Washington Metropolitan Area Transit Authority: Actions Needed to Strengthen Capital Planning and Track Preventive Maintenance Program
To address safety problems in the Washington, D.C., Metro rail system, Metro started a preventive track maintenance program in June 2017. The program aims to reduce service disruptions caused by track defects or electrical fires—which Metro says are the most significant safety risks.
While Metro reports making progress, it can't be sure that the program is designed effectively. For example, the program doesn't address non-electrical fires, which comprise 30% of all track fires.
We recommended a formal risk assessment, which would use data to assess safety and strategic risks to the program, such as ensuring adequate time for maintenance work.
A Washington, D.C. Metro train stopped at a platform.
What GAO Found
From fiscal years 2011 through 2017, the Washington Metropolitan Area Transit Authority (WMATA) spent almost $6 billion on a variety of capital assets, with the largest share spent on improving its rail and bus fleet (see figure). Over this period, WMATA's capital spending was, on average, about $845 million annually.
Washington Metropolitan Area Transit Authority's Capital Expenditures by Asset Category, in Current Dollar Values, Fiscal Years 2011 through 2017
WMATA's new capital planning process could address some weaknesses it identified in the prior process. WMATA established a framework for quantitatively prioritizing capital needs (investments to a group of related assets) over a 10-year period. However, WMATA has not established documented policies and procedures for implementing the new process, such as those for selecting specific projects for funding in its annual capital budget. WMATA is currently using its new capital planning process to make fiscal year 2020 investment decisions. WMATA has proposed a fiscal year 2020 capital budget of $1.4 billion. Without documented policies and procedures for implementing the new planning process, WMATA's stakeholders do not have reasonable assurance that WMATA is following a sound process for making investment decisions.
WMATA has made significant progress toward its track preventive maintenance program's goals, which are to reduce both track-defect and electrical-fire incidents by 50 percent in fiscal year 2019 compared with 2017. In fiscal year 2018, WMATA met its goal for reducing track defect incidents and reduced electrical fire incidents by 20 percent. However, in designing the program, WMATA did not fully assess risks. For example, WMATA did not quantitatively assess the impact of track defects or electrical fires on its ability to provide service, nor did it consider other risks such as non-electrical track fires, which represent about 30 percent of all fires on the system, or other factors, such as resources or track time. Without a comprehensive risk assessment, WMATA lacks reasonable assurance that the program is designed to address risks affecting the safety of the rail system or other risks that could hinder the new program's success.
Why GAO Did This Study
Safety incidents in recent years on WMATA's rail system have raised questions about its processes for performing critical maintenance and replacing capital assets. WMATA initiated a new preventive maintenance program for its rail track in 2017, and is currently implementing a new capital planning process.
GAO was asked to examine issues related to WMATA's capital funding and maintenance practices. This report examines: (1) how WMATA spent its capital funds from fiscal years 2011 through 2017, (2) how WMATA's new capital planning process addresses weaknesses it identified in the prior process, and (3) WMATA's progress toward its track preventive maintenance program's goals and how the program aligns with leading program management practices. GAO analyzed WMATA's financial and program information, interviewed officials of WMATA, the Federal Transit Administration, and five transit agencies selected for similarities to WMATA. GAO compared WMATA's capital planning process and track maintenance program with leading practices.
Recommendations
GAO is making five recommendations, including that WMATA establish documented policies and procedures for the new capital planning process and conduct a comprehensive risk assessment for the track preventive maintenance program. WMATA described actions planned or underway to address GAO's recommendations. GAO believes the recommendations should be fully implemented, as discussed in the report.
