TAM organizational models help determine where to locate key TAM roles, the relationship between TAM and agency priorities, and how TAM is implemented throughout the agency. There is no one right way to locate and organize asset management within an agency. TAM is cross-cutting by nature and requires coordinated actions across planning, programming, scoping, design, construction, maintenance and operations functions.
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.
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.
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.
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 preservation 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
In 2015, the Caltrans Director created a TAM lead in the agency, recognizing the importance of TAM and the necessity of having a TAM lead who is responsible for implementing TAM and meeting federal and state TAM-related requirements. The TAM lead reports directly to the Caltrans Chief Deputy Director. The TAM lead started without any staff, but the unit has grown to house over ten people. The TAM lead is a veteran of the department and is able to advance the TAM program by getting leadership commitment at the executive level and having the business units throughout the department contribute to needed activities.
Executive Office Model
At Caltrans, the TAM group is in the executive office because of a desire to elevate the importance of asset management. The TAM group has more than 10 people in it who manage the TAMP development, and are also responsible for resource allocation for the State Highway Operation and Protection Program (SHOPP). The SHOPP is a ~$4B annual program for major projects on the California State Highway System (SHS).
Planning Office Model
At Michigan DOT, the asset management function is distributed across the agency, but the TAM lead is in the planning bureau. Locating the TAM lead within planning provides a strong link to strategic investment planning and decision-making.
Engineering Office Models
The Connecticut DOT TAM unit resides in the Bureau of Engineering and Construction and reports directly to the Office of the Chief Engineer. The TAM Unit works with asset stewards, designated for each asset, to coordinate TAM activities across the Department.
Maintenance and Operations Office Model
At the Nevada DOT, the Maintenance and Asset Management Division leads the development of the agency’s Transportation Asset Management Plan (TAMP). The division supports district activities to ensure that the state-maintained highway system is maintained in a condition consistent with the Nevada DOT TAMP, work plans, policies, program objectives, budget, and available resources. It also supports a proactive preservation focus in maintenance that extends to the 10-year investment strategies outlined in the TAMP.
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. Figure 3.2 Organizational Models describes how the home for TAM would work in different parts of the agency.
Figure 3.2 TAM Organizational Models
Considerations in making the choice on the home for TAM.
Integrating All Planning
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.
The TAM unit at UDOT is located in the technology and innovation branch of the agency. This unit is responsible for meeting all TAM-related state and federal requirements and more importantly for advancing TAM and performance management (PM) at the agency. Utah has a strong centralized governance approach to its management so a centralized TAM unit with emphasis on information and innovation works well for advancing TAM.
The TAM unit at ODOT is in the central office under the planning unit but the implementation of TAM resides in ODOT’s field units called divisions. Most decisions on asset investments and actions occur at the division-level. The central office provides data and guidance to divisions, but decision-making on assets occurs within each division. With the MAP-21/FAST requirements and the need to deliver on the two and four year pavement and bridge targets, ODOT is considering ways to strengthen the central office and division coordination.
New York State DOT
At NYSDOT, Asset Management is coordinated under the Director of Maintenance Program Planning who reports to the Assistant Commissioner for Operations and Asset Management. NYSDOT uses a committee structure, described in their TAMP, to define TAM roles and responsibilities. It has three tiers of related teams: first are the field teams who take action on assets; the next tier are statewide teams located in headquarters that provide a statewide functional team, and the top tier is a comprehensive program team that provides policy and monitoring. A diagram of this is provided in section 3.2.1.