Guidebook for Recruiting, Developing, and Retaining Transit Managers for Fixed-Route Bus and Paratransit Systems (2010)

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34 3.0 Training and Development Overview Transit systems must train and develop their managers. To better understand the approach that should be taken to train and develop managers, it is important to differentiate between the terms. Training is typically a structured seminar, course, or online instruction that occurs over a finite period of time to teach a specific skill, skill set, or competency. Training may occur in a classroom or on-the-job, offsite or onsite, or virtually. Development refers to a broader approach to helping employees grow professionally. Training is often one means of development. Job rotations, coach- ing, formal and informal mentoring are all types of development. The decision about whether to train an employee or encourage the employee to participate in some other type of developmen- tal activity should be based upon the desired outcome and need of the employee. For example, for a manager who needs to learn about how to use a specific software program, a single training course may prove most beneficial. However, a new manager who has significant experience in leadership roles, but has yet to work in transit, may benefit from a developmental job rotation as well as a mentorship relationship with a seasoned transit manager. Examples of general and transit- specific skills for transit managers are included in Figure 3, located in Appendix A. One of the greatest challenges transit systems are facing in training and development is lack of funding. Traditionally training dollars are the first to be cut when organizations face budget restrictions. Transit agencies facing training budget restrictions tend to prioritize technical skills training (see Figure 4 in Appendix A for a list of safety and security curricula topics) over lead- ership training and often will cut leadership and personal effectiveness training completely if the cost of that training is perceived as excessive or as negatively impacting funding for training on operational and technical skills. The concern with reducing or cutting leadership training, in terms of management and super- visory development, is that the impact of restricting leadership and personal effectiveness train- ing for managers has a snowball effect; not only do managers start feeling undervalued but they convey that same sense to their subordinates. In other words, managers begin to believe their personal growth means little to their organization since the organization will not invest in it. These managers then lack the skills and resources to develop their subordinates appropriately. Thus, failure to adequately train and further develop managers can lead to poor morale, reduced organizational commitment, low job satisfaction and ultimately result in retention issues. In essence, the costs of not training and developing managers can significantly outweigh the sav- ings of cutting training and development initiatives. In recognition of the challenges many transit systems face, especially small systems that have limited resources, this section outlines strategic training and development recommendations that can be applied by agencies with limited resources. As highlighted in the following recom- mendations, many transit systems have begun to leverage the programs provided by state and C H A P T E R 3 Training and Development Recommendations

Training and Development Recommendations 35 local agencies as well as resources provided by transit and transportation associations to obtain low or no cost training and development guidance. The Training and Development strategic recommendations are presented in the following tables: • 3.1: Leverage Existing Training and Development Opportunities • 3.2: Explore Available Funding for Training • 3.3: Identify Online Training Resources • 3.4: Make Training Easy to Access • 3.5: Institute Mandatory Training for Managers • 3.6: Address Training Needs in Conjunction with Performance Appraisals • 3.7: Offer Tuition Reimbursement • 3.8: Emphasize Ongoing Professional Development at All Levels • 3.9: Implement Succession Planning

36 Guidebook for Recruiting, Developing, and Retaining Transit Managers for Fixed-Route Bus and Paratransit Systems Table 3.1: Leverage Existing Training and Development Opportunities Description: Several national and state industry associations offer training and development courses that are available to transit systems. Identify the opportunities that fit the knowledge and skills needed to do the work, and consider sending staff to participate in these training opportunities. How to Implement this Recommendation Contact the organizations below for more information about the training and development opportunities they offer transit systems. Some courses are for members only while others are free. • Community Transportation Association of America (CTAA) – Certified Community Transit Manager (CCTM) Training. A training and certification pro- gram for managers available to members and nonmembers that prepares individuals for the CCTM exam. Courses are arranged at any location where there is substantial interest. (See Appendix A—Figure 5 for an overview of the CCTM Curriculum) – Certified Community Transit Supervisor (CCTS) Training. A 3-day training and certifica- tion program for front-line supervisors that covers the following training topics: effective leadership, employee management, training and record keeping, and safety and risk man- agement. – Certified Safety and Security Manager (CSSM) Training. A new CTAA certification program. – Vehicle Maintenance Management and Inspection (VMMI). Uniquely for maintenance man- agers and staff, this workshop was designed to give a greater understanding of maintenance activities to those who manage transit fleets and maintain transit vehicles. – The PASS Driver Certification Program. A 3-day train-the-trainer workshop to certify train- ers who can then train drivers, or a 2-day driver training direct delivery program. – CTAA EXPO. Annual conference offers intensive training sessions on the above and other transit topics including safety, security and emergency preparedness. – CTAA can also help systems develop customized training courses or help transit systems identify additional training resources available to them. • American Public Transportation Association (APTA) – Leadership APTA. This is a “professional development program designed to develop and sup- port the next generation of transit leaders and future leaders of APTA.” Selected individuals participate in workshops, leadership projects, teleconferences and online events and confer- ences, all designed to develop and refine the skills and competencies of transit leaders. – Online training for members – Annual meeting and conferences – Specialized workshops, seminars, and programs • National Transit Institute (NTI) – Management and Professional Development Courses. Courses are for public transit supervi- sors, mid-level managers, and senior managers. Courses include: Fundamentals of Transit Supervision, Project Management for Transit Professionals, and Senior Leadership. NTI also offers an extensive array of training programs in the arena of Workplace Safety and Security. – Federal Compliance courses – T-classes. Classes offered via teleconference. – Webinars

• The U.S. Department of Transportation’s Transportation Safety Institute (TSI) – Offers an extensive safety-oriented course catalog with many transit-specific safety and secu- rity courses, including: Effectively Managing Transit Emergencies, Substance Abuse Man- agement and Program Compliance, and an Instructor’s Course in Bus Operator Training. – Custom training based on a system’s needs can be delivered at TSI, the system’s location, or online. • The U.S. Department of Transportation’s Federal Transit Administration (FTA) – FTA offers on-line training in specific managerial skill areas such as Drug and Alcohol Programs – The FTA Bus Safety and Security Program presently offers State Orientation Seminars on safety, security and emergency preparedness for transit managers. Future on-line training is in the works. • The U.S. Department of Transportation’s FTA offers transit safety and security classroom and train-the-trainer courses through NTI and TSI. • CTAA and APTA offer a wide range of management training and development experiences. • State Departments of Transportation and State Transit Associations often offer extensive training for managers and supervisors. (A strong example of this opportunity is the Penn- TRAIN “Professional Supervisor” Program offered to transit system staff in Pennsylvania and elsewhere.) Examples of Innovative and Effective Transit Practices • CTAA conferences. Capital Transit and Golden Empire Transit attend CTAA EXPO. OATS, Inc. also encourages all managers to attend and Delmarva Transit sends managers each year. • CTAA PASS. Capital Transit sends management to this program. • CCTM. OATS, Inc., Souris Basin Transportation, and Havasu Area Transit sent managers to CCTM training. Capital Transit has scheduled CCTM training for their system and other sys- tems in Alaska. Virginia Regional Transit requires all managers to earn a CCTM within their first 3 years. Atomic City Transit routinely sends managers to this training and Delmarva Transit sent eight managers to CCTM training. • CCTS. Virginia Regional Transit strongly suggests all supervisors earn this certification and Souris Basin has sent supervisors to this program. • APTA. The Port Authority of Allegheny County has had several managers attend Leadership APTA, Atomic City Transit has attended APTA conferences, and Golden Empire Transit uti- lizes APTA training resources. • NTI. Cache Valley Transit District used NTI resources, Havasu Area Transit has participated in technical programs online, Mass Transportation Authority has utilized NTI and TSI train- ing resources including accident investigation and front line management training, and both the Port Authority of Allegheny County and Transfort have or will soon host NTI training and receive free seats for their personnel. • TSI. Capital Transit has shared a course with other transit agencies in Alaska. Atomic City Transit sent all managers to TSI’s two-week bus operator training. • FTA. Cache Valley Transit District participated in grants management and procurement training. Coast Transit participated in courses in regulatory compliance, finance, and project management. OATS, Inc. has used FTA’s online training. • FTA. Virginia Regional Transit has hosted an FTA Bus Safety and Security Program Orien- tation Seminar and Onsite Review at its location. Training and Development Recommendations 37 (continued on next page)

