Identifying a Home for Asset Management

There are many choices to consider when identifying a "home" for asset management. Asset management committees can be used to achieve coordination across units, regardless of where the TAM home is located, in order to enhance the asset management culture across the organization. Some agencies choose to focus TAM activities within a single business unit and use committees and other management structures to achieve the needed coordination. Others appoint a TAM lead individual to play a coordination role with staff support and resources drawn from multiple units across the agency.

As agencies gain experience with TAM, the organizational model may evolve. At early stages of maturity, an agency may not have any organizational unit or function that is performing TAM activities. In developmental stages of TAM, an agency may create a TAM unit to signal its importance, formalize processes and integrate TAM business practices across the organization. Eventually, as TAM practice is well-established, there may no longer be a need for a TAM unit, because TAM becomes the way the agency does business. Many international agencies with mature TAM practices do not have a TAM unit.

Creating a TAM Unit

An agency can conduct an assessment of where TAM-related functions currently are by making a list of TAM roles and where they exist in the agency. This will determine if there are gaps in needed roles. It will then be necessary to decide whether TAM roles should be added to existing business units, or if it is best to have a TAM unit that performs the roles and responsibilities.

If an agency decides to create a TAM unit, the roles and responsibilities that the unit performs can initially be based on the gap assessment. A beneficial aspect of a TAM unit is that it can focus on specific activities, such as the development and implementation of a federally-compliant TAMP.

Executive Office

Placing a TAM leader or TAM unit in the executive office signals the importance of TAM to the agency and provides a close connection to agency leadership. However, the executive office typically has less direct access to technical staff support than planning or engineering units. Connections to individuals with delivery-oriented responsibilities are also less direct than they would be in an engineering or maintenance office. If the TAM unit is not in the executive office, it’s important that there is an executive involved with the TAM program to both understand how TAM is benefiting the agency and to communicate the importance of TAM to the rest of the agency.

Planning Office

Locating a TAM leader or TAM unit within a planning office establishes a tight connection to long-range planning and, in some agencies, project programming. This fosters a long-term view of asset investments and an integrated approach to meet preservation, safety, mobility and other objectives. However, in many agencies, the planning function is not closely connected to project selection, and may have less engineering expertise. In these agencies, planning has less influence over asset preservation investment decisions.

Engineering Office

Creating a TAM leadership position or TAM unit within an engineering office puts it in proximity to capital design and construction (program delivery) activities. This will tend to give TAM more influence at the agency, as well as access to technical staff resources. Typically, the engineering office takes care of models for asset condition (i.e. pavement and bridge management units), and optimizing asset treatment decision making. However, because of the project delivery focus, there is less connection to long-term planning, systemwide performance, or routine maintenance.

Maintenance and Operations Office

Designating a TAM leader or TAM unit within a maintenance and operations office provides a strong connection to what is happening “on the ground” with respect to asset performance. It also provides an opportunity to emphasize proactive preser¬vation activities to cost-effectively extend the useful life of assets. However, maintenance is rarely involved in long-term planning or capital programming, so the TAM unit may have less influence on overall funding.

The practice examples below illustrate states that have TAM units in the four different agency locations. There is no one right way to locate the lead TAM unit. Figure 3.1, Locating TAM within the Agency, shows where the lead TAM unit is located in 2019 across the US states. The most commonly used location is the planning function.

TAM involves many integrative functions that require collaboration across business units. This map shows the results of an informal survey of the location of the TAM lead within each state department of transportation.

Figure 3.1 Locating TAM within the Agency: An Informal Nationwide Survey

Nationwide Survey

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Aligning the TAM Organizational Model with Agency Priorities

The choice of a TAM organization model should align with and support agency policies and priorities. Agencies that have priorities focused on activities that are located in the planning unit (such as economic development, increasing funding, or sustainability) may choose to house TAM in planning. A greater focus on safety and rebuilding infrastructure may lead to locating TAM in engineering. Agencies that prioritize preservation and operations may choose maintenance and operations for the TAM location. Table 3.1 Organizational Models describes how the home for TAM would work in different parts of the agency.

