Corrective Action Plans. Metrorail Category 7: Performance of Information Management Technology (4 Findings and 8 Required Actions)

Corrective Action Plans Metrorail Category 7: Performance of Information Management Technology (4 Findings and 8 Required Actions) 468

FTA SMI (MAR 16 APR 3 2015) Finding R-39 Required Action R-7-39-a Federal Transit Administration (FTA) Safety Management Inspection (SMI) MAR 16 APR 3 2015 Washington Metropolitan Area Transit Authority (WMATA) R-7-39-a 1 9/11/15 WMATA FTA 1 of 10 469

FTA SMI (MAR 16 APR 3 2015) Finding R-39 Required Action R-7-39-a Table of Contents 1 BACKGROUND... 3 2 PURPOSE... 3 2.1 FTA FINDING... 3 2.1 FTA REQUIRED ACTION... 3 3 ANALYSIS AND RECOMMENDATION... 3 3.1 ANALYSIS... 3 3.2 RECOMMENDATION... 3 4 ACTION PLAN DESCRIPTION... 4 4.1 APPROACH... 5 4.2 SCHEDULE... 7 4.3 BUDGET / COST ESTIMATE... 7 4.4 INTERNAL STAKEHOLDERS... 8 5 CAP COMPLETION DOCUMENTATION... 9 6 PERFORMANCE MEASURES... 9 7 VERIFICATION... 9 8 CAP APPROVAL... 10 1 9/11/15 WMATA FTA 2 of 10 470

FTA SMI (MAR 16 APR 3 2015) Finding R-39 Required Action R-7-39-a 1 Background The Federal Transit Administration (FTA) completed a Safety Management Inspection (SMI) of the Washington Metropolitan Area Transit Authority (WMATA) rail and bus systems. FTA issued Safety Directive 15-1 identifying 54 safety findings and 91 required actions to improve safety. 2 Purpose This Corrective Action Plan has been developed to address Safety Finding No. R-39 and its Required Action R-7-39-a. 2.1 FTA Finding Difficulties with WMATA s Enterprise Learning Management (ELM) have forced departments to use work- arounds resulting in poor documentation of initial and refresher training, certifications, professional licenses and re- certifications. 2.1 FTA Required Action WMATA must evaluate the existing ELM recordkeeping system and take corrective action, as necessary, to ensure accurate training, re-certification, and professional certification records are created, maintained, and readily accessible to appropriate managers and employees. 3 Analysis and Recommendation 3.1 Analysis ELM functionality is constrained by the lack of an authoritative source record for employees and contractors in PeopleSoft Human Capital Management (HCM). It was always the intention to create the necessary business processes to support this activity once the migration to HCM 9.1 was completed. The General Manager (GM) will be approving the work elements and deliverables recorded in this document thereby authorizing and enabling the IT Department to proceed with this project. 3.2 Recommendation Now that the HCM 9.1 upgrade has been successfully deployed to production, Metro is now in a position to establish processes to facilitate role based provisioning including establishing 1 9/11/15 WMATA FTA 3 of 10 471

FTA SMI (MAR 16 APR 3 2015) Finding R-39 Required Action R-7-39-a functional requirements, and building/documenting the processes, training and audit functions such that accurate records are maintained. If ELM is incapable of supporting this goal, alternatives paths will also be considered. 4 Action Plan Description An ELM business policy will be developed to provide guidance on how ELM training records should be documented and maintained. The policy will also identify the roles and responsibilities necessary to ensure that accurate training data is captured and maintained within ELM. The Future of Workforce Initiatives are being used as a guideline in the re-configuration of HCM and ELM to ensure accurate recordkeeping. These four initiatives are as follows: (1) Personnel Data Standardization and Governance: This initiative aims to streamline the flow of personnel data across different systems and functions across the authority through a phased standardization effort (2) Personnel Data Transaction Management: This initiative aims to identify, categorize, analyze and improve key processes utilizing personnel data in their transactions (3) Employee Training Profile Enhancement: This initiative aims to codify the training, license, and certification requirements for different positions across the authority to ensure that only qualified employees are filling. (4) TimeKeeping Enhancement: This initiative aims to standardize and automate the tools and processes related to timekeeping in order to improve the accuracy and auditability of labor payment. The Employee Training Profile Enhancement initiative will build upon the foundation set by initiatives one (1) and two (2) to aid HCM in becoming the authoritative source record for personnel information. This first two initiatives have a direct impact on the quality of data that ELM receives from HCM. Once these initiatives have been achieved the data pushed from HCM to ELM will be more accurate and useful among the ELM user community as we move towards improving ELM s functionality. The steps to complete the Employee Training Profile Enhancement also known as initiative three (3) are as follows: 1 9/11/15 WMATA FTA 4 of 10 472

FTA SMI (MAR 16 APR 3 2015) Finding R-39 Required Action R-7-39-a (1) Define Inventory of Employee Roles (2) Codify Qualification Requirements into ELM (3) Conduct Gap Analysis of Qualification Requirements (4) Maintain/Update Training Requirements Other minor business processes (Training Audit, Supplemental Learning, and Certification Management) will be developed to aid the ELM user community in fully utilizing the tool to capture training, certifications and professional licenses as required. 4.1 Approach Deliverable 1) ELM Policy Description This policy will enforce the use of ELM across Metro as the authoritative source of record for training. It will also identify the roles and responsibilities associated with ELM. Responsible Party Matthew Peters Due Date 10/16/16 2) Formal evaluation of ELM s capabilities 3) 4) Employee Roles Report* Qualification Requirements Report* 5) Training Audit Process* To support addressing this action item, including a proposal of alternatives if it is deemed incapable Path 1 Cataloging the different types of employee roles across the authority and determining the required experience, trainings, licenses, certifications, etc. for each Configuring the ELM tool to build lists of requirement trainings, certifications, and licenses with corresponding ongoing training needs for each of the roles identified in the previous phase This process will define the catalogue of trainings that should be maintained in ELM. The process will also define how a training record audit should be documented and managed to include corrective actions. Tiffany Grey 6/1/2017 Matthew Peters Mark Weaver Mark Weaver, Tamela Gilkes 9/22/2017 3/09/2018 6/15/2018 6) Final Implementation Of enhanced ELM or alternative training tracking system Tiffany Grey 7/27/2018 1 9/11/15 WMATA FTA 5 of 10 473

