Training and Certification of Highway Maintenance Workers (2015)

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7 CHAPTER TWO LITERATURE REVIEW 1985). During the presentation, it was observed that highway transportation agencies in the developing world had made a heavy investment in infrastructure and equipment. The big- gest threat to this investment, according to the presenter, was the lack of qualified, motivated personnel to plan, construct, and maintain the existing roadway network (Morra 1985). Conference participants identified the lack of “training man- power” as a significant hindrance to economic growth (Morra 1985). Five reasons were identified for why training programs across the developing world were failing to meet the needs of developing countries (Morra 1985). These are (Morra 1985) • Lack of support for the program on the part of the high- est levels of management, • Lack of sound policy on training, • Lack of an effective permanent training program within the agency, • Limited incentives or motivation for maintenance per- sonnel to attend training, and • Shortage of funds to meet annual expenditures required to implement the training program. The situation described in 1985 likely resonates with American highway transportation agencies today. Train- ing continues to be vital to maintaining a productive main- tenance workforce, but its impact is often compromised by lack of funding, planning, and upper-management support (Committee on Future Surface Transportation Agency Human Resource Needs: Strategies for Recruiting, Train- ing, and Retaining Personnel 2003). Moreover, highway agencies today face additional chal- lenges that were not nearly as prominent 30 years ago. Rapid advances in technology are driving the need for a skilled and versatile maintenance workforce (Cristofaro 2006). Mainte- nance workers, particularly those maintaining and repairing equipment, need an identified list of requisite technical skills (Cristofaro 2006). However, the external labor market can- not supply a sufficient number of workers with these skills, and the competition for skilled employees is fierce (Com- mittee on Future Surface Transportation Agency Human Resource Needs: Strategies for Recruiting, Training, and Retaining Personnel 2003; Cristofaro 2006). Agencies typically look to develop requisite maintenance skills through training. This necessary skill-development OVERVIEW Training, and in some cases certifying, front-line main- tenance workers is necessary. Training and certification prepare maintenance workers to complete a multitude of operational activities safely, accurately, and efficiently. However, given the range of maintenance activities typi- cally performed, the improvements in maintenance technol- ogy and practice, and the increasing number of requirements that need to be met by maintenance workers today, it is a challenge for highway transportation agencies to keep their training programs current and highly effective. This literature review highlights research documenting the need for maintenance training and certification programs, and efforts being made to keep such programs current and effec- tive. Much of the literature presented in this review focuses on the methods used to deliver training effectively to main- tenance audiences, partnering relationships to develop and deliver training, and efforts to link training and performance. When gathering resources for this literature review, it became clear that there is very little research available on practices for training and certifying front-line highway maintenance workers. Much of the information available and applicable to this synthesis focuses on transportation workforce development efforts in general or for a specific technical area, such as safety. There is some documentation of state agency maintenance training programs, partner- ships, and training initiatives, which is included. Informa- tion from related industries, such as transit, is utilized to present innovative approaches to maintenance training and certification that could be replicated by highway transpor- tation agencies. In addition, information from international organizations on the topic of highway maintenance train- ing and certification is included as a means of highlighting effective practices and approaches that could be adapted by domestic highway agencies. WHY MAINTENANCE TRAINING AND CERTIFICATION IS NECESSARY Thirty years ago, at a highway maintenance conference hosted by the World Bank, there was a presentation on the state of road maintenance training in the developing world (Morra

8 training can eventually lead to more cost-effective repairs, better availability of needed equipment, and less equipment and staff downtime (Wemhoff 2012). This aspect of training becomes vital for agencies that are encountering increasing demands on maintenance personnel as staffing is decreased. According to the literature, decreases in maintenance staff- ing typically correspond to growth in the transportation program overall, which means there is no corresponding reduction in the amount of maintenance work that needs to be completed (Committee on Future Surface Transportation Agency Human Resource Needs: Strategies for Recruit- ing, Training, and Retaining Personnel 2003). Therefore, it is imperative that existing workers receive training so the maintenance program can operate effectively and efficiently. CHANGING THE WAY