Recommendations for Executive Action
| Agency Affected | Recommendation | Status |
|---|---|---|
| Washington Metropolitan Area Transit Authority | The General Manager of WMATA should establish documented policies and procedures for the new capital planning process. These policies and procedures should include methodologies for ranking and selecting capital projects for funding in WMATA's fiscal year 2020 capital budget and fiscal years 2020-2025 Capital Improvement Program and for future planning cycles. (Recommendation 1) |
The Washington Metropolitan Area Transit Authority (WMATA) provides critical rail and bus transit services to the nation's capital and surrounding areas. In 2019, GAO reported that from fiscal years 2011 through 2017, WMATA received about $5.8 billion for capital investments; over half of which came from the federal government ($3.2 billion), and 41 percent ($2.4 billion) was provided by state and local jurisdictions that WMATA serves. Starting in 2019, WMATA began developing a new capital planning process to improve its capital investment decision-making and to address weaknesses WMATA identified in its prior capital planning process. However, in 2019, GAO reported that WMATA had not yet established documented policies and procedures to guide its annual capital planning process, including how it would rank and select individual projects through its annual capital budget and 6-year capital improvement program (CIP). Internal control standards and other leading practices point out the importance of documenting processes and having a defined process for selecting projects. WMATA officials said they intended to document the new capital planning procedures after they had an opportunity to test the new process through the fiscal year 2020 planning cycle, which was ongoing at the time of GAO's review. GAO reported that without documented policies and procedures, it was unclear how important parts of the process would work and the basis for WMATA's investment decisions. Therefore, GAO recommended that WMATA establish documented policies and procedures for its new capital planning process that should include methodologies for ranking and selecting capital projects for funding for future planning cycles. In 2022, GAO confirmed that WMATA had instituted policies and procedures that, taken together, documented its capital planning process, including how projects are prioritized in its capital plans. First, WMATA finalized a policy instruction for the Capital Program Planning process, which documents the requirements, processes, and staff responsibilities for WMATA to annually develop and update its 10-year capital plan, a 6-year CIP, and an annual capital budget. The policy also included details on how WMATA would select capital projects, including by prioritizing capital investments to align with WMATA's strategic goals and objectives, considering organizational risk, and using available data on asset condition, and other factors. Second, WMATA provided guidance to staff about developing new capital projects, including a requirement to develop business cases and project charters to provide the rationale and documentation of decisions for new capital investments. Third, WMATA's proposed 6-year CIP for fiscal years 2022 - 2027 included a 10-year proposed program of projects (FY 2022 - FY 2033) that provided information on the outcomes of the planning process, including the status of projects in development over the 10-year period. WMATA officials recognized that additional work is needed to improve its methodologies for ranking capital projects among competing priorities, and that project selection decisions are also informed by constraints on funding sources, track time, and operating constraints. However, by establishing documented procedures for its capital planning process and the factors that WMATA considers in prioritizing investments, WMATA has greater assurance that its investment decisions are made using a sound and transparent process.
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| Washington Metropolitan Area Transit Authority | The General Manager of WMATA should develop performance measures to be used for assessing capital investments and the capital planning process to determine if the investments and planning process have achieved their planned goals and objectives. (Recommendation 2) |
As of October 2022, WMATA has not yet addressed this recommendation. In March 2022, WMATA issued a Capital Program Planning Policy which documents the requirements, processes, and staff responsibilities for WMATA to annually develop and update its 10-year capital plan, a 6-year capital improvement program, and an annual capital budget. The policy states that WMATA will include project and program performance indicators within WMATA's 10-year capital plan to determine the impact of the capital investments on expected outcomes or objectives. The policy also states that WMATA will create an inventory of performance measures that will be made widely available across the organization, and such measures will be included in project implementation plans and used to track progress and measure project specific outcomes. WMATA officials stated that it continues to work on developing an inventory of performance measures for major capital projects and that it anticipates that an update will be available in the winter of 2022. GAO will continue to follow WMATA's progress in developing this inventory of performance measures and their use in implementing this recommendation.
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| Washington Metropolitan Area Transit Authority | The General Manager of WMATA should develop a plan for obtaining complete information regarding WMATA's asset inventory and physical condition assessments, including assets related to track and structures. (Recommendation 3) |
The Washington Metropolitan Area Transit Authority (WMATA) provides rail and bus transit services that are critical to the mobility and productivity of the nation's capital and surrounding areas. In recent years there have been questions about the safety of WMATA's rail transit system and whether WMATA has effective processes in place to replace assets and perform critical maintenance. In 2019, GAO reported that WMATA did not have a complete inventory or physical condition assessments of its assets, and that collecting such information is the critical, first step in determining what asset rehabilitations and replacements are needed for capital-investment decision making. GAO further found that although WMATA had initiated various efforts to obtain better information about its assets and their condition, these efforts are not complete, and WMATA had yet to develop a plan for collecting such information, as called for in leading project management practices. Without a plan to obtain asset inventory and condition assessment information WMATA will continue to lack critical information needed for good capital planning and sound investment decision-making. Therefore, GAO recommended that WMATA develop a plan for obtaining complete information regarding WMATA's asset inventory and physical condition assessments. In 2021, GAO confirmed that WMATA has taken several actions that collectively address the intent of GAO's recommendation and position WMATA to collect and make better use of asset condition data in planning capital investments. First, to improve the availability of asset data, WMATA hired consultants in 2019 to create a business process for WMATA to conduct and implement comprehensive asset inventory and condition assessments. In September 2020, WMATA subsequently issued a "Transit Asset Conditions Assessment Strategy Report," (strategy report) which establishes the steps for WMATA to take to enhance its asset condition assessment procedures to meet Federal Transit Administration requirements, including assigning an asset to its appropriate category, assessing its condition, and validating a condition score, among other steps. Second, WMATA has taken steps to revise its overall capital planning process which places additional emphasis on asset condition data. Specifically, WMATA established guidance and presentations for WMATA project managers on WMATA's revised capital planning process that emphasized the use of available condition data to target critical assets and make measurable progress towards achieving a state of good repair. Third, WMATA officials described how this process has worked in practice in the authorities' recent capital planning efforts. Specifically, WMATA's Office of Capital Program Management gathered asset condition data from engineering leads across the authority to evaluate proposed investments and verify that traction power assets in poor condition were flagged for inclusion in the capital program. WMATA officials and the strategy report have recognized shortcomings in WMATA's asset condition data and that additional work is needed to improve the quality and availability of asset condition data across the authority. However, these steps taken together demonstrate that WMATA has a plan in place to improve its procedures for collecting information on the condition of its assets to make sound capital-investment decisions.