FTA SMI (MAR 16 APR 3 2015) Finding R-39 Required Action R-7-39-a Deliverable Description Responsible Party Due Date 7) Development of user training materials and a schedule For training delivery to appropriate departments. Matthew Peters 9/1/2018 8) Quality Audit Report* The Office of Information Technology Quality Assurance (ITQA) performs scope verification and inspection of CAP deliverables to ensure that all are completed as planned and expected. Shikha Khan 9/15/2018 Path 2 9) Implementation of New Learning Management System Implementation a new learning management system that meets the learning and tracking needs of WMATA Tiffany Grey 6/30/2019 10) Development ofuser training materials and a schedule For training delivery to appropriate departments. Matt Peters 8/1/2019 11) Quality Audit Report The Office of Information Technology Quality Assurance (ITQA) performs scope verification and inspection of CAP deliverables to ensure that all are completed as planned and expected. Shikha Khan 9/1/2019 1 9/11/15 WMATA FTA 6 of 10 474

FTA SMI (MAR 16 APR 3 2015) Finding R-39 Required Action R-7-39-a 4.2 Schedule Tasks Estimated Start Estimated Finish Kick Off Meeting 07/01/16 07/01/16 Define Requirements for ELM Policy 07/05/16 07/15/16 Develop ELM Policy 07/18/16 08/21/16 Review and Edit Policy 08/24/16 09/11/16 ELM Policy Approval 09/14/16 10/16/16 Formal evaluation of ELM s capabilities 1/3/2017 6/30/2017 Path 1 Define Inventory of Employee Roles* 7/3/2017 9/22/2017 Codify Qualification Requirements into ELM* 12/18/2017 3/09/2018 Develop Training Audit Process* 3/12/2018 6/15/2018 Enhanced System Rollout 6/18/2018 7/27/2018 Path 2 Implementation of new learning management system 1/3/2018 6/30/2019 4.3 Budget / Cost Estimate This action will be funded in the capital budget in FY2016. Additional capital funds will be required in future fiscal years to complete this action. Segment Code Cost Estimate CIP 49 TOTAL $1.5M $1.5M 1 9/11/15 WMATA FTA 7 of 10 475

FTA SMI (MAR 16- APR 3 2015) Finding R-39 f----1 Required Action R-7-39-a 4.4 Internal Stakeholders ) The following internal stakeholders are committed to work on the action plan: Give To/ Estimated Required Participant Needed From Item Needed Coordinate Completion Initials With Date Participation in Human Resources meetings and Lydia 07/01/16- Talent Management Matthew Peters development Oghogho 07/01/17 (HRTM) of processes 1/ Participation in Bus Maintenance ( meetings and Lydia 07/01/16- (BMNT) Phillip Wallace development Oghogho 07/01/17 of processes ( I Participation in Bus Transportation meetings and Lydia 07/01/16- (BTRA) Robert Potts,qJ I development Oghogho 07/01/17 of processes Deputy General Manager of Operations Robert Troup Participation in (DGMO) -e..-r meetings and Lydia 07/01/16- Operations development Oghogho 07/01/17 Management Services Linda Stoffregen ( of processes (OPMS) 1 ) Rail Transportation p-z.. rr.:o-r Participation in Hercules Ballard (RTRA).,..p.,J;t, k ROOT Department of Safety & Environ mental Management (SAFE) Dr. Lauren Semper -Scott Lou Brown $ fiv meetings and Lydia 07/01/16- development Oghogho 07/01/17 of processes Participation in meetings and Lydia 07/01/16- development Oghogho 07/01/17 of processes Transit Infrastructure and Engineering Andrew Off Participation in Systems (TIES) meetings and Lydia 07/01/16- development Oghogho 07/01/17 Vehicle Program Joseph _L- of processes Services (CENV) Reynolds ",u;v, 'r-c #fl.an _A P CAP deliverables Lydia 9/15/18 or verified and Oghogho 9/1/19 ; JttJ'f' reviewed ITQA Shikha Khan./ \) 1 09/11/15 WMATA FTA 8 of 10 476

FTA SMI (MAR 16 APR 3 2015) Finding R-39 Required Action R-7-39-a 5 CAP Completion Documentation After Metro s collective review, a memorandum with enclosed CAP deliverables (refer to 4.1) will be provided to FTA to support the closure of this required action. 6 Performance Measures 100% of WMATA employees are added to updated unified tracking system within 3 months of completion 100% of WMATA departments have received training within 12 months of completion 7 Verification Review of formal ELM evaluation document and alternatives. On-site demonstration of updated training tracking system. Monthly review of employee training completion percentage. 1 09/11/15 WMATA FTA 9 of 10 477

