CHAPTER 4
Case Examples

This chapter documents the planning, execution, program assessment, and forward-looking plans for selected state DOTs that conduct stormwater-related training. The case examples of selected state DOTs document insightful information regarding details of their programs. State DOT personnel with direct connections to their stormwater training programs were interviewed via teleconference for approximately 1 hour. Narratives were created from the conversations in the case example interviews. Narratives were provided to the participating state DOTs, who provided necessary revisions and confirmed accuracy. Appendix C provides the open-ended questions used to guide case example interview discussions.

4.1 Selection of Case Examples

Data collected from the literature review and the survey questionnaire were used to identify state DOTs for further analysis using the following criteria:

• State DOTs who have varying degrees and modalities for stormwater training offerings for their personnel,
• At least one state DOT from each AASHTO region, and
• Willingness of state DOT survey respondents (26 of 44) to participate in a follow-up interview.

4.2 Minnesota DOT

Minnesota DOTʼs training program dates back to the 1990s and was developed following a series of environmental-related issues. Minnesota DOT partnered with UMNʼs extension program to develop a training program. Today, training is offered in each of the eight DOT district offices, but approximately 70% of all training is conducted online. In-person courses are held at a Minnesota DOT/Minnesota Department of Safety (State Patrol)-shared training facility. Typically, training courses are capped at 60 participants, but the preference is to have no more than about 40 participants per course. Minnesota DOT needs a minimum of 25 registrants per course to cover expenses.

All training programs are designed for a technical audience; however, the DOT provides occasional IDDE training for the public. Minnesota DOT has three construction stormwater training programs: (1) SWPPP Design, (2) Construction Manager, and (3) Construction Installer. Participants are required to go through training once every 3 years. Contractors working on Minnesota DOT projects are required to have 16 hours of contact time. Attendees are required to pass an exam with a score of 70% or higher. Those who fail have retake opportunities. The intent is not to fail participants but to make sure they are knowledgeable in the permit requirements and topic areas.

Training is led by a lead trainer and a co-trainer. Trainers are made up of DOT personnel and UMN professors. The two instructors swap throughout the workshops to balance training styles and maintain engagement. Identifying and recruiting good trainers has been challenging. It was described as “taking a certain personality to want to present to an audience of contractors.” UMN and Minnesota DOT have an agreement in place that Minnesota DOT provides instructor support.

Minnesota DOT training is primarily focused on MCM 4 (construction stormwater); although, MCM 6 (IDDE) is also covered in training. Other organizations in the state provide training in other stormwater areas. For example, training is also offered by the Minnesota Erosion Control Association, Minnesota Association of Professional Soil Scientists, and Minnesota Utility Contractors Association. Minnesota DOT also has annual meetings with seeding vendors and contractors.

None of the existing Minnesota DOT training programs are geared toward the general public. The public outreach and education category is not a major focus for Minnesota DOT. Public outreach occurs through the Adopt a Highway program, storm drain marker program, some limited social media, and public-facing stormwater information on the DOTʼs website. For the most part, Minnesota DOT relies on municipalities to provide public outreach and education.

Minnesota DOT does not have a mechanism in place to document and assess training effectiveness, and it has been difficult to prove that the material taught has actually been learned. Feedback is based on informal feedback. The general perception is that training has improved since initial program offerings.

Some effective training methods that Minnesota DOT uses include the use of dynamic trainers and incorporating scenario-based lessons to keep attendees interacting and engaged. Demonstrations such as flocculant demos are great way to break up the training sessions. With the UMN partnership, the DOT plans to incorporate research findings into training as it becomes available. Other innovations in training include the “Ask me anything” series, which is a themed, 1-hour, office-style webinar session to ask course instructors DOT-specific questions. These sessions include PDHs and are a great way to provide interaction outside of formal training. Training material is revisited every year to update content. The DOT spends approximately 5 hours to update 1 hour of content. For initial development, the estimate is close to 40 hours of development time for every hour of delivery.

