A Guide to Building and Retaining Workforce Capacity for the Railroad Industry (2015)

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89 C H A P T E R 4 This chapter focuses on the research team’s efforts to develop competency models for key railroad industry employee groups. Competency models will allow the industry to benchmark existing knowledge, skills, and attitudinal attributes for industry employee groups and to fore- cast the long-term workforce capacity needs as a function of anticipated changes to the industry that may affect these employees. Through competency models, the rail industry can execute a number of critical talent management initiatives. Competency models provide an objective and rigorous assessment of the knowledge, skills, and mindsets that are crucial to employee suc- cess in industry job roles. These competencies can describe current as well as future state per- formance attributes. Competency models enable the development of employee performance measurement tools and systems, which provide the foundation for highly effective employee development programs. In a similar fashion, competency models can (and do) guide university and technical college curricula. The competency models approach differs from other approaches to job task assessment in that it focuses on performance, rather than credentials, and defines exemplary, rather than mini- mal, performance. In addition, competency models can be used to evaluate the capabilities of individuals as well as organizations. Competency models are a powerful tool that can be applied across the spectrum of HR activities. Because competency models provide consistent and rela- tively unbiased criteria for exemplary performance in a role or function, they have utility in recruitment and retention, performance management, professional development, succession planning, compensation and benefits, and resource planning and staffing. There are a variety of approaches an organization can take in employing competency models. Organizational competency models examine the attributes and core capabilities across the enter- prise and are used to guide strategic decisions and direction. Functional competency models are generally applied vertically within an organization to a broad class of employees with similar functions (e.g., engineering). Role-based competency models are applied horizontally within an organization to a broad class of employees with similar roles (e.g., managers). And finally, job-specific competency models define the attributes of workers within a specific job role (e.g., software design engineer). The basic steps in the development of a competency model include the following: 1. Literature review. This first step is to identify the general scope, nature, and responsibilities of a job class or role. This may include, but is not limited to, academic and regulatory require- ments, history and educational trends, and workforce demographics. 2. Review of organizational artifacts. The second step is to identify the scope, nature, and responsibilities of a job class or role within a specific organization. This may include, but is not limited to, organizational charts, job descriptions, performance assessment tools, policies and procedures, and related materials. Workforce Competency Models

90 A Guide to Building and Retaining Workforce Capacity for the Railroad Industry 3. Structured interviews with key stakeholders. The next step is to identify the true roles and responsibilities of individual contributors within a role or function. Another goal of this phase is to identify and differentiate exemplary performance. 4. Development of the model. In this phase the hierarchal structure of the competency model is developed. Core competencies are defined by knowledge, skill, and mindset attributes, which are then associated with observable behaviors. The development also includes the develop- ment of a measurement instrument. 5. Validation of the model. Once the model has been developed, it needs to be validated. In this phase, the model and measurement system are applied to exemplary and common per- formers. The goal is to ascertain if the model, and related measurement tools, is effective in differentiating exemplary performance attributes. 6. Implementation of the model. Following validation, the model is implemented and continu- ously improved to support organizational talent management goals and objectives. Rail Business Leaders and Executives The research team generated a collection of 11 core competencies—a competency model— for highly successful executive leadership in the railroad industry. The research is based upon interviews with industry exemplars who will remain anonymous. The following section, couched substantially in the words of the interviewees, lays out the competency model. This work is relevant to a larger understanding of the particular challenges that the United States railroad industry faces in developing its executive leadership cohort in the years to come. The Competency Model Table 9 provides a brief overview of the 11 core competencies that emerged from interviews with the 10 railroad executives who participated in the study. Core competencies are presented in order of relative significance (measured both quantitatively and qualitatively) as revealed in the interviews. Please note that, not surprisingly, the integration of safety systems and processes with oper- ations was ubiquitous throughout all interviews, and all competencies, confirming dramatic improvements in railroad safety as experienced by this generation of standout executives. The following subsections discuss each of the core competencies, illuminating their important features, noting relationships among competencies, and illustrating the analyses with quotations from participants’ interviews. This has been done in order to put the voices of the interviewees’ front and center, and to limit the research team’s commentary to what is necessary to guide readers through that chorus of voices. In the interest of assessing the consistency and alignment with which the railroad industry as a whole frames, nurtures, and rewards railroad professionals’ knowledge, skills, and abilities from early development through promotion up the chain of command into, for some, executive leadership, see the subsection “Competencies Overlap: Executive Leaders, Operations Managers, and System Engineers” for points of overlap between executive leader competencies and those of system engineers and operations managers. Communication “We seem to be buried in communications these days, internal and external.” (Bennett) As the list of “key related terms” in Table 9 suggests, this competency is vast and complex. It was clearly near the top of the list of abilities the interviewees viewed as most important in executive leadership. “Communication” includes skills widely recognized as the sending and Connect with the human beings around you.

Workforce Competency Models 91 receiving of information and messages—speaking, listening, reading, and writing—as well as abilities that in classical times traveled under the banner of “rhetoric”: to express ideas, create understanding, influence people’s thoughts and actions, persuade people, build relationships, and reach diverse audiences. For Graff, proficiency in what he calls “translations” is a key to leadership success. Translation. That’s almost like an instinct. Sometimes I have to take the message from the techies, massage it, and pass it on to the non-techies. And it’s a key skill for people who are wildly successful. They can talk to the people in the trenches, and they can talk to the press. (Graff) Sutter is working on his own translation skills even today, as he makes an essential transition from senior field-level leadership to the corporate office. And, the one thing that [my boss] . . . has said is, ‘Here is your item you have to fix now. . . . You need to slow down and really think about what is on the page before you hit Send.’ I am a person who frequently formulates ideas on the fly. I write that same way. A lot of my writing comes across that way, too. For those who have never worked with me, it gets a little strange. Too many quotations, too much off-beat terminology to make sure I’m making the point. Now I have to learn how to be much more of a building-speak person. But I also never want to lose my ability to speak to the field. When the field reads my writing, they know exactly what I’m saying. But here at Headquarters, it can really strike them as odd. (Sutter) Oliver agrees with Graff and Sutter on the strategic importance of the ability to tailor an executive’s message to a variety of audiences. As you gain responsibility, your job increasingly requires you to write for and present to more and more people at senior levels corporately, customers, employees, regulators, politicians. You have to know your audience and be able to speak with them to get your message across. (Oliver) Core Competency Key Related Terms Communication Staying informed, reading, writing, listening, speaking, ability to reach diverse audiences, influence and persuade others, create understanding Integrity Honesty, trustworthiness, conscience, compliance, credibility, fairness, ethics, morality, humility, ego in check Mentoring received and delivered Developing others’ potential, nurturing, delegation, coaching, evaluation, providing feedback, networking Diversity Valuing multiple perspectives/teamwork, ethnicity, gender, background “TLK” Thinking Systems thinking, critical questioning, analysis, thinking ahead, innovation, improvement, taking initiative and risk, solving problems Learning Curiosity, intelligence, seeking knowledge Knowledge Industry knowledge, technical expertise, professional experience, “basic railroad fundamentals” Shared decision making Creating change, shared decision making Performance Measuring results, reliability, responsibility, delivery, accountability, sustainability Political awareness Organizational politics, industry-wide politics, public relations/image Financial discipline Economics, money, bottom line Understanding and advocating for the new railroader Efforts toward employee retention, concern for employees’ families and family life, promoting work–life balance, quality of life, professional development Technologies Information and computer technology; the electronics in rail equipment; social media; the social phenomenon that is changing how younger generations think, learn, and work Table 9. Rail business leaders and executives core competencies.

92 A Guide to Building and Retaining Workforce Capacity for the Railroad Industry And for Remington, a leader’s skill in “communications” connects directly to her/his ability to form strong relationships. Communication and relationships. The ability to make connections with other human beings around you. To be able to address the right audience, convey an idea effectively, and understand what another person is saying is just extremely important. When you can prove you have that skill, it puts you in another, more advanced category. (Remington) Integrity “Integrity and trustworthiness. These attributes underlie everything an effective executive thinks about doing.” (Bennett) The rich array of terms related to this core competency are generally viewed as elements of a person’s character. Listening to the interviewees, however, the team began to see Integrity in a new light, as a feature of relationships and reputation that leaders can and must develop through their day-to-day actions and communications. Credibility. Which means things like being honest, reliable, treating people the same. Following through on your commitments. (Adams) Fairness in business conduct. Can I look at myself in the mirror and honestly say I have conducted myself in a fair, reasonable, non-hostile way that engenders respect? (Bennett) It was a thing of conscience and common sense, in my mind. Having walked on that surface and gotten my feet tangled up in that wire, it simply would not have been right to ask my people to work in those conditions. (Jeffreys) Because this analysis focuses on competencies specifically for the most powerful people in the railroad industry, the researchers wish to highlight and conclude this subsection with a state- ment from Oliver regarding the relationship between power and integrity. Oliver’s assessment is that the more powerful an executive is, the greater her or his responsibility to obey the rules and to set a positive example for everyone in the organization. Integrity. I’ve seen both sides of this business. Some people think you get to a certain level and you’re above the law. I believe it’s the opposite. As a leader, you can’t expect people in your orga- nization to comply if you’re not doing so yourself. Comes right down to something as basic as PPE. (Oliver) Mentoring Received and Delivered Mentoring is typically thought of in positive terms, and indeed it is a powerful positive force in any organization. However, one of the interviewees reported some serious gaps and problems with the mentoring she received—and did not receive—as she was climbing the ladder in her organization. [The area I supervised] got the best responses on the assessment—this was true across the whole orga- nization. Always came out with the best results. [Yet those] fantastic reviews in relation to other opera- tional functions didn’t even get reflected on me . . . Did not come through in individual evaluations of my performance. (Adams) Though Adams does not say so explicitly, in the context of her full story, there is reason to wonder whether the fact that she was a female executive might have blocked her from receiving the positive feedback, mentoring, and evaluation her performance seemed to merit. Yet Adams also reported some stellar instances of mentoring from which she benefited. In that role I was writing letters on his behalf. [He would ask me:] “Have you considered this? Have you talked to that person?” Pushing me to make sure I’d talked to all the people, had all perspectives the issue required. Connecting me. Who’s who, their input, how do I synthesize? (Adams) Can I look myself in the mirror? Pushing my people to be the best they can be.

Workforce Competency Models 93 Adopting a popular image to describe a certain form of leadership, Bennett compares himself to the coach of a football team. I’m more a coach than a general. I don’t give orders, as if to military recruits, and expect them to be followed out of a sense of duty. Think of a college football team with 90 players on the roster. The coach is the leader, disciplinarian, ultimate play caller, and hopefully has a system in place to motivate the squad to be competitively successful. He is re-hired or fired at the end of the season depending on owner and fan reaction. (Bennett) Graff, too, adopts the coach description, though it sounds as if his players have a slightly tougher time than Bennett’s. Of course Graff sees his toughness as essential to the growth and success of his supervisees. I’m supportive of my people. I beat them up, like a good coach would do. And I make them keep going. I try to do it in a supportive way. But I do push them, otherwise people won’t reach their potential. Developing people is my job. We need it; I need it; they need to build their potential so they can do their very best work. (Graff) Yet even the “beat them up” coach recognizes the importance of support and nurturing. Underneath his hard-driving exterior, this coach is apparently deeply caring and concerned. Particularly in this day and age, the whole sink or swim thing has got to go. In the past, there were other people around, so there was help. But today we ask so much of people, that you gotta keep an eye on them. If you’re going to give them something they could get into trouble on, then you have to help them. (Graff) Hayden evokes the same “sink or swim” approach that Graff dismisses, but with a twist that makes his mentoring model line up pretty well with Graff’s and even Bennett’s: Throw people in and help them succeed is what you have to do. That’s what people did with me. They threw me in the pool. (Hayden) Asked about his past mentors, Jeffreys tells a brief story that illustrates how he learned to think and care about his people first (“I love people,” he comments elsewhere): [Jim] was larger than life to me. His response to Hurricane Hugo in 1989 is the stuff of railroad leg- end. After Hugo had come ashore, done terrible damage, Jim was surrounded by people who were trying to get the railroad back up and running. He said, “I don’t want to hear about another damn train until I know how you are taking care of my people!” (Jeffreys) Describing one of his early supervisors, Sutter provides further illumination of what makes mentoring successful. He would let me blow things up. He’d know it was going to blow up. [He’d say] “If you’re not going to move it over a little in this direction, then I have $20 that says it’s going to blow up.” I lost a lot of $20 bets. He was a great coach, never let me take it too far, to a place that could not be saved. (Sutter) Reflecting on approaches to leadership in a way that fits with the comments of the other inter- viewees, Travers makes an important distinction. She notes the difference between a demanding environment—which is necessary to profitability—and a demanding style of leadership. There will have to be a change in management style. The heavy-handed approach won’t work. It has to be collegial and coaching, not demanding. A demanding environment, yes, to make money. But not demanding in terms of leadership style. (Travers) Diversity There is a growing hunger for cross-pollination, working from multiple perspectives. (Sutter) Take advantage of diversity. Listen to the left fielder. (Remington) Talk to the left fielder.

94 A Guide to Building and Retaining Workforce Capacity for the Railroad Industry Not only was valuing diversity a significant and substantial theme in the participants’ reflec- tions on executive leadership, but it was also noted as a multi-faceted, multi-dimensional value—and practice—for railroad executives. To prevent “insight monopolies,” leaders want viewpoints shared across levels within an organization: Too many companies have a hard time transmitting valuable information and viewpoints from top to bottom of their organizations—and from bottom to top. Perspectives may differ, but no one has a monopoly on useful insight. When we hire a body, a brain usually comes with it. (Bennett) As a way of reducing “silo-ing,” the participants also prize a “healthy” range of professional experiences across different areas within an organization: I think in a lot of ways you become a better railroader when you work for a small railroad. You have to wear many hats, which is healthy. (Graff) In addition to these more general kinds of diversity, interviewees spoke of the importance of valuing and growing two specific kinds of diversity, those of gender and ethnicity. Females are horribly missing in the operating department. We have huge gaps there. Only one AVP in the northern region is female. I think we’re doing okay with Latinos in the field. Not with Asian or Indian employees. The boss I had in Northern California is our lone African American executive. (Sutter) Jeffreys expressed his concern about how much talent the railroad industry is missing out on because the leadership network tends (as Adams experienced and expressed) to exclude women and ethnic minorities. Still largely a Good Old Boys’ network. Obviously predominantly white male. “Bubba-ville.” And it is absolutely clear to me that a lot of minority and female talent is being missed by this industry. Good gracious, it’s a huge miss. (Adams) Adams acknowledged the broader cultural rhythms that create long-time networks, which can preclude participation for some. Her other jobs as life partner of an executive-level husband and mother of teenage daughters limited her opportunities for conventional networking. I didn’t have time to be part of the Old Boys’ network. Did not have time to go out for drinks, get out on the golf course. And relationships are developed during those times. (Adams) Other valued kinds of diversity include academic and professional. Adams observed that her college degree in psychology helped her understand and navigate co-workers’ personalities and organizational politics. Bennett came to the railroad industry with a background in busi- ness and finance, which he found helped him understand and predict fiscal dynamics in the organizations he led. TLK—Thinking, Learning, and Knowledge Questioning: We learn more by not accepting things at face value. (Bennett) This is the only main competency in the analysis broken into (three) distinct parts. The research team hopes it is obvious why the terms and concepts collected under Thinking, Learn- ing, and Knowledge were grouped together. The distinctions among these related ways in which railroad executives use their minds were maintained. Thinking. Several interviewees pointed to analysis as a kind of thinking that is crucial to the success of industry leaders. Their comments also helpfully illustrate and develop an understand- ing of what analysis means in action. Adams provides a good starting point with her definition of analysis. Looking at the data. Understanding how it affects [the organization]. (Adams) Have a continuous hunger to learn.

