For railroads, tracking employee performance and ensuring they align with regulatory safety standards, operating procedures are important parts of ensuring safety and security in the organization. However, without an effective ops testing program and access to consolidated tools for tracking employee accountability due to lack of visibility into employee history (like demerits, drug and alcohol testing failures, or verbal cautions) across locations, Labor Relations, and railroads meeting safety goals becomes challenging. Find out how railroads today can ensure effective ops testing with performance tracking to build employee accountability for safety compliance. Ashok will share tips to build a robust ops testing program, how to track employee performance through accountability tools and help labor relations to improve safety, including best practices to respond to violations and set up policies to track employee performance.

1. P R E S E N T E R
Railroad Digitalization, Reimagined
MODERNIZINGRAILROADS
Operations testing with employee performance tracking
for compliance
Ashok Madhavan, Sr. Railroad Consultant, CloudMoyo
Confidential & Proprietary | Copyright 2015-19 © CloudMoyo, Inc.

2. Confidential & Proprietary | Copyright 2019 © CloudMoyo, Inc. 2
Poll
How does the ops testing program at your railroad work?
- Paper-based tracking
- Excel or access to a database
- Legacy systems on mainframe or AS-400
- Web-enabled system or software

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Operations testing for enhancing human-related safety parameters
Operations testing is one of the methods used to monitor
the effectiveness of rail operating rules and regulations in
your organization, including compliance.
General Code of Operating
Rules (GCOR)
Drug and alcohol checks
Territory-specific regulations
Rules for transportation,
mechanical, and engineering
departments.
Rule books and regulation
guidelines
Demonstrations, inspections,
and observations
Failure handling – Follow-ups
and demerits
Compliance reporting
Prevalent rules and regulations Operations testing: Components

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A look at the complexities involved in implementing ops testing
The planning and enforcement of an ops
testing program is a challenge
Manage increasing changes to rules and regulation, including
FRA changes
Ensure 100% test coverage for employees across departments
and locations along with randomized crew selection
Complications in managing testing schedules and quotas
Manually capture testing outcomes in spreadsheets or paper
Difficulties in providing documentary evidence for audits
Slow to roll out new rules in the plan in order to focus on safety
incidents or organization-wide initiatives
Inability to track follow-up actions and disciplinary measures

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An effective operations testing program
Proactive
approach to rule
enforcements
Less compliance
breaches and
penalties
Higher rules
enforcementsReduced
safety
incidents
Roll out
rule
changes
Continuous
improvements
Benefits of an effective operational testing program
Safety incidents and compliance
breaches increase when an ops testing
program is not effective.

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Data holds the key to developing an effective operational testing program
Today’s
technology
tools help
you manage data
to make your ops
testing effective
• Do you have a structured method to store and distribute
pass and fail data for your employee ops tests?
• Can you identify employees, departments, or rules which
are subject to higher failure rates?
• Are you equipped to produce ops testing reports for
periodic audits, both after safety incidents and for the
FRA as needed?
• Does your data integrate with your labor relations
systems and claims systems?
• Can you track certification components with your ops test
data?
Are you managing your employee
ops testing data appropriately? Here
are a few considerations…

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Technology available to help you leverage data for an effective ops testing program
Harnessing the latest technology in your
operational testing program transforms the safety
landscape through effective utilization of data and
planning the lifecycle of your tests.
• Roll out a master ops and field testing plan leveraging modern
technologies
• Cloud: A single source to store and access the latest rules
libraries (such as GCOR and territory-specific rules)
• Build workflows for repeatable, uniform, and fool-proof ops
testing schedules (including assignments, deadlines, and
evaluation) and for reporting
• Mobile: On-field access to record test results and avoid latency
and errors
• BI and analytics: Compliance reports and management
dashboards
• AI/ML: Identify trends and actionable insights to minimize
failures and increase safety parameters
• Machine learning guarantees randomized and incident-based
selection of employees for D&A checks and other ops tests
Technology-led ops testing system
• Tools for accident and incident reporting, and create
notification workflows for labor relations or concerned officers
Enforcements
Performance accountability tools to
capture and store in the cloud
• Verbal cautions
• Coaching and counselling
• Investigations
• Level S failures
Monitoring

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Employee performance tracking – Integrated reporting, monitoring, and testing program
Safety
reporting
systems
Ops testing
system
Monitoring
• Accident and incident
reporting
• Compliance breach
records
• Drug and alcohol
testing and
efficiency tests
• Ops test failures
• Ops test actions
(C&C and waivers)
PEPA – Performance accountability tools to captures:
• Verbal cautions,
• Coaching and counselling
• Investigations and actions
• Level 1,2, and 3 failures

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Adding intelligence to an operational testing program
Do you know which departments,
locations, or employees need more
ops testing due to human factor
incidents?
?
Are your inspectors falling short of
managing testing quotas? Are you
allocating inspectors intelligently?
?
Do you conduct operational field testing
randomly? Would you like to test where
the risks are highest?
?
How do you manage root cause analysis?
Can you see trends and identify remedial
actions, or faulty equipment and
processes?
?
FRA compliance
Optimize operational testing
for high risk areas
Ensure employee and
equipment safety
Leading the OTS transformation with AI/machine learning
• Smart workflows to close
process gaps and disruptions
in the testing process
• Actionable insights to improve
testing ROIs and efficiencies
• Identify specific patterns,
trends, and gaps in the data
• All data points of historic
testing programs, compliance
breaches, and safety incidents
Measure Analyze Transform
AI/ML algorithm training
• Identify people, territories, and departments which need
attention from a compliance standpoint
• Optimize test schedules to ensure quotas are fulfilled
• Ensure test coverage across job functions, tracks, locations,
and employees where risks are highest
• Helps you close process gaps or disruptions in test
programs
• Identify the best possible scenarios in inspector allocations,
shifts, quotas, and schedules
An intelligent OTS helps you:
+

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Additional actions to bring efficiencies to ops testing and employee performance tracking
D&A efficiency
tests and medical
tests are separate
and randomized
Auto alerts and
notifications for
failure incidences
for respective
departments
Root cause
analysis of safety
incidents
implemented in
the next month’s
quotas
Conduct
randomized tests
Directly talk to
your employee
performance
systems to stay in
synch
Testing results
available for
employee
records

11. Thank You
RAILROADDIGITIZATION,REIMAGINED
Railroad Digitalization, Reimagined
MODERNIZINGRAILROADS
Corporate Headquarters
Bellevue, WA
Phone: +1 (425) 885-5800
Mid-America Center
Overland Park, Kansas
East Center
Jacksonville, Florida
Solutions and Innovation Center
Pune, India
Phone: +91 6627 7878