FY2020 Proposed Audit Work Planamp Audit Department Highlights

2

Cost Price Analysis 72

Special Projects 7

Buy America Pre Award amp Post Delivery 15

Internal FunctionsIT 13

Audit Department has issued 107 Audit Reports during FY2019 as of August 31 2019

Contracts (87 Audit Reports)bull 72 CostPrice Analysis Audits (supporting 10 contracts totaling $25850082)bull 13 Buy America Post Delivery Audits (supporting 74 buses totaling

$36399427)bull 2 Buy America Pre-Award Audit (supporting 2 contracts totaling $24544973

for 20 Buses)

3

$342540 (4)

$10677220 (20)

$24569237 (49)

$810430 (1)0

10

20

30

40

50

Wheelchair Lift EquippedVehicles

40 Foot CNG Buses 45 Foot Diesel Commuter Buses 60 Foot BRT Transit Buses

Aud

it C

ompl

eted

Types of Vehicles Audited

Internal FunctionsInformation Technology (20 Audit Reports)bull 13 Audit Reportsbull 7 Special ProjectsReviews (Safety Recommendations Lighthouse)

Monthly Corrective Action Compliancebull 35 Previously Identified Audit Recommendations Implemented bull 25 Newly Identified Audit Recommendations

4

Operations 9

Regulatory Compliance

3Information Technology

1

Policy amp Controls 12

Types of Recommendations

Collaborationsbull Participated in round table discussions with other local and state audit leadership

to discuss emerging audit risks and department challengesbull Working with Transit Agencies in Texas to leverage cumulative audit knowledge

and experiencebull Participating on a project for identifying standard transit risks for finance

operations and compliance through APTA with participating Agencies across the US

5

6

bull FY2020 Proposed Audit Plan based on Annual Risk Assessmentbull Risk Assessment based on 5 variables assigned a risk score of 1 -3 each (1=Low 2=Med 3=High)

based on cumulative audit knowledge and experience

Internal Functions - 16

Total Org Units containing a total of 214 Auditable

Areas

Organizational Unit Score Evaluation

High Risk (12-15)Med Risk (8-11) Low Risk (5-7)

Risk Map

7 8 9

- 5 6

13 14 15

10 11 12

Audit Universe

Risk Assessment

Recap

ampZampF

John M GarciaUsed the Original Budget Number (Column O) from the FY2017 Budget By RC Code for the Operating Column

Garrett Brownadded 1174 in 2017

Garrett Brownadded 1361 in 2017

Garrett Brownlisted as Rc code 1600 on 2016 budget

Garrett Brownadded from 2016 budget

Garrett Brown2016 rc code 2000

John M GarciaSource - Fuel Taxes Budget for FY17 the total is comprised of Gasoline 3207448Diesel Fuel 24260580Fuel and Lub Taxes 2649280

John M GarciaSource Document - Fuel Taxes Budget for FY17 3207 = Gasoline acct 526020

John M GarciaDid this department get eliminated

Reconciliation

Heat Map

Sheet1

Sheet2

Sheet3

Sheet4

METROrsquos Organizational Units (not including IT)

bull Thirteen audits proposed for FY2020 including audits of Regional Van Pool Program Support Vehicle Usage and Rail Safety Security and Customer Experience The Audit Plan does incorporate the Agencyrsquos Annual Business Plan Goals as part of the risk assessment when selecting audits

7

0 10 20 30 40

EXECUTIVE amp BOARDLEGALAUDIT

ADMINISTRATIONFINANCE

HUMAN RESOURCESEEO amp COMPLIANCEEMPLOYEE BENEFITS

OPS PUB SFTY amp CUSTOMERMETRO POLICE

NON-RAIL OPERATIONSMETRORail

ENGINEERINGPLANNING

FACILITIES MAINTENANCE

1 4 4

2 8

9 2

3 6

18 24

33 8 8

11 Number of Auditable Areas

Risk Map

Support Vehicle Usage

Compliance

Regional Van Pool Program

Rail Safety amp Security

Recap

ampZampF

John M GarciaUsed the Original Budget Number (Column O) from the FY2017 Budget By RC Code for the Operating Column

Garrett Brownadded 1174 in 2017

Garrett Brownadded 1361 in 2017

Garrett Brownlisted as Rc code 1600 on 2016 budget

Garrett Brownadded from 2016 budget

Garrett Brown2016 rc code 2000

John M GarciaSource - Fuel Taxes Budget for FY17 the total is comprised of Gasoline 3207448Diesel Fuel 24260580Fuel and Lub Taxes 2649280

John M GarciaSource Document - Fuel Taxes Budget for FY17 3207 = Gasoline acct 526020

John M GarciaDid this department get eliminated

Reconciliation

Heat Map

Auditable Organizations

Heat Map 2

Sheet3

Sheet4

8

Risk Map

During FY2020 IT Audit will collaborate with Information Technology and have a Risk Assessment performed by 3rd Party IT Consultants to update the Areas of Focus and Auditable Areas

Since 2012 - Information Technology had 11 Areas of Focus with 61 Auditable Areas resulting in 19 Audit Reports

IT Risk Assessment and Updated Auditable Areas

FY2020 - Risk Assessment

Wireless Network

Disaster Recovery

Recap

ampZampF

John M GarciaUsed the Original Budget Number (Column O) from the FY2017 Budget By RC Code for the Operating Column

Garrett Brownadded 1174 in 2017

Garrett Brownadded 1361 in 2017

Garrett Brownlisted as Rc code 1600 on 2016 budget

Garrett Brownadded from 2016 budget

Garrett Brown2016 rc code 2000

John M GarciaSource - Fuel Taxes Budget for FY17 the total is comprised of Gasoline 3207448Diesel Fuel 24260580Fuel and Lub Taxes 2649280

John M GarciaSource Document - Fuel Taxes Budget for FY17 3207 = Gasoline acct 526020

John M GarciaDid this department get eliminated

Reconciliation

Heat Map

Auditable Organizations

Heat Map 2

Sheet3

Sheet4

bull Buy America (Pre-Award and Post Delivery) 60 Foot Articulated BRT Vehicles 40 Foot CNG Buses 45 Foot Clean Diesel Wheelchair Lift-Equipped Vehicles

bull CostPrice Analysis covers a variety of areas such as Environmental Engineering General Planning Consultant Transportation Consulting Construction Management Surveying Services Contract Modifications

9

Auditable Procurement Activities

Buy America Pre -Award and Post-Delivery

CostPrice Analysis

Risk Map

Recap

ampZampF

John M GarciaUsed the Original Budget Number (Column O) from the FY2017 Budget By RC Code for the Operating Column

Garrett Brownadded 1174 in 2017

Garrett Brownadded 1361 in 2017

Garrett Brownlisted as Rc code 1600 on 2016 budget

Garrett Brownadded from 2016 budget

Garrett Brown2016 rc code 2000

John M GarciaSource - Fuel Taxes Budget for FY17 the total is comprised of Gasoline 3207448Diesel Fuel 24260580Fuel and Lub Taxes 2649280

John M GarciaSource Document - Fuel Taxes Budget for FY17 3207 = Gasoline acct 526020

John M GarciaDid this department get eliminated

Reconciliation

Heat Map

Auditable Organizations

Heat Map 2

Sheet3

Sheet4

10

QuestionsComments

• Metropolitan Transit Authority of Harris County
• Audit Department Highlightsndash Fiscal Year 2019
• Audit Department Highlightsndash Fiscal Year 2019 (Contracts)
• Audit Department Highlightsndash Fiscal Year 2019 (Internal FunctionsIT)
• Audit Department Highlightsndash Fiscal Year 2019
• Audit Department ndash Risk Assessment Highlights
• Audit Department ndash Internal Functions
• Audit Department ndash Information Technology
• Audit Department ndash Contracts Group
• Audit Department ndash Proposed Audit Work Plan

	Organizational Units		Auditable Units
	Executive amp Baord		1
	Legal		4

		13		14		15
		10		11		12
		7		8		9
		-		5		6

	Reconciliation of Risk Assessment Values reviewed Audit obtained the FY2017 Budget amounts from accounting and used these amount to prepare a risk assessment The following is a reconciliation of the amounts reviewed in the Risk Assessment
			Capital Budget Amount
		Risk Assessment Amount Reviewed		178221000
		Budget Amount		178221
		Difference		178042779
			Operating Budget
		Risk Assessment Amount Reviewed		593645668
		Budget Amount		568071000
		Difference		25574668
		Adjustments		2600806		Non-Departmental A
			2500000		Contingency - President amp CEO B
		Remaining Difference		30675474		rounding differences
	Notes
	A		The Non-Departmental amount from the budget was not included in the Risk Assessment as this amount was a contingency for the COLA adjustment expected to be approved during the 2017 Fiscal Year
	B		The Contingency - President amp CEO amount from the budget was not included in the Risk Assessment as the amount was an actual contingency for unknown or potential issues which might effect METRO during the 2017 fiscal year