Workforce Competency Models 95 Graff elaborates with insight into how skillful analysis helps executives keep their heads above water. . . . executives need to be able to put it all together and know which things to react to. Otherwise you get overwhelmed and go crazy. (Graff) But analysis alone doesn’t yield results. Sutter explains how a keen analytical mind needs to mesh with organizational politics to innovate. Working from solid data. Get your arms around the issue. Then test it. Find somebody who is willing to try it out. Get buy-in, have them help you check your assumptions and strategy, and then if it pans out, go system-wide with it. (Sutter) Bennett notes how his background in financial analysis helped him when he joined the leader- ship of a major railroad: I started out as a transportation analyst for a Wall Street research firm before moving into the rail industry. . . . (Bennett) The participants also valued other kinds of thinking: envisioning the future, questioning, and weaving one’s insights into those of colleagues. I had to stay many steps ahead of others. . . . Always trying to think a couple of years down the road. (Adams) In my 37 years, a lot of smart people have passed through here. The ones who really stand out are the ones who are not afraid to ask questions. Not afraid to admit what they don’t know. (Remington) The worst thing you can bring to a problem you’re trying to solve is your solution. Best is to suppress it, let the people you’re working with get their ideas out, and then begin blending. And most of the time, if you’ve got the right team in the room—and we’ve got some very, very smart people working here— somebody is going to come up with something close to what you were thinking. Gives you an opening to offer some of what you’ve got, if you still want to have some influence on the discussion. (Sutter) While analytical thinking allows leaders to take data apart and see patterns, democratizing ideas, posing questions, and seeing to the future introduce more creative and courageous modes of thinking into a deeper understanding of executive leadership competencies. Several interviewees emphasized the value and importance of innovation. Bennett, however, noted (without explaining why) that the railroad industry is not an easy place to “build a better mousetrap”: In any case, it’s hard to be innovative in this industry, either with the major carriers or in terms of regulatory constraints. . . . I love the opportunity to design a better mousetrap: a better way to deliver services to a customer, to finance getting something done, to work through an issue with a hostile cus- tomer. Solving a problem is extremely interesting and satisfying to me. (Bennett) Sutter offers a similar concern, linking the difficulties in “taking initiative and risk” to the heavy responsibilities that come with executive leadership. A core competency out in the field was without question taking initiative and risk . . . thinking outside of the box. But at headquarters, it all has to go in slow motion. (Sutter) Learning. Learning is the second sub-theme in this subsection. In contrast with knowledge and analysis, learning is the active and continuous process of seeking new knowledge and mak- ing it part of one’s understanding of the world. Remington notes how the culture of his railroad foregrounds and promotes learning in the workplace. I have a continuous hunger to learn. . . . This learning is always going on in the railroad business: for example, quizzing each other during industry meetings happens all the time. So for younger people to get exposed to this is really important. (Remington)

96 A Guide to Building and Retaining Workforce Capacity for the Railroad Industry Graff explains how he seeks to develop his own expertise at the same time he relies on the knowledge of his team. The ability to develop expertise. So, in my current job, I am learning the technology I’m respon- sible for. So now I lead and deliver using the people on my team who have expertise that I don’t have, personally. (Graff) Hayden adds a valuable dimension to this discussion of the importance of learning as a com- petency for executive railroad leaders: he finds that one of his most important skills is facilitation, the art and science of promoting and supporting learning in others. I’ve benefited from facilitator training. It’s probably the single most beneficial training I’ve had in dealing with various types of people, any group from high-school-educated folks on the shop floor who may not be well-spoken but certainly know their business and what they do up to the folks who have Ph.Ds. in stress analysis and very specific and technical things—smart and well educated but have their needs and fears and frustrations, as well. (Hayden) Finally, echoing organization guru Peter Senge, Graff points out that learning is crucial not just for individuals but also for organizations. Railroads, he says, are built to be learning organi- zations; their day-to-day functioning requires organizational learning. You want to work for a learning organization. There’s nothing stodgy about railroads. They are quick-moving, very smart organizations. (Graff) Knowledge. Here is where the obvious is stated: Railroad executives need extensive knowl- edge of their industries, organizations, and people. This knowledge is key, in many ways the basis of their success as leaders and the starting point for all other kinds of thinking and learning. Peterson observes how his “broad base of knowledge” was the key to earning him the respect and credibility he needed when he stepped into a leadership role. The broad base of knowledge that I had was key to my work as an executive. The subject matter exper- tise I developed about the complexity of the rail industry . . . over the course of my career . . . [provided me with] a real strong, on-the-ground knowledge of railroading. What that did for me was give me cred- ibility when I got my first promotion into leadership. I could walk the walk and talk the talk with the operational level as well as the office. I was able to maintain my professionalism and credibility because I knew what I was talking about. (Peterson) Oliver echoes Peterson’s remarks on knowledge, emphasizing how the growth of the industry puts increasing pressure and weight on leaders’ breadth and depth of knowledge. I have always worked in the rail environment. So I know operations from the ground up, which is a great advantage, both in terms of technical ability and ability to relate. I started as an agreement employee and then had increasing levels of management responsibility over 26 years. Our business is very difficult to understand if you’ve never been in it. Continuous movement, you know, and service provided 24/7/365. People get on a train, and they think they know how it runs, and they have no idea about the complexity of the environment. (Oliver) Making a point that is crucial to the effectiveness of future industry leaders, Oliver goes on to note that many in the upcoming generations of railroad leaders will not have had the opportuni- ties to learn railroading “from the ground up.” He wonders how they will carry with them the deep understanding of the experiences of line workers if they lack those personal experiences. So, future executives will need to develop a deep knowledge of the railroad workforce in some other way. Of conductors, laborers in the shop, driving spikes in the field. The people who really run the rail- road. Front line or supervision. How will we instill that in folks who haven’t been out there working in the rain, snow, 24/7? It is very different working in those conditions in your office than it is if you’re the one out there clearing switches. (Oliver) Peterson briefly re-states exactly the same concern. It’s going to be very interesting, because they will have to have some strong real-life experiences in the field in order to make solid decisions going forward. (Peterson)

Workforce Competency Models 97 Shared Decision Making This theme already appeared as a part of the discussion on diversity. Shared decision making earned status as an executive leadership competency in its own right due to the frequency with which the interviewees discussed it as a democratizing organizational strategy. Encouraging and gathering input from multiple perspectives across the organization was one of the competencies the participants valued the most. One take on the challenges and promises of participative decision making comes from Graff. He observes that managers have to overcome their reluctance to rely on their people, to “load them up.” Only that way, he notes, can the organization learn workers’ potentials. These kids today are smart. They want to be challenged, and too often we coddle them. How do you know how much they can handle until you load them up? My people will be working their butts off, not delegating very well. And they say, “I’m not sure they can do it.” And I say, “How will you know until you ask them?” (Graff) Peterson provides a historical perspective on the flattening of organizational pyramids in the industry. There’s been so much transition in the railroad industry. In the early days when the executive walked down the hall, you wouldn’t even look at them. They wouldn’t acknowledge you. That’s the way it was back then, and that pyramid has leveled out significantly. Much different today. The people we’re bringing into our organizations are smart, confident, and they know where they want to go. (Peterson) Another executive describes a similar strategy in the briefest of terms: I take my cues from what [employees across the organization] are seeing, and the rest takes care of itself. (Jeffreys) In harmony with Jeffreys, Hayden observes that the top value and strategy in his approach to leadership comes down to trust. Trust of the folks that work for me is the most important thing for me. (Hayden) Sutter vividly describes the melding of diverse perspectives to yield results to which virtually everyone in the organization is committed. Here I spend the majority of my time drawing other people’s ideas up and out of them (usually in that process somebody is going to come up with something that is close to yours), and blending them and slamming them into one another to come up with an outcome that is not too debatable. Sometimes that takes days, multiple meetings. (Sutter) With a different perspective but also (like Peterson) with a historical view in terms of leader- ship style, Bennett delegates decision making but with a view to the future. Participation in “global” decisions fosters individual advancement and buy-in. . . . The dictatorial military style doesn’t work today. My approach is “softer” than many. It’s designed to push decision making down in the organization rather than issuing edicts from the top . . . I want to be able to retire knowing that my successors understand how key decisions are made, and why. In the last few years this has worked out very well, and our people are reaching the right conclusions on their own a very high percentage of the time. (Bennett) Bennett observes at several points that the financial structure of his employee-owned railroad not only helped promote shared decision making but also made it unavoidable and standard operating procedure. [Under] the aforementioned employee ownership plan, we want every employee to think like an owner and strive to be the best at his or her responsibility. Our teammates have a meaningful stake in the outcome of what they can accomplish together. That pyramid has leveled out.

98 A Guide to Building and Retaining Workforce Capacity for the Railroad Industry [My organization] was the first and is the only short-line railroad with a formal employee stock owner ship program. . . . More than half of our present roster of employees have become stockholders without a required personal investment other than time, attitude, initiative, and commitment to team play. Fifteen are fully vested in the plan and should have six-figure interests to be paid out when they leave, retire, or die. This income supplements railroad retirement, of course, but it’s much more than that. The employee stock ownership program is a mechanism that focuses everybody’s eye on the ball to create value for our customers and each other. Two other short lines which followed [our organization] with that model have been bought out, and their employees did very well in those transactions. (Bennett) Performance In a variety of ways, the interviewees all expressed a deeply felt understanding that their roles as industry leaders depend on delivering results in noticeable and measurable ways. They were also very clear that their jobs depend on expecting a high level of performance from everyone else in the organization and finding a way to get them to meet those expectations. In this memorable story, Jeffreys explains how these two kinds of performance—of the leader and of the rest of the people in the organization—are closely related, each depending on the other. My whole managerial approach changed at that time. I had been Assistant Train Master, Train Mas- ter, Terminal Manager in charge of a facility. But when I got to [a new city], I went out into the yard, and I asked a guy to talk to me, help me get oriented. He said, “You guys aren’t serious about safety. Where I’m sitting now, my normal spot is soaked because the roof has been leaking for 2 years, people been going to fix it for 2 years. So, I’m not much interested in talking to you.” So. I went to the Engineering office and asked that the hole in the roof be fixed that day. And it was. So the next day I went back and said, “Okay, so I got your roof fixed, now I want to talk to you about safety.” The guy said, “Sit down, I’ll talk to you. Finally somebody who listens, who really cares.” (Jeffreys) Taking the specific point of view of safety, Jeffreys also notes the mutuality of responsibility. It is my job, my responsibility to get you home to your family every night for the long haul. And you have a responsibility as well: to take advantage of all the tools we provide you to get yourself home safe as well. And to tell me how you are going to do so. (Jeffreys) In other cases, expectations for leaders to deliver results is perceived more bluntly. They pay me a lot of money, and so they expect me to perform in a big way. I have got to deliver if I want to continue to work here, and I want to continue to work here. (Graff) Sutter notes the realities of relentlessly high performance expectations even for those already at the executive level. You might feel like you are being groomed, but if you don’t deliver, the niceties are over. I have always felt I have to earn the right to go to the next place. I have never done what I was doing because I hoped it would polish my resume for promotion. (Sutter) Political Awareness Political awareness, or “the political read,” involves nurturing productive relationships of three kinds: within one’s organization, among one’s own and other organizations, and with members of the public and/or public representatives (for example, regulators). In a lively illustration of careful and caring cultivation of good relationships with the public, Bennett told a story about a woman whose view from her front porch was blocked by some of his organization’s railroad cars. We received a message from an elderly woman who lived in a retirement community not far from [our organization’s] spur track. She spent most of her time at home, out on her porch on pleasant after- noons. Her message asked why the railroad had left railcars parked for weeks, blocking the scenery for her and her neighbors. I was pleased that she called, because it was just something that our trainmen simply hadn’t considered. So I looked into it and promptly saw to it that the cars were moved and her view was opened up, for which she was embarrassingly grateful. The public too often sees the railroad Getting results and knowing the why. Do the right thing.

Workforce Competency Models 99 as an annoyance rather than a good corporate citizen and community asset, and we can easily become overly absorbed in our own affairs. (Bennett) Note that for Bennett, this is a story about doing the right thing for a neighbor, but it also tells the tale of changing—one mind at a time—the general public’s impression and image of the railroad industry. Remington makes a similar observation about the spareness of railroading’s public image: Something that’s neat about railroads is that most people don’t know that much about how railroads work. We stay in the background except when bad things happen. (Remington) In describing her mentoring of her people around relationships with the public, Adams points out that the issue is both moral and political. My overriding expectation is that you will do the right thing. Whatever you do needs to withstand scrutiny from Public Television, CNN, emails, everything. I pushed them to be front and center. I played a background role; my team was visibly doing everything out front. “Watch what you say, watch how you say it,” I told them. “How would it look if it were on CNN?” (Adams) Relationships with fellow railroading organizations also require care, strong ethics, and pro- active solving of problems to facilitate communication and cooperation among railroad leaders. In the job I have now [where I am responsible for the rail networks that cross virtually the entire US], relationships with all the other railroads have to be in good standing, resolved across companies so that [my boss] can have open conversations with his counterparts in those organizations rather than having to work through the issues that are my responsibility to handle. (Sutter) Putting it more bluntly, Sutter asks himself: Have I successfully worked the boss’s issues? Politics internal to one’s organization deserve equally careful attention. Oliver explains how he needed to teach his people to focus on those elements over which they had control in order to improve on-time performance. Focus on that we’re moving PEOPLE, not just trains. Consider the customer, whatever we’re doing. . . . Up to then we had had long-time goals of 95% on-time performance. We never, ever met that goal in a long-term way. Maybe a month here and there, but we couldn’t ever sustain it. We knew this was mainly because of [an affiliated organization]. So I did not want to set a goal we could not meet. I asked my team to analyze what they control. Worry about yourself, don’t focus on the things you can’t control. Don’t worry about what everybody else is doing. From the exercise, we learned about many more things we could do, many more things that were actually under our control. Two years ago we went with 95.7%. Exceeded 95%. And we continue to do it today. (Oliver) Graff, by contrast, tells a story about political awareness and development that is more personal. I blew it in [my previous position]. There I had the attitude of “lead, follow, or get the F out of my way.” I didn’t sugarcoat it. And that alienated a lot of people. I created some bad blood, unnecessarily, really. So when I left there I made a pact with myself that I would have no negative relationships here. Zero. None. If there is anything bad in a relationship, then it’s all mine to fix. And I hold myself to that commitment here every single day. (Graff) Graff took the opportunity provided by a change of positions and organizations to make a new commitment to positive relationships within his organization. This is a superb example of the sort of developing political awareness to which the participants repeatedly commit themselves. Financial Discipline In answering the questions asked, nearly all of the interviewees grappled directly with ques- tions of money. Finances literally function as the bottom line in every business, and it’s obvious that the participants take financial issues very seriously. It was also noted, however, that financial dynamics and challenges typically were understood as opening up opportunities of other kinds or providing insights into areas beyond the financial. You have to recognize that the financial side is there.

100 A Guide to Building and Retaining Workforce Capacity for the Railroad Industry Graff, for example, noticed how a shift in the scope of one’s organization’s finances makes possi- ble not only enhanced financial aptitude but also a more finely attuned relationship with customers. If a person goes from a company that deals in billions of dollars to one that deals with millions, you become much better at managing money. And you get much more in tune with your customers, who are the source of that money. (Graff) Jeffreys is openly cautious about publicly linking safety concerns with financial concerns. But it’s clear that he thinks about that relationship all the time. Discussions about the financial benefits of safety have to be kept within the inner circles of leader- ship. . . . I don’t talk about it in public. In so many ways, take grade crossing incidents, for example, the fatalities can be multiples, and then you have to contract with outside law firms to represent you. Legal counsel charges $300 to $600 an hour to represent you, which obviously can really become expensive. And that’s on top of medical expenses, down time, employee replacement costs, claims, a lot more. So preventing those events is an extremely important thing to do from the financial side also. And I know that. But that’s not the side of it I am focused on. If we take care of our people, and our people take care of themselves—and each other—the rest will follow. (Jeffreys) For Jeffreys, financial awareness and responsibility are a means to a higher end: responsible and safe conduct by everyone in the organization. Graff noted how shifts in the financial landscape of families whose members work in his orga- nization are presenting new challenges for focusing and motivating employees. Today, unlike the old days, you’ve mostly got dual-income families who are trying to raise kids and who face all kinds of complications that are real. It’s hard to come up with financial incentives that can compete with people’s commitments to their families, their personal lives. (Graff) Previously, as part of the discussion of shared decision making, Bennett highlighted the ben- efits of his organization’s history of employee ownership. Here, with a focus on the financial dimension, Bennett’s strong belief that the financial commitment employees make by taking partial ownership in his organization plays out in tangible ways in the daily functioning of his railroad was revisited. The employee stock ownership program is a mechanism that focuses everybody’s eye on the ball to create value for one’s customers and each other. (Bennett) Understanding and Advocating for the New Railroader The participants were prompted to look to the future and point to where executive leaders in the rail industry will need to direct their attention moving into the 21st century. A very strong theme that emerged from their responses focused on ways to attract, understand, develop, advocate for, and keep the new generation of railroaders—including future leaders. Attracting and Keeping Young Talent. Hayden starts this conversation with a blunt numeri- cal account of how much harder it is becoming for railroads to keep their talent. The railroads have to be cognizant of the fact that the retention rate isn’t going to be as great as what we would like. Retention rates for new hires at entry-level . . . 25% at best, I’m guessing. Management hiring and trainee programs . . . if we retain 50% we’re doing very well. (Hayden) This shifting market for organizational leaders also draws Remington’s attention. He notes that the new generation is less tied to a single organization—or even a single industry—than when he was coming up. Generally speaking, back then people in the railroad didn’t have the formal education to have options outside the railroad. We all went through the normal climbing and attrition over our lives as rail- roaders. Today’s talent makes itself very marketable—and to companies outside of the railroad. This is a big, big change for us. (Remington) Because I couldn’t afford to lose the guy.

Workforce Competency Models 101 Peterson offers a similar observation, pointing to the qualities of executive leadership that he believes will attract and retain railroad talent. Note that every item he lists is a competency highlighted in this report. One of the great challenges for leaders is getting the respect of the people they are leading. You have to find that through integrity, your knowledge base, strong people skills, your communication skills. The danger for the railroad industry is that the kids who develop those skills will be successful whatever industry they’re in. (Peterson) In connection with changes in leadership styles discussed under “Mentoring Received and Delivered,” several interviewees noted that it’s not just the leaders who are changing; the whole culture of the industry involves new kinds of relationships and roles. These new roles include those of the incoming generation of employees. [Key competency for industry leaders:] Understanding the new railroader. There’s been so much tran- sition in the railroad industry . . . It’s much different today. The people we’re bringing into our organi- zations are smart, confident, and they know where they want to go. (Peterson) Graff agrees with Peterson on the shift in interests and capabilities of today’s new hires: These kids today are smart. They want to be challenged. And too often we coddle them. (Graff) Travers goes a step further, explaining what she sees as the key leadership strategy by which to bridge the high expectations and ambitions of new employees with the risks of their taking on more responsibility than they may be ready for. If you look at the next generation that is coming up, it’s pretty different in a lot of ways, particularly in how they communicate and expectations for the workplace. They use media a lot more. They want responsibility quickly. How do you do that when they’re not ready, but it’s what they want? [You have to put] safeguards in place to give them responsibility without risk to anyone. (Travers) Graff has a similar take on how to manage the unprecedented speed and urgency of new employees’ responsibilities: . . . today we ask so much of people, that you gotta keep an eye on them. If you’re going to give them something they could get into trouble on, then you have to help them. (Graff) Sharing a personal story, Peterson highlights a shift he made as he rose through the ranks of rail leaders. Based on his early painful personal experience, he pledged to himself never to ignore urgent family circumstances in the lives of the people working for him. When our first baby was due, my boss wanted me to go to a class for work. I asked not to go because the class schedule conflicted with [my wife’s] due date. But my boss was completely unsympathetic. “You have no choice,” he said. “If you want the job, you will go to school. If you leave it, you’ll have to do the whole two-week school again.” I’ll tell you what, that set in my head for the rest of my career. And I never did that to any person who reported to me. (Peterson) Adams shared a similarly personal story of the traditional railroad culture in which the skills of many of today’s railroad executives were honed. Leaving when I did was probably the best decision I ever made. I know this is personal, right? Every- body’s circumstances are their own. My husband’s job required weekly travel. I was raising two teenage daughters and traveling three times a month. My executive-level peers had absolutely no understanding of my situation. Most had stay at home wives who supported them. (Adams) Graff notes that these movements toward more respect and concern for railroaders’ lives beyond the workplace are driven by the expectations of the new hires themselves, but he also sees the shift reflected in U.S. society at large. The whole work–life balance thing is much bigger than it used to be. I say that because the people we’re bringing on now, they’re saying it. The whole culture of telling people they have to move: that’s not going to work anymore. (Graff)