Table 3.1 TAM Organizational Models

Considerations in making the choice on the home for TAM.

Centralized vs. Decentralized Models

A second important choice in creating a TAM organizational model is deciding on the degree to which asset management responsibilities are centralized versus dispersed across the agency.

Model 1. Single TAM Unit

In this model, a central office TAM unit plays a strong role in making decisions and driving TAM actions. Influence is concentrated at a single point, which has advantages, but results in less distributed ownership across the agency.

Model 2. Strong but Distributed Central Office Role

In this model, the central office plays a strong function in investment decisions, but there is no single designated TAM unit. Roles and responsibilities are distributed across multiple central office units and are supported by a central office TAM function that is tied to the investment planning role and may not have a title with TAM in it.

Model 3. Central Office Coordination with Strong Field Office Role

In this model, the central office plays a coordinating role but investment decisions are primarily made by field offices. This approach fosters strong ownership and decision-making that is close to the customer. Establishment of clear guidance and standards at the central office helps to avoid inconsistencies across offices, ensures that a statewide view of asset information can be created, and takes advantage of opportunities to gain efficiencies through the standardization of tools and processes. Field units may take on varying levels of ownership for TAM with respect to data collection, condition and performance monitoring, and work prioritization. The advantage of this model is the stronger link between TAM policies, goals, and objectives and work that is implemented. The disadvantage is the lack of consistent application of TAM across the agency and the greater likelihood that non-TAM priorities are implemented.

Core TAM Roles

Understanding what roles and responsibilities are most important for the TAM program is key to getting an agency ready and aligned to achieve TAM-related goals. It is crucial to fill each TAM-related role with qualified people who possess the right competencies.

Three key roles provide the foundation for implementing TAM in an agency: a TAM champion, a TAM lead, and a lead for each priority asset class.

TAM Champion

Having a TAM program champion leads to greater success in meeting TAM goals and objectives. The TAM champion advocates for TAM advancement and communicates its importance throughout the agency. TAM champions can come from various groups, but they are typically senior managers or executives. The TAM champion should be able to create a vision for how TAM will deliver a stronger agency in the future, communicate how TAM can benefit stakeholders, and gain acceptance from agency staff and stakeholders.

TAM Lead

The TAM lead is the person who is the head of the TAM unit or, if there is no TAM unit, is the lead for coordinating various TAM program activities. People in this role are responsible for making sure agency staff and external partners are working together to advance TAM. The TAM lead should be a person who understands and can manage dependencies across activities and who can develop and maintain good working relationships. The TAM lead should be a constructive problem solver who can monitor the entire program, spot concerns, and listen to and consider alternative points of view when necessary.

An agency’s top management support is an key component of TAM success. One important role of the TAM lead is to keep executive management informed about and engaged in the TAM program. This requires regular and effective communication with executives about plans and achievements. Building executive support for and confidence in TAM activities helps to ensure continued resources and support for TAM activities. When the rest of the agency sees executives supporting the TAM program, they are more likely to assist with TAM needs.

Asset Stewards

Asset stewards (sometimes called “Asset Owners,” “Asset Managers” or simply “Asset Leads”) have lead responsibilities for managing a particular class of asset. This role can be assigned at the agency-wide level as well as at the field office level. An asset steward should be someone who understands the asset well, has the ability to communicate the asset’s needs and the consequences of underinvestment and is able to work with other asset stewards to develop agency-wide investment strategies.

TAM-Related Functions: Planning, Programming, and Delivery

TAM is inherently an integrative function, so designation of individuals performing key roles within agency planning, programming and work delivery functions can clarify the key points of responsibility and foster cross-functional coordination.