One of the challenges Minnesota DOT faces is recruiting trainers who are capable, knowledgeable, and willing to serve as instructors. UMN has developed a train-the-trainer workshop where it provides an annual meeting to share best practices. A challenge the DOT recognizes is providing enough knowledge to trainers so that they remain knowledgeable. They try to meet this challenge by providing field opportunities and attending conferences. Another challenge is in the format of delivery. Minnesota DOT has perceived challenges in keeping attendees engaged with virtual delivery offerings. Online courses tend to be less personable, more succinct and “to the point.”

Minnesota DOT is interested in exploring innovative strategies. For example, it is looking to incorporate a field component into training. During training, staff have tried to simulate field inspection scenarios through photos in the class, but it is not the same. It is interested in simulating mock inspections while being supervised and coached by a mentor to demonstrate competence. Ideally, it would include a researcher to help evaluate effectiveness while piloting a program. Minnesota DOT recognizes that training will have to adapt to new formats, including overhead inspections (UAS-based inspections) and electronic reporting. Minnesota DOT is also exploring the idea of on-demand modules participants can pick and choose from to customize their training requirements. This elective-based format would provide attendees with course credit and allow them to focus on and cater to their personal interests.

4.3 Texas DOT

Texas DOT has a training program established for DOT staff. Hundreds, if not thousands, of state employees are trained annually through the agencyʼs stormwater programs. Training occurs in two primary stormwater training areas: (1) construction stormwater, and (2) post-construction stormwater. Specialty stormwater-related topics also exist, but they are not part of a standalone training program. Construction stormwater training requirements are managed through the Environmental Management System (EMS), which provides a training matrix outlining required courses for design and construction activities. Courses are offered through online, self-paced courses and in-person, instructor-led courses. The EMS provides information on deadlines, recertification requirements, and offered modality. The post-construction stormwater training program is required for personnel involved in design and inspection. Training records are kept and logged in the DOTʼs annual MS4 report.

Texas DOT training modalities vary by course type. Several courses are available on demand, which allow DOT employees to take them self-paced online. Most courses are geared toward DOT staff; although, an external program is offered through a partnership with the University of Texas Arlington. These courses are available to the public and are not limited to DOT staff; however, there is an internal training system that allows internal employees to take training on demand. Other online training courses are offered statewide. The DOT also uses AASHTO training programs, such as those mentioned in the Literature Review.

Instructor-led courses are taught monthly through virtual offerings for Construction Engineering Inspectors (external to the DOT) and Texas DOT personnel. At the DOT regions, Texas DOT district environmental coordinators help teach field-based inspection courses. Texas DOT has a network of approximately 50 DOT staff trainers, referred to as adjunct instructors. It also has a formal train-the-trainer program. Texas DOT provides materials to trainers for courses. Trainers are designated as a Certified Stormwater Trainer. The DOT reports no shortage of training opportunities for construction stormwater management offerings. Classes typically stay full because of the high turnover rate, which requires frequent training of new staff.

Texas DOT does not have any formal training program for public, but it does provide guidance and online resources. Several public-involvement-geared BMPs exist, such as the Adopt a Highway program. Texas DOT also sponsors the Beyond the Road program, which provides handouts and publications about stormwater and water quality. The Donʼt Mess with Texas program also provides public education and outreach, primarily through anti-littering campaigns.

Trainers are recruited primarily through the role of District Environmental Quality Coordinators (DEQCs). Personnel in these roles are responsible for ensuring that environmental issues, permits, and commitments are managed and implemented during construction. DEQCs are target personnel for delivering training. In addition to DEQCs, Texas DOT relies on other environmental staff to deliver training. The Construction Division has an inspector development program that is also used to recruit trainers. Experienced inspectors and engineers become certified instructors and work with DEQCs to co-teach workshops. Training opportunities are open to other Texas DOT personnel passionate and interested in teaching.