																		KEY
	Risk Assessment as of JUNE 2017																		Audit Type (Internal Designations not Yellow Book)
																		F = Financial						O = ORGANIZATION
																		P = Performance						S = Special Project
																		C = Compliance						A = Activity
Audit				RESPONSIBILITY		Responsibility Code or Account (SAP - New Codes)		FY2016 Budget		FY2017 BUDGET (000 omitted)				Delta				STAFF SIZE			Delta		RISK ASSESSMENT							AUDIT BUDGET						LAST YEAR
Type		ORGANIZATIONAL UNIT ACTIVITY OR			CODE OR								OTHER CONSIDERATIONS						1		2		3		4		5		Total		Estimated Hours		FRQ		ANNUAL HOURS		RISK			AUDITED
Code		PROJECT DESCRIPTION			ACCOUNT (ORACLE)			Total		CAPITAL		OPERATING		TOTAL		(Less) More		DESCRIPTION		VALUE (000)		FY16 (Actual)		FY17 (Actual)		(Less) More			Control Environment		Technology		Size		Organization				YRS					( Partial)
O		EXECUTIVE amp BOARD		1		2300 2320				3028000			3028000		3028000		Cap Is Unallocated Cap
O		President amp Chief Executive OfficerBoard			2310 11 12 13 21			1901000			2124896		2124896		223896				8		7		(1)		A		A		A		A		A		- 0
S		Board Service Requests								-		-		highest priority						3		3		3		1		3		13		150		1		150		3
S		President amp Chief Executive Officer Requests								-		-		highest priority						3		3		3		1		3		13		150		1		150		3
S		Office of Executive Vice PresidentStrategic Partnering			2011						-		-				0				2		1		1		1		1		6		200		5		40		1
A		Press Office			2371			641000			858422		858422		217422		Social Media Issues			5		8		3		3		3		3		1		1		11		200		5		40		2
A		Office of Innovation			2511					631181		631181		631181					3		3		A		A		A		A		A		- 0
O		GOVERNMENT amp PUBLIC AFFAIRS			2520							-				38
A		Government Affairs			2352			667000			380831		380831		(286169)		Form Part of ExecBoard			4		3		(1)		3		2		2		2		1		10		400		3		133		2
O		CORPORATE COMMUNICATIONS amp MARKETING			2580							-		Formerly part of CAO			22
A		Print Shop and Admin Services			2431 2432			1944000			1960212		1960212		16212				8		10		2		2		1		1		2		2		8		200		5		40		2			1988
A		Media amp Corporate Communications			2581			500000			521510		521510		21510				4		3		(1)		3		1		1		1		1		7		100		5		20		1
A		Marketing			2531			4716000			5440929		5440929		724929				10		12		2		2		1		2		2		1		8		300		5		60		2
O		Public Engagement			2010						-		-		Formerly part of Planning			6			(6)
A		Community Outreach			2521			682000			866624		866624		184624		Involves Rail Expansion			6		26		20		3		2		1		2		2		10		200		5		40		2
A		Interagency Dir Of Pub Engagement			25222523						-		-		Form Part of Planning		No bdgtpers		0			- 0		1		1		1		1		1		5		200		5		40		1
O		Stakeholder Affairs			2060						-		-		Formerly part of Planning			6			(6)		A		A		A		A		A		- 0
A		Stakeholder Affairs			20122524			450000			534409		534409		84409		Form Part of Cap Prog			6			(6)		3		2		1		1		2		9		210		3		70		2			2011
								-		-
A		LEGALSTAFF COUNSELCORPORATE DEVELOPMENT			2350 51			3505000			3955580		3955580		450580				17		15			3		1		1		2		1		8		200		5		40		2
F		Legal Fees		1							-		-							2		1		1		1		1		6		200		5		40		1			2008
S		Attorney Work Requests		1							-		-							3		3		2		1		1		10		200		5		40		2
S		Special Assistance		1							-		-							3		3		2		1		1		10		200		5		40		2
A		Records Management		1		2013			304000			230439		230439		(73561)		Formerly in EEOCompDiv			3		2		(1)		3		3		2		1		2		11		300		3		100		2
								-		-
O		AUDIT			2330 2331			1505000			1534340		1534340		29340				11		11
A		Internal Quality Assurance Review		1							-		-													200		1		200				ON-GOING
A		External Quality Assurance Review		1							-		-		Yellow Book Req												100		3		33				2014
A		External Auditor Assistance								-		-													50		1		50		1			ON-GOING
C		Follow-UpCompliance Reviews								-		-													450		1		450				ON-GOING
A		Application Systems Audit Support								-		-													200		1		200		2			ON-GOING
C		Capital Projects QAQC Programs			Contract Oversight						-		-		FTA REQUIREMENT						3		2		2		1		2		10		200		1		200		2			ON-GOING
P		Review of Performance Measures								-		-							2		2		1		1		1		7		1000		5		200		1			2006
C		State Audit Compliance Review		1							-		-							3		3		3		1		3		13		200		1		200		3			2009 2016(16-1001) Statutory Compliance
C		FTA Audit Compliance Reviews		1							-		-							3		3		3		1		3		13		200		1		200		3			ON-GOING
								-		-
O		FINANCE amp ADMINISTRATION (Frmrly CAO)		1		2500 1610			313000				-		(313000)		AmtsEmps exclude IT
O		EVP Finance amp Administration		1		1611			822000			624447		624447		(197553)				2		3		1		A		A		A		A		A		- 0
O		FINANCE DEPARTMENT		1		2200						-		-
O		Vice PresidentChief Financial Officer			2210 2211			10000			718916		718916		708916				0		2		2		A		A		A		A		A		- 0
O		AccountingController			2220 2221			3250000			3740872		3740872		490872				28		28		- 0		A		A		A		A		A		- 0
O		General Accounting								-		-							A		A		A		A		A		- 0
F		General Ledger								-		-							3		2		3		2		2		12		300		3		100		2			2001
F		Accounts Receivable								-		-							3		2		3		2		2		12		300		3		100		2			2004
O		Grants Accounting (Audit with Grants Admin)								-		-							A		A		A		A		A		- 0							2004
O		Accounting								-		-							A		A		A		A		A		- 0
F		Fixed Assets								-		-		Net Cap Assets (Proj)		3200000					3		2		3		2		2		12		300		3		100		2			200307CR
F		Payroll								-		-		LaborBnfts (Budget)		301554					2		3		3		2		2		12		300		3		100		2			1998 2007
A		Payroll Payment Verification (ghost emps)								-		-		Payroll Ver Aud FY14						2		2		2		2		2		10		200		5		40		2			20032014
A		Accounts Payable								-		-		PAYMENTS (20101010)						3		2		3		2		2		12		300		3		100		2			2007 (CR)
F		Travel Expenses								-		-		(5090201-4)						2		1		1		1		2		7		200		5		40		1			1988
C		External Audit Mgt Ltr Compliance								-		-		Priority as required						3		3		3		1		3		13		100		1		100		3			2012
F		Audit Fees								-		-		(5030302)						2		1		1		1		1		6		80		5		16		1
F		Cost Allocation Plan								-		-							2		2		1		1		1		7		250		5		50		1			2005
O		Treasury Services			2230						-		-		Includes RevSrv			33			(33)		A		A		A		A		A		- 0
O		Director Treasury Services			2231						-		-				6			(6)		A		A		A		A		A		- 0
A		Financial Planning amp Investments								-		-		Investments (2014)		415021					3		3		2		3		3		14		200		2		100		3			2010 2016 (16-1004) Financial Planning amp Investments
O		Treasury Office Operations								-		-							A		A		A		A		A		- 0							2000
F		Sales Tax Revenue(audit with Distributions)								-		-		Sales Tax (Projected)		706241					3		2		2		3		2		12		200		2		100		2			2009
F		Sales Tax Revenue Distributions								-		-		Distributions(est Gen Mob)		173019					3		2		2		3		2		12		100		2		50		2			2009
F		Other Revenues								-		-		Projected FY2015		$108 mil					3		2		1		2		2		10		90		3		30		2
F		Petty Cash								-		-		Disbursements						3		1		1		1		3		9		90		3		30		2			2002
F		Pension Funds (Audited by outside auditors)								-		-		Funds						2		1		2		1		1		7		300		5		60		1			1995
A		Revenue Services		1		2212						-		-		Under OMB Mgmt						3		3		3		2		3		14		300		3		100		3
A		Ticket amp Fare Collection		1		2232			3514000			3037608		3037608		(476392)				27		26		(1)		3		3		3		2		3		14		300		2		150		3			2001 2009
A		Revenue Management		1		2235						-		-		Include wFare Collection						2		2		3		2		2		11		300		3		100		2
A		Grants (Includes Grant Accounting)		1		2250 2353			536000			528174		528174		(7826)		GRANTS INCOME(Bdgt)		196386		4		4		- 0		3		2		3		3		3		14		300		3		100		3			2010 2013
A		New Freedom JARC		1		9A03 9A04						-		-		New 2012 Inc wGrants						A		A		A		A		A		- 0
O		Office of Management amp Budget		1		2260						-		-		low audit priority			10			(10)		A		A		A		A		A		- 0
A		Office of Management amp Budget		1		2361			1887000			2267912		2267912		380912				10		14		4		2		1		2		2		2		9		150		5		30		2
O		PROCUREMENT amp MATERIALS			2460							-		ProcampMat Only(exSBE)
A		Procurement			2422			3661000			3689787		3689787		28787		IT ProcampHRT Auds 14			32		34		2		3		2		2		3		2		12		400		2		200		2			20092014
F		Purchase Card Activity								-		-		Recent Pcard Purch Range		$32 milyr					3		3		1		3		2		12		300		2		150		2			20072017 (17-1003) Purchasing Cards and Small Purchases
A		HGACState of Texas Purchasing Programs								-		-							2		1		2		1		1		7		200		5		40		1
F		Fuel Purchasing Program					31773000			27468028		3207448		385448		DieselampGas Bdgt-Requests for Board Action has a modification for fuel in the amount 28510000 and 4127000		38735					3		3		2		3		2		13		200		2		100		3			20062012
C		Davis Bacon Compliance								-		-		Fewer Cap Projects						3		2		3		1		3		12		300		3		100		2			2010
O		Materials amp Distribution			2423			5695000			6056753		6056753		361753				75		77		2		A		A		A		A		A		- 0
F		Inventory Management and Control								-		-		MampS Expense (Projected)		21651					2		1		3		3		2		11		300		2		150		2			1987 2016(16-1002) FY2016 Spare Parts Inventory 2017 (17-1002) Maintenance Parts Inventory
F		Fuel amp Lubricant Controls					2822000			3207448		27468028		(4304972)		Diesel Budget		36601					3		2		2		2		2		11		500		2		250		2			20082012
F		Annual Physical and Cyclical Inventories								-		-		FY2014 Inv Balance		24250					3		2		3		3		2		13		450		1		450		3			2014
A		Property Services								-		-		Asset Disposals						2		1		2		2		3		10		400		3		133		2			2007 2015
O		SMALL BUSINESS			2340							-		Frmrly in Business Serv
A		SBEDBE			2341			823000			834530		834530		11530				7		6		(1)		3		2		2		2		2		11		300		3		100		2			2017 (17-1006) DBE Compliance
O		HUMAN RESOURCES		1		2400							-		Part of FinampAdmin
O		Vice President Human Resources			2410						-		-							A		A		A		A		A		- 0
O		VP Human Resources			2411			628000			636954		636954		8954				2		2		- 0		A		A		A		A		A		- 0
A		Compensation			2444			491000			495980		495980		4980				4		4		- 0		3		1		3		1		1		9		100		5		20		2
O		Human Resources Operations			2430						-		-							A		A		A		A		A		- 0
O		Staffing			2442			1229000			1385642		1385642		156642		Backgrnd Inv Review			12		11		(1)		A		A		A		A		A		- 0							2015
A		Contract and Temporary Labor								-		-							2		2		2		2		1		9		150		3		50		2			200305CR
C		Recruitment Incentive Programs								-		-							3		2		2		2		2		11		150		3		50		2
O		Labor Relations			2440						-		-		Formerly part of Serv Del						A		A		A		A		A		- 0
A		Labor Relations			2461			428000			426121		426121		(1879)				4		4		- 0		3		1		2		2		1		9		150		3		50		2
O		Human Capital Management and Personnel Services			2470						-		-							A		A		A		A		A		- 0
A		HCM and Personnel Services			2441			434000			451356		451356		17356				5		5		- 0		2		3		2		3		2		12		200		3		67		2
O		Benefits Wellness amp Compensation		1		24502421			55000			75576		75576		20576		Supp Ins Dep Review				3		3		A		A		A		A		A		- 0							2014
A		Wellness Programs		1		2446			289000			270346		270346		(18654)				2		2		- 0		3		3		2		3		2		13		200		1		200		3
A		Benefits and Pensions		1		2443			1282000			1283645		1283645		1645		HIPAA Audit			6		7		1		3		3		2		2		3		13		200		2		100		3			2015
A		Union Benefit Trust		1							-		-		Contributions (2014)		13692					A		A		A		A		A		- 0
A		Non-Union Pension		1							-		-		Contributions (2014)		8967					A		A		A		A		A		- 0							2008
A		Non-Union Health Insurance		1							-		-		Cost of Plans (2014)		9478					A		A		A		A		A		- 0
A		Life Insurance		1							-		-							A		A		A		A		A		- 0
A		Retirees (include wBenefits and Pensions)		1		2412			13411000			15177705		15177705		1766705							A		A		A		A		A		- 0
O		EEO COMPLIANCE AND DIVERSITY		1		2480							-		Part of HR in 2015
O		VP EEO Compliance amp Diversity		1		2014							-		Dir Level in 2015 no VP						A		A		A		A		A		- 0
O		COMPLIANCE EEO EMPLOYEE RELATIONS		1		2560							-		New org structure in 2011
A		EEO and Employee Relations		1		2445			719000			761821		761821		42821				5		4		(1)		2		2		2		2		1		9		150		3		50		2
A		EEO		1		2449			453000			508580		508580		55580				2		4		2		1		1		1		1		1		5		150		5		30		1
								-		-
O		INFORMATION TECHNOLOGY			2280 2451			44507000		8626000		21515539		30141539		(14365461)		Part of FinampAdmin				66		66
O		Disaster Recovery amp Business Continuity								-		-
A		Data Access Security								-		-							2		2		1		3		2		10		300		3		100		2			2008
A		Disaster Recovery Observation								-		-							3		3		3		3		3		15		300		1		300		3			2017
A		Business Recovery Planning								-		-							2		2		2		3		3		12		300		3		100		2			2017
A		Data Center Operations								-		-							2		3		2		3		2		12		200		3		67		2			2009
O		Databases								-		-
A		Data Base Administration								-		-							2		3		3		3		3		14		400		3		133		3			2016
O		Network Management								-		-
A		Firewall Admin amp Controls								-		-							3		3		2		3		2		13		260		2		130		3			2016
A		Incident Intrusion and Emergency Response								-		-							3		3		2		3		2		13		260		2		130		3			2007
A		Wireless Network Security								-		-							3		3		2		3		2		13		260		2		130		3			2007
O		Department Administrative Functions								-		-
A		Help Desk Operations								-		-							2		2		2		2		2		10		300		3		100		2			2009
A		Computer Equipment Disposal Practices								-		-							2		2		2		2		2		10		300		3		100		2			2016
A		HardwareSoftware Standards								-		-							2		2		1		2		2		9		200		3		67		2			2009
A		Remote Access Policies and Security								-		-							2		2		2		2		2		10		150		3		50		2			2009
O		Applications Systems								-		-
A		Enterprise Systems Migration amp Chg Controls								-		-							3		2		3		2		2		12		400		3		133		2			2007
A		Security and Controls								-		-							3		2		3		2		2		12		300		2		150		2			2007
A		SAP Application Maintenance								-		-							3		3		3		2		3		14		300		3		100		3
O		Internet Access Use Controls amp Security								-		-
A		Web Site Management								-		-							3		2		3		2		2		12		250		2		125		2			2010
A		E-business Administration and Controls								-		-							3		2		2		3		2		12		250		2		125		2
A		E-mail Usage Security and Controls								-		-							3		2		2		3		2		12		250		2		125		2			2008
O		Communications Systems								-		-		(50502045121201)
A		VOIP Telephone System Management amp Security								-		-							3		2		3		3		3		14		250		3		83		3			2012
A		Video Surveillance System Man amp Security								-		-							3		2		2		3		3		13		250		2		125		3			2008
A		Radio System Management and Security								-		-							3		2		3		3		3		14		300		3		100		3
O		New Systems Development and Controls								-		-
A		IT Project Management Policies amp Procedures								-		-							2		2		2		2		3		11		400		2		200		2			2011
A		Post Implementation Review								-		-		Q Card review in 2010						2		2		2		2		2		10		200		2		100		2			2010
A		ERP Technical Controls								-		-							2		2		2		2		2		10		400		2		200		2			2010
O		Operating Systems (OS)								-		-
A		UNIX OS Review								-		-							2		3		3		2		3		13		500		3		167		3			2012
A		Windows OS Review								-		-							2		3		3		2		3		13		500		3		167		3			2014
A		Vmware Virtualization OS Review								-		-							2		3		3		2		3		13		500		3		167		3			2014
O		Adherence to Licensing Requirements								-		-
A		SAP Contract Compliance								-		-							2		2		2		2		3		11		200		2		100		2			2017
A		Oracle Contract Compliance								-		-							2		2		2		2		3		11		200		2		100		2			2017
A		Other Licenses								-		-							2		2		2		2		2		10		200		2		100		2			2017
O		Storage								-		-
A		Data Storage								-		-							3		3		3		2		3		14		600		4		150		3			2017
O		Rail IT								-		-
A		SCADA Systems								-		-							3		3		3		3		2		14		300		2		150		3			2011
A		Data Center Operations								-		-							3		3		3		3		2		14		300		2		150		3			2014
								-		-
O		OPS PUB SFTY amp CUST RDRSHP SERVS		1		2800			1405000					(1405000)		Includes MPD in FY1415
O		EVP Ops Pub SftyampCust Rdrshp Servs		1		1821			740000			768800		768800		28800		RC frmrly Best Practices			6		5		(1)		A		A		A		A		A		- 0
O		Director of Safety		1		2810 2812			180000			189445		189445		9445				1			(1)		A		A		A		A		A		- 0
A		Customer and Health Safety		1		2820283022432245			1309000			1248726		1248726		(60274)				12		11		(1)		3		3		2		2		2		12		300		3		100		2
A		Workplace and Environmental Safety		1		28402246			569000			642623		642623		73623		No budget in 2015			5		5		- 0		1		1		1		1		1		5		100		3		33		1
A		Drug amp Alcohol Program		1		2448			611000			630270		630270		19270		FTA area of interest			3		3		- 0		3		3		1		1		2		10		300		3		100		2			2010 2015CR
O		Risk Management			2240						-		-							A		A		A		A		A		- 0							2013
O		Director Risk Management			2241			161000			160688		160688		(312)				1				(1)		A		A		A		A		A		- 0
A		Claims			2242			1116000			1135035		1135035		19035		FEMA Reim Audit			12		13		1		2		2		1		2		2		9		150		3		50		2			2013
A		General Insurance			2244			3852000			3605884		3605884		(246116)				3		3		- 0		2		2		2		2		2		10		150		3		50		2			2003
A		Workers Compensation								-		-		Audited in 2014						2		2		2		1		2		9		150		3		50		2			2014
A		Owner Controlled Iinsurance Program (OCIP)								-		-		True-up in progress						3		3		2		3		2		13		400		3		133		3			20112017 (17-1005) Audit of OCIP
A		Training Design amp Delivery			2850 2247			585000			651220		651220		66220		New org in 2011			3		5		2		3		2		2		1		3		11		300		3		100		2
O		METRO POLICE		1		1900							-		Part of Safety in FY1415
O		Vice PresidentChief of Police		1		1910 0911			593000			569954		569954		(23046)				2		4		2		A		A		A		A		A		- 0
O		Management Services		1		1920 0912 0913			414000			374176		374176		(39824)				4		8		4		A		A		A		A		A		- 0
F		Special Funds - LEOSE amp Seized Property		1							-		-		STATE REQUIREMENT		30					3		1		1		1		2		8		200		1		200		2			2014
O		Police Field amp Rail Operations		1		1930						-		-							A		A		A		A		A		- 0
A		Field amp Rail Operations		1		0934 0966			13646000			15091874		15091874		1445874				144		150		6		3		2		2		3		2		12		300		5		60		2			1998 2007 2016 (16-1006) MPD Administrative Fees
A		System Security K-9 Unit		1		0936			841000			902038		902038		61038				8		8		- 0		3		2		1		2		2		10		200		5		40		2
A		Motorist Assistance Program		1		0964			(88000)			53190		53190		141190				8		7		(1)		3		2		1		1		1		8		200		5		40		2
A		HOV-Enforcements		1		0965			(447000)			383387		383387		830387				25		30		5		3		2		2		1		2		10		300		5		60		2			1998
O		Support Operations		1		1940						-		-							A		A		A		A		A		- 0							1998
A		Transtar amp Dispatch		1		0942 0943			1912000			2200654		2200654		288654				19		19		- 0		3		3		3		2		2		13		300		5		60		3
A		Support OperationsampAnti-Terrorism Grant		1		0932 0935			982000			1416066		1416066		434066				10		14		4		2		2		2		2		2		10		300		5		60		2
A		Investigations		1		0931			1080000			1435846		1435846		355846		Accident Investigations			11		13		2		3		2		2		2		2		11		300		5		60		2			1998 2007 2016 (16-1003) Bus Accident Investigations
A		Records		1		0952			301000			441900		441900		140900				6		6		- 0		2		2		2		1		1		8		300		5		60		2			1998
O		Homeland Security(Inactive budget in 0953)		1		1950						-		-							A		A		A		A		A		- 0
A		Police Homeland Security		1		0953						-		-		No pers In 2015			0			- 0		3		2		2		1		2		10		300		5		60		2
A		Security BOF(Auditable area no budget or pers)		1		0933						-		-		No Emp RC in 2013-15			0			- 0		3		3		3		1		3		13		400		2		200		3			2012 2015
A		Emergency Management(No budget or pers)		1		1960 1961						-		-		No Emp RC in 2012-15			0			- 0		3		2		2		1		2		10		300		3		100		2			2008 2009
S		Special Assistance by Audit - Investigations								-		-		Perform as needed						3		3		2		2		3		13		200		1		200		3			2010
O		CUSTOMER amp RIDERSHIP SERVICES			2530							-		New Dept FY14 (frm Ops)
A		RideStores			2538			696000			653907		653907		(42093)				9		12		3		3		2		3		2		2		12		300		3		100		2			2003 2006
A		Sales			2543			590000			593479		593479		3479		Include wRideStores			5		3		(2)		2		2		2		2		2		10		300		3		100		2
A		Customer Information Center (Customer Care)			2532			3627000			3489725		3489725		(137275)		Partial Audit wComplaints			62		57		(5)		3		2		3		3		2		13		300		3		100		3			2015
								-		-
O		OPERATIONS		1		1000			91154000		65611000			65611000		(25543000)		TotExp Excluding Fuel		338969
O		Senior VP amp Staff (inc Budget Operations(OMS))		1		0100 0011 0351			1850000			1469162		1469162		(380838)				7		12		5		A		A		A		A		A		- 0
A		HOT Lanes Operations		1		1500 1510 2185			8062000			8379468		8379468		317468		New to Ops FY14			1		1		- 0		3		3		2		2		3		13		300		3		100		3			2015
O		Revenue Collection		1		2290						-		-		New to Ser Del In 2011						A		A		A		A		A		- 0
A		Revenue Agents		1		2234			820000			887981		887981		67981		Cash Fare Collections			11		11		- 0		3		2		2		2		3		12		300		3		100		2			2009 2017 (17-1001) Cash Fare Collections
O		Bus Transportation (inc Sr Dir Trans GenampSer Logist)		1		0200003103610322			2775000			4874931		4874931		2099931		Moving Violations Audit			2		2		- 0													2011
A		Bus Operations		1		0220						-		-		Cust Training Audit			1597				3		2		3		3		2		13		600		2		300		3			2011
O		Fallbrook		1		011101120113			25050000			24306144		24306144		(743856)				349		349		- 0		A		A		A		A		A		- 0
O		Kashmere (Greenlink added in 2012)		1		0121012201230124			15750000			17065038		17065038		1315038				216		221		5		A		A		A		A		A		- 0
O		Polk		1		013101320133			27965000			27300859		27300859		(664141)				348		357		9		A		A		A		A		A		- 0
O		West		1		014101420143			32898000			33761527		33761527		863527				404		438		34		A		A		A		A		A		- 0
O		Hiram Clarke		1		0151015201530154			21554000			23379044		23379044		1825044				280		321		41		A		A		A		A		A		- 0
O		Northwest (Contract - see Fac Roll -up Code 1800)		1		0163			(3248000)				-		3248000				0			- 0		A		A		A		A		A		- 0							2012
A		Service Delivery		1		0500						-		-		On-Time Perf Review						2		2		3		2		2		11		300		5		60		2			2014
O		Dispatch		1		0301			1767000			1859803		1859803		92803				17		18		1		A		A		A		A		A		- 0
F		Operator Timekeeping System		1							-		-		Old legacy system						2		2		2		1		2		9		200		5		40		2			2005 UnC
A		Director of Serv Del And Street Supervisors		1		0051 0332			3423000			3594559		3594559		171559				30		35		5		3		2		2		3		2		12		300		3		100		2
A		New Service (Was Budget Services in 2011)		1		030003920393						-		-		No bdgt or pers in 2015			0			- 0		1		1		1		1		1		5		250		2		125		1
O		Transportation Programs		1		0400						-		-							A		A		A		A		A		- 0
A		METROLift amp Director of Trans Prog		1		0045 0041			56698000			58450171		58450171		1752171		FTA review in 2013			117		124		7		3		3		3		3		3		15		400		2		200		3			2006 2007
A		Special Events and Contract Services		1		0470048003710381			330000			322665		322665		(7335)				4		3		(1)		2		1		1		1		1		6		200		5		40		1
A		Rideshare		1		0460 2537			10995000				-		(10995000)				0			- 0		3		2		2		1		2		10		300		3		100		2
A		Regional Vanpool (0831 = Community Connector)		1		0460 2539 0831					12034574		12034574		12034574		Lmtd Rev compltd 2014			3		9		6		3		2		2		2		3		12		300		3		100		2			20122014
C		Contracted Services - Northwest BOF		1		08000811-150821-25			48485000			46163058		46163058		(2321942)		$47mil ann bdgt (NW)		$4mil for NW fuel					3		2		2		3		2		12		400		2		200		2			2012 2015CR
A		METRORail		1		0600													3		2		3		3		3		14		600		2		300		3			2008
O		Senior Director Rail		1		610 0061			234000			244607		244607		10607				2		3		1		A		A		A		A		A		- 0
O		Rail Transportation		1		620 621 622 623 626 627			12352000			12181636		12181636		(170364)		METRORail Cam Aud			149		175		26		A		A		A		A		A		- 0							2015
O		Rail Control Center		1		0651			3054000			3148729		3148729		94729				27		26		(1)		A		A		A		A		A		- 0
O		SampI Administration and Supervision		1		0624 0625			676000			690213		690213		14213		New in FY14			7		8		1		A		A		A		A		A		- 0
O		Rail Maintenance		1		0660-6606810691-93			17903000			18333174		18333174		430174		Includes traction power			134		146		12		A		A		A		A		A		- 0							2013
A		Preventive Maintenance (Bus)		1		1191 (Admin)			306000			323151		323151		17151		Bus Hub Rev FY13			2		2		- 0		3		2		3		3		2		13		300		1		300		3			20122013
O		Kashmere (Greenlink added in 2012)		1		1111-1118			11068000			10734424		10734424		(333576)		Greenlink added in 2012			70		73		3		A		A		A		A		A		- 0
O		Polk		1		1121112211231124			16713000			15617108		15617108		(1095892)				97		98		1		A		A		A		A		A		- 0							1993
O		West		1		1131113211331134			21994000			20796712		20796712		(1197288)				113		121		8		A		A		A		A		A		- 0
O		Hiram Clarke		1		11411142114311441145			14524000			13845519		13845519		(678481)				85		84		(1)		A		A		A		A		A		- 0
S		Northwest (Contract - see Fac Roll-up Code 1800)		1		1151115211531154			(120000)				-		120000							A		A		A		A		A		- 0							2002
O		Fallbrook		1		1161116211631164			16224000			14955860		14955860		(1268140)				79		93		14		A		A		A		A		A		- 0
O		Buffalo Bayou Maint (Under SuppVeh RC)		1		1171 1172 1173			1878000			678775		678775		(1199225)				17		21		4		A		A		A		A		A		- 0
A		Central Support amp Manufacturing		1		1020 1021			399000			404920		404920		5920				4		4		- 0		3		2		3		3		2		13		400		2		200		3
O		Body Shop		1		1023			2267000			2388704		2388704		121704				27		28		1		A		A		A		A		A		- 0							1996 2016 (16-1005) Audit of Paint Booths
O		Unit Overhaul		1		1024			1722000			1969444		1969444		247444				32		32		- 0		A		A		A		A		A		- 0							2001
	Unit Overhaul		1		1025			(244000)					244000							A		A		A		A		A		- 0
O		Heavy Repair		1		1022			1979000			2005634		2005634		26634				22		24		2		A		A		A		A		A		- 0
O		Brake Shop		1		1029						-		-		No FY15 PersonnelBdgt			0		0		- 0		A		A		A		A		A		- 0
O		Rebuild Warranty		1		1026			98000			97500		97500		(500)							A		A		A		A		A		- 0
O		Tire amp Battery Usage		1							-		-		SpecProjAs needed						A		A		A		A		A		- 0							20012010 2017 (17-1004) Bus Tires Inspection
A		Maintenance Support		1		1200						-		-		Increasingly Critical						3		2		3		3		2		13		300		3		100		3
O		Quality Assurance		1		1210 1311			882000			904988		904988		22988				8		9		1		A		A		A		A		A		- 0
O		Warranty		1		1240 1312			3612000			4475803		4475803		863803		FY2014 Audit			4		4		- 0		A		A		A		A		A		- 0							2014
O		Technical Services amp Advanced Technology		1		1220 1014 1036			412000			388743		388743		(23257)				2		3		1		A		A		A		A		A		- 0
O		Director Maintenance Support		1		1280 1381			408000			493025		493025		85025		Fuel Tanker Audit			10		11		1		A		A		A		A		A		- 0							2014
O		Electronic Maintenance (inc fare collampradio maint)		1		13012322331390			4564000			4760210		4760210		196210		Critical Activity			43		45		2		A		A		A		A		A		- 0							2013
O		Support Vehicle Maintenance (Inc Med Duty Bus)		1		1351135312501174			4333000			5234060		5234060		901060		Include wMaint Supp			25		26		1		A		A		A		A		A		- 0							2003 07CR
O		Support Vehicle		1		1354			416000			246395		246395		(169605)							A		A		A		A		A		- 0
	Maintenance General		1		1361			5213000			5744855		5744855		531855							A		A		A		A		A		- 0
O		Maintenance Training (MEAD)		1		17201321			377000				-		(377000)		No FY15 Bdgt Or Pers						A		A		A		A		A		- 0							1996
A		Transportation Training		1		1700 1710 0331			2085000			2186942		2186942		101942		New cust Svc Focus			16		18		2		3		2		1		2		2		10		120		5		24		2			1995
								-		-
O		PLANNING ENGINEERING CONST amp REAL EST		1		2180			113640000		90591000			90591000		(23049000)
O		SVP Capital Programs			2020 2021						-		-				0			- 0		A		A		A		A		A		- 0
O		Capital Projects		1		(2180)						-		-				22			(22)		A		A		A		A		A		- 0
A		Document Control		1		2151						-		-				0			- 0		3		2		2		1		2		10		210		3		70		2
A		Engineering Support Services		1		2161			93000			556421		556421		463421				13		9		(4)		3		2		1		1		2		9		210		3		70		2
A		Capital Projects		1		2181			(16000)			42086		42086		58086		$23mil non-rail Cap Bdgt			2		2		- 0		2		2		2		2		2		10		200		5		40		2
A		Bus Infrastructure		1		2182						-		-		No Emp RC FY12-15			0			- 0		2		2		2		1		2		9		200		5		40		2
A		Project Administration and Management		1		2183 2184			(113000)			(29074)		(29074)		83926		New in 2011			7		5		(2)		2		2		2		2		2		10		200		5		40		2
A		EngStandards Buff Bayou Mods		1		9A08 9A09						-		-		New in 2012						3		3		3		2		2		13		300		3		100		3
O		State of Good Repair			2150						-		-		New in 2012						A		A		A		A		A		- 0
A		State of Good Repair			2152						-		-		New in 2012						3		3		2		1		2		11		300		3		100		2
O		Rail Construction			2100 2110 2140						-		-		Consent Agmt Review			7			(7)		A		A		A		A		A		- 0							2014
A		University Corridor			2081						-		-				0			- 0		2		2		2		1		1		8		210		3		70		2
A		4 Light Rail Lines Expansion			2171			(150000)			(13171)		(13171)		136829		$173mil Cap Bdgt			7		6		(1)		3		2		2		2		2		11		210		3		70		2
O		METRO Rail Construction Non-Capital			2040						-		-							A		A		A		A		A		- 0
A		Cap Prog Coor amp Rpt (Inactive)			2433						-		-		New name FY15			0			- 0		3		2		2		1		2		10		210		3		70		2
O		METRO Rail Expansion Integration amp Control			2110 2070						-		-				8			(8)		A		A		A		A		A		- 0
A		Program Integration amp Controls			2111 2121			(134000)			(93508)		(93508)		40492		SrDir Reports to CAO			8		6		(2)		3		2		2		1		2		10		210		3		70		2
A		Rail Vehicles			2153						-		-		Waiver Request Rev						3		3		2		1		2		11		210		3		70		2			2014
O		PLANNING		1		2190				9858000			9858000		9858000		Structure modified in FY14
O		SVP Planning		1		2191			317000			319812		319812		2812		New in 2011			2		2		- 0		A		A		A		A		A		- 0
O		Planning amp Scheduling		1		2050						-		-				29			(29)		A		A		A		A		A		- 0
A		System Planning amp Development		1		2031			16483000			3783057		3783057		(12699943)				11		9		(2)		3		3		1		2		2		11		210		3		70		2
A		Service Planning amp Development		1		2052			1676000			1258682		1258682		(417318)		Alternative Ser Delivery			9		10		1		2		2		3		2		2		11		210		3		70		2			2012
A		System Reimagining		1		1811						-		-		Frmrly Best Practices No employees and project complete			2			(2)		3		3		3		2		3		14		210		3		70		3
A		Scheduling		1		0321			853000			884171		884171		31171				7		8		1		3		2		3		2		2		12		210		3		70		2
A		US 90A Rail Livable Centers ConsortUniv Line		1		9A06 9A07 9A11						-		-		U Line New in FY14						2		1		1		1		2		7		300		3		100		1
O		FACILITY MAINTENANCE		1		1300			15255000		507000			507000		(14748000)		Formerly part of CAO
A		Facility Maint Admin amp Contracts		1		131013411346			3979000			4023276		4023276		44276				13		12		(1)		3		2		2		2		2		11		400		3		133		2
O		Facility Maintenance Programs		1		1320						-		-							A		A		A		A		A		- 0
A		Facility Maint NW Buff Bay amp ProgOp		1		1335 13371342			1598000			1714566		1714566		116566				8		15		7		2		2		2		2		2		10		300		3		100		2
A		SuptFacility Maint		1		1338						-		-		New in 2012			0			- 0		2		2		1		1		2		8		200		5		40		2
A		Facility Maint Headquarters		1		1349			2873000			3033079		3033079		160079				8		7		(1)		2		2		2		2		2		10		300		5		60		2			2007
O		Public Facilities		1		1330						-		-							A		A		A		A		A		- 0
A		Public Facility amp Public Facility Admin		1		1339 1343			7612000			7670039		7670039		58039		Bus Shelter Audit			58		57		(1)		3		2		2		3		2		12		300		3		100		2			2011
A		Public Facility Rail			1348			4497000			4097093		4097093		(399907)				39		39		- 0		3		2		2		3		2		12		300		3		100		2
O		BOF Env Serv amp Proj Management		1		13401380						-		-							A		A		A		A		A		- 0
A		BOF Env Serv amp Proj Management		1		1331-3413361344-45			6945000			6666939		6666939		(278061)				40		34		(6)		3		2		2		3		2		12		300		3		100		2
A		Fac Maint Rail		1		1347			1928000			1754811		1754811		(173189)		Higher risk after rail expans			9		10		1		3		2		2		2		2		11		300		3		100		2
O		REAL ESTATE amp PROPERTY MANAGEMENT			2550								Formerly in Legal
A		Real Estate			2131			463000			435274		435274		(27726)		Appraisal Process Aud			5		1		(4)		3		3		2		2		3		13		300		3		100		3			2015
	Total		141			Total			178221000		593645668		771866668
					83997800000
	Note A - Assessed at the ActivityOrganization Level																	ANNUAL SCHEDULED HOURS							17415
	- Scheduled for 4th qtr of FY17																	STAFF REQUIREMENTS							109
	- Annual budget figures adjusted
	or estimated where appropriate				total		83997800000									3969
	to reflect organizational or				From PY		80538300000								Check Figure from Head Count Report		3969				EDP PORTION OF ABOVE								0
	operating changes				difference		3459500000									0				EDP STAFF REQURIEMENTS								00
																TOTAL UNSCHEDULED ANNUAL HOURS								0
																TOTAL SCHEDULED amp UNSCHEDULED								0
																STAFF REQUIREMENTS IF ALL
																AUDITS SCHEDULED								000

	Organizational Units		Auditable Units
	Executive amp Baord		1
	Legal		4

		13		14		15
		10		11		12
		7		8		9
		-		5		6

	Reconciliation of Risk Assessment Values reviewed Audit obtained the FY2017 Budget amounts from accounting and used these amount to prepare a risk assessment The following is a reconciliation of the amounts reviewed in the Risk Assessment
			Capital Budget Amount
		Risk Assessment Amount Reviewed		178221000
		Budget Amount		178221
		Difference		178042779
			Operating Budget
		Risk Assessment Amount Reviewed		593645668
		Budget Amount		568071000
		Difference		25574668
		Adjustments		2600806		Non-Departmental A
			2500000		Contingency - President amp CEO B
		Remaining Difference		30675474		rounding differences
	Notes
	A		The Non-Departmental amount from the budget was not included in the Risk Assessment as this amount was a contingency for the COLA adjustment expected to be approved during the 2017 Fiscal Year
	B		The Contingency - President amp CEO amount from the budget was not included in the Risk Assessment as the amount was an actual contingency for unknown or potential issues which might effect METRO during the 2017 fiscal year

