San Francisco PublicLibrary GovernmentInformationCenter SanFranciscoPublicLibrary 100LarkinStreet, 5thFloor SanFrancisco,CA94102 REFERENCE BOOK Not to be taken from the Library SAN FRANCISCO MUNICIPAL TRANSPORTATION AGENCY: The Agency Must Improve Staffing Planning and Training to Meet Its Need for Transit Operators GOVERNMENT DOCUMENTS DEPT SEP 1 2013 SAN FRANCISCO PUBLIC LIBRARY September 10, 2013 OFFICE OF THE CONTROLLER CITY SERVICES AUDITOR The City Services Auditor Division (CSA) was created in the Office ofthe Controllerthrough an amendmentto the Charter ofthe City and County of San Francisco (City) that was approved by voters in November 2003. CharterAppendix F grants CSA broad authority to: • Report on the level and effectiveness of San Francisco's public services and benchmark the Cityto other public agencies andjurisdictions. • Conductfinancial and performance audits ofcity departments, contractors, and functions to assess efficiency and effectiveness ofprocesses and services. • Operate a whistleblower hotline and website and investigate reports ofwaste, fraud, and abuse ofcity resources. • Ensure the financial integrity and improvethe overall performance and efficiency ofcity government. CSA may conductfinancial audits, attestation engagements, and performance audits. Financial audits address the financial integrity of both city departments and contractors and provide reasonable assurance about whetherfinancial statements are presented fairly in all material aspects in conformity with generally accepted accounting principles. Attestation engagements examine, review, or perform procedures on a broad range of subjects such as internal controls; compliance with requirements ofspecified laws, regulations, rules, contracts, or grants; and the reliability of performance measures. Performance audits focus primarily on assessment ofcity services and processes, providing recommendations to improve department operations. CSA conducts audits in accordance with the GovernmentAuditing Standards published bythe U.S. GovernmentAccountability Office. These standards require: • Independence of audit staffand the audit organization. • Objectivity ofthe auditors performing thework. • Competent staff, including continuing professional education. • Quality control procedures to provide reasonable assurance ofcompliance with the auditing standards. For questions regarding the report, please contact Director of City Audits Tonia Lediju at [email protected] or 415-554-5393, or CSA at 415-554-7469. Audit Team: Mark Tipton, Audit Manager Winnie Woo, Auditor-in-Charge Kathleen Scoggin, Associate Auditor Helen Vo, Associate Auditor 3 1223 10055 7009 City and County of San Francisco Office of the Controller - City Services Auditor San Francisco Municipal Transportation Agency: September 10, 2013 The Agency Must Improve Staffing Planning and Training to Meet Its Need forTransit Operators Purpose ofthe Audit The audit assessed the efficiency and effectiveness of recruitment, selection, and initial training of transit operators at the San Francisco Municipal Transportation Agency (SFMTA), including whether these processes yield enough operators to fill all vacant positions. The audit assessed the SFMTA's estimate ofthe number oftransit operator positions that must be filled to enable SFMTA to fulfill its service schedule. Initial and refresher training for operators was also evaluated to see ifit adequately addresses worker safety to prevent workplace injuries. Recommendations Highlights The report includes 18 • The data needed to perform an accurate and meaningful transit operator staffing analysis is held by various SFMTA units that do not SreFcMoTmmAetnodaitmiproonvseftorhethheiring collaborate to determine an adequate staffing level. Also, because it and training oftransit operators, uses a relieffactorthat is too low (20 percent instead ofthe audited 27 including that SFMTA should: percent) and does not accountfor attrition (8 percent yearly), SFMTA's staffing analysis fortransit operators significantly underestimates the • Base its budgetfortransit transit operator shortage. As a result, SFMTA cannot accurately operator positions on an estimate the number oftransit operators it needs to employto meet its integrated staffing analysis current public transit schedule while minimizing unscheduled overtime. that uses accurate estimates • A recent SFMTA analysis estimates that 1,983 full-time equivalent of leave and attrition and is based on service schedule operators are needed to fulfill the service schedule, which falls 283 