Project Prioritization

Within each program, key action include:

• Adopting and modifying policies and guidelines for how and when prioritization is done
• Developing prioritization methodologies
• Coordinating the execution of the process
• Gathering and compiling data
• Implementing, managing and updating information systems to support the process
• Performing analysis for individual projects
• Analyzing, reporting and communicating prioritization results
• Making final decisions about which projects will be advanced for funding

Maintenance and Operations

When work is being conducted in the field the following are important considerations for TAM program support:

• Understand TAM goals and objectives and how field actions impact end results.
• Understand the choices that were made during the programming process on asset treatments.
• Capture data on work accomplished to keep asset information accurate.
• Train field staff on the TAM program

Data Collection

Several steps are required to plan and execute data collection efforts – and then to process and store the data that are collected. Some agencies have established roles to provide standardization and coordination across data collection efforts. For each effort, key roles include:

• Analysis to provide a sound business case for data collection
• Research to identify the best method and approach to collecting the data
• Procurement – when contractors are used to collect data
• Data specification and design – that considers integration with existing agency data
• Hardware and software specification and acquisition for data storage and processing
• Guidance and oversight to ensure consistent and valid data
• Data quality assurance
• Data loading and validation

Development of a Long Range Plan

The long-range plan sets the framework for impactful asset investment decisions for the rest of the transportation development process. TAM implementation has a greater impact if TAM roles and responsibilities are clear in this step. It is also important to determine who will take the lead for the following:

• Long range plan policies and priorities related to TAM
• Consideration of tradeoffs across investment types (all program areas and across asset classes)
• Consideration of TAM investment distribution within asset classes (rebuild, rehab, preservation)
• Financial planning (funding outlook across investment types)

Program-Level Budgeting

Allocation of resources across program categories is a critical decision that both enables and constrains what can be accomplished. Where programs are defined based on funding sources or where allocations are based on formulas, there is little or no flexibility. However, where there is flexibility, it is important to establish TAM roles for technical analysis of investment versus performance tradeoffs, as well as for orchestration and facilitation of tradeoff decision making based on the results of this analysis.

Development of the TAMP

TAMP development is a multi-step process that involves agency stakeholders. Clearly articulating process, roles, and lead responsibility for the document yields the best product and makes it easier to implement the TAMP. Table 3.2 illustrates how to provide the link between roles and the key components of a federally-compliant TAMP development process.

Table 3.2 illustrates a way to provide the link between some typical TAM roles and the key components of a federally-compliant TAMP development process.

Table 3.2 - Links to the TAMP Development Process

Supporting Roles

The following additional roles are important to support TAM in an agency:

• Asset Data Stewards: ensure all data related to a specific asset class is accurate and aligned with other pieces of data; this is not the same as asset steward/owner.
• Asset Management Software System Owners: manage/own specific software systems, bridge/ pavement management system; the owner is the software owner.
• Asset Management Software System Architects: look at the connectivity of information across systems and across outputs.
• Analysts (data, economics, financial): take data, then apply statistical, economic or financial analysis to provide guidance using that information.
• Maintenance and Operations Managers: are out in a district or field office managing the day-to-day asset activities.
• IT and Data Specialists: usually reside in the Data/IT unit; ensure that overall information and tools support for asset management work.

The following disciplines are key components of a TAM program:

• Engineers: apply understanding of specific asset types, how the condition and role of assets influence treatment choices, and model how investments influence future performance.
• Planners: in the planning or other units; consider long-term planning/policy-making for assets as it relates to programming and the connectivity of information throughout the cycle of activities.
• Economists: look at economic tradeoffs of various scenarios on actions taken for a specific asset.

Table 3.3 - Agency roles list and location

Building a Strong TAM Team

Matching TAM Roles to Skills

When TAM is first initiated, roles can be filled with available staff in a manner that takes advantage of available talents and personalities:

• TAM Lead: people-oriented and enthusiastic; able to manage conflict across business units.
• Resource Allocation Leads: analytical and proficient with complex software.
• Data Collection & Management: detail-oriented and accurate.
• Field Maintenance Management: task-oriented monitors.
• Prioritization Leads: comfortable with uncertainty (gray areas), and willing to make decisions.

Making the Case for TAM Positions

Building a case for TAM positions requires defining how the gaps in staffing will hold the agency back from achieving its objectives. If possible, describe the anticipated return on investment from the added staff. It can also be helpful to evaluate TAM efforts at peer agencies, to find out if they have a TAM unit, how many people are in it, and what roles and responsibilities they have. Find examples of agencies that successfully made the case for new staff positions and borrow from their approach.

