Implementation of the AASHTO Guide for Enterprise Risk Management (2022) / Chapter Skim
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Pages 378-404
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From page 378... ...
378 Managing Risks in Uncertain Times – Proceedings of the Webinar Contents 379 Proceedings of Managing Risks in Uncertain Times 381 WSDOT: Managing Risks to Revenues, Employees, and Diversity 389 Managing Pandemic Risks to the Tennessee DOT 392 Managing Risks to Minnesota DOT's Revenues and Workforce 396 Minnesota DOT Incorporating Employee Safety into Risk Management 397 Managing Risks to Employee Safety at UDOT 398 Update on the AASHTO Subcommittee on Risk Management 400 Next Steps for NCHRP Project 20-44(02) 402 Final Comments A P P E N D I X D
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From page 379... ...
Managing Risks in Uncertain Times – Proceedings of the Webinar 379 Proceedings of Managing Risks in Uncertain Times Background e objectives of NCHRP Project 20-44(02) , "Implementation of the AASHTO Guide for Enterprise Risk Management," are to develop and execute a dissemination and implementation plan to create awareness of the Guide and facilitate successful implementation of enterprise risk management by state DOTs.
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From page 380... ...
380 Implementation of the AASHTO Guide for Enterprise Risk Management Among the many elements of the project were: • Direct support to the DOTs in Utah, Washington State, and Tennessee to implement risk management strategies to address risks to core objectives. • Creation of a COP.
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From page 381... ...
Managing Risks in Uncertain Times – Proceedings of the Webinar 381 • Paul will be followed by Jean Wallace. Jean is the MnDOT Assistant Modal Planning & Program Management Division Director, and she is also the chair of the AASHTO's Subcommittee on Risk Management.
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Figure 1. While COVID-19 cases have risen, the nation's gross domestic product has fallen.
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Managing Risks in Uncertain Times – Proceedings of the Webinar 383 such as transit, Amtrak, and the state DOT's ferry services. e initiative was recently overturned by the Washington State Supreme Court, but nonetheless WSDOT is still facing budget reductions.
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From page 384... ...
384 Implementation of the AASHTO Guide for Enterprise Risk Management Another long-term impact of COVID-19 is to WSDOT's effort to promote diversity and cultural inclusion. If new staff cannot be hired and training cannot be conducted, it is difficult to advance the strategic goal of developing a more diverse and inclusive work force.
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9 Figure 3. Washington transit ridership fell more than 60 percent in many instances.
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386 Implementation of the AASHTO Guide for Enterprise Risk Management John discussed the impact of the budget cuts on Amtrak, the ferry system, and transit: "When we did a 25 percent reduction proposal, we saw that we were doing the cuts within our silos. There was no looking at the impact of a budget cut across the business areas.
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From page 387... ...
Expenditure Reduction Rankings Template (Overall Risk: +Additive) Cross-functnl considertns X = 2.0 Concerns, gaps and opportunities Comments Column1Column2 Column22Column3 Column32 Column33 Column3211 Column32112Column3210Column3212 Column6Column7Column8Column9Column10Column11Column12Column13Column48Column47Column46Column45Column44Column43Column42Column5Column14 Column16 1 Division A AB Item 1 22 2 16 3 6 2 2 5 1 3 1 2 1 1 X X X Concern 1 Comment 1 2 Division B CD Item 2 27 1 17 1 10 1 5 2 1 1 2 2 3 1 X X X X X Concern 2 Comment 2 3 Division C EF Item 3 21 3 17 1 4 3 3 1 1 1 1 2 5 3 X X Concern 3 Comment 3 4 Division D GH Item 4 17 4 15 4 2 4 1 1 1 4 1 1 5 1 X Concern 4 Comment 4 5 Division E IJ Item 5 17 4 15 4 2 4 1 1 1 1 5 1 4 1 X Concern 5 Comment 5 Effi ci en t d el iv er y (p ro je ct /P SE /c on st ru cti on )
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From page 388... ...
388 Implementation of the AASHTO Guide for Enterprise Risk Management the financial risks and study the impact on the cross-functional areas and the agency's guiding principles, and include those risk in the scoring. John said that the risk-based budget assessment was well received by WSDOT leadership, and it was included in the information sent to the governor's office.