38 Guidebook for Recruiting, Developing, and Retaining Transit Managers for Fixed-Route Bus and Paratransit Systems Potential Barriers Potential Facilitators • Agencies that receive Rural Transit Assis- tance Program (RTAP) or similar funding are encouraged to attend training courses such as those offered by national and state industry organizations. • Encouraging managers to attend industry sponsored training and development will help gain buy-in from the managers so they will be more likely to encourage their employees to seek opportunities. • Systems may be too busy or too overloaded to attend training conducted out of town or off-site. • Agencies may find it difficult to build a busi- ness case for leadership training when the payoff is not always immediately seen and challenging to quantify. • Budget cuts often result in a narrow and “nonfuture-oriented” focus including the reduction of attendance at training. Alternative Approaches to Practice Alternative Approach 1: Although some of the training and development programs can be costly, some are free or free to an organization’s members. Seek out opportunities that fit a system’s budget. Alternative Approach 2: Agencies could consider hosting training programs in their communi- ties, which may allow them a number of free seats for the training program. Alternative Approach 3: Transit systems that are too overloaded to attend training off-site should consider online training that can be completed during a workday at the system or on a manager’s own time. Alternative Approach 4: Partner with other transit agencies to spread training costs, facilitate discussion of transit issues outside of one specific system, and encourage networking. Impact of the Practice • External transit-specific training resources are organized to provide training to large audiences and have the experience and expertise to deliver curricula and training materials to meet sys- tem knowledge or skills needs. Partnering with external training providers leads to more effi- cient and effective training programs (Special Report 275). Basic Steps for Transit Implementation of this Strategic Recommendation 1. Identify national and state transit association training offerings that the transit system feels are appropriate for enhancing the development of its managers. 2. Based on available time, money, and resources, consider sending transit managers to attend CTAA or APTA training workshops and certification programs. 3. Utilize, as is reasonable and practical, FTA, NTI, and TSI training offerings for the develop- ment of managerial skills. 4. Evaluate and utilize, as appropriate, in-state managerial training opportunities provided through the state DOT and the state transit association. Table 3.1: Leverage Existing Training and Development Opportunities (Continued)

Table 3.2: Explore Available Funding for Training Description: Small community and rural transit agencies often require assistance to meet their employee and manager training needs. There are opportunities through State DOTs, State Tran- sit Associations, the FTA, the NTI, and other entities to obtain training funding and resources at little or no cost to the individual transit system. For example, RTAP provides funding for com- munity and rural transit systems that allows them to participate in training opportunities. How to Implement this Recommendation • RTAP is a national program that was created to provide transit employees and managers with the knowledge and skills needed to serve their customers. RTAP provides transit systems serv- ing populations under 50,000 with training materials, technical assistance, reports, best prac- tices, scholarships and more in order to help small urban, rural, and tribal transit systems thrive. • Each state has an RTAP Manager who acts as a transit system’s point of contact for materials, scholarships, and RTAP support. Transit systems can find their state’s RTAP Manager by vis- iting the following website: http://www.nationalrtap.org/state. • RTAP provides several training and development opportunities for systems and their personnel, including: – A list of RTAP provided training modules that cover subjects from safety and security concerns to preventative maintenance to skills for trainers to “Tap into RTAP” which describes the ser- vices and products that national RTAP offers. Many modules are offered in multiple formats, such as DVDs, CD-ROMs, workbooks, books, and portable document format (PDF). – Rural Technical Resource and Communication Center (R-TRAC) which is a physical and virtual community housing archived RTAP training modules, best practice briefs, reports, brochures, and primers. – RTAP’s Peer-to-Peer Program, which is a free service consisting of a network of transit pro- fessionals who offer their experience to help transit systems succeed. Peers have experience in a range of technical areas and many have professional backgrounds as transit providers. • RTAP monies are often used to reimburse transit systems for travel and lodging when transit managers attend national and state transit association meetings and individual specialized training workshops. Examples of Innovative and Effective Transit Practices • Jefferson Transit. Jefferson Transit makes extensive use of RTAP grants. Their budget for training and development is based on this funding. The system applies for RTAP scholarships through the Washington State Department of Transportation that help to defray the costs of travel to approved training and conferences. • Capital Transit. Capital Transit believes that RTAP funds play a significant role in helping to provide training the system needs. The Alaska Department of Transportation distributes the funds for in-house, in-state, or out-of-state transit training and development opportunities. The system uses much of its funds for courses provided by the University of Alaska, Juneau. The system also includes other transit agencies in Alaska such as Fairbanks North Star Bor- ough Bus System in training classes it schedules. Recently, the system used RTAP funds for a Transportation Safety Institute Transit Supervisory Course in Anchorage. • South Lane Wheels. South Lane Wheels highly values training and relies on RTAP funds to support the training it provides its personnel. The system uses RTAP funding to reimburse offsite transit training and travel to those training opportunities. Training and Development Recommendations 39 (continued on next page)

Table 3.2: Explore Available Funding for Training (Continued) 40 Guidebook for Recruiting, Developing, and Retaining Transit Managers for Fixed-Route Bus and Paratransit Systems • Souris Basin Transportation. Souris Basin has found RTAP assistance from the state of North Dakota to be extremely helpful in supporting the system’s training needs. The system does not need to worry about having funds for transit training because of RTAP support. Potential Barriers Potential Facilitators • Working with the state’s Department of Transportation or with the state RTAP Man- ager to gain access to funds for managerial training support. • RTAP may not provide the specific training that is needed by a particular transit system particularly in the area of management devel- opment. • A transit system does not qualify for RTAP assistance. Alternative Approaches to Practice Alternative Approach 1: If a transit system is not eligible for RTAP funds to support its mana- gerial training efforts, it may have other sources of training support available to it. For example, some human service agencies provide free training opportunities and subsidize attendance at specific human service related training events. Alternative Approach 2: FTA offers in person and online training workshops and NTI often will provide free onsite training in safety- and security-related topic areas. There also may be schol- arships available, independent of RTAP, through national and state transit associations that can be used for training attendance. Impact of the Practice • Utilizing RTAP funds and other free training resources has allowed many transit systems to meet their training and development needs. Basic Steps for Transit Implementation of this Strategic Recommendation 1. Identify the mechanism within your state that manages the RTAP and determine whether your transit system is eligible to receive funding from this program. 2. Identify, procure, and utilize national RTAP training modules that are appropriate tools to assist in developing the knowledge, skills, and abilities of transit managers and supervisors. 3. If eligible, request RTAP reimbursement for attendance at national and state transit associa- tion meetings and individual specialized training workshops.