A Forward-Looking Approach

Part of building a strong TAM team is seeking skills that will help to advance practices rather than sustain the status-quo. Advancements in technology are changing the way data are collected, processed and analyzed; and how work is planned and carried out. As automation increases, certain routine tasks become obsolete, while it becomes necessary to acquire new skills to take advantage of improvements. For example, with tools that produce more robust analysis, agencies will need less people who crunch the numbers but more people to interpret and communicate the results.

Typically, when an agency starts its TAM journey, data accuracy is an issue. When data is not accurate, people may lack the confidence necessary to use the data for making decisions. As data quality and availability improve, the TAM program develops a need for stronger data analytic skills.

As processes become more complex, new skills are needed to monitor and carry out checks and balances. TAM aims to cut across traditional silos, which gets complicated as more units and stakeholders get involved. Therefore, TAM units benefit from people who are comfortable dealing with complex processes. This is a capability that can be acquired through hiring or training.

Part of building a strong TAM team is seeking skills that will help to advance practices rather than sustain the status-quo. For example, implementing a TAM program relies on data accuracy and strong data analytic skills. Typically, when an agency starts its TAM journey, data accuracy is an issue. When data is not accurate, people may lack the confidence necessary to use the data for making decisions.

Advancements in technology are changing the way data are collected, processed and analyzed, as well as how work is planned and carried out. As automation increases, certain routine tasks become obsolete, while it becomes necessary to acquire new skills to take advantage of improvements. With tools that produce more robust analysis, agencies will need fewer people who crunch the numbers but more people to interpret and communicate the results. As processes become more complex, new skills are needed to monitor and carry out checks and balances. TAM aims to cut across traditional silos, which gets complicated as more units and stakeholders get involved. Therefore, TAM units benefit from people who are comfortable dealing with complex processes.

Key Competencies

Part of building a strong TAM team is seeking skills that will help to advance practices rather than sustain the status-quo. For example, implementing a TAM program relies on data accuracy and strong data analytic skills. Typically, when an agency starts its TAM journey, data accuracy is an issue. When data is not accurate, people may lack the confidence necessary to use the data for making decisions.

Advancements in technology are changing the way data are collected, processed and analyzed, as well as how work is planned and carried out. As automation increases, certain routine tasks become obsolete, while it becomes necessary to acquire new skills to take advantage of improvements. With tools that produce more robust analysis, agencies will need fewer people who crunch the numbers but more people to interpret and communicate the results. As processes become more complex, new skills are needed to monitor and carry out checks and balances. TAM aims to cut across traditional silos, which gets complicated as more units and stakeholders get involved. Therefore, TAM units benefit from people who are comfortable dealing with complex processes.

Successful TAM practice relies on a number of key competencies:

Leadership: ability to establish a vision and motivate others to work towards achieving that vision.
Management: ability to make sure that the multiple activities in a TAM program are planned, coordinated, aligned and tracked.
Engineering: ability to understand the fundamentals of transportation asset and system design, construction, maintenance and operation.
Environmental: ability to analyze/ develop prediction models to measure how environmental changes may impact highway infrastructure
Financial planning: ability to understand financial planning basics and an awareness of funding sources and financial tools
Planning: ability to understand a DOT planning process and the constraints of that process.
Strategic planning: ability to understand strategic planning and how TAM fits into an agency’s business activities.
Problem solving: ability to work through inevitable conflicts and issues that arise in the process of working across agency silos.
Relationship building: ability to get different units in an organization to collaborate.
Analytical capabilities: ability to design and apply appropriate methodologies to gain key insights from available information.
Computer know-how: ability to work with a variety of software and comfortably navigate common operating systems.
Data know-how: ability to understand data structures, assemble and manipulate data in a variety of formats, and assess data quality.
Communications: ability to keep communication in forefront of everything that’s done; always aiming to make others understand what TAM program is trying to do. This is important when convincing individuals of change, or helping stakeholders understand TAMP long-term deliverables.
Positive attitude: in large-scale organizational change, taking a positive attitude is crucial to having people accept the change that will help strengthen the program, and convincing them that the solutions are the right ones.

