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TAM Guide Webinar 2: Guide Overview and Getting Started

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1 TAM Guide Webinar 2: Guide Overview and Getting Started
FHWA and AASHTO Sponsored Webinar Series on the AASHTO Transportation Asset Management Guide – A Focus on Implementation Please do not put your phone on hold. Please mute your phone. If you do not have a mute button on your phone, press *6 on your phone keypad. 1. Matt Hardy – explains how the web hosting tool works 2. Kirk Steudle – Shares his perspectives on the importance of asset management 3. Nastaran Saadatmand– welcomes everyone to the webinar series Press F5 to go to full screen mode, press Esc to go out of it November 16, 2011

2 Webinar Instructors Matt Hardy, AASHTO (sponsor)
Kirk Steudle, Michigan DOT Nastaran Saadatmand, FHWA (sponsor) Hyun-A Park, Spy Pond Partners, LLC (lead facilitator) Mark Gordon, AECOM Paul Thompson, Consultant Laura Wipper, Oregon DOT Cory Pope, Utah DOT Becky Burk, Maryland SHA Martin Kidner, Wyoming DOT Scott Richrath, Colorado DOT Hyun-A Park

3 AASHTO Transportation Asset Management (TAM) Guide
Provides a strategic framework for asset management Address strategic questions as transportation agencies manage their surface transportation system Establishes a common language for TAM practice and includes commonly used definitions Realize the most from financial resources now and in the future to address Preserving highway assets Providing the service expected by customers Focuses on approaches that an agency can take and use Lessons that come from practical experience of agencies that are implementing asset management today Hyun-A Park

4 TAM Guide Webinar Series
Webinar 1: Applying the Guide Overview of how the TAM Guide can help transportation agencies improve efficiency and effectiveness Scenarios such as “Making the Case for Funding,” “Extending Asset Useful Life,” and “Improving Safety Performance” Webinar 2: Guide Overview and Getting Started General overview of the entire Guide, covering underlying framework and each section of the Guide Strategies for using the guide including instructions on how an agency can get started on using the Guide to begin improving and/or implementing asset management Webinar 3: The Transportation Asset Management Plan (TAMP) Importance of getting an organization aligned to embark on an asset management improvements process using the TAM Guide Key focus on the development and use of the TAMP Webinar 4: Tools & Techniques for Implementing the TAMP Discussion of the various management systems and tools and techniques described in the Guide and illustrations of their effective use Specific cases of how agencies have used management systems and tools and techniques described in the Guide Hyun-A Park 4

5 Webinar 2 Objectives Providing you with an orientation on the TAM Guide organization Using the TAM Guide to help you assess where you are on TAM maturity Helping you figure out what the gaps are between where you are today and where you want to be in the future Developing a strategy & scope for TAM implementation Setting the stage for organizational change needed to support asset management Getting an introduction to levels of service Hyun-A Park 5

6 Webinar 2 Agenda TAM Guide Overview TAM Assessment Tools
Chapter Contents TAM Assessment Tools Gap Analysis Tool Self Assessment Tool Defining the Scope of TAM Organizational Alignment Change and Leadership in Asset Management Organizational Change Frameworks – Baldrige, Balanced Scorecard Performance Management Standards Brief Introduction to Levels of Service Q & A and Wrap Up Hyun-A Park 6