Table 3.3: Identify Online Training Resources Description: Many organizations and transit systems use online training (also called e-learning or web-based training) to offer employees and managers training tools and webinars (web-based seminars) that employees can access, go through at their own pace, and often cost the company less than traditional classroom training. How to Implement this Recommendation • Based on a training needs analysis, transit systems can decide if any of their needs can be met through an online training approach with web-based training tools purchased from a vendor or developed in-house. – In-house Development. Some current training courses that are offered to transit employees via classroom training could be adapted to web-based training. This will require the assis- tance of a trainer to make sure material is presented correctly and a web developer to make the online tool functional. – Web-Based Training Vendors. Vendors of online training often have extensive lists of courses that systems can choose to purchase. Alternately, vendors can help systems modify classroom- based training to an online training platform. – Transit-Specific Online Training. Many transit-specific training and development opportu- nities are offered through national transit associations and the federal government, includ- ing some that are web-based. These training and development tools are typically low-cost or free of charge to association members or transit employees. • Transit systems can choose several ways to store online training resources to restrict or per- mit access to those tools. – Special Computer Stations. Transit systems could provide a special computer or computer stations for training that supports web-based training tools. This would be one way to offer online training onsite to employees and managers who do not typically use computers or the Internet in their jobs. – System Intranet or Internet. Online training can also be offered via transit systems’ intranets (system-only Internet) or the Internet. This would allow employees and managers with intranet or Internet access to take training courses at their own pace. Trainees may also be able to take training courses while at home or while traveling for work. Examples of Innovative and Effective Transit Practices • Coast Transit Authority. Coast Transit uses webinars (web-based seminars) to develop man- agers’ leadership skills. The Authority has used webinars to develop managers in such areas as coaching, personnel management, conflict resolution, motivation, and disciplinary action. webinars are presented to all supervisors and managers at one time. The system uses webinars to provide transit system managers with professional development opportunities without the expense of sending them to training off-site. • Transfort. Like many transit systems, Transfort has a limited training budget. To maximize their training dollars, the system uses many low cost or free training resources. As part of the municipality of Fort Collins, transit managers and employees have access to some online train- ing opportunities. The system also uses online courses offered by the NTI. NTI provides webi- nars, CD-ROM training, and courses free of charge for transit system employees. • OATS, Inc. OATS does not use many webinars or online training, but the system does use the FTA’s online resources. For instance, OATS uses FTA’s online Drug and Alcohol Training to train supervisors. Training and Development Recommendations 41 (continued on next page)

42 Guidebook for Recruiting, Developing, and Retaining Transit Managers for Fixed-Route Bus and Paratransit Systems • Mass Transportation Authority. Mass Transportation Authority has found that offering webinars is particularly helpful for its traveling staff. Managers that travel frequently can par- ticipate in webinars wherever they have an Internet connection, rather than traveling to a cen- tral meeting place for traditional classroom training. • The Port Authority of Allegheny County. The Port Authority uses two external vendors to provide employees with online training. Both vendors offer extensive non-transit-specific training courses. For example, managers can take a course that trains them on how to con- duct performance appraisals. The Authority feels positive about this training resource, and once employees and managers have taken the training they take a quiz which, if passed, they must print and present to human resources to document that training has been completed. Examples of Innovative and Effective Non-Transit Practices • Benchmarking focus group participants from the government, communications and utilities industries have all used online training to reduce the expense of classroom training and increase the availability of training to dispersed employees and those with nontraditional schedules. These participants also tend to post online courses to their websites or intranets so that employees can access training tools whenever it is convenient for them. Potential Barriers Potential Facilitators • Systems that are open to offering training via nontraditional methods. • Limited access to the Internet during tradi- tional work hours. • Systems may not be able to access a full array of online training tools. • Lack of internal skills required to develop in-house online training. Alternative Approaches to Practice Alternative Approach 1: Some supervisors or managers may not spend much time at a com- puter during a typical workday. Transit systems could provide these leaders with a special train- ing computer that they could use to take online training or to view webinars. Alternative Approach 2: Many transit systems are able to use free city, state, or federal online training resources. Since web-based training provided by vendors can be expensive for systems on a limited budget, the use of free governmental online training tools can be an effective and inexpensive approach to meeting training needs. Impact of the Practice • Advancing technology offers an opportunity to increase the efficiency and effectiveness of training while also better engaging trainees. Using multiple technologies can help to engage more managers. For example, onsite instruction, live web-based seminars, and stored web- based content can help to reach a broader audience (Paul 2008). Table 3.3: Identify Online Training Resources (Continued)

Basic Steps for Transit Implementation of this Strategic Recommendation 1. When possible, consider increasing managerial training opportunities through the in-house development of web-based training. 2. Explore the possibility of purchasing online training programs from vendors. 3. Identify and utilize transit-specific online training offered through transit associations and government related institutions. Training and Development Recommendations 43

Table 3.4: Make Training Easy to Access Description: Managers are more likely to attend training and development programs that align with their schedules and interests. Managers may also have personal conflicts that preclude them from attending off-site or after-hours trainings. Systems should also identify the training con- tent this is most applicable to the workplace situations faced by the managers. Managers are less likely to participate in trainings or developmental opportunities that seem irrelevant to the man- agers’ day-to-day job duties. How to Implement this Recommendation There are several steps to provide training for managers at times that are convenient to increase the likelihood that managers will attend. 1. The first step is determining convenient times for managers. – Ask managers what times are convenient for them and synchronize this with the trainer’s schedule. – Managers can be formally surveyed, or asked via an email or at a managers meeting about their availability. – Keep track of all responses and pick the dates and times that are most suitable to the great- est number of managers. 2. Once convenient times are established, and training has been scheduled, clearly communi- cate the training schedule with respect to dates, times, and location. 3. Set expectations about attendance. – Will training attendance be voluntary, suggested, mandatory, or linked to performance appraisals or rewards programs? Make sure managers know what is expected of them and any consequences for absence. 4. Make sure training times are predictable. – Make every attempt not to cancel training once it has been scheduled and managers have been notified. Managers may lose confidence that the training is important to attend if it is continually canceled. – If the system is implementing a training program or a series of training events or courses, try to have training at regular intervals (e.g., weekly, monthly, or quarterly). This will help individuals remember when training will take place. – Of course, emergencies arise. If a system does need to cancel training or development events, notify all participants immediately and attempt to reschedule as soon as possible. 5. Utilize existing regularly scheduled management or safety meetings as an opportunity to pres- ent formal or informal managerial and supervisory training. This training can be built into the meeting agenda and provided by the appropriate subject matter experts. Obviously, this approach may require an expansion of meeting time allotted and breaking the training on a given topic into small modules delivered over a span of more than one meeting. This approach has the positive impact of allowing for the institutionalization of ongoing, regularly scheduled training into the transit system organizational culture. – Explore opportunities for online training of managers and supervisors. Online training does not require travel and can be managed consistent with the demands of trainee work schedules. Both leadership training and transit-specific management and skill training is offered online. General training opportunities can be identified through Internet searches and contacts in the local business community while online training can be identified through a wide variety of entities including FTA, APTA, CTAA, NTI, and TSI. 44 Guidebook for Recruiting, Developing, and Retaining Transit Managers for Fixed-Route Bus and Paratransit Systems

