(4 findings and 4 required actions) · corrective action plan (cap) required action r-3-23-a . 4...

Corrective Action Plans

Metrorail Category 3: Insufficient Track Time for Maintenance

(4 Findings and 4 Required Actions)

304

FTA SMI (MAR 16 – APR 3 2015) Finding R-23 Required Action R-3-23-a Corrective Action Plan (CAP)

Federal Transit Administration (FTA)

Safety Management Inspection (SMI)

MAR 16 – APR 3 2015

Washington Metropolitan Area Transit Authority (WMATA)

Corrective Action Plan (CAP)

R-3-23-a

Revision Issue Date Prepared By Approved By Page

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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 ........................................................................................................................................... 4 4.2 SCHEDULE ........................................................................................................................................... 6 4.3 BUDGET / COST ESTIMATE .................................................................................................................... 6 4.4 INTERNAL STAKEHOLDERS .................................................................................................................... 7

5 CAP COMPLETION DOCUMENTATION ................................................................................................. 8

6 PERFORMANCE MEASURES ................................................................................................................. 8

7 VERIFICATION ......................................................................................................................................... 8

8 CAP APPROVAL ...................................................................................................................................... 9


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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-23 and its

Required Action R-3-23-a.

2.1 FTA Finding

Current OWL nighttime maintenance window typically only allows between 90 minutes and two

hours of on track time.

2.1 FTA Required Action

WMATA must ensure that a process is in place for identifying and scheduling sufficient track

time to complete required inspection, testing and maintenance activities.

3 Analysis and Recommendation

3.1 Analysis

Metro agrees that better utilization of track time is necessary. Increasing Rail Operations

Control Center (ROCC) staff, as determined in 2014, were intended to work to that end.

3.2 Recommendation

The Track Allocation and Support Services (TASS) group was established to facilitate proper

coordination of work crews and maintenance activities. TASS will re-emphasize the General

Orders and Track Rights System (GOTRS) processes in place to reserve track access.


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4 Action Plan Description

Rail Operations Control Center will increase staff allocated to facilitate track access on owl shift.

TASS will work with ROCC and work groups to schedule sufficient track time to complete required

inspection, testing and maintenance activities. In specific, TASS will focus on the efficiency of early

outs; work zones that commence before the end of revenue, to ensure that time and space is being

utilized effectively.

4.1 Approach

Deliverable Description Responsible

Party

Estimated Completion

Date

1) Narrative of TASS Structure and Functionality

Explanation of department’s functionality, data collection processes, how data is analyzed, audit processes and validation of data.

Clay Bunting 04/30/16

2) Report for Time Allotment for Inspection and Testing Requirements

Explanation and data to show availability of time (revenue/non-revenue) for all required inspections, testing and required maintenance for Track and Structures and System Maintenance.


3) Report of Track Access Support Services Monthly Statistics

Departmental breakdown of the track access and usage statistics.

Clay Bunting

Ongoing, 10th of every month

4) Track Access Support Services- Revenue Service Adjustment Delay Report

Revenue Service Adjustment report containing information that depicts reasons for delays, statistics for amount of time to gain access and departmental breakdown of who is using this access.

Clay Bunting

Ongoing, 10th of every month

5) Report of RSA Schedule

A 12 week look-ahead schedule that shows what single-tracks and shut-downs are scheduled for the immediate future.

Clay Bunting, David Newman, Darvin Kelly, Paul Kram, Ildefonso Burgos, Robert Relyea, Tiffany Jenkins and Hercules Ballard.

Ongoing, available every Wednesday


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Party


Date

6)

Non-Revenue Track Allocation

Performance Measures and Metrics/SOP

The processes used to evaluate the time allotment for track usage. To include Inspections, Maintenance and Testing. The resources that are used to obtain the data and the recovery measures when goals are not met.


7) Work Zone Audit

Data to depict actuals of what was planned verses what was accomplished in the allotted time. Will include timeline processes to show corrective actions/defects (Maximo work-orders), time needed to complete task, materials and equipment needed to complete task, man-power hours needed, progression data and closure data to include Maximo records.