																		KEY
	Risk Assessment as of JUNE 2017																		Audit Type (Internal Designations not Yellow Book)
																		F = Financial						O = ORGANIZATION
																		P = Performance						S = Special Project
																		C = Compliance						A = Activity
Audit				RESPONSIBILITY		Responsibility Code or Account (SAP - New Codes)		FY2016 Budget		FY2017 BUDGET (000 omitted)				Delta				STAFF SIZE			Delta		RISK ASSESSMENT							AUDIT BUDGET						LAST YEAR
Type		ORGANIZATIONAL UNIT ACTIVITY OR			CODE OR								OTHER CONSIDERATIONS						1		2		3		4		5		Total		Estimated Hours		FRQ		ANNUAL HOURS		RISK			AUDITED
Code		PROJECT DESCRIPTION			ACCOUNT (ORACLE)			Total		CAPITAL		OPERATING		TOTAL		(Less) More		DESCRIPTION		VALUE (000)		FY16 (Actual)		FY17 (Actual)		(Less) More			Control Environment		Technology		Size		Organization				YRS					( Partial)
O		EXECUTIVE amp BOARD		1		2300 2320				3028000			3028000		3028000		Cap Is Unallocated Cap
O		President amp Chief Executive OfficerBoard			2310 11 12 13 21			1901000			2124896		2124896		223896				8		7		(1)		A		A		A		A		A		- 0
S		Board Service Requests								-		-		highest priority						3		3		3		1		3		13		150		1		150		3
S		President amp Chief Executive Officer Requests								-		-		highest priority						3		3		3		1		3		13		150		1		150		3
S		Office of Executive Vice PresidentStrategic Partnering			2011						-		-				0				2		1		1		1		1		6		200		5		40		1
A		Press Office			2371			641000			858422		858422		217422		Social Media Issues			5		8		3		3		3		3		1		1		11		200		5		40		2
A		Office of Innovation			2511					631181		631181		631181					3		3		A		A		A		A		A		- 0
O		GOVERNMENT amp PUBLIC AFFAIRS			2520							-				38
A		Government Affairs			2352			667000			380831		380831		(286169)		Form Part of ExecBoard			4		3		(1)		3		2		2		2		1		10		400		3		133		2
O		CORPORATE COMMUNICATIONS amp MARKETING			2580							-		Formerly part of CAO			22
A		Print Shop and Admin Services			2431 2432			1944000			1960212		1960212		16212				8		10		2		2		1		1		2		2		8		200		5		40		2			1988
A		Media amp Corporate Communications			2581			500000			521510		521510		21510				4		3		(1)		3		1		1		1		1		7		100		5		20		1
A		Marketing			2531			4716000			5440929		5440929		724929				10		12		2		2		1		2		2		1		8		300		5		60		2
O		Public Engagement			2010						-		-		Formerly part of Planning			6			(6)
A		Community Outreach			2521			682000			866624		866624		184624		Involves Rail Expansion			6		26		20		3		2		1		2		2		10		200		5		40		2
A		Interagency Dir Of Pub Engagement			25222523						-		-		Form Part of Planning		No bdgtpers		0			- 0		1		1		1		1		1		5		200		5		40		1
O		Stakeholder Affairs			2060						-		-		Formerly part of Planning			6			(6)		A		A		A		A		A		- 0
A		Stakeholder Affairs			20122524			450000			534409		534409		84409		Form Part of Cap Prog			6			(6)		3		2		1		1		2		9		210		3		70		2			2011
								-		-
A		LEGALSTAFF COUNSELCORPORATE DEVELOPMENT			2350 51			3505000			3955580		3955580		450580				17		15			3		1		1		2		1		8		200		5		40		2
F		Legal Fees		1							-		-							2		1		1		1		1		6		200		5		40		1			2008
S		Attorney Work Requests		1							-		-							3		3		2		1		1		10		200		5		40		2
S		Special Assistance		1							-		-							3		3		2		1		1		10		200		5		40		2
A		Records Management		1		2013			304000			230439		230439		(73561)		Formerly in EEOCompDiv			3		2		(1)		3		3		2		1		2		11		300		3		100		2
								-		-
O		AUDIT			2330 2331			1505000			1534340		1534340		29340				11		11
A		Internal Quality Assurance Review		1							-		-													200		1		200				ON-GOING
A		External Quality Assurance Review		1							-		-		Yellow Book Req												100		3		33				2014
A		External Auditor Assistance								-		-													50		1		50		1			ON-GOING
C		Follow-UpCompliance Reviews								-		-													450		1		450				ON-GOING
A		Application Systems Audit Support								-		-													200		1		200		2			ON-GOING
C		Capital Projects QAQC Programs			Contract Oversight						-		-		FTA REQUIREMENT						3		2		2		1		2		10		200		1		200		2			ON-GOING
P		Review of Performance Measures								-		-							2		2		1		1		1		7		1000		5		200		1			2006
C		State Audit Compliance Review		1							-		-							3		3		3		1		3		13		200		1		200		3			2009 2016(16-1001) Statutory Compliance
C		FTA Audit Compliance Reviews		1							-		-							3		3		3		1		3		13		200		1		200		3			ON-GOING
								-		-
O		FINANCE amp ADMINISTRATION (Frmrly CAO)		1		2500 1610			313000				-		(313000)		AmtsEmps exclude IT
O		EVP Finance amp Administration		1		1611			822000			624447		624447		(197553)				2		3		1		A		A		A		A		A		- 0
O		FINANCE DEPARTMENT		1		2200						-		-
O		Vice PresidentChief Financial Officer			2210 2211			10000			718916		718916		708916				0		2		2		A		A		A		A		A		- 0
O		AccountingController			2220 2221			3250000			3740872		3740872		490872				28		28		- 0		A		A		A		A		A		- 0
O		General Accounting								-		-							A		A		A		A		A		- 0
F		General Ledger								-		-							3		2		3		2		2		12		300		3		100		2			2001
F		Accounts Receivable								-		-							3		2		3		2		2		12		300		3		100		2			2004
O		Grants Accounting (Audit with Grants Admin)								-		-							A		A		A		A		A		- 0							2004
O		Accounting								-		-							A		A		A		A		A		- 0
F		Fixed Assets								-		-		Net Cap Assets (Proj)		3200000					3		2		3		2		2		12		300		3		100		2			200307CR
F		Payroll								-		-		LaborBnfts (Budget)		301554					2		3		3		2		2		12		300		3		100		2			1998 2007
A		Payroll Payment Verification (ghost emps)								-		-		Payroll Ver Aud FY14						2		2		2		2		2		10		200		5		40		2			20032014
A		Accounts Payable								-		-		PAYMENTS (20101010)						3		2		3		2		2		12		300		3		100		2			2007 (CR)
F		Travel Expenses								-		-		(5090201-4)						2		1		1		1		2		7		200		5		40		1			1988
C		External Audit Mgt Ltr Compliance								-		-		Priority as required						3		3		3		1		3		13		100		1		100		3			2012
F		Audit Fees								-		-		(5030302)						2		1		1		1		1		6		80		5		16		1
F		Cost Allocation Plan								-		-							2		2		1		1		1		7		250		5		50		1			2005
O		Treasury Services			2230						-		-		Includes RevSrv			33			(33)		A		A		A		A		A		- 0
O		Director Treasury Services			2231						-		-				6			(6)		A		A		A		A		A		- 0
A		Financial Planning amp Investments								-		-		Investments (2014)		415021					3		3		2		3		3		14		200		2		100		3			2010 2016 (16-1004) Financial Planning amp Investments
O		Treasury Office Operations								-		-							A		A		A		A		A		- 0							2000
F		Sales Tax Revenue(audit with Distributions)								-		-		Sales Tax (Projected)		706241					3		2		2		3		2		12		200		2		100		2			2009
F		Sales Tax Revenue Distributions								-		-		Distributions(est Gen Mob)		173019					3		2		2		3		2		12		100		2		50		2			2009
F		Other Revenues								-		-		Projected FY2015		$108 mil					3		2		1		2		2		10		90		3		30		2
F		Petty Cash								-		-		Disbursements						3		1		1		1		3		9		90		3		30		2			2002
F		Pension Funds (Audited by outside auditors)								-		-		Funds						2		1		2		1		1		7		300		5		60		1			1995
A		Revenue Services		1		2212						-		-		Under OMB Mgmt						3		3		3		2		3		14		300		3		100		3
A		Ticket amp Fare Collection		1		2232			3514000			3037608		3037608		(476392)				27		26		(1)		3		3		3		2		3		14		300		2		150		3			2001 2009
A		Revenue Management		1		2235						-		-		Include wFare Collection						2		2		3		2		2		11		300		3		100		2
A		Grants (Includes Grant Accounting)		1		2250 2353			536000			528174		528174		(7826)		GRANTS INCOME(Bdgt)		196386		4		4		- 0		3		2		3		3		3		14		300		3		100		3			2010 2013
A		New Freedom JARC		1		9A03 9A04						-		-		New 2012 Inc wGrants						A		A		A		A		A		- 0
O		Office of Management amp Budget		1		2260						-		-		low audit priority			10			(10)		A		A		A		A		A		- 0
A		Office of Management amp Budget		1		2361			1887000			2267912		2267912		380912				10		14		4		2		1		2		2		2		9		150		5		30		2
O		PROCUREMENT amp MATERIALS			2460							-		ProcampMat Only(exSBE)
A		Procurement			2422			3661000			3689787		3689787		28787		IT ProcampHRT Auds 14			32		34		2		3		2		2		3		2		12		400		2		200		2			20092014
F		Purchase Card Activity								-		-		Recent Pcard Purch Range		$32 milyr					3		3		1		3		2		12		300		2		150		2			20072017 (17-1003) Purchasing Cards and Small Purchases
A		HGACState of Texas Purchasing Programs								-		-							2		1		2		1		1		7		200		5		40		1
F		Fuel Purchasing Program					31773000			27468028		3207448		385448		DieselampGas Bdgt-Requests for Board Action has a modification for fuel in the amount 28510000 and 4127000		38735					3		3		2		3		2		13		200		2		100		3			20062012
C		Davis Bacon Compliance								-		-		Fewer Cap Projects						3		2		3		1		3		12		300		3		100		2			2010
O		Materials amp Distribution			2423			5695000			6056753		6056753		361753				75		77		2		A		A		A		A		A		- 0
F		Inventory Management and Control								-		-		MampS Expense (Projected)		21651					2		1		3		3		2		11		300		2		150		2			1987 2016(16-1002) FY2016 Spare Parts Inventory 2017 (17-1002) Maintenance Parts Inventory
F		Fuel amp Lubricant Controls					2822000			3207448		27468028		(4304972)		Diesel Budget		36601					3		2		2		2		2		11		500		2		250		2			20082012
F		Annual Physical and Cyclical Inventories								-		-		FY2014 Inv Balance		24250					3		2		3		3		2		13		450		1		450		3			2014
A		Property Services								-		-		Asset Disposals						2		1		2		2		3		10		400		3		133		2			2007 2015
O		SMALL BUSINESS			2340							-		Frmrly in Business Serv
A		SBEDBE			2341			823000			834530		834530		11530				7		6		(1)		3		2		2		2		2		11		300		3		100		2			2017 (17-1006) DBE Compliance
O		HUMAN RESOURCES		1		2400							-		Part of FinampAdmin
O		Vice President Human Resources			2410						-		-							A		A		A		A		A		- 0
O		VP Human Resources			2411			628000			636954		636954		8954				2		2		- 0		A		A		A		A		A		- 0
A		Compensation			2444			491000			495980		495980		4980				4		4		- 0		3		1		3		1		1		9		100		5		20		2
O		Human Resources Operations			2430						-		-							A		A		A		A		A		- 0
O		Staffing			2442			1229000			1385642		1385642		156642		Backgrnd Inv Review			12		11		(1)		A		A		A		A		A		- 0							2015
A		Contract and Temporary Labor								-		-							2		2		2		2		1		9		150		3		50		2			200305CR
C		Recruitment Incentive Programs								-		-							3		2		2		2		2		11		150		3		50		2
O		Labor Relations			2440						-		-		Formerly part of Serv Del						A		A		A		A		A		- 0
A		Labor Relations			2461			428000			426121		426121		(1879)				4		4		- 0		3		1		2		2		1		9		150		3		50		2
O		Human Capital Management and Personnel Services			2470						-		-							A		A		A		A		A		- 0
A		HCM and Personnel Services			2441			434000			451356		451356		17356				5		5		- 0		2		3		2		3		2		12		200		3		67		2
O		Benefits Wellness amp Compensation		1		24502421			55000			75576		75576		20576		Supp Ins Dep Review				3		3		A		A		A		A		A		- 0							2014
A		Wellness Programs		1		2446			289000			270346		270346		(18654)				2		2		- 0		3		3		2		3		2		13		200		1		200		3
A		Benefits and Pensions		1		2443			1282000			1283645		1283645		1645		HIPAA Audit			6		7		1		3		3		2		2		3		13		200		2		100		3			2015
A		Union Benefit Trust		1							-		-		Contributions (2014)		13692					A		A		A		A		A		- 0
A		Non-Union Pension		1							-		-		Contributions (2014)		8967					A		A		A		A		A		- 0							2008
A		Non-Union Health Insurance		1							-		-		Cost of Plans (2014)		9478					A		A		A		A		A		- 0
A		Life Insurance		1							-		-							A		A		A		A		A		- 0
A		Retirees (include wBenefits and Pensions)		1		2412			13411000			15177705		15177705		1766705							A		A		A		A		A		- 0
O		EEO COMPLIANCE AND DIVERSITY		1		2480							-		Part of HR in 2015
O		VP EEO Compliance amp Diversity		1		2014							-		Dir Level in 2015 no VP						A		A		A		A		A		- 0
O		COMPLIANCE EEO EMPLOYEE RELATIONS		1		2560							-		New org structure in 2011
A		EEO and Employee Relations		1		2445			719000			761821		761821		42821				5		4		(1)		2		2		2		2		1		9		150		3		50		2
A		EEO		1		2449			453000			508580		508580		55580				2		4		2		1		1		1		1		1		5		150		5		30		1
								-		-
O		INFORMATION TECHNOLOGY			2280 2451			44507000		8626000		21515539		30141539		(14365461)		Part of FinampAdmin				66		66
O		Disaster Recovery amp Business Continuity								-		-
A		Data Access Security								-		-							2		2		1		3		2		10		300		3		100		2			2008
A		Disaster Recovery Observation								-		-							3		3		3		3		3		15		300		1		300		3			2017
A		Business Recovery Planning								-		-							2		2		2		3		3		12		300		3		100		2			2017
A		Data Center Operations								-		-							2		3		2		3		2		12		200		3		67		2			2009
O		Databases								-		-
A		Data Base Administration								-		-							2		3		3		3		3		14		400		3		133		3			2016
O		Network Management								-		-
A		Firewall Admin amp Controls								-		-							3		3		2		3		2		13		260		2		130		3			2016
A		Incident Intrusion and Emergency Response								-		-							3		3		2		3		2		13		260		2		130		3			2007
A		Wireless Network Security								-		-							3		3		2		3		2		13		260		2		130		3			2007
O		Department Administrative Functions								-		-
A		Help Desk Operations								-		-							2		2		2		2		2		10		300		3		100		2			2009
A		Computer Equipment Disposal Practices								-		-							2		2		2		2		2		10		300		3		100		2			2016
A		HardwareSoftware Standards								-		-							2		2		1		2		2		9		200		3		67		2			2009
A		Remote Access Policies and Security								-		-							2		2		2		2		2		10		150		3		50		2			2009
O		Applications Systems								-		-
A		Enterprise Systems Migration amp Chg Controls								-		-							3		2		3		2		2		12		400		3		133		2			2007
A		Security and Controls								-		-							3		2		3		2		2		12		300		2		150		2			2007
A		SAP Application Maintenance								-		-							3		3		3		2		3		14		300		3		100		3
O		Internet Access Use Controls amp Security								-		-
A		Web Site Management								-		-							3		2		3		2		2		12		250		2		125		2			2010
A		E-business Administration and Controls								-		-							3		2		2		3		2		12		250		2		125		2
A		E-mail Usage Security and Controls								-		-							3		2		2		3		2		12		250		2		125		2			2008
O		Communications Systems								-		-		(50502045121201)
A		VOIP Telephone System Management amp Security								-		-							3		2		3		3		3		14		250		3		83		3			2012
A		Video Surveillance System Man amp Security								-		-							3		2		2		3		3		13		250		2		125		3			2008
A		Radio System Management and Security								-		-							3		2		3		3		3		14		300		3		100		3
O		New Systems Development and Controls								-		-
A		IT Project Management Policies amp Procedures								-		-							2		2		2		2		3		11		400		2		200		2			2011
A		Post Implementation Review								-		-		Q Card review in 2010						2		2		2		2		2		10		200		2		100		2			2010
A		ERP Technical Controls								-		-							2		2		2		2		2		10		400		2		200		2			2010
O		Operating Systems (OS)								-		-
A		UNIX OS Review								-		-							2		3		3		2		3		13		500		3		167		3			2012
A		Windows OS Review								-		-							2		3		3		2		3		13		500		3		167		3			2014
A		Vmware Virtualization OS Review								-		-							2		3		3		2		3		13		500		3		167		3			2014
O		Adherence to Licensing Requirements								-		-
A		SAP Contract Compliance								-		-							2		2		2		2		3		11		200		2		100		2			2017
A		Oracle Contract Compliance								-		-							2		2		2		2		3		11		200		2		100		2			2017
A		Other Licenses								-		-							2		2		2		2		2		10		200		2		100		2			2017
O		Storage								-		-
A		Data Storage								-		-							3		3		3		2		3		14		600		4		150		3			2017
O		Rail IT								-		-
A		SCADA Systems								-		-							3		3		3		3		2		14		300		2		150		3			2011
A		Data Center Operations								-		-							3		3		3		3		2		14		300		2		150		3			2014
								-		-
O		OPS PUB SFTY amp CUST RDRSHP SERVS		1		2800			1405000					(1405000)		Includes MPD in FY1415
O		EVP Ops Pub SftyampCust Rdrshp Servs		1		1821			740000			768800		768800		28800		RC frmrly Best Practices			6		5		(1)		A		A		A		A		A		- 0
O		Director of Safety		1		2810 2812			180000			189445		189445		9445				1			(1)		A		A		A		A		A		- 0
A		Customer and Health Safety		1		2820283022432245			1309000			1248726		1248726		(60274)				12		11		(1)		3		3		2		2		2		12		300		3		100		2
A		Workplace and Environmental Safety		1		28402246			569000			642623		642623		73623		No budget in 2015			5		5		- 0		1		1		1		1		1		5		100		3		33		1
A		Drug amp Alcohol Program		1		2448			611000			630270		630270		19270		FTA area of interest			3		3		- 0		3		3		1		1		2		10		300		3		100		2			2010 2015CR
O		Risk Management			2240						-		-							A		A		A		A		A		- 0							2013
O		Director Risk Management			2241			161000			160688		160688		(312)				1				(1)		A		A		A		A		A		- 0
A		Claims			2242			1116000			1135035		1135035		19035		FEMA Reim Audit			12		13		1		2		2		1		2		2		9		150		3		50		2			2013
A		General Insurance			2244			3852000			3605884		3605884		(246116)				3		3		- 0		2		2		2		2		2		10		150		3		50		2			2003
A		Workers Compensation								-		-		Audited in 2014						2		2		2		1		2		9		150		3		50		2			2014
A		Owner Controlled Iinsurance Program (OCIP)								-		-		True-up in progress						3		3		2		3		2		13		400		3		133		3			20112017 (17-1005) Audit of OCIP
A		Training Design amp Delivery			2850 2247			585000			651220		651220		66220		New org in 2011			3		5		2		3		2		2		1		3		11		300		3		100		2
O		METRO POLICE		1		1900							-		Part of Safety in FY1415
O		Vice PresidentChief of Police		1		1910 0911			593000			569954		569954		(23046)				2		4		2		A		A		A		A		A		- 0
O		Management Services		1		1920 0912 0913			414000			374176		374176		(39824)				4		8		4		A		A		A		A		A		- 0
F		Special Funds - LEOSE amp Seized Property		1							-		-		STATE REQUIREMENT		30					3		1		1		1		2		8		200		1		200		2			2014
O		Police Field amp Rail Operations		1		1930						-		-							A		A		A		A		A		- 0
A		Field amp Rail Operations		1		0934 0966			13646000			15091874		15091874		1445874				144		150		6		3		2		2		3		2		12		300		5		60		2			1998 2007 2016 (16-1006) MPD Administrative Fees
A		System Security K-9 Unit		1		0936			841000			902038		902038		61038				8		8		- 0		3		2		1		2		2		10		200		5		40		2
A		Motorist Assistance Program		1		0964			(88000)			53190		53190		141190				8		7		(1)		3		2		1		1		1		8		200		5		40		2
A		HOV-Enforcements		1		0965			(447000)			383387		383387		830387				25		30		5		3		2		2		1		2		10		300		5		60		2			1998
O		Support Operations		1		1940						-		-							A		A		A		A		A		- 0							1998
A		Transtar amp Dispatch		1		0942 0943			1912000			2200654		2200654		288654				19		19		- 0		3		3		3		2		2		13		300		5		60		3
A		Support OperationsampAnti-Terrorism Grant		1		0932 0935			982000			1416066		1416066		434066				10		14		4		2		2		2		2		2		10		300		5		60		2
A		Investigations		1		0931			1080000			1435846		1435846		355846		Accident Investigations			11		13		2		3		2		2		2		2		11		300		5		60		2			1998 2007 2016 (16-1003) Bus Accident Investigations
A		Records		1		0952			301000			441900		441900		140900				6		6		- 0		2		2		2		1		1		8		300		5		60		2			1998
O		Homeland Security(Inactive budget in 0953)		1		1950						-		-							A		A		A		A		A		- 0
A		Police Homeland Security		1		0953						-		-		No pers In 2015			0			- 0		3		2		2		1		2		10		300		5		60		2
A		Security BOF(Auditable area no budget or pers)		1		0933						-		-		No Emp RC in 2013-15			0			- 0		3		3		3		1		3		13		400		2		200		3			2012 2015
A		Emergency Management(No budget or pers)		1		1960 1961						-		-		No Emp RC in 2012-15			0			- 0		3		2		2		1		2		10		300		3		100		2			2008 2009
S		Special Assistance by Audit - Investigations								-		-		Perform as needed						3		3		2		2		3		13		200		1		200		3			2010
O		CUSTOMER amp RIDERSHIP SERVICES			2530							-		New Dept FY14 (frm Ops)
A		RideStores			2538			696000			653907		653907		(42093)				9		12		3		3		2		3		2		2		12		300		3		100		2			2003 2006
A		Sales			2543			590000			593479		593479		3479		Include wRideStores			5		3		(2)		2		2		2		2		2		10		300		3		100		2
A		Customer Information Center (Customer Care)			2532			3627000			3489725		3489725		(137275)		Partial Audit wComplaints			62		57		(5)		3		2		3		3		2		13		300		3		100		3			2015
								-		-
O		OPERATIONS		1		1000			91154000		65611000			65611000		(25543000)		TotExp Excluding Fuel		338969
O		Senior VP amp Staff (inc Budget Operations(OMS))		1		0100 0011 0351			1850000			1469162		1469162		(380838)				7		12		5		A		A		A		A		A		- 0
A		HOT Lanes Operations		1		1500 1510 2185			8062000			8379468		8379468		317468		New to Ops FY14			1		1		- 0		3		3		2		2		3		13		300		3		100		3			2015
O		Revenue Collection		1		2290						-		-		New to Ser Del In 2011						A		A		A		A		A		- 0
A		Revenue Agents		1		2234			820000			887981		887981		67981		Cash Fare Collections			11		11		- 0		3		2		2		2		3		12		300		3		100		2			2009 2017 (17-1001) Cash Fare Collections
O		Bus Transportation (inc Sr Dir Trans GenampSer Logist)		1		0200003103610322			2775000			4874931		4874931		2099931		Moving Violations Audit			2		2		- 0													2011
A		Bus Operations		1		0220						-		-		Cust Training Audit			1597				3		2		3		3		2		13		600		2		300		3			2011
O		Fallbrook		1		011101120113			25050000			24306144		24306144		(743856)				349		349		- 0		A		A		A		A		A		- 0
O		Kashmere (Greenlink added in 2012)		1		0121012201230124			15750000			17065038		17065038		1315038				216		221		5		A		A		A		A		A		- 0
O		Polk		1		013101320133			27965000			27300859		27300859		(664141)				348		357		9		A		A		A		A		A		- 0
O		West		1		014101420143			32898000			33761527		33761527		863527				404		438		34		A		A		A		A		A		- 0
O		Hiram Clarke		1		0151015201530154			21554000			23379044		23379044		1825044				280		321		41		A		A		A		A		A		- 0
O		Northwest (Contract - see Fac Roll -up Code 1800)		1		0163			(3248000)				-		3248000				0			- 0		A		A		A		A		A		- 0							2012
A		Service Delivery		1		0500						-		-		On-Time Perf Review						2		2		3		2		2		11		300		5		60		2			2014
O		Dispatch		1		0301			1767000			1859803		1859803		92803				17		18		1		A		A		A		A		A		- 0
F		Operator Timekeeping System		1							-		-		Old legacy system						2		2		2		1		2		9		200		5		40		2			2005 UnC
A		Director of Serv Del And Street Supervisors		1		0051 0332			3423000			3594559		3594559		171559				30		35		5		3		2		2		3		2		12		300		3		100		2
A		New Service (Was Budget Services in 2011)		1		030003920393						-		-		No bdgt or pers in 2015			0			- 0		1		1		1		1		1		5		250		2		125		1
O		Transportation Programs		1		0400						-		-							A		A		A		A		A		- 0
A		METROLift amp Director of Trans Prog		1		0045 0041			56698000			58450171		58450171		1752171		FTA review in 2013			117		124		7		3		3		3		3		3		15		400		2		200		3			2006 2007
A		Special Events and Contract Services		1		0470048003710381			330000			322665		322665		(7335)				4		3		(1)		2		1		1		1		1		6		200		5		40		1
A		Rideshare		1		0460 2537			10995000				-		(10995000)				0			- 0		3		2		2		1		2		10		300		3		100		2
A		Regional Vanpool (0831 = Community Connector)		1		0460 2539 0831					12034574		12034574		12034574		Lmtd Rev compltd 2014			3		9		6		3		2		2		2		3		12		300		3		100		2			20122014
C		Contracted Services - Northwest BOF		1		08000811-150821-25			48485000			46163058		46163058		(2321942)		$47mil ann bdgt (NW)		$4mil for NW fuel					3		2		2		3		2		12		400		2		200		2			2012 2015CR
A		METRORail		1		0600													3		2		3		3		3		14		600		2		300		3			2008
O		Senior Director Rail		1		610 0061			234000			244607		244607		10607				2		3		1		A		A		A		A		A		- 0
O		Rail Transportation		1		620 621 622 623 626 627			12352000			12181636		12181636		(170364)		METRORail Cam Aud			149		175		26		A		A		A		A		A		- 0							2015
O		Rail Control Center		1		0651			3054000			3148729		3148729		94729				27		26		(1)		A		A		A		A		A		- 0
O		SampI Administration and Supervision		1		0624 0625			676000			690213		690213		14213		New in FY14			7		8		1		A		A		A		A		A		- 0
O		Rail Maintenance		1		0660-6606810691-93			17903000			18333174		18333174		430174		Includes traction power			134		146		12		A		A		A		A		A		- 0							2013
A		Preventive Maintenance (Bus)		1		1191 (Admin)			306000			323151		323151		17151		Bus Hub Rev FY13			2		2		- 0		3		2		3		3		2		13		300		1		300		3			20122013
O		Kashmere (Greenlink added in 2012)		1		1111-1118			11068000			10734424		10734424		(333576)		Greenlink added in 2012			70		73		3		A		A		A		A		A		- 0
O		Polk		1		1121112211231124			16713000			15617108		15617108		(1095892)				97		98		1		A		A		A		A		A		- 0							1993
O		West		1		1131113211331134			21994000			20796712		20796712		(1197288)				113		121		8		A		A		A		A		A		- 0
O		Hiram Clarke		1		11411142114311441145			14524000			13845519		13845519		(678481)				85		84		(1)		A		A		A		A		A		- 0
S		Northwest (Contract - see Fac Roll-up Code 1800)		1		1151115211531154			(120000)				-		120000							A		A		A		A		A		- 0							2002
O		Fallbrook		1		1161116211631164			16224000			14955860		14955860		(1268140)				79		93		14		A		A		A		A		A		- 0
O		Buffalo Bayou Maint (Under SuppVeh RC)		1		1171 1172 1173			1878000			678775		678775		(1199225)				17		21		4		A		A		A		A		A		- 0
A		Central Support amp Manufacturing		1		1020 1021			399000			404920		404920		5920				4		4		- 0		3		2		3		3		2		13		400		2		200		3
O		Body Shop		1		1023			2267000			2388704		2388704		121704				27		28		1		A		A		A		A		A		- 0							1996 2016 (16-1005) Audit of Paint Booths
O		Unit Overhaul		1		1024			1722000			1969444		1969444		247444				32		32		- 0		A		A		A		A		A		- 0							2001
	Unit Overhaul		1		1025			(244000)					244000							A		A		A		A		A		- 0
O		Heavy Repair		1		1022			1979000			2005634		2005634		26634				22		24		2		A		A		A		A		A		- 0
O		Brake Shop		1		1029						-		-		No FY15 PersonnelBdgt			0		0		- 0		A		A		A		A		A		- 0
O		Rebuild Warranty		1		1026			98000			97500		97500		(500)							A		A		A		A		A		- 0
O		Tire amp Battery Usage		1							-		-		SpecProjAs needed						A		A		A		A		A		- 0							20012010 2017 (17-1004) Bus Tires Inspection
A		Maintenance Support		1		1200						-		-		Increasingly Critical						3		2		3		3		2		13		300		3		100		3
O		Quality Assurance		1		1210 1311			882000			904988		904988		22988				8		9		1		A		A		A		A		A		- 0
O		Warranty		1		1240 1312			3612000			4475803		4475803		863803		FY2014 Audit			4		4		- 0		A		A		A		A		A		- 0							2014
O		Technical Services amp Advanced Technology		1		1220 1014 1036			412000			388743		388743		(23257)				2		3		1		A		A		A		A		A		- 0
O		Director Maintenance Support		1		1280 1381			408000			493025		493025		85025		Fuel Tanker Audit			10		11		1		A		A		A		A		A		- 0							2014
O		Electronic Maintenance (inc fare collampradio maint)		1		13012322331390			4564000			4760210		4760210		196210		Critical Activity			43		45		2		A		A		A		A		A		- 0							2013
O		Support Vehicle Maintenance (Inc Med Duty Bus)		1		1351135312501174			4333000			5234060		5234060		901060		Include wMaint Supp			25		26		1		A		A		A		A		A		- 0							2003 07CR
O		Support Vehicle		1		1354			416000			246395		246395		(169605)							A		A		A		A		A		- 0
	Maintenance General		1		1361			5213000			5744855		5744855		531855							A		A		A		A		A		- 0
O		Maintenance Training (MEAD)		1		17201321			377000				-		(377000)		No FY15 Bdgt Or Pers						A		A		A		A		A		- 0							1996
A		Transportation Training		1		1700 1710 0331			2085000			2186942		2186942		101942		New cust Svc Focus			16		18		2		3		2		1		2		2		10		120		5		24		2			1995
								-		-
O		PLANNING ENGINEERING CONST amp REAL EST		1		2180			113640000		90591000			90591000		(23049000)
O		SVP Capital Programs			2020 2021						-		-				0			- 0		A		A		A		A		A		- 0
O		Capital Projects		1		(2180)						-		-				22			(22)		A		A		A		A		A		- 0
A		Document Control		1		2151						-		-				0			- 0		3		2		2		1		2		10		210		3		70		2
A		Engineering Support Services		1		2161			93000			556421		556421		463421				13		9		(4)		3		2		1		1		2		9		210		3		70		2
A		Capital Projects		1		2181			(16000)			42086		42086		58086		$23mil non-rail Cap Bdgt			2		2		- 0		2		2		2		2		2		10		200		5		40		2
A		Bus Infrastructure		1		2182						-		-		No Emp RC FY12-15			0			- 0		2		2		2		1		2		9		200		5		40		2
A		Project Administration and Management		1		2183 2184			(113000)			(29074)		(29074)		83926		New in 2011			7		5		(2)		2		2		2		2		2		10		200		5		40		2
A		EngStandards Buff Bayou Mods		1		9A08 9A09						-		-		New in 2012						3		3		3		2		2		13		300		3		100		3
O		State of Good Repair			2150						-		-		New in 2012						A		A		A		A		A		- 0
A		State of Good Repair			2152						-		-		New in 2012						3		3		2		1		2		11		300		3		100		2
O		Rail Construction			2100 2110 2140						-		-		Consent Agmt Review			7			(7)		A		A		A		A		A		- 0							2014
A		University Corridor			2081						-		-				0			- 0		2		2		2		1		1		8		210		3		70		2
A		4 Light Rail Lines Expansion			2171			(150000)			(13171)		(13171)		136829		$173mil Cap Bdgt			7		6		(1)		3		2		2		2		2		11		210		3		70		2
O		METRO Rail Construction Non-Capital			2040						-		-							A		A		A		A		A		- 0
A		Cap Prog Coor amp Rpt (Inactive)			2433						-		-		New name FY15			0			- 0		3		2		2		1		2		10		210		3		70		2
O		METRO Rail Expansion Integration amp Control			2110 2070						-		-				8			(8)		A		A		A		A		A		- 0
A		Program Integration amp Controls			2111 2121			(134000)			(93508)		(93508)		40492		SrDir Reports to CAO			8		6		(2)		3		2		2		1		2		10		210		3		70		2
A		Rail Vehicles			2153						-		-		Waiver Request Rev						3		3		2		1		2		11		210		3		70		2			2014
O		PLANNING		1		2190				9858000			9858000		9858000		Structure modified in FY14
O		SVP Planning		1		2191			317000			319812		319812		2812		New in 2011			2		2		- 0		A		A		A		A		A		- 0
O		Planning amp Scheduling		1		2050						-		-				29			(29)		A		A		A		A		A		- 0
A		System Planning amp Development		1		2031			16483000			3783057		3783057		(12699943)				11		9		(2)		3		3		1		2		2		11		210		3		70		2
A		Service Planning amp Development		1		2052			1676000			1258682		1258682		(417318)		Alternative Ser Delivery			9		10		1		2		2		3		2		2		11		210		3		70		2			2012
A		System Reimagining		1		1811						-		-		Frmrly Best Practices No employees and project complete			2			(2)		3		3		3		2		3		14		210		3		70		3
A		Scheduling		1		0321			853000			884171		884171		31171				7		8		1		3		2		3		2		2		12		210		3		70		2
A		US 90A Rail Livable Centers ConsortUniv Line		1		9A06 9A07 9A11						-		-		U Line New in FY14						2		1		1		1		2		7		300		3		100		1
O		FACILITY MAINTENANCE		1		1300			15255000		507000			507000		(14748000)		Formerly part of CAO
A		Facility Maint Admin amp Contracts		1		131013411346			3979000			4023276		4023276		44276				13		12		(1)		3		2		2		2		2		11		400		3		133		2
O		Facility Maintenance Programs		1		1320						-		-							A		A		A		A		A		- 0
A		Facility Maint NW Buff Bay amp ProgOp		1		1335 13371342			1598000			1714566		1714566		116566				8		15		7		2		2		2		2		2		10		300		3		100		2
A		SuptFacility Maint		1		1338						-		-		New in 2012			0			- 0		2		2		1		1		2		8		200		5		40		2
A		Facility Maint Headquarters		1		1349			2873000			3033079		3033079		160079				8		7		(1)		2		2		2		2		2		10		300		5		60		2			2007
O		Public Facilities		1		1330						-		-							A		A		A		A		A		- 0
A		Public Facility amp Public Facility Admin		1		1339 1343			7612000			7670039		7670039		58039		Bus Shelter Audit			58		57		(1)		3		2		2		3		2		12		300		3		100		2			2011
A		Public Facility Rail			1348			4497000			4097093		4097093		(399907)				39		39		- 0		3		2		2		3		2		12		300		3		100		2
O		BOF Env Serv amp Proj Management		1		13401380						-		-							A		A		A		A		A		- 0
A		BOF Env Serv amp Proj Management		1		1331-3413361344-45			6945000			6666939		6666939		(278061)				40		34		(6)		3		2		2		3		2		12		300		3		100		2
A		Fac Maint Rail		1		1347			1928000			1754811		1754811		(173189)		Higher risk after rail expans			9		10		1		3		2		2		2		2		11		300		3		100		2
O		REAL ESTATE amp PROPERTY MANAGEMENT			2550								Formerly in Legal
A		Real Estate			2131			463000			435274		435274		(27726)		Appraisal Process Aud			5		1		(4)		3		3		2		2		3		13		300		3		100		3			2015
	Total		141			Total			178221000		593645668		771866668
					83997800000
	Note A - Assessed at the ActivityOrganization Level																	ANNUAL SCHEDULED HOURS							17415
	- Scheduled for 4th qtr of FY17																	STAFF REQUIREMENTS							109
	- Annual budget figures adjusted
	or estimated where appropriate				total		83997800000									3969
	to reflect organizational or				From PY		80538300000								Check Figure from Head Count Report		3969				EDP PORTION OF ABOVE								0
	operating changes				difference		3459500000									0				EDP STAFF REQURIEMENTS								00
																TOTAL UNSCHEDULED ANNUAL HOURS								0
																TOTAL SCHEDULED amp UNSCHEDULED								0
																STAFF REQUIREMENTS IF ALL
																AUDITS SCHEDULED								000