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FTA SMI (MAR 16 APR 3 2015) Finding R-40 and R-41 Required Actions R-7-40-a, R-7-40-b, R-7-40-c, and R-7-41-a Federal Transit Administration (FTA) Safety Management Inspection (SMI) MAR 16 APR 3 2015 Washington Metropolitan Area Transit Authority (WMATA) R-7-40-a, R-7-40-b, R-7-40-c, and R-7-41-a 1 09/11/15 WMATA FTA 1 of 12 479

FTA SMI (MAR 16 APR 3 2015) Finding R-40 and R-41 Required Actions R-7-40-a, R-7-40-b, R-7-40-c, and R-7-41-a Table of Contents 1 BACKGROUND... 3 2 PURPOSE... 3 2.1 FTA FINDING... 3 2.2 FTA REQUIRED ACTION... 3 3 ANALYSIS AND RECOMMENDATION... 4 3.1 ANALYSIS... 4 3.2 RECOMMENDATION... 4 4 ACTION PLAN DESCRIPTION... 5 4.1 APPROACH... 6 4.2 SCHEDULE... 7 4.3 BUDGET / COST ESTIMATE... 8 4.4 INTERNAL STAKEHOLDERS... 9 5 CAP COMPLETION DOCUMENTATION... 10 6 PERFORMANCE MEASURES... 10 7 VERIFICATION... 10 8 CAP APPROVAL... 12 1 09/11/15 WMATA FTA 2 of 12 480

1 Background FTA SMI (MAR 16 APR 3 2015) Finding R-40 and R-41 Required Actions R-7-40-a, R-7-40-b, R-7-40-c, and R-7-41-a The Federal Transit Administration (FTA) completed a Safety Management Inspection (SMI) of the Washington Metropolitan Area Transit Authority (WMATA) rail and bus systems. FTA issued Safety Directive 15-1 identifying 54 safety findings and 91 required actions to improve safety. 2 Purpose This Corrective Action Plan has been developed to address Safety Finding No. R-40 and R-41 and their Required Actions R-7-40-a, R-7-40-b, R-7-40-c, and R-7-41-a. 2.1 FTA Finding WMATA s MMIS, in its current configuration, is cumbersome and challenging to use for many WMATA maintenance employees. WMATA s IT Department lacks necessary authority to ensure that all WMATA departments use IT applications in the same manner to ensure data sharing, coordination of training, and conduct of audits in a consistent manner. 2.2 FTA Required Action WMATA must develop a training strategy for improving the capabilities of employees to enter, analyze and assess information into the agency s Maintenance Management Information System. WMATA must establish a data reliability working group focused on maintenance information. The Information Technology Department must coordinate with the Technical Training Department to ensure the availability of additional training on the use of WMATA s Maintenance Management Information System for WMATA s maintenance departments. WMATA must assess data accessibility and coordination needed to support safety functions throughout the agency including the operations and maintenance departments. 1 09/11/15 WMATA FTA 3 of 12 481

3 Analysis and Recommendation 3.1 Analysis FTA SMI (MAR 16 APR 3 2015) Finding R-40 and R-41 Required Actions R-7-40-a, R-7-40-b, R-7-40-c, and R-7-41-a Each of these findings speaks to a concern with either the functionality, data quality, or reporting capabilities of Maximo. Many of these concerns exist because Maximo has developed organically over the past decade. Many of its functions have been narrowly tailored for specific user groups, which leads to poor data quality and cumbersome navigation. Functionality is best addressed by: Simplifying the existing Work Order processes, reducing the number of same from sixteen to five or fewer; Automatically linking appropriate job instructions to work orders; Automatically linking appropriate parts and shop supplies to work orders; Implementing the latest version of Maximo to ease navigation issues; Implementing an agency wide training program to train users in the revised work order processes and screen navigation. Data quality is best addressed by: Developing an enterprise-wide data dictionary so that each data element is used for the same purpose by all users Constraining edit rights to the appropriate system of record and the actual data owners To the extent feasible, apply data validation techniques to each data field To the extent feasible, eliminate or limit the use of free-text fields Implement working groups to review the current data and validate it 3.2 Recommendation This work is part of the Maximo 7.6 upgrade project, a component project of the Asset Management Systems Program, which was instituted in April, 2014. The 7.6 upgrade has just commenced. Using the forthcoming upgrade of its MMIS, Maximo, to version 7.6, which has improved screen navigation capabilities to reduce the cumbersome nature of the system. This project will include the following phases: a) conduct, in coordination with the Transit Asset Management Office (TAMO), a full business process reengineering to revise and standardize its work order processes and business 1 09/11/15 WMATA FTA 4 of 12 482

FTA SMI (MAR 16 APR 3 2015) Finding R-40 and R-41 Required Actions R-7-40-a, R-7-40-b, R-7-40-c, and R-7-41-a processes for maintenance transactions. The BPR will also seek to simplify the business processes and simplify the system navigation; b) use the results of the BPR to size the work required to reduce customizations and standardize data usage and format (this analysis will inform the scope, timing, and deliverables for FY17); c) increase the number of defined fields (as opposed to free-text); d) remove customizations that inhibit use of Maximo's automated processes; e) establish a working group for maintenance data, including representatives from relevant maintenance operating groups. Metro will reassess the data elements required to report and analyze safety issues and support safety functions with three goals: (1) simplifying access to the data; (2) reducing the number of systems used to store and manage the data; and (3) implementing data governance to assure use of a common data dictionary. f) design and delivery of appropriate training for the upgraded system. IT Trainers will coordinate with training group to develop revised training materials and will assist the Maximo Subject Matter Experts in the delivery of those materials. 4 Action Plan Description The work described in this plan is part of the work assigned to the Asset Management Program. This plan reprioritizes and accelerates a portion of that scope. Year one will consist of a series of requirements definition exercises to define how the new processes will work and be implemented. Year two will see implementation of those plans, including data governance controls, system navigation improvements, reporting improvements, and a full training plan. The requirements definition performed in year one will better inform the year two plan, leading to changes in scope, schedule, and budget. The Office of Applications within the Department of Information Technology helps Metro meet its mission objectives by providing information processing support to all levels in the Authority. It develops, deploys and maintains software applications that: Help senior management with strategic planning Help departmental managers with budgetary planning and control Help operational supervisors manage daily operations more efficiently 1 09/11/15 WMATA FTA 5 of 12 483

