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6. SUMMARY AND POTENTIAL FUTURE RESEARCH
A paradigm shift is in progress at state DOTs, as transportation agencies are changing their focus
from building and adding new roads to maintaining, operating, and managing the system more
efficiently and effectively. As DOTs are being called to broaden their focus from construction to
finding and creating capacity improvements through more diverse SOM activities, an
increasingly sophisticated understanding of the transportation system, traffic behavior, and
supporting technologies is more important than ever. DOTs' changing mission and broader
responsibilities require a workforce capable of addressing the newer areas of electrical
engineering, IT, and communication systems. For example, the demand for three key SOM
occupations has greatly increased over the last 5 years--Network systems and data
communications analysts, Dispatchers, and Signal and track switch repairers. As noted in TRB
Special Report 275 (2003), it is critical for transportation agencies to recruit and retain a
workforce with a wider range of technical disciplines such as System Operations and
Management.
Many participants in this research remarked on the value of a diverse background in the
transportation organization that would help the SOM staff person "see how all the pieces fit
together" and then operate better, through SOM. Others commented on the importance of
communication and collaboration skills for employees within SOM and indicated that finding
engineering applicants with these skills is a challenge; these skills are primarily developed
through experiences and cross-training in diverse fields. Other participants suggested that the
training offered to students is too broad and that entry-level applicants frequently lack key,
specialized SOM skills, including intelligent transportation systems (ITS), traffic engineering,
maintenance, emergency response and incident management, performance measurement, and
system planning (Spy Pond Partners et al., 2009). As learned from NCHRP Project 20-77, an
understanding of the interactions among transportation modes and between the transportation
system and other functions, such as emergency management, public safety, and the concerns of
the general public, is critical for a job within SOM. Extensive knowledge of statistics and
experience in data management and analysis lay the foundation for the skill set necessary for an
occupation in SOM. Skills needed to improve productivity and quality of operations, such as
quality assurance, forecasting, planning and scheduling, staffing, design and control of
operations systems, creating value for the customer, project management, and supply chain and
inventory management, continue to build the skill set needed of SOM staff.
Initiatives such as those at the Pennsylvania Department of Transportation (PennDOT) highlight
the increased reliance on technology to operate more effectively, as their ITS program adopted a
formal communications procedure. ITS technologies, which involve the convergence of
communication, computing sensing, and control technologies, focus on achieving operational
improvements through services such as freeway and incident management, traveler information,
and road weather information (TRB, 2003). The emergence of ITS technologies has influenced
not only what transportation agencies do but how they plan and conduct projects, as "the use of
ITS to operate and manage transportation systems creates a whole new operating environment
for transportation agencies and increases the demand for people who understand and operate
these technologies" (TRB, 2003, p. 39). The regional architecture system PennDOT developed
allows transportation system managers, operators, emergency services providers, local officials,
and information service providers to communicate more efficiently with one another and respond
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more quickly and appropriately to congestion or emergency situations (PennDOT, 2007).
Similarly, transportation agencies are increasing their reliance on the media and technology to
communicate incident information to the public. As SOM jobs move away from requiring more
traditional engineering expertise to depending more heavily on an array of technical and
interpersonal competencies, a deeper understanding of information technology systems, and
business communications expertise, it would be wise for DOTs to broaden their scope when
defining the SOM workforce pipeline. Specifically, DOTs could conduct a more thorough search
of diverse educational programs to fill SOM jobs. In fact, our findings indicate that educational
programs such as Computer Science, Computer Systems Analysis, Public Administration, and
Management Information Systems and Services produce highly skilled candidates but these
programs are widely untapped for SOM employment. In addition to reshaping how DOTs think
about recruitment for SOM, these operational shifts require new moving targets for DOT SOM
training.
DOTs are particularly in need of support and further research to compile and develop the
resources to support ongoing staff education; interviewees indicated that the curricula used at
many universities and colleges do not address or engage SOM skills at all. To better support
SOM capacity and staff development at DOTs and regional agencies, research is needed in a
number of areas:
Brand SOM through research in the cost effectiveness of investments in SOM
compared to traditional capacity construction. Garnering support for personnel
development within SOM is often linked to understanding the value of SOM for the
organization and maximal efficiency of the transportation network. Participants shared the
belief that the public is grossly unaware of SOM and its contributions, much less its
potential. DOTs are looking to others, such as universities and researchers, to generate this
information, even as DOTs realize they need to boost their own communication and outreach
at the state (legislature and governor) level. Public awareness is critical because the public is
the ultimate consumer of transportation and source for the future workforce. Thus, it is
critical that the worth of the investment in SOM and the branding of SOM be a central focus
for DOTs especially as the industry faces increasing changes.