	Organizational Units		Auditable Units
	Executive amp Baord		1
	Legal		4

		13		14		15
		10		11		12
		7		8		9
		-		5		6

	Reconciliation of Risk Assessment Values reviewed Audit obtained the FY2017 Budget amounts from accounting and used these amount to prepare a risk assessment The following is a reconciliation of the amounts reviewed in the Risk Assessment
			Capital Budget Amount
		Risk Assessment Amount Reviewed		178221000
		Budget Amount		178221
		Difference		178042779
			Operating Budget
		Risk Assessment Amount Reviewed		593645668
		Budget Amount		568071000
		Difference		25574668
		Adjustments		2600806		Non-Departmental A
			2500000		Contingency - President amp CEO B
		Remaining Difference		30675474		rounding differences
	Notes
	A		The Non-Departmental amount from the budget was not included in the Risk Assessment as this amount was a contingency for the COLA adjustment expected to be approved during the 2017 Fiscal Year
	B		The Contingency - President amp CEO amount from the budget was not included in the Risk Assessment as the amount was an actual contingency for unknown or potential issues which might effect METRO during the 2017 fiscal year

																		KEY
	Risk Assessment as of JUNE 2017																		Audit Type (Internal Designations not Yellow Book)
																		F = Financial						O = ORGANIZATION
																		P = Performance						S = Special Project
																		C = Compliance						A = Activity
Audit				RESPONSIBILITY		Responsibility Code or Account (SAP - New Codes)		FY2016 Budget		FY2017 BUDGET (000 omitted)				Delta				STAFF SIZE			Delta		RISK ASSESSMENT							AUDIT BUDGET						LAST YEAR
Type		ORGANIZATIONAL UNIT ACTIVITY OR			CODE OR								OTHER CONSIDERATIONS						1		2		3		4		5		Total		Estimated Hours		FRQ		ANNUAL HOURS		RISK			AUDITED
Code		PROJECT DESCRIPTION			ACCOUNT (ORACLE)			Total		CAPITAL		OPERATING		TOTAL		(Less) More		DESCRIPTION		VALUE (000)		FY16 (Actual)		FY17 (Actual)		(Less) More			Control Environment		Technology		Size		Organization				YRS					( Partial)
O		EXECUTIVE amp BOARD		1		2300 2320				3028000			3028000		3028000		Cap Is Unallocated Cap
O		President amp Chief Executive OfficerBoard			2310 11 12 13 21			1901000			2124896		2124896		223896				8		7		(1)		A		A		A		A		A		- 0
S		Board Service Requests								-		-		highest priority						3		3		3		1		3		13		150		1		150		3
S		President amp Chief Executive Officer Requests								-		-		highest priority						3		3		3		1		3		13		150		1		150		3
S		Office of Executive Vice PresidentStrategic Partnering			2011						-		-				0				2		1		1		1		1		6		200		5		40		1
A		Press Office			2371			641000			858422		858422		217422		Social Media Issues			5		8		3		3		3		3		1		1		11		200		5		40		2
A		Office of Innovation			2511					631181		631181		631181					3		3		A		A		A		A		A		- 0
O		GOVERNMENT amp PUBLIC AFFAIRS			2520							-				38
A		Government Affairs			2352			667000			380831		380831		(286169)		Form Part of ExecBoard			4		3		(1)		3		2		2		2		1		10		400		3		133		2
O		CORPORATE COMMUNICATIONS amp MARKETING			2580							-		Formerly part of CAO			22
A		Print Shop and Admin Services			2431 2432			1944000			1960212		1960212		16212				8		10		2		2		1		1		2		2		8		200		5		40		2			1988
A		Media amp Corporate Communications			2581			500000			521510		521510		21510				4		3		(1)		3		1		1		1		1		7		100		5		20		1
A		Marketing			2531			4716000			5440929		5440929		724929				10		12		2		2		1		2		2		1		8		300		5		60		2
O		Public Engagement			2010						-		-		Formerly part of Planning			6			(6)
A		Community Outreach			2521			682000			866624		866624		184624		Involves Rail Expansion			6		26		20		3		2		1		2		2		10		200		5		40		2
A		Interagency Dir Of Pub Engagement			25222523						-		-		Form Part of Planning		No bdgtpers		0			- 0		1		1		1		1		1		5		200		5		40		1
O		Stakeholder Affairs			2060						-		-		Formerly part of Planning			6			(6)		A		A		A		A		A		- 0
A		Stakeholder Affairs			20122524			450000			534409		534409		84409		Form Part of Cap Prog			6			(6)		3		2		1		1		2		9		210		3		70		2			2011
								-		-
A		LEGALSTAFF COUNSELCORPORATE DEVELOPMENT			2350 51			3505000			3955580		3955580		450580				17		15			3		1		1		2		1		8		200		5		40		2
F		Legal Fees		1							-		-							2		1		1		1		1		6		200		5		40		1			2008
S		Attorney Work Requests		1							-		-							3		3		2		1		1		10		200		5		40		2
S		Special Assistance		1							-		-							3		3		2		1		1		10		200		5		40		2
A		Records Management		1		2013			304000			230439		230439		(73561)		Formerly in EEOCompDiv			3		2		(1)		3		3		2		1		2		11		300		3		100		2
								-		-
O		AUDIT			2330 2331			1505000			1534340		1534340		29340				11		11
A		Internal Quality Assurance Review		1							-		-													200		1		200				ON-GOING
A		External Quality Assurance Review		1							-		-		Yellow Book Req												100		3		33				2014
A		External Auditor Assistance								-		-													50		1		50		1			ON-GOING
C		Follow-UpCompliance Reviews								-		-													450		1		450				ON-GOING
A		Application Systems Audit Support								-		-													200		1		200		2			ON-GOING
C		Capital Projects QAQC Programs			Contract Oversight						-		-		FTA REQUIREMENT						3		2		2		1		2		10		200		1		200		2			ON-GOING
P		Review of Performance Measures								-		-							2		2		1		1		1		7		1000		5		200		1			2006
C		State Audit Compliance Review		1							-		-							3		3		3		1		3		13		200		1		200		3			2009 2016(16-1001) Statutory Compliance
C		FTA Audit Compliance Reviews		1							-		-							3		3		3		1		3		13		200		1		200		3			ON-GOING
								-		-
O		FINANCE amp ADMINISTRATION (Frmrly CAO)		1		2500 1610			313000				-		(313000)		AmtsEmps exclude IT
O		EVP Finance amp Administration		1		1611			822000			624447		624447		(197553)				2		3		1		A		A		A		A		A		- 0
O		FINANCE DEPARTMENT		1		2200						-		-
O		Vice PresidentChief Financial Officer			2210 2211			10000			718916		718916		708916				0		2		2		A		A		A		A		A		- 0
O		AccountingController			2220 2221			3250000			3740872		3740872		490872				28		28		- 0		A		A		A		A		A		- 0
O		General Accounting								-		-							A		A		A		A		A		- 0
F		General Ledger								-		-							3		2		3		2		2		12		300		3		100		2			2001
F		Accounts Receivable								-		-							3		2		3		2		2		12		300		3		100		2			2004
O		Grants Accounting (Audit with Grants Admin)								-		-							A		A		A		A		A		- 0							2004
O		Accounting								-		-							A		A		A		A		A		- 0
F		Fixed Assets								-		-		Net Cap Assets (Proj)		3200000					3		2		3		2		2		12		300		3		100		2			200307CR
F		Payroll								-		-		LaborBnfts (Budget)		301554					2		3		3		2		2		12		300		3		100		2			1998 2007
A		Payroll Payment Verification (ghost emps)								-		-		Payroll Ver Aud FY14						2		2		2		2		2		10		200		5		40		2			20032014
A		Accounts Payable								-		-		PAYMENTS (20101010)						3		2		3		2		2		12		300		3		100		2			2007 (CR)
F		Travel Expenses								-		-		(5090201-4)						2		1		1		1		2		7		200		5		40		1			1988
C		External Audit Mgt Ltr Compliance								-		-		Priority as required						3		3		3		1		3		13		100		1		100		3			2012
F		Audit Fees								-		-		(5030302)						2		1		1		1		1		6		80		5		16		1
F		Cost Allocation Plan								-		-							2		2		1		1		1		7		250		5		50		1			2005
O		Treasury Services			2230						-		-		Includes RevSrv			33			(33)		A		A		A		A		A		- 0
O		Director Treasury Services			2231						-		-				6			(6)		A		A		A		A		A		- 0
A		Financial Planning amp Investments								-		-		Investments (2014)		415021					3		3		2		3		3		14		200		2		100		3			2010 2016 (16-1004) Financial Planning amp Investments
O		Treasury Office Operations								-		-							A		A		A		A		A		- 0							2000
F		Sales Tax Revenue(audit with Distributions)								-		-		Sales Tax (Projected)		706241					3		2		2		3		2		12		200		2		100		2			2009
F		Sales Tax Revenue Distributions								-		-		Distributions(est Gen Mob)		173019					3		2		2		3		2		12		100		2		50		2			2009
F		Other Revenues								-		-		Projected FY2015		$108 mil					3		2		1		2		2		10		90		3		30		2
F		Petty Cash								-		-		Disbursements						3		1		1		1		3		9		90		3		30		2			2002
F		Pension Funds (Audited by outside auditors)								-		-		Funds						2		1		2		1		1		7		300		5		60		1			1995
A		Revenue Services		1		2212						-		-		Under OMB Mgmt						3		3		3		2		3		14		300		3		100		3
A		Ticket amp Fare Collection		1		2232			3514000			3037608		3037608		(476392)				27		26		(1)		3		3		3		2		3		14		300		2		150		3			2001 2009
A		Revenue Management		1		2235						-		-		Include wFare Collection						2		2		3		2		2		11		300		3		100		2
A		Grants (Includes Grant Accounting)		1		2250 2353			536000			528174		528174		(7826)		GRANTS INCOME(Bdgt)		196386		4		4		- 0		3		2		3		3		3		14		300		3		100		3			2010 2013
A		New Freedom JARC		1		9A03 9A04						-		-		New 2012 Inc wGrants						A		A		A		A		A		- 0
O		Office of Management amp Budget		1		2260						-		-		low audit priority			10			(10)		A		A		A		A		A		- 0
A		Office of Management amp Budget		1		2361			1887000			2267912		2267912		380912				10		14		4		2		1		2		2		2		9		150		5		30		2
O		PROCUREMENT amp MATERIALS			2460							-		ProcampMat Only(exSBE)
A		Procurement			2422			3661000			3689787		3689787		28787		IT ProcampHRT Auds 14			32		34		2		3		2		2		3		2		12		400		2		200		2			20092014
F		Purchase Card Activity								-		-		Recent Pcard Purch Range		$32 milyr					3		3		1		3		2		12		300		2		150		2			20072017 (17-1003) Purchasing Cards and Small Purchases
A		HGACState of Texas Purchasing Programs								-		-							2		1		2		1		1		7		200		5		40		1
F		Fuel Purchasing Program					31773000			27468028		3207448		385448		DieselampGas Bdgt-Requests for Board Action has a modification for fuel in the amount 28510000 and 4127000		38735					3		3		2		3		2		13		200		2		100		3			20062012
C		Davis Bacon Compliance								-		-		Fewer Cap Projects						3		2		3		1		3		12		300		3		100		2			2010
O		Materials amp Distribution			2423			5695000			6056753		6056753		361753				75		77		2		A		A		A		A		A		- 0
F		Inventory Management and Control								-		-		MampS Expense (Projected)		21651					2		1		3		3		2		11		300		2		150		2			1987 2016(16-1002) FY2016 Spare Parts Inventory 2017 (17-1002) Maintenance Parts Inventory
F		Fuel amp Lubricant Controls					2822000			3207448		27468028		(4304972)		Diesel Budget		36601					3		2		2		2		2		11		500		2		250		2			20082012
F		Annual Physical and Cyclical Inventories								-		-		FY2014 Inv Balance		24250					3		2		3		3		2		13		450		1		450		3			2014
A		Property Services								-		-		Asset Disposals						2		1		2		2		3		10		400		3		133		2			2007 2015
O		SMALL BUSINESS			2340							-		Frmrly in Business Serv
A		SBEDBE			2341			823000			834530		834530		11530				7		6		(1)		3		2		2		2		2		11		300		3		100		2			2017 (17-1006) DBE Compliance
O		HUMAN RESOURCES		1		2400							-		Part of FinampAdmin
O		Vice President Human Resources			2410						-		-							A		A		A		A		A		- 0
O		VP Human Resources			2411			628000			636954		636954		8954				2		2		- 0		A		A		A		A		A		- 0
A		Compensation			2444			491000			495980		495980		4980				4		4		- 0		3		1		3		1		1		9		100		5		20		2
O		Human Resources Operations			2430						-		-							A		A		A		A		A		- 0
O		Staffing			2442			1229000			1385642		1385642		156642		Backgrnd Inv Review			12		11		(1)		A		A		A		A		A		- 0							2015
A		Contract and Temporary Labor								-		-							2		2		2		2		1		9		150		3		50		2			200305CR
C		Recruitment Incentive Programs								-		-							3		2		2		2		2		11		150		3		50		2
O		Labor Relations			2440						-		-		Formerly part of Serv Del						A		A		A		A		A		- 0
A		Labor Relations			2461			428000			426121		426121		(1879)				4		4		- 0		3		1		2		2		1		9		150		3		50		2
O		Human Capital Management and Personnel Services			2470						-		-							A		A		A		A		A		- 0
A		HCM and Personnel Services			2441			434000			451356		451356		17356				5		5		- 0		2		3		2		3		2		12		200		3		67		2
O		Benefits Wellness amp Compensation		1		24502421			55000			75576		75576		20576		Supp Ins Dep Review				3		3		A		A		A		A		A		- 0							2014
A		Wellness Programs		1		2446			289000			270346		270346		(18654)				2		2		- 0		3		3		2		3		2		13		200		1		200		3
A		Benefits and Pensions		1		2443			1282000			1283645		1283645		1645		HIPAA Audit			6		7		1		3		3		2		2		3		13		200		2		100		3			2015
A		Union Benefit Trust		1							-		-		Contributions (2014)		13692					A		A		A		A		A		- 0
A		Non-Union Pension		1							-		-		Contributions (2014)		8967					A		A		A		A		A		- 0							2008
A		Non-Union Health Insurance		1							-		-		Cost of Plans (2014)		9478					A		A		A		A		A		- 0
A		Life Insurance		1							-		-							A		A		A		A		A		- 0
A		Retirees (include wBenefits and Pensions)		1		2412			13411000			15177705		15177705		1766705							A		A		A		A		A		- 0
O		EEO COMPLIANCE AND DIVERSITY		1		2480							-		Part of HR in 2015
O		VP EEO Compliance amp Diversity		1		2014							-		Dir Level in 2015 no VP						A		A		A		A		A		- 0
O		COMPLIANCE EEO EMPLOYEE RELATIONS		1		2560							-		New org structure in 2011
A		EEO and Employee Relations		1		2445			719000			761821		761821		42821				5		4		(1)		2		2		2		2		1		9		150		3		50		2
A		EEO		1		2449			453000			508580		508580		55580				2		4		2		1		1		1		1		1		5		150		5		30		1
								-		-
O		INFORMATION TECHNOLOGY			2280 2451			44507000		8626000		21515539		30141539		(14365461)		Part of FinampAdmin				66		66
O		Disaster Recovery amp Business Continuity								-		-
A		Data Access Security								-		-							2		2		1		3		2		10		300		3		100		2			2008
A		Disaster Recovery Observation								-		-							3		3		3		3		3		15		300		1		300		3			2017
A		Business Recovery Planning								-		-							2		2		2		3		3		12		300		3		100		2			2017
A		Data Center Operations								-		-							2		3		2		3		2		12		200		3		67		2			2009
O		Databases								-		-
A		Data Base Administration								-		-							2		3		3		3		3		14		400		3		133		3			2016
O		Network Management								-		-
A		Firewall Admin amp Controls								-		-							3		3		2		3		2		13		260		2		130		3			2016
A		Incident Intrusion and Emergency Response								-		-							3		3		2		3		2		13		260		2		130		3			2007
A		Wireless Network Security								-		-							3		3		2		3		2		13		260		2		130		3			2007
O		Department Administrative Functions								-		-
A		Help Desk Operations								-		-							2		2		2		2		2		10		300		3		100		2			2009
A		Computer Equipment Disposal Practices								-		-							2		2		2		2		2		10		300		3		100		2			2016
A		HardwareSoftware Standards								-		-							2		2		1		2		2		9		200		3		67		2			2009
A		Remote Access Policies and Security								-		-							2		2		2		2		2		10		150		3		50		2			2009
O		Applications Systems								-		-
A		Enterprise Systems Migration amp Chg Controls								-		-							3		2		3		2		2		12		400		3		133		2			2007
A		Security and Controls								-		-							3		2		3		2		2		12		300		2		150		2			2007
A		SAP Application Maintenance								-		-							3		3		3		2		3		14		300		3		100		3
O		Internet Access Use Controls amp Security								-		-
A		Web Site Management								-		-							3		2		3		2		2		12		250		2		125		2			2010
A		E-business Administration and Controls								-		-							3		2		2		3		2		12		250		2		125		2
A		E-mail Usage Security and Controls								-		-							3		2		2		3		2		12		250		2		125		2			2008
O		Communications Systems								-		-		(50502045121201)
A		VOIP Telephone System Management amp Security								-		-							3		2		3		3		3		14		250		3		83		3			2012
A		Video Surveillance System Man amp Security								-		-							3		2		2		3		3		13		250		2		125		3			2008
A		Radio System Management and Security								-		-							3		2		3		3		3		14		300		3		100		3
O		New Systems Development and Controls								-		-
A		IT Project Management Policies amp Procedures								-		-							2		2		2		2		3		11		400		2		200		2			2011
A		Post Implementation Review								-		-		Q Card review in 2010						2		2		2		2		2		10		200		2		100		2			2010
A		ERP Technical Controls								-		-							2		2		2		2		2		10		400		2		200		2			2010
O		Operating Systems (OS)								-		-
A		UNIX OS Review								-		-							2		3		3		2		3		13		500		3		167		3			2012
A		Windows OS Review								-		-							2		3		3		2		3		13		500		3		167		3			2014
A		Vmware Virtualization OS Review								-		-							2		3		3		2		3		13		500		3		167		3			2014
O		Adherence to Licensing Requirements								-		-
A		SAP Contract Compliance								-		-							2		2		2		2		3		11		200		2		100		2			2017
A		Oracle Contract Compliance								-		-							2		2		2		2		3		11		200		2		100		2			2017
A		Other Licenses								-		-							2		2		2		2		2		10		200		2		100		2			2017
O		Storage								-		-
A		Data Storage								-		-							3		3		3		2		3		14		600		4		150		3			2017
O		Rail IT								-		-
A		SCADA Systems								-		-							3		3		3		3		2		14		300		2		150		3			2011
A		Data Center Operations								-		-							3		3		3		3		2		14		300		2		150		3			2014
								-		-
O		OPS PUB SFTY amp CUST RDRSHP SERVS		1		2800			1405000					(1405000)		Includes MPD in FY1415
O		EVP Ops Pub SftyampCust Rdrshp Servs		1		1821			740000			768800		768800		28800		RC frmrly Best Practices			6		5		(1)		A		A		A		A		A		- 0
O		Director of Safety		1		2810 2812			180000			189445		189445		9445				1			(1)		A		A		A		A		A		- 0
A		Customer and Health Safety		1		2820283022432245			1309000			1248726		1248726		(60274)				12		11		(1)		3		3		2		2		2		12		300		3		100		2
A		Workplace and Environmental Safety		1		28402246			569000			642623		642623		73623		No budget in 2015			5		5		- 0		1		1		1		1		1		5		100		3		33		1