Training and Development Recommendations 45 Examples of Innovative and Effective Transit Practices • Mass Transportation Authority provides a monthly management training luncheon. The program serves to focus managers and provides skill sets that will help them in the changing economy. Some topics that have been presented include: front-line supervision, sexual harass- ment policies, team building exercises, and total quality management. • OATS, Inc. is a very large, yet mostly rural system with managers spread over the state of Mis- souri. Every month the system gathers all managers for a meeting at their headquarters in Columbia. The meeting takes place over an afternoon and the following morning. Training has been built into this meeting and allows dispersed managers to receive the same training at the same time. • OCCK, Inc. offers all staff, including managers, monthly and quarterly training sessions. Attendance is voluntary; however, most employees and many managers attend. Training is held from 11:30 a.m. to 1:30 p.m. which coincides with the traditional lunch hour and lunch is provided as an incentive for participation. • Coast Transit Authority makes extensive use of online management training including lead- ership and human resource management courses offered through private vendors as well as transit-specific courses offered through FTA and other entities. Examples of Innovative and Effective Non-Transit Practices • Benchmarking focus group participants from a telecommunications and a package delivery company reported offering managers training resources through the Harvard Business Review (HBR). The package delivery company has obtained an HBR online subscription for all man- agement staff. This subscription allows staff to participate at their convenience in the Harvard Managerial Program through a link on the company website. Examples of HBR managerial tutorials include: feedback, coaching, and how to hold a difficult discussion with an employee. Potential Barriers Potential Facilitators (continued on next page) • Create an organizational culture that pro- motes the development and training of its employees. • Gain acceptance regarding the importance of setting aside time for training from adminis- trators and managers. • Utilize existing scheduled meetings and on- line opportunities for management training delivery. • Many agencies cannot afford to take time from the workweek to conduct a training or development program. • Managers or administrators may be reluc- tant to set aside time during work hours to conduct training events. Alternative Approaches to Practice Alternative Approach 1: If the workweek is far too busy to conduct training during regular busi- ness hours, consider providing training and development at other times, such as over the week- end or after regular work hours. If after hours, allow managers to provide their feedback about what times outside of working hours best suit their schedules. Alternative Approach 2: Weekly training events or meetings may be too frequent for some agen- cies that cannot take that much time away from regular transit duties. If this is the case, training events can take place less frequently such as on a monthly or quarterly basis.

Alternative Approach 3: Training or development programs for managers can also be held when managers are gathered for state-wide or regional transit association meetings. This could also allow managers from several transit systems to participate in training together, which could lower the overall cost of the training and provide diverse perspectives. Impact of the Practice • By providing training when managers will already be gathered for another purpose, or when managers have set aside time for training, agencies ensure that managers will attend and can benefit from the opportunity. Basic Steps for Transit Implementation of this Strategic Recommendation 1. Survey all transit system managers and supervisors for workload concerns and for dates and times when attending training would be most convenient to determine their availability to attend training. 2. Establish schedules for attendance at both in-house and external training for managers/super- visors based on availability survey data. 3. Inform managers and supervisors on expectations about training attendance including whether it is voluntary, suggested, mandatory, or linked to performance appraisal and awards programs. 4. Utilize existing regularly scheduled management or safety meetings as an opportunity to pres- ent formal or informal managerial/supervisory training. 5. Explore both transit-specific and non-transit-specific opportunities for online training of managers and supervisors. 46 Guidebook for Recruiting, Developing, and Retaining Transit Managers for Fixed-Route Bus and Paratransit Systems Table 3.4: Make Training Easy to Access (Continued)

Table 3.5: Institute Mandatory Training for Managers Description: Implementing a mandatory training policy ensures that managers and employees participate in the training that the transit system deems important or necessary to success on the job. Having all managers participate in the same fundamental/core training programs ensures consistency across managers in the basic aspects of transit management that benefit from a uni- fied approach. How to Implement this Recommendation • Many organizations require new supervisor training or orientations (TCRP RRD 88 2008). • Before instituting mandatory training for managers, a system must decide what training is needed, which typically involves a needs analysis. A needs analysis is composed of three parts (Noe 2008): – Organizational analysis which involves determining the overall training needs of an organ- ization, and what skills, knowledge, and abilities employees should have. – Task analysis, which involves identifying what skills, knowledge, and abilities are needed to perform specific tasks. (See Appendix A—Figure 3 for a matrix of basic required transit manager leadership skills and transit-specific skills). – Person analysis which involves determining which employees require training based on the organizational and task analyses. • All levels of staff should be involved in the needs analysis process, as managers, trainers, and employees all have different perspectives on the training that is important to mandate. • Once training needs are known, the system should develop a systemwide general training plan for all manager and supervisory positions and decide how to implement its training policy. – This training plan should address training requirements at hire and on an ongoing basis. – The system can set a calendar of mandatory in-house and/or external management train- ing courses or it can allow managers to choose from a list of training course offerings sched- uled in-house or through outside resources. • While all managers should be required to attend training that is core or fundamental to the transit system operations, additional training should be linked to the manager’s Individual Development Plan (IDP) which is aligned with the strategic direction of the organization and competencies identified as critical to job and organizational success. • External mandatory management training can include attendance at national or state transit association offerings, local university or community college courses, or private vendor deliv- ered short one or two day workshops offered in the area. • Mandatory in-house management training can include both formal classes offered to a wide range of transit employees and informal orientations on a specific topic presented by a tech- nical subject matter expert. – Operational managers and supervisors can be mandated to attend training that bus operators/ drivers must attend, such as defensive driving, passenger assistance and emergency response training since the managers and supervisors must oversee front line employee per- formance in these areas. Examples of Innovative and Effective Transit Practices • Golden Empire Transit periodically holds mandatory safety meetings for all employees and managers. Attendance is documented to further encourage participation. • OATS, Inc. encourages all of its managers to become CTAA CCTM or to obtain a relevant cer- tification that relates to their field. Over half of OATS’ managers are CCTMs. Managers receive special bonuses if they earn and maintain certification. Training and Development Recommendations 47 (continued on next page)

• Virginia Regional Transit (VRT) has two mandatory training programs: one for all staff and one exclusive to managers. – VRT requires 32 hours of training per year for all employees and managers. The training is offered once per month on Saturdays for 4 hours, for 8 months. Some of the courses are offered by VRT employees, while others are provided by external sources (e.g., transit con- sultants). Training topics include:  Leadership,  Passenger assistance,  Fire extinguisher operation,  Lift operation,  Accident investigation, and  Safety and security. – All VRT managers are required to become CCTM within their first 3 years in the position. – Though it is not a formal requirement, all managers are expected to go to TransitSCORE training. – VRT also strongly suggests that its supervisors become CCTS in order to prepare them for potential advancement. Examples of Innovative and Effective Non-Transit Practices • A telecommunications benchmarking participant noted that while training is often developed at the corporate level, business units are given discretion as to whether the training should be mandatory; thus, allowing the business units to evaluate the relevance of the leadership train- ing for their line of business. • A participant from a package delivery freight company indicated the company offers four structured leadership development programs, each designated for a specific level of manage- ment regardless of function. For example, for director level, the company offers a leadership academy. For senior staff and above, the program is called Executive Counsel. The training in the four programs is developed mostly in house and taught by senior level managers who are selected each year through a nomination process to be facilitators. Potential Barriers Potential Facilitators 48 Guidebook for Recruiting, Developing, and Retaining Transit Managers for Fixed-Route Bus and Paratransit Systems • Management that values training and devel- opment opportunities will be more likely to permit and require training. • Mandatory management training has the ultimate impact of increased transit system effectiveness and efficiency. • Mandatory supervisory training, due to col- lective bargaining agreements, may not be an option for some agencies. • Restrictions on training budgets often pre- vent systems from requiring specific man- agement trainings. • Management workloads often preclude their attendance at mandatory training opportu- nities. Table 3.5: Institute Mandatory Training for Managers (Continued)

