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NATIONAL
NCHRP SYNTHESIS 362
COOPERATIVE
HIGHWAY
RESEARCH
PROGRAM
Training Programs, Processes,
Policies, and Practices
A Synthesis of Highway Practice
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TRANSPORTATION RESEARCH BOARD 2006 EXECUTIVE COMMITTEE*
OFFICERS
Chair: Michael D. Meyer, Professor, School of Civil and Environmental Engineering, Georgia Institute of Technology, Atlanta
Vice Chair: Linda S. Watson, Executive Director, LYNX--Central Florida Regional Transportation Authority, Orlando
Executive Director: Robert E. Skinner, Jr., Transportation Research Board
MEMBERS
MICHAEL W. BEHRENS, Executive Director, Texas DOT, Austin
ALLEN D. BIEHLER, Secretary, Pennsylvania DOT, Harrisburg
JOHN D. BOWE, Regional President, APL Americas, Oakland, CA
LARRY L. BROWN, SR., Executive Director, Mississippi DOT, Jackson
DEBORAH H. BUTLER, Vice President, Customer Service, Norfolk Southern Corporation and Subsidiaries, Atlanta, GA
ANNE P. CANBY, President, Surface Transportation Policy Project, Washington, DC
DOUGLAS G. DUNCAN, President and CEO, FedEx Freight, Memphis, TN
NICHOLAS J. GARBER, Henry L. Kinnier Professor, Department of Civil Engineering, University of Virginia, Charlottesville
ANGELA GITTENS, Vice President, Airport Business Services, HNTB Corporation, Miami, FL
GENEVIEVE GIULIANO, Professor and Senior Associate Dean of Research and Technology, School of Policy, Planning,
and Development, and Director, METRANS National Center for Metropolitan Transportation Research, University of Southern
California, Los Angeles
SUSAN HANSON, Landry University Professor of Geography, Graduate School of Geography, Clark University, Worcester, MA
JAMES R. HERTWIG, President, CSX Intermodal, Jacksonville, FL
GLORIA J. JEFF, General Manager, City of Los Angeles DOT, Los Angeles, CA
ADIB K. KANAFANI, Cahill Professor of Civil Engineering, University of California, Berkeley
HAROLD E. LINNENKOHL, Commissioner, Georgia DOT, Atlanta
SUE McNEIL, Professor, Department of Civil and Environmental Engineering, University of Delaware, Newark
DEBRA L. MILLER, Secretary, Kansas DOT, Topeka
MICHAEL R. MORRIS, Director of Transportation, North Central Texas Council of Governments, Arlington
CAROL A. MURRAY, Commissioner, New Hampshire DOT, Concord
JOHN R. NJORD, Executive Director, Utah DOT, Salt Lake City
PETE K. RAHN, Director, Missouri DOT, Jefferson City
SANDRA ROSENBLOOM, Professor of Planning, University of Arizona, Tucson
HENRY GERARD SCHWARTZ, JR., Senior Professor, Washington University, St. Louis, MO
MICHAEL S. TOWNES, President and CEO, Hampton Roads Transit, Hampton, VA
C. MICHAEL WALTON, Ernest H. Cockrell Centennial Chair in Engineering, University of Texas, Austin
EX OFFICIO MEMBERS
THAD ALLEN (Adm., U.S. Coast Guard), Commandant, U.S. Coast Guard, Washington, DC
THOMAS J. BARRETT (Vice Adm., U.S. Coast Guard, ret.), Pipeline and Hazardous Materials Safety Administrator, U.S.DOT
MARION C. BLAKEY, Federal Aviation Administrator, U.S.DOT
JOSEPH H. BOARDMAN, Federal Railroad Administrator, U.S.DOT
JOHN BOBO, Deputy Administrator, Research and Innovative Technology Administration, U.S.DOT
REBECCA M. BREWSTER, President and COO, American Transportation Research Institute, Smyrna, GA
GEORGE BUGLIARELLO, Chancellor, Polytechnic University of New York, Brooklyn, and Foreign Secretary, National Academy
of Engineering, Washington, DC
J. RICHARD CAPKA, Federal Highway Administrator, U.S.DOT
SEAN T. CONNAUGHTON, Maritime Administrator, U.S.DOT
EDWARD R. HAMBERGER, President and CEO, Association of American Railroads, Washington, DC
JOHN H. HILL, Federal Motor Carrier Safety Administrator, U.S.DOT