Identify how DOTs can nurture and invest in operations and traffic management skills
in-house. DOTs expressed concerns about the contracting out of work and knowledge that
the DOT needs to manage the larger system. When contractor turnover occurs or services are
not available in their region, the DOT's responsibilities and the increasing demand for SOM
knowledge and maintenance remains. The majority of work contracted out occurs in the
more specialized positions, including ITS Maintenance, Control Room Managers and
Operators, Incident Response, Traffic Control, and Electronic Technicians, where NCHRP
20-86 research participants indicated their DOT often lacked employees with the necessary
technical skills.
DOTs need to extend themselves and creatively leverage the technological abilities of their
employees more than ever before. To do this work and maintain and expand this creativity,
DOTs will need to nurture and more heavily invest in operations and traffic management
skills in-house. Furthermore, successful maximum utilization of private sector resources
requires investment in knowledgeable staff to oversee, manage, and call for private sector
work. The unique demands of the jobs and the lack of available, tailored training led many
participants to believe that DOTs will begin cultivating and using more in-house capabilities.
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Participants forecast diminishing reliance on contractors in some cases and more reliance on
hiring and training new employees, both to improve internal capacity and to reduce the
vulnerability to transportation operations of not having the ability to perform certain key job
functions. It is critical that DOTs address these needs in order to create a talent pipeline full
of qualified applicants ready to move into SOM positions because SOM experts will be
increasingly in demand.
Interview participants in this study indicated that, as a result of new technologies, there is a
greater need for employees knowledgeable in ITS with skills in GIS, critical thinking,
document management, and systems management. In fact, participants anticipated the
greatest gaps among SOM skill sets to be computer-related. An increase in computer literacy
is imperative for SOM employees as the ability to use and manage the DOT's computerized
systems becomes more important. Innovation and creativity were additional skills that
participants suggested would be valuable to the workforce.
Increase innovation and align incentives to support advancement at DOTs. DOTs will
also need to partner with others, increase innovation, and align incentives to support
advancement and manage Intellectual Property (IP). As more complex operating systems
gain momentum in the transportation industry, more technologically savvy systems operators
and managers are needed. This is particularly evident within the SOM workforce where new
technology and the complex relationships for personnel working across different modes,
disciplines, and with differing stakeholder groups require a unique set of skills.
Caltrans-based research shows that seven major actions can help the process of innovation: (1)
establish clear direction and procedures for the innovation process, (2) improve communications,
(3) secure executive sponsorship and management support, (4) empower employees and find
champions for each innovation, (5) create incentives for innovators, (6) demonstrate the benefits
of innovation, and (7) manage risk and change. Finally, the research showed that "resistance to
change" and "lack of political will" are among the most serious barriers to innovation. Managing
risk and change is critical for the success of innovation; in the public sector, most failures are
highly publicized and criticized. Therefore, creating the ability to take calculated, reasonable
risks is required at public agencies. In another study conducted by Minnesota DOT, success
factors found to encourage a culture of innovation were maintaining customer orientation,
implementing internal communications, establishing criteria to evaluate innovations, identifying
champions of innovation, conducting regular self-evaluations and performance measurement,
and balancing risk and change (Minnesota DOT, 2010). This Mn/DOT study also identified a
subset of programs within state DOTs that supported innovation such as Arizona DOT's
Partnering Office and Louisiana DOTD's Quality and Continuous Improvement Program teams.
DOT SOM would benefit from further investigation into how innovation is being fostered and
supported in other transportation agencies, including research on lessons learned from existing
DOT Operations Innovation Programs.
It would also serve DOT SOM well to conduct research into specific tools and techniques used
by transportation agencies to facilitate innovation such as performance metrics, ROI instruments,
and workforce development programs.
Protect Intellectual Property (IP) relating to SOM. Information and knowledge are the
driving force behind today's economy and, increasingly, transportation systems as well, yet
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most DOT research programs are not evaluating the IP value or realizing the full potential of
their investments.
Both the private and public sectors are seeking more innovative solutions to transportation
and transportation-related issues. With creativity and innovation becoming more paramount
in the evolution, so too is the industry's responsibility for managing IP in creative ways, and
properly identifying, protecting, and commercializing it. This creates many new challenges to
entities and individuals who are not fully prepared or equipped to tackle such challenges.
Addressing these challenges would improve the industry's ability to become more nimble
and innovative and to modernize its commercialization strategies, methods, and techniques
by creating more efficient methods to identify, protect, productize, and commercialize
innovative products and services. One of the biggest challenges that DOTs must overcome
to improve the management of IP is creating organizational awareness of what IP is, what
qualifies for protection under IP law, and how to preserve investments in innovation at third-
party institutions.