Alternative Approaches to Practice Alternative Approach 1: If agencies are not able to implement mandatory training for managers, they could strongly suggest training opportunities and highlight training programs or courses that are most closely linked to the career track of interest to the manager. Alternative Approach 2: Training does not have to occur onsite or in a classroom. Some train- ing, including transit-related courses, is available online. Further, national transit organizations offer many training opportunities for interested systems and managers. Impact of the Practice • Research suggests that successful private sector and federal agencies spend about 2 percent of salaries on training. This is four times more than the average transportation agency (Special Report 275). Formally recognizing the importance of training within an agency is critical to training success. For example, the Louisiana Department of Transportation and Development created a policy in 2001 that asserts training is key to developing qualified personnel and is crucial to the effective management of the transportation system (Paul 2008). Basic Steps for Transit Implementation of this Strategic Recommendation 1. Conduct a management/supervisory training needs analysis, which includes an organizational analysis of overall training needs; a task analysis identifying skills, knowledge, and abilities needed to perform specific tasks; and a person analysis that involves determining individual employee training requirements. 2. Based on the training needs analysis, develop a systemwide general training plan that addresses training requirements for managers and supervisors at hire and on an ongoing basis. 3. Create IDPs for all managers and supervisors that are aligned with the strategic direction of the transit system. 4. Mandate manager and supervisor attendance at appropriate external and in-house training offerings that are consistent with each person’s individual development plan. Training and Development Recommendations 49

Table 3.6: Address Training Needs in Conjunction with Performance Appraisals Description: Performance appraisals evaluate the job performance of employees. Typically, performance appraisals give employees performance feedback, identify training and develop- ment needs, identify a development plan including goals and strategies for meeting goals, and can affect salary and promotion decisions and the allocation of rewards. Performance is generally assessed using a number of objectives or quantitative and qualitative standards. How to Implement this Recommendation • In order to conduct formal performance evaluations that will impact administrative decisions (e.g., salary, promotion), agencies must identify the specific success factors against which manager performance will be measured (Moffat et al. 2001). • Agencies must ensure that the appraisal is valid, meaning that the success factors are linked to critical competencies that are required for successful performance of the job’s requirements. This is particularly true if the appraisal is linked to personnel decisions (e.g., salary, promotion). • Performance appraisals can be executed in several ways. – An employee’s supervisor performs the appraisal. – An employee’s supervisor and the employee perform the appraisal (this is called a 180-degree appraisal). – An employee’s supervisor, plus the employee, peers, subordinates, and possibly clients/ customers performs the appraisal (this is referred to as a 360-degree appraisal). Since there are multiple, valuable perspectives on an individual’s performance, 360-degree appraisals can be highly effective at capturing those multiple perspectives. • Appraisals should be performed at regular intervals. – Annual performance appraisals are typical for most organizations, but there may be value in more frequent appraisals (e.g., quarterly, every six months). – More frequent appraisals allow employees and managers to track progress and discuss the challenges they face and ways to overcome those challenges in order to meet appraisal goals. • The performance factors on which individuals are assessed should be consistent from mid- level to senior managers in order to ensure seamless promotions (TRB 2001). • Training and development methods should be closely aligned with system recruitment and retention strategies (Moffat et al. 2001). • A clear distinction should be made between the use of performance appraisals for administra- tive decisions and the use of IDPs. Systems often make the mistake of using performance appraisals for both evaluation purposes (e.g., to make a promotion decision and for develop- ment purposes). Evaluating a manager’s performance should focus solely on his/her perfor- mance with regard to the work requirements of the job. Developmental discussions should encourage candor and may be broader in scope by focusing on larger professional develop- ment goals. It is inappropriate (and potentially legally compromising) to evaluate individuals on factors that are not directly relevant to the current job being performed. Combining devel- opment with administrative evaluation can be confusing to the individual being evaluated. Examples of Innovative and Effective Transit Practices • Atomic City Transit. Atomic City Transit conducts annual performance appraisals. The appraisals link the position’s job description with factors for evaluation. As part of the appraisal, managers discuss what they would like to do in the following year and then set goals (e.g., for upward mobility). The system’s appraisal process is also a part of succession planning. 50 Guidebook for Recruiting, Developing, and Retaining Transit Managers for Fixed-Route Bus and Paratransit Systems

• Pee Dee Regional Transit Authority (PDRTA) performs initial appraisals for managers 6 months after hire or promotion, then after another 6 months, and annually thereafter. The manager per- formance appraisal system is structured and scored on 15 factors: 1) job skills and knowledge; 2) responsibility; 3) management skills; 4) organization; 5) budgetary controls; 6) safety and health; 7) customer service; 8) problem solving; 9) initiative; 10) leadership qualities; 11) disci- plinary measures; 12) attendance and punctuality; 13) communication; 14) interaction with supervisor; and 15) organizational development. For each factor, reviewers give a rating of exceeds performance requirements (2 points), meets performance requirements (1 point), or below performance requirements (0 points). The points are added together then divided by 15 to yield an overall rating. Reviewers are required to provide comments when they give the low- est and highest ratings for a factor. Reviewers and the appraised manager can provide overall comments. (See Appendix A—Figure 6 to view the PDRTA management appraisal form.) • OCCK, Inc. also has a formal performance appraisal process for all employees. This includes career planning for newer employees. • OATS, Inc. conducts performance appraisals annually for its employees and managers. Appraisals are performed by immediate supervisors and are tied to a merit-based salary sys- tem. The appraisals also outline goals for the coming year. • Coast Transit Authority requires performance appraisals on an annual basis. Managers are evaluated in 10 areas and scored unsatisfactory, satisfactory, good, or excellent. Weaknesses are discussed and goals are set to overcome them. • The Port Authority of Allegheny County is piloting a 360-degree assessment process for man- agers. The appraised managers select 10 people to assess their performance; this group must include the manager, superiors, subordinates, peers, and possibly vendors. The Authority uses the 360° Feedback: Survey of Leadership Practices™ assessment developed by the Clark Wilson Group. The results of assessments are 50–60 page reports on the manager’s strengths, weak- nesses, and leadership skills. The manager can then use the feedback from this report to iden- tify opportunities for future training and development. This assessment is for developmental purposes only, rather than for disciplinary purposes. Examples of Innovative and Effective Non-Transit Practices • One communications industry participant indicated his organization requires all managers take classes in how to conduct performance reviews. The organization also offers training in other administrative functions and requires managers to attend courses their subordinates take (e.g., safety, defensive driving skills) since they are responsible for managing employees who perform those functions. Potential Barriers Potential Facilitators Training and Development Recommendations 51 • Managers and administrators who recog- nize the importance of performance feed- back for the health of the system overall. • Training that teaches leaders how to develop performance appraisals, evaluate the perfor- mance of managers and provide meaning- ful, constructive feedback. • Goal-setting training to aid in the conduct of developmental plan discussions. • Budgetary restrictions limit purchase of ex- ternal performance appraisal tools. • Limited time available to conduct perfor- mance appraisals and provide feedback. • Supervisors may not have the proper training toprovide meaningful performance feedback. • Supervisors may not understand how to properly conduct appraisals and distinguish between administrative and developmental reviews. (continued on next page)