TECHNICAL TRAINING IS DELIVERED As was mentioned in the Morra presentation (1985), one of the reasons that training programs were failing to meet the needs of developing countries was a lack of adequate fund- ing. This problem is also often encountered by state high- way agencies. By federal and private industry standards, transportation agency workforce training expenditures are insufficient (Committee on Future Surface Transportation Agency Human Resource Needs: Strategies for Recruiting, Training, and Retaining Personnel 2003). Studies of train- ing investment in the private sector and federal agencies have shown that successful organizations spend, on average, 2% of salaries on training, which is at least four times more than transportation agencies spend on training (Committee on Future Surface Transportation Agency Human Resource Needs: Strategies for Recruiting, Training, and Retaining Personnel 2003). In today’s economic climate, many transportation agen- cies struggle to justify their training investment, and lever- age the modest training budgets they have for optimal impact (Rall et al. 2011). One way that agencies are seeking to do this is through the use of nontraditional methods for deliver- ing training. Nontraditional methods of delivering training include technology-based methods such as web-based training, web conference training, and mobile training. A 2015 review of state highway agency websites indicates that nontraditional delivery methods are being used to deliver technical train- ing. TC3 stated in its 2012 Strategic Plan that although its initial training offerings were provided as instructor-led courses, economic challenges prevented that model from being used on a large scale (TC3 2012). Other transportation training initiatives, such as AASHTO’s Snow and Ice Pooled Fund Cooperative Program, elected to develop computer- based winter maintenance training because of the cost- effectiveness and convenience of the medium (Clear Roads, http://clearroads.org/computer-based-training/, accessed June 3, 2015). The TC3 Strategic Plan further supports the use of online learning as its primary training platform because of the availability of the Internet across the country (TC3 2012). Although there is no evidence that highway transportation agencies are preparing to make online training their primary delivery method, transportation agencies are using alternative delivery methods to meet a portion of their training needs. This information is supported by TC3 membership data. As of June 2015, TC3 reported that 30 state highway transportation agencies were contributing to the technical services committee through a pooled fund (A. Jaffee, per- sonal communication, June 17, 2015). The pooled fund’s primary purpose is to develop and distribute web-based training content, largely targeted to maintenance personnel. With an investment of $20,000 annually, participating state agencies have access to more than 80 web-based training modules. If an agency compares this investment against the average cost to develop a single training course, an agency gains approximately $450,000 in leveraged course develop- ment. This represents a return on the investment of 2,150% (A. Jaffee, personal communication, June 17, 2015). Economics are not the only reason to pursue alternative delivery methods such as web-based training. These meth- ods can preserve the presence of the instructor but negate the costs of travel or a training facility. They can also serve spe- cial training needs. For instance, Leiphart and Ngo (2002) indicate that it would be financially difficult for most trans- portation agencies to develop and maintain a course with a limited number of attendees. They show that web or video conferencing may be a more effective technique for deliv- ering these types of specialized training courses because the material can be delivered to a small audience on an as- needed basis. Alternative delivery methods can provide greater flexibil- ity for the maintenance trainee, allowing him or her to access learning as needed and from varying locales (Lowrie et al. 2011). In addition, training can be completed at the mainte- nance worker’s pace and in accordance with his or her sched- ule. Such access to training allows agencies to make different decisions about training requirements and certifications, given the availability of training to maintenance workers. According to a study conducted by Rutgers Univer- sity on surface transportation security training needs, “[I]nternet-based webinars and teleconferences are becom- ing an increasingly popular training mechanism” (Lowrie et al. 2011, pp. 122). According to the Rutgers study, these mediums are preferred because employees can participate directly from work sites while retaining interaction with peers. The study also found that trainees prefer to be able