FTA SMI (MAR 16 APR 3 2015) Finding R-40 and R-41 Required Actions R-7-40-a, R-7-40-b, R-7-40-c, and R-7-41-a Help staff and workers provide better services to their customers Help to aid customers in using the Washington Metropolitan Area Transit system This responsibility extends to all enterprise systems and includes the duties of guiding departments through business process reengineering exercises, setting standards for data governance and quality control, and setting standards for data integration and modelling. The signature of the General Manager and CEO on a project initiation document (such as this Corrective Action Plan) instructs his subordinates to provide the required assistance and participation for the success of the project. 4.1 Approach Deliverable Description Responsible Party Estimated Completion Date 1) Project Management Plan 2) Reengineering Plan 3) Business Requirements 4) Technical Requirements Detailed plan for the first year of the project. Required Actions affected by this action: R-7-40-a, R-7-40-b, R-7-40-c, and R-7-41-a. Detailed plan for integrating the various requirements exercise into a new business process. Required Actions affected by this action: R-7-40-a, R-7-40-b, R-7-40-c, and R-7-41-a. Requirements from each of the stakeholder groups listed below to meet both the four required actions and the other improvements envisioned for this program. Required Actions affected by this action: R- 7-40-a, R-7-40-b, R-7-40-c, and R-7-41-a. Conversion of business requirements into technical requirements that define how each technical component of the system will be implemented. Required Actions affected by this action: R-7-40-a and R-7-41-a. Architectural and data flow documents that document how the various system 5) System Design Documents* components will interoperate. R-7-40-a and R-7-41-a. 6) Program Manager Approval Memorandum to Transfer Code to Testing System* All software development on all systems is complete and ready for testing. R-7-40-a and R-7-41-a. Robert Dunham 09/30/15 Neka Ross 11/30/15 Neka Ross and Kim Keene 04/30/16 Furkan Tari 06/30/16 Rick Lanier FA + 90 Furkan Tari and Neka Ross FA + 210 1 09/11/15 WMATA FTA 6 of 12 484

FTA SMI (MAR 16 APR 3 2015) Finding R-40 and R-41 Required Actions R-7-40-a, R-7-40-b, R-7-40-c, and R-7-41-a 7) 8) Deliverable User Acceptance Testing Signature Document* Training Schedule With Names of Trained Users* 9) Quality Audit Report* Description All software systems have passed through unit, integration, and user acceptance testing. All noted issues are corrected. R- 7-40-a and R-7-41-a. All end users have received training on the new system. R-7-40-a, R-7-40-b, R-7-40- c, and R-7-41-a. The Office of Information Technology Quality Assurance (ITQA) performs scope verification and inspection of CAP deliverables to ensure that all are completed as planned and expected. R-7-40-a, R-7-40-b, R-7-40-c, and R-7-41-a. Responsible Party Neka Ross and Kim Keene Estimated Completion Date FA + 300 Neka Ross FA + 390 Shikha Khan FA + 397 *The second half of the project is dependent upon receiving an additional $2,990,000 in funding. The deliverables dependent upon that funding are shown with estimated delivery dates in the form FA + X, where FA is the date funds are made available and X is the number of days after funding availability that the item is due. 4.2 Schedule Tasks Estimated Start Estimated Finish Develop and obtain approval for PMP 08/01/15 09/30/15 Develop BPR Plan 09/01/15 11/30/15 Develop Business Requirements 09/01/15 04/30/16 Develop Technical Requirements 02/01/16 06/30/16 Develop System Design Documents* FA + 0 FA + 90 Develop all software components* FA + 31 FA + 210 Develop testing plan* FA + 90 FA + 210 Performing testing and revision* FA + 210 FA + 300 Develop training strategy and materials* FA + 240 FA + 300 Conduct end user training* FA + 330 FA + 390 *The second half of the project is dependent upon receiving an additional $2,990,000 in funding. The tasks dependent upon that funding are shown with estimated start and end dates in the form FA + X, where FA is the date funds are made available and X is the number of days after funding availability that work will start or end. 1 09/11/15 WMATA FTA 7 of 12 485

4.3 Budget / Cost Estimate FTA SMI (MAR 16 APR 3 2015) Finding R-40 and R-41 Required Actions R-7-40-a, R-7-40-b, R-7-40-c, and R-7-41-a Segment Code Cost Estimate Develop and obtain approval for PMP $10,000 Develop BPR Plan $200,000 Develop Business Requirements $1,300,000 Develop Technical Requirements $500,000 Develop System Design Documents $450,000 Develop all software components $1,850,000 Develop testing plan $100,000 Performing testing and revision $425,000 Develop training strategy and materials $150,000 Conduct end user training $500,000 TOTAL $5,485,000.00 Action requires funding in FY2016 and in the out years. This action will be funded in the capital budget in FY2016 and FY2017. Additional capital funds will be required in future fiscal years to complete this action.this schedule shows the entire budget for the project. Of the entire budget, $2,495,000 are available in FY16 and FY17. The balance $2,990,00 is the budget impact. Of this amount, $500,000 is required in FY16, with the balance of $2,490,000 needed for FY17. 1 09/11/15 WMATA FTA 8 of 12 486