Alternative Approaches to Practice Alternative Approach 1: Instead of hiring a firm to develop an appraisal or buying an off-the- shelf tool, agencies can use their manager job description to develop a manager performance appraisal tool. Linking appraisal factors to job-relevant criteria will allow agencies to develop tools that are unique to each management position. However, agencies must make sure that both the job description and performance appraisal are valid tools that relate to required competen- cies needed to perform the work requirements. Alternative Approach 2: Although frequent performance appraisals are ideal, yearly perfor- mance appraisals are sufficient for most organizations. If it is not possible to formally appraise performance more than once per year, consider holding 1 or 2 brief, informal meetings to discuss manager progress toward goals, concerns about meeting goals, and performance expectations. Impact of the Practice • Performance feedback is useful in developing managers in several ways: 1) Allows agencies to assess individual as well as overall performance of staff; 2) Developmental feedback can be used for self-improvement efforts; and 3) Allows the system to target training efforts. Basic Steps for Transit Implementation of this Strategic Recommendation 1. Based on an analysis of job descriptions and transit system goals and objectives, identify spe- cific success factors against which manager performance will be measured. 2. Based on manager performance success factors, develop a formal appraisal tool and method- ology that is valid and linked to critical competencies. 3. Implement on an ongoing basis a periodic and at least annual performance appraisal process for all managers and supervisors. 52 Guidebook for Recruiting, Developing, and Retaining Transit Managers for Fixed-Route Bus and Paratransit Systems Table 3.6: Address Training Needs in Conjunction with Performance Appraisals (Continued)

Table 3.7: Offer Tuition Reimbursement Description: Tuition reimbursement programs are an arrangement between an employee and an employer that outline the terms under which the employer pays for the employee’s continu- ing education or development. Some transit systems offer tuition reimbursement that allows employees to take courses for enrichment or for college-degree programs and/or an in-house management training program (TRB 2008). Management and supervisory training can be pro- vided by a combination of internal and external resources. Colleges and universities typically offer a variety of subjects, whether technical in nature or more focused on leadership develop- ment. Courses and training offered at a local university may be more affordable than offsite train- ing because there are no travel expenses and the prevalence of night courses at many colleges allows managers to take a class outside of work hours. How to Implement this Recommendation • Transit systems often establish guidelines for how tuition is to be reimbursed. Some examples include: – Reimbursement that relies on how job related the course or training is (e.g., directly job related courses are 100% reimbursed, potentially related courses are 75% reimbursed). This could also apply to future jobs if a promotion is imminent, or the employee is training for a possible pro- motion. Transit systems can use the course description or speak with the course instructor in conjunction with reviewing the employee’s job description to verify the job relatedness of a course. – Tuition paid based on established criteria (e.g., grades of B- or better are eligible for full tuition reimbursement). – Transit systems reimburse employees a certain percentage depending upon the grade earned. For instance, a grade of A could get 100% tuition remission, a B could get 75% paid, and a C could get 50% reimbursed. – Systems establish a paid tuition or credit limit. For example, each employee could be eligi- ble for up to $1000 of paid tuition each year, or up to nine paid credits each year. – Employees must work for the transit system for a specified time period before becoming eligible for tuition benefits, or the employee must remain with the system for a certain period after tuition is reimbursed. – Reimbursement could also rely on whether an employee passes an exam. For example, a sys- tem could decide to pay tuition for CCTM exam training if the employee passes the exam. • Tuition reimbursement policies need to be clearly communicated to all eligible employees and managers to maintain equity. Examples of Innovative and Effective Transit Practices • The Port Authority of Allegheny County. In addition to providing internal and external training opportunities for employees and managers, the Port Authority provides tuition reim- bursements. In order to receive a reimbursement, the course or training must be related in some way to the individual’s job. • Atomic City Transit. Atomic City Transit offers tuition remission for its employees who take courses at the University of New Mexico, Los Alamos. Several courses that deal with supervi- sory or management issues are offered, including: – Business Technology 113: Project Management – Business Technology 204: Human Relations in Business, which deals with implications of business practices for employees and supervisors. – Management 113: Management: An Introduction Training and Development Recommendations 53 (continued on next page)

• University of Massachusetts Transit. Managers at UMass Transit are able to take any classes at the University that they can justify as contributing to their professional development. Man- agers who take job related or developmental courses receive a tuition waiver from the system. Examples of Innovative and Effective Non-Transit Practices • A benchmarking participant from a package delivery organization stated that his company provides full tuition assistance to even part-time employees, which is critical because they have found that 85–90% of their managers started as part-time employees with the company. Potential Barriers Potential Facilitators 54 Guidebook for Recruiting, Developing, and Retaining Transit Managers for Fixed-Route Bus and Paratransit Systems Table 3.7: Offer Tuition Reimbursement (Continued) • Transit systems that value continuing edu- cation and development of employees and managers. • Transit systems that have quality colleges and universities close by. • Establishing connections with campuses will ensure that information about relevant courses and programs is shared with the system. • Transit systems may be unable to pay the full amount of an employee’s tuition expenses. • Campuses with appropriate courses may not be accessible to systems in more rural areas. Alternative Approaches to Practice Alternative Approach 1: If transit systems are unable to pay the full amount of employee tuition costs, they could offer to pay for required course books, materials, or fees instead. Alternative Approach 2: Since transit systems are sometimes located in areas where colleges or universities are not accessible, paying for online tuition is another solution. Many colleges, uni- versities, and even national transit associations offer courses online. The same rules could apply to online courses as to courses taught in the classroom (e.g., reimbursement contingent upon grade, a certain amount of tuition remission is available to each employee). Alternative Approach 3: Transit systems that do not have budgets to provide tuition reimburse- ment for all employees could offer reimbursement on a case-by-case basis, depending upon the training and development needs of employees. Alternative Approach 4: Transit systems could establish a tuition scholarship program for high performing employees and managers that is linked to the employee’s performance appraisal or based on a manager nomination. Impact of the Practice • Providing employees with funding to pursue continued education or training could have sig- nificant benefits for transit systems. For instance, the system will likely have a more knowl- edgeable workforce and one with the skills required to supervise and manage transit systems today. Offering tuition reimbursement can also be a major attractor for potential job appli- cants and a retention tool for current employees. Investment in managers communicates to those managers they are valued, which in turn positively impacts the manager’s organizational

commitment. (Note: Many organizations require a specified length of tenure post-course- work in order for the organization to reimburse the tuition. Otherwise, the employee has to pay back the organization if he/she leaves prior to the designated time period.) Basic Steps for Transit Implementation of this Strategic Recommendation 1. Based on available budgetary resources, consider implementing a tuition reimbursement pro- gram as a tool in facilitating management and supervisory development. 2. Identify courses and training offered onsite at local colleges or universities, online, or through other venues that are appropriate for managerial development and eligible for tuition reim- bursement. 3. Develop specific guidelines and protocols for how tuition is to be reimbursed and clearly communicate these guidelines to all eligible employees. Training and Development Recommendations 55