A		Drug amp Alcohol Program		1		2448			611000			630270		630270		19270		FTA area of interest			3		3		- 0		3		3		1		1		2		10		300		3		100		2			2010 2015CR
O		Risk Management			2240						-		-							A		A		A		A		A		- 0							2013
O		Director Risk Management			2241			161000			160688		160688		(312)				1				(1)		A		A		A		A		A		- 0
A		Claims			2242			1116000			1135035		1135035		19035		FEMA Reim Audit			12		13		1		2		2		1		2		2		9		150		3		50		2			2013
A		General Insurance			2244			3852000			3605884		3605884		(246116)				3		3		- 0		2		2		2		2		2		10		150		3		50		2			2003
A		Workers Compensation								-		-		Audited in 2014						2		2		2		1		2		9		150		3		50		2			2014
A		Owner Controlled Iinsurance Program (OCIP)								-		-		True-up in progress						3		3		2		3		2		13		400		3		133		3			20112017 (17-1005) Audit of OCIP
A		Training Design amp Delivery			2850 2247			585000			651220		651220		66220		New org in 2011			3		5		2		3		2		2		1		3		11		300		3		100		2
O		METRO POLICE		1		1900							-		Part of Safety in FY1415
O		Vice PresidentChief of Police		1		1910 0911			593000			569954		569954		(23046)				2		4		2		A		A		A		A		A		- 0
O		Management Services		1		1920 0912 0913			414000			374176		374176		(39824)				4		8		4		A		A		A		A		A		- 0
F		Special Funds - LEOSE amp Seized Property		1							-		-		STATE REQUIREMENT		30					3		1		1		1		2		8		200		1		200		2			2014
O		Police Field amp Rail Operations		1		1930						-		-							A		A		A		A		A		- 0
A		Field amp Rail Operations		1		0934 0966			13646000			15091874		15091874		1445874				144		150		6		3		2		2		3		2		12		300		5		60		2			1998 2007 2016 (16-1006) MPD Administrative Fees
A		System Security K-9 Unit		1		0936			841000			902038		902038		61038				8		8		- 0		3		2		1		2		2		10		200		5		40		2
A		Motorist Assistance Program		1		0964			(88000)			53190		53190		141190				8		7		(1)		3		2		1		1		1		8		200		5		40		2
A		HOV-Enforcements		1		0965			(447000)			383387		383387		830387				25		30		5		3		2		2		1		2		10		300		5		60		2			1998
O		Support Operations		1		1940						-		-							A		A		A		A		A		- 0							1998
A		Transtar amp Dispatch		1		0942 0943			1912000			2200654		2200654		288654				19		19		- 0		3		3		3		2		2		13		300		5		60		3
A		Support OperationsampAnti-Terrorism Grant		1		0932 0935			982000			1416066		1416066		434066				10		14		4		2		2		2		2		2		10		300		5		60		2
A		Investigations		1		0931			1080000			1435846		1435846		355846		Accident Investigations			11		13		2		3		2		2		2		2		11		300		5		60		2			1998 2007 2016 (16-1003) Bus Accident Investigations
A		Records		1		0952			301000			441900		441900		140900				6		6		- 0		2		2		2		1		1		8		300		5		60		2			1998
O		Homeland Security(Inactive budget in 0953)		1		1950						-		-							A		A		A		A		A		- 0
A		Police Homeland Security		1		0953						-		-		No pers In 2015			0			- 0		3		2		2		1		2		10		300		5		60		2
A		Security BOF(Auditable area no budget or pers)		1		0933						-		-		No Emp RC in 2013-15			0			- 0		3		3		3		1		3		13		400		2		200		3			2012 2015
A		Emergency Management(No budget or pers)		1		1960 1961						-		-		No Emp RC in 2012-15			0			- 0		3		2		2		1		2		10		300		3		100		2			2008 2009
S		Special Assistance by Audit - Investigations								-		-		Perform as needed						3		3		2		2		3		13		200		1		200		3			2010
O		CUSTOMER amp RIDERSHIP SERVICES			2530							-		New Dept FY14 (frm Ops)
A		RideStores			2538			696000			653907		653907		(42093)				9		12		3		3		2		3		2		2		12		300		3		100		2			2003 2006
A		Sales			2543			590000			593479		593479		3479		Include wRideStores			5		3		(2)		2		2		2		2		2		10		300		3		100		2
A		Customer Information Center (Customer Care)			2532			3627000			3489725		3489725		(137275)		Partial Audit wComplaints			62		57		(5)		3		2		3		3		2		13		300		3		100		3			2015
								-		-
O		OPERATIONS		1		1000			91154000		65611000			65611000		(25543000)		TotExp Excluding Fuel		338969
O		Senior VP amp Staff (inc Budget Operations(OMS))		1		0100 0011 0351			1850000			1469162		1469162		(380838)				7		12		5		A		A		A		A		A		- 0
A		HOT Lanes Operations		1		1500 1510 2185			8062000			8379468		8379468		317468		New to Ops FY14			1		1		- 0		3		3		2		2		3		13		300		3		100		3			2015
O		Revenue Collection		1		2290						-		-		New to Ser Del In 2011						A		A		A		A		A		- 0
A		Revenue Agents		1		2234			820000			887981		887981		67981		Cash Fare Collections			11		11		- 0		3		2		2		2		3		12		300		3		100		2			2009 2017 (17-1001) Cash Fare Collections
O		Bus Transportation (inc Sr Dir Trans GenampSer Logist)		1		0200003103610322			2775000			4874931		4874931		2099931		Moving Violations Audit			2		2		- 0													2011
A		Bus Operations		1		0220						-		-		Cust Training Audit			1597				3		2		3		3		2		13		600		2		300		3			2011
O		Fallbrook		1		011101120113			25050000			24306144		24306144		(743856)				349		349		- 0		A		A		A		A		A		- 0
O		Kashmere (Greenlink added in 2012)		1		0121012201230124			15750000			17065038		17065038		1315038				216		221		5		A		A		A		A		A		- 0
O		Polk		1		013101320133			27965000			27300859		27300859		(664141)				348		357		9		A		A		A		A		A		- 0
O		West		1		014101420143			32898000			33761527		33761527		863527				404		438		34		A		A		A		A		A		- 0
O		Hiram Clarke		1		0151015201530154			21554000			23379044		23379044		1825044				280		321		41		A		A		A		A		A		- 0
O		Northwest (Contract - see Fac Roll -up Code 1800)		1		0163			(3248000)				-		3248000				0			- 0		A		A		A		A		A		- 0							2012
A		Service Delivery		1		0500						-		-		On-Time Perf Review						2		2		3		2		2		11		300		5		60		2			2014
O		Dispatch		1		0301			1767000			1859803		1859803		92803				17		18		1		A		A		A		A		A		- 0
F		Operator Timekeeping System		1							-		-		Old legacy system						2		2		2		1		2		9		200		5		40		2			2005 UnC
A		Director of Serv Del And Street Supervisors		1		0051 0332			3423000			3594559		3594559		171559				30		35		5		3		2		2		3		2		12		300		3		100		2
A		New Service (Was Budget Services in 2011)		1		030003920393						-		-		No bdgt or pers in 2015			0			- 0		1		1		1		1		1		5		250		2		125		1
O		Transportation Programs		1		0400						-		-							A		A		A		A		A		- 0
A		METROLift amp Director of Trans Prog		1		0045 0041			56698000			58450171		58450171		1752171		FTA review in 2013			117		124		7		3		3		3		3		3		15		400		2		200		3			2006 2007
A		Special Events and Contract Services		1		0470048003710381			330000			322665		322665		(7335)				4		3		(1)		2		1		1		1		1		6		200		5		40		1
A		Rideshare		1		0460 2537			10995000				-		(10995000)				0			- 0		3		2		2		1		2		10		300		3		100		2
A		Regional Vanpool (0831 = Community Connector)		1		0460 2539 0831					12034574		12034574		12034574		Lmtd Rev compltd 2014			3		9		6		3		2		2		2		3		12		300		3		100		2			20122014
C		Contracted Services - Northwest BOF		1		08000811-150821-25			48485000			46163058		46163058		(2321942)		$47mil ann bdgt (NW)		$4mil for NW fuel					3		2		2		3		2		12		400		2		200		2			2012 2015CR
A		METRORail		1		0600													3		2		3		3		3		14		600		2		300		3			2008
O		Senior Director Rail		1		610 0061			234000			244607		244607		10607				2		3		1		A		A		A		A		A		- 0
O		Rail Transportation		1		620 621 622 623 626 627			12352000			12181636		12181636		(170364)		METRORail Cam Aud			149		175		26		A		A		A		A		A		- 0							2015
O		Rail Control Center		1		0651			3054000			3148729		3148729		94729				27		26		(1)		A		A		A		A		A		- 0
O		SampI Administration and Supervision		1		0624 0625			676000			690213		690213		14213		New in FY14			7		8		1		A		A		A		A		A		- 0
O		Rail Maintenance		1		0660-6606810691-93			17903000			18333174		18333174		430174		Includes traction power			134		146		12		A		A		A		A		A		- 0							2013
A		Preventive Maintenance (Bus)		1		1191 (Admin)			306000			323151		323151		17151		Bus Hub Rev FY13			2		2		- 0		3		2		3		3		2		13		300		1		300		3			20122013
O		Kashmere (Greenlink added in 2012)		1		1111-1118			11068000			10734424		10734424		(333576)		Greenlink added in 2012			70		73		3		A		A		A		A		A		- 0
O		Polk		1		1121112211231124			16713000			15617108		15617108		(1095892)				97		98		1		A		A		A		A		A		- 0							1993
O		West		1		1131113211331134			21994000			20796712		20796712		(1197288)				113		121		8		A		A		A		A		A		- 0
O		Hiram Clarke		1		11411142114311441145			14524000			13845519		13845519		(678481)				85		84		(1)		A		A		A		A		A		- 0
S		Northwest (Contract - see Fac Roll-up Code 1800)		1		1151115211531154			(120000)				-		120000							A		A		A		A		A		- 0							2002
O		Fallbrook		1		1161116211631164			16224000			14955860		14955860		(1268140)				79		93		14		A		A		A		A		A		- 0
O		Buffalo Bayou Maint (Under SuppVeh RC)		1		1171 1172 1173			1878000			678775		678775		(1199225)				17		21		4		A		A		A		A		A		- 0
A		Central Support amp Manufacturing		1		1020 1021			399000			404920		404920		5920				4		4		- 0		3		2		3		3		2		13		400		2		200		3
O		Body Shop		1		1023			2267000			2388704		2388704		121704				27		28		1		A		A		A		A		A		- 0							1996 2016 (16-1005) Audit of Paint Booths
O		Unit Overhaul		1		1024			1722000			1969444		1969444		247444				32		32		- 0		A		A		A		A		A		- 0							2001
	Unit Overhaul		1		1025			(244000)					244000							A		A		A		A		A		- 0
O		Heavy Repair		1		1022			1979000			2005634		2005634		26634				22		24		2		A		A		A		A		A		- 0
O		Brake Shop		1		1029						-		-		No FY15 PersonnelBdgt			0		0		- 0		A		A		A		A		A		- 0
O		Rebuild Warranty		1		1026			98000			97500		97500		(500)							A		A		A		A		A		- 0
O		Tire amp Battery Usage		1							-		-		SpecProjAs needed						A		A		A		A		A		- 0							20012010 2017 (17-1004) Bus Tires Inspection
A		Maintenance Support		1		1200						-		-		Increasingly Critical						3		2		3		3		2		13		300		3		100		3
O		Quality Assurance		1		1210 1311			882000			904988		904988		22988				8		9		1		A		A		A		A		A		- 0
O		Warranty		1		1240 1312			3612000			4475803		4475803		863803		FY2014 Audit			4		4		- 0		A		A		A		A		A		- 0							2014
O		Technical Services amp Advanced Technology		1		1220 1014 1036			412000			388743		388743		(23257)				2		3		1		A		A		A		A		A		- 0
O		Director Maintenance Support		1		1280 1381			408000			493025		493025		85025		Fuel Tanker Audit			10		11		1		A		A		A		A		A		- 0							2014
O		Electronic Maintenance (inc fare collampradio maint)		1		13012322331390			4564000			4760210		4760210		196210		Critical Activity			43		45		2		A		A		A		A		A		- 0							2013
O		Support Vehicle Maintenance (Inc Med Duty Bus)		1		1351135312501174			4333000			5234060		5234060		901060		Include wMaint Supp			25		26		1		A		A		A		A		A		- 0							2003 07CR
O		Support Vehicle		1		1354			416000			246395		246395		(169605)							A		A		A		A		A		- 0
	Maintenance General		1		1361			5213000			5744855		5744855		531855							A		A		A		A		A		- 0
O		Maintenance Training (MEAD)		1		17201321			377000				-		(377000)		No FY15 Bdgt Or Pers						A		A		A		A		A		- 0							1996
A		Transportation Training		1		1700 1710 0331			2085000			2186942		2186942		101942		New cust Svc Focus			16		18		2		3		2		1		2		2		10		120		5		24		2			1995
								-		-
O		PLANNING ENGINEERING CONST amp REAL EST		1		2180			113640000		90591000			90591000		(23049000)
O		SVP Capital Programs			2020 2021						-		-				0			- 0		A		A		A		A		A		- 0
O		Capital Projects		1		(2180)						-		-				22			(22)		A		A		A		A		A		- 0
A		Document Control		1		2151						-		-				0			- 0		3		2		2		1		2		10		210		3		70		2
A		Engineering Support Services		1		2161			93000			556421		556421		463421				13		9		(4)		3		2		1		1		2		9		210		3		70		2
A		Capital Projects		1		2181			(16000)			42086		42086		58086		$23mil non-rail Cap Bdgt			2		2		- 0		2		2		2		2		2		10		200		5		40		2
A		Bus Infrastructure		1		2182						-		-		No Emp RC FY12-15			0			- 0		2		2		2		1		2		9		200		5		40		2
A		Project Administration and Management		1		2183 2184			(113000)			(29074)		(29074)		83926		New in 2011			7		5		(2)		2		2		2		2		2		10		200		5		40		2
A		EngStandards Buff Bayou Mods		1		9A08 9A09						-		-		New in 2012						3		3		3		2		2		13		300		3		100		3
O		State of Good Repair			2150						-		-		New in 2012						A		A		A		A		A		- 0
A		State of Good Repair			2152						-		-		New in 2012						3		3		2		1		2		11		300		3		100		2
O		Rail Construction			2100 2110 2140						-		-		Consent Agmt Review			7			(7)		A		A		A		A		A		- 0							2014
A		University Corridor			2081						-		-				0			- 0		2		2		2		1		1		8		210		3		70		2
A		4 Light Rail Lines Expansion			2171			(150000)			(13171)		(13171)		136829		$173mil Cap Bdgt			7		6		(1)		3		2		2		2		2		11		210		3		70		2
O		METRO Rail Construction Non-Capital			2040						-		-							A		A		A		A		A		- 0
A		Cap Prog Coor amp Rpt (Inactive)			2433						-		-		New name FY15			0			- 0		3		2		2		1		2		10		210		3		70		2
O		METRO Rail Expansion Integration amp Control			2110 2070						-		-				8			(8)		A		A		A		A		A		- 0
A		Program Integration amp Controls			2111 2121			(134000)			(93508)		(93508)		40492		SrDir Reports to CAO			8		6		(2)		3		2		2		1		2		10		210		3		70		2
A		Rail Vehicles			2153						-		-		Waiver Request Rev						3		3		2		1		2		11		210		3		70		2			2014
O		PLANNING		1		2190				9858000			9858000		9858000		Structure modified in FY14
O		SVP Planning		1		2191			317000			319812		319812		2812		New in 2011			2		2		- 0		A		A		A		A		A		- 0
O		Planning amp Scheduling		1		2050						-		-				29			(29)		A		A		A		A		A		- 0
A		System Planning amp Development		1		2031			16483000			3783057		3783057		(12699943)				11		9		(2)		3		3		1		2		2		11		210		3		70		2
A		Service Planning amp Development		1		2052			1676000			1258682		1258682		(417318)		Alternative Ser Delivery			9		10		1		2		2		3		2		2		11		210		3		70		2			2012
A		System Reimagining		1		1811						-		-		Frmrly Best Practices No employees and project complete			2			(2)		3		3		3		2		3		14		210		3		70		3
A		Scheduling		1		0321			853000			884171		884171		31171				7		8		1		3		2		3		2		2		12		210		3		70		2
A		US 90A Rail Livable Centers ConsortUniv Line		1		9A06 9A07 9A11						-		-		U Line New in FY14						2		1		1		1		2		7		300		3		100		1
O		FACILITY MAINTENANCE		1		1300			15255000		507000			507000		(14748000)		Formerly part of CAO
A		Facility Maint Admin amp Contracts		1		131013411346			3979000			4023276		4023276		44276				13		12		(1)		3		2		2		2		2		11		400		3		133		2
O		Facility Maintenance Programs		1		1320						-		-							A		A		A		A		A		- 0
A		Facility Maint NW Buff Bay amp ProgOp		1		1335 13371342			1598000			1714566		1714566		116566				8		15		7		2		2		2		2		2		10		300		3		100		2
A		SuptFacility Maint		1		1338						-		-		New in 2012			0			- 0		2		2		1		1		2		8		200		5		40		2
A		Facility Maint Headquarters		1		1349			2873000			3033079		3033079		160079				8		7		(1)		2		2		2		2		2		10		300		5		60		2			2007
O		Public Facilities		1		1330						-		-							A		A		A		A		A		- 0
A		Public Facility amp Public Facility Admin		1		1339 1343			7612000			7670039		7670039		58039		Bus Shelter Audit			58		57		(1)		3		2		2		3		2		12		300		3		100		2			2011
A		Public Facility Rail			1348			4497000			4097093		4097093		(399907)				39		39		- 0		3		2		2		3		2		12		300		3		100		2
O		BOF Env Serv amp Proj Management		1		13401380						-		-							A		A		A		A		A		- 0
A		BOF Env Serv amp Proj Management		1		1331-3413361344-45			6945000			6666939		6666939		(278061)				40		34		(6)		3		2		2		3		2		12		300		3		100		2
A		Fac Maint Rail		1		1347			1928000			1754811		1754811		(173189)		Higher risk after rail expans			9		10		1		3		2		2		2		2		11		300		3		100		2
O		REAL ESTATE amp PROPERTY MANAGEMENT			2550								Formerly in Legal
A		Real Estate			2131			463000			435274		435274		(27726)		Appraisal Process Aud			5		1		(4)		3		3		2		2		3		13		300		3		100		3			2015
	Total		141			Total			178221000		593645668		771866668
					83997800000
	Note A - Assessed at the ActivityOrganization Level																	ANNUAL SCHEDULED HOURS							17415
	- Scheduled for 4th qtr of FY17																	STAFF REQUIREMENTS							109
	- Annual budget figures adjusted
	or estimated where appropriate				total		83997800000									3969
	to reflect organizational or				From PY		80538300000								Check Figure from Head Count Report		3969				EDP PORTION OF ABOVE								0
	operating changes				difference		3459500000									0				EDP STAFF REQURIEMENTS								00
																TOTAL UNSCHEDULED ANNUAL HOURS								0
																TOTAL SCHEDULED amp UNSCHEDULED								0
																STAFF REQUIREMENTS IF ALL
																AUDITS SCHEDULED								000

		13		14		15
		10		11		12
		7		8		9
		-		5		6

	Reconciliation of Risk Assessment Values reviewed Audit obtained the FY2017 Budget amounts from accounting and used these amount to prepare a risk assessment The following is a reconciliation of the amounts reviewed in the Risk Assessment
			Capital Budget Amount
		Risk Assessment Amount Reviewed		178221000
		Budget Amount		178221
		Difference		178042779
			Operating Budget
		Risk Assessment Amount Reviewed		593645668
		Budget Amount		568071000
		Difference		25574668
		Adjustments		2600806		Non-Departmental A
			2500000		Contingency - President amp CEO B
		Remaining Difference		30675474		rounding differences
	Notes
	A		The Non-Departmental amount from the budget was not included in the Risk Assessment as this amount was a contingency for the COLA adjustment expected to be approved during the 2017 Fiscal Year
	B		The Contingency - President amp CEO amount from the budget was not included in the Risk Assessment as the amount was an actual contingency for unknown or potential issues which might effect METRO during the 2017 fiscal year

