDOT defines the knowledge management framework as a collection of policies, processes, and practices relating to the cultivation, identification and documentation, utilization, sharing, and retention of intellectual/knowledge-based assets in the organization. It is a management practice that fosters collaboration across organizational and disciplinary boundaries and links people who have the requisite knowledge with those who need it to do their jobs.
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56 Implementation of the AASHTO Guide for Enterprise Risk Management To advance knowledge management, UDOT contracted with Utah Valley University to have its graduate students assist with the effort. Many of the graduate students had work experience in knowledge management and were studying the topic at the university.
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Pilot Case Studies 57 Successes/Accomplishments UDOT completed the following efforts: 1. Examining the value of having a knowledge management process.
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58 Implementation of the AASHTO Guide for Enterprise Risk Management • A plan to develop a business architecture that UDOT could consider for organizing its knowledge management efforts. At the time of writing, the initiative was an ongoing effort, and specific tools were being worked on by UDOT.
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Pilot Case Studies 59 Some short-term solutions were in place, such as using cloud-based storage for documents to facilitate easy access by employees. But the knowledge management team knew that this was not a good long-term solution.
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60 Implementation of the AASHTO Guide for Enterprise Risk Management manageable for its regional planning staff, who will be able to incorporate the risk findings into their long-term project planning. Objective UDOT's objectives for this initiative were to create: 1.
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Pilot Case Studies 61 • Collaborate on the risk analysis methodology. • Set the state's threshold for robustness analysis.
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62 Implementation of the AASHTO Guide for Enterprise Risk Management Source: UDOT 2020. UDOT ASSET RISK MANAGEMENT PROCESS June 2020 Risk Integration Approach The Utah Department of Transportation (UDOT)
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Pilot Case Studies 63 estimates. The standardized user costs and standardized repair costs simplified planning-level estimates of the B/C of mitigating a threat to an asset or corridor.
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64 Implementation of the AASHTO Guide for Enterprise Risk Management e guide produced necessary de nitions and formulae for calculating the components of a risk analysis. For example: • Risk value was de ned as consequence times threat probability.
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Pilot Case Studies 65 e implementation steps UDOT regions are to follow when using the risk analysis process include: 1. Note the type of risks at locations along the corridor in order to develop possible assethardening options.
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66 Implementation of the AASHTO Guide for Enterprise Risk Management can fall into two other categories it developed. The planned response mitigation category involves not hardening a site but rather developing a plan of action to deploy if a site fails.
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Pilot Case Studies 67 The expectation was that pilot implementation would result in achieving several objectives. WSDOT wanted to: • Incorporate the AASHTO Guide into its risk management practices and advance the use of the ISO ERM concepts in the DOT; • Update its ERM policy, establish ERM governance, and delineate roles in ERM; • Identify additional risk initiatives; • Institutionalize assessing risk, determine treatments, craft response plans, and evaluate and manage risks; • Routinely use risk registers as tools in risk management; and • On an ongoing basis, monitor and manage changes that pose risks to agency objectives.
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68 Implementation of the AASHTO Guide for Enterprise Risk Management Implementation Methodology e kicko workshop with the project team set the stage for the WSDOT pilot implementation activities. As a state that is considered mature in implementing ERM, the agency had its own framework.
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Pilot Case Studies 69 • Project champion briefed executive management and obtained support for the initiative and mitigation activities identified. • Finalized the risks for pilot implementation.
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70 Implementation of the AASHTO Guide for Enterprise Risk Management project. The project team held monthly update meetings with the pilot team and was in constant communication with the agency's initiative lead throughout the pilot implementation.
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Pilot Case Studies 71 • WSDOT is also influencing inclusion through its safety program. Per agency's assessment, minority communities of African Americans and Native Americans often rely heavily on walking or bicycling.
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72 Implementation of the AASHTO Guide for Enterprise Risk Management done remotely. To engage more employees, the huddles can be done by combining in-person and virtual participation, making it possible for many more employees to participate.
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Pilot Case Studies 73 – Inclusion and workforce ◾ Change management article, WSDOT Secretary Millar ◾ Change management plan resource, template ◾ OEO diversity roadmap, September 2020 ◾ OEO newsletter, December 2020 Challenges and Lessons Learned Challenges and lessons learned are discussed in the following: • The success of such a complex topic requires leadership at multiple levels of an organization. Lessons from this initiative highlight the importance of the involvement of leadership trusted by the employees.
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74 Implementation of the AASHTO Guide for Enterprise Risk Management aspects of issues. When addressing this initiative on inclusiveness, the agency had to probe the perspectives of staff to understand the issues surrounding inclusiveness.
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Pilot Case Studies 75 WSDOT also considered thinking about this as an opportunity; in other words: If employees are trained, then it will improve their morale and create a better work environment and a more productive workforce. The mitigation strategy was to: Develop a better work environment that improves morale and creates a more productive workforce.
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76 Implementation of the AASHTO Guide for Enterprise Risk Management for peers to ask questions and get a better understanding of what they would need to plan and implement if they chose to do so. These meetings included: – COP meetings; – Peer exchanges with the other two pilot states; – Peer exchanges with other non-pilot DOTs; and – Other national meetings, workshops, and webinars.
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Pilot Case Studies 77 e Northwest region maintenance team took advantage of the mentorship program as part of its knowledge transfer strategy. e agency's strategic plan dashboard features the story of a mentor (an environmental program manager)
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78 Implementation of the AASHTO Guide for Enterprise Risk Management • WSDOT has implemented many strategies to reach out to employees. The agency has created a website for workforce development that includes various types of resources for employees.
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Pilot Case Studies 79 Figure 4.23 shows a screen capture of the webpage that houses the Workforce Development Toolkit. ere are links to recordings of past and future events that the employees can access.
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80 Implementation of the AASHTO Guide for Enterprise Risk Management Other Resources. Additional resources to workforce-development–related products from WSDOT include: • State Employee Engagement Survey: can be found on the website of the State of Washington Office of Financial Management (https://ofm.wa.gov/)
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Pilot Case Studies 81 • It is important to make sure that resources are assigned to align training with the skills that employees need. Because of budget cuts in the human resources area, a matrix of which courses staff should take to advance their careers has been de-emphasized.
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