DOTs and the research they fund generate a tremendous amount of IP through state and
federally-based research programs. Technological developments are particularly common in
the SOM and ITS fields. This, combined with recent trends--including retirements among
DOTs' most knowledgeable staff, increasingly finite economic resources, the push for
productivity advancements, and legal staff's limited familiarity with IP issues--suggests that
managing and protecting IP rights may be one of the foremost legal challenges of tomorrow
in the transportation industry, for which DOTs require research support. The IP
management mechanisms and practices set forth by industries successful in managing their
property rights could potentially inform, improve, and otherwise transform the IP
management practices, strategies, and techniques in transportation. To improve the link
between knowledge creation and knowledge application in the industry, state DOTs need to
be better equipped to clearly identify their assets and their value, and be able to protect and
transfer that innovation to the marketplace in a manner that one can measure the ROI by
economic terms or mission terms, such as safety. IP rights need to be addressed and
considered throughout the entire innovation process--from initiation and inception of
research to the marketplace.
Sustain/record institutional memory in SOM task areas. Ensuring that institutional
memory and expertise are not lost when staff retire is an important part of succession
planning. DOTs need assistance identifying practical, affordable, and effective management
practices used by other transportation systems that contribute to knowledge retention. This
includes identifying/developing mechanisms by which to engage staff in those workforce
development practices to retain valuable intellectual capital. Celebrating careers and sharing
key stories are just a few of the mechanisms to explore in greater detail. Systems for
organizing, sharing, and accessing retained knowledge also need investigation.
Develop training on public communication mechanisms and skills for transportation
system operations. Several interview participants also indicated their transportation
agencies were identifying ways to utilize new technologies in an effort to make information
more manageable and available. The distribution of these messages is through radio and
television outlets, dynamic message signs along the roadways, traveler information Internet
sites, pager and broadcast fax alerts, and traveler information telephone numbers (FHWA,
2010). Furthermore, the installation of cameras and other traffic monitoring equipment helps
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supplement information provided to travelers. The emergence of complex equipment using
new technology, specifically ITS and advanced electronics, requires a parallel investment in
training personnel to ensure they are safely and effectively operated and maintained. The
need for this type of training was commonly expressed throughout our interviews, as
participants described the criticality for employees to understand the technology they use to
perform their job. Without understanding the technology, employees are less able to interpret
the data or understand the design of system components or other potential inter-relationships.
Consequently, DOTs would benefit from research to develop a compendium of
communication mechanisms and skills for transportation system operations.
Develop electronic training courses particularly to help DOTs keep pace with
electronic-based technologies. Transportation personnel, specifically those employed in
SOM, have acknowledged that keeping pace with advanced electronic-based technologies
solely through traditional on-the-job training is not sufficient (McGlothin Davis and
Corporate Strategies, 2002). To address this need, many traditional classroom-based
activities have moved to web-based versions, which can make it easier for more personnel to
take the training courses. Further, the advent of sophisticated simulators allows for
presentation of realistic job previews and training through interactive online media for
complex positions, such as those in transportation SOM. With economic pressures, DOTs
are likely to need to increasingly rely on these methods, but DOTs need to know how to
expeditiously find what is available. Thus, DOTs could use supporting research to compile
this information.
Identify existing SOM training resources that DOTs have developed and further
develop resources for "virtual exposure" to working conditions in various SOM
positions as well as basic training for core SOM positions. Given today's budget
environment, research focused on cost-efficient and easily implementable steps that DOTs
can take to increase operational capacity and preparation for the future is probably highly
desirable. Research should involve collection of existing resources that DOTs have
developed, further interviews with DOT SOM managers and practice leaders in particular
position/skill areas, and if possible, collection of training resources developed by community
and four-year colleges. In particular, research is needed on how coordination, networking,
and joint research with other agencies, organizations, and even the private sector, can be
increased.
Identify the necessary components and resources that could be tapped to develop an
Operations and Management Training Academy. There are several SOM competencies
for which training tends to be completely lacking (e.g., comprehensive-level special event
management, overview-level electronic payment systems) and many other SOM
competencies for which there is very little or inadequate training (e.g., intermediate-level
arterial operations, all levels of automated safety enforcement). Therefore, there is a critical
need for SOM training, particularly given Baby Boomer retirements, increasing expectations
for transportation capacity enhancements via implementation of new and evolving SOM
technologies and practices, a potential workforce with insufficient skills, and the ever-
increasing demand for SOM services. The need for formal SOM training programs--
specifically in terms of communicating with the public, understanding the policy side, and
understanding and operating new technologies--was accentuated throughout our NCHRP
20-86 interviews, because leading practitioners and managers observed gaps among the
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desirable experiences and skill levels of SOM personnel and the existing knowledge and
skills of those employees entering the field.