data. (12.5 percent) short ofthe audit's estimate of2,266 full-time equivalent operators needed. • Ensurethatthe Human • The Human Resources, Transit, and Finance divisions mustwork Resources, Transit, and Finance divisions collaborate togetherto more accurately estimate the numberoftransit operators SFMTA needs. SFMTA's goal should be to ensure thatthe numberof to determinethe appropriate numberofbudgeted transit operators hired yields enough operatorstofill all positions needed to operatorpositions needed to deliver planned levels ofservice with minimal overtime. meettransit service needs. • The unit that trains newtransit operators lacks enough instructors, buses, and an off-street skills course location that is consistently • Fill vacant instructor positions available, making this unit the bottleneck in the process to hire and in the Training unit so new operatortraining classes can terfafiincieenncoyugahndtreafnfseicttoipveerneastso.rsWthoefinll atlrlaivnaicnagnbcuiseessaanrdelliamtietionrgditos not occurmore frequently, allowing two such classes to arrive, trainees and instructors mustwait and behind-the-wheel practice occur simultaneously. time is reduced. Three nine-week training classes were canceled in 2013 dueto a shortage of instructors. • Ensurethat line instructors followcorrect procedures, • The newoperatortraining's graduation rates and content are including being attentiveto reasonable, the hours oftraining provided greatly exceed state minimum requirements, and the training's duration is on parwith similar theirtrainees' driving and interactions with passengers programs at other California transit agencies. at all times. • Although trainees generally ratethe newoperatortraining as • Define the qualifications satisfactory, line training and workersafetytraining can be improved. desired forthe Training unit's Some line training instructors were observed notfollowing proper instructors and make the procedure, including by being inattentive. assignment more desirable byworking with the • SFMTA has difficulty attracting and retaining enough of its well- Department of Human qualified transit supervisors to serve as training instructors, partly Resources to establish because instructors have no opportunity to earn overtime pay. higher pay forthejob. • Refreshertraining for existing transit operators should be improved by • Inform transit operator adding behind-the-wheel training. This will require more instructors and applicants as early as buses. possiblethat the positions • The recruitment and selection process provides virtually all ofthe initiallywill be part-time. This trainees needed to fill the newtransit operatortraining classes and will eliminate as soon as complies with state requirements but lacks written policy and possible more applicants or procedures. potential applicants who will not accept part-time work, • The time needed to recruit transit operator candidates has been saving SFMTA stafftime. reduced by 60 percent, from ten months to four, but the introduction in 2012 of part-time operator positions increased the numberof candidates that must be recruited fivefold, requiring more stafftime. Copiesofthe fullreportmaybeobtainedat: Officeofthe Controller• CityHall, Room316• 1 Dr. CarltonB. GoodlettPlace • SanFrancisco, CA 94102 • 415.554.7500 oronthe Internetathttp://www.sfgov.orp/controller CITY AND COUNTY OF SAN FRANCISCO OFFICE OF THE CONTROLLER Ben Rosenfield Controller MoniqueZmuda Deputy Controller September 10, 2013 Board of Directors Mr. Edward D. Reiskin San Francisco Municipal Transportation Agency Director ofTransportation 1 South Van Ness Avenue, 7th Floor San Francisco Municipal Transportation Agency San Francisco, CA 94103 1 South Van Ness Avenue, 7th Floor San Francisco, CA 94103 Dear Board Chairman Nolan, Board Members, and Mr. Reiskin: The Office of the Controller's City Services Auditor Division (CSA) presents its audit report of Transit Operator Hiring, Training, and Worker Safety at the San Francisco Municipal Transportation Agency (SFMTA). The key audit objectives were to assess whether: • SFMTA's recruitment, selection, and initial training processes yield enough transit operators to fill all vacant positions and are efficient and effective. • The duration ofthe initial training oftransit operators is optimal and complies with any applicable state orfederal requirements. • SFMTA's initial and ongoing training oftransit operators adequately addresses worker safety, including ergonomics, and wellness to prevent workplace injuries. • SFMTA's estimate ofthe number