Table 3.8: Emphasize Ongoing Professional Development at All Levels Description: Professional development is an essential element of developing managerial knowl- edge, skills and abilities and it can take on many forms throughout a manager’s career. Junior level managers should be exposed to professional development opportunities to help prepare them for higher level jobs. How to Implement this Recommendation • In many organizations, new supervisor or manager training is a requirement within the first months of an individual assuming a management role. New supervisor or manager training can include topics such as employment law, coaching, interpersonal skills, performance man- agement, equal employment opportunity, diversity, change management, drug and alcohol programs, and system policies and procedures (TCRP Research Results Digest 88 2008). • In addition to skill training, transit leaders can participate in the following development activ- ities: the development and implementation of a new mission, creation of vision and values statement, top-level executive management reorganizations, national and regional leadership events, as well as executive retreats to revisit strategic plans and goals (Special Report 275 2003). Research suggests that the most frequent professional development activities for paratransit managers include training programs related to the development of interpersonal communi- cation skills, presentation skills, team building skills, and supervisory/management and/or leadership skills (TCRP Report 77 2002; Special Report 275 2003). • Although it is important to introduce new managers to these skills and activities, training should also be ongoing to keep the knowledge and skills of managers fresh and up-to-date. • Implementing ongoing training and development for all levels of management can help employees and managers to recognize the importance of training, which is critical to training success. In addition, providing training at many levels in a system helps to create a natural career progression track for employees. • Management and supervisory training priorities can change dramatically as industry needs evolve. Over the past decade, extensive training was required for managers and supervisors in such regulated compliance areas as Drug and Alcohol Program management and the Ameri- cans with Disabilities Act. More recent priorities for management and supervisory training include transit system safety, transit system security, and community emergency response. The key is for the transit system to recognize management training needs as they evolve and to iden- tify opportunities to meet these management training needs. (See Appendix A—Figure 4 for a detailed listing of required transit safety, security and emergency preparedness skills.) • Ongoing professional development for managers and supervisors need not always be handled through formal training classes. Innovative approaches such as required management read- ings with discussions after the reading, or facilitated management brain storming sessions on addressing organizational challenges, can be effective and inexpensive development tools. Examples of Innovative and Effective Transit Practices • Palace Transit. In 2008, Palace Transit developed its own managerial training to address train- ing topics for supervisors and managers within the city. The training is conducted bi-monthly for about 2 hours. Some training topics include: harassment, attendance, workers compensa- tion, and drug and alcohol policies. 56 Guidebook for Recruiting, Developing, and Retaining Transit Managers for Fixed-Route Bus and Paratransit Systems

• The Port Authority of Allegheny County. The Port Authority offers its supervisors and managers many training and development courses in-house in addition to required man- agement training courses. The Authority has developed or provides courses from external sources that specifically deal with supervisory or managerial soft skills including: “How to Supervise People,” “How to Coach an Effective Team,” “Management’s New Responsibili- ties,” and “Change Management” for supervisors and managers. In addition, courses are offered in a variety of formats such as computer-based training (either in a classroom or self- paced), Internet, DVD, and instructor-led training that allows flexibility to accommodate manager schedules. • Many transit systems participate in national manager development courses such as CTAA’s CCTM and CCTS development programs, including OATS, Inc., Souris Basin Transporta- tion, Havasu Area Transit, Virginia Regional Transit, Capital Transit, and Atomic City Transit. To earn certification, participants must meet experience, education and development requirements. Further, in order to be recertified every 3 years, individuals must complete addi- tional education and development requirements. • Altoona Metro Transit. The AMTRAN General Manager selects and requires all management staff to read a new management theory book each year. The contents and ideas expressed in the book and their applicability to the AMTRAN environment are discussed throughout the year at frequent management meetings. Examples of Innovative and Effective Non-Transit Practices • One focus group participant from the communications industry stated that his organization has formal training for managers that is conducted periodically to refresh managers’ knowl- edge and skills. Training typically focuses on practices, leadership skills, coaching, mentoring, and organizational procedures and policies. The organization also has an executive coaching course specifically targeted to new executives. • A focus group participant from the package delivery industry has four structured and formal development programs geared toward specific levels of management through the organiza- tion’s corporate university. Managers must recommend candidates to participate in the cor- porate university’s development programs. Programs are available for front-line supervisors, managers, directors, and senior staff. • An additional participant in the focus group from the utilities industry stated that her organ- ization is implementing a development course that focuses on specific levels of management. The course is modeled as a “Develop Your Career” course that allows participants to create their own career path and makes sure they have the basic tools and guidance to assist them in developing their career path. The course was started at the director level and a course for man- agement will soon begin, followed by a course for senior staff positions. • Several participants suggested that organizations should change the traditional management development model in which managers are selected based on technical skills and trained on leadership or management skills. They believe organizations should do the reverse (selecting managers based on leadership skills and training them in the technical skills). This approach would require that transit systems restructure training and development programs as well as the system’s corporate culture, especially in systems where staff are promoted to management positions due to their technical competency. Training and Development Recommendations 57 (continued on next page)

• Focus group participants from all industries use mentoring or coaching programs to develop high potential employees. One local government participant developed the Mentor Network Program, a formal mentoring program with an innovative mentor/mentee matching compo- nent. Individuals are allowed to choose their own mentors/mentees. They are provided with biographies of potential mentors/mentees and allowed a short window of time to sit and talk one-on-one (similar to speed dating approach). If there is a mentor/mentee match, their rela- tionship begins; if not, individuals can try to participate the next year. Potential Barriers Potential Facilitators 58 Guidebook for Recruiting, Developing, and Retaining Transit Managers for Fixed-Route Bus and Paratransit Systems Table 3.8: Emphasize Ongoing Professional Development at All Levels (Continued) • Administrators and managers willing to provide ongoing professional development. • Managers and supervisors who are moti- vated to participate in ongoing development opportunities. • Transit systems may feel they lack resources to participate in ongoing management devel- opment. • Systems may be unable to offer develop- ment courses or programs for specific levels of management. • Systems may not have full-time human resource staff to develop or guide new train- ings and development programs (e.g., men- toring or coaching programs). Alternative Approaches to Practice Alternative Approach 1: If transit systems cannot develop and conduct training sessions for their managers, they could consider partnering with other local transit systems to present training and development programs together. Sharing resources such as time, effort, and funding can enable two or three systems that could not provide training on their own to offer a quality development program for their managers. In addition, interacting with managers from other transit systems could provide participants with new ideas, contacts, and partners within the industry. Alternative Approach 2: Offering development programs for each level of management in a transit system is ideal for targeting training and development opportunities for these groups. However, systems can also combine development opportunities for managers, supervisors and, at times, even frontline employees. Although the program would not be specific to any one organi- zational level, more junior participants can benefit from interacting with more senior participants in a developmental setting by learning about their experiences, career paths, and development strategies. Impact of the Practice • Transit agencies that wish to have quality managers must begin to view training as a business strategy and to focus more on interventions for 1) connecting employee learning to business goals, 2) improving employee performance, and 3) helping trainers acquire and retain skills and capabilities needed to fulfill this changing role (TCRP RRD 88 2008). Transit systems that provide managers with ongoing professional development opportunities will have a knowledge- able and skilled workforce to deal with the industry’s complex challenges. Further, offering managers such opportunities is likely to be a key point for recruiting and retaining managers.