9 to balance the online training with face-to-face instruction (Lowrie et al. 2011). As documented in the literature, alternative delivery methods provide greater flexibility in scheduling and allow the trainee to set his or her own pace. This is a value to transportation workers who believe that their training time is limited. In an FHWA study on workforce development, 26 state respondents indicated that they had 2 hours or less per week to devote to professional development (Leiphart and Ngo 2002). In addition, the majority of respondents, includ- ing managers, indicated that training was most effectively delivered in intervals of 1 hour or less and that they pre- ferred to take training in an office within driving distance of their workplace (Leiphart and Ngo 2002). This information indicates that transportation employees have limited time to attend classroom training and are reluctant to participate in training that requires travel. Alternative delivery methods allow maintenance per- sonnel to receive the training they need despite constrained budgets, travel policies, or schedules. However, there are some concerns about the effectiveness of self-paced train- ing. Research indicates that the application of this method and its effectiveness for maintenance personnel is sparse (Nakanishi et al. 2015). One study found that online and computer-based training received mixed support from sur- vey respondents on the subject of its effectiveness, partic- ularly for front-line maintenance personnel (Lowrie et al. 2011). Although there are considerable benefits for both the trainee and the organization using alternative methods, the study listed the following concerns (Lowrie et al. 2011): • The inability to verify maintenance workers’ performance, • The lack of instructor or peer interaction, and • The lack of transferability of the content throughout the agency. These concerns may explain why most state highway agencies continue to favor traditional methods of training. The inclination for traditional delivery methods is supported by a report prepared for the Montana DOT that indicates that the greatest improvement in performance is obtained from on-the-job training (Lees 2002). The study indicates that those agencies interviewed for the report relied heav- ily on the on-the-job training owing to time constraints and remote work locations for construction (Lees 2002). Other research found that the most effective method for front-line maintenance personnel was providing hands-on training and problem solving (Lowrie et al. 2011). The TC3 numbers indicate that highway transportation agencies are using alternative delivery methods to provide training, most likely as a supplement to traditional methods for certain types of content. It may be that highway trans- portation agencies are creating blended training: different content taught different ways in order to achieve a com- bined success. NCHRP Report 468 indicates that blended learning is preferred by some agencies because it takes advantage of the most effective elements of each training medium within agency constraints (Nakanishi et al. 2015). As highway transportation agencies continue to balance budget constraints against the need to develop a skilled workforce, it appears likely that they will continue to use both traditional and alternative delivery methods to meet their training needs. TRAINING DEVELOPMENT AND DELIVERY PARTNERING EFFORTS The pursuit of alternative delivery methods is one way agen- cies make training available with modest training budgets. Other strategies involve sharing materials or partnering with other agencies on course developments. As previously noted, more efforts are being made in the transportation industry to partner in order to gain access to necessary training and certification programs (TC3 2012; Clear Roads 2015). Most of these partnering efforts evolved as an answer to the chal- lenge of developing comprehensive training material. By combining funds with peer agencies, common training needs can be developed cost-effectively. In addition, similar partnerships with LTAP offices or community colleges can also help reduce training costs for an agency, as documented in the literature. One example of training partnering efforts comes from Montana DOT. Before developing their own partnerships, Montana DOT hired a consultant to investigate existing partnerships in the highway transportation community to develop and deliver core courses of common interest in the areas of design, construction, and inspection of highway projects. The study found that partnering led to reduced fees for training, the ability to share training responsibilities, and an improved product resulting from collaboration on the design of the course (Lees 2002). The Montana study also reports several key elements that must be in place for a strong partnership to develop (Lees 2002). First, the partnership should have dedicated funding available from course fees, which allows for budget planning and the prioritization of training needs. Second, the part- nership should allow for collaborative design to take place, which introduces the possibility of bringing new experiences and perspectives into the training content, which may have an important impact on the quality of the final training prod- uct. Third, the partnership should provide for the joint deliv- ery of training, thus easing the burden on any one agency and further exposing trainees to new ideas and experiences provided by different instructors. Finally, the partnership should strive for continuous improvement in all aspects of training development and delivery through the creation of a