																	KEY
	Risk Assessment as of JUNE 2017																	Audit Type (Internal Designations not Yellow Book)
																	F = Financial						O = ORGANIZATION
																	P = Performance						S = Special Project
																	C = Compliance						A = Activity
Audit			RESPONSIBILITY		Responsibility Code or Account (SAP - New Codes)		FY2016 Budget		FY2017 BUDGET (000 omitted)				Delta				STAFF SIZE			Delta		RISK ASSESSMENT							AUDIT BUDGET						LAST YEAR
Type		ORGANIZATIONAL UNIT ACTIVITY OR		CODE OR								OTHER CONSIDERATIONS						1		2		3		4		5		Total		Estimated Hours		FRQ		ANNUAL HOURS		RISK			AUDITED
Code		PROJECT DESCRIPTION		ACCOUNT (ORACLE)			Total		CAPITAL		OPERATING		TOTAL		(Less) More		DESCRIPTION		VALUE (000)		FY16 (Actual)		FY17 (Actual)		(Less) More			Control Environment		Technology		Size		Organization				YRS					( Partial)
O		EXECUTIVE amp BOARD		2300 2320				3028000			3028000		3028000		Cap Is Unallocated Cap
O		President amp Chief Executive OfficerBoard		2310 11 12 13 21			1901000			2124896		2124896		223896				8		7		(1)		A		A		A		A		A		- 0
S		Board Service Requests							-		-		highest priority						3		3		3		1		3		13		150		1		150		3
S		President amp Chief Executive Officer Requests							-		-		highest priority						3		3		3		1		3		13		150		1		150		3
S		Office of Executive Vice PresidentStrategic Partnering		2011						-		-				0				2		1		1		1		1		6		200		5		40		1
A		Press Office		2371			641000			858422		858422		217422		Social Media Issues			5		8		3		3		3		3		1		1		11		200		5		40		2
A		Office of Innovation		2511					631181		631181		631181					3		3		A		A		A		A		A		- 0
O		GOVERNMENT amp PUBLIC AFFAIRS		2520							-				38
A		Government Affairs		2352			667000			380831		380831		(286169)		Form Part of ExecBoard			4		3		(1)		3		2		2		2		1		10		400		3		133		2
O		CORPORATE COMMUNICATIONS amp MARKETING		2580							-		Formerly part of CAO			22
A		Print Shop and Admin Services		2431 2432			1944000			1960212		1960212		16212				8		10		2		2		1		1		2		2		8		200		5		40		2			1988
A		Media amp Corporate Communications		2581			500000			521510		521510		21510				4		3		(1)		3		1		1		1		1		7		100		5		20		1
A		Marketing		2531			4716000			5440929		5440929		724929				10		12		2		2		1		2		2		1		8		300		5		60		2
O		Public Engagement		2010						-		-		Formerly part of Planning			6			(6)
A		Community Outreach		2521			682000			866624		866624		184624		Involves Rail Expansion			6		26		20		3		2		1		2		2		10		200		5		40		2
A		Interagency Dir Of Pub Engagement		25222523						-		-		Form Part of Planning		No bdgtpers		0			- 0		1		1		1		1		1		5		200		5		40		1
O		Stakeholder Affairs		2060						-		-		Formerly part of Planning			6			(6)		A		A		A		A		A		- 0
A		Stakeholder Affairs		20122524			450000			534409		534409		84409		Form Part of Cap Prog			6			(6)		3		2		1		1		2		9		210		3		70		2			2011
							-		-
A		LEGALSTAFF COUNSELCORPORATE DEVELOPMENT		2350 51			3505000			3955580		3955580		450580				17		15			3		1		1		2		1		8		200		5		40		2
F		Legal Fees							-		-							2		1		1		1		1		6		200		5		40		1			2008
S		Attorney Work Requests							-		-							3		3		2		1		1		10		200		5		40		2
S		Special Assistance							-		-							3		3		2		1		1		10		200		5		40		2
A		Records Management		2013			304000			230439		230439		(73561)		Formerly in EEOCompDiv			3		2		(1)		3		3		2		1		2		11		300		3		100		2
							-		-
O		AUDIT		2330 2331			1505000			1534340		1534340		29340				11		11
A		Internal Quality Assurance Review							-		-													200		1		200				ON-GOING
A		External Quality Assurance Review							-		-		Yellow Book Req												100		3		33				2014
A		External Auditor Assistance							-		-													50		1		50		1			ON-GOING
C		Follow-UpCompliance Reviews							-		-													450		1		450				ON-GOING
A		Application Systems Audit Support							-		-													200		1		200		2			ON-GOING
C		Capital Projects QAQC Programs		Contract Oversight						-		-		FTA REQUIREMENT						3		2		2		1		2		10		200		1		200		2			ON-GOING
P		Review of Performance Measures							-		-							2		2		1		1		1		7		1000		5		200		1			2006
C		State Audit Compliance Review							-		-							3		3		3		1		3		13		200		1		200		3			2009 2016(16-1001) Statutory Compliance
C		FTA Audit Compliance Reviews							-		-							3		3		3		1		3		13		200		1		200		3			ON-GOING
							-		-
O		FINANCE amp ADMINISTRATION (Frmrly CAO)		2500 1610			313000				-		(313000)		AmtsEmps exclude IT
O		EVP Finance amp Administration		1611			822000			624447		624447		(197553)				2		3		1		A		A		A		A		A		- 0
O		FINANCE DEPARTMENT		2200						-		-
O		Vice PresidentChief Financial Officer		2210 2211			10000			718916		718916		708916				0		2		2		A		A		A		A		A		- 0
O		AccountingController		2220 2221			3250000			3740872		3740872		490872				28		28		- 0		A		A		A		A		A		- 0
O		General Accounting							-		-							A		A		A		A		A		- 0
F		General Ledger							-		-							3		2		3		2		2		12		300		3		100		2			2001
F		Accounts Receivable							-		-							3		2		3		2		2		12		300		3		100		2			2004
O		Grants Accounting (Audit with Grants Admin)							-		-							A		A		A		A		A		- 0							2004
O		Accounting							-		-							A		A		A		A		A		- 0
F		Fixed Assets							-		-		Net Cap Assets (Proj)		3200000					3		2		3		2		2		12		300		3		100		2			200307CR
F		Payroll							-		-		LaborBnfts (Budget)		301554					2		3		3		2		2		12		300		3		100		2			1998 2007
A		Payroll Payment Verification (ghost emps)							-		-		Payroll Ver Aud FY14						2		2		2		2		2		10		200		5		40		2			20032014
A		Accounts Payable							-		-		PAYMENTS (20101010)						3		2		3		2		2		12		300		3		100		2			2007 (CR)
F		Travel Expenses							-		-		(5090201-4)						2		1		1		1		2		7		200		5		40		1			1988
C		External Audit Mgt Ltr Compliance							-		-		Priority as required						3		3		3		1		3		13		100		1		100		3			2012
F		Audit Fees							-		-		(5030302)						2		1		1		1		1		6		80		5		16		1
F		Cost Allocation Plan							-		-							2		2		1		1		1		7		250		5		50		1			2005
O		Treasury Services		2230						-		-		Includes RevSrv			33			(33)		A		A		A		A		A		- 0
O		Director Treasury Services		2231						-		-				6			(6)		A		A		A		A		A		- 0
A		Financial Planning amp Investments							-		-		Investments (2014)		415021					3		3		2		3		3		14		200		2		100		3			2010 2016 (16-1004) Financial Planning amp Investments
O		Treasury Office Operations							-		-							A		A		A		A		A		- 0							2000
F		Sales Tax Revenue(audit with Distributions)							-		-		Sales Tax (Projected)		706241					3		2		2		3		2		12		200		2		100		2			2009
F		Sales Tax Revenue Distributions							-		-		Distributions(est Gen Mob)		173019					3		2		2		3		2		12		100		2		50		2			2009
F		Other Revenues							-		-		Projected FY2015		$108 mil					3		2		1		2		2		10		90		3		30		2
F		Petty Cash							-		-		Disbursements						3		1		1		1		3		9		90		3		30		2			2002
F		Pension Funds (Audited by outside auditors)							-		-		Funds						2		1		2		1		1		7		300		5		60		1			1995
A		Revenue Services		2212						-		-		Under OMB Mgmt						3		3		3		2		3		14		300		3		100		3
A		Ticket amp Fare Collection		2232			3514000			3037608		3037608		(476392)				27		26		(1)		3		3		3		2		3		14		300		2		150		3			2001 2009
A		Revenue Management		2235						-		-		Include wFare Collection						2		2		3		2		2		11		300		3		100		2
A		Grants (Includes Grant Accounting)		2250 2353			536000			528174		528174		(7826)		GRANTS INCOME(Bdgt)		196386		4		4		- 0		3		2		3		3		3		14		300		3		100		3			2010 2013
A		New Freedom JARC		9A03 9A04						-		-		New 2012 Inc wGrants						A		A		A		A		A		- 0
O		Office of Management amp Budget		2260						-		-		low audit priority			10			(10)		A		A		A		A		A		- 0
A		Office of Management amp Budget		2361			1887000			2267912		2267912		380912				10		14		4		2		1		2		2		2		9		150		5		30		2
O		PROCUREMENT amp MATERIALS		2460							-		ProcampMat Only(exSBE)
A		Procurement		2422			3661000			3689787		3689787		28787		IT ProcampHRT Auds 14			32		34		2		3		2		2		3		2		12		400		2		200		2			20092014
F		Purchase Card Activity							-		-		Recent Pcard Purch Range		$32 milyr					3		3		1		3		2		12		300		2		150		2			20072017 (17-1003) Purchasing Cards and Small Purchases
A		HGACState of Texas Purchasing Programs							-		-							2		1		2		1		1		7		200		5		40		1
F		Fuel Purchasing Program				31773000			27468028		3207448		385448		DieselampGas Bdgt-Requests for Board Action has a modification for fuel in the amount 28510000 and 4127000		38735					3		3		2		3		2		13		200		2		100		3			20062012
C		Davis Bacon Compliance							-		-		Fewer Cap Projects						3		2		3		1		3		12		300		3		100		2			2010
O		Materials amp Distribution		2423			5695000			6056753		6056753		361753				75		77		2		A		A		A		A		A		- 0
F		Inventory Management and Control							-		-		MampS Expense (Projected)		21651					2		1		3		3		2		11		300		2		150		2			1987 2016(16-1002) FY2016 Spare Parts Inventory 2017 (17-1002) Maintenance Parts Inventory
F		Fuel amp Lubricant Controls				2822000			3207448		27468028		(4304972)		Diesel Budget		36601					3		2		2		2		2		11		500		2		250		2			20082012
F		Annual Physical and Cyclical Inventories							-		-		FY2014 Inv Balance		24250					3		2		3		3		2		13		450		1		450		3			2014
A		Property Services							-		-		Asset Disposals						2		1		2		2		3		10		400		3		133		2			2007 2015
O		SMALL BUSINESS		2340							-		Frmrly in Business Serv
A		SBEDBE		2341			823000			834530		834530		11530				7		6		(1)		3		2		2		2		2		11		300		3		100		2			2017 (17-1006) DBE Compliance
O		HUMAN RESOURCES		2400							-		Part of FinampAdmin
O		Vice President Human Resources		2410						-		-							A		A		A		A		A		- 0
O		VP Human Resources		2411			628000			636954		636954		8954				2		2		- 0		A		A		A		A		A		- 0
A		Compensation		2444			491000			495980		495980		4980				4		4		- 0		3		1		3		1		1		9		100		5		20		2
O		Human Resources Operations		2430						-		-							A		A		A		A		A		- 0
O		Staffing		2442			1229000			1385642		1385642		156642		Backgrnd Inv Review			12		11		(1)		A		A		A		A		A		- 0							2015
A		Contract and Temporary Labor							-		-							2		2		2		2		1		9		150		3		50		2			200305CR
C		Recruitment Incentive Programs							-		-							3		2		2		2		2		11		150		3		50		2
O		Labor Relations		2440						-		-		Formerly part of Serv Del						A		A		A		A		A		- 0
A		Labor Relations		2461			428000			426121		426121		(1879)				4		4		- 0		3		1		2		2		1		9		150		3		50		2
O		Human Capital Management and Personnel Services		2470						-		-							A		A		A		A		A		- 0
A		HCM and Personnel Services		2441			434000			451356		451356		17356				5		5		- 0		2		3		2		3		2		12		200		3		67		2
O		Benefits Wellness amp Compensation		24502421			55000			75576		75576		20576		Supp Ins Dep Review				3		3		A		A		A		A		A		- 0							2014
A		Wellness Programs		2446			289000			270346		270346		(18654)				2		2		- 0		3		3		2		3		2		13		200		1		200		3
A		Benefits and Pensions		2443			1282000			1283645		1283645		1645		HIPAA Audit			6		7		1		3		3		2		2		3		13		200		2		100		3			2015
A		Union Benefit Trust							-		-		Contributions (2014)		13692					A		A		A		A		A		- 0
A		Non-Union Pension							-		-		Contributions (2014)		8967					A		A		A		A		A		- 0							2008
A		Non-Union Health Insurance							-		-		Cost of Plans (2014)		9478					A		A		A		A		A		- 0
A		Life Insurance							-		-							A		A		A		A		A		- 0
A		Retirees (include wBenefits and Pensions)		2412			13411000			15177705		15177705		1766705							A		A		A		A		A		- 0
O		EEO COMPLIANCE AND DIVERSITY		2480							-		Part of HR in 2015
O		VP EEO Compliance amp Diversity		2014							-		Dir Level in 2015 no VP						A		A		A		A		A		- 0
O		COMPLIANCE EEO EMPLOYEE RELATIONS		2560							-		New org structure in 2011
A		EEO and Employee Relations		2445			719000			761821		761821		42821				5		4		(1)		2		2		2		2		1		9		150		3		50		2
A		EEO		2449			453000			508580		508580		55580				2		4		2		1		1		1		1		1		5		150		5		30		1
							-		-
O		INFORMATION TECHNOLOGY		2280 2451			44507000		8626000		21515539		30141539		(14365461)		Part of FinampAdmin				66		66
O		Disaster Recovery amp Business Continuity							-		-
A		Data Access Security							-		-							2		2		1		3		2		10		300		3		100		2			2008
A		Disaster Recovery Observation							-		-							3		3		3		3		3		15		300		1		300		3			2017
A		Business Recovery Planning							-		-							2		2		2		3		3		12		300		3		100		2			2017
A		Data Center Operations							-		-							2		3		2		3		2		12		200		3		67		2			2009
O		Databases							-		-
A		Data Base Administration							-		-							2		3		3		3		3		14		400		3		133		3			2016
O		Network Management							-		-
A		Firewall Admin amp Controls							-		-							3		3		2		3		2		13		260		2		130		3			2016
A		Incident Intrusion and Emergency Response							-		-							3		3		2		3		2		13		260		2		130		3			2007
A		Wireless Network Security							-		-							3		3		2		3		2		13		260		2		130		3			2007
O		Department Administrative Functions							-		-
A		Help Desk Operations							-		-							2		2		2		2		2		10		300		3		100		2			2009
A		Computer Equipment Disposal Practices							-		-							2		2		2		2		2		10		300		3		100		2			2016
A		HardwareSoftware Standards							-		-							2		2		1		2		2		9		200		3		67		2			2009
A		Remote Access Policies and Security							-		-							2		2		2		2		2		10		150		3		50		2			2009
O		Applications Systems							-		-
A		Enterprise Systems Migration amp Chg Controls							-		-							3		2		3		2		2		12		400		3		133		2			2007
A		Security and Controls							-		-							3		2		3		2		2		12		300		2		150		2			2007
A		SAP Application Maintenance							-		-							3		3		3		2		3		14		300		3		100		3
O		Internet Access Use Controls amp Security							-		-
A		Web Site Management							-		-							3		2		3		2		2		12		250		2		125		2			2010
A		E-business Administration and Controls							-		-							3		2		2		3		2		12		250		2		125		2
A		E-mail Usage Security and Controls							-		-							3		2		2		3		2		12		250		2		125		2			2008
O		Communications Systems							-		-		(50502045121201)
A		VOIP Telephone System Management amp Security							-		-							3		2		3		3		3		14		250		3		83		3			2012
A		Video Surveillance System Man amp Security							-		-							3		2		2		3		3		13		250		2		125		3			2008
A		Radio System Management and Security							-		-							3		2		3		3		3		14		300		3		100		3
O		New Systems Development and Controls							-		-
A		IT Project Management Policies amp Procedures							-		-							2		2		2		2		3		11		400		2		200		2			2011
A		Post Implementation Review							-		-		Q Card review in 2010						2		2		2		2		2		10		200		2		100		2			2010
A		ERP Technical Controls							-		-							2		2		2		2		2		10		400		2		200		2			2010
O		Operating Systems (OS)							-		-
A		UNIX OS Review							-		-							2		3		3		2		3		13		500		3		167		3			2012
A		Windows OS Review							-		-							2		3		3		2		3		13		500		3		167		3			2014
A		Vmware Virtualization OS Review							-		-							2		3		3		2		3		13		500		3		167		3			2014
O		Adherence to Licensing Requirements							-		-
A		SAP Contract Compliance							-		-							2		2		2		2		3		11		200		2		100		2			2017
A		Oracle Contract Compliance							-		-							2		2		2		2		3		11		200		2		100		2			2017
A		Other Licenses							-		-							2		2		2		2		2		10		200		2		100		2			2017
O		Storage							-		-
A		Data Storage							-		-							3		3		3		2		3		14		600		4		150		3			2017
O		Rail IT							-		-
A		SCADA Systems							-		-							3		3		3		3		2		14		300		2		150		3			2011
A		Data Center Operations							-		-							3		3		3		3		2		14		300		2		150		3			2014
							-		-
O		OPS PUB SFTY amp CUST RDRSHP SERVS		2800			1405000					(1405000)		Includes MPD in FY1415
O		EVP Ops Pub SftyampCust Rdrshp Servs		1821			740000			768800		768800		28800		RC frmrly Best Practices			6		5		(1)		A		A		A		A		A		- 0
O		Director of Safety		2810 2812			180000			189445		189445		9445				1			(1)		A		A		A		A		A		- 0
A		Customer and Health Safety		2820283022432245			1309000			1248726		1248726		(60274)				12		11		(1)		3		3		2		2		2		12		300		3		100		2
A		Workplace and Environmental Safety		28402246			569000			642623		642623		73623		No budget in 2015			5		5		- 0		1		1		1		1		1		5		100		3		33		1
A		Drug amp Alcohol Program		2448			611000			630270		630270		19270		FTA area of interest			3		3		- 0		3		3		1		1		2		10		300		3		100		2			2010 2015CR
O		Risk Management		2240						-		-							A		A		A		A		A		- 0							2013
O		Director Risk Management		2241			161000			160688		160688		(312)				1				(1)		A		A		A		A		A		- 0
A		Claims		2242			1116000			1135035		1135035		19035		FEMA Reim Audit			12		13		1		2		2		1		2		2		9		150		3		50		2			2013
A		General Insurance		2244			3852000			3605884		3605884		(246116)				3		3		- 0		2		2		2		2		2		10		150		3		50		2			2003
A		Workers Compensation							-		-		Audited in 2014						2		2		2		1		2		9		150		3		50		2			2014
A		Owner Controlled Iinsurance Program (OCIP)							-		-		True-up in progress						3		3		2		3		2		13		400		3		133		3			20112017 (17-1005) Audit of OCIP
A		Training Design amp Delivery		2850 2247			585000			651220		651220		66220		New org in 2011			3		5		2		3		2		2		1		3		11		300		3		100		2
O		METRO POLICE		1900							-		Part of Safety in FY1415
O		Vice PresidentChief of Police		1910 0911			593000			569954		569954		(23046)				2		4		2		A		A		A		A		A		- 0
O		Management Services		1920 0912 0913			414000			374176		374176		(39824)				4		8		4		A		A		A		A		A		- 0
F		Special Funds - LEOSE amp Seized Property							-		-		STATE REQUIREMENT		30					3		1		1		1		2		8		200		1		200		2			2014
O		Police Field amp Rail Operations		1930						-		-							A		A		A		A		A		- 0
A		Field amp Rail Operations		0934 0966			13646000			15091874		15091874		1445874				144		150		6		3		2		2		3		2		12		300		5		60		2			1998 2007 2016 (16-1006) MPD Administrative Fees
A		System Security K-9 Unit		0936			841000			902038		902038		61038				8		8		- 0		3		2		1		2		2		10		200		5		40		2
A		Motorist Assistance Program		0964			(88000)			53190		53190		141190				8		7		(1)		3		2		1		1		1		8		200		5		40		2
A		HOV-Enforcements		0965			(447000)			383387		383387		830387				25		30		5		3		2		2		1		2		10		300		5		60		2			1998
O		Support Operations		1940						-		-							A		A		A		A		A		- 0							1998
A		Transtar amp Dispatch		0942 0943			1912000			2200654		2200654		288654				19		19		- 0		3		3		3		2		2		13		300		5		60		3
A		Support OperationsampAnti-Terrorism Grant		0932 0935			982000			1416066		1416066		434066				10		14		4		2		2		2		2		2		10		300		5		60		2
A		Investigations		0931			1080000			1435846		1435846		355846		Accident Investigations			11		13		2		3		2		2		2		2		11		300		5		60		2			1998 2007 2016 (16-1003) Bus Accident Investigations
A		Records		0952			301000			441900		441900		140900				6		6		- 0		2		2		2		1		1		8		300		5		60		2			1998
O		Homeland Security(Inactive budget in 0953)		1950						-		-							A		A		A		A		A		- 0
A		Police Homeland Security		0953						-		-		No pers In 2015			0			- 0		3		2		2		1		2		10		300		5		60		2
A		Security BOF(Auditable area no budget or pers)		0933						-		-		No Emp RC in 2013-15			0			- 0		3		3		3		1		3		13		400		2		200		3			2012 2015
A		Emergency Management(No budget or pers)		1960 1961						-		-		No Emp RC in 2012-15			0			- 0		3		2		2		1		2		10		300		3		100		2			2008 2009
S		Special Assistance by Audit - Investigations							-		-		Perform as needed						3		3		2		2		3		13		200		1		200		3			2010
O		CUSTOMER amp RIDERSHIP SERVICES		2530							-		New Dept FY14 (frm Ops)
A		RideStores		2538			696000			653907		653907		(42093)				9		12		3		3		2		3		2		2		12		300		3		100		2			2003 2006
A		Sales		2543			590000			593479		593479		3479		Include wRideStores			5		3		(2)		2		2		2		2		2		10		300		3		100		2
A		Customer Information Center (Customer Care)		2532			3627000			3489725		3489725		(137275)		Partial Audit wComplaints			62		57		(5)		3		2		3		3		2		13		300		3		100		3			2015
							-		-
O		OPERATIONS		1000			91154000		65611000			65611000		(25543000)		TotExp Excluding Fuel		338969
O		Senior VP amp Staff (inc Budget Operations(OMS))		0100 0011 0351			1850000			1469162		1469162		(380838)				7		12		5		A		A		A		A		A		- 0
A		HOT Lanes Operations		1500 1510 2185			8062000			8379468		8379468		317468		New to Ops FY14			1		1		- 0		3		3		2		2		3		13		300		3		100		3			2015
O		Revenue Collection		2290						-		-		New to Ser Del In 2011						A		A		A		A		A		- 0
A		Revenue Agents		2234			820000			887981		887981		67981		Cash Fare Collections			11		11		- 0		3		2		2		2		3		12		300		3		100		2			2009 2017 (17-1001) Cash Fare Collections
O		Bus Transportation (inc Sr Dir Trans GenampSer Logist)		0200003103610322			2775000			4874931		4874931		2099931		Moving Violations Audit			2		2		- 0													2011
A		Bus Operations		0220						-		-		Cust Training Audit			1597				3		2		3		3		2		13		600		2		300		3			2011
O		Fallbrook		011101120113			25050000			24306144		24306144		(743856)				349		349		- 0		A		A		A		A		A		- 0
O		Kashmere (Greenlink added in 2012)		0121012201230124			15750000			17065038		17065038		1315038				216		221		5		A		A		A		A		A		- 0
O		Polk		013101320133			27965000			27300859		27300859		(664141)				348		357		9		A		A		A		A		A		- 0
O		West		014101420143			32898000			33761527		33761527		863527				404		438		34		A		A		A		A		A		- 0
O		Hiram Clarke		0151015201530154			21554000			23379044		23379044		1825044				280		321		41		A		A		A		A		A		- 0
O		Northwest (Contract - see Fac Roll -up Code 1800)		0163			(3248000)				-		3248000				0			- 0		A		A		A		A		A		- 0							2012
A		Service Delivery		0500						-		-		On-Time Perf Review						2		2		3		2		2		11		300		5		60		2			2014
O		Dispatch		0301			1767000			1859803		1859803		92803				17		18		1		A		A		A		A		A		- 0
F		Operator Timekeeping System							-		-		Old legacy system						2		2		2		1		2		9		200		5		40		2			2005 UnC
A		Director of Serv Del And Street Supervisors		0051 0332			3423000			3594559		3594559		171559				30		35		5		3		2		2		3		2		12		300		3		100		2
A		New Service (Was Budget Services in 2011)		030003920393						-		-		No bdgt or pers in 2015			0			- 0		1		1		1		1		1		5		250		2		125		1
O		Transportation Programs		0400						-		-							A		A		A		A		A		- 0
A		METROLift amp Director of Trans Prog		0045 0041			56698000			58450171		58450171		1752171		FTA review in 2013			117		124		7		3		3		3		3		3		15		400		2		200		3			2006 2007
A		Special Events and Contract Services		0470048003710381			330000			322665		322665		(7335)				4		3		(1)		2		1		1		1		1		6		200		5		40		1
A		Rideshare		0460 2537			10995000				-		(10995000)				0			- 0		3		2		2		1		2		10		300		3		100		2
A		Regional Vanpool (0831 = Community Connector)		0460 2539 0831					12034574		12034574		12034574		Lmtd Rev compltd 2014			3		9		6		3		2		2		2		3		12		300		3		100		2			20122014
C		Contracted Services - Northwest BOF		08000811-150821-25			48485000			46163058		46163058		(2321942)		$47mil ann bdgt (NW)		$4mil for NW fuel					3		2		2		3		2		12		400		2		200		2			2012 2015CR
A		METRORail		0600													3		2		3		3		3		14		600		2		300		3			2008
O		Senior Director Rail		610 0061			234000			244607		244607		10607				2		3		1		A		A		A		A		A		- 0
O		Rail Transportation		620 621 622 623 626 627			12352000			12181636		12181636		(170364)		METRORail Cam Aud			149		175		26		A		A		A		A		A		- 0							2015
O		Rail Control Center		0651			3054000			3148729		3148729		94729				27		26		(1)		A		A		A		A		A		- 0
O		SampI Administration and Supervision		0624 0625			676000			690213		690213		14213		New in FY14			7		8		1		A		A		A		A		A		- 0
O		Rail Maintenance		0660-6606810691-93			17903000			18333174		18333174		430174		Includes traction power			134		146		12		A		A		A		A		A		- 0							2013
A		Preventive Maintenance (Bus)		1191 (Admin)			306000			323151		323151		17151		Bus Hub Rev FY13			2		2		- 0		3		2		3		3		2		13		300		1		300		3			20122013
O		Kashmere (Greenlink added in 2012)		1111-1118			11068000			10734424		10734424		(333576)		Greenlink added in 2012			70		73		3		A		A		A		A		A		- 0
O		Polk		1121112211231124			16713000			15617108		15617108		(1095892)				97		98		1		A		A		A		A		A		- 0							1993
O		West		1131113211331134			21994000			20796712		20796712		(1197288)				113		121		8		A		A		A		A		A		- 0
O		Hiram Clarke		11411142114311441145			14524000			13845519		13845519		(678481)				85		84		(1)		A		A		A		A		A		- 0
S		Northwest (Contract - see Fac Roll-up Code 1800)		1151115211531154			(120000)				-		120000							A		A		A		A		A		- 0							2002
O		Fallbrook		1161116211631164			16224000			14955860		14955860		(1268140)				79		93		14		A		A		A		A		A		- 0
O		Buffalo Bayou Maint (Under SuppVeh RC)		1171 1172 1173			1878000			678775		678775		(1199225)				17		21		4		A		A		A		A		A		- 0
A		Central Support amp Manufacturing		1020 1021			399000			404920		404920		5920				4		4		- 0		3		2		3		3		2		13		400		2		200		3
O		Body Shop		1023			2267000			2388704		2388704		121704				27		28		1		A		A		A		A		A		- 0							1996 2016 (16-1005) Audit of Paint Booths
O		Unit Overhaul		1024			1722000			1969444		1969444		247444				32		32		- 0		A		A		A		A		A		- 0							2001
	Unit Overhaul		1025			(244000)					244000							A		A		A		A		A		- 0
O		Heavy Repair		1022			1979000			2005634		2005634		26634				22		24		2		A		A		A		A		A		- 0
O		Brake Shop		1029						-		-		No FY15 PersonnelBdgt			0		0		- 0		A		A		A		A		A		- 0
O		Rebuild Warranty		1026			98000			97500		97500		(500)							A		A		A		A		A		- 0
O		Tire amp Battery Usage							-		-		SpecProjAs needed						A		A		A		A		A		- 0							20012010 2017 (17-1004) Bus Tires Inspection
A		Maintenance Support		1200						-		-		Increasingly Critical						3		2		3		3		2		13		300		3		100		3
O		Quality Assurance		1210 1311			882000			904988		904988		22988				8		9		1		A		A		A		A		A		- 0
O		Warranty		1240 1312			3612000			4475803		4475803		863803		FY2014 Audit			4		4		- 0		A		A		A		A		A		- 0							2014
O		Technical Services amp Advanced Technology		1220 1014 1036			412000			388743		388743		(23257)				2		3		1		A		A		A		A		A		- 0
O		Director Maintenance Support		1280 1381			408000			493025		493025		85025		Fuel Tanker Audit			10		11		1		A		A		A		A		A		- 0							2014
O		Electronic Maintenance (inc fare collampradio maint)		13012322331390			4564000			4760210		4760210		196210		Critical Activity			43		45		2		A		A		A		A		A		- 0							2013
O		Support Vehicle Maintenance (Inc Med Duty Bus)		1351135312501174			4333000			5234060		5234060		901060		Include wMaint Supp			25		26		1		A		A		A		A		A		- 0							2003 07CR
O		Support Vehicle		1354			416000			246395		246395		(169605)							A		A		A		A		A		- 0
	Maintenance General		1361			5213000			5744855		5744855		531855							A		A		A		A		A		- 0
O		Maintenance Training (MEAD)		17201321			377000				-		(377000)		No FY15 Bdgt Or Pers						A		A		A		A		A		- 0							1996
A		Transportation Training		1700 1710 0331			2085000			2186942		2186942		101942		New cust Svc Focus			16		18		2		3		2		1		2		2		10		120		5		24		2			1995
							-		-
O		PLANNING ENGINEERING CONST amp REAL EST		2180			113640000		90591000			90591000		(23049000)
O		SVP Capital Programs		2020 2021						-		-				0			- 0		A		A		A		A		A		- 0
O		Capital Projects		(2180)						-		-				22			(22)		A		A		A		A		A		- 0
A		Document Control		2151						-		-				0			- 0		3		2		2		1		2		10		210		3		70		2
A		Engineering Support Services		2161			93000			556421		556421		463421				13		9		(4)		3		2		1		1		2		9		210		3		70		2
A		Capital Projects		2181			(16000)			42086		42086		58086		$23mil non-rail Cap Bdgt			2		2		- 0		2		2		2		2		2		10		200		5		40		2
A		Bus Infrastructure		2182						-		-		No Emp RC FY12-15			0			- 0		2		2		2		1		2		9		200		5		40		2
A		Project Administration and Management		2183 2184			(113000)			(29074)		(29074)		83926		New in 2011			7		5		(2)		2		2		2		2		2		10		200		5		40		2
A		EngStandards Buff Bayou Mods		9A08 9A09						-		-		New in 2012						3		3		3		2		2		13		300		3		100		3
O		State of Good Repair		2150						-		-		New in 2012						A		A		A		A		A		- 0
A		State of Good Repair		2152						-		-		New in 2012						3		3		2		1		2		11		300		3		100		2
O		Rail Construction		2100 2110 2140						-		-		Consent Agmt Review			7			(7)		A		A		A		A		A		- 0							2014
A		University Corridor		2081						-		-				0			- 0		2		2		2		1		1		8		210		3		70		2
A		4 Light Rail Lines Expansion		2171			(150000)			(13171)		(13171)		136829		$173mil Cap Bdgt			7		6		(1)		3		2		2		2		2		11		210		3		70		2
O		METRO Rail Construction Non-Capital		2040						-		-							A		A		A		A		A		- 0
A		Cap Prog Coor amp Rpt (Inactive)		2433						-		-		New name FY15			0			- 0		3		2		2		1		2		10		210		3		70		2
O		METRO Rail Expansion Integration amp Control		2110 2070						-		-				8			(8)		A		A		A		A		A		- 0
A		Program Integration amp Controls		2111 2121			(134000)			(93508)		(93508)		40492		SrDir Reports to CAO			8		6		(2)		3		2		2		1		2		10		210		3		70		2
A		Rail Vehicles		2153						-		-		Waiver Request Rev						3		3		2		1		2		11		210		3		70		2			2014
O		PLANNING		2190				9858000			9858000		9858000		Structure modified in FY14
O		SVP Planning		2191			317000			319812		319812		2812		New in 2011			2		2		- 0		A		A		A		A		A		- 0
O		Planning amp Scheduling		2050						-		-				29			(29)		A		A		A		A		A		- 0
A		System Planning amp Development		2031			16483000			3783057		3783057		(12699943)				11		9		(2)		3		3		1		2		2		11		210		3		70		2
A		Service Planning amp Development		2052			1676000			1258682		1258682		(417318)		Alternative Ser Delivery			9		10		1		2		2		3		2		2		11		210		3		70		2			2012
A		System Reimagining		1811						-		-		Frmrly Best Practices No employees and project complete			2			(2)		3		3		3		2		3		14		210		3		70		3
A		Scheduling		0321			853000			884171		884171		31171				7		8		1		3		2		3		2		2		12		210		3		70		2
A		US 90A Rail Livable Centers ConsortUniv Line		9A06 9A07 9A11						-		-		U Line New in FY14						2		1		1		1		2		7		300		3		100		1
O		FACILITY MAINTENANCE		1300			15255000		507000			507000		(14748000)		Formerly part of CAO
A		Facility Maint Admin amp Contracts		131013411346			3979000			4023276		4023276		44276				13		12		(1)		3		2		2		2		2		11		400		3		133		2
O		Facility Maintenance Programs		1320						-		-							A		A		A		A		A		- 0
A		Facility Maint NW Buff Bay amp ProgOp		1335 13371342			1598000			1714566		1714566		116566				8		15		7		2		2		2		2		2		10		300		3		100		2
A		SuptFacility Maint		1338						-		-		New in 2012			0			- 0		2		2		1		1		2		8		200		5		40		2
A		Facility Maint Headquarters		1349			2873000			3033079		3033079		160079				8		7		(1)		2		2		2		2		2		10		300		5		60		2			2007
O		Public Facilities		1330						-		-							A		A		A		A		A		- 0
A		Public Facility amp Public Facility Admin		1339 1343			7612000			7670039		7670039		58039		Bus Shelter Audit			58		57		(1)		3		2		2		3		2		12		300		3		100		2			2011
A		Public Facility Rail		1348			4497000			4097093		4097093		(399907)				39		39		- 0		3		2		2		3		2		12		300		3		100		2
O		BOF Env Serv amp Proj Management		13401380						-		-							A		A		A		A		A		- 0
A		BOF Env Serv amp Proj Management		1331-3413361344-45			6945000			6666939		6666939		(278061)				40		34		(6)		3		2		2		3		2		12		300		3		100		2
A		Fac Maint Rail		1347			1928000			1754811		1754811		(173189)		Higher risk after rail expans			9		10		1		3		2		2		2		2		11		300		3		100		2
O		REAL ESTATE amp PROPERTY MANAGEMENT		2550								Formerly in Legal
A		Real Estate		2131			463000			435274		435274		(27726)		Appraisal Process Aud			5		1		(4)		3		3		2		2		3		13		300		3		100		3			2015
			Total			178221000		593645668		771866668
				83997800000
	Note A - Assessed at the ActivityOrganization Level																ANNUAL SCHEDULED HOURS							17415
	- Scheduled for 4th qtr of FY17																STAFF REQUIREMENTS							109
	- Annual budget figures adjusted
	or estimated where appropriate			total		83997800000									3969
	to reflect organizational or			From PY		80538300000								Check Figure from Head Count Report		3969				EDP PORTION OF ABOVE								0
	operating changes			difference		3459500000									0				EDP STAFF REQURIEMENTS								00
															TOTAL UNSCHEDULED ANNUAL HOURS								0
															TOTAL SCHEDULED amp UNSCHEDULED								0
															STAFF REQUIREMENTS IF ALL
															AUDITS SCHEDULED								000