102 A Guide to Building and Retaining Workforce Capacity for the Railroad Industry Anticipating What the Next Generation of Railroaders Will Need to Know. Here is what the participants saw as they looked into their crystal balls to predict the needs of future genera- tions of employees in the rail industry. For Sutter, getting people working together to support and guide one another is the key. Teamwork and collaboration across departments and work groups will be really important. . . . You can call it knowledge transfer if you want. But at the end of the day, there are too many new kids out there. So they’re going to have to teach each other. . . . Executive leaders will have to be hugely okay with failure on some level, because there is newness on every corner, on every job, on every train. (Sutter) Where Sutter’s approach focuses on organizational structures and systems, Graff finds the solution to rampant new-ness in the personal qualities of hard work, honesty, and passion. They gotta have a good work ethic, that’s all there is to it. They need to come to the realization that transportation is a nonstop business. Airlines stop for about 8 hours a night. Freight railroads don’t stop for anything. Let’s be honest about this. We are going to need good people, people who are honest and have some passion. (Graff) Remington notes the impact of ongoing and future changes specifically on union–management relationships, and the news is good, based on the special, shared meeting ground of safety. The union–management conflict myth is evaporating as we speak. Both sides are seeing that we need one another. So need to figure out what the next era of professional relationships looks like. The distinc- tion between union worker and management is changing every day. Safety has been front and center in this change. (Remington) Technologies Often when society talks about “technology” in the 21st century, it is understood to mean information technology and computer technology. And of course these are important kinds of technology in the lives of the interviewees (see the subsection on thinking and especially analysis of quantitative data). However, a more old-fashioned sense of technology (i.e., machinery) is also prominent in the participants’ reflections on the role of technologies in railroad leadership. When Oliver mentions technology, he is talking about social media. He recognizes the signifi- cance of social media to the future of the railroad industry (and everything else), but he does not deal with them personally or directly. I don’t keep up with the technology side at all. We have a Communications/Customer Satisfaction Department whose job it is to work Twitter, Facebook, etc. And they do a great job. I leave the technol- ogy to them. (Oliver) Peterson speaks of information technology as a social phenomenon that is changing how younger generations think, learn, and work. Their life experiences are clearly different from their bosses’. Because of the influences of social media and TV, this is clearly a significantly different generation. They show a wider variance than there has been with prior generations. The grip of technology has really taken hold of how we think and react. Here on the job and at home. Decision-making processes are just changing. A whole bunch. . . . I found it really interesting that my grandson got an iPad when he went into sixth grade. (Peterson) As noted previously, however, important technologies are not limited to computers. Hayden offers a personal story to illustrate a dynamic consuming the entire industry (and society): the urgent need to know how to use railroading technologies and the enormous promise they offer for safety and productivity. [Around 1996], the latest technology was wheel-impact detectors, and we had three on the whole sys- tem [of my previous railroad]. Fast-forward to fall 2008, and one of the committees that I come to—one Dealing with advanced technolo- gies is like drinking from a fire hose.

Workforce Competency Models 103 dealing with advanced technologies and research at [my new organization]—it was like drinking from a fire hose. Over ten to twelve years, there was an explosion of technology, growing while I was doing something else. We rely on technology and need to know what it can do without getting into the details. Knowing how it works, how it can be made reliable, and knowing what its faults are—those are impor- tant skills for people coming up in the industry today. (Hayden) Hayden sounds a familiar note of the urgency and pervasiveness of technological awareness in the industry and beyond. People have to be technologically savvy. Technology is taking over the world, not just the railroad industry. (Hayden) Peterson gets the last word on technology in the railroad industry, pointing to it as a source of excitement, dynamism, and apparently limitless possibilities. This is an exciting time. Technology is changing so much. You look at it today and think, Who knows what railroading is going to be able to do? (Peterson) Conclusion When asked for three words to describe his leadership style, Sutter began immediately with, “Optimism, absolutely.” While optimism was not named explicitly enough by other interview- ees to qualify as a core competency, it characterizes the spirit of every interview conducted. The industry executives who agreed to spend time being interviewed did so generously, often driving the interview well beyond the time planned. They offered their reflections (sometimes quite self-critical); stories drawn from their vast experience; and ultimately, their collective best vision of a healthy, sustainably competitive railroad industry for the ages. They were “all in,” fiercely committed to the remarkable people from the ground up through the board room. Most of all and regardless of tenure, they affirmed railroading’s complex past and exciting, challeng- ing future. Sutter, who is currently in a particularly challenging mid-career stretch assignment, was relent- less in his remarks about making railroad performance better, more right, every day. Tenacious. When something locks in my head and is statistically tied to what I am trying to solve, and it threads all the way through to the front line, then I am a fanatic, a bulldog. You have to be. The guys I used to work with in the field knew this about me, would shake their heads when they saw me coming at them with something. Because they knew I would be relentless about it. “Surely,” I would say, “we can do better than this. I know you can figure this out, and I look forward to seeing how you do it.” . . . It’s really just getting your hands on and mind around what everybody knows is already happen- ing (and not happening) on the ground and working it so that you can take daily performance to levels people can’t even imagine. (Sutter) This research effort found 11 key competencies identified and discussed by railroad execu- tive leaders who participated in the interviews. The basic names of the competencies themselves present relative few surprises. However, the textures and nuances of the comments the inter- viewees offered and the stories they tell can point the way to more focused, more successful development of future railroad leaders. Given the new challenges facing the industry, many of which are explicitly identified by these participants, the research team strongly believes the find- ings in this report will prove valuable and possibly crucial to creating a thriving 21st century for the North American railroad industry. Competencies Overlap: Executive Leaders, Operations Managers, and System Engineers Table 10 notes points of overlap between executive competencies and those of operations managers and system engineers.

104 A Guide to Building and Retaining Workforce Capacity for the Railroad Industry Executive Competency Operations Manager Competency System Engineer Competency Communication Operations Communications & signal operations Yard & terminal operations Asset management Commitment to safety Business acumen & customer awareness Project management Personal effectiveness Utilization of information management tools & support systems General Emphasized in: Safety Project management Personal effectiveness Integrity Emphasized in all, with additional stress on working to consistent, reliable standards and regulatory compliance All Emphasized in: Personal effectiveness Commitment to standards Utilization of engineering tools & support systems Mentoring Received and Delivered Yard & terminal operations Diversity Communications & signal operations Business acumen & customer awareness Personal effectiveness Commitment to standards Communication & rail signal Project management Personal effectiveness “TLK” Thinking Learning Knowledge Emphasized in all General Emphasized in: Track & infrastructure Communication & rail signal Bridges & structures Commitment to safety Project management Personal effectiveness Utilization of engineering tools & support systems Shared Decision Making All Emphasized in: Business acumen & customer awareness Personal effectiveness All Emphasized in: Personal effectiveness Utilization of engineering tools & support systems Performance Operations Communications & signal operations Yard & terminal operations Traffic planning & logistics Business acumen & customer awareness Personal effectiveness Emphasized in all Political Awareness Business acumen & customer awareness Personal effectiveness Project management Personal effectiveness Table 10. Competency overlap between executives, operations managers, and system engineers.

Workforce Competency Models 105 Executive Competency Operations Manager Competency System Engineer Competency Financial Discipline Operations Communications & signal operations Yard & terminal operations Asset management Business acumen & customer awareness Project management Personal effectiveness Understanding and Advocating for the New Railroader Personal effectiveness Personal effectiveness Technologies Operations Communications & signal operations Yard & terminal operations Business acumen & customer awareness Utilization of information management tools & support systems General Track & infrastructure Communication & rail signal Bridges & structures Project management Utilization of engineering tools & support systems Table 10. (Continued). Note that executive’s “TLK” competency includes the large majority of sub-competencies related to technical and specialized railroading knowledge for half of the executives interviewed. The remaining executives who did not come up through the haws pipe offer mastery-level tech- nical competencies outside the bounds of technical railroading, including business, economics, logistics, marketing, and psychology. Rail Transportation Operations Manager Competency Model Overview The rail transportation operations manager competency model was developed to provide insight into the key knowledge, skill, and attitudinal attributes of effective operations profession- als in the rail industry. Given the wide range of roles and responsibilities, as well as the highly varied nature and structures of organizations within the industry, this model is designed to provide a more “generic” description of competencies common to effective practitioners while exploring competencies of common operations “disciplines.” Because competent practice is couched within the culture of the employer, not every attribute described here will apply to every operations managerial role. Rather, the model gives a comprehensive, yet general, assessment of competent practice within the industry. The model includes seven core competencies that are common across organizations in the rail industry. Similarly the model contains competencies associated with five disciplines. For each competency, knowledge, skill, and attitudinal attributes that define the competency are pre- sented. In addition, confirming behaviors are presented that describe how one can demonstrate the presence of the competency in professional practice. Target Subject Audience The target subject audience is operations managers working within the rail industry, including a wide range of job roles and responsibilities. Most of these persons are employed by passenger and freight rail companies and are responsible for the efficient movement of people and goods.

106 A Guide to Building and Retaining Workforce Capacity for the Railroad Industry Persons in this role generally “rise through the ranks” and most have a mix of OTJ training and formal training through an employer or trade school. Depending on the organization, opera- tions managers may assume various roles and responsibilities, ranging from dispatch and rail yard management to construction project management and maintenance. Operations manag- ers often work in increasingly complex and data-rich environments where timely and accurate decision making is essential. Assumed Background For the purpose of this model, rail transportation operations professionals are defined as those with a minimum of a bachelor’s degree in transportation, logistics, operations manage- ment, engineering, or a related field and who have work experience and employment within the rail industry or related sectors. Levels of Engagement The target audience includes individual contributors and operations managers working in operations roles. The competency model describes the knowledge, skills, mindset, and confirm- ing behaviors of effective operations managers within the industry. In developing the model, the research team gathered input from managers and individual contributors representing Class I, Class II, and Class III railroads; transit and commuter rail organizations; federal and state regula- tory bodies; and rail engineering consultancies. This broad engagement provides insight into the critical factors that define competency within the industry. About the Model In developing this model, the research team reviewed the competency modeling literature and benchmarked models used in a number of technology-based companies and agencies. In addi- tion, the research team incorporated aspects of the “bodies of knowledge” promulgated by rel- evant engineering societies and professional organizations. Finally, the research team reviewed job descriptions and current job postings within the rail industry. The rail transportation operations manager competency model is broader in nature and looks at a more holistic approach when compared to job task analyses and skill checklists that are com- mon to vocational job models. The model has a hierarchical structure, with seven core competencies. Each competency is then made up of attributes that provide boundary, scope, and definition to the competency. Attributes describe knowledge, skill, and mindset of competent practitioners. Attributes are then further clarified by confirming behaviors. Topics in the Model The overall structure of the competency model provides for consistent definition of com- petencies and their attributes. But since competent practice is defined within the context and culture of the local organization, individual competencies, and level of detail associated with them, will vary based on organizational characteristics. The rail transportation operations man- ager model was created for general application within a broadly defined industry; therefore, the model contains “generic” knowledge, skill, and mindset attributes. In this model, the following seven core competencies and five discipline competencies are described: • Domain knowledge—operations – Communications and signal operations – Yard and terminal operations – Asset management – Information management – Traffic planning and logistics

Workforce Competency Models 107 • Commitment to safety • Business acumen and customer awareness • Project management • Personal effectiveness • Commitment to standards • Utilization of information management tools and support systems Competency: Domain Knowledge—Operations This competency describes the knowledge, skills, and mindset demonstrated by competent operations practitioners. The attributes define a level of advanced understanding and applica- tion of technical and business principles, rules, regulations, and technologies relevant to the rail industry. Attribute—Understand (Knowledge) • Systems approach to concepts and practices as applied to rail transportation operations including one or more of the following: – Rail transportation system analysis. – Rail/industrial yard operations. – Signaling and control. – Scheduling, dispatch, and routing. – Safety operations management. – Maintenance management. – Intermodal operations. • Logistics and the movement of people and goods. • Supply chain structures and management. • Relationships between capacity and flow in rail system operations. • Cost and service quality. • Industry-specific rules, standards, and processes. • Applicable codes and regulatory requirements. Attribute—Apply (Skill) • Problem-solving methods and techniques. • Common performance metrics to rail operations. • Computer methods and techniques for operations and asset management. • Industry standard measurement methods and techniques. • Industry standard communication protocols and terms. • Inspection and quality assurance techniques. Attribute—Value (Mindset) • Process discipline. • Creative and open to alternative approaches. • Personal and professional accountability. • Personal and professional ethics. Confirming Behaviors • Maintains professional knowledge and skills by taking courses, attending conferences, and reading professional journals/other technical publications. • Shares expertise through participation in formal and informal professional development activities including teaching, coaching, and mentoring.

108 A Guide to Building and Retaining Workforce Capacity for the Railroad Industry • Effectively applies technical and business knowledge to solve a range of problems. • Keeps informed about technical, structural, and business changes in the rail industry. • Is sought out as an expert to provide advice or solutions to operations and business problems. • Recognizes personal limitations and seeks expert assistance and advice—submits to regular peer review. • Evaluates network flows and their impact on rail system operations. • Evaluates supply chain performance and potential implications for rail system operations. • Employs tools and techniques for analyzing and predicting rail network performance. • Selects and applies appropriate problem-solving and risk management methods and service reliability strategies to minimize and mitigate unanticipated delays and service disruptions. • Performs professional activities based on sound professional and ethical standards. • Delivers on commitments to meet schedule and budget expectations. • Employs a quality systems approach to operations and embraces a commitment to continuous improvement. • Efficiently applies practices in the configuration and routing of trains. Competency: Communications and Signal Operations This competency describes knowledge and skill attributes demonstrated by competent prac- titioners in the area of communications and signals. The attributes define a level of advanced understanding of operating principles that satisfy all FRA requirements, train control and signal- ing systems, train scheduling, and railroad communications technologies and practices. Attribute—Understand (Knowledge) • Operating principles of various signaling technologies. • Centralized traffic control. • Radio and digital communication systems. • Integrated information management. • Positive train control. Attribute—Apply (Skill) • Principles and concepts of the temporal and spatial separation of trains, including signal sys- tems, mechanical and electronic interlocking, and various forms of communication. • Rules, regulations, standards, and specifications that govern the operation of signal systems. • Standards, practices, and applications of radio communications. • Standards, practices, and applications of digital communications. • Line capacity analysis. • Technical and economic performance of traffic control systems. • Rail operations modeling and simulation software. Confirming Behaviors • Understand and apply appropriate operating procedures for rail line and railcar signaling and communication systems. • Develop performance specifications for vital and non-vital signal systems. • Integrates and applies data from a wide array of communications technologies including radio, fiber optics, microwave, satellite, etc. • Collaborates with rail engineering professionals and key stakeholders to develop performance specifications for complex projects.

Workforce Competency Models 109 • Develops detailed technical descriptions for signal and communications system requirements. • Integrates positive train control systems into existing signaling and communications infrastructure. • Develops performance testing and validation plans for signaling and communications systems. Competency: Yard and Terminal Operations This competency describes knowledge and skill attributes demonstrated by competent prac- titioners in the area of yard and terminal operations. The attributes define a working knowledge of the fundamentals of the relationship between yards and operations and the design of conven- tional yard and terminal trackage. Attribute—Understand (Knowledge) • Train configuration and routing. • Capacity planning and management. • Intermodal operations. • Switching operations. • Car and locomotive inspection. • Brake inspection regulations, procedures, and processes. • Hazardous materials—types, handling, and transportation. Attribute—Apply (Skill) • Implications of railroad yard and terminal configuration on operating procedures and practices. • Safety implications of railroad yard and terminal configuration and operating procedures. • Automated train and rail routing systems. • Terminal operating and information management systems. • Key performance indicators (KPIs) and performance metrics for terminal operations. • Safety standards for the safe operation and inspection of braking systems. • Guiding regulations and standards, including FRA, state and federal regulations, safety stan- dards, maintenance, quality, and environmental. • Information systems for the management and tracking of container terminal operations. • Discharge and load procedures. Confirming Behaviors • Performs economic analysis methods to assure cost-effective management of yards and terminals. • Continuously evaluates yard and terminal site conditions for safety hazards. • Demonstrates and promotes a “safety first” lifestyle. • Implements appropriate yard control and planning solutions to manage the entire yard network. • Provides practical answers to co-worker questions about intermodal freight yards and termi- nal operations. • Monitors the track and rail yard inventory to assure effective throughput management. • Manages full spectrum of terminal operations, incorporating different elements of container terminal operations across the full cycle of ship, yard, and gate activities. • Evaluates and manages key health, safety, security, and environmental issues in container terminals.

110 A Guide to Building and Retaining Workforce Capacity for the Railroad Industry Competency: Asset Management This competency describes knowledge and skill attributes demonstrated by competent practi- tioners in the area of asset management. The attributes define a level of advanced understanding of efficient and sustainable asset management concepts and practices employed to optimize the delivery and performance of physical assets. Attribute—Understand (Knowledge) • Inventory management and condition assessment. • Life-cycle cost and trade-off analysis. • Preventive and predictive maintenance. • Capacity assessment and planning. • Strategic sourcing. • Supply chain management. • Asset management standards, including PAS 55 and ISO 55000. Attribute—Apply (Skill) • Asset management techniques, tools, and methodologies. • Life-cycle financial analysis. • Life-cycle costing tools and methods. • Risk management analysis tools and methods. • PAS 55 and ISO 55000 standards. • Preventive and predictive maintenance methods and reliability management practices. Confirming Behaviors • Develops asset inventory, using standard asset management software tools. • Develops and implements inventory and maintenance schedules. • Implements asset management plans. • Conducts gap analysis of compliance using accepted industry asset management standards and practices. • Collects, organizes, analyzes, and manages asset documentation. • Analyzes and routinely reports asset performance (production, sales, inventory, rail car move- ment, cost) metrics. • Employs industry standard tools to identify and mitigate threats to asset management objectives. • Designs and implements a system for integrating asset information to enterprise information systems. • Evaluates infrastructure and timetable solutions to increase capacity and throughput. • Identifies redundant assets and develops plans to optimize asset portfolio. Competency: Information Management This competency describes knowledge and skill attributes demonstrated by competent practi- tioners in the area of information management. The attributes define a level of advanced under- standing of integrated information management for rail transportation systems. Attribute—Understand (Knowledge) • Data sources. • Data structures. • Data attributes.