7 AASHTO TAM Guide Volumes 1 and 2 are Interlinked
Hyun-A Park 7

8 TAM Guide Road Map – 14 Steps to Implementation
Hyun-A Park Part One Part Two

9 TAM Guide Chapter by Chapter Overview Mark Gordon
Hyun-A Park AECOM Principal Investigator, NCHRP 8-69

10 Chapter by Chapter Road Map to Implementation
Definition of TAM Transportation asset management is a set of concepts, principles, and techniques leading to a strategic approach to managing transportation infrastructure. Transportation asset management enables more effective resource allocation and utilization, based upon quality information and analyses, to address facility preservation, operation, and improvement. This concept covers a broad array of DOT functions, activities, and decisions: e.g., transportation investment policies and priorities; relationships and partnerships between DOTs and other public and private groups; long-range, multimodal transportation planning; program development for capital projects and for maintenance and operations; delivery of agency programs and services; and real-time and periodic system monitoring and data processing. All of these actions are accomplished within the limits of available funding. Mark Gordon Chapter 1 sets the scene for Volume 2. It talks about the aims of the Guide, it defines TAM, and describes the features of effective TAM in practice, lifecycle asset management and the evolution path of TAM in an agency. It reminds us about important concepts, such as the “economic value of assets: and “economic efficiency and optimization”. Finally, it explains the content of the Guide. The definition of TAM has moved on since Volume 1, and includes key terms such as “lifecycle”, “business and engineering practices”, “quality information” and “well defined objectives”. These are reflected in the Guide. 10

11 Implementation Steps 1 to 3: Set Direction
Purpose of TAM To meet a required level of service, in the most cost effective manner, through the management of assets for present and future customers. (International Infrastructure Management Manual, NAMS, 2006) Mark Gordon Chapter 2 builds on the self-assessment in Volume 1, and provides guidance to an agency in determining which aspects of TAM to address next. This starts with the vision for TAM – what is it that the agency wants to achieve using TAM principles? An example of purpose for TAM is given in the IIMM – and it focuses on 3 key things – level of service, cost effectiveness (ie optimized life-cycle costs), and present & future customers. This section also talks about how TAM enables better use of existing funds, and how it helps to improve agency competitiveness for limited funds – important in today’s fiscal climate all over the world. How do take the self-assessment in Volume 1 further – we’ll be talking about the TAM maturity model and TAM practices gap analysis later. The last part of Chapter 2 addresses the scope of TAM in the agency, and the questions that need to be answered. 11

12 Implementation steps 4 to 8: Create Alignment
Management, leadership and culture Mark Gordon Chapter 3 is about building an agency-wide understanding of TAM, and developing a TAM performance management culture. This is the next step on from setting the direction for TAM. The chapter works through different frameworks for managing TAM within an agency, and describes how to establish and build a TAM team. It covers performance management, accountability, communication and change leadership – all essential ingredients to successful achievement. 12

13 Implementation Step 9: Develop a TAM Plan
Mark Gordon Chapter 4 is where the rubber starts to hit the road. The TAMP is described as a central management document – useful for capturing and recording information about the services, the assets, issues, plans, programs and costs. For some agencies, it may be a “virtual” document – providing an integrated road map to other sources. The TAMP sits between high level business strategy and operations – a tactical plan. It connects all parts of the business. 13

14 Implementation Step 10: Strengthen Service Planning
Levels of Service Framework Mark Gordon The TAMP is closely aligned with the modules in Chapters 5, 6 and 7. The modules explain in more detail what to do if you want to focus on a particular area of TAM. You don’t need to read it all at once – pick the areas of most interest and relevance. The flow of this chapter starts from definition of the services that are provided, and how the agency’s performance gets measured. It covers future expectations informed by strategic planning processes, and what you need to think about in terms of the effects on assets. It describes how to integrate risk management into day-to-day TAM practice and identify “critical assets”. 14

15 Implementation Step 11: Strengthen Lifecycle Management
Example Decay Curve Mark Gordon Chapter 6 describes the features and content of a robust TAM inventory, and how asset condition and performance data are used in the TAM process. Asset preservation and lifecycle management is an extensive topic – we have linked these terms because we see preservation as all of the activities that you carry out on an existing asset to sustain its life – and in an optimal manner. Chapter 6 continues with discussion of models and tools to predict future asset condition and performance, and determine optimal treatment strategies across the network. 15

16 Implementation Step 12: Strengthen TAM Integration
Consolidated Performance Framework Mark Gordon There are sections that deal with program planning and program delivery. These cover topics such as economic analysis, trade-off analysis and procurement strategies. The economic value of assets and its consumption over time are described under Valuation and Depreciation, and examples given of how this information can be used in long term financial planning – if you don’t have the predictive models in place. Finally, there is extensive coverage of what it means to act sustainably – from setting goals to integrating sustainability into business practice. 16