Developing Competencies within the Organization

Peer-to-Peer Learning

TAM knowledge and skills can be gained through experience and peer to peer (P2P) learning. Peer exchanges sponsored by national organizations such as FHWA, FTA, AASHTO, and TRB can be crucial to cross-fertilizing knowledge and experiences. At these peer exchanges, individuals can meet peers and build relationships they can rely on as issues arise in implementing TAM. There are also TAM-related conferences, such as the regularly-held TRB TAM conference. In addition, asset-specific conferences and TAM workshops are held regularly. Many times these events are by invitation, so agencies should contact AASHTO and FHWA to find out about upcoming events.

Competency Assessment & Training Tools

The Institute of Asset Management (IAM) offers an asset management certificate for those who are beginning in TAM roles. The certificate validates a basic understanding of TAM within seven discipline areas and leads to an IAM diploma.
The National Highway Institute (NHI) offers numerous training courses to help build and develop skills in TAM. Some courses are instructor led, while others are web-based. Courses are available for all levels, from those just starting in TAM to those who want to develop greater expertise to help take their TAM programs to the next level of maturity. In addition, transportation professionals can use many of the courses to obtain Continuing Education Units, Certification Maintenance credits, and Professional Development hours. AASHTO and FHWA are continuously developing new capacity-building resources so stay tuned for new training tools.

Information Sharing

When thinking about which competencies are needed in an agency’s TAM program, it is helpful to look at job descriptions for TAM positions in peer agencies. This includes new job descriptions that are developed for emerging roles, such as data scientists. AASHTO is building this capability to share job descriptions. Go to the AASHTO TAM Portal to access this resource.

Consultants

When a TAM unit finds it hard to acquire a core TAM competency, it may be necessary to hire a consultant to fill the need. Consultants can be considered when:

• There is a need to perform a specialized task on a one-time or relatively infrequent basis.
• The types of competencies required are difficult to obtain in the marketplace (e.g. data science)

It is important for agencies to clearly define what they hope to gain from consultants beyond delivery of a report or system. Consultant engagements can be designed to build in knowledge transfer activities to add needed competencies in the agency.

Changing Job Market

In the current robust economy, new employment opportunities make it difficult for state DOTs to attract and retain talent. Developing your TAM organization model to accommodate shorter tenures, incorporate knowledge management, and be clear about the relationship between roles and their impact is important to continued success of the effort.

Finding Talent

Agencies can consider converting existing staff with a planning, financial, or engineering background. Candidates must be results oriented, able to communicate well, possess good presentation skills and be able to bring diverse people together for common goals.

TAM-Related Committees

This section touches on the importance of internal coordination committees across the various TAM-related activities. The form of committees is directly related to the agency’s organizational model. These coordination committees are focused on coordination across functions. The coordination committees with important roles in TAM decision-making include:

TAM Steering Committee

This is a senior-level committee made up of top decision-makers. They provide strategic oversight for TAM and facilitate resourcing and organizational support for agreed-upon changes. They also make sure that the politics of any decision are considered. The How-to Guide Establishing a TAM Steering Committee provides steps to set up this function.

Asset Stewards Committee

This is a committee consisting of individuals with accountability for different asset. It provides a forum for getting agreement on standardized approaches, enabling a holistic view of the TAM program, communication about management practices, and discussions about coordinating project development and work planning.

Asset Data Governance Committee

This committee focuses on improving data for TAM. Its activities may include: coordinating asset data collection activities; developing standards to enable integration of data about different assets; monitoring and facilitating adoption of existing standards; establishing data quality management processes; and advancing investments in tools for field data collection, data analysis, reporting and visualization.

TAM Working Group

This group is composed of unit managers across the agency who deal with key aspects of the TAM process – planning, programming, delivery, maintenance, data management, communications, etc.