Workforce Competency Models 111 • Computer networks and interface systems. • Data analysis and visualization. • Computer and network communication standards and protocols. • Cybersecurity. Attribute—Apply (Skill) • Safety/security standards and regulations. • Communications and railway signaling principles. • Rail data reporting standards and methods using database tracking and other computer tools. • Rail data management applications. • Decision support information technology systems. • Information modeling, analysis, and data visualization techniques. • RailML or similar source data structures to manage infrastructure, rolling stock, timetable, and other data schemes. Confirming Behaviors • Integrates a variety of data including infrastructure, rolling stock, timetable, and other data schemes to support critical business decision making. • Monitors and analyzes information and data from multiple sources to make informed main- tenance management decisions. • Implements cybersecurity practices to secure enterprise-wide control and communication systems. • Evaluates and recommends new information management technologies based on organiza- tional business requirements. • Develops robust interfaces to simplify the transfer of data between various enterprise engi- neering, operations, and financial systems. • Generates electronic and printed track charts from common data sources. • Performs a wide array of track analysis and maintenance management activities. • Evaluates information system maintenance needs and creates work orders in an efficient, integrated process. Competency: Traffic Planning and Logistics This competency describes knowledge and skill attributes demonstrated by competent prac- titioners in the area of traffic planning and logistics. The attributes define a level of advanced understanding of how to employ contemporary planning and logistics concepts to optimize rail operations. Attribute—Understand (Knowledge) • Train configuration and movement. • Routing and load planning and management. • Capacity and throughput planning and management. • Financial planning and management. • Rail system performance. • Intermodal transport planning and logistics. Attribute—Apply (Skill) • Safety practices and hazards common to rail industry. • Rail freight (shipping and receiving) processes, procedures, and pricing.

112 A Guide to Building and Retaining Workforce Capacity for the Railroad Industry • Passenger rail processes, procedures, and pricing. • Continuous improvement principles and methods. • KPIs and metrics. • Statistical methods as applied to modeling of capacity and throughput. Confirming Behaviors • Develops and continuously improves plans, models, and forecasts incorporating key process and outcome metrics for logistics performance. • Coordinates railcar movements, tracks inventory, and ensures customer shipments meet all customer requirements. • Verifies the accuracy, completeness, and condition of incoming and outgoing shipments. • Assists with the development and implementation of strategic supply chain initiatives. • Plans, researches, and negotiates freight strategies and competitive rates. • Establishes and maintains effective communication with shipper, carrier, and consignee. • Prepares and publishes reports on performance and outcome metrics. • Performs analysis to identify supply chain performance trends and to enhance cost contain- ment and cost avoidance. • Proactively seeks to identify supply chain and logistics problems and swiftly implements appropriate solutions. Competency: Commitment to Safety This competency describes knowledge, skill, and attitudinal attributes that create a culture of safety. The attributes represent an advanced understanding and application of tools and processes in the operations of rail transportation systems, including rolling stock, rail system operations, maintenance, and rail system management and labor practices. Integral to this com- petency is creating a culture of safety, engaging a systems approach to safety, identifying and mitigating risks, and effective safety communications. Attribute—Understand (Knowledge) • Principles and advanced practices in systems safety. • Hazards and risks inherent to rail industry. • Hazards and risks inherent to rail system operations. • Hazard analysis and reporting. • Risk management. Attribute—Apply (Skill) • Methods and techniques to apply safety standards into daily rail operations activities. • Methods and techniques employed in the analysis and mitigation of hazards. • Recognize and immediately react to potential hazards. • Systematic approach to implement safety programs and practices in rail operations. • Principles, practices, and processes for inspections and audits. • Principles and practices of communication for complex technical and business information as related to safety. • Principles and practices of environmental safety and industrial hygiene. Attribute—Value (Mindset) • Constant vigilance. • Propensity to act. • Uncompromising expectation for safety.

Workforce Competency Models 113 Confirming Behaviors • Creates a culture of safety. – Uncompromisingly expects safety at all levels of the organization. – Clearly communicates safety performance expectations and potential consequences for non-compliance. – Leads regular safety reviews. – Leads scheduled inspections. – Leads safety audits. – Incorporates safety metrics into operations. – Holds self and others accountable for safety performance. – Makes safety performance transparent across organization. – Recognizes and rewards team member identification of actual/potential risks, near misses. • Uses a systems approach. – Integrates safety practices throughout operations and across organizational boundaries. – Coordinates safety activities with key internal stakeholders. – Applies safety management principles and practices. – Systematically analyzes “near miss” incidents and implements timely corrective actions based on findings. – Effectively engages engineering, education, and enforcement strategies to achieve safety performance objectives. – Actively participates in safety review panels. – Engages federal, state, and local incident responders in a proactive manner to develop and implement safety programs. • Identifies and mitigates risk. – Applies a systematic and rigorous approach to hazard identification and mitigation. – Applies a rigorous and systematic inspection/documentation process for locomotives, freight cars, and braking systems. – Is constantly vigilant with regard to hazards in the immediate work environment. – Suspends operations and does not proceed until risks have been effectively mitigated. • Effectively communicates. – Aggressively and clearly communicates immediate hazards to team members—advises cor- rective/protective measures. – Communicates safety issues throughout chain of command in clear, concise, and timely fashion. – Creates timely safety reports—engages appropriate regulatory standards. – Aligns safety communications to organizational goals and objectives. Competency: Business Acumen and Customer Awareness This competency describes knowledge and skill attributes demonstrated by competent practi- tioners in the area of business acumen and understanding the customers’ business environment. The attributes represent an understanding and application of financial and business manage- ment concepts, methods, and practices. Attribute—Understand (Knowledge) • Concepts, methods, and practices of financial management. • Concepts, methods, and practices of supply chain management. • Concepts, methods, and practices of logistics and operations management. • Cost–benefit trade-offs. • Financial targets and budget requirements.

114 A Guide to Building and Retaining Workforce Capacity for the Railroad Industry • Contemporary concepts and practices of supervision and management. • Impact of functional unit financial performance on achievement of enterprise goals and objectives. • Customer’s business, including markets, products, operations, and situational environment. • Impacts of rail transportation system on customer business activities. Attribute—Apply (Skill) • Generally accepted standard financial management methods and techniques. • Strategies and techniques to identify and mitigate financial risk. • Financial management tools and software applications. • Sound supervisory and management skills. • Industry standard communication protocols and lexicon standards. Attribute—Value (Mindset) • Empathy for the customer. • Systems mindset—approach. • Respect for others. • Fiduciary responsibility. Confirming Behaviors • Develops and manages working relationships. – Engages customers to understand operational performance requirements. – Actively engages craftworkers in all aspects of operations and management. – Actively engages organized labor in all aspects of operations and management. – Treats all constituents with respect and demonstrates value for ongoing business relation- ships. – Identifies and supports opportunities to collaborate across organizational boundaries. – Works across all areas and understands the big picture. – Supports cross-functional activities, communicates vertically and horizontally within the organization. – Develops an effective internal collaboration network, shares best practices. • Manages people. – Manages performance to unit and enterprise targets and goals. – Accommodates organized labor work rules and contracts. – Understands and communicates expectations clearly and in concise behavioral terms. – Is fair in corrective and disciplinary actions. – Actively participates in the professional and personal development of those within the span of control. • Manages program finances and budget. – Understands and manages cost/service quality trade-offs. – Manages performance to financial targets and budget requirements. – Identifies and mitigates financial risk. – Protects shareholder value. • Understands the customer’s business environment. – Delivers required products and services in a predictable and reliable manner. – Tailors product and process solutions to enhance the performance of the customer’s supply chain. – Provides timely and accurate communication to customer. – Provides clear communication and frequent updates in the event of unanticipated service interruptions.

Workforce Competency Models 115 • Analyzes and manages information. – Analyzes and reports technical and financial performance. – Analyzes and reports service delivery and reliability. – Weighs and selects best alternative based on customer requirements. • Manages quality. – Employs continuous improvement methodologies. – Employs robust quality tools and techniques in the implementation and evaluation of operations actions. – Employs tools and techniques to identify and proactively manage risk. Competency: Project Management This competency describes knowledge and skill attributes demonstrated by competent opera- tions professionals in the area of project management. The attributes represent an intermediate understanding and application of generally accepted project management methods and pro- cesses. In addition, the attributes describe abilities in the use of project management software. Attribute—Understand (Knowledge) • Concepts, methods, and practices of project management. • Project phases and handoffs. • Impacts of project schedule on operations. • Impacts of unanticipated delays on rail transportation system performance. • Principles of drawing and document control. Attribute—Apply (Skill) • Generally accepted standard project management methods and techniques. • Project management tools and software applications. • Drawing and document management systems. • Company-specific project management and team communication requirements. • Verbal, written, virtual, and graphical communication methods and techniques. Attribute—Value (Mindset) • Project management discipline. • Ownership and responsibility for deliverables. • Systems mindset—approach. • Attention to detail. Confirming Behaviors • Engages a systematic approach to project management. – Implements generally accepted project management standards and processes. – Leads and participates in assigned projects. – Employs computer tools and templates to issue standard reports. • Takes ownership and responsibility for project impacts. – Extrapolates from experience and uses findings to make sound contributions to current projects. – Implements an effective project plan and leads or contributes in all phases of assigned projects. – Clearly and effectively communicates operations priorities and technical requirements to project managers. – Proactively identifies and mitigates risks to operations.

116 A Guide to Building and Retaining Workforce Capacity for the Railroad Industry • Planning integration. – Works across all areas and understands the big picture. – Manages handoffs and impacts of project activities on operations. – Employs appropriate tools to track and manage projects. • Problem solving. – Identifies problems and practical solutions. – Systematically identifies and records root causes variables. – Remains flexible and adaptable to changes and new challenges in the project environment. – Consults internal resources to solve problems. Competency: Personal Effectiveness This competency describes knowledge, skill, and attitudinal attributes demonstrated by com- petent professionals that contribute to their overall effectiveness in rail transportation opera- tions. The attributes represent an advanced understanding and application of key behaviors in areas such as effective communication; working across boundaries; building collaborative relationships; creating a culture of accountability; managing information; commitment to pro- fessional development; and professionalism, ethics, and values. Attribute—Understand (Knowledge) • Time management methods and techniques. • Task management methods and techniques. • Individual and team accountability. • Team principles. • Regulatory requirements and implications on operations at federal, state, and local levels. • Professional development needs and potential learning resources. Attribute—Apply (Skill) • Methods and techniques employed in the development of cross-functional teams. • Stress management. • Active listening. • Early identification and early mitigation of unanticipated events. • Methods and techniques to manage rapidly changing conditions. • Systematic approach to evaluate and resolve alternative and/or conflicting points of view. • Principles and practices of communication for complex technical and business information. • Principles and practices of environmental safety and stewardship. Attribute—Value (Mindset) • Safety. • Strong work ethic. • Commitment to reliability. • Personal credibility. • Professional ethics. Confirming Behaviors • Effectively communicates. – Effectively communicates directions and expectations through written, verbal, and elec- tronic channels. – Effectively employs industry and company standards in radio communications. – Proactively engages key stakeholders including trades and craftworkers. – Empathetic to needs and requirements of key stakeholders.

Workforce Competency Models 117 – Conveys concepts and information at appropriate levels of complexity to assure that recipi- ents understand the message. – Communicates risks up the chain of command in a timely and effective manner. • Works across boundaries. – Effectively engages key stakeholders across a broad constituency of internal and external interest groups. – Works appropriately and effectively across organizational boundaries—extending influ- ence throughout the supply chain. • Builds collaborative relationships. – Builds and maintains productive relationships with government agencies, trades, labor unions, and customers. – Builds consensus. – Interested in others’ viewpoints and acknowledges their perspectives and ideas. – Provides assistance, information, and support to others. – Assures customer satisfaction. • Creates a culture of accountability. – Clearly communicates performance expectations of self and others. – Establishes clear goals and metrics that are tied to organizational objectives. – Drives to deliver high-quality and reliable rail operations. – Demands continuous attention to safety. – Strives to assure that operations meet commitments made to customers. • Manages information. – Routinely employs industry- and company-specific tools and techniques to store and share information. – Systematically evaluates new information to assess real and potential impacts on operations. – Identifies and engages appropriate resource people. • Commits to professional development. – Works with managers and peers to identify professional development needs and growth opportunities. – Maintains a personal professional development plan. – Actively participates in formal and informal learning activities. – Supports the development of others. • Has a high standard of professionalism, ethics, and values. – Demonstrates personal integrity. – Is honest and forthright with people. – Engages external and internal stakeholders with respect. – Is open to new and different ways of doing things. – Approaches challenging tasks with a “can-do” attitude. – Conveys a command of the relevant facts and information. – Maintains a sense of humor. Competency: Commitment to Standards This competency describes knowledge, skill, and attitudinal attributes demonstrated by com- petent professionals in the application and interpretation of published regulations and standards for rail operations. Attribute—Understand (Knowledge) • Applicable rail industry and governmental standards. – General Code of Operating Rules (GCOR). – FRA inspection standards. – U.S. DOT hazardous materials regulations.

118 A Guide to Building and Retaining Workforce Capacity for the Railroad Industry – Emergency Response Guidebook (ERG 2012). – U.S. Occupational Health and Safety Administration (OSHA) regulations (Standards—29 CFR) for railroad facilities. – National Environmental Protection Act (NEPA). – Corporate operations guidelines / standard operating procedures. – Federal and corporate drug and alcohol regulations and policies. – Any federal, state, local, or corporate standards as applicable to rail operations. • Locomotive, freight car, and brake inspection standards. • Special rules for duty personnel. • Federal and state environmental policies and standards. Attribute—Apply (Skills) • Incorporation and satisfaction of relevant operations standards into daily operations. • Incorporation and satisfaction of relevant and appropriate safety standards into daily operations. • Development and employment of standard operations and maintenance manuals specified by the employer. • Management of operations activities to meet spirit and letter of relevant standards. Attribute—Value (Mindset) • Importance of conformity and adherence to standards. • Maintenance of high standards for all aspects of operations. • Uncompromising commitment to safety. • Uncompromising commitment to quality. Confirming Behaviors • Evaluates operations and maintenance activities to assure compliance with appropriate regu- latory requirements and industry standards. • Assures compliance with the federal, state, and local laws across all aspects of ongoing operations. • Regularly inspects work activities to assure compliance with rail transportation safety codes, and other regulations. • Establishes business metrics to assure ongoing compliance to standards and regulations. • Collaborates with internal stakeholders in the development and implementation of corporate operations and maintenance standard operating procedures. • Communicates non-compliance up the chain of command in a timely and effective manner. Competency: Utilization of Information Management Tools and Support Systems This competency describes knowledge and skill attributes demonstrated by competent profes- sionals in the area of engaging organizational information management systems. The attributes represent an understanding and application of information flow in the rail industry. Attribute—Understand (Knowledge) • Industry standard operations management practices and information technology platforms and software. • Industry standard formats for data input, analysis, and results reporting. • Drawing and document management.

Workforce Competency Models 119 • Structure, functionality, and applicability of technical communications systems and structures. • Impact of cost and service delivery trade-off. Attribute—Apply (Skill) • Design and development of data structure strategies and analysis protocols. • Methods and applications of operations management systems. • Radio and wireless digital communication systems. • Methods and applications of drawing and document management. Attribute—Value (Mindset) • Attention to detail. • Cost efficiency. • Process discipline. Confirming Behaviors • Actively manages projects in corporate information technology systems. • Develops effective information management practices using corporate support systems. • Collaborates and shares information with external stakeholders to assure consistent and accu- rate transmission of information across organizational boundaries. • Develops and maintains drawings and documents in industry-accepted standard formats. • Manages operations information and documentation using standard processes, procedures, and templates. • Proficient in use of computers to employ and manage operations in real time. Rail Transportation System Engineer Competency Model Overview The rail transportation system engineer competency model was developed to provide insight into the key knowledge, skills, and mindset of effective engineering practitioners in the rail industry. Given the wide range of engineering roles and responsibilities, as well as the highly varied nature of organizations within the industry, this model is designed to provide a “generic” description of competent practice as well as exploring aspects of engineering disciplines com- mon to the rail industry. Though the model gives a comprehensive, yet general assessment of competent practice within the industry, it will not address every engineering job role; this is because competent practice is couched within the culture of the employer, and not every attri- bute described here will apply to every situation. The model includes six core competencies that are common across organizations in the rail industry. Similarly, the model includes competencies associated with five engineering disciplines. For each competency, knowledge, skill, and mindset attributes that define the competency are presented. In addition, confirming behaviors are presented that describe how the presence of the competency can be demonstrated in professional practice. Target Subject Audience The target subject audience includes engineers working within the rail industry, defined as persons with a minimum of a bachelor’s degree in engineering or related field. The audience rep- resents a wide range of job roles and responsibilities. Passenger and freight rail companies, gov- ernment agencies, consultancies, manufacturers, construction companies, or other rail industry employers may employ these engineers. In addition, these engineers may assume various roles

120 A Guide to Building and Retaining Workforce Capacity for the Railroad Industry and responsibilities, ranging from design and construction to operations and maintenance. Engineers may be generalists or specialize in one of the many disciplines within the industry. Assumed Background For the purpose of this model, rail transportation system engineers are defined as those with a minimum of a bachelor’s degree in engineering and who have work experience and employment within the rail industry or related sectors. Levels of Engagement The target audience includes individual contributors and project team leaders. The com- petency model describes the knowledge, skills, mindset, and confirming behaviors of effective engineers within the industry. In developing the model, the research team gathered input from managers and individual contributors representing Class I, Class II, and Class III railroads; tran- sit and commuter rail organizations; federal and state regulatory bodies; and rail engineering consultancies. This broad engagement provides insight into the critical factors that define com- petency within the industry. About the Model In developing this model, the research team reviewed the competency modeling literature and benchmark models used in a number of technology-based companies and agencies. In addition, the research team incorporated aspects of the “bodies of knowledge” promulgated by relevant engineering societies and professional organizations. Finally, the research team reviewed job descriptions and current job postings within the rail industry. The rail transportation system engineer competency model is more holistic than the function- ally focused models favored at the vocational level. The model has a hierarchical structure, with 11 competencies, 5 of which represent technical disciplines. Each competency is then made up of attributes that provide boundary, scope, and definition to the competency. Attributes describe knowledge, skills, and mindset of competent practitioners. Attributes are then further clarified by confirming behaviors. Topics in the Model The overall structure of the competency model provides for consistent definition of compe- tencies and their attributes. But since competent practice is defined within the context and cul- ture of the local organization, individual competencies, and level of detail associated with them, will vary based on organizational characteristics. The rail transportation system engineer model was created for general application within a broadly defined industry; therefore, the model con- tains “generic” knowledge, skill, and mindset attributes. In this model, the following six general and five specific (discipline) competencies are described: • Domain knowledge—engineering – Track and infrastructure engineering – Rolling stock engineering – Communication and rail signal engineering – Engineering of bridges and structures – Control systems engineering • Commitment to safety • Project management • Personal effectiveness • Commitment to standards • Utilization of engineering tools and support systems

Workforce Competency Models 121 Competency: Domain Knowledge—Engineering This competency describes knowledge, skill, and attitudinal attributes demonstrated by com- petent practitioners in engineering and technology. The attributes define a level of advanced understanding and application of scientific principles, engineering constructs, and technologies relevant to the rail industry. Attribute—Understand (Knowledge) • Systems approach to concepts and advanced core engineering practices as applied to rail transportation engineering. • Engineering drawings, models, and diagrams. • Modeling and simulation. • Site characteristics. • Industry-specific design standards and processes. • Applicable codes and regulatory requirements. • Concepts of and technical platforms supporting 3D engineering design. • Environmental standards and policies. • Public policy. Attribute—Apply (Skill) • Advanced concepts in problem-solving methods and techniques. • 3D-CAD methods and techniques. • Computer methods and techniques. – Programmable calculator. – Office productivity software. – Digital communications technologies. – Tablets and mobile devices. • Industry standard measurement methods and techniques. • Validation measurement and assurance techniques. Attribute—Value (Mindset) • Process discipline. • Open to alternative solutions. • Personal and professional accountability. • Personal and professional ethics. • Personal and professional integrity. Confirming Behaviors • Maintains engineering skills and Professional Engineer knowledge in a discipline by taking courses, attending conferences, and reading professional journals/other technical publications. • Shares expertise through participation in professional development activities. • Synthesizes and integrates concepts and advanced core engineering practices from discipline areas; math and related engineering formulas; and other common technical terms, proce- dures, and principles of engineering practice. • Effectively applies technical knowledge in a discipline to solve a range of problems. • Keeps informed about cutting-edge technology, tools, hardware, and software in discipline. • Is sought out as an expert to provide advice or solutions in his/her technical area. • Recognizes personal limitations and seeks expert assistance and advice—submits to regular project peer review. • Evaluates design of complex systems and assesses compliance with standards of practice, user needs, and relevant constraints.