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FTA SMI (MAR 16 APR 3 2015) Finding R-40 and R-41 Required Actions R-7-40-a, R-7-40-b, R-7-40-c, and R-7-41-a An on-site demonstration of new system capabilities, including ease of data access, and applicability across all disciplines. Monthly review of employee training completion percentage. 1 09/11/15 WMATA FTA 11 of 12 489

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FTA SMI (MAR 16 APR 3 2015) Finding R-41 Required Actions R-7-41-b Federal Transit Administration (FTA) Safety Management Inspection (SMI) MAR 16 APR 3 2015 Washington Metropolitan Area Transit Authority (WMATA) R-7-41-b 1 09/11/15 WMATA FTA 1 of 8 491

FTA SMI (MAR 16 APR 3 2015) Finding R-41 Required Actions R-7-41-b Table of Contents 1 BACKGROUND... 3 2 PURPOSE... 3 2.1 FTA FINDING... 3 2.1 FTA REQUIRED ACTION... 3 3 ANALYSIS AND RECOMMENDATION... 3 3.1 ANALYSIS... 3 3.2 RECOMMENDATION... 3 4 ACTION PLAN DESCRIPTION... 5 4.1 APPROACH... 5 4.2 SCHEDULE... 6 4.3 BUDGET / COST ESTIMATE... 6 4.4 INTERNAL STAKEHOLDERS... 7 5 CAP COMPLETION DOCUMENTATION... 7 6 PERFORMANCE MEASURES... 7 7 VERIFICATION... 7 8 CAP APPROVAL... 8 1 09/11/15 WMATA FTA 2 of 8 492

FTA SMI (MAR 16 APR 3 2015) Finding R-41 Required Actions R-7-41-b 1 Background The Federal Transit Administration (FTA) completed a Safety Management Inspection (SMI) of the Washington Metropolitan Area Transit Authority (WMATA) rail and bus systems. FTA issued Safety Directive 15-1 identifying 54 safety findings and 91 required actions to improve safety. 2 Purpose This Corrective Action Plan has been developed to address Safety Finding No. R-41 and its Required Action R-7-41-b. 2.1 FTA Finding WMATA s Information Technology (IT) Department lacks necessary authority to ensure that all WMATA departments use IT applications in the same manner to ensure data sharing, coordination of training, and conduct of audits in a consistent manner. 2.1 FTA Required Action The IT Department must coordinate with Rail Operations Quality Training (ROQT) to ensure the availability of additional training for the Rail Operations Control Center (ROCC) staff on the Advanced Information Management system. 3 Analysis and Recommendation 3.1 Analysis This finding speaks to a concern with the IT Department coordinating the training to the ROCC staff on the Advanced Information Management (AIM) system. 3.2 Recommendation This work is part of the Overall Training project, which began in June 2014. This training will be delivered both in ROCC controller initial training, as well as during required ROCC controller refresher training. This project includes the following phases: (a) Requirements: this phase entails working with the ROCC and IT stakeholders in gathering requirements for the development of the AIM training materials. It includes holding Joint 1 09/11/15 WMATA FTA 3 of 8 493

FTA SMI (MAR 16 APR 3 2015) Finding R-41 Required Actions R-7-41-b Application Design (JAD) sessions with the stakeholders to ensure all operations scenarios are clearly documented in the requirements. (b) Develop training materials: this phase entails the development of the following training courses: Database Generation and Maintenance course Displays Generation and Maintenance course Hardware and Systems Diagnostics course Software Administration Operator Instructor Training (Simulator) Overview and Alarm Training for Passenger Operations (POS) and Assistant Superintendents All AIM User Functions and Supervisory Functions Training for Assistant Superintendents All AIM User Functions Training for Train Dispatchers All AIM User Functions and Supervisory Functions Training for OCC Trainers (c) Deliver training to IT stakeholders: this phase entails the delivery of training to the IT stakeholders. The IT training courses will include: Database Generation and Maintenance course Displays Generation and Maintenance course Hardware and Systems Diagnostic course Software Administrations (d) Deliver training to ROCC stakeholders: this phase entails the delivery of training to the ROCC stakeholders. The ROCC training courses will include: Operator Instructor Training (Simulator) Overview and Alarm Training for POS and Assistant Superintendents All AIM User Functions and Supervisory Functions Training for Assistant Superintendents All AIM User Functions Training for Train Dispatchers All AIM User Functions and Supervisory Functions Training for OCC Trainers 1 09/11/15 WMATA FTA 4 of 8 494

FTA SMI (MAR 16 APR 3 2015) Finding R-41 Required Actions R-7-41-b 4 Action Plan Description The work described in this plan is part of the work previously assigned to the IT Applications group. This plan reprioritizes and accelerates a portion of that scope. The requirements phase was completed in 2015. The development of the training material is scheduled to be completed in October of 2015. The delivery of the training will be complete in March of 2016. 4.1 Approach AIM training developed in this CAP revision will be incorporated into the ROCC initial and refresher training materials. Deliverable Description Responsible Party Estimated Completion Date 1) 2) Project Management Plan Business Requirements Plan Detailed plan for the project. Albert Fehrens 02/28/15 Requirements from each of the stakeholder groups listed below to meet both the four required actions and the other improvements envisioned for this program. Rockwell Collins (Vendor) 04/30/15 3) Training Materials Development of the training materials. Rockwell Collins 09/30/15 4) IT Training Deliver training to IT stakeholders Rockwell Collins 10/31/15 5) ROCC Training 6) Quality Audit Report Deliver training to Rail Operations Control Rockwell Collins 03/30/16 Center stakeholders The Office of Information Technology Quality Assurance (ITQA) performs scope verification and inspection of CAP Shikha Khan 07/07/16 deliverables to ensure that all are completed as planned and expected. 1 09/11/15 WMATA FTA 5 of 8 495