JOHN C. HORSLEY, Executive Director, American Association of State Highway and Transportation Officials, Washington, DC
J. EDWARD JOHNSON, Director, Applied Science Directorate, National Aeronautics and Space Administration, John C. Stennis
Space Center, MS
WILLIAM W. MILLAR, President, American Public Transportation Association, Washington, DC
NICOLE R. NASON, National Highway Traffic Safety Administrator, U.S.DOT
JEFFREY N. SHANE, Under Secretary for Policy, U.S.DOT
JAMES S. SIMPSON, Federal Transit Administrator, U.S.DOT
CARL A. STROCK (Lt. Gen., U.S. Army), Chief of Engineers and Commanding General, U.S. Army Corps of Engineers, Washington, DC
*Membership as of November 2006.
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NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM
NCHRP SYNTHESIS 362
Training Programs, Processes,
Policies, and Practices
A Synthesis of Highway Practice
CONSULTANT
MYRA HOWZE SHIPLETT
RandolphMorgan Consulting LLC
Woodbridge, Virginia
S UBJECT A REAS
Planning and Administration
Research Sponsored by the American Association of State Highway and Transportation Officials
in Cooperation with the Federal Highway Administration
TRANSPORTATION RESEARCH BOARD
WASHINGTON, D.C.
2006
www.TRB.org
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NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM NCHRP SYNTHESIS 362
Systematic, well-designed research provides the most effective Price $35.00
approach to the solution of many problems facing highway
administrators and engineers. Often, highway problems are of local Project 20-5 (Topic 36-07)
interest and can best be studied by highway departments ISSN 0547-5570
individually or in cooperation with their state universities and ISBN 0-309-09771-1
others. However, the accelerating growth of highway transportation Library of Congress Control No. 2006905111
develops increasingly complex problems of wide interest to
© 2006 Transportation Research Board
highway authorities. These problems are best studied through a
coordinated program of cooperative research.
In recognition of these needs, the highway administrators of the
American Association of State Highway and Transportation COPYRIGHT PERMISSION
Officials initiated in 1962 an objective national highway research Authors herein are responsible for the authenticity of their materials and for
program employing modern scientific techniques. This program is obtaining written permissions from publishers or persons who own the
supported on a continuing basis by funds from participating copyright to any previously published or copyrighted material used herein.
member states of the Association and it receives the full cooperation Cooperative Research Programs (CRP) grants permission to reproduce
and support of the Federal Highway Administration, United States material in this publication for classroom and not-for-profit purposes.
Department of Transportation. Permission is given with the understanding that none of the material will be
The Transportation Research Board of the National Academies used to imply TRB, AASHTO, FAA, FHWA, FMCSA, FTA, or Transit
was requested by the Association to administer the research Development Corporation endorsement of a particular product, method, or
program because of the Board's recognized objectivity and practice. It is expected that those reproducing the material in this document
for educational and not-for-profit uses will give appropriate acknowledgment
understanding of modern research practices. The Board is uniquely
of the source of any reprinted or reproduced material. For other uses of the
suited for this purpose as it maintains an extensive committee material, request permission from CRP.