17 Implementation Steps 13-14: Strengthen Systems and Data
TAMIS Integration Framework Mark Gordon The last chapter works through the issues that need to be addressed when implementing an information systems development project to support TAM. It covers different options, such as Enterprise Resource Planning (ERP) solutions. It also shows how to go about setting up data structures, data collection and data management processes. 17

18 Oregon DOT’s Getting Started Experience Laura Wipper
Hyun-A Park Oregon Department of Transportation Manager, ODOT Asset Management Integration

19 Search for Best Practices
Oregon DOT Experience: Search for Best Practices What we did: Looking to Others - Research Trying it Ourselves Asset Management Pilot Project Half-Life of Data - Performance Measure to State Legislature FACS-STIP Tool - Data Sharing 1R Paving Program - Using the Data What we learned: Experiences of Others Asset Strategic Plan Experiences of Ourselves - Less is More, Basic Inventory Collect Once, Use Many Times Value of Documentation & Manuals Data Maintenance Critical Need to Make the Data Available Data Used for Program Decisions Laura Wipper

20 Proposed Data Collection Plan
Oregon DOT Experience: Proposed Data Collection Plan Sustain the “green:” Bridges Pavements ITS Sites Basic Inventory July 2008 Bike/Ped Facilities Basic Inventory Oct. 2008: Retaining Walls Culverts Traffic Barriers Wetland Mitigation Sites Traffic Structures Signs Approaches Lifeline Routes by Oct. 2008: Slopes & Rock Fall Laura Wipper

21 Updated Asset Management Strategic Plan
Oregon DOT Experience: Updated Asset Management Strategic Plan Integrated Plan Strategic Implementation Communication, and Technology Strategy Asset List Foundation to build on Laura Wipper

22 TAM Improvement Path Hyun-A Park 22

23 TAM Gap Analysis Tool and Self Assessment Tool Paul D. Thompson
Hyun-A Park Paul D. Thompson Contributor, NCHRP 8-69

24 TAM Practices Gap Analysis
The process of continuous improvement is a feature of TAM at all levels of maturity The TAM improvement process is about closing the gaps, between What needs to be done, the desired TAM objectives; and Current levels of achievement The gap analysis tool is tactical Greater level of detail than the self assessment Results aggregate up to 6 key areas, expanding on Volume 1 More focus on TAM processes and lifecycle management Uses the maturity scale at a greater level of detail Paul Thompson 24

25 TAM Maturity Scale A broad characterization of agency evolution
A way of grouping advancements that typically occur together A screening tool to identify likely next steps A short-hand way of classifying the audience Paul Thompson 25

26 TAM Maturity Scale 1. No effective support from strategy, processes, or tools. Lack of motivation to improve. Paul Thompson 26

27 TAM Maturity Scale 2. Recognition of a need, and basic data collection. Reliance on heroic effort of individuals. Paul Thompson 27

28 TAM Maturity Scale 3. Shared understanding, motivation, and coordination. Development of processes and tools. Paul Thompson 28

29 TAM Maturity Scale 4. Expectations and accountability drawn from asset management strategy, processes, and tools. Paul Thompson 29

30 TAM Maturity Scale Paul Thompson 5. Asset management strategies, processes, and tools are routinely evaluated and improved. 30

31 TAM Gap Analysis Tool Key TAM Area Element Sub - element Score è
Lifecycle Management Project Identification and Prioritization Evaluation of Asset Improvements Design Processes Management of Improvement Contracts Preservation Strategy and Analysis Sub - element Score Plans Monitoring Active management of maintenance, tracking performance and controlling backlog. Contract Procedures in place (and followed) for the collection of O&M data required and updating of O&M records. è Organization is able to monitor performance of assets and ensure that they are operational when required. Paul Thompson 31

32 TAM Gap Analysis Example
Paul Thompson 32

33 Strategic Self Assessment (from Volume 1)
Policy Goals and Objectives How does policy guidance benefit from improved asset management? Planning and Programming Do resource allocation decisions reflect good practice in asset management? Program Delivery Are appropriate options and management methods used to deliver the program? Information and Analysis Do information resources effectively support asset management policy and decisions? Paul Thompson 33