FTA SMI (MAR 16 APR 3 2015) Finding R-41 Required Actions R-7-41-b 4.2 Schedule Tasks Estimated Start Estimated Finish Develop Business Requirements 10/31/14 02/28/15 Develop Training Material 02/28/15 09/30/15 Deliver training to IT stakeholders 10/31/15 10/31/15 Deliver training to Rail Operations Control Center 10/31/15 03/30/16 stakeholders Revise ROCC initial training materials 04/01/16 06/30/16 Revise ROCC refresher training materials 04/01/16 06/30/16 4.3 Budget / Cost Estimate Segment Code Cost Estimate Develop Business Requirements 25,000 Develop Training Material 50,000 Deliver Training to IT 110,000 stakeholders Deliver training to Rail Operations 120,000 Control Center stakeholders TOTAL $305,000 This schedule shows the entire budget for the project. No capital funds are required to support this action in FY2016. Additional capital funds will be required in future fiscal years complete this action 1 09/11/15 WMATA FTA 6 of 8 496

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FTA SMI (MAR 16 APR 3 2015) Finding: R-42 Required Action: R-7-42-a Federal Transit Administration (FTA) Safety Management Inspection (SMI) MAR 16 APR 3 2015 Washington Metropolitan Area Transit Authority (WMATA) R-7-42-a 1 09/11/15 WMATA FTA 1 of 10 499

FTA SMI (MAR 16 APR 3 2015) Finding: R-42 Required Action: R-7-42-a Table of Contents 1 BACKGROUND... 3 2 PURPOSE... 3 2.1 FTA FINDING... 3 2.2 FTA REQUIRED ACTION... 3 3 ANALYSIS AND RECOMMENDATION... 3 3.1 ANALYSIS... 3 3.2 RECOMMENDATION... 4 4 ACTION PLAN DESCRIPTION... 4 4.1 APPROACH... 5 4.2 SCHEDULE... 6 4.3 BUDGET / COST ESTIMATE... 7 4.4 INTERNAL STAKEHOLDERS... 8 5 CAP COMPLETION DOCUMENTATION... 9 6 PERFORMANCE MEASURES... 9 7 VERIFICATION... 9 8 CAP APPROVAL... 10 1 09/11/15 WMATA FTA 2 of 10 500

FTA SMI (MAR 16 APR 3 2015) Finding: R-42 Required Action: R-7-42-a 1 Background The Federal Transit Administration (FTA) completed a Safety Management Inspection (SMI) of the Washington Metropolitan Area Transit Authority (WMATA) rail and bus systems. FTA issued Safety Directive 15-1 identifying 54 safety findings and 91 required actions to improve safety. 2 Purpose This Corrective Action Plan has been developed to address Safety Finding No. R-42 and its Required Action R-7-42-a. 2.1 FTA Finding Proactive safety analysis of information provided by Operating and Maintenance departments is not routinely conducted. This negatively impacts ability of WMATA to provide more support for proficiency testing, conduct more in- depth safety studies, reviews and accident/incident investigations. 2.2 FTA Required Action WMATA operating and maintenance departments must work together to develop a strategy to more actively analyze, review, and assess rail operations and maintenance data from a safety perspective. 3 Analysis and Recommendation 3.1 Analysis Required action R-7-42-a directs that WMATA operating and maintenance departments must work together to develop a strategy to more actively analyze, review, and assess rail operations and maintenance data from a safety perspective. Any such strategy assumes that current systems (e.g. Maximo) contain accurate data, that data outside of current systems, (e.g. VMS) is readily available to support the analysis, that appropriate analytical tools (e.g. failure mode analysis and business intelligence) are configured to support the analysis, and that users can both participate in the design of and be trained on the resulting systems. The data quality issue is being addressed as part of required actions R-7-40-a, -b, and c. This project will address the other assumptions and develop a strategy to integrate and use the various data sources 1 09/11/15 WMATA FTA 3 of 10 501

FTA SMI (MAR 16 APR 3 2015) Finding: R-42 Required Action: R-7-42-a so that WMATA will be able to more actively analyze, review and assess data from a safety perspective. This work will build on the Asset Management System for the Office of Elevator and Escalators (ELES) pilot project, a component project of the Asset Management Systems program, which was instituted in April, 2014. The ELES Pilot Project addresses many of these issues for a single asset class. 3.2 Recommendation Metro will design and test a strategy that: (a) improves collection of safety related data using various data telemetry sources; (b) relates the telemetry and other data sources to each asset; (c) utilizes existing software packages to produce analytical data for review and assessment by rail operations and maintenance personnel; (d) supports the conversion of safety issues to corrective action plans, engineering test plans or work orders, as appropriate. At the completion of the pilot project Metro will produce: (e) A lessons learned document that describes issues to be avoided or managed, and opportunities to be exploited in an Enterprise roll-out of the system. (f) A plan for an Enterprise roll-out of the system 4 Action Plan Description The work envisioned by plan is included in the scope of the Asset Management Systems program, which was initiated in April 2014. This work was originally envisioned for later years. Implementation of this plan will accelerate and expand this work into FY17. This project will utilize requirements documentation developed for Required Actions R-7-40-a, -b, and c. Building on the data and reporting for that project, this project will integrate asset telemetry, work order data, and asset configuration data to produce safety data based on both near-term historical information and current telemetry. It will then present that data using existing business analysis tools. It will also pilot the concept of automatic generation of work orders based on telemetric data. 1 09/11/15 WMATA FTA 4 of 10 502