8) Conflict Report from GOTRS

A report that exhibits the conflicts in GOTRS for the dedicated target week. The report is used to adjust track rights to allow piggybacking or claim sole ownership of a work zone.

Clay Bunting, Tiffani Jenkins and Robert Relyea

Ongoing- weekly every Thursday

9) Narrative Memo

Explanation of why 17 ROCC controller position were allotted to ROCC to supplement the vacancies and how this will improve performance to support the work load.

Robert Relyea 04/30/16

10) Quarterly Briefing: WMATA

Board

Data to depict sufficiency of track allocation for inspection, testing and maintenance, the performance goals, and the measures to be taken if goals are not met.


04/30/16

11) Quality Audit Report

The Office of Quality Assurance and Warranty (QAAW) performs scope verification and inspection of deliverables to ensure that all are completed as planned and expected.

Michael DiNatale

05/07/16


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4.2 Schedule

Tasks Estimated Start Estimated Finish

Narration of TASS Structure and Functionality Established 04/30/16

Report for Time Allotment for Inspection and Testing Requirements

09/01/2015 04/30/16

Work Zone Audit 09/01/2015 04/30/16

Monthly statistics Established 10th of Every Month

Monthly RSA delay report Established 10th of Every Month

GOTRS Meeting / Conflict Report Established Weekly-Thursdays

Non-Revenue Track Allocation Performance Measures and Metrics/SOP

10/01/2015 04/30/16

Quarterly Briefing 03/30/2016 06/30/16

4.3 Budget / Cost Estimate

This action will be funded in the operating budget in FY16.


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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

Meeting performance goals established as part of the OAP and/or SOP

7 Verification

Review deliverables provided by WMATA, interviews and records checks.


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MAR 16 – APR 3 2015



R-3-24-a


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FTA SMI (MAR 16 – APR 3 2015) Finding R-24 Required Action R-3-24-a







4.1 APPROACH ........................................................................................................................................... 5 4.2 SCHEDULE ........................................................................................................................................... 7 4.3 BUDGET / COST ESTIMATE .................................................................................................................... 7 4.4 INTERNAL STAKEHOLDERS .................................................................................................................... 8



7 VERIFICATION ......................................................................................................................................... 9

8 CAP APPROVAL .................................................................................................................................... 10


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1 Background




2 Purpose



2.1 FTA Finding

WMATA has reduced other options for track access, including holiday weekend work shut-

downs, early outs, and single-tracking.


WMATA must establish firm limits on minimum track time for inspection, testing and

maintenance activities per month, and revisit limits annually.


3.1 Analysis

Metro disagrees with the reduction of available track time. Between 2010 and 2013 extremely

large amounts of track outages were provided to reduce backlogs of work, which was

accomplished to plan. In 2014 there were 1,098 hours used for shut downs alone. Metro also

reduced the costs of large scale work zones and inconvenience to our passengers by utilizing

more single-track operations instead of shut-downs. There are still projects that require

complete outages based on the type of work performed. In 2015 484 hours have been used

for shut-downs alone through June. Daytime single-tracking during non-rush hours have been

utilized since April 2015.


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3.2 Recommendation

The Track Access Support Services (TASS) group was established by Metro to facilitate proper

coordination of work crews and maintenance activities. TASS will continue to emphasize the

General Orders Track Rights System (GOTRS) processes in place to reserve track access to

the work groups. Metro will coordinate with the different work disciplines and Track Access for

Maintenance and Construction (TAMC) to ensure that the mandatory testing and maintenance

is accomplished to plan. GOTRS was modified in 2014 to address urgent and dynamic

requests that are not defined as emergencies with the use of Expedited Requests.


Metro will continue to utilize shut-downs for work that requires both tracks and large scale work

where multiple disciplines can work effectively and safely together. Revenue Service Adjustments

(RSA) with single-track operations will continue to be utilized to allow extra work hours.

TASS will continue to work with TAMC and ROCC to coordinate safe work zones and monitor

accessibility and clearing times.


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4.1 Approach


Party


Date

1) Report of Time Allotment for Inspection and Testing

Requirements

Explanation and data to show availability of time for all required inspections, testing and required maintenance for Track and Structures and System Maintenance.