10 training plan that examines the relevance of existing training products and suggests necessary improvements. In addition to partnerships among state agencies, the research suggests that partnerships with community col- leges are occurring more regularly and more formally, and provide significant opportunity for growth (Glitmana 2010). In 2002, the University of Vermont Transportation Research Center conducted an analysis of community col- leges that provide training in support of transportation work- force development. The analysis discovered the following about this partnership (Glitmana 2010): • The majority of schools reported having programs that develop skills relevant to the transportation sector, especially general skills (e.g., finance, technologies, operations, and maintenance) that are transferrable to nontransportation industries. • When schools plan to expand or initiate transportation curriculum, it is primarily in technical areas such as engineering, in which the skills may extend to sectors other than transportation. • Similarly, when schools indicated having specialized equipment, most of the investment was for tools that could be leveraged beyond transportation studies. Few schools reported owning or having access to transpor- tation-specific equipment such as training ships, rail cars, or airplane fuselages. • The majority of schools reported having strategic part- nerships with other schools. Of 145 community colleges, 38% indicated they had an oper- ations and maintenance curriculum in place (Glitmana 2010). In addition, a significant number of respondents indicated they have, or plan to acquire, specialized equipment to support transportation-related training (Glitmana 2010). Although few indicated they had plow, mowing, or other maintenance-related types of equipment, equipment to provide commercial driver training was common (Glitmana 2010). Community colleges in partnerships with state and local transportation agencies and transportation-related industry groups provided guidance for establishing those relation- ships if not already in place (Glitmana 2010): • Establish a formalized advisory board with representa- tion from both private- and public-sector partners. • Enhance the transportation aspect of existing comple- mentary degree and certificate programs by broad- ening the content to include relevant transportation concepts and skills. • Investigate existing state and federal programs as potential sources of funding, expertise, and assis- tance for establishing or enhancing the transportation curriculum. • Tap into private- and public-sector demand for custom- ized, noncredit training that can become the founda- tion for building a broader transportation program. Of the four practices listed here, the third and fourth bul- lets have the biggest implications for highway transportation agencies. They indicate that there are existing resources an agency can use to establish partnerships and funding oppor- tunities to support training development efforts. LINKING TRAINING TO PERFORMANCE Another important aspect of the training and certification of maintenance workers that is discussed in the literature is the ability to link training to performance. As stated earlier, limited incentives or motivation for maintenance person- nel to attend training can lead to a failure of the employee and the agency to meet maintenance needs (Morra 1985). Establishing the link between training and performance helps ensure that the maintenance workforce has the skills and the flexibility necessary to address technical job require- ments. Linking training to performance also helps ensure that employees clearly understand the expectations of the job, how those expectations are to be met, and the incen- tives available to meet those expectations (Aschbrenner et al. 2000; Cristofaro 2006). North Carolina DOT (NCDOT) has made significant progress in this area (Aschbrenner et al. 2000). In recog- nition of high employee turnover rates, loss of qualified workers to better paying industries, and reductions in the number of experienced employees as a result of layoffs and retirement, NCDOT developed a program to outline the specific requirements, knowledge, skills, and abilities that maintenance workers needed at various levels across con- tent areas (Aschbrenner et al. 2000). At each level, training was identified to develop the requisite knowledge, skills, and abilities; test mastery; and certify. As employees completed the process at each level, they received advancement and pay raises. As a result, there were benefits at all levels of the organization, including the development of quality training materials, the acquisition of valuable skills by the trainee, and an improvement of service for the traveling public. NCDOT’s example indicates that substantial planning was required in order to establish a training program that aligned with performance objectives for maintenance workers in each employment category. The literature iden- tifies the following actions as important considerations for developing training that aligns with performance (Wem- hoff 2012): • Determine the expected skill and knowledge required for all levels of employment (i.e., beginner, intermedi- ate, and advanced).

11 • Determine the standards for recognizing successful completion of the training task. • Identify follow-on training (and possibly more testing) needed to advance employees along the career path. • Decide if national certifications will be considered as standard for satisfactory completion or determine if more stringent requirements are needed. It is important that this information be considered care- fully by highway transportation agencies seeking to estab- lish a similar link to training and performance for front-line maintenance workers.