structure from which authorities on any highway transportation
subject may be drawn; it possesses avenues of communications and
cooperation with federal, state, and local governmental agencies,
universities, and industry; its relationship to the National Research NOTICE
Council is an insurance of objectivity; it maintains a full-time The project that is the subject of this report was a part of the National
research correlation staff of specialists in highway transportation Cooperative Highway Research Program conducted by the Transportation
matters to bring the findings of research directly to those who are in Research Board with the approval of the Governing Board of the National
a position to use them. Research Council. Such approval reflects the Governing Board's judgment that
The program is developed on the basis of research needs the program concerned is of national importance and appropriate with respect
identified by chief administrators of the highway and transportation to both the purposes and resources of the National Research Council.
departments and by committees of AASHTO. Each year, specific The members of the technical committee selected to monitor this project and
to review this report were chosen for recognized scholarly competence and
areas of research needs to be included in the program are proposed
with due consideration for the balance of disciplines appropriate to the project.
to the National Research Council and the Board by the American The opinions and conclusions expressed or implied are those of the research
Association of State Highway and Transportation Officials. agency that performed the research, and, while they have been accepted as
Research projects to fulfill these needs are defined by the Board, and appropriate by the technical committee, they are not necessarily those of the
qualified research agencies are selected from those that have Transportation Research Board, the National Research Council, the American
submitted proposals. Administration and surveillance of research Association of State Highway and Transportation Officials, or the Federal
contracts are the responsibilities of the National Research Council Highway Administration, U.S. Department of Transportation.
and the Transportation Research Board. Each report is reviewed and accepted for publication by the technical
The needs for highway research are many, and the National committee according to procedures established and monitored by the
Cooperative Highway Research Program can make significant Transportation Research Board Executive Committee and the Governing
Board of the National Research Council.
contributions to the solution of highway transportation problems of
mutual concern to many responsible groups. The program,
however, is intended to complement rather than to substitute for or
duplicate other highway research programs.
Published reports of the
NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM
are available from:
Transportation Research Board
Business Office
500 Fifth Street, NW
NOTE: The Transportation Research Board of the National Academies, the
Washington, DC 20001
National Research Council, the Federal Highway Administration, the American
Association of State Highway and Transportation Officials, and the individual and can be ordered through the Internet at:
states participating in the National Cooperative Highway Research Program do http://www.national-academies.org/trb/bookstore
not endorse products or manufacturers. Trade or manufacturers' names appear
herein solely because they are considered essential to the object of this report. Printed in the United States of America
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The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished schol-
ars engaged in scientific and engineering research, dedicated to the furtherance of science and technology
and to their use for the general welfare. On the authority of the charter granted to it by the Congress in
1863, the Academy has a mandate that requires it to advise the federal government on scientific and techni-
cal matters. Dr. Ralph J. Cicerone is president of the National Academy of Sciences.
The National Academy of Engineering was established in 1964, under the charter of the National Acad-
emy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration
and in the selection of its members, sharing with the National Academy of Sciences the responsibility for
advising the federal government. The National Academy of Engineering also sponsors engineering programs
aimed at meeting national needs, encourages education and research, and recognizes the superior achieve-
ments of engineers. Dr. William A. Wulf is president of the National Academy of Engineering.
The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the
services of eminent members of appropriate professions in the examination of policy matters pertaining
to the health of the public. The Institute acts under the responsibility given to the National Academy of
Sciences by its congressional charter to be an adviser to the federal government and, on its own initiative,
to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the
Institute of Medicine.
The National Research Council was organized by the National Academy of Sciences in 1916 to associate
the broad community of science and technology with the Academy's purposes of furthering knowledge and
advising the federal government. Functioning in accordance with general policies determined by the Acad-
emy, the Council has become the principal operating agency of both the National Academy of Sciences
and the National Academy of Engineering in providing services to the government, the public, and the
scientific and engineering communities. The Council is administered jointly by both the Academies and
the Institute of Medicine. Dr. Ralph J. Cicerone and Dr. William A. Wulf are chair and vice chair,
respectively, of the National Research Council.