2) Shut-down Hours used for

2014

Data that depicts the number of hours used in 2014 for Shut-downs. 82% were coordinated to allow Track and System Maintenance to perform work.


04/30/16

3) 2014 Single-Track hours

Data that shows the amount of hours that were used for single-tracks instead of shut-downs in 2014.


04/30/16

4) Shut-down Hours used for

2015

Data that depicts the number of hours used in 2015 for Shut-downs. Through June of 2015 484 hours have been used. 21% have been coordinated to allow Track and System Maintenance to perform work.


04/30/16

5) Report of FY 2016 Shut-down schedule

Shut-down schedule that depicts what is scheduled for 2016 with coordinated work zones.

Clay Bunting, David Newman, Darvin Kelly, Paul Kram, Ildefonso Burgos, Robert Relyea, Tiffany Jenkins and Hercules Ballard

04/30/16


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Party


Date

6) Report of RSA schedule

A 12 week look-ahead schedule that shows what single-tracks and shut-downs are scheduled for the immediate future.


04/30/16

7) GOTRS Procedure Report

Displays the changes that have been made in GOTRS to capture information and the reduction from 28 day planning schedule to a 14 day planning schedule. Includes description of Expedited Rights and Bump Down rights. For review and assessment of any needed changes.

Clay Bunting, Tiffani Jenkins and Robert Relyea

04/30/16

8) Non-Revenue Track Allocation

Performance Measures and Metrics/SOP

The processes used to evaluate the time allotment for track usage. To include Inspections, Maintenance and Testing. The resources that are used to obtain the data and the recovery measures when goals are not met.


9) Quarterly Briefing: WMATA Board

Data to depict sufficiency of track allocation for inspection, testing and maintenance, the performance goals, and the measures to be taken if goals are not met.


04/30/16


The Office of Quality Assurance and Warranty (QAAW) performs scope verification and inspection of deliverables to ensure that all are completed as planned and expected

Michael DiNatale

05/07/16


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4.2 Schedule


Report of Time Allotment for Inspection and Testing Requirements

09/01/15 04/30/16

Yearly shut-down Calendar Established Finished- Subject to changes

RSA schedule Established Reviewed every Wednesday

GOTRS Assessment 07/01/15 Ongoing

Non-Revenue Track Allocation Performance Measures and Metrics/SOP

10/01/2015 04/30/16

Quarterly Briefing 03/30/2016 06/30/16

4.3 Budget / Cost Estimate



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Meeting performance goals established as part of the OAP and/or SOP

7 Verification



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MAR 16 – APR 3 2015



R-3-25-a


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4.1 APPROACH ........................................................................................................................................... 5 4.2 SCHEDULE ........................................................................................................................................... 6 4.3 COST ESTIMATE ................................................................................................................................... 6 4.4 INTERNAL STAKEHOLDERS .................................................................................................................... 7



7 VERIFICATION ......................................................................................................................................... 8

8 CAP APPROVAL ...................................................................................................................................... 9


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1 Background




2 Purpose



2.1 FTA Finding

Due to lack of track time, WMATA’s maintenance departments must consistently re-schedule

work and, as a result, have growing maintenance backlogs, dating back to 2012 and 2013.


WMATA must develop and implement staffing plans to eliminate maintenance work orders

backlogs and manage on-going workload in track and structures, traction power,

communications, and automated train control departments.


3.1 Analysis

Metro agrees that track time is an issue and is working to resolve this with all maintenance

departments with a coordinated approach having developed the TASS group. In addition, many

of the maintenance groups are “overbooking” track time, resulting in unnecessary cancellations

and restriction to areas. This also is being managed by the TASS group and updates to the

GOTRS system to assist in the planning aspect. Metro is managing the current backlog of work

and doing “planned” deferrals. It must be noted that no safety issue has been deferred because

of necessity to run revenue service. By FTA’s own admission the current “backlog” of defects

does not even constitute application of a speed restriction.