In addition to meeting environmental permitting commitments, Texas DOT is motivated to provide training opportunities to develop their staff. Like other state DOTs, Texas DOT has experienced high turnover, and there is a need to train inexperienced staff on policy and procedures for them to properly complete their job functions. Across the department, Texas DOT has instilled a culture of training and professional development and provides a suite of opportunities for employee growth.

Training effectiveness is assessed through voluntary surveys at the end of training classes. Texas DOT instructors review course material and evaluate what needs to be evaluated annually.

Updates to training materials are provided when permits are renewed/updated to incorporate new requirements. Instructor-led courses are reviewed for updates annually, and self-paced, online courses are revised as new material triggers the need for updates. DEQCs may provide feedback on issues they encounter in the field to provide suggestions for improvement. Another mechanism Texas DOT uses to collect training needs is through its EMS. The EMS is a process used to manage environmental considerations during all phases of construction EMS. Self-assessments are used to quantify training needs and compliance issues related to training. District staff fill out Environmental Permits, Issues, and Commitments (EPIC) surveys to assess needs. These are used to help identify training needs. Last, Texas DOT facility housekeeping and pollution-prevention audit findings are used to inform training needs.

Texas DOT has found that online-based learning allows it to train a large number of personnel on their own time. Staff are working on converting some of their in-person offerings to on-demand online formats. This approach also helps minimize the wait time for in-person courses to be offered. Staff have encountered situations where class offerings cannot meet the training needs and demand. To keep engagement and ensure learning is taking place, online courses require the successful completion of knowledge tests to receive credit. Instructor-led online courses use activities in virtual break-out rooms to engage inspectors. Furthermore, instructors use real-world examples and scenarios. Another successful training strategy has been to include site visits with inspectors on active jobsites. This allows instructors to review forms, mark-up sheets, and review inspection items with trainees. Typically, these field visits are conducted with 3 to 10 participants at a time and can take up to 4 hours per class. These field visits use local trainers who help target and cater to district-specific related issues, needs, and consider local climates.

Some issues Texas DOT has faced with its training offerings are based on the difficulty of keeping staff on recurring training schedules. For example, Spill Prevention Control and Countermeasures (SPCCs) training requires annual refreshers. It has large lapses and difficulties in implementing recurring training effectively. It has also become cumbersome to track which staff require training because of frequent changes in roles and responsibilities.

4.4 Vermont Agency of Transportation

Vermont Agency of Transportation does not have a regular offering of training courses, rather training opportunities are provided as needed. Occasional formal training offerings are provided when specific needs arise, such as the release of a new stormwater manual. When training is offered, it is typically offered through the central office, with the exception of construction stormwater training opportunities, which are offered regionally. The agency also participates in virtual training offerings provided by AASHTO. Vermont Agency of Transportation has an LMS that facilitates online training in addition to in-person offerings. Training is also offered to maintenance staff for MS4 (referred to as a TS4 in Vermont) requirements and the Multi-Sector General permit (MSGP). Annual SWPPP trainings are conducted at the individual Vermont Agency of Transportation facilities with staff to comply with the state operational permits. These trainings are site-specific to the facility and to the permit requirements. Stormwater-related training offerings are mostly geared toward in-house Vermont Agency of Transportation staff. Vermont Agency of Transportation also hosts an annual spring kickoff and fall in-person closeout meeting for staff. These are not designated as training offerings, but they provide an opportunity for field staff to learn from subject matter experts.

Vermont Agency of Transportation has a TS4 requirement for public education and outreach, but no specific training opportunities are offered for these MCMs. Vermont Agency of Transportation is part of a regional planning commission where MS4 communities pool funds for an advertisement agency to provide messaging to support public education and outreach

requirements. Vermont Agency of Transportation occasionally has one-off social media posts on stormwater, but it is not regularly used as a platform.

