6.5.3.3 Process Improvements – AASHTO TAM Guide

Guide Home / / / 6.5.3 Managing Implementation Responsibilities and Processes

6.5.3.3

Process Improvements

The success of a TAM Improvement Plan that outlines steps the agency plans to take to enhance its asset management program will also benefit from a clear set of roles and responsibilities for:

Implementing the suggested changes,
Monitoring progress, and
Repeating the assessment periodically.

Ownership for the implementation of the planned enhancements generally lies with the TAM Coordinator in an agency, with specific tasks assigned to one or more individuals with the specialized skills and capabilities that are needed.

A major function of the implementation leader is to ensure that all roles are understood and that the various assignments are being carried out as intended. This may require building buy-in among the team members, who are likely busy with other responsibilities. It is also important that the leader have the authority responsibility to hold individuals accountable for progress, even if they report to a different division within the agency.

Table 6.4 Risk Types and Owners

Risk Levels	Owners	Types of Risks
Strategic Risks	CEO Senior Staff Board or Commission	Financial risks to agency income Operational risks caused by lack of staffing, training, or poor performance External risks caused by political or social issues Overall preparedness for disaster response Information risks that create department-wide impacts, such as outdated management systems Major regulatory or legal compliance risks
Program Risks	Leaders of major programs, such as safety, pavement, bridge, maintenance, information technology, project delivery, human resources	Performance risks caused by lack of training, execution, or resources to deliver the program Information risks caused by poor data in the program or inadequate analysis Financial risks caused by increasing prices Stakeholder risks caused by contractors or vendors essential to the programs Major project risks if they exceed the level at which they can affect an entire program
Project Risks	Project Managers	Risks to the cost, scope, schedule, or quality Project impacts on neighborhoods and environmental compliance
Activity Risks	Activity Managers	Performance risks caused by lack of training equipment, or execution Cost increases impinging on activity performance Risks to execution caused by outside events, such as extreme weather

Source: Transportation Research Board. 2014. Managing Risk Across the Enterprise: A Guide for State DOTs.

The availability of adequate resources is also important to the successful implementation of an improvement plan. Establishing clear role descriptions that describe the required tasks to be completed and the requirements needed to implement the changes enables an agency to compare the availability of existing staff to the implementation requirements. In some instances, staff may be temporarily assigned responsibility for a particular activity, such as developing a TAMP, to address a specific need.

Table 6.5 Risk Management Roles and Responsibilities for the Highways Agency, England

Project Manager	Approve the project RMP. Approve and ensure implementation of response actions to identified risks, particularly significant risks that emerge as prospects for risk response. Confirm who will carry out response actions and when action will be taken; incorporate into work plan. Monitor effectiveness of response actions. Regularly review and update the project RMP. Promote aggressive risk management for this project. Actively participate in risk workshops. Communicate to senior management the risk and uncertainty the project is exposed to and the action that will be taken to address it.
Project Team Member	Proactively identify risks and their characteristics in terms of probability of occurrence and impact. Proactively respond to risks within specialty area. Document actions and report to Project Manager for inclusion in risk management updates. Monitor effectiveness of response actions. Communicate with Project Manager regarding risk management actions and changing project risk profile (addition of new risks or retirement of old risks - as appropriate).
Project Risk Manager	Prepare and update the project RMP. Develop a schedule for key check-in milestones for review and update of the RMP. Determine when risk workshops will be needed and ensure appropriate preparation is accomplished prior to the workshop. Collaborate with the Strategic Analysis and Estimating Office, CREM Unit, to coordinate pre-workshop, workshop, and post-workshop activities, including the need for consultants and/or other participants - both internal and external. Oversee and manage day-to-day risk management process for the project. Ensure quality of risk data. Track and monitor effectiveness of response actions. Promote risk management activities within the project team and with stakeholders. Communicate with Project Manager on all matters related to risk.
Risk Owner (Action Owner)	Implement agreed response actions. Report on effectiveness of the risk actions to the Project Manager/Risk Manager and affected project team members. Identify new risks that may emerge after response actions. Communicate with Project Manager regularly, including the need for other risk response actions if needed.

Source: Washington State DOT. 2018. Project Risk Management Guide.