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| Washington Metropolitan Area Transit Authority | The General Manager of WMATA should conduct a comprehensive risk assessment of the track preventive maintenance program that includes both a quantitative and qualitative assessment of relevant program risks. In addition to considering technical program risks, WMATA should also consider broader program risks, such as the availability of funding for the program and stakeholders' support. (Recommendation 4) |
As of February 2023, WMATA had not taken sufficient steps to address this recommendation. In its written comments to our report, WMATA stated that it was developing a new Reliability Centered Maintenance (RCM) process that would include a comprehensive risk assessment of track infrastructure to address this recommendation. According to WMATA, RCM is a formal process used to define the maintenance, engineering, and risk management strategies necessary to ensure a tolerable level of safety, environmental integrity, and cost-effective operational capability to meet WMATA's asset management standards. Previously, WMATA officials told us the agency had largely moved to implement RCM and had implemented some of the preventive maintenance activities, such as track bed cleaning, that existed at the time of our review. Other preventive maintenance efforts had been converted to inspection activities to monitor the condition of assets. WMATA officials also stated they had made significant progress in shifting from reactive to proactive maintenance work in the Metrorail system and that this had been successful in minimizing unplanned disruptions on the railway. However, it did not provide evidence of a comprehensive risk assessment of either RCM or its preventive maintenance activities. Further, over the 2017 to 2022 period WMATA made several changes to its Metrorail service. These acted to both increase and decrease overnight work hours for performing preventive maintenance activities. Our review of documents supporting these changes found that, although they recognized some of the risks to the maintenance program associated with the changes, they did not represent comprehensive risk assessments of either RCM or the changes and their effects on the preventive maintenance program. GAO will continue to monitor WMATA's efforts to assess risks associated with RCM and its track maintenance activities.
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| Washington Metropolitan Area Transit Authority | The General Manager of WMATA should prepare a formal program management plan for the track preventive maintenance program that aligns with WMATA's strategic plan, addresses how the program is linked to overall strategic goals and objectives, and includes program milestones and decision points. (Recommendation 5) |
The Washington Metropolitan Area Transit Authority (WMATA) provides critical rail and bus transit services to the nation's capital and surrounding areas. Safety incidents in recent years on WMATA's rail system have raised questions about its processes for performing critical maintenance and replacing capital assets. In June 2017, WMATA began implementing a new track preventive maintenance program designed to improve the rail system's long-term safety and reliability. However, in 2019 GAO found that WMATA's track preventive maintenance program did not fully align with leading program management practices, including developing a program management plan that aligns with organizational goals and objectives and provides a roadmap to guide program activities. Specifically, WMATA officials told GAO that WMATA had not formally documented the overall structure of the program or how it would be implemented, and instead relied on presentations they provide to WMATA's board of directors and internal team meetings to cover relevant information needed for running the program. While providing such information to the WMATA board of directors provided some accountability for the program, these presentations did not represent a formal program management plan that links with WMATA's strategic plan or that identifies milestones and decision points necessary to guide the program. GAO found that without a program management plan, WMATA employees charged with managing and implementing the program lack an important document to guide their decision-making to improve track safety and meet the agency's overall strategic objectives. As such, GAO recommended that WMATA prepare a formal program management plan for the track preventive maintenance program that aligns with WMATA's strategic plan, addresses how the program is linked to overall strategic goals and objectives, and includes program milestones and decision points. In 2022, GAO confirmed that WMATA had put in place formal policies and procedures that, taken together, provide a roadmap for WMATA to implement its preventive maintenance efforts and help its staff conduct planned track maintenance activities. First, in 2021 WMATA revised its track and structures maintenance control program policy, which provides guidance and standards to staff implementing WMATA's track maintenance processes in support of WMATA's strategic goals of providing safe, reliable, and affordable transportation to the region. The maintenance control policy states that preventive maintenance efforts are designed to repair or replace track components before failures occur, and requires WMATA to establish monthly and yearly goals to track the completion of scheduled preventive maintenance actions. Second, WMATA has established or updated standard operating procedures for its preventive maintenance and inspection programs, including procedures updated in 2022 for WMATA to remove trash, mud, and standing water from its underground track sections to reduce the risk of track fires and smoke events. WMATA also established procedures to inspect track switches, test electrical cables along the track, and replace track insulators in certain locations to reduce smoke and fire incidents caused by electrical arcing from WMATA's third-rail power system. Third, these standard operating procedures provide goals for completing the preventive maintenance actions, and WMATA tracks progress through monthly presentations that compare WMATA's planned and actual completion rates for several of the activities. As a result of these actions, WMATA has established milestones to measure progress, and a roadmap to guide decision-making in implementing WMATA's track preventive maintenance, inspection, and testing programs.
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