FTA SMI (MAR 16 APR 3 2015) Finding: R-42 Required Action: R-7-42-a 4.1 Approach Deliverable Description Responsible Party Estimated Completion Date 1) Project Management Plan* Detailed plan for the full year project. Robert Dunham FA - 30 2) Data Architecture Schema* 3) Technical Requirements* 4) 5) User Acceptance Testing Signature Document* Training Schedule With Names of Trained Users* 6) Lessons Learned Report* 7) Enterprise Roll Out Plan 8) Quality Audit Report* An IT architecture document that de tails how all the relevant data elements are to be connected and rationalizes the duplicative data elements within them. Neka Ross FA + 60 Conversion of reporting requirements and the data schema into technical Kim Keene requirements that define how reporting FA + 90 requirement will be implemented. All software systems have passed through unit, integration, and user acceptance testing. All noted issues Kim Keene FA + 240 are corrected. All end users have received training on the new system. Describes issues to be avoided or managed, and opportunities to be exploited in an Enterprise roll-out of the system. Plan that lays out how the pilot solution can be implemented throughout the authority, including how users will review and act upon the dat. The Office of Information Technology Quality Assurance (ITQA) performs scope verification and inspection of CAP deliverables to ensure that all are completed as planned and expected. Neka Ross FA + 330 Robert Dunham FA + 540 Robert Dunham FA + 600 Shikha Khan FA + 630 *The project is dependent upon receiving an additional $2,300,000 in funding. All deliverables are dependent upon that funding. Thus, all deliverables are shown with estimated delivery dates in the form FA + X, where FA is the date funds are made available and X is the number of days after funding availability that the item is due. 1 09/11/15 WMATA FTA 5 of 10 503

FTA SMI (MAR 16 APR 3 2015) Finding: R-42 Required Action: R-7-42-a 4.2 Schedule Tasks Estimated Start Estimated Finish Develop and obtain approval for PMP (1) FA 60 FA 30 Procure and install additional storage (1) FA + 0 FA + 180 Develop Data Schema (1) FA + 0 FA + 60 Develop Technical Requirements (1) FA + 30 FA + 90 Develop testing plan (1) FA + 150 FA + 180 Performing testing and revision (1) FA + 210 FA + 240 Develop training strategy and materials (1) FA + 240 FA + 300 Conduct end user training (1) FA + 300 FA + 330 Operate the system with ELES and analyze FA + 331 FA + 510 effectiveness of the system.(1) Produce Lessons Learned Report (1) FA + 511 FA + 540 Produce Enterprise Roll Out Plan (1) FA + 541 FA + 560 *The project is dependent upon receiving an additional $2,300,000 in funding. The tasks dependent upon that funding are shown with estimated start and end dates in the form FA + X, where FA is the date funds are made available and X is the number of days after funding availability that work will start or end. 1 09/11/15 WMATA FTA 6 of 10 504

FTA SMI (MAR 16 APR 3 2015) Finding: R-42 Required Action: R-7-42-a 4.3 Budget / Cost Estimate Segment Code Cost Estimate Develop and obtain approval for PMP 0 Procure and install additional storage 50,000 Develop Data Schema 200,000 Develop Reporting Requirements 350,000 Develop Technical Requirements 150,000 Develop System Design Documents 100,000 Develop all software components 500,000 Develop testing plan 50,000 Performing testing and revision 200,000 Develop training strategy and materials 200,000 Conduct Test with ELES 300,000 Prepare Lessons Learned Report 100,000 Prepare Rollout Plan 100,000 TOTAL $2,300,000.00 No capital funds are required to support this action in FY2016. Additional capital funds will be required in future fiscal years to complete this action. Assuming work is to begin on 07/01/16, $1,800,000 will be required in FY17 and $500,000 in FY18. 1 09/11/15 WMATA FTA 7 of 10 505

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FTA SMI (MAR 16 -APR 3 2015) Finding: R-42 1----l Required Action: R-7-42-a Participant PLNT ITQAIT Needed From Paul Kram Shikha Khan Required Initials Item Needed Full participation in requirements gathering, testing, and trainin. Full participation in uirements at ering, testing, nd trainin Give To/ Estimated Coordinate Completion With Date Robert FA+ 0 to Dunham FA+ 330 Robert FA+ 0 to Dunham FA+ 337 5 CAP Completion Documentati After Metro's collective review, a memorandum with enclosed CAP deliverables (refer to 4.1) will be provided to FTA to support the closure of this required action. 6 Performance Measures A. One hundred percent (100 %) of affected users in ELES have received training on the new system with 60 days of system acceptance. 8. ELES has developed its processes to review and act upon the data provided by IT. 7 Verification The FT A will verify project progress and completion of project deliverables by: A. Review of final training materials developed 8. Review of lessons learned document following ELES test strategy. C. Review of ELES strategies to use data provided by IT department, such as monthly review meeting notes. 1 09/11/15 WMATA FTA 9of10 507