Construction stormwater training is typically provided in person, onsite, in a one-on-one format. These site visit trainings can last anywhere from 15 minutes to an hour. Maintenance onsite training can last from a few hours to half a day depending on the topic.

The agency relies primarily on maintenance staff to provide in-house training. Consultants were hired to facilitate formal training in the past. These training programs may take different formats, but in the past, they have offered a 3-day training program with 1.5-hour-long sessions, broken up by breaks.

Informal training offerings are motivated by changes in regulations, the issuance of new permits, or new manuals developed for the state. In addition, when trends begin to show common deficiencies in plans or execution, training is planned to address concerns. Developing the annual TS4 report provides the agency with an opportunity to identify deficiencies that can then be incorporated into future training offerings.

Vermont Agency of Transportation does not have a formal mechanism to measure training effectiveness, but courses incorporate learning checks throughout the training. For required training offerings hosted by the maintenance group, a tracking mechanism is used to document who and how many individuals attended. Any online offerings are tracked in the LMS. Tracking data is primarily used toward reporting statistics in the annual MS4 permit.

Timely delivery of training as needed has proved to be effective for Vermont Agency of Transportation. Another effective strategy has been to record training offerings so staff can access them between in-person offerings. For maintenance-related training activities, in-person (face-to-face) onsite training at the facility has been highly effective.

Some training-related challenges were reported by Vermont Agency of Transportation. Specifically, coordinating training offerings with maintenance staff can be difficult because of limited availability by trainees for in-person training. For construction stormwater training, the current format may be too informal and lacks a standardized approach. Since the TS4 permit does not require construction stormwater training, it is simply conducted by Vermont Agency of Transportation to improve its program. The agency believes it would benefit by having a more structured and formal training program.

4.5 Washington State DOT

Washington DOT trains all in-house staff and consultants who do stormwater design work. In addition, it provides training for construction engineers. Two primary courses are offered twice a year: (1) construction stormwater and (2) post-construction stormwater. After successful completion of construction stormwater and post-construction (permanent) stormwater trainings are completed, certificates are issued with certificate numbers for each training that is stored in the WSDOT database. A PE must sign off and stamp drainage plans, hydraulic reports, temporary erosion and sediment control plans, SWPPP, and SPCC to provide the associated training certification number beside the PE stamp.

The construction stormwater training program follows the Temporary E&SC Manual (TESCM), whereas permanent practices are based on the Hydraulics Manual and the Hydraulics Runoff Manual. Following COVID disruptions, all training courses moved to an online format that consists of a 3-day instructor-led course using Microsoft Teams. TESCM courses consist of an instructor-led 2-day class using Microsoft Teams and 1-day hands-on field training to teach trainees on how to build various BMPs specific to construction runoff management. All courses

are technical. In addition to the two primary courses, training is offered for IDDE. Currently, no offerings exist for public education and outreach related training. Washington DOT provides public outreach through environmental-related roadway signage at project sites and public town-hall style meetings with public stakeholders.

Courses are led by staff members from within Washington DOTʼs Hydraulics unit, and two to three trainers provide training. In addition to regulatory requirements that drive training needs, Washington DOT is also motivated in providing training to help meet its environmental commitments with environmental groups and tribal nations. Washington DOT regulations and BMPs are geared toward protecting salmon, which is a large contributor to the stateʼs economy. Besides removing sediment, copper, lead, and zinc from stormwater, Washington DOT is working on developing a new BMP that removes 6-PPDQ (phenyl-p-phenylenediamine quinone) effectively.

Training offerings are assessed using follow-up surveys at the completion of course delivery. This provides trainers with basic feedback on the perception of course delivery and content. Updates to training materials are triggered when the TESCM is updated, which occurs every 5 years when the NPDES permit is renewed with Washington Department of Ecology.

Washington DOT indicated that COVID provided a major disruption in training offerings; however, it did result in the development of online-based offerings. Looking forward, Washington DOT is planning to include site visits with field training offerings on design-build projects, and there is interest in providing outreach to high school students.