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3.2 Recommendation

Track Access Support Services (TASS) was established to assess and implement changes to

allow better availability to track access through coordination of work crews and

maintenance/rehabilitation activities. After assessment, TASS recommended that:

• Modifications to the GOTRS system should be made to allow for better planning and to

reduce the stringent restrictions when changes are necessary to track rights.

• Changes are needed to reduce the overbooking of track rights in GOTRS.

• Changes are needed to ensure that the necessary disciplines were available to support

the scheduled work and that the work was being initiated in a timely fashion

• The weekly Deputy General Manager of Operations (DGMO) Production report should

include the number of backlogged items that were corrected and closed, as well as, the

current defects that were closed.


Track Access for Maintenance and Construction (TAMC) and Track Access and Support Services

(TASS) will continue to work together with the maintenance groups to coordinate work zones to

accommodate the different disciplines that can safely work together. The General Orders Track

Rights System (GOTRS) has been modified from a required 28 day planning cycle to a 14 day

planning cycle. This allowed the support groups to better plan work with the contractors and also

allowed for any changes that may occur with all maintenance groups. TASS along with TAMC

developed “expedited rights” in GOTRS to help eliminate the overbooking of track rights. Expedited

rights will allow the user to gain track access for urgent needs. GOTRS is also being modified to

allow for “Bump Down” rights. If a GOTRS user groups gets cancelled for any reason, “Bump

Down” rights will get priority for available areas with shared access- “piggybacking”. TASS will

continue to monitor maintenance groups and ROCC to ensure that the work is being initiated in a

timely fashion and that the necessary disciplines are available for support.

Lastly, when the Weekly Production Report is submitted to the DGMO it should include the number

of backlogged items in the work area and those that were corrected, as well as, the current defects


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recorded in Maximo or other work order systems in use from all maintenance groups. This will

assist in keeping attention on those items and reduce those logs.

4.1 Approach

Deliverable Description Responsible Party Estimated

Completion Date

1) Narrative for the Reestablishment of the Defect Report

Explanation of processes used to record defects. Processes in place to reestablish baseline: validate defect backlog, re-establish defect backlog. Definitions of defects; corrective measure vs defect, rating of defects and closure processes.

Clay Bunting, David Newman, Darvin Kelly, Paul Kram, Ildefonso Burgos, Robert Relyea, Tiffany Jenkins, Hercules Ballard and Joe Grey

06/01/16

2) Staffing Plan

Explanation of processes used to properly staff work zones to accomplish work plans.

Clay Bunting, David Newman, Darvin Kelly, Paul Kram, Ildefonso Burgos and Linda Stroffergen

06/01/16

3) GOTRS Procedure Report

Displays the changes that have been made in GOTRS to capture information and the reduction from 28 day planning schedule to a 14 day planning schedule. Includes description of Expedited Rights and Bump Down Rights. To assess for any needed changes.

Clay Bunting, Tiffani Rhodes and Robert Relyea

06/01/16

4) Updated Monthly Production Report for DGMO

Updated report to include number of backlogged items and current defects that were closed with the work performed.

Ildefonso Burgos, Darvin Kelly, David Newman, Paul Kram

07/01/16


The Office of Quality Assurance and Warranty (QAAW) performs scope verification and inspection of deliverables to ensure that all are completed as planned and expected.

Michael DiNatale 07/07/16


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4.2 Schedule


Defect Report 09/01/15 06/01/16

Staffing Plan 09/01/15 06/01/16

GOTRS Assessment Bi-Annually Established 06/01/16

Modification to GOTRS for Bump Down Rights. 09/01/15 06/01/16

Updated Monthly Production Report for DGMO 09/01/15 07/01/16

Quality Audit Report 07/01/16 07/07/16

4.3 Cost Estimate



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Reduction in time required to manage open backlog items by category; improvements in staff

utilization rates on capital projects.

7 Verification



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MAR 16 – APR 3 2015



R-3-26-a


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4.1 APPROACH ........................................................................................................................................... 5 4.2 SCHEDULE ........................................................................................................................................... 6 4.3 COST ESTIMATE ................................................................................................................................... 6 4.4 INTERNAL STAKEHOLDERS .................................................................................................................... 7



7 VERIFICATION ......................................................................................................................................... 8

8 CAP APPROVAL ...................................................................................................................................... 9


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1 Background




2 Purpose


Required Action R-3-26-A.