The Transportation Research Board is a division of the National Research Council, which serves the
National Academy of Sciences and the National Academy of Engineering. The Board's mission is to promote
innovation and progress in transportation through research. In an objective and interdisciplinary setting,
the Board facilitates the sharing of information on transportation practice and policy by researchers and
practitioners; stimulates research and offers research management services that promote technical
excellence; provides expert advice on transportation policy and programs; and disseminates research
results broadly and encourages their implementation. The Board's varied activities annually engage more
than 5,000 engineers, scientists, and other transportation researchers and practitioners from the public and
private sectors and academia, all of whom contribute their expertise in the public interest. The program is
supported by state transportation departments, federal agencies including the component administrations of
the U.S. Department of Transportation, and other organizations and individuals interested in the
development of transportation. www.TRB.org
www.national-academies.org
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NCHRP COMMITTEE FOR PROJECT 20-5 COOPERATIVE RESEARCH PROGRAM STAFF
ROBERT J. REILLY, Director, Cooperative Research Programs
CHAIR CRAWFORD F. JENCKS, Manager, NCHRP
GARY D. TAYLOR, CTE Engineers EILEEN DELANEY, Director of Publications
MEMBERS NCHRP SYNTHESIS STAFF
THOMAS R. BOHUSLAV, Texas DOT STEPHEN R. GODWIN, Director for Studies and Special Projects
DONN E. HANCHER, University of Kentucky JON WILLIAMS, Manager, Synthesis Studies
DWIGHT HORNE, Federal Highway Administration GAIL STABA, Senior Program Officer
YSELA LLORT, Florida DOT DONNA L. VLASAK, Senior Program Officer
WESLEY S.C. LUM, California DOT DON TIPPMAN, Editor
JAMES W. MARCH, Federal Highway Administration CHERYL KEITH, Senior Secretary
JOHN M. MASON, JR., Pennsylvania State University
CATHERINE NELSON, Oregon DOT TOPIC PANEL
LARRY VELASQUEZ, New Mexico DOT RAY L. BELK, Texas Department of Transportation
PAUL T. WELLS, New York State DOT CHRIS HATFIELD, California Department of Transportation
THOMAS F. HUMPHREY, Dover, New Hampshire
FHWA LIAISON BARBARA MARTIN, Helena, Montana
WILLIAM ZACCAGNINO JOHN M. MASON, JR., Pennsylvania State University
OLIVIA ALEXANDER, Federal Highway Administration (Liaison)
TRB LIAISON NANCY STOUT, Federal Highway Administration
STEPHEN F. MAHER (Liaison)
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FOREWORD Highway administrators, engineers, and researchers often face problems for which infor-
By Staff mation already exists, either in documented form or as undocumented experience and prac-
Transportation tice. This information may be fragmented, scattered, and unevaluated. As a consequence,
Research Board full knowledge of what has been learned about a problem may not be brought to bear on its
solution. Costly research findings may go unused, valuable experience may be overlooked,
and due consideration may not be given to recommended practices for solving or alleviat-
ing the problem.
There is information on nearly every subject of concern to highway administrators and
engineers. Much of it derives from research or from the work of practitioners faced with
problems in their day-to-day work. To provide a systematic means for assembling and eval-
uating such useful information and to make it available to the entire highway community,
the American Association of State Highway and Transportation Officials--through the
mechanism of the National Cooperative Highway Research Program--authorized the
Transportation Research Board to undertake a continuing study. This study, NCHRP Proj-
ect 20-5, "Synthesis of Information Related to Highway Problems," searches out and syn-
thesizes useful knowledge from all available sources and prepares concise, documented
reports on specific topics. Reports from this endeavor constitute an NCHRP report series,
Synthesis of Highway Practice.
This synthesis series reports on current knowledge and practice, in a compact format,
without the detailed directions usually found in handbooks or design manuals. Each report
in the series provides a compendium of the best knowledge available on those measures
found to be the most successful in resolving specific problems.