Coordinating across TAM committees is also an important function. Typically the TAM lead will make sure the activities of various TAM committees are coordinated. In some agencies, the governance across the committees are explicitly stated so that everyone understands who is doing what and how decisions across committees are related.

External Entities

Many entities outside of a state DOT are part of the TAM advancement process. It is important to include external partners in TAM committees. For example, many agencies will have a FHWA member on the steering committee, or a governor’s representative on the strategy committee.

Metropolitan Planning Organizations (MPOs)

MPOs carry out transportation planning processes and represent localities in urbanized areas. MPOs are mandated and funded by the federal government and help ensure that transportation planning in the region reflects the needs of the population. MPOs may be responsible for parts of the State’s NHS. It is a federal requirement to involve MPOs when planning or programming federal aid in metropolitan areas, so it is key to coordinate with these organizations when developing the TAMP.

Local Agencies

Local agencies include city and county agencies. These agencies have a stake in asset management initiatives as they often own various parts of the transportation network and have funding for transportation projects. They are also closely connected to the population in the region and thus have an understanding of the needed asset management-related investments.

Other State Agencies

Various aspects of asset management should include other state agencies. State environmental agencies can provide guidance on air quality and emissions. State information systems agencies can be important for obtaining tools or solutions on a TAM need. Statewide data management initiatives may also require close coordination between the state and the DOT.

Toll Authorities

Toll Authorities operate toll roads across the country to generate revenue for use in maintaining the road. Depending on the relationship between the DOT and the authority, the authorities may own the road, have data and information on the condition of the road, and information on the investment in maintenance over time. It is key to coordinate with the authority to obtain a complete picture of the assets in the state.

Other Modal Agencies

Other Modal Agencies include organizations that operate transportation modes that are not directly operated by the state DOT. These might include public transportation, airports, and marine-related functions. The DOT may have a financial relationship with these agencies for grant-related funding. The DOT will also work with these organizations to deliver the best trip for a traveler.

Legislative and Oversight Bodies

The governor, transportation commission, and state legislative bodies help determine the funding allocations for each state. It is good practice to coordinate with these entities to ensure they understand the importance of asset management and the need for continued DOT funding.
USDOT and its modal agencies such as FHWA, FTA, and FAA also play a role. The FHWA has state division offices that are the conduit through which states receive federal funding.

Cross-Agency Committees/Councils

Most states have a complex network of agencies that own pieces of the road network in the state. Having a committee or council focused on coordinating TAM policies, pooling resources for tools and methods, and sharing lessons learned can increase the efficient delivery of transportation to customers. This approach can work for geographic regions that cross state boundaries.

General Public

DOTs work with the general public during the planning, programming, and project delivery process. The general public represents the customer that the DOT is ultimately serving with its transportation products and services.

Stakeholder Engagement

Stakeholder engagement is another mechanism for coordination. External stakeholders can be partners the agency works with to deliver TAM benefits, and they can also be customers who use the transportation system. Keeping stakeholders informed and engaging them to understand TAM can lead to their support for funding initiatives and their understanding of tough decisions where services may be cut.

Communities of Practice

Communities of Practice (COP) can be used to coordinate with external stakeholders and partners. For example, these communities could be organized across the various asset owners within a region or state to achieve a comprehensive view of TAM. This is a good way to meet MAP-21 requirements and communicate a view of the NHS.

Formal and Informal Communications

Agencies with well-planned communication strategies tend to employ a range of techniques to successfully advance TAM awareness and knowledge-sharing. These techniques can be categorized broadly into two groups, formal and informal communications, with distinct characteristics.

Formal communication often provides the stimulus for informal communication. Communication strategies for TAM programs that embed aspects of both types of communication tend to be more successful. Understanding the relative importance of both communication types is important in promoting awareness and knowledge about TAM within an organization.

Communications Mechanisms

Audience-Centric Communication

Holistic communication is about understanding and structuring communication to achieve the best results. This is not always an easy proposition, as effectively communicating a message can be described as changing another person’s perception of an idea. One of the keys to successfully getting desired communication results is knowing the target audience and providing the right communication mechanism.