2.1 FTA Finding

Efficiencies can be obtained to improve the way in which WMATA’s workers and contractors

currently access the right-of-way.


WMATA must improve interdepartmental coordination and communication to take full advantage of

track time.


3.1 Analysis

Metro agrees with this finding and has been actively engaged in finding methods for efficiency

including the development of the Track Allocation and Service Support (TASS) group which

has assisted in the increased “work performed to schedule” from 49% in January of 2014 to

76% in April of 2015.

3.2 Recommendation

TASS group was established to facilitate proper coordination of work crews and maintenance

activities. WMATA will continue to utilize accepted Standard Operational Procedure (SOP)’s

and Temporary Orders that grant access for contractor personnel in selected locations to

perform work during revenue hours. Maintenance groups and the Office of Capital Project

Delivery will continue to utilize Revenue Service Adjustments to gain access to the roadway

with single-tracking for early outs.


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Track Access for Maintenance and Construction (TAMC) and TASS will continue to work with the

maintenance groups to coordinate work zones to accommodate the different disciplines that can

safely work together. TASS will continue to provide statistics to monitor “accomplished to planned”

ratios for those groups using track access. Metro will continue to utilize the established SOP #49

designation of Qualified Tie-Breaker Stations (TBSs) and Traction Power Sub-Stations (TPSSs)

as “Special Construction Sites”. This SOP provides contactor access to the TBSs and TPSSs

deemed as “Special Construction Sites” without a Level 4 escort provided the department of

system safety and environmental management (SAFE) concurs with methods proposed to mitigate

the risk of that access. When necessary use Temporary Order T-14-18 – which allows access to

Ancillary rooms at the ends of station platforms with no hand rails. Permission to access these

rooms during the hours of 1900hrs to 0500hrs with proper escorting is required and foul time

protection to cross tracks may be used during revenue service with notification to the Rail

Operation Control Center (ROCC). Metro will continue to utilize Revenue Service Adjustments to

single-track so coordinated maintenance and rehabilitation work can be done during revenue

hours.


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4.1 Approach

Deliverable Description Responsible Party Estimated

Completion Date

Narrative of Work Zone Coordination.

Explanation of how work zones are created and coordinated. Modeling of Mobile Operations, examples of coordinated work plans, shut-down maps and timeline.


Report of Track Access Support Services Monthly Statistics

Departmental breakdown of the track access and usage statistics Clay Bunting 10th of every

month

SOP # 49 and Temporary Order T-14-18

Standard Operating Procedures with special instructions with restrictions that either deem certain areas special construction zones or allow access to certain areas during revenue hours for Contractor access. Define time limits of Temporary Orders.

Clay Bunting, Robert Relyea and Tiffani Jenkins,

03/31/16

Report of RSA Schedule

A 12 week look-ahead schedule that shows what single-tracks and shut-downs are scheduled for the immediate future

Ildefonso Burgos, Darvin Kelly, David Newman, Paul Kram, Harold Samms, Clay Bunting, Robert Relyea, Robert Troup

Established review every Wednesday

TASS Meeting Minutes

Minutes taken from meetings. Topics: Single-tracks, shut-downs, monthly stats, improvements, deficiencies, long term projects, coordination, staffing and support needs.

Clay Bunting 20th of every month

Quality Audit Report

The Office of Quality Assurance and Warranty (QAAW) performs scope verification and inspection of deliverables to ensure that all are completed as planned and expected

Michael DiNatale 04/07/16


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4.2 Schedule


Narrative of Work Zone Coordination 09/01/15 03/31/16

Monthly statistics Established 10th of Every Month

SOP # 49 and Temporary Order T-14-18 Established 03/31/16

Revenue Service Adjustment Schedule Established Weekly- Wednesday

TASS Meeting Minutes 10/01/15 20th of every month

4.3 Cost Estimate



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TASS statistics for “work accomplished to plan” ratios.

7 Verification



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(4 findings and 4 required actions) · corrective action plan (cap) required action r-3-23-a . 4...

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