122 A Guide to Building and Retaining Workforce Capacity for the Railroad Industry • Selects and applies appropriate problem-solving and risk management methods and tech- niques to the solution of engineering problems. • Prepares, reads, and interprets engineering drawings, models, and diagrams. • Justifies an engineering solution based on sound professional and ethical standards. • Delivers on commitments to meet schedule and budget expectations. • Develops and explains discipline-related requirements for all stages and activities of the design, construction, and operations phase of a project. • Employs a quality systems approach to engineering activities. • Conducts engineering analysis and develops recommendations to maintain and improve system efficiency, reliability, safety, environmental compliance, and cost performance. Competency: Track and Infrastructure Engineering This competency describes knowledge and skill attributes demonstrated by competent practitioners in the area of track and infrastructure engineering. The attributes define a level of advanced understanding of infrastructure of the railway and application of track standards and railroad track engineering concepts, including track component and system design, construction, evaluation, maintenance, load distribution, and wheel/rail interaction. In general, engineers performing this function are formally prepared in civil or environmental engineering. Attribute—Understand (Knowledge) • Concepts and applications of track layout and geometry. • Attributes and applications of common track components, including rail, ties, joints, anchors, and ballast. • Technical requirements for the design and construction of turnouts and curves. • Technical requirements for the design and construction of rail crossings and crossovers. • Technical requirements for the design and construction of highway crossings. • Performance characteristics and risks associated with common soils and geotechnical conditions. • Performance characteristics and risks associated with common hydrology and drainage conditions. • Applicability and appropriate implementation of track design and construction standards. Attribute—Apply (Skill) • Track design and construction standards. • Contemporary safety standards and procedures are effectively satisfied in the design and construction of rail systems. • Applicable rail engineering standards, methods, and techniques for CAD. Attribute—Value (Mindset) • Process discipline. • Open to alternative solutions. • Personal and professional accountability. • Personal and professional ethics. Confirming Behaviors • Synthesizes and integrates concepts of rail geometry in the design of rail systems. • Effectively applies technical knowledge to solve common infrastructure design challenges; drawing from related disciplines. • Remains current on evolving regulations and published design guidelines for rail infrastructure.

Workforce Competency Models 123 • Evaluates design of complex rail systems and assesses compliance with standards of practice, user needs, and relevant constraints. • Evaluates and coordinates design efforts between rail/track engineering and that of bridges and structures as well as terminals and rail yard engineering. • Evaluates and coordinates design efforts between rail/track engineering and that of soils and geotechnical engineering. • Evaluates and coordinates design efforts between rail/track engineering and that of soils and hydrology and drainage engineering. • Evaluates and coordinates design efforts between rail/track engineering and that of environ- mental engineering. Competency: Rolling Stock Engineering This competency describes knowledge and skill attributes demonstrated by competent prac- titioners in the engineering of rolling stock. The attributes define a level of advanced under- standing of rail vehicles for both freight and passenger rail and their performance and safety requirements. In general, engineers performing this function are formally prepared in mechani- cal or electrical engineering. Attribute—Understand (Knowledge) • Locomotive types—performance characteristics and selection criteria. • Locomotive types—design requirements related to intended use. • Freight rail car types—performance characteristics and selection criteria. • Freight rail car types—design requirements related to intended use. • Passenger rail cars—design requirements and performance characteristics for conventional and high-speed rail cars. • Passenger rail cars—design requirements and performance characteristics for rail car mechan- ical and electrical systems (HVAC, power, plumbing, etc.). • Passenger rail cars—design requirements and performance characteristics for rail car safety systems and emergency. • Conventional traffic systems and their interface to rolling stock. • Principles and practical application of vehicle dynamic behavior and vehicle track interaction in rolling stock design and maintenance. Attribute—Apply (Skill) • Advanced mechanical or electrical engineering of locomotives and rail cars. • Engineering principles, codes or practice, and standards associated with rolling stock design. • Rolling stock manufacturing systems and processes. • Application of principles and methods related to design for traction. • Application of principles and methods related to design for braking systems. • Assurance that contemporary safety standards are effectively employed in the design of roll- ing stock. • Assurance that contemporary safety standards and procedures are effectively employed in the design and construction of rail systems. • Application of rail engineering standards, methods, and techniques to CAD tools and related software. Attribute—Value (Mindset) • Process discipline. • Open to alternative solutions.

124 A Guide to Building and Retaining Workforce Capacity for the Railroad Industry • Personal and professional accountability. • Personal and professional ethics. Confirming Behaviors • Recognizes and selects the appropriate type(s) of rolling stock and traction solutions for a given requirement. • Identifies the main subcomponents of each type of rolling stock. • Incorporates personal safety and emergency evacuation scenarios in the design of locomotives and passenger rail cars. • Understands the functional, interface, and safety requirements of rolling stock. • Designs, plans, and develops technical drawings for rolling stock projects, materials, and modifications. • Performs inspections to ensure compliance in accordance with specifications and/or drawings and all applicable federal regulations. • Ensures rail vehicles are operating efficiently and safely and meet all regulations. • Recognizes and identifies rail vehicle-related hazards. • Calculates the dynamic forces acting on a rail vehicle under various situations. • Quantifies the desirable vehicle dynamic performance criteria. • Designs structural elements to account for dynamic loadings, suspension design, and ride index. Competency: Communication and Rail Signal Engineering This competency describes knowledge and skill attributes demonstrated by competent prac- titioners in the area of communications and signals. The attributes define a level of advanced understanding of operating principles that satisfy all FRA requirements, train control and signal- ing systems, train scheduling, train stopping-distance calculation, and railroad communications technologies. In general engineers performing this function are formally prepared in electrical and computer or mechanical engineering. Attribute—Understand (Knowledge) • Operating principles and practices for rail communications and signaling. • Crossing systems. • Automatic block signals. • Signal siting and location. • Centralized traffic control. • Radio and digital communication systems. • Power sources and uninterruptable power supply technologies. • Integrated information management. • Positive train control. Attribute—Apply (Skill) • Principles and concepts of the temporal and spatial separation of trains, including signal sys- tems, mechanical and electronic interlocking, and various forms of communication. • Rules, regulations, standards, and specifications that govern the design and maintenance of signal systems. • Methods and technologies used in current railroading practice. • Line capacity analysis. • Economics of traffic control systems. • Principles and practices for cybersecurity as applied to rail communications and signaling systems.

Workforce Competency Models 125 • Rail simulation software. • Inspection testing and maintenance operations for signaling systems. Attribute—Value (Mindset) • Process discipline. • Open to alternative solutions. • Personal and professional accountability. • Personal and professional ethics. Confirming Behaviors • Implements operating principles and engineering design practices common to all crossings. • Demonstrates a basic understanding of the operation of rail line and railcar signaling and communication systems. • Designs and implements vital and non-vital signal systems in Class I and rail transit markets. • Works in a wide array of technologies, including wireless, fiber optics, microwave, radio, global positioning system (GPS), etc. • Employs contemporary technologies and applicable standards in the design and operation of signal systems. • Is proficient in the implementation and certification of communications and signaling technology. • Works collaboratively with rail engineering staff and other practice centers around the firm on large, complex projects. • Performs design calculations, including safe braking and power draw. • Incorporates uninterruptable power supply technologies into the design of critical commu- nications and signaling systems. • Checks calculations and drawings for accuracy and conformity to appropriate standards. • Writes clear, concise, and detailed technical specifications for signal systems. • Reviews and routinely improves block design, time distance curves, and braking charts. • Integrates positive train control systems into existing signaling systems and infrastructure. • Develops and conducts field tests and inspections. • Applies principles and practices of preventive and predictive maintenance to communica- tions and signaling systems. Competency: Engineering of Bridges and Structures This competency describes knowledge and skill attributes demonstrated by competent prac- titioners in the area of bridges and structures. The attributes define a systematic and integrated overview of the design, construction, and preservation of all types of railroad bridges and struc- tures. In general engineers performing this function are formally prepared in civil and environ- mental engineering. Attribute—Understand (Knowledge) • Major components and functions of rail bridge systems, including substructure, superstruc- ture, deck, and rail. • Construction and performance attributes of various bridge types, including timber, steel, concrete, and movable bridges. • Attributes of bridge sites, including drainage systems and retaining structures. • Rail bridge loading. • Preventive and predictive maintenance of bridges and structures.

126 A Guide to Building and Retaining Workforce Capacity for the Railroad Industry Attribute—Apply (Skill) • FRA bridge standards and regulations in the design of bridges and structures. • Advanced bridge and structural engineering techniques and analysis methods. • Specialty bridge design and analysis software. • American Association of State Highway and Transportation Officials (AASHTO) rail bridge guidelines. – Geometric layout. – Design loads. – Materials. – Superstructure design – Substructure design. – Wall design. – Load ratings. • Rail bridge and structure simulation software. Attribute—Value (Mindset) • Process discipline. • Open to alternative solutions. • Personal and professional accountability. • Personal and professional ethics. Confirming Behaviors • Coordinates and oversees the design of multiple subsystems to optimize bridge and structure design. • Manages and supervises design for the development of plans, specifications, and estimates required for bridges. • Identifies and recommends approaches to preventive and predictive maintenance. • Incorporates design for maintenance and design for constructability concepts in bridge and structural design and construction. • Understands techniques and practices for bridge inspection. • Determines creative and innovative methods and solutions for complex bridge engineering problems. • Addresses common problems and failure modes. • Understands the difference in ratings: Cooper, Equivalent Cooper, 286K, Performance, and more. • Complies with the requirements of a bridge management program. Competency: Control Systems Engineering This competency describes knowledge and skill attributes demonstrated by competent practi- tioners in the area of train control systems. The attributes define obtaining a working knowledge of the fundamentals as it relates to different types of systems (such as advanced train control, positive train control, and centralized traffic control) and their proper testing, verification and maintenance. In general, engineers performing this function are formally prepared in civil and environmental or industrial and systems engineering. Attribute—Understand (Knowledge) • Systems, structures, and methods associated with computer-aided dispatch. • Rail system operations, including: – Communications and signals – Rail yard operations.

Workforce Competency Models 127 – Asset management. – Information management. – Transportation logistics. • Positive train control. • Centralized traffic control. • Control system integration. Attribute—Apply (Skill) • Principles and concepts of the temporal and spatial separation of trains; including signal sys- tems, mechanical and electronic interlocking, and various forms of communication. • Contemporary rail operations systems and structures. • Comprehensive application of rail routing and dispatch operations. • Line capacity analysis. • Economics of traffic control systems. • Logistics modeling and simulation software. Attribute—Value (Mindset) • Process discipline. • Open to alternative solutions. • Personal and professional accountability. • Personal and professional ethics. Confirming Behaviors • Coordinates and oversees the operation of train dispatch and control systems. • Manages and supervises the design and certification of positive train control systems. • Assesses risk and designs positive train control systems to mitigate risks. • Incorporates design for safety concepts in train control system design and operations. • Employs and monitors performance metrics in the design and operation of train control systems. • Develops interface to other operations and maintenance systems and structures. • Addresses common problems and failure modes. • Understands, identifies, and takes proactive actions to prevent common cyber threats to train control technologies. Competency: Commitment to Safety This competency describes knowledge, skill, and attitudinal attributes demonstrated by competent practitioners that create a culture of safety. The attributes represent an advanced understanding and application of tools and processes in the design and construction of rail transportation systems, rolling stock, rail system operations and maintenance, and rail system management and labor practices. This competency includes creating a culture of safety, dem- onstrating a systems approach to safety, identifying and mitigating risks, and effective safety communications. Attribute—Understand (Knowledge) • Principles of systems engineering in safety. • Hazards and risks inherent to rail industry. • Human factors. • Hazard analysis.

128 A Guide to Building and Retaining Workforce Capacity for the Railroad Industry • Risk management. • Design for safety. • Industrial hygiene. Attribute—Apply (Skill) • Methods and techniques employed in the analysis and mitigation of hazards. • Methods and techniques to apply safety standards, practices, and research findings into daily engineering practice. • Recognize and identify potential hazards. • Systematic approach to evaluate and resolve risks inherent to rail system design and operations. • Principles and practices of communication for complex technical and business information. • Principles and practices of environmental safety and industrial hygiene. Attribute—Value (Mindset) • Constant vigilance. • Propensity to act. • Uncompromising expectation for safety. • Sustainable practice. Confirming Behaviors • Creates a culture of safety. – Uncompromisingly expects safety at all levels of the organization. – Leads regular safety reviews. – Incorporates safety metrics into design and operations performance. – Holds self and others accountable for safety performance. – Makes safety performance transparent across organization. – Recognizes and rewards team member identification of actual/potential risks, near misses. • Uses a systems approach. – Integrates safety practices throughout product/project life cycle. – Integrates safety considerations across engineering, operations, and maintenance. – Applies design for safety principles and practices. – Systematically analyzes “near miss” incidents, and implements timely corrective actions based on findings. – Effectively engages engineering, education, and enforcement strategies to achieve safety performance objectives. – Actively participates in safety review panels. • Identifies and mitigates risk. – Applies a systematic and rigorous approach to hazard identification and mitigation. – Is constantly vigilant with regard to hazards in the immediate work environment. – Suspends operations and does not proceed until risks have been effectively mitigated. • Effectively communicates. – Aggressively and clearly communicates immediate hazards to team members—advising avoidance activities. – Communicates safety issues throughout the chain of command in clear, concise, and timely fashion. – Applies a systematic and rigorous approach in developing safety communications. – Produces safety documentation that is complete in a clear, concise, and timely manner. – Aligns safety communications to organizational goals and objectives.

Workforce Competency Models 129 Competency: Project Management This competency describes knowledge and skill attributes demonstrated by competent practi- tioners in the area of project management. The attributes represent an advanced understanding and application of generally accepted project management methods and processes. In addition, the attributes describe abilities in the application and operation of project management software and information systems. Attribute—Understand (Knowledge) • Concepts, methods, and practices of project management. • Project life-cycle phases and handoffs. • Coordination requirements with key stakeholders. • Impacts of critical elements on overall project performance. • Principles of drawing and document control. • Contracts requirements. Attribute—Apply (Skill) • Generally accepted standard project management methods and techniques. • Project management tools and software applications. • Drawing and document management systems. • Financial management methods and techniques. • Risk management methods and techniques. • Quality management methods and techniques. • Environmental health and safety methods and techniques. • Oral, written, virtual, and graphical communication methods and techniques. Attribute—Value (Mindset) • Project management discipline. • Ownership and responsibility for deliverables. • Systems mindset—approach. • Attention to detail. Confirming Behaviors • Engages a systematic approach to project management. – Implements generally accepted project management standards and processes. – Leads assigned projects. – Employs appropriate quality systems and tools. – Employs computer tools and templates to issue standard reports. • Takes ownership and responsibility for project deliverables. – Identifies appropriate people and resources to solve engineering problems. – Extrapolates from experience and uses findings to make sound and timely decisions for current projects. – Implements an effective project plan and leads all phases of assigned projects. – Clearly and effectively communicates project priorities and technical requirements to con- tractors, consultants, and internal team members. – Proactively identifies and mitigates project risks. • Integrates planning. – Works across all areas and understands the big picture. – Manages handoffs between key project activities. – Employs appropriate tools to track and manage all project phases.