2

Cost Price Analysis 72

Special Projects 7

Buy America Pre Award amp Post Delivery 15

Internal FunctionsIT 13

Audit Department has issued 107 Audit Reports during FY2019 as of August 31 2019

Contracts (87 Audit Reports)bull 72 CostPrice Analysis Audits (supporting 10 contracts totaling $25850082)bull 13 Buy America Post Delivery Audits (supporting 74 buses totaling

$36399427)bull 2 Buy America Pre-Award Audit (supporting 2 contracts totaling $24544973

for 20 Buses)

3

$342540 (4)

$10677220 (20)

$24569237 (49)

$810430 (1)0

10

20

30

40

50

Wheelchair Lift EquippedVehicles

40 Foot CNG Buses 45 Foot Diesel Commuter Buses 60 Foot BRT Transit Buses

Aud

it C

ompl

eted

Types of Vehicles Audited

Internal FunctionsInformation Technology (20 Audit Reports)bull 13 Audit Reportsbull 7 Special ProjectsReviews (Safety Recommendations Lighthouse)

Monthly Corrective Action Compliancebull 35 Previously Identified Audit Recommendations Implemented bull 25 Newly Identified Audit Recommendations

4

Operations 9

Regulatory Compliance

3Information Technology

1

Policy amp Controls 12

Types of Recommendations

Collaborationsbull Participated in round table discussions with other local and state audit leadership

to discuss emerging audit risks and department challengesbull Working with Transit Agencies in Texas to leverage cumulative audit knowledge

and experiencebull Participating on a project for identifying standard transit risks for finance

operations and compliance through APTA with participating Agencies across the US

5

6

bull FY2020 Proposed Audit Plan based on Annual Risk Assessmentbull Risk Assessment based on 5 variables assigned a risk score of 1 -3 each (1=Low 2=Med 3=High)

based on cumulative audit knowledge and experience

Internal Functions - 16

Total Org Units containing a total of 214 Auditable

Areas

Organizational Unit Score Evaluation

High Risk (12-15)Med Risk (8-11) Low Risk (5-7)

Risk Map

7 8 9

- 5 6

13 14 15

10 11 12

Audit Universe

Risk Assessment

Recap

ampZampF

John M GarciaUsed the Original Budget Number (Column O) from the FY2017 Budget By RC Code for the Operating Column

Garrett Brownadded 1174 in 2017

Garrett Brownadded 1361 in 2017

Garrett Brownlisted as Rc code 1600 on 2016 budget

Garrett Brownadded from 2016 budget

Garrett Brown2016 rc code 2000

John M GarciaSource - Fuel Taxes Budget for FY17 the total is comprised of Gasoline 3207448Diesel Fuel 24260580Fuel and Lub Taxes 2649280

John M GarciaSource Document - Fuel Taxes Budget for FY17 3207 = Gasoline acct 526020

John M GarciaDid this department get eliminated

Reconciliation

Heat Map

Sheet1

Sheet2

Sheet3

Sheet4

METROrsquos Organizational Units (not including IT)

bull Thirteen audits proposed for FY2020 including audits of Regional Van Pool Program Support Vehicle Usage and Rail Safety Security and Customer Experience The Audit Plan does incorporate the Agencyrsquos Annual Business Plan Goals as part of the risk assessment when selecting audits

7

0 10 20 30 40

EXECUTIVE amp BOARDLEGALAUDIT

ADMINISTRATIONFINANCE

HUMAN RESOURCESEEO amp COMPLIANCEEMPLOYEE BENEFITS

OPS PUB SFTY amp CUSTOMERMETRO POLICE

NON-RAIL OPERATIONSMETRORail

ENGINEERINGPLANNING

FACILITIES MAINTENANCE

1 4 4

2 8

9 2

3 6

18 24

33 8 8

11 Number of Auditable Areas

Risk Map

Support Vehicle Usage

Compliance

Regional Van Pool Program

Rail Safety amp Security

Recap

ampZampF

John M GarciaUsed the Original Budget Number (Column O) from the FY2017 Budget By RC Code for the Operating Column

Garrett Brownadded 1174 in 2017

Garrett Brownadded 1361 in 2017

Garrett Brownlisted as Rc code 1600 on 2016 budget

Garrett Brownadded from 2016 budget

Garrett Brown2016 rc code 2000

John M GarciaSource - Fuel Taxes Budget for FY17 the total is comprised of Gasoline 3207448Diesel Fuel 24260580Fuel and Lub Taxes 2649280

John M GarciaSource Document - Fuel Taxes Budget for FY17 3207 = Gasoline acct 526020

John M GarciaDid this department get eliminated

Reconciliation

Heat Map

Auditable Organizations

Heat Map 2

Sheet3

Sheet4

8

Risk Map

During FY2020 IT Audit will collaborate with Information Technology and have a Risk Assessment performed by 3rd Party IT Consultants to update the Areas of Focus and Auditable Areas

Since 2012 - Information Technology had 11 Areas of Focus with 61 Auditable Areas resulting in 19 Audit Reports

IT Risk Assessment and Updated Auditable Areas

FY2020 - Risk Assessment

Wireless Network

Disaster Recovery

Recap

ampZampF

John M GarciaUsed the Original Budget Number (Column O) from the FY2017 Budget By RC Code for the Operating Column

Garrett Brownadded 1174 in 2017

Garrett Brownadded 1361 in 2017

Garrett Brownlisted as Rc code 1600 on 2016 budget

Garrett Brownadded from 2016 budget

Garrett Brown2016 rc code 2000

John M GarciaSource - Fuel Taxes Budget for FY17 the total is comprised of Gasoline 3207448Diesel Fuel 24260580Fuel and Lub Taxes 2649280

John M GarciaSource Document - Fuel Taxes Budget for FY17 3207 = Gasoline acct 526020

John M GarciaDid this department get eliminated

Reconciliation

Heat Map

Auditable Organizations

Heat Map 2

Sheet3

Sheet4

bull Buy America (Pre-Award and Post Delivery) 60 Foot Articulated BRT Vehicles 40 Foot CNG Buses 45 Foot Clean Diesel Wheelchair Lift-Equipped Vehicles

bull CostPrice Analysis covers a variety of areas such as Environmental Engineering General Planning Consultant Transportation Consulting Construction Management Surveying Services Contract Modifications

9

Auditable Procurement Activities

Buy America Pre -Award and Post-Delivery

CostPrice Analysis

Risk Map

Recap

ampZampF

John M GarciaUsed the Original Budget Number (Column O) from the FY2017 Budget By RC Code for the Operating Column

Garrett Brownadded 1174 in 2017

Garrett Brownadded 1361 in 2017

Garrett Brownlisted as Rc code 1600 on 2016 budget

Garrett Brownadded from 2016 budget

Garrett Brown2016 rc code 2000

John M GarciaSource - Fuel Taxes Budget for FY17 the total is comprised of Gasoline 3207448Diesel Fuel 24260580Fuel and Lub Taxes 2649280

John M GarciaSource Document - Fuel Taxes Budget for FY17 3207 = Gasoline acct 526020

John M GarciaDid this department get eliminated

Reconciliation

Heat Map

Auditable Organizations

Heat Map 2

Sheet3

Sheet4

10

QuestionsComments

• Metropolitan Transit Authority of Harris County
• Audit Department Highlightsndash Fiscal Year 2019
• Audit Department Highlightsndash Fiscal Year 2019 (Contracts)
• Audit Department Highlightsndash Fiscal Year 2019 (Internal FunctionsIT)
• Audit Department Highlightsndash Fiscal Year 2019
• Audit Department ndash Risk Assessment Highlights
• Audit Department ndash Internal Functions
• Audit Department ndash Information Technology
• Audit Department ndash Contracts Group
• Audit Department ndash Proposed Audit Work Plan

	Organizational Units		Auditable Units
	Executive amp Baord		1
	Legal		4

		13		14		15
		10		11		12
		7		8		9
		-		5		6

	Reconciliation of Risk Assessment Values reviewed Audit obtained the FY2017 Budget amounts from accounting and used these amount to prepare a risk assessment The following is a reconciliation of the amounts reviewed in the Risk Assessment
			Capital Budget Amount
		Risk Assessment Amount Reviewed		178221000
		Budget Amount		178221
		Difference		178042779
			Operating Budget
		Risk Assessment Amount Reviewed		593645668
		Budget Amount		568071000
		Difference		25574668
		Adjustments		2600806		Non-Departmental A
			2500000		Contingency - President amp CEO B
		Remaining Difference		30675474		rounding differences
	Notes
	A		The Non-Departmental amount from the budget was not included in the Risk Assessment as this amount was a contingency for the COLA adjustment expected to be approved during the 2017 Fiscal Year
	B		The Contingency - President amp CEO amount from the budget was not included in the Risk Assessment as the amount was an actual contingency for unknown or potential issues which might effect METRO during the 2017 fiscal year