offull-time equivalent transit operator positions that must be filled to enable SFMTA to have enough operators to staffevery scheduled transit route every day is accurate and reliable. The audit found that SFMTA bases its budgeted number oftransit operator positions on prior years' staffing levels and incremental changes to service ratherthan on a data-driven staffing analysis. Also, the data needed to estimate how many transit operators SFMTA needs to employ is held by various units ofthe agency that do not collaborate to produce an integrated staffing analysis that could inform the agency's budget and its hiring and training goals. Further, because it uses a relieffactor that is too low and does not accountfor attrition, SFMTA's staffing analysis for transit operators underestimates its transit operator shortage. SFMTA hires the number of newtransit operators that its Training unit can accommodate, but does not hire enough operators to allow SFMTA to achieve full staffing, which is needed to fulfill the transit schedule with minimal overtime. The report includes numerous otherfindings and 18 recommendations for SFMTA to consider. SFMTA's response to the report is attached as an appendix. CSA will work with SFMTA to follow up on the status ofthe recommendations made in this report. 415-554-7500 CityHall • 1 Dr. Carlton B. GoodlettPlace• Room 316•SanFranciscoCA94102-4694 FAX415-554-7466 CSA appreciates the assistance and cooperation that SFMTA staff provided to us during the audit. For questions about the report, please contact me at Tonia.Lediiu(5),sfqov.orq or 415-554- 5393 or CSA at 415-554-7469. Respectfully, Tonia Lediju Director ofCity Audits cc: Mayor Board of Supervisors Civil Grand Jury Budget Analyst Public Library TABLE OF CONTENTS Glossary iii Introduction 1 Chapter 1 - SFMTA Underestimates How Many Transit Operators It Needs to Fulfill Its Current Service Schedule and Minimize Unscheduled Overtime 13 Finding 1.1. Although SFMTA has the appropriate data, it bases its budgeted transit operator positions on prior year levels rather than on a data-driven staffing analysis. As a result, SFMTA cannot budget for, hire, and train the number oftransit operators needed to meet its service schedule 14 Finding 1.2. SFMTA does not use the data-tracking and staffing-related analyses done by its various divisions to perform an integrated analysis that can inform the agency's budget or hiring goals 19 Chapter 2 - SFMTA's Training Unit Lacks the Resources Needed to Effectively Meet Departmental Needs 25 Finding 2.1. SFMTA's Training unit is the bottleneck in the process offilling vacant transit operator positions 25 Finding 2.1.1. The Training unit lacks enough instructors to train new transit operators, causing it to cancel half of its scheduled new operator training classes, due to vacancies, leave, and absenteeism 26 Finding 2.1.2. The Training unit lacks enough buses and a reliable location for new operator training. The Transit division provides the Training unitfewer buses than needed and often delivers them late, and the two units collaborate poorly, all causing reduced student driving hours and inefficiency 31 Finding 2.2. The graduation rates and nine-week duration of SFMTA's new operator training are reasonable 38 Finding 2.3. Line training needs improvement. Some line training instructors do theirjobs incorrectly or improperly, and the line training evaluation process is flawed 40 Finding 2.4. Worker safety training is presented inconsistently and should be improved 44 Finding 2.5. SFMTA's transit operator refresher training addresses worker safety but lacks behind-the-wheel instruction 45 Chapter 3 - The Transit Operator Recruitment and Selection Process Adequately Fills New Operator Training Slots but Needs to Improve to Fill All Operator Vacancies 47 Finding 3.1. SFMTA's recruitment and selection process provides virtually all ofthe trainees needed to fill the new transit operator training classes and complies with state requirements but lacks policy and procedures 47 Finding 3.2. The time needed to recruit transit operator candidates has been reduced by 60 percent, but the introduction of part-time positions increased the number of candidates that must be recruited fivefold 52 Finding 3.3. The Human Resources, Transit, and Finance divisions must work together to more accurately estimate the number oftransit operators needed and to ensure that the number of operators hired yields enough operators to fill all positions needed to deliver planned levels of service 55 Appendix - Department Response A-1 ii