130 A Guide to Building and Retaining Workforce Capacity for the Railroad Industry • Actively solves problems. – Identifies problems and practical solutions. – Systematically identifies and records root-cause variables. – Implements design solutions through application of engineering knowledge and industry standards. – Remains flexible and adaptable to changes and new challenges in the project environment. • Manages contractors and consultants. – Monitors and measures the performance of consultants and contractors. – Develops effective drawing and document control. – Consults internal resources to solve problems. Competency: Personal Effectiveness This competency describes knowledge, skill, and attitudinal attributes demonstrated by com- petent practitioners that contribute to their overall effectiveness as rail transportation system engineers. The attributes represent an advanced understanding and application of key behav- iors, including professionalism and ethics, effective communication, working across boundaries, building collaborative relationships, creating a culture of accountability, knowledge manage- ment, and a commitment to professional development. Attribute—Understand (Knowledge) • Time management methods and techniques. • Task management methods and techniques. • Individual and team accountability. • Team principles. • Government structure and function at federal, state, and local levels. • Professional development needs and potential learning resources. Attribute—Apply (Skill) • Methods and techniques employed in the development of cross-functional teams. • Methods and techniques to apply reference information, industry best practices, and research findings into daily engineering practice. • Stress management. • Active listening. • Systematic approach to evaluate and resolve alternative and/or conflicting points of view. • Principles and practices of communication for complex technical and business information. • Principles and practices of environmental safety and stewardship. Attribute—Value (Mindset) • Safety. • Strong work ethic. • Commitment to rail industry. • Personal credibility. • Professional ethics. • Sustainable practice. Confirming Behaviors • Has professionalism, ethics, and values in engineering practice. – Demonstrates personal integrity. – Engages external and internal stakeholders with respect.

Workforce Competency Models 131 – Approaches challenging tasks with a “can-do” attitude. – Is open to new and different ways of doing things. – Is honest and forthright with people. – Represents employer/sponsor in a professional manner. – Conveys a command of the relevant facts and information. – Maintains a sense of humor. – Is active in professional organizations. • Effectively communicates. – Prepares clear, concise, and accurate written engineering documentation. – Effectively communicates engineering activities through written, verbal, and electronic channels. – Effectively leads project teleconference calls. – Proactively engages key stakeholders including trades and craftworkers. – Empathetic to needs and requirements of key stakeholders. – Conveys concepts and information at appropriate levels of complexity to assure that recipi- ents understand the message. – Effectively participates in public meetings. • Works across boundaries. – Effectively engages engineering resources across technical disciplines. – Effectively engages craft- and tradeworkers. – Effectively engages operations, labor, and business constituents. – Effectively engages key stakeholders across a broad constituency of internal and external interest groups. – Works appropriately and effectively across organizational boundaries—extending engi- neering influence throughout the supply chain. • Builds collaborative relationships. – Builds and maintains productive relationships with government agencies, trades, contrac- tors, consultants, labor organizations, and the general public. – Builds consensus among key stakeholders. – Actively engages and supports team activities. – Is interested in others’ viewpoints and acknowledges their perspectives and ideas. – Provides assistance, information, and support to others. – Talks to external and internal customers to identify their levels of satisfaction. – Demonstrates a commitment to working with others to meet their needs—while satisfying the company’s engineering and business requirements. • Creates a culture of accountability. – Strives to deliver high-quality engineering projects on time and on budget. – Demands continuous attention to safety. – Strives to assure that projects meet published design and performance standards. – Communicates project risks up the chain of command in a timely and effective manner. – Clearly communicates performance expectations of self and others. – Establishes clear goals and metrics that are tied to project and organizational objectives. – Tracks and communicates project progress against plan. • Manages knowledge. – Routinely employs proven practices to find and apply research and best practices in support of engineering activities. – Systematically evaluates new information to determine feasibility and applicability to engi- neering activities – Identifies and engages appropriate internal and external engineering and technical resource people.

132 A Guide to Building and Retaining Workforce Capacity for the Railroad Industry – Critically evaluates all information presented in projects, and develops relationships on a system level. • Commits to professional development. – Works with managers and peers to identify professional development needs and growth opportunities. – Maintains a personal professional development plan. – Actively participates in formal and informal learning activities. – Supports the development of others. Competency: Commitment to Standards This competency describes knowledge, skill, and attitudinal attributes demonstrated by competent practitioners in the application and interpretation of published engineering standards. Attribute—Understand (Knowledge) • Applicable rail industry and governmental standards, regulations, and guidelines. • Federal, state, and local government regulatory codes. • Project plan and specification requirements. • Construction and construction inspection standards and practices. • Operations and maintenance standards and practices. • Federal and state environmental policies and standards. Attribute—Apply (Skills) • Incorporate and satisfy relevant and appropriate engineering standards. • Incorporate and satisfy relevant and appropriate safety standards. • Develop and employ design, construction, operations, and maintenance manuals specified by the employer. Attribute—Value (Mindset) • Importance of conformity and adherence to engineering standards. • Maintenance of high technical standards. • Uncompromising commitment to safety. • Uncompromising commitment to quality. Confirming Behaviors • Evaluates engineering design, operations, and maintenance to assure compliance with appro- priate regulatory requirements and engineering standards. • Assures compliance with the federal, state, and local environmental laws throughout all stages of the project and throughout ongoing operations. • Regularly inspects projects to assure compliance with transportation safety codes and other regulations. • Establishes program and project metrics to assure ongoing compliance to engineering stan- dards and regulations. • Selects and applies standard methods and techniques to produce a quality product. • Reviews project specifications and plan to assure conformity with the laws, ordinances, and accepted professional standards that pertain to the given engineering area of specialty. • Collaborates with internal stakeholders in the development and implementation of corporate design, operations, and maintenance standards.

Workforce Competency Models 133 Competency: Utilization of Engineering Tools and Support Systems This competency describes knowledge and skill attributes demonstrated by competent prac- titioners in the area of engaging organizational tools, resource people, and support systems. The attributes represent an understanding and application design software and modeling tools that are common to the engineering practice in the rail industry. Attribute—Understand (Knowledge) • Industry standard project management practices and software. • Industry standard formats for data input, calculations procedures, and results reporting. • Drawing and document management. • Engineering CAD/3D design software. • The structure, functionality, and applicability of geographic information systems (GIS). • Statistical tools and techniques for the collection, organization, analysis, and interpretation of data. • Engineering economic analysis. Attribute—Apply (Skill) • Methods and applications of project management systems. • Methods and applications of 3D engineering CAD. • Methods and applications of drawing and document management systems. • Employs industry-accepted economic analysis tools and practices in the evaluation of project alternatives. Attribute—Value (Mindset) • Attention to detail. • Cost efficiency. • Process discipline. Confirming Behaviors • Actively establishes and manages projects in corporate systems. • Develops effective drawing and document control using tools and support systems. • Develops and maintains drawings and documents in industry-accepted standard formats. • Manages project financial information using standard processes, procedures and templates. • Operates various project management and 3D CAD analysis programs and tools to complete various project tasks. • Proficient in use of computers and programmable calculators. Rail Transportation Craftworker Competency Model Overview The craftworker competency model was developed to provide insight into the key knowl- edge, skills, and confirming behaviors of effective craftworkers in the rail industry. Because competent practice is couched within the culture of the employer, and may vary from one region of the United States to the next, not every attribute described here will apply to each specific trade of craftworker everywhere. Rather, this model is designed to give a comprehen- sive, yet general, assessment of competent practice within the industry. For each competency, job functions, knowledge, skill, and attitudinal attributes that define the competency are presented.

134 A Guide to Building and Retaining Workforce Capacity for the Railroad Industry The model includes competencies for the following six groups of crafts that are commonly employed across organizations in the rail industry: • Train and engine personnel • Dispatchers • Signal personnel • Communications personnel • Mechanical personnel • MOW workers and machinery operators Target Subject Audience The target audience for these models includes human resource hiring managers in the rail industry as well as educational and training curriculum designers and policymakers. Passen- ger and freight rail companies, manufacturers, construction companies, or other rail industry employers may employ these craftworkers. These competency models will aid in future work- force planning and development, educational programming, and policymaking within the rail industry. Assumed Background For the purpose of this model, craftworkers are made of up rail employees responsible for the safe movement of trains, dispatch, construction and non-construction maintenance, and com- munications and signaling. Education and/or training vary by craft. Levels of Engagement The target audience includes individual contributors and project team leaders. The compe- tency model describes the knowledge, skills, mindset, and confirming behaviors of craftworkers within the industry. This broad engagement provides insight into the critical factors that define competency within the industry. About the Model The following competency models are hierarchical in structure. Core competencies are defined by knowledge, skill, and mindset attributes, which are then associated with observable behaviors. The models are designed as such in an effort to quantify and determine competence among all crafts. Topics in the Model The overall structure of the competency model provides for consistent definition of compe- tencies and their attributes. Since competent practice is defined within the context and culture of the local organization, individual competencies and the level of detail associated with them may vary based on organizational characteristics. The craftworker competency model was created for general application within a broadly defined industry; therefore, the model contains “generic” knowledge, skill, and mindset attributes. In this model, the following six domain knowledge competencies for each craft are included, along with three general competencies as they relate to craftworkers in general: • Domain knowledge—train and engine personnel – Locomotive engineers – Conductors/brakemen – Remote control operators • Domain knowledge—dispatchers • Domain knowledge—signal personnel

Workforce Competency Models 135 • Domain knowledge—communications personnel • Domain knowledge—mechanical personnel – Boilermakers – Carmen – Electricians – Mechanics – Pipefitters – Shop laborers • Domain knowledge—MOW workers and machinery operators – Foremen – Large-machine operators – Small-machine operators – Track inspectors – Trackmen/laborers – Welders • Commitment to safety • Personal effectiveness • Commitment to standards For each domain competency, job functions, knowledge, skills, and mindset that define the competency are presented; after which a section on confirming behaviors relevant to all craft- workers follows. Competency: Domain Knowledge—Train and Engine Personnel This competency describes knowledge and skill attributes demonstrated by competent train and engine personnel. Discipline: Locomotive Engineers Locomotive engineers operate and control the movement of the train. They are responsible for working in conjunction with a conductor or brakeman to assure the safe and efficient move- ment of the train. Today, most locomotive engineers worked as a trainman prior to becoming an engineer. Railroads conduct engineer training, including on-the-job training. Federal certifica- tion is required every 3 years. Job Functions. The locomotive engineer has two primary functions: 1. Operation of train: Locomotive engineers operate freight or passenger trains and must be knowledgeable about the route for each trip. They must direct and control the movement of the train in a safe and efficient manner. In passenger operations, they must know the schedule in order to make sure the train operates without issue and on time. 2. Constant inspection of train: They must check the speed, air pressure, battery, and other vari- ous mechanics of the train, such as brakes and gauges, to ensure that the train is operating correctly. Attribute—Understand (Knowledge) • Railroad’s operating and safety rules and FRA regulations that apply to engineers. • The dangers inherent in railroad operations. • Regulations governing the transportation of hazardous materials. • Railroad signal and communication protocols including hand or flag signals. • Railroad radio communication protocols.

136 A Guide to Building and Retaining Workforce Capacity for the Railroad Industry • Relevant written documents, e.g., track warrants, track bulletins, rule book, timetable. • Overall operation and structure of a freight or passenger locomotive. • Physical characteristics of the territory, including length of sidings, location of signals and switches, grades, curves. Attribute—Apply (Skill) • Control the movement of the locomotive on level track, up/down hill, on a curve, and at a grade crossing in a safe and efficient manner giving consideration to track condition, equip- ment condition, and environmental factors. • Monitor status of train including air brake gauges, speed indicator, and load indicators. • Determine appropriate time to accelerate or apply brakes giving consideration to locomotive and train characteristics and to terrain and weather conditions. • If a yard engineer, execute the train preparation procedure including checking that hazardous materials are properly place and secured in the consists. • Conduct job/safety briefing with train crew. • Secure the locomotive so that it may be left unattended. • Complete all required reports for unusual occurrences. • Get on/off stationary and moving equipment. • Safely walk between cars. • Recognize equipment sounds/noises and vibrations associated with malfunctions or irregularities. Attribute—Value (Mindset) • Constant vigilance. • Propensity to act. • Uncompromising expectation for safety. • Personal and professional accountability. • Personal and professional ethics. Discipline: Conductors/Brakemen Conductors and brakemen are responsible for the train consist and for directly supervising train crew, other than the engineer. Along with the engineer, conductors and brakemen are responsible for the safe and efficient train operation, while adhering to the railroad’s rules and procedures. Job Functions. The conductor/brakeman has five primary functions. 1. Managing the train consist. The conductor must understand train makeup rules and apply them both in the yard and on the mainline. 2. Coordinating with the locomotive engineer for safe and efficient en route operation. En route, the conductor supervises overall operation and administration of the train. 3. Interacting with dispatchers/roadway workers and others outside the locomotive cab. The conductor handles all radio communications. 4. Dealing with exception situations, e.g., diagnosing and responding to train problems. The most common unanticipated events are train equipment issues which the conductor must troubleshoot and if possible correct. 5. Managing paperwork. Attribute—Understand (Knowledge) • Railroad’s operating and safety rules and FRA regulations that apply to conductors. • Implications of car placement, car consist, and car weight and shape.

Workforce Competency Models 137 • Relationship between train’s consist and train handling. • The dangers inherent in railroad operations. • Regulations governing the transportation of hazardous materials. • Railroad signal and communication protocols including hand or flag signals. • Railroad radio communication protocols. • Relevant written documents, e.g., track warrants, track bulletins, rule book, timetable. • Physical characteristics of the territory, including length of sidings, location of signals and switches, grades, curves. Attribute—Apply (Skill) • If a yard conductor/brakeman, assists the engineer in executing the train preparation procedure. • Inspects all cars prior to leaving the yard or siding. • If working in a yard, makes up freight and passenger trains in accordance with the switch list. • Gets on/off stationary and moving equipment. • Flags for vehicular traffic at crossings when required. • Removes or replaces broken knuckles. • Attaches/releases brake lines. • Communicates with yardmaster or dispatcher for train movement authority. • Communicates wayside signals audibly to engineer. • Aligns switches. • Records times of departure and arrival. • Documents equipment problems. • Collects passenger fares (passenger service only). Attribute—Value (Mindset) • Constant vigilance. • Propensity to act. • Uncompromising expectation for safety. • Personal and professional accountability. • Personal and professional ethics. Discipline: Remote Control Operators Remote control operators operate and control the movement of a switching locomotive in a railroad yard from the ground using an operator control unit (OCU). They usually work in conjunction with a second remote control operator who has only safety-override control of the locomotive. Attribute—Understand (Knowledge) • Railroad’s operating and safety rules and FRA regulations that apply to remotely controlled locomotive operations. • Knowledge of both flat and hump switching operations. • The dangers inherent in railroad yard operations. • Regulations governing the transportation of hazardous materials. • Railroad signal and communication protocols including hand or flag signals. • Railroad radio communication protocols. • Layout of OCU and function of each button, lever, and indicator light. • Relevant written documents, e.g., switch list and rule book. • Physical characteristics of the yard including switching tracks, location of switches, and main- line track.

138 A Guide to Building and Retaining Workforce Capacity for the Railroad Industry Attribute—Apply (Skill) • Takes control of remote control zone in yard. • Conducts safety briefing. • Executes the train preparation procedure to assure that the OCU and onboard controller are operating properly. • Controls the movement of the locomotive on yard track for both flat and hump switching operations. • Monitors status and position of the switching locomotive. • Determines appropriate time to accelerate or apply brakes giving consideration to number of cars being moved, type of switching operation, and weather conditions. • Communicates with other remote control operators and yardmaster as required. • Secures the locomotive so that it may be left unattended. • Completes all required reports for unusual occurrences. Competency: Domain Knowledge—Dispatchers This competency describes knowledge and skill attributes demonstrated by competent dis- patchers. The railroad dispatcher is responsible for the safe, efficient, and economical movement of trains and other railway vehicles over the railroad, as well as for the protection of those who work on the railroad. Many of the larger railroads see dispatching as a first step in a career path to railroad management. Job Functions. The dispatcher has four primary functions: 1. Planning: The dispatcher must perform preliminary planning prior to assuming dispatching responsibility each day. This includes a brief “handover” period when the dispatcher working the position during the previous shift tells the new dispatcher about current and planned train movements within the territory. 2. Controlling track use: The dispatcher is responsible for determining which trains may travel across the territory and when MOW inspectors, crews, and equipment may access the track. 3. Managing unplanned and emergency events: The dispatcher must re-schedule trains and request assistance when an unplanned or emergency event occurs. 4. Record keeping: Today’s computer-based dispatching systems do not require the dispatcher to keep detailed written records, but, depending upon an individual railroad’s procedures, some written reports may be necessary. Attribute—Understand (Knowledge) • Basic operational and administrative structure of the railroad. • Railroad’s operating and safety rules, including applicable FRA regulations. • Movement authority and protective authority, including procedures for controlling signals, switches, and blocking devices. • Track bulletins, train dispatcher bulletins, special instructions, and other forms of operational updates. • Procedures for an unplanned or emergency event. • General principles of railway signaling. • Terminology, jargon, and shorthand used by dispatchers. • Characteristics of rolling stock. • Physical and operating characteristics of different types of equipment used on the railroad. • Physical characteristics of the dispatcher’s assigned territory. • Procedures for transport of hazardous materials. • Electric power traction systems used by the railroad, if applicable.

Workforce Competency Models 139 • Appropriate radio and telephone communications protocols. • Recordkeeping and reporting requirements, including appropriate computer skills. Attribute—Apply (Skill) • Applies and removes blocking devices. • Issues and removes speed restrictions. • Safely authorizes, dispatches, and monitors the use of tracks by non-shunting equipment and work crews. • Uses clear and coherent communication skills and procedures. • Understands and uses all manual and computer-based dispatcher planning aids employed by the railroad. • Implements appropriate procedure in response to an unplanned event of emergency. • Completes required records via electronic devices or paper. • Manages and dispatches helper services, e.g., extra engine or qualified pilot (freight operations only). • Rapidly effects de-energization of one or more specific traction power sections (for electrified railroad only). Attribute—Value (Mindset) • Process discipline. • Open to alternative solutions. • Propensity to act. • Personal and professional accountability. • Personal and professional ethics. Competency: Domain Knowledge—Signal Personnel This competency describes knowledge and skill attributes demonstrated by competent signal personnel. It should be noted that signal and communications functions may be divided differ- ently across the different positions—electricians, communication maintainers, signalmen, and linemen—at different railroads. Job Functions. The signalman has one primary function: 1. Construction, installation, repair, maintenance, testing, and inspection of signal systems: These signal systems include automatic block signal systems; traffic control systems; train stop; train control and cab signal systems; interlocking systems; rail–highway grade crossing protection; automatic classification yards; hot box detectors; broken flange detectors; other similar devices, appliances, and systems; and positive train control systems. Attribute—Understand (Knowledge) • Railroad’s operating and safety rules and FRA regulations that apply to signalmen and all roadway workers. • Typical railroad rules and regulations including changes that are a result of accidents and imposed by Homeland Security. • FRA regulatory testing requirements, frequency of testing requirements, and operating rules. • Basic principles of electricity and measurement. • Basic principles of signal systems and track circuits. • Operation of rail line and railcar signaling and communication systems. • Proper conduct of troubleshooting and repairs on signaling and communications systems along rail lines and on railcars.