34 Utah DOT’s Self Assessment Experience Cory Pope
Hyun-A Park Utah Department of Transportation  Systems Planning and Programming Director

35 Use of a Self Assessment to Get Started Utah DOT
Utah DOT began its asset management efforts with the Self Assessment exercise in the AASHTO Asset Management Guide – Volume I 48 employees reviewed a series of statements representing best practice and rated: The degree to which they were consistent with current DOT practices The degree to which improvement in that area was desired After a detailed analysis of the results, the DOT developed a comprehensive asset management implementation plan Cory Pope

36 Use of a Self Assessment to Get Started Utah DOT
Responses to Question A6 – Policy guidance on resource allocation allows Utah DOT sufficient flexibility to pursue a performance-base approach. Cory Pope This slide shows an example of the analysis that was done on the survey results. Note that all of the groups rated the desired level to be higher than the existing level. However, there was significant disagreement in the current level. For example, senior management felt more strongly than the asset groups (pavement, bridge, etc.) that the policy guidance provided the flexibility to pursue a performance-based approach.

37 AM Scoping, Leadership, and Change Kirk Steudle
Hyun-A Park Michigan Department of Transportation  Director Current AASHTO President

38 Defining the Scope of TAM in Your Agency
TAM Scope Which assets? Which actions or decision? Which business processes, including methods and forms of delivery? What asset management capabilities? What data? TAM Project Management Carefully delineate the scope of the effort Define and periodically update cost and resource estimates for effort Define and periodically update the project schedule Actively identify risk factors and have a plan for addressing risks Ensure that all participants and stakeholders have real-time access to all of the above Kirk Steudle

39 Approaches to Implement Asset Management
Many different reasons exist for why TAM implementation is needed in an agency Focusing on the one that is right for your agency at this time is critical for TAM success in delivering improved results The focus area that is chosen will drive the planning activities that will lead to a good Transportation Asset Management Plan (TAMP) Kirk Steudle

40 Organizational Alignment + Change and Leadership in Asset Management
Kirk Steudle

41 Change is a Part of the AM Business Model
Change Leadership Convince people of the need for and benefit of change Create a change leadership coalition Develop a vision of changes and strategy Communicate that vision regularly Make actions consistent with the vision Make sure people are involved and empowered to make changes consistent with the vision Reinforce the change effort with short-term successes Keep the focus on the change effort Anchor new approaches into the culture Plan for Change Assess the agency's readiness for change. Define a leadership structure. Build opportunities for collaborative review and revision into the timeline, keeping in mind that successful change is incremental. Permit employees to fail, learn, and move forward. Develop a communication plan, potentially using multiple media such as speaking, writing, video, training, focus groups, and electronic communications. Assess both positive and negative impact to the agency's processes, systems, customers, and staff. Develop mitigation plans for each risk. Develop and communicate performance measures and expectations. Find ways to let employees know how the changes will affect them individually. Kirk Steudle

42 Building the Team: Step by Step
Hyun-A Park

43 Organizational Change Frameworks
Organizational change is a fundamental part of TAM Understanding and planning for the change needed in your organization will ensure successful TAM implementation Multiple methods and tools exist for managing organizational change Six Sigma Framework Baldrige Framework Balanced Scorecard Framework Hyun-A Park

44 Application of the Baldrige Framework at Maryland SHA Becky Burk
Hyun-A Park Maryland State Highway Administration Performance Excellence Manager

45 Baldrige Framework The Baldrige framework is based on a set of criteria for performance excellence, used by the U.S. Department of Commerce to select recipients of the Malcolm Baldrige National Quality Award. It is based on a set of core values and concepts which include: Visionary leadership Customer-driven Organizational and personal learning Valuing employees and partners Agility Focus on the future Managing for innovation Management by fact Public responsibility and citizenship Focus on results and creating value Systems perspective Becky Burk

46 Maryland SHA Baldrige Performance Management
Combined 7 Baldrige criteria into 5 Vision Areas Outcomes BUSINESS PLAN OBJECTIVES CUSTOMERS Becky Burk Processes Quality Efficiency Outputs CUSTOMERS