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FTA SMI (MAR 16 APR 3 2015) Finding R-42 Required Action R-7-42-b Federal Transit Administration (FTA) Safety Management Inspection (SMI) MAR 16 APR 3 2015 Washington Metropolitan Area Transit Authority (WMATA) R-7-42-b 1 09/11/15 WMATA FTA 1 of 6 509

FTA SMI (MAR 16 APR 3 2015) Finding R-42 Required Action R-7-42-b Table of Contents 1 BACKGROUND... 3 2 PURPOSE... 3 2.1 FTA FINDING... 3 2.2 FTA REQUIRED ACTION... 3 3 ANALYSIS AND RECOMMENDATION... 3 3.1 ANALYSIS... 3 3.2 RECOMMENDATION... 4 4 ACTION PLAN DESCRIPTION... 4 4.1 APPROACH... 4 4.2 SCHEDULE... 4 4.3 BUDGET / COST ESTIMATE... 4 4.4 INTERNAL STAKEHOLDERS... 5 5 CAP COMPLETION DOCUMENTATION... 5 6 PERFORMANCE MEASURES... 5 7 VERIFICATION... 5 8 CAP APPROVAL... 6 1 09/11/15 WMATA FTA 2 of 6 510

FTA SMI (MAR 16 APR 3 2015) Finding R-42 Required Action R-7-42-b 1 Background The Federal Transit Administration (FTA) completed a Safety Management Inspection (SMI) of the Washington Metropolitan Area Transit Authority (WMATA) rail and bus systems. FTA issued Safety Directive 15-1 identifying 54 safety findings and 91 required actions to improve safety. 2 Purpose This Corrective Action Plan has been developed to address Safety Finding No. R-42 and its Required Action R-7-42-b. 2.1 FTA Finding Proactive safety analysis of information provided by Operating and Maintenance departments is not routinely conducted. This negatively impacts ability of WMATA to provide more support for proficiency testing, conduct more in- depth safety studies, reviews and accident/incident investigations. 2.2 FTA Required Action WMATA must work with the Tri-State Oversight Committee and FTA to establish and pilot an enhanced investigation process for rail transit accidents, incidents and safety studies that identify systemic root causes and deficiencies. 3 Analysis and Recommendation 3.1 Analysis WMATA conducts investigations into rail accidents and incidents that have occurred within the system. WMATA has established accident investigation procedures and they are utilized. (WMATA Policy Instruction 10.4/0, Incident and Accident Investigation, 11/04/2011). WMATA currently meets with TOC representatives on a monthly basis to review all open accidents, incidents, and safety studies. However, FTA has identified a gap in some investigations indicating that additional analysis is necessary to ensure the causal factors have been appropriately recognized and evaluated. 1 09/11/15 WMATA FTA 3 of 6 511

FTA SMI (MAR 16 APR 3 2015) Finding R-42 Required Action R-7-42-b 3.2 Recommendation WMATA will work with the Tri-State Oversight Committee and the FTA to expand its pursuit of root cause analysis of accidents and incidents beyond those that reach a Level 1 rating to further assess risk and identify proactive risk mitigation strategies. 4 Action Plan Description 1) 2) 3) 4.1 Approach Deliverable Provide Initial Hazard Rating for all open Accidents/ Incidents in SMS Provide revised draft of Policy/Instruction 10.4/0 Develop top ten list of highest priority accident/ incident investigations and report monthly to Executive Safety Committee 4) Quality Audit Report Description SAFE will provide an initial hazard rating for all accidents/incidents to provide a priority ranking for identifying systemic root causes and deficiencies using SMS. Prepare revised draft of Policy/Instruction 10.4/0 in for WMATA coordination and TOC approval. SAFE, in coordination with TOC, will develop a top ten list of the highest priority accident/ incident investigations on a monthly basis using the Hazard Management Procedure (2011-001 SAFE, 7/01/2011) and report to the Executive Safety Committee, TOC and the FTA. Responsible Party Lou Brown, Manael Kennerly Lou Brown, Manael Kennerly Lou Brown, Manael Kennerly The Office of Quality Assurance & Warranty (QAAW) performs scope verification and inspection of CAP Michael deliverables to ensure that all are DiNatale completed as planned and expected. Estimated Completion Date 10/15/15 12/30/15 01/15/16 01/31/16 4.2 Schedule Refer to 4.1 for scheduled dates. 4.3 Budget / Cost Estimate N/I (No Impact). 1 09/11/15 WMATA FTA 4 of 6 512

FTA SMI (MAR 16 -APR 3 2015) 1-----1 Finding R-42 Required Action R-7-42-b 4.4 Internal Stakeholders The following internal stakeholders are committed to work on the action plan: Give To/ Estimated Required Participant Needed From Item Needed Coordinate Completion Initials With Date Manael SAFE Lou Brown Deliverables 10/15/15 Kennerly ITQA Shika Khan CAP deliverables Manael verified and 01/31/16 Kennerly reviewed 5 CAP Completion Documentation After Metro's collective review, a memorandum with enclosed CAP deliverables (refer to 4.1) will be provided to FTA to support the closure of required action. 6 Performance Measures 100% of open accidents and incidents are rated by 10/15/2015 100% of open accidents and incidents are reviewed in accordance with revised policy 90 days following implementation. Monthly updates on top ten list of high priority investigations. 100% of accidents requiring infrastructure or vehicle repairs have been entered into Maximo 30 days following open accident and incident review. 7 Verification Review of enhanced investigation policy instruction. Review of open accident or incident updated to meet new policy. Review of new accident or incident that follows updated policy. Revision Issue Date Prepared By Approved By Page 1 09/11/15 WMATA FTA 5 of 6 513

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