140 A Guide to Building and Retaining Workforce Capacity for the Railroad Industry • Operation of computer systems used in communication and signal systems on railcars and along rail lines. • Proper function of communication lines, wires, and cables; radio, fiber optic, microwave, and data transmission equipment and circuitry; as well as testing equipment. • Roadway worker rules and protections. Attribute—Apply (Skill) • Installs, inspects, tests, maintains, or repairs all signal equipment including grade crossing warning systems, signals, switches, and signal equipment, such as interlocks and hot box detectors. • Installs, troubleshoots, maintains, test, and repairs positive train control systems. • Installs, tests, maintains, and repairs retarder systems. • Installs, tests, maintains, troubleshoots, and repairs switches and switch machines. • Compiles reports including maintenance and FRA tests performed, any repairs made, and equipment requiring replacement. • Connects outgoing and incoming lines to signal/communication equipment including data processing equipment and following diagrams. • Wires signal/communication facilities. • Splices cable. • Troubleshoots, repairs, or replaces electrical equipment such as relays, timers, counters, meters, switches, control devices, or programmable controls. • Troubleshoots, repairs, or replaces electronic and microprocessor-based equipment includ- ing communications systems, constant warning time grade crossing devices, analyzers, con- trol systems, logic control, or robotics. • Aligns, adjusts, and calibrates communications/signal equipment according to specifications. • Performs fractional mathematics when testing, maintaining, or installing various pieces of signal equipment, i.e., when using Ohm’s law or calculating actual train speeds for crossing warning detection times. • Operates proper electric, pneumatic, or hydraulic hand tools such as drills, impact wrenches, power saws, and grinders. • Operates material-handling equipment such as forklifts, crane trucks, hand trucks, and over- head hoists. • Operates signal vehicles, boom trucks, and crane trucks on tracks. May require possession of a commercial driver’s license. • Operates excavating and cable burying equipment. • Assembles and installs signal foundations, signal bridges, cantilevers, gate mechanisms, etc. • Determines and receives all forms of on-track-authority. Attribute—Value (Mindset) • Constant vigilance. • Propensity to act. • Uncompromising expectation for safety. • Personal and professional accountability. • Personal and professional ethics. Competency: Domain Knowledge—Communications Personnel This competency describes knowledge and skill attributes demonstrated by competent com- munications personnel. It should be noted that signal and communications functions may be divided differently across the different positions—electricians, communication maintainers, signalmen, and linemen—at different railroads.

Workforce Competency Models 141 Job Functions. The electrician or communication maintainer has three primary functions: 1. Maintenance and repair of electrical system: The worker is responsible for the maintenance and repair of electrical systems on low horsepower systems, diesel engine systems, and other electrical systems used in railway and railcar equipment. 2. Installation, inspection, and test of communication systems: The worker is responsible for very high frequency/ultra high frequency (VHF/UHF) radios and radio dispatching systems, public address and video surveillance systems, automatic revenue collection equipment, alarm monitors, GPS networks, fiber optic systems, and communication computer networks. 3. Documentation of repair status and procedure: Depending on individual railroad proce- dures, the worker is responsible for documenting the status of equipment, what repairs it needs or has had, and what procedures were followed. Attribute—Understand (Knowledge) • Typical railroad rules and regulations including changes that are a result of accidents and imposed by Homeland Security. • Basic understanding of the operation of railcar electromechanical systems. • How to conduct troubleshooting and repairs on electromechanical systems in railcars. • Operation of rail line and railcar signaling and communication systems. • How to conduct troubleshooting and repairs on signaling and communications systems along rail lines and on railcars. • Operation of computer systems used in communications and signal systems on railcars and along rail lines. • Proper function of communications lines, wires, and cables; radio, fiber optic, microwave, and data transmission equipment and circuitry; as well as testing equipment. Attribute—Apply (Skill) • Constructing, installing, repairing, maintaining, inspecting, testing, and removing commu- nications lines and their supports; wires and cables; radio, fiber optic, microwave, and data transmission equipment and circuitry; computers, printers, and monitors; telephones; secu- rity cameras; batteries; connectors; various parts; and testing equipment. • Installation, maintenance, repair, and inspection of all electrical equipment including wiring, relays, and air conditioning/refrigeration relative to locomotives and passenger cars. • Inspection and test of electrical circuitry and equipment using standard electrical and/or elec- tronic testing equipment. • Operation of proper electric, pneumatic, or hydraulic hand tools such as drills, impact wrenches, power saws, and grinders. • Operation of material-handling equipment such as forklifts, crane trucks, hand trucks, and overhead hoists. • Operation of railroad/locomotive equipment between various shop locations, service tracks, and switching areas. • Operation and alignment of a switch and derailers. • Signaling locomotive mover for movement of locomotive using lantern, hand, or radio to indicate when to start, stop, and backup. • Conduct of tests and analysis of results to troubleshoot equipment. • Cutting, splicing, and pulling of cable on ground and on pole. Attribute—Value (Mindset) • Propensity to act. • Uncompromising expectation for safety.

142 A Guide to Building and Retaining Workforce Capacity for the Railroad Industry • Open to alternative solutions. • Personal and professional accountability. • Personal and professional ethics. Competency: Domain Knowledge—Mechanical Personnel This competency describes knowledge and skill attributes demonstrated by competent mechanical personnel. Mechanics are responsible for diagnosis, adjustments, repairs, or over- haul of railroad equipment. Discipline: Boilermakers Job Functions. The boilermaker has two primary functions: 1. Repair: Renew and repair any system pertaining to boilers, tanks, and drums. 2. Fabrication: Weld, forge, heat, shape, and bend metal; operate punches, brakes, shears, welders, wire-feed welders, plasma arc cutters, and oxygen/acetylene cutting torches and welders. Read and understand blueprints. Attribute—Understand (Knowledge) • Relevant company and FRA rules, regulations, and safety requirements that apply to boilermakers. • Machines and tools, including their designs, uses, repair, and maintenance. • Materials and methods to repair locomotives and equipment. • Locomotive mechanical characteristics, components, and systems. • Locomotive operation. • Blueprints, drawings, and technical documentation to troubleshoot, rebuild, and repair loco- motives and components. Attribute—Apply (Skill) • Ensures compliance with all railroad rules and regulations for safety, operations, and the FRA. • Positions, aligns, and secures structural parts and related assemblies of pressure vessels, such as boilers, tanks, and vats; analyzes defective units and repairs as necessary. • Inspects, patches, drills, chips, cuts, taps, welds, bolts, rivets, screws, clips, caulks, clamps, flanges, flues, or bonds component parts to assemble products. • Lays out, cuts apart, builds, or repairs boilers, tanks, and drums. • Lays out and fits up sheet iron or sheet steel work made of 16 gauge or heavier, including fronts and doors, gates and gate rigging, ash pans, front-end netting and diaphragm work, engine tender steel underframe, pressed steel tender truck frames and locomotive cabs. • Builds, repairs, removes, and applies steel cabs and running boards. • Interprets blueprints, sketches, or product specifications to determine sequence and methods of fabricating, assembling, and installing sheet metal products. • Selects gauge and type of metal, or nonmetallic material, according to specifications. • Operates precision machines such as drills, presses, lathes, and other power hand tools. • Sets up and operates fabricating machines, to cut, bend, block and form, or straighten materi- als; trims, files, grinds, deburrs, buffs, and smooth surfaces. • Straightens or reshapes bent plates or structures. • Assembles and installs a variety of metal tubes. • Removes and replaces rivets and caulks seams to repair riveted shells and structures. • Cuts and shapes defective parts, using oxygen/acetylene torch. • Fabricates any and all parts for locomotives and cars on or off of them.

Workforce Competency Models 143 • Operates material-handling equipment such as chain hoists and overhead hoists. • Operates electric and gas welding equipment. • Signals crane operator or attaches rigging to lift parts to specified position. • Operates locomotives as required. • Operates railroad computer programs used to track and document repairs. Attribute—Value (Mindset) • Uncompromising expectation for safety. • Personal and professional accountability. • Personal and professional ethics Discipline: Carmen (Freight Car and Railcar Repairers) Job Functions. The carman or freight car repairer has two primary functions: 1. Inspection: The carman performs inspections required by federal safety regulations, com- pany standards, and AAR standards, including inspecting railcar frames and bodies for holes, cracks, and other defects; safety appliances including handholds, sill steps, grab iron, brake platforms, and running boards; and wheels to ensure that rim treads, plates, hub axles, and bearings are in good repair. The carman is also responsible for the air brake system and haz- ardous materials inspections. 2. Rebuild and repair: Compliant with FRA, AAR, and company standards, the carman is responsible for maintaining, replacing, and/or repairing air brake pipes, valves, gaskets, air hoses, brake assemblies and shoes, draft gear components, and other equipment as required. The carman operates electrical and gas welding equipment to join a variety of metals and alloys and operates acetylene torches for cutting and/or shaping metal parts such as alumi- num, cast iron, steel, and bronze. Attribute—Understand (Knowledge) • Relevant company and FRA rules, regulations, and safety requirements that apply to carmen. • Machines and tools, including their designs, uses, repair, and maintenance. • Pipeline and Hazardous Materials Safety Administration (PHMSA) regulations governing the shipment of hazardous materials by rail. • Basic understanding of railcar mechanical characteristics, components, and air systems. • Blueprints, drawings, sketches, and technical documentation. • Computer-aided programs to obtain railcar information regarding car characteristics, desti- nation, lading, and repair records and/or to file data such as repair information, bad orders, and car releases. Attribute—Apply (Skill) • Ensures compliance with all railroad and FRA rules, regulations, and safety requirements. • Inspects car components for compliance with railroad, FRA, and AAR standards. • Identifies defective components and performs necessary repairs to comply with established rules and standards. • Removes and replaces couplers, draft gears, and yokes. • Inspects, replaces, and/or repairs gaskets; air hose; train line; bulkhead and other interior load restraining equipment; and steel sections such as side sheets, cross bearers, crossties, and underframing. • Builds or repairs components such as freight doors, wooden floors, or interior walls. • Repairs or replaces steel parts such as grab irons, handholds, ladders, brackets, steps, and other components.

144 A Guide to Building and Retaining Workforce Capacity for the Railroad Industry • Inspects and salvages parts from dismantled and/or scrapped cars. • Inspects and applies end-of-train device and performs airbrake tests. • Welds, cuts metal, sandblasts, replaces doors and performs general car construction. • Interprets blueprints, drawings, and technical documentation to troubleshoot, rebuild, and repair railcars. • Cleans, lubricates, and maintains tie-down devices and other special equipment on railcars. • Paints cars and car components; stencils letters and numbers on cars. • Operates light and heavy cranes, forklifts, other car-moving shop equipment, and various vehicles to the job site. • Operates proper electric, pneumatic, or hydraulic hand tools such as drills, impact wrenches, saws, and grinders. • Operates acetylene torch for cutting or shaping metal parts. • Operates railroad computer programs used to track and document repairs. Attribute—Value (Mindset) • Uncompromising expectation for safety. • Personal and professional accountability. • Personal and professional ethics. • Constant vigilance. Discipline: Electricians Job Functions. The electrician has two primary functions: 1. Locomotive system maintenance: Test, inspect, and repair switches, heaters, air conditioners, DC power systems, event recorder tapes, lights, water coolers, batteries, low-voltage systems, high-voltage systems, traction motors, cooling fans, and fuel pumps. 2. Equipment maintenance: Troubleshoot, repair, install, inspect, calibrate, and replace electri- cal high-voltage, mechanical, and electro-magnetic equipment; perform preventive mainte- nance on a variety of tools/equipment and machinery to ensure proper function. Attribute—Understand (Knowledge) • Relevant company and FRA rules, regulations, and safety requirements that apply to electricians. • Machines and tools, including their designs, uses, repair, and maintenance. • Diesel locomotive electrical systems. • Locomotive electrical characteristics, components, and systems. • Locomotive operation. • Blueprints, drawings, and technical documentation to troubleshoot, rebuild, and repair locomotives. • Railroad computer programs used to track and document locomotive repairs, maintenance, and history. Attribute—Apply (Skill) • Ensures compliance with all railroad and FRA rules, regulations, and safety requirements. • Inspects, maintains, troubleshoots, repairs, and tests diesel engines. • Inspects, maintains, troubleshoots, repairs, and tests locomotive electrical systems and components. • Performs adjustments and calibrations to electrical components. • Performs maintenance and servicing of diesel locomotives. • Performs modifications and constructs mechanical assemblies.

Workforce Competency Models 145 • Rebuilds power assemblies. • Interprets blueprints, drawings, and technical documentation to troubleshoot, rebuild, and repair locomotive electrical systems. • Uses various non-power hand tools such as hammers, screwdrivers, files, wrenches, etc. • Operates various electric, pneumatic, or hydraulic power tools such as drills, impact wrenches, saws, and grinders. • Operates material-handling equipment such as hand trucks, overhead or mobile cranes, and forklifts to assist in assignments. • Operates locomotives as required. • Operates railroad computer programs used to track and document repairs. • Inspects and tests electrical systems and equipment to locate and diagnose malfunctions using visual inspections, testing devices, and computer software. • Reassembles and tests equipment after repairs. • Splices wires and solders connections to fixtures, outlets, and equipment. • Installs new fuses, electrical cables, or power sources as required. • Locates and removes or repairs circuit defects such as blown fuses. • Adjusts, repairs, or replaces defective wiring and relays in ignition, lighting, air conditioning, and safety control systems, using electrician’s tools. • Refers to schematics and manufacturers’ specifications that show connections and provide instructions on how to locate problems. • Maintains equipment service records. • Cuts openings and drill holes for fixtures, outlet boxes, and fuse holders, using electric drills and routers. • Measures, cuts, and installs frameworks and conduit to support and connect wiring, control panels, and junction boxes, using hand tools. Attribute—Value (Mindset) • Process discipline. • Uncompromising expectation for safety. • Personal and professional accountability. • Personal and professional ethics. Discipline: Mechanics (Diesel Mechanics, Machinists) Job Functions. The mechanic has two primary functions: 1. Locomotive engine maintenance: Repair running gears such as wheels, springs, hangers, and brake rigging traction motors. Test and repair brake systems, safety appliances, couplers, draft systems, air compressors, safety valves, lube oil pumps, filter systems, fuel systems, radiators, and shutters. Install, disassemble, assemble, repair, or replace locomotive diesel engine com- ponents. Perform scheduled and preventive maintenance on tools and equipment. 2. Inspection: Inspect locomotive components and diagnose malfunctions in diesel engines, locomotive systems, equipment, and components. Attribute—Understand (Knowledge) • Relevant company and FRA rules, regulations, and safety requirements that apply to mechanics. • Machines and tools, including their designs, uses, repair, and maintenance. • Diesel engines and diesel locomotive mechanical systems. • Locomotive mechanical characteristics, components, and systems. • Locomotive operation.

146 A Guide to Building and Retaining Workforce Capacity for the Railroad Industry • Blueprints, drawings, and technical documentation to troubleshoot, rebuild, and repair locomotives. • Railroad computer programs used to track and document locomotive repairs, maintenance, and history. Attribute—Apply (Skill) • Ensures compliance with all railroad and FRA rules, regulations, and safety requirements. • Inspects, maintains, troubleshoots, repairs, and tests diesel engines. • Inspects, maintains, troubleshoots, repairs, and tests locomotive mechanical systems and components. • Performs adjustments and calibrations to mechanical and electrical components. • Performs maintenance and servicing of diesel locomotives. • Performs modifications and construct mechanical assemblies. • Rebuilds power assemblies. • Assembles, fits, aligns, and tests diesel engines and other locomotive components to ensure smooth performance. • Interprets blueprints, drawings, and technical documentation to troubleshoot, rebuild, and repair locomotives. • Uses various non-power hand tools such as hammers, screwdrivers, files, and wrenches. • Operates various electric, pneumatic, or hydraulic power tools such as drills, impact wrenches, saws, and grinders. • Operates material-handling equipment such as hand trucks, overhead or mobile cranes, and forklifts to assist in assignments. • Operates locomotives as required. • Operates railroad computer programs used to track and document repairs. Attribute—Value (Mindset) • Process discipline. • Uncompromising expectation for safety. • Personal and professional accountability. • Personal and professional ethics. Discipline: Pipefitters (Sheet Metal Workers) Job Functions. The pipefitter has two primary functions: 1. Fabrication: Fabricate, cut, shape, and modify items utilizing various methods (e.g., seaming, riveting, brazing, or welding). Utilize pipe threaders, pipe bending, pipe coupling, sheet metal brakes, shears, snaps, metal-cutting saws, drills, wire-feed welders, and oxygen/acetylene cut- ting torches, and repair various components of locomotives. 2. Inspection and repair: Inspect and properly repair piping on the following systems on loco- motives: air brakes, exhaust system, lube oil, cooling water, air compressor, radiator, and fuel system. Install, disassemble, assemble, repair, or replace locomotive and diesel engine com- ponents as required. Attribute—Understand (Knowledge) • Relevant company and FRA rules, regulations, and safety requirements that apply to pipefitters. • Machines and tools, including their designs, uses, repair, and maintenance. • Materials and methods to repair locomotives and equipment. • Locomotive mechanical characteristics, components, and systems. • Locomotive operation.