47 Application of the Balanced Scorecard at Wyoming DOT Martin Kidner
Hyun-A Park Wyoming Department of Transportation State Planning Engineer

48 Balanced Scorecard Framework
The Balanced Scorecard framework focuses on the alignment of specific business activities with an organization's enterprise strategy. Focus is on a balanced set of performance areas—financials, customers, learning, internal processes. The Balanced Scorecard is a framework used to balance competing needs. Vision is translated into measureable, annual objectives and performance measures. The workforce is engaged and helps develop business-unit Scorecards. Measurement is at the heart of the balanced scorecard framework. Martin Kidner

49 Wyoming DOT – Balanced Scorecard
Martin Kidner

50 Performance Management Standards
Performance-based decision making is one of the core principles of TAM An agency must be able to demonstrate that they are making progress on established goals and objectives It must be able to: Set goals and objectives tied to measurable metrics Make resource allocation decisions based on these goals and objectives and the funding available using the metrics to guide the decision making Demonstrate to its customers the results of the investments. Hyun-A Park

51 Role of Performance Measurement in Government
What gets measured gets done; If you do not measure results, you cannot tell success from failure; If you cannot see success, you cannot reward it; If you cannot see success, you cannot learn from it; If you cannot reward success, you are probably rewarding failure; If you cannot recognize failure, you cannot correct it; and If you can demonstrate results, you can win public support. Hyun-A Park from Reinventing Government, by David Osborne and Ted Gaebler

52 Performance-Based Management Iterative Process
Hyun-A Park

53 Developing Levels of Service
Levels of service describe what the customers perceive Not set in isolation All agencies have some now, in some form (e.g. GASB 34 Modified Approach) Set at different levels — strategic, customer and technical All must be SMART — Specific, Measurable, Achievable, Relevant, Timebound Customer levels of service should be set with customer input Start by documenting what is delivered now (the first-time up you can skip consultation / customer research) Pick from the full range of customer research tools when gathering customer input Customer levels of service amplify the agency mission, they must not contradict it Hyun-A Park 53

54 Technical Levels of Service
Take customer levels of service and convert them into technical language Technical levels of service should not stand alone, but support a customer level of service or a legislative requirement Used by asset managers and engineers to ensure that they are delivering the right things Describe what the technical measures are required to deliver the customer levels of service. E.g. maximum and average roughness measured in IRI minimum and average skid resistance illumination levels from street lights The early stages of formal TAM may require current technical levels of service to be converted into “customer speak” and become current customer levels of service Hyun-A Park 54

55 Levels of Service Example for Sidewalks
Hyun-A Park 55

56 Maintenance Level of Servic (MLOS) at Colorado DOT Scott Richrath
Hyun-A Park Colorado Department of Transportation Performance & Policy Analysis Unit Manager

57 Colorado DOT’s Maintenance Levels of Service (MLOS)
CDOT uses an extensive Maintenance Levels of Service (MLOS) budgeting system to allocate funds and evaluate all maintenance activities performed throughout the state for a given fiscal year. The main objective of MLOS is to establish an overall target level of service while staying within allocated budget dollars. Levels of service communicate targets for accomplishment inside and outside the agency. When planned levels of service are compared to actual service levels accomplished, a basis of accountability is established. Relationships between levels of service and cost enable CDOT to evaluate the impacts of different funding levels, analyze tradeoffs in resource allocation, and monitor planned versus actual accomplishments against expenditures. Scott Richrath

58 CDOT Objective: Meet or Exceed the Adopted Annual Maintenance Level of Service Grade
Scott Richrath

59 MLOS Guidance: Scott Richrath

60 Questions and Answers Hyun-A Park

61 Wrap Up Today’s Webinar Orientation on the TAM Guide organization
Know the tools available to assess where you are with TAM and where you want to go Understand the importance of leadership and proactively manage change Understand the purpose of levels of service and how it is applied Future Webinars Webinar 3 – The Asset Management Plan (TAMP) (Wednesday, November 30th, 2 – 4 PM EST) Webinar 4 – Tools and Techniques for Implementing the TAMP (Wednesday, December 14th, 2-4 PM EST) Matt Hardy

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