PREFACE This synthesis will be of interest to state transportation agency personnel, the FHWA,
and a variety of other transportation organizations that understand the value of robust and
flexible training and development programs. AASHTO, the National Highway Institute,
and other similar entities have identified training and development as a significant tool to
ensure that state departments of transportation (DOTs) can attract and retain a well-qualified
workforce. This synthesis is based on an understanding of the critical importance of train-
ing and development activities within state DOTs and the ability of state DOTs to attract,
retain, and manage the talents of the workforce. It focuses not on specific training needs
nor courses or competencies, but on program components required to have a sound set of
policies, processes, and procedures for planning, developing, implementing, funding, and
evaluating state DOT training, development, and education programs. It reflects an under-
standing that the rationale for training programs has changed. Today, the value of human
capital programs is seen in direct proportion to the program's ability to enhance the work-
force capability to achieve the organization's strategic goals and objectives.
A literature review is presented along with a discussion of survey results from 24 states,
as well as information gleaned from follow-up telephone calls and focus groups convened
at the 2005 state DOT training directors' annual conference. In addition, interviews with a
variety of public and private sector thought leaders in public administration, transportation,
training, development, and education yielded insights that are integrated into the report.
Appendices offer detailed survey responses, as well as additional information for training
organizations in state DOTs.
Myra Howze Shiplett, RandolphMorgan Consulting LLC, Woodbridge, Virginia, col-
lected and synthesized the information and wrote the report. The members of the topic panel
are acknowledged on the preceding page. This synthesis is an immediately useful document
that records the practices that were acceptable within the limitations of the knowledge avail-
able at the time of its preparation. As progress in research and practice continues, new
knowledge will be added to that now at hand.
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CONTENTS
1 SUMMARY
3 CHAPTER ONE CHALLENGE OF MAINTAINING A KNOWLEDGEABLE
WORKFORCE
Introduction, 3
Project Scope and Objectives, 4
Study Procedures, 5
Organization of Synthesis Report, 5
7 CHAPTER TWO ESSENTIAL COMPONENTS OF AN EFFECTIVE
TRAINING PROGRAM
Introduction, 7
Trends Transforming Government, 7
Trends Transforming Workforce and Workplace, 8
Demand for a Knowledgeable Workforce, 9
Critical Role of Strategic Planning, 10
Competencies as a Foundation for Training Programs, 10
Succession Planning, 12
Training Organization, 13
What Is the Value Added?, 20
21 CHAPTER THREE EXPERIENCES OF STATE DEPARTMENTS
OF TRANSPORTATION
Introduction, 21
State Department of Transportation Practices, 21
Strategic Planning, 21
Training Needs Assessment, 22
Critical Needs Assessment, 22
Organization Structure, 23
Delivery Mechanisms, 23
Funding Sources and Methods, 24
Training Evaluation, 25
Professional Certification and Related Programs, 25
Partnerships, 25
Opportunities, Challenges, and Constraints, 26
Sharing and Integrating Information, 26
Summary, 27
28 CHAPTER FOUR SUCCESSFUL PRACTICES FROM BUSINESS
AND GOVERNMENT
Introduction, 28
American Society for Training and Development--BEST Awards, 28
Planning Training and Measuring Results, 29
Successful Practices in Training Program Design, 29
Successful Practices in Technology, 29
Managing the Tsunami of Change, 30
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Training Metrics, 31
Succession Planning, 31
33 CHAPTER FIVE CONCLUSIONS
34 REFERENCES
35 BIBLIOGRAPHY
36 APPENDIX A QUESTIONNAIRE FOR STATE TRANSPORTATION AGENCIES
78 APPENDIX B LIST OF PARTICIPANTS
79 APPENDIX C ASTD 2005 STATE OF THE INDUSTRY REPORT: ASTD'S
ANNUAL REVIEW OF TRENDS IN WORKPLACE LEARNING AND PERFORMANCE
83 APPENDIX D ASTD COMPETENCIES STUDY
88 APPENDIX E ADDITIONAL RESOURCES