Workforce Competency Models 147 • Blueprints, drawings, and technical documentation to troubleshoot, rebuild, and repair loco- motives and components. Attribute—Apply (Skill) • Ensures compliance with all railroad rules and regulations for safety, operations, and the FRA. • Interprets blueprints, sketches, or product specifications to determine sequence and methods of fabricating, assembling, and installing sheet metal products. • Selects gauge and type of metal, or nonmetallic material, according to specifications. • Builds, erects, assembles, installs, dismantles, and maintains parts made of copper, brass, tin, zinc, and white/black metal including brazing, soldering, tinning, and leading. • Bends, fits, cuts, threads, brazes, connects, and disconnects air, water, gas, oil, and steam pipes. • Operates pipe threading machines. • Performs oxy-propane and arc welding. • Cuts and shapes defective parts, using oxygen/acetylene torch. • Operates material-handling equipment such as chain hoists and overhead hoists. • Operates locomotives as required. • Operates railroad computer programs used to track and document repairs. Attribute—Value (Mindset) • Process discipline. • Uncompromising expectation for safety. • Personal and professional accountability. • Personal and professional ethics. Discipline: Shop Laborers (Utility Workers) Job Functions. The shop laborer has two primary functions: 1. Equipment operations: Operate forklift, mobile crane, track mobile, and shop tractor. 2. Equipment and shop maintenance: Sand, fuel, and clean locomotives. Clean and organize shop work area: sweep and clean work surfaces, store parts, empty and discard garbage; oper- ate power-driven equipment such as a vacuum cleaner, electric broom, or steam cleaning gun. Attribute—Understand (Knowledge) • Relevant company and FRA rules, regulations, and safety requirements that apply to shop laborers. • Basic knowledge of locomotive characteristics, components, and systems. • Locomotive operation. • Railroad computer programs used to track and document locomotive repairs, maintenance, and history. Attribute—Apply (Skill) • Ensures compliance with all railroad and FRA rules, regulations, and safety requirements. • Operates heavy-duty equipment and licensed and unlicensed vehicles and works around all types of moving equipment. • Performs tasks associated with work assignments such as cleaning, sweeping, forklift opera- tion, handling material, and fueling locomotives. • Cleans interior/exterior of locomotives, equipment, and mechanical parts. • Supplies locomotive with necessary materials.

148 A Guide to Building and Retaining Workforce Capacity for the Railroad Industry • Completes routine reports and makes entries into log and inventory records. • Cleans empty cars. • Checks fuel or water sight glass/gauge to determine fluid levels on tools, machines, or equip- ment (hydraulic, lubricating, fuel, cooling, etc.) and performs preventive maintenance on a variety of tools, equipment, or machinery. • Operates mechanical washing system, including preparation of cleaning solutions to clean grease, scales, dirt, and other foreign matter from locomotives, freight cars, and equipment. • Operates locomotives as required. • Operates railroad computer programs used to track and document work history. Attribute—Value (Mindset) • Process discipline. • Uncompromising expectation for safety. • Personal and professional accountability. • Personal and professional ethics. Competency: Domain Knowledge—MOW Workers and Machinery Operators This competency describes knowledge and skill attributes demonstrated by competent MOW workers and machinery operators. MOW workers must ensure that the integrity of the track structure remains within FRA regulatory compliance and that the railroad right-of-way remains clear, safe, and navigable at all times. Often times, MOW workers must operate machinery in order to effectively perform their jobs. Disciplines are included to distinguish specific attributes. Job Functions. The MOW worker and machinery operator perform three primary functions: 1. Monitor condition of track: MOW workers must routinely inspect, maintain, check, clear, and repair the tracks. Often times these tasks must be completed using specialized equipment and machinery. 2. Ensure area adjacent to track is clear: Workers must keep this area clear for safety. Their work can include removing debris, clearing drainage trenches, installing drainage systems, trimming back trees and shrubs, reapplying gravel, and other activities. Keeping this area clear promotes visibility so that train drivers can clearly see what is ahead of them, reduces track obstructions by keeping the area around the track clear of potential obstructions, and reduces fire hazards. 3. Operate variety of machinery: Workers must know how to safely operate specialized on- and off-track machinery to maintain and repair track and surrounding area, as well as discern which pieces of equipment and tools are suited for each task. Attribute—Understand (Knowledge) • Machines and tools needed to perform tasks, including their designs, uses, repair, and maintenance. • Materials, methods, standards, and tools involved in the construction or repair of the track. • Relative policies, procedures, strategies, and regulatory standards to maintain track and nearby area to ensure safety of people, property, and surrounding community. • Railroad’s operating and safety rules and FRA regulations that apply to MOW workers. Attribute—Apply (Skill) • Inspects tracks regularly for signs of problems or deviations from federal safety standards, including missing or damaged ties, plates, and fasteners; damaged or defective rails; ballast

Workforce Competency Models 149 and drainage, maintenance of continuous welded rail (CWR); joint bar defects, missing bolts, missing/ineffective anchors, etc. • Ascertains the overall condition of the track, implements appropriate remedial actions (i.e., slow order, repair, or remove track from service) based upon observed track conditions, and monitors for any potential obstructions. • Operates self-propelled on- and off-track specialized equipment such as light cranes; ordinary motor trucks; tampers; regulators; tie handlers; hoists/booms; undercutters; tractors, graders, and other heavy equipment; large cranes; dump trucks; bulldozers; bob cats; backhoes; etc. to maintain and repair the railroad tracks and related infrastructure (i.e., right-of-way, bridges, culverts, catenary systems, etc.). • Loads, unloads, and delivers materials; supplies; equipment; and new, used, or scrap parts and materials to and from storage areas, stock piles, and job sites. • Loads, unloads, and hauls scrap, used materials, and other debris. • Operates mechanical yard sweepers and vacuum trucks. • Operates automatic equipment, including preparation of cleaning solutions to chemically clean grease, scales, dirt, and other foreign matter from metal machinery, parts, filters, and materials. • Checks, changes, and replenishes fluid levels on tools, machines, or equipment (hydraulic, lubricating, fuel, cooling, etc.). • Operates booms, hoists, jacks, power tools, etc. as required. • Hooks and directs crane to transfer and position material or parts. • Operates hand-held, hand-supported power-operated machinery or equipment such as power washers, jackhammers, air chisels, hand-held tampers, spiking guns, pneumatic wrenches, shot/sand blasters, rail saws, rail drills, grinders, chain saws. • Operates personnel-lifting equipment such as bucket-lifts, platform-lifts, safety pallets. • Inspects machinery to identify would-be problems or defects. • Services, repairs, adjusts, and tests machines, devices, moving parts, and equipment. Attribute—Value (Mindset) • Constant vigilance. • Propensity to act. • Uncompromising expectation for safety. • Personal and professional accountability. • Personal and professional ethics. Discipline: Foremen Job Function. The foreman oversees the work of either a track gang or a production gang. Depending upon the size of the gang, there may also be an assistant foreman. Attribute—Understand (Knowledge) • Full operational knowledge of federal track safety standards, track structure, and related terminology. • Requirements of the federal track safety standards that apply to the inspection of track and the restoration and renewal of the track for which he/she is responsible. • Railroad’s operating and safety rules, including application of roadway worker protection requirements to protect of self and those operating under his/her on-track safety. • Rules on the physical characteristics of the railroad. • The dangers inherent in track work and the use of all equipment employed for this purpose. • Procedures for securing track time.

150 A Guide to Building and Retaining Workforce Capacity for the Railroad Industry • Procedures for responding to an unplanned or emergency event. • FRA track safety standards, roadway worker protection standards, roadway maintenance machine standards, and applicable OSHA standards such as Respiratory Protection (1910.134), Hazard Communication (1910.1200), and Lockout/Tagout (1910.147). Attribute—Apply (Skill) • Ensures proper and safe use of all equipment employed in track installation and repair. • Applies and follows roadway worker protection procedures for the protection of self and employee under his/her protection. • Assigns workers as appropriate to the track work to be undertaken. • Conducts on-track safety and job safety briefing prior to each day’s work and each time con- ditions change. • Responds to unplanned or emergency event in a timely fashion in accordance with railroad procedures. Discipline: Large-Machine Operators Job Function. The large-machine operator uses self-propelled track equipment such as a ballast tamper, ballast regulators, tie handlers, and undercutter and off-track equipment such as a crane and backhoe. Attribute—Understand (Knowledge) • Basic to full operational knowledge of federal track safety standards, track structure, and terminology. • Railroad’s operating and safety rules, including roadway worker protection. • The dangers inherent in track work and the use of self-propelled equipment. Attribute—Apply (Skill) • Properly and safely uses selected self-propelled equipment in use on the railroad. • Inspects, and detects any malfunction of, self-propelled equipment. • Follows roadway worker protection procedures. Discipline: Small-Machine Operators Job Function. The small-machine operator uses small hand-held or push-along (not self- propelled) track equipment such as grinders, tie borers, and rail saws. Attribute—Understand (Knowledge) • Basic operational knowledge of track structure and terminology. • Railroad’s operating and safety rules, including Roadway Worker Protection. • The dangers inherent in track work and the use of hand-held or push-along power equipment. Attribute—Apply (Skill) • Properly and safely uses all hand-held or push-along power equipment in use on the railroad. • Inspects, and detects any malfunction of, hand-held or push-along power equipment. • Follows roadway worker protection procedures. Discipline: Track Inspectors Job Function. The track inspector performs inspection of track and identifies conditions that do not meet FRA safety standards. A foreman is also qualified to be a track inspector.

Workforce Competency Models 151 Attribute—Understand (Knowledge) • Full operational knowledge of federal track safety standards, track structure, and terminology. • Requirements of the federal track safety standards that apply to the inspection of track and the restoration and renewal of the track for which he/she is responsible. • Railroad’s operating, physical characteristics, and safety rules, including roadway worker protection. • The dangers inherent in track work and the use of all equipment employed for this purpose. • Procedures for securing track time. • Procedures for responding to an unplanned or emergency event. • Procedures for reporting the results of track inspections. Attribute—Apply (Skill) • Contacts dispatcher to secure access to track for inspection. • Inspects track in accordance with FRA track safety standards, detects deviations from those standards, and prescribes appropriate remedial action or safely compensates for those devia- tions. Inspection may be by high-rail vehicle or on foot. • Identifies conditions that must be corrected to achieve compliance with FRA track safety standards. • Removes track from service if identified deviations cannot be corrected or safely compen- sated for. • Performs minor repairs, e.g., replaces missing spikes and bolts, repairs pull aparts, replaces broken bars. • Reports inspection results in accordance with railroad and FRA procedures and in a timely fashion. Discipline: Trackmen/Laborers Job Function. The trackman/laborer position is a labor-intensive job requiring the use of hand tools for work on the track and right-of-way. Most MOW employees begin their career with the railroad as a trackman/laborer. Attribute—Understand (Knowledge) • Basic operational knowledge of track structure and terminology. • Railroad’s operating and safety rules, including Roadway Worker Protection. • The dangers inherent in track work. Attribute—Apply (Skill) • Properly and safely uses all hand tools in use on the railroad’s right-of-way. • Selects appropriate hand tool for task, e.g., for bolt installation and removal, or tie plate replacement. • Follows roadway worker protection procedures. Discipline: Welders Job Function. The welder position involves electric, thermite, and gas welding of track. Attribute—Understand (Knowledge) • Basic to full operational knowledge of track structure and terminology (Many welders are required to be qualified to the level of track foreman/track inspectors).

152 A Guide to Building and Retaining Workforce Capacity for the Railroad Industry • Railroad’s operating and safety rules, including roadway worker protection. • The dangers inherent in track work, the use of welding equipment, and the application of the appropriate safety rules and OSHA standards related to welding and welding safety. Attribute—Apply (Skill) • Properly and safely uses welding equipment in use on the railroad’s right-of-way. • Detects any malfunction of welding tools and equipment. • Follows roadway worker protection procedures. • Welds all track to be in compliance with federal track safety standards. Confirming Behaviors for Craftworker Domain Knowledge Competencies Mentoring/Transfer of Knowledge • Commits to acquiring appropriate knowledge and/or skills. • Takes the first step to initiate colleague-to-colleague relationship. • Is trusted counselor or guide. • Is responsible for overall career guidance and support for their mentee. • Creates a safe environment built upon mutual respect and trust for the mentoring relationship. Proper Escalation • Ensures that all facts are gathered and all alternatives have been considered. • Has thorough understanding and subject matter expertise of role to ensure appropriate issues and concerns are presented up. • Has courage to bring an issue or situation to someone’s attention even if there may be repercussions. Action Oriented/Proactivity • Performs work with energy and drive. • Values planning but will take quick, decisive action when an opportunity presents itself. • Is willing to take on tasks that are viewed as challenging. Good Judgment • Recognizes when to escalate situations to the appropriate people in the appropriate channels. • Makes decisions authoritatively and wisely after contemplating various courses of action. • Refrains from jumping to conclusions, takes time to collect facts, and makes an educated decision. • Can appropriately balance needs versus desires. • Considers long- and short-term implications of decisions. Attention to Detail • Expresses that things be done right, thoroughly, and precisely. • Completes all work in accordance with policies, procedures, and standard operating procedures. • Reviews work for accuracy and thoroughness. • Carefully monitors quality and standard of work for self and teams. • Double-checks the accuracy of information and work product to provide consistent work.

Workforce Competency Models 153 Effective Oral Communication • Adapts communication style to a situation in order to meet goals, reach consensus/under- standing, or create buy-in. • Requires direct interaction with all involved parties, including listening to the needs and con- cerns of others. • Confronts and clarifies miscommunication. • Effectively listens when in communication with another, requiring shutting out distractions and focusing mentally on the speaker. • When using electronic forms of communication, confronts miscommunication or lack of clarity by having a phone or in-person conversation. • Uses appropriate body language when speaking with another to show interest and under- standing to the other person. • Provides a timely and appropriate response. Effective Written Communication • Uses correct grammar, punctuation, and spelling when writing. • Takes appropriate notes based upon a conversation or training that can be understood and comprehended by all readers. • Proofreads all communications to ensure accuracy and understanding before submitting or sending. Competency: Commitment to Safety This competency describes the knowledge, skills, and mindset demonstrated by competent practitioners that create a culture of safety. This competency includes creating a culture of safety, demonstrating a systems approach to safety, identifying and mitigating risks, and effective safety communications. Attribute—Understand (Knowledge) • Hazards and risks inherent to rail industry. • Human factors. • Hazard analysis. • Risk management. • Design for safety. • Industrial hygiene. Attribute—Apply (Skill) • Methods and techniques employed in the analysis and mitigation of hazards. • Methods and techniques to apply safety standards, practices, and research findings into daily engineering practice. • Ability to recognize and identify potential hazards. • Systematic approach to evaluate and resolve risks inherent in the specific trade. • Principles and practices of environmental safety and industrial hygiene. Attribute—Value (Mindset) • Constant vigilance. • Propensity to act. • Uncompromising expectation for safety.

154 A Guide to Building and Retaining Workforce Capacity for the Railroad Industry Confirming Behaviors • Creates a culture of safety. – Uncompromisingly expects safety. – Participates in regular safety reviews. – Holds self and others accountable for safety performance. – Makes safety performance transparent across organization. – Recognizes and rewards team member identification of actual/potential risks and near misses. • Uses a systems approach. – Integrates safety practices throughout product/project life cycle. – Applies design for safety principles and practices. – Systematically analyzes “near miss” incidents and implements timely corrective actions based on findings. – Actively participates in safety review panels. • Identifies and mitigates risk. – Applies a systematic and rigorous approach to hazard identification and mitigation. – Constantly vigilant with regard to hazards in the immediate work environment. – Suspends operations and does not proceed until risks have been effectively mitigated. • Effective communication. – Aggressively and clearly communicates immediate hazards to team members—advising avoidance activities. – Communicates safety issues throughout chain of command in clear, concise, and timely fashion. – Reviews all safety documentation made available by employer. – Aligns safety communications to organizational goals and objectives. Competency: Personal Effectiveness This competency describes the knowledge, skills, and mindset demonstrated by competent practitioners that contribute to their overall effectiveness as railroad craftworkers. This compe- tency is characterized through demonstrated professionalism, ethics, and values in craft practice; effective communication; building of collaborative relationships; and creation of a culture of accountability. Attribute—Understand (Knowledge) • Time management methods and techniques. • Task management methods and techniques. • Individual and team accountability. • Team principles. • Government structure and function at federal, state, and local levels. • Professional development needs and potential learning resources. Attribute—Apply (Skill) • Stress management. • Active listening. • Systematic approach to evaluate and resolve alternative and/or conflicting points of view. • Principles and practices of communication for complex technical and business information. • Principles and practices of environmental safety and stewardship.

Workforce Competency Models 155 Attribute—Value (Mindset) • Safety. • Strong work ethic. • Commitment to rail industry. • Personal credibility. • Professional ethics. Confirming Behaviors • Professionalism, ethics, and values in respective craft. – Demonstrates personal integrity. – Treats all with respect. – Approaches challenging tasks with a “can-do” attitude. – Is open to new and different ways of doing things. – Is honest and forthright with people. – Represents employer/sponsor in a professional manner. – Conveys a command of the relevant facts and information. – Maintains a sense of humor. – Is active in professional organizations. • Effective communication. – Prepares clear, concise, and accurate written documentation when indicated. – Effectively communicates activities through written, oral, and electronic channels. • Building of collaborative relationships. – Builds and maintains productive relationships with government agencies, trades, contrac- tors, consultants, labor organizations, and the general public. – Actively engages and supports team activities. – Interested in others’ viewpoints and acknowledges their perspectives and ideas. – Provides assistance, information, and support to others. • Creation of a culture of accountability. – Demands continuous attention to safety. – Communicates project risks up the chain of command in a timely and effective manner. – Clearly communicates performance expectations of self and others. Competency: Commitment to Standards This competency describes the knowledge, skills, and mindset demonstrated by competent practitioners in the application and interpretation of standards in the rail industry. Attribute—Understand (Knowledge) • Applicable rail industry and governmental standards, regulations, and guidelines. • Federal, state, and local government regulatory codes. • Construction and construction inspection standards and practices. • Operations and maintenance standards and practices. • Federal and state environmental policies and standards. Attribute—Apply (Skills) • Incorporation and satisfaction of relevant and appropriate standards in trade. • Incorporation and satisfaction of relevant and appropriate safety standards. • Employment of design, construction, operations, and maintenance manuals specified by the employer.

156 A Guide to Building and Retaining Workforce Capacity for the Railroad Industry Attribute—Value (Mindset) • Maintenance of high technical standards. • Uncompromising commitment to safety. • Uncompromising commitment to quality. Confirming Behaviors • Assures compliance with the federal, state, and local environmental laws throughout ongoing operations. • Complies with transportation safety codes and other regulations. • Selects and applies standard methods and techniques to produce a quality product. • Reviews project specifications and plan to assure conformity with the laws, ordinances, and accepted professional standards that pertain to the given trade.