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Managing Risks in Uncertain Times – Proceedings of the Webinar 389 Figure 5. Examples of WSDOT steps to protect workers from COVID-19.
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390 Implementation of the AASHTO Guide for Enterprise Risk Management paid to not work, while the eld sta had to continue work in the face of a pandemic. TDOT focused on using clear communication as a risk-mitigation strategy to address these and other sta concerns related to the pandemic.
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Managing Risks in Uncertain Times – Proceedings of the Webinar 391 TDOT has three types of employees: oce sta who would work from home, maintenance employees who work from xed sites, and construction employees who travel. For the oce sta, it was a matter of " ipping the switch" to have them work from home.
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392 Implementation of the AASHTO Guide for Enterprise Risk Management Another risk presented by COVID-19 was a slowdown in the hiring process. at has resulted in 100 vacancies above the usual 400 vacancies that TDOT usually has.
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Managing Risks in Uncertain Times – Proceedings of the Webinar 393 Jean described how the agency is incorporating risk into its biennial budget development process. The budget planning process began in April/May of 2020 for the budget that will begin July 2021.
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394 Implementation of the AASHTO Guide for Enterprise Risk Management Figure 8. This risk register was the product of an effort to integrate risk into the budget-development process.
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Managing Risks in Uncertain Times – Proceedings of the Webinar 395 team was to state what trade-os would be made if they did not receive funding in the budget. e response to the last question helped to provide more context about the urgency of the budget request.
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From page 396... ...
396 Implementation of the AASHTO Guide for Enterprise Risk Management Minnesota DOT Incorporating Employee Safety into Risk Management Chris Berrens then discussed how MnDOT incorporated COVID-19 into its ongoing riskreduction eorts. MnDOT has also been coordinating with other ERM practitioners on how to respond to risks from COVID-19.
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Managing Risks in Uncertain Times – Proceedings of the Webinar 397 isolating employees who returned to work such that it minimizes the bene ts of the return-towork strategy. e group also considered retaining the work-from-home situation until there was a vaccine available.
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From page 398... ...
398 Implementation of the AASHTO Guide for Enterprise Risk Management within it to the right so that employee safety is integrated into all agency activities. Chris also described the matrix shown in Figure 12 and said that UDOT's goal is to be at the far right at level 5 of maturity.
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Figure 12. A description of the attributes at each level of maturity.
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400 Implementation of the AASHTO Guide for Enterprise Risk Management Figure 13. A description of the CARES framework for employee safety.
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Figure 14. The UDOT plan showing the level of work place stabilization.
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402 Implementation of the AASHTO Guide for Enterprise Risk Management Shobna noted that the nal project report will include more than a summary of proceedings. It will include several valuable risk-mitigation tools developed by the pilot states as part of this project.
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From page 403... ...
Abbreviations and acronyms used without denitions in TRB publications: A4A Airlines for America AAAE American Association of Airport Executives AASHO American Association of State Highway Officials AASHTO American Association of State Highway and Transportation Officials ACI–NA Airports Council International–North America ACRP Airport Cooperative Research Program ADA Americans with Disabilities Act APTA American Public Transportation Association ASCE American Society of Civil Engineers ASME American Society of Mechanical Engineers ASTM American Society for Testing and Materials ATA American Trucking Associations CTAA Community Transportation Association of America CTBSSP Commercial Truck and Bus Safety Synthesis Program DHS Department of Homeland Security DOE Department of Energy EPA Environmental Protection Agency FAA Federal Aviation Administration FAST Fixing America's Surface Transportation Act (2015) FHWA Federal Highway Administration FMCSA Federal Motor Carrier Safety Administration FRA Federal Railroad Administration FTA Federal Transit Administration GHSA Governors Highway Safety Association HMCRP Hazardous Materials Cooperative Research Program IEEE Institute of Electrical and Electronics Engineers ISTEA Intermodal Surface Transportation Efficiency Act of 1991 ITE Institute of Transportation Engineers MAP-21 Moving Ahead for Progress in the 21st Century Act (2012)
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Transportation Research Board 500 Fifth Street, NW Washington, DC 20001 ADDRESS SERVICE REQUESTED ISBN 978-0-309-09462-7 9 7 8 0 3 0 9 0 9 4 6 2 7 9 0 0 0 0
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