Given the near pre-requisite of cross-training in multiple areas of the DOT before assuming a
leadership role in SOM and the value of transportation experience for all SOM staff,
participants almost unanimously agreed that more formal training is needed once an
employee enters an organization, regardless of the training students obtain in college.
Almost every interview participant representing a DOT on the West Coast indicated a need to
create an operations training academy, similar to the University of Maryland Operations
Academy, in their region of the country or, alternatively, a web-based SOM training academy
program. Additionally, participants discussed a shared need for DOT-level training, since it
is critical that SOM personnel understand the infrastructure, operations, and stakeholders at
the agency level. By and large, participants felt that such training could be developed or
would be in existence and already available, were funding sufficient. They did comment that
there has been an increase in the amount of webinars conducted for training and outreach
with their DOTs, especially welcome given the difficulty of funding out-of-state travel for
staff development.
Develop a compendium of resources and exchange mechanisms to share further
mentoring resources among state DOTs. Mentoring programs are a valuable way to
support and educate new employees on the expectations and requirements of SOM jobs.
DOTs could benefit from research that explores the types of mentoring programs maintained
across transportation agencies. For example, California, Idaho, and New Jersey all have
strong mentoring programs. Information that could be collected and shared includes reviews
of program expectations and activities for mentees, resources identifying situations where
seeking assistance from a mentor would be appropriate, resources identifying situations
where seeking assistance from a mentor would not be appropriate, tools for building a
relationship with a mentor, and other general advice for mentees. Also needed are mentor
training and organization resources, including how to set up training and skill development,
basic mentoring skills, effective interpersonal and communication skills related to coaching
and providing feedback, the mentor's role in helping the mentee set and achieve
developmental goals, and how to be an effective mentor.
Create knowledge management research and resources for DOTs. In addition to the type
of knowledge transfer that comes from mentoring, agencies should create people-focused
knowledge management systems that promote knowledge sharing among employees. One
possible technique to capture this critical knowledge involves interviewing senior leaders
about their position and work functions. This includes collecting information on the
cognitive processes that may go into making decisions as well as the rationale behind specific
procedures and task performance. These interviews will help ensure that institutional
memory and expertise are not lost when senior staff retire. It would also gather and develop
case studies to portray best practices/key projects. Communities of practice could also be
developed and participation encouraged, as another aspect of the knowledge management
system, to foster methods for building knowledge networks to capture tacit knowledge and
develop better documentation processes.
Make Realistic Job Previews a practical option for DOTs. Realistic Job Previews (RJPs)
are an effective tool for ensuring that agencies are cost effective in their hiring. In a
challenging economy, DOTs can greatly benefit from low-cost tools that help filter through
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those applicants, find the best fit, and save time for the agency. RJPs help filter employees
who would not be a good "fit" for the job requirements and organizational culture by
presenting candidates with an accurate picture of the perks and challenges of the job. More
information is needed to make RJPs practical for DOTs. Research is needed on costs and
obtaining the funding to develop and implement a virtual pre-employment RJP and
assessment. Research is also needed on the time and labor commitment from HR and subject
matter experts (SMEs), as well as incumbents, to develop a tool that is realistic, fair, and
predictive of actual performance on the job. DOTs could use an array of sample prices and
services to evaluate the practicality of this approach and pre-development of requirements
DOTs would need to have outlined in order to contract for such tools. Research could help
with identifying and interviewing SMEs, assembling job analyses and performance
modeling, reviewing job descriptions, and conducting site visits and focus groups. All of this
can provide information about the job to be presented in the RJP and help determine the
format of the desired output.
Conduct research on DOTs' use of social media. Some DOTs are starting to use social
media but most may not know where to begin in implementing this tool into their recruitment
activities and daily workforce management approach. Thus, it would be helpful for these
DOTs to have an overview of what other DOTs are doing with regards to social media and
case studies that address how and why they are doing it, lessons learned, and explicit
instructions. One possible case example is the Washington State Department of
Transportation (WSDOT), which decided to enhance their recruitment efforts through the use
of a variety of social media applications, including Twitter, Facebook, MySpace, and
YouTube. Their HR department decided to interview several employees, asking them about
their experience working for the DOT, their favorite parts of their job, and some of the
challenges they deal with on a day-to-day basis. These employee interviews were recorded
on video and uploaded to YouTube when a similar position to the one described became
open. Their use of Web 2.0 and other media outlets allowed them to reach different
audiences, at a minimal cost. Furthermore, it significantly improved their recruitment rates.
Agencies may, for example, videotape employees performing their job or interview them
about their job, and post them on Facebook.
The visual-interactive aspect and opportunity to present the agency and the job all have the
potential to boost recruiting. An additional segment could be recorded that emphasizes "fit"
and encourages more self-filtering and thus time-savings for the DOT, and could be used
during times when applicants are plentiful.
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