Basic Steps for Transit Implementation of this Strategic Recommendation 1. Determine requirements for and ensure delivery of training for new managers and supervi- sors that provides them with the general and transit-specific knowledge, skills, and abilities they need to successfully carry out their job functions. 2. Involve managers in creating transit system mission, vision and values, strategic plans, and organizational goals and objectives. 3. Provide ongoing professional development opportunities that facilitate personal and organi- zational management success. 4. Ensure that management and supervisory training priorities adjust to industry change and the evolution of industry training needs. 5. Think outside the box in the presentation of manager and supervisor skill enhancement opportunities and utilize creative and innovative approaches for the development of the man- agement team. Training and Development Recommendations 59

Table 3.9: Implement Succession Planning Description: Succession planning is the process of identifying and preparing qualified employ- ees through mentoring, coaching, training, and job rotation opportunities to replace staff in key management positions as these positions become vacant. Successful succession planning pro- grams integrate management skills with identified organizational goals and provide for seamless management transitions. Communication about the succession plan is essential to create buy- in. Organizations must obtain commitment of top executives to personally mentor successors (Greer and Virick 2008). High potentials should be informed of their inclusion in succession plans and their input should be obtained (Greer and Virick 2008). Succession planning initia- tives should identify behavioral competencies for the future while recognizing that these may change (Greer and Virick 2008). How to Implement this Recommendation • Create a Competency Based Succession Plan. Succession planning methods should include the development of behavioral competencies for training, development planning, and evaluations (Greer and Virick 2008). – Research suggests that succession planning efforts should also include the dissemination of specific behavioral competencies required for top positions so potential applicants can hone skills (Greer and Virick 2008). – All succession planning programs should be framed as programs with emphasis on develop- ing high potentials (Greer and Virick 2008). For example, the Washington Metropolitan Area Transit Authority has an explicit “Leadership Succession Planning Program” that targets ten key positions. Potential candidates for these positions are rigorously screened to become eli- gible for training, special projects, and rotational work assignments (Moffat et al. 2001). – Objective indicators of performance, competence, and potential are important compo- nents of a sound competency-based succession plan (Greer and Virick 2008). Methods should also include valid objective testing where feasible to offset subconscious bias in assessment. – Competency based succession planning is a powerful tool in building future leaders who can move into vacated management positions in a seamless fashion and reinforce leader- ship continuity. Examples of Innovative and Effective Transit Practices • Coast Transit Authority. Coast Transit has an informal succession plan for the Operations Director position and, in general, believes in working up through the system into manager roles. The system recently hired an individual to fill a position that was created in order to develop someone for the director role. Although the employee has responsibilities in his Field Inspector role, including project management, he is also a director in training. The individ- ual came to the Authority without transit-specific knowledge, so the system is training him in this area. The employee is mentored by the Executive Director two days each week and spends the other three days working with the Operations Director. A promotion is not guaranteed for the employee, but he is being groomed for a possible promotion when the Director retires. • Cache Valley Transit District. At Cache Valley, Directors spend 1 day each week working with Managers in a mentoring relationship. The Directors help Managers with personal develop- ment, goal setting, and communication issues. Participation from directors is not required, but is encouraged. 60 Guidebook for Recruiting, Developing, and Retaining Transit Managers for Fixed-Route Bus and Paratransit Systems

• Mass Transportation Authority. Mass Transportation Authority is currently working to develop succession planning throughout the system. Currently all of the system’s Human Resources and Purchasing personnel are cross-trained. Thus, employees within these depart- ments are able to carry out the job functions of their coworkers in the event of a retirement, turnover, or extended leave. Employees were cross-trained through job rotation and also training courses. • Atomic City Transit. Atomic City Transit has taken steps to include personnel in succession planning. The system offers career planning for operators and dispatchers that with time and good performance could turn into a supervisory position. There are three levels of operator and dispatcher positions, and the level III positions are Leads, which are a stepping stone to supervisory positions. Within one of the system’s divisions there will be several retirements in the next 3 to 4 years. To prepare for filling those positions, the system is cross-training high potential employees outside of their functional area. Training is informal and takes place across departments at the supervisory level so that people will be ready to move into manage- ment positions within 4 years when managers retire. The system also links its annual perfor- mance appraisals and goal setting to succession planning. • OATS, Inc. Individuals close to retirement at OATS generally mentor a potential successor. It is OATS’ philosophy to attempt to have a second in command for all top management positions so that a smooth leadership transition can occur. OATS also provides new man- agers with mentors, in addition to on the job training, to help them develop and succeed in their new role. OATS has 21 managers who are spread over most of Missouri. When new managers are selected, they are informally assigned the closest regional director as a mentor. Although this is an unstructured and informal succession planning process, the system has found that it works well. • Pee Dee Regional Transportation Authority. At PDRTA, newly hired managers receive on the job training as well as informal mentoring by senior staff. Examples of Innovative and Effective Non-Transit Practices • Benchmarking focus group participants from the utilities industry, a state transportation sys- tem, a delivery services company, and a communications organization noted that they provide high potential employees with rotational assignments to help them prepare for the next level of responsibility. Job rotations often involve allowing employees to move in and out of depart- ments to grow their skills. This is a challenge that many employees find attractive because it means that their job responsibilities are always changing and they are gaining experiences in a variety of positions. • Focus group participants from government and IT, communications, and utilities industries stated that their organizations implement mentoring and coaching programs. Programs are both formal and informal; however formal programs are typically put in place for more junior man- agers and employees, while more senior managers often take part in informal mentoring rela- tionships with their mentors. Training and Development Recommendations 61 (continued on next page)

Alternative Approaches to Practice Alternative Approach 1: Transit systems that think implementing a full succession plan will be too costly or time intensive for their system can implement one or two opportunities instead of all possible strategies. For instance, a system can cross-train its high potential employees and managers through job rotation where employees teach one another how to do their jobs, rather than purchasing training to cross-train personnel. Alternative Approach 2: Mentoring programs do not have to be costly or take large amounts of time. Just as mentoring programs can be highly formalized or much less structured, mentors and mentees can meet as often as needed (e.g., weekly, monthly, quarterly) as determined by need. While some organizations compensate mentors, this is not necessary for a successful mentoring program. Alternative Approach 3: Transit systems that do not have a significant pool of mentors to pull from can partner with other local transit systems. Even if systems are geographically dispersed, the mentors and those they are mentoring can meet over the phone or exchange email to com- municate, and meet in person occasionally, if possible, to prepare for significant events such as performance appraisals or promotion interviews. Impact of the Practice • Succession planning, when executed correctly, enables transit systems to develop high poten- tial employees, supervisors, and managers to fill positions as they become vacant. By develop- ing and promoting current employees and managers into positions, systems save money on recruitment costs, ensure that their workforces are trained and developed, and likely increase retention by providing employees with a clear career plan with potential for promotion. 62 Guidebook for Recruiting, Developing, and Retaining Transit Managers for Fixed-Route Bus and Paratransit Systems • Senior managers who are willing and able to mentor more junior managers and super- visors. • Employees, supervisors, and junior man- agers who are motivated to participate in succession planning. • Transit systems may think they do not have the time or resources to begin succession planning. • Transit systems may not have managers who can serve as mentors. • The system may recognize they have a highly technical, operations focused workforce mak- ing it difficult to identify those with leader- ship skills. Potential Barriers Potential Facilitators Table 3.9: Implement Succession Planning (Continued)

Basic Steps for Transit Implementation of this Strategic Recommendation 1. As is reasonable and practical, identify a succession planning protocol that prepares qualified employees to assume management positions as they become vacant. 2. Align succession planning strategies with organizational goals and develop the skills of upwardly mobile candidates to enhance transit system goal achievement. 3. Build succession planning efforts with the objective of providing seamless management tran- sitions when one staff member replaces another. 4. Communicate essential elements of the succession planning process to all impacted employ- ees in order to create buy in. 5. Create a competency based succession plan that enhances the behavior competency and upward mobility possibilities of high potential employees. 6. Utilize a mentoring program where successful upper level managers assist lower level man- agers, supervisors, or other employees in developing the knowledge, abilities and skills that will prepare them for promotion and assuming higher level responsibilities. Training and Development Recommendations 63