																		KEY
	Risk Assessment as of JUNE 2017																		Audit Type (Internal Designations not Yellow Book)
																		F = Financial						O = ORGANIZATION
																		P = Performance						S = Special Project
																		C = Compliance						A = Activity
Audit				RESPONSIBILITY		Responsibility Code or Account (SAP - New Codes)		FY2016 Budget		FY2017 BUDGET (000 omitted)				Delta				STAFF SIZE			Delta		RISK ASSESSMENT							AUDIT BUDGET						LAST YEAR
Type		ORGANIZATIONAL UNIT ACTIVITY OR			CODE OR								OTHER CONSIDERATIONS						1		2		3		4		5		Total		Estimated Hours		FRQ		ANNUAL HOURS		RISK			AUDITED
Code		PROJECT DESCRIPTION			ACCOUNT (ORACLE)			Total		CAPITAL		OPERATING		TOTAL		(Less) More		DESCRIPTION		VALUE (000)		FY16 (Actual)		FY17 (Actual)		(Less) More			Control Environment		Technology		Size		Organization				YRS					( Partial)
O		EXECUTIVE amp BOARD		1		2300 2320				3028000			3028000		3028000		Cap Is Unallocated Cap
O		President amp Chief Executive OfficerBoard			2310 11 12 13 21			1901000			2124896		2124896		223896				8		7		(1)		A		A		A		A		A		- 0
S		Board Service Requests								-		-		highest priority						3		3		3		1		3		13		150		1		150		3
S		President amp Chief Executive Officer Requests								-		-		highest priority						3		3		3		1		3		13		150		1		150		3
S		Office of Executive Vice PresidentStrategic Partnering			2011						-		-				0				2		1		1		1		1		6		200		5		40		1
A		Press Office			2371			641000			858422		858422		217422		Social Media Issues			5		8		3		3		3		3		1		1		11		200		5		40		2
A		Office of Innovation			2511					631181		631181		631181					3		3		A		A		A		A		A		- 0
O		GOVERNMENT amp PUBLIC AFFAIRS			2520							-				38
A		Government Affairs			2352			667000			380831		380831		(286169)		Form Part of ExecBoard			4		3		(1)		3		2		2		2		1		10		400		3		133		2
O		CORPORATE COMMUNICATIONS amp MARKETING			2580							-		Formerly part of CAO			22
A		Print Shop and Admin Services			2431 2432			1944000			1960212		1960212		16212				8		10		2		2		1		1		2		2		8		200		5		40		2			1988
A		Media amp Corporate Communications			2581			500000			521510		521510		21510				4		3		(1)		3		1		1		1		1		7		100		5		20		1
A		Marketing			2531			4716000			5440929		5440929		724929				10		12		2		2		1		2		2		1		8		300		5		60		2
O		Public Engagement			2010						-		-		Formerly part of Planning			6			(6)
A		Community Outreach			2521			682000			866624		866624		184624		Involves Rail Expansion			6		26		20		3		2		1		2		2		10		200		5		40		2
A		Interagency Dir Of Pub Engagement			25222523						-		-		Form Part of Planning		No bdgtpers		0			- 0		1		1		1		1		1		5		200		5		40		1
O		Stakeholder Affairs			2060						-		-		Formerly part of Planning			6			(6)		A		A		A		A		A		- 0
A		Stakeholder Affairs			20122524			450000			534409		534409		84409		Form Part of Cap Prog			6			(6)		3		2		1		1		2		9		210		3		70		2			2011
								-		-
A		LEGALSTAFF COUNSELCORPORATE DEVELOPMENT			2350 51			3505000			3955580		3955580		450580				17		15			3		1		1		2		1		8		200		5		40		2
F		Legal Fees		1							-		-							2		1		1		1		1		6		200		5		40		1			2008
S		Attorney Work Requests		1							-		-							3		3		2		1		1		10		200		5		40		2
S		Special Assistance		1							-		-							3		3		2		1		1		10		200		5		40		2
A		Records Management		1		2013			304000			230439		230439		(73561)		Formerly in EEOCompDiv			3		2		(1)		3		3		2		1		2		11		300		3		100		2
								-		-
O		AUDIT			2330 2331			1505000			1534340		1534340		29340				11		11
A		Internal Quality Assurance Review		1							-		-													200		1		200				ON-GOING
A		External Quality Assurance Review		1							-		-		Yellow Book Req												100		3		33				2014
A		External Auditor Assistance								-		-													50		1		50		1			ON-GOING
C		Follow-UpCompliance Reviews								-		-													450		1		450				ON-GOING
A		Application Systems Audit Support								-		-													200		1		200		2			ON-GOING
C		Capital Projects QAQC Programs			Contract Oversight						-		-		FTA REQUIREMENT						3		2		2		1		2		10		200		1		200		2			ON-GOING
P		Review of Performance Measures								-		-							2		2		1		1		1		7		1000		5		200		1			2006
C		State Audit Compliance Review		1							-		-							3		3		3		1		3		13		200		1		200		3			2009 2016(16-1001) Statutory Compliance
C		FTA Audit Compliance Reviews		1							-		-							3		3		3		1		3		13		200		1		200		3			ON-GOING
								-		-
O		FINANCE amp ADMINISTRATION (Frmrly CAO)		1		2500 1610			313000				-		(313000)		AmtsEmps exclude IT
O		EVP Finance amp Administration		1		1611			822000			624447		624447		(197553)				2		3		1		A		A		A		A		A		- 0
O		FINANCE DEPARTMENT		1		2200						-		-
O		Vice PresidentChief Financial Officer			2210 2211			10000			718916		718916		708916				0		2		2		A		A		A		A		A		- 0
O		AccountingController			2220 2221			3250000			3740872		3740872		490872				28		28		- 0		A		A		A		A		A		- 0
O		General Accounting								-		-							A		A		A		A		A		- 0
F		General Ledger								-		-							3		2		3		2		2		12		300		3		100		2			2001
F		Accounts Receivable								-		-							3		2		3		2		2		12		300		3		100		2			2004
O		Grants Accounting (Audit with Grants Admin)								-		-							A		A		A		A		A		- 0							2004
O		Accounting								-		-							A		A		A		A		A		- 0
F		Fixed Assets								-		-		Net Cap Assets (Proj)		3200000					3		2		3		2		2		12		300		3		100		2			200307CR
F		Payroll								-		-		LaborBnfts (Budget)		301554					2		3		3		2		2		12		300		3		100		2			1998 2007
A		Payroll Payment Verification (ghost emps)								-		-		Payroll Ver Aud FY14						2		2		2		2		2		10		200		5		40		2			20032014
A		Accounts Payable								-		-		PAYMENTS (20101010)						3		2		3		2		2		12		300		3		100		2			2007 (CR)
F		Travel Expenses								-		-		(5090201-4)						2		1		1		1		2		7		200		5		40		1			1988
C		External Audit Mgt Ltr Compliance								-		-		Priority as required						3		3		3		1		3		13		100		1		100		3			2012
F		Audit Fees								-		-		(5030302)						2		1		1		1		1		6		80		5		16		1
F		Cost Allocation Plan								-		-							2		2		1		1		1		7		250		5		50		1			2005
O		Treasury Services			2230						-		-		Includes RevSrv			33			(33)		A		A		A		A		A		- 0
O		Director Treasury Services			2231						-		-				6			(6)		A		A		A		A		A		- 0
A		Financial Planning amp Investments								-		-		Investments (2014)		415021					3		3		2		3		3		14		200		2		100		3			2010 2016 (16-1004) Financial Planning amp Investments
O		Treasury Office Operations								-		-							A		A		A		A		A		- 0							2000
F		Sales Tax Revenue(audit with Distributions)								-		-		Sales Tax (Projected)		706241					3		2		2		3		2		12		200		2		100		2			2009
F		Sales Tax Revenue Distributions								-		-		Distributions(est Gen Mob)		173019					3		2		2		3		2		12		100		2		50		2			2009
F		Other Revenues								-		-		Projected FY2015		$108 mil					3		2		1		2		2		10		90		3		30		2
F		Petty Cash								-		-		Disbursements						3		1		1		1		3		9		90		3		30		2			2002
F		Pension Funds (Audited by outside auditors)								-		-		Funds						2		1		2		1		1		7		300		5		60		1			1995
A		Revenue Services		1		2212						-		-		Under OMB Mgmt						3		3		3		2		3		14		300		3		100		3
A		Ticket amp Fare Collection		1		2232			3514000			3037608		3037608		(476392)				27		26		(1)		3		3		3		2		3		14		300		2		150		3			2001 2009
A		Revenue Management		1		2235						-		-		Include wFare Collection						2		2		3		2		2		11		300		3		100		2
A		Grants (Includes Grant Accounting)		1		2250 2353			536000			528174		528174		(7826)		GRANTS INCOME(Bdgt)		196386		4		4		- 0		3		2		3		3		3		14		300		3		100		3			2010 2013
A		New Freedom JARC		1		9A03 9A04						-		-		New 2012 Inc wGrants						A		A		A		A		A		- 0
O		Office of Management amp Budget		1		2260						-		-		low audit priority			10			(10)		A		A		A		A		A		- 0
A		Office of Management amp Budget		1		2361			1887000			2267912		2267912		380912				10		14		4		2		1		2		2		2		9		150		5		30		2
O		PROCUREMENT amp MATERIALS			2460							-		ProcampMat Only(exSBE)
A		Procurement			2422			3661000			3689787		3689787		28787		IT ProcampHRT Auds 14			32		34		2		3		2		2		3		2		12		400		2		200		2			20092014
F		Purchase Card Activity								-		-		Recent Pcard Purch Range		$32 milyr					3		3		1		3		2		12		300		2		150		2			20072017 (17-1003) Purchasing Cards and Small Purchases
A		HGACState of Texas Purchasing Programs								-		-							2		1		2		1		1		7		200		5		40		1
F		Fuel Purchasing Program					31773000			27468028		3207448		385448		DieselampGas Bdgt-Requests for Board Action has a modification for fuel in the amount 28510000 and 4127000		38735					3		3		2		3		2		13		200		2		100		3			20062012
C		Davis Bacon Compliance								-		-		Fewer Cap Projects						3		2		3		1		3		12		300		3		100		2			2010
O		Materials amp Distribution			2423			5695000			6056753		6056753		361753				75		77		2		A		A		A		A		A		- 0
F		Inventory Management and Control								-		-		MampS Expense (Projected)		21651					2		1		3		3		2		11		300		2		150		2			1987 2016(16-1002) FY2016 Spare Parts Inventory 2017 (17-1002) Maintenance Parts Inventory
F		Fuel amp Lubricant Controls					2822000			3207448		27468028		(4304972)		Diesel Budget		36601					3		2		2		2		2		11		500		2		250		2			20082012
F		Annual Physical and Cyclical Inventories								-		-		FY2014 Inv Balance		24250					3		2		3		3		2		13		450		1		450		3			2014
A		Property Services								-		-		Asset Disposals						2		1		2		2		3		10		400		3		133		2			2007 2015
O		SMALL BUSINESS			2340							-		Frmrly in Business Serv
A		SBEDBE			2341			823000			834530		834530		11530				7		6		(1)		3		2		2		2		2		11		300		3		100		2			2017 (17-1006) DBE Compliance
O		HUMAN RESOURCES		1		2400							-		Part of FinampAdmin
O		Vice President Human Resources			2410						-		-							A		A		A		A		A		- 0
O		VP Human Resources			2411			628000			636954		636954		8954				2		2		- 0		A		A		A		A		A		- 0
A		Compensation			2444			491000			495980		495980		4980				4		4		- 0		3		1		3		1		1		9		100		5		20		2
O		Human Resources Operations			2430						-		-							A		A		A		A		A		- 0
O		Staffing			2442			1229000			1385642		1385642		156642		Backgrnd Inv Review			12		11		(1)		A		A		A		A		A		- 0							2015
A		Contract and Temporary Labor								-		-							2		2		2		2		1		9		150		3		50		2			200305CR
C		Recruitment Incentive Programs								-		-							3		2		2		2		2		11		150		3		50		2
O		Labor Relations			2440						-		-		Formerly part of Serv Del						A		A		A		A		A		- 0
A		Labor Relations			2461			428000			426121		426121		(1879)				4		4		- 0		3		1		2		2		1		9		150		3		50		2
O		Human Capital Management and Personnel Services			2470						-		-							A		A		A		A		A		- 0
A		HCM and Personnel Services			2441			434000			451356		451356		17356				5		5		- 0		2		3		2		3		2		12		200		3		67		2
O		Benefits Wellness amp Compensation		1		24502421			55000			75576		75576		20576		Supp Ins Dep Review				3		3		A		A		A		A		A		- 0							2014
A		Wellness Programs		1		2446			289000			270346		270346		(18654)				2		2		- 0		3		3		2		3		2		13		200		1		200		3
A		Benefits and Pensions		1		2443			1282000			1283645		1283645		1645		HIPAA Audit			6		7		1		3		3		2		2		3		13		200		2		100		3			2015
A		Union Benefit Trust		1							-		-		Contributions (2014)		13692					A		A		A		A		A		- 0
A		Non-Union Pension		1							-		-		Contributions (2014)		8967					A		A		A		A		A		- 0							2008
A		Non-Union Health Insurance		1							-		-		Cost of Plans (2014)		9478					A		A		A		A		A		- 0
A		Life Insurance		1							-		-							A		A		A		A		A		- 0
A		Retirees (include wBenefits and Pensions)		1		2412			13411000			15177705		15177705		1766705							A		A		A		A		A		- 0
O		EEO COMPLIANCE AND DIVERSITY		1		2480							-		Part of HR in 2015
O		VP EEO Compliance amp Diversity		1		2014							-		Dir Level in 2015 no VP						A		A		A		A		A		- 0
O		COMPLIANCE EEO EMPLOYEE RELATIONS		1		2560							-		New org structure in 2011
A		EEO and Employee Relations		1		2445			719000			761821		761821		42821				5		4		(1)		2		2		2		2		1		9		150		3		50		2
A		EEO		1		2449			453000			508580		508580		55580				2		4		2		1		1		1		1		1		5		150		5		30		1
								-		-
O		INFORMATION TECHNOLOGY			2280 2451			44507000		8626000		21515539		30141539		(14365461)		Part of FinampAdmin				66		66
O		Disaster Recovery amp Business Continuity								-		-
A		Data Access Security								-		-							2		2		1		3		2		10		300		3		100		2			2008
A		Disaster Recovery Observation								-		-							3		3		3		3		3		15		300		1		300		3			2017
A		Business Recovery Planning								-		-							2		2		2		3		3		12		300		3		100		2			2017
A		Data Center Operations								-		-							2		3		2		3		2		12		200		3		67		2			2009
O		Databases								-		-
A		Data Base Administration								-		-							2		3		3		3		3		14		400		3		133		3			2016
O		Network Management								-		-
A		Firewall Admin amp Controls								-		-							3		3		2		3		2		13		260		2		130		3			2016
A		Incident Intrusion and Emergency Response								-		-							3		3		2		3		2		13		260		2		130		3			2007
A		Wireless Network Security								-		-							3		3		2		3		2		13		260		2		130		3			2007
O		Department Administrative Functions								-		-
A		Help Desk Operations								-		-							2		2		2		2		2		10		300		3		100		2			2009
A		Computer Equipment Disposal Practices								-		-							2		2		2		2		2		10		300		3		100		2			2016
A		HardwareSoftware Standards								-		-							2		2		1		2		2		9		200		3		67		2			2009
A		Remote Access Policies and Security								-		-							2		2		2		2		2		10		150		3		50		2			2009
O		Applications Systems								-		-
A		Enterprise Systems Migration amp Chg Controls								-		-							3		2		3		2		2		12		400		3		133		2			2007
A		Security and Controls								-		-							3		2		3		2		2		12		300		2		150		2			2007
A		SAP Application Maintenance								-		-							3		3		3		2		3		14		300		3		100		3
O		Internet Access Use Controls amp Security								-		-
A		Web Site Management								-		-							3		2		3		2		2		12		250		2		125		2			2010
A		E-business Administration and Controls								-		-							3		2		2		3		2		12		250		2		125		2
A		E-mail Usage Security and Controls								-		-							3		2		2		3		2		12		250		2		125		2			2008
O		Communications Systems								-		-		(50502045121201)
A		VOIP Telephone System Management amp Security								-		-							3		2		3		3		3		14		250		3		83		3			2012
A		Video Surveillance System Man amp Security								-		-							3		2		2		3		3		13		250		2		125		3			2008
A		Radio System Management and Security								-		-							3		2		3		3		3		14		300		3		100		3
O		New Systems Development and Controls								-		-
A		IT Project Management Policies amp Procedures								-		-							2		2		2		2		3		11		400		2		200		2			2011
A		Post Implementation Review								-		-		Q Card review in 2010						2		2		2		2		2		10		200		2		100		2			2010
A		ERP Technical Controls								-		-							2		2		2		2		2		10		400		2		200		2			2010
O		Operating Systems (OS)								-		-
A		UNIX OS Review								-		-							2		3		3		2		3		13		500		3		167		3			2012
A		Windows OS Review								-		-							2		3		3		2		3		13		500		3		167		3			2014
A		Vmware Virtualization OS Review								-		-							2		3		3		2		3		13		500		3		167		3			2014
O		Adherence to Licensing Requirements								-		-
A		SAP Contract Compliance								-		-							2		2		2		2		3		11		200		2		100		2			2017
A		Oracle Contract Compliance								-		-							2		2		2		2		3		11		200		2		100		2			2017
A		Other Licenses								-		-							2		2		2		2		2		10		200		2		100		2			2017
O		Storage								-		-
A		Data Storage								-		-							3		3		3		2		3		14		600		4		150		3			2017
O		Rail IT								-		-
A		SCADA Systems								-		-							3		3		3		3		2		14		300		2		150		3			2011
A		Data Center Operations								-		-							3		3		3		3		2		14		300		2		150		3			2014
								-		-
O		OPS PUB SFTY amp CUST RDRSHP SERVS		1		2800			1405000					(1405000)		Includes MPD in FY1415
O		EVP Ops Pub SftyampCust Rdrshp Servs		1		1821			740000			768800		768800		28800		RC frmrly Best Practices			6		5		(1)		A		A		A		A		A		- 0
O		Director of Safety		1		2810 2812			180000			189445		189445		9445				1			(1)		A		A		A		A		A		- 0
A		Customer and Health Safety		1		2820283022432245			1309000			1248726		1248726		(60274)				12		11		(1)		3		3		2		2		2		12		300		3		100		2
A		Workplace and Environmental Safety		1		28402246			569000			642623		642623		73623		No budget in 2015			5		5		- 0		1		1		1		1		1		5		100		3		33		1
A		Drug amp Alcohol Program		1		2448			611000			630270		630270		19270		FTA area of interest			3		3		- 0		3		3		1		1		2		10		300		3		100		2			2010 2015CR
O		Risk Management			2240						-		-							A		A		A		A		A		- 0							2013
O		Director Risk Management			2241			161000			160688		160688		(312)				1				(1)		A		A		A		A		A		- 0
A		Claims			2242			1116000			1135035		1135035		19035		FEMA Reim Audit			12		13		1		2		2		1		2		2		9		150		3		50		2			2013
A		General Insurance			2244			3852000			3605884		3605884		(246116)				3		3		- 0		2		2		2		2		2		10		150		3		50		2			2003
A		Workers Compensation								-		-		Audited in 2014						2		2		2		1		2		9		150		3		50		2			2014
A		Owner Controlled Iinsurance Program (OCIP)								-		-		True-up in progress						3		3		2		3		2		13		400		3		133		3			20112017 (17-1005) Audit of OCIP
A		Training Design amp Delivery			2850 2247			585000			651220		651220		66220		New org in 2011			3		5		2		3		2		2		1		3		11		300		3		100		2
O		METRO POLICE		1		1900							-		Part of Safety in FY1415
O		Vice PresidentChief of Police		1		1910 0911			593000			569954		569954		(23046)				2		4		2		A		A		A		A		A		- 0
O		Management Services		1		1920 0912 0913			414000			374176		374176		(39824)				4		8		4		A		A		A		A		A		- 0
F		Special Funds - LEOSE amp Seized Property		1							-		-		STATE REQUIREMENT		30					3		1		1		1		2		8		200		1		200		2			2014
O		Police Field amp Rail Operations		1		1930						-		-							A		A		A		A		A		- 0
A		Field amp Rail Operations		1		0934 0966			13646000			15091874		15091874		1445874				144		150		6		3		2		2		3		2		12		300		5		60		2			1998 2007 2016 (16-1006) MPD Administrative Fees
A		System Security K-9 Unit		1		0936			841000			902038		902038		61038				8		8		- 0		3		2		1		2		2		10		200		5		40		2
A		Motorist Assistance Program		1		0964			(88000)			53190		53190		141190				8		7		(1)		3		2		1		1		1		8		200		5		40		2
A		HOV-Enforcements		1		0965			(447000)			383387		383387		830387				25		30		5		3		2		2		1		2		10		300		5		60		2			1998
O		Support Operations		1		1940						-		-							A		A		A		A		A		- 0							1998
A		Transtar amp Dispatch		1		0942 0943			1912000			2200654		2200654		288654				19		19		- 0		3		3		3		2		2		13		300		5		60		3
A		Support OperationsampAnti-Terrorism Grant		1		0932 0935			982000			1416066		1416066		434066				10		14		4		2		2		2		2		2		10		300		5		60		2
A		Investigations		1		0931			1080000			1435846		1435846		355846		Accident Investigations			11		13		2		3		2		2		2		2		11		300		5		60		2			1998 2007 2016 (16-1003) Bus Accident Investigations
A		Records		1		0952			301000			441900		441900		140900				6		6		- 0		2		2		2		1		1		8		300		5		60		2			1998
O		Homeland Security(Inactive budget in 0953)		1		1950						-		-							A		A		A		A		A		- 0
A		Police Homeland Security		1		0953						-		-		No pers In 2015			0			- 0		3		2		2		1		2		10		300		5		60		2
A		Security BOF(Auditable area no budget or pers)		1		0933						-		-		No Emp RC in 2013-15			0			- 0		3		3		3		1		3		13		400		2		200		3			2012 2015
A		Emergency Management(No budget or pers)		1		1960 1961						-		-		No Emp RC in 2012-15			0			- 0		3		2		2		1		2		10		300		3		100		2			2008 2009
S		Special Assistance by Audit - Investigations								-		-		Perform as needed						3		3		2		2		3		13		200		1		200		3			2010
O		CUSTOMER amp RIDERSHIP SERVICES			2530							-		New Dept FY14 (frm Ops)
A		RideStores			2538			696000			653907		653907		(42093)				9		12		3		3		2		3		2		2		12		300		3		100		2			2003 2006
A		Sales			2543			590000			593479		593479		3479		Include wRideStores			5		3		(2)		2		2		2		2		2		10		300		3		100		2
A		Customer Information Center (Customer Care)			2532			3627000			3489725		3489725		(137275)		Partial Audit wComplaints			62		57		(5)		3		2		3		3		2		13		300		3		100		3			2015
								-		-
O		OPERATIONS		1		1000			91154000		65611000			65611000		(25543000)		TotExp Excluding Fuel		338969
O		Senior VP amp Staff (inc Budget Operations(OMS))		1		0100 0011 0351			1850000			1469162		1469162		(380838)				7		12		5		A		A		A		A		A		- 0
A		HOT Lanes Operations		1		1500 1510 2185			8062000			8379468		8379468		317468		New to Ops FY14			1		1		- 0		3		3		2		2		3		13		300		3		100		3			2015
O		Revenue Collection		1		2290						-		-		New to Ser Del In 2011						A		A		A		A		A		- 0
A		Revenue Agents		1		2234			820000			887981		887981		67981		Cash Fare Collections			11		11		- 0		3		2		2		2		3		12		300		3		100		2			2009 2017 (17-1001) Cash Fare Collections
O		Bus Transportation (inc Sr Dir Trans GenampSer Logist)		1		0200003103610322			2775000			4874931		4874931		2099931		Moving Violations Audit			2		2		- 0													2011
A		Bus Operations		1		0220						-		-		Cust Training Audit			1597				3		2		3		3		2		13		600		2		300		3			2011
O		Fallbrook		1		011101120113			25050000			24306144		24306144		(743856)				349		349		- 0		A		A		A		A		A		- 0
O		Kashmere (Greenlink added in 2012)		1		0121012201230124			15750000			17065038		17065038		1315038				216		221		5		A		A		A		A		A		- 0
O		Polk		1		013101320133			27965000			27300859		27300859		(664141)				348		357		9		A		A		A		A		A		- 0
O		West		1		014101420143			32898000			33761527		33761527		863527				404		438		34		A		A		A		A		A		- 0
O		Hiram Clarke		1		0151015201530154			21554000			23379044		23379044		1825044				280		321		41		A		A		A		A		A		- 0
O		Northwest (Contract - see Fac Roll -up Code 1800)		1		0163			(3248000)				-		3248000				0			- 0		A		A		A		A		A		- 0							2012
A		Service Delivery		1		0500						-		-		On-Time Perf Review						2		2		3		2		2		11		300		5		60		2			2014
O		Dispatch		1		0301			1767000			1859803		1859803		92803				17		18		1		A		A		A		A		A		- 0
F		Operator Timekeeping System		1							-		-		Old legacy system						2		2		2		1		2		9		200		5		40		2			2005 UnC
A		Director of Serv Del And Street Supervisors		1		0051 0332			3423000			3594559		3594559		171559				30		35		5		3		2		2		3		2		12		300		3		100		2
A		New Service (Was Budget Services in 2011)		1		030003920393						-		-		No bdgt or pers in 2015			0			- 0		1		1		1		1		1		5		250		2		125		1
O		Transportation Programs		1		0400						-		-							A		A		A		A		A		- 0
A		METROLift amp Director of Trans Prog		1		0045 0041			56698000			58450171		58450171		1752171		FTA review in 2013			117		124		7		3		3		3		3		3		15		400		2		200		3			2006 2007
A		Special Events and Contract Services		1		0470048003710381			330000			322665		322665		(7335)				4		3		(1)		2		1		1		1		1		6		200		5		40		1
A		Rideshare		1		0460 2537			10995000				-		(10995000)				0			- 0		3		2		2		1		2		10		300		3		100		2
A		Regional Vanpool (0831 = Community Connector)		1		0460 2539 0831					12034574		12034574		12034574		Lmtd Rev compltd 2014			3		9		6		3		2		2		2		3		12		300		3		100		2			20122014
C		Contracted Services - Northwest BOF		1		08000811-150821-25			48485000			46163058		46163058		(2321942)		$47mil ann bdgt (NW)		$4mil for NW fuel					3		2		2		3		2		12		400		2		200		2			2012 2015CR
A		METRORail		1		0600													3		2		3		3		3		14		600		2		300		3			2008
O		Senior Director Rail		1		610 0061			234000			244607		244607		10607				2		3		1		A		A		A		A		A		- 0
O		Rail Transportation		1		620 621 622 623 626 627			12352000			12181636		12181636		(170364)		METRORail Cam Aud			149		175		26		A		A		A		A		A		- 0							2015
O		Rail Control Center		1		0651			3054000			3148729		3148729		94729				27		26		(1)		A		A		A		A		A		- 0
O		SampI Administration and Supervision		1		0624 0625			676000			690213		690213		14213		New in FY14			7		8		1		A		A		A		A		A		- 0
O		Rail Maintenance		1		0660-6606810691-93			17903000			18333174		18333174		430174		Includes traction power			134		146		12		A		A		A		A		A		- 0							2013
A		Preventive Maintenance (Bus)		1		1191 (Admin)			306000			323151		323151		17151		Bus Hub Rev FY13			2		2		- 0		3		2		3		3		2		13		300		1		300		3			20122013
O		Kashmere (Greenlink added in 2012)		1		1111-1118			11068000			10734424		10734424		(333576)		Greenlink added in 2012			70		73		3		A		A		A		A		A		- 0
O		Polk		1		1121112211231124			16713000			15617108		15617108		(1095892)				97		98		1		A		A		A		A		A		- 0							1993
O		West		1		1131113211331134			21994000			20796712		20796712		(1197288)				113		121		8		A		A		A		A		A		- 0
O		Hiram Clarke		1		11411142114311441145			14524000			13845519		13845519		(678481)				85		84		(1)		A		A		A		A		A		- 0
S		Northwest (Contract - see Fac Roll-up Code 1800)		1		1151115211531154			(120000)				-		120000							A		A		A		A		A		- 0							2002
O		Fallbrook		1		1161116211631164			16224000			14955860		14955860		(1268140)				79		93		14		A		A		A		A		A		- 0
O		Buffalo Bayou Maint (Under SuppVeh RC)		1		1171 1172 1173			1878000			678775		678775		(1199225)				17		21		4		A		A		A		A		A		- 0
A		Central Support amp Manufacturing		1		1020 1021			399000			404920		404920		5920				4		4		- 0		3		2		3		3		2		13		400		2		200		3
O		Body Shop		1		1023			2267000			2388704		2388704		121704				27		28		1		A		A		A		A		A		- 0							1996 2016 (16-1005) Audit of Paint Booths
O		Unit Overhaul		1		1024			1722000			1969444		1969444		247444				32		32		- 0		A		A		A		A		A		- 0							2001
	Unit Overhaul		1		1025			(244000)					244000							A		A		A		A		A		- 0
O		Heavy Repair		1		1022			1979000			2005634		2005634		26634				22		24		2		A		A		A		A		A		- 0
O		Brake Shop		1		1029						-		-		No FY15 PersonnelBdgt			0		0		- 0		A		A		A		A		A		- 0
O		Rebuild Warranty		1		1026			98000			97500		97500		(500)							A		A		A		A		A		- 0
O		Tire amp Battery Usage		1							-		-		SpecProjAs needed						A		A		A		A		A		- 0							20012010 2017 (17-1004) Bus Tires Inspection
A		Maintenance Support		1		1200						-		-		Increasingly Critical						3		2		3		3		2		13		300		3		100		3
O		Quality Assurance		1		1210 1311			882000			904988		904988		22988				8		9		1		A		A		A		A		A		- 0
O		Warranty		1		1240 1312			3612000			4475803		4475803		863803		FY2014 Audit			4		4		- 0		A		A		A		A		A		- 0							2014
O		Technical Services amp Advanced Technology		1		1220 1014 1036			412000			388743		388743		(23257)				2		3		1		A		A		A		A		A		- 0
O		Director Maintenance Support		1		1280 1381			408000			493025		493025		85025		Fuel Tanker Audit			10		11		1		A		A		A		A		A		- 0							2014
O		Electronic Maintenance (inc fare collampradio maint)		1		13012322331390			4564000			4760210		4760210		196210		Critical Activity			43		45		2		A		A		A		A		A		- 0							2013
O		Support Vehicle Maintenance (Inc Med Duty Bus)		1		1351135312501174			4333000			5234060		5234060		901060		Include wMaint Supp			25		26		1		A		A		A		A		A		- 0							2003 07CR
O		Support Vehicle		1		1354			416000			246395		246395		(169605)							A		A		A		A		A		- 0
	Maintenance General		1		1361			5213000			5744855		5744855		531855							A		A		A		A		A		- 0
O		Maintenance Training (MEAD)		1		17201321			377000				-		(377000)		No FY15 Bdgt Or Pers						A		A		A		A		A		- 0							1996
A		Transportation Training		1		1700 1710 0331			2085000			2186942		2186942		101942		New cust Svc Focus			16		18		2		3		2		1		2		2		10		120		5		24		2			1995
								-		-
O		PLANNING ENGINEERING CONST amp REAL EST		1		2180			113640000		90591000			90591000		(23049000)
O		SVP Capital Programs			2020 2021						-		-				0			- 0		A		A		A		A		A		- 0
O		Capital Projects		1		(2180)						-		-				22			(22)		A		A		A		A		A		- 0
A		Document Control		1		2151						-		-				0			- 0		3		2		2		1		2		10		210		3		70		2
A		Engineering Support Services		1		2161			93000			556421		556421		463421				13		9		(4)		3		2		1		1		2		9		210		3		70		2
A		Capital Projects		1		2181			(16000)			42086		42086		58086		$23mil non-rail Cap Bdgt			2		2		- 0		2		2		2		2		2		10		200		5		40		2
A		Bus Infrastructure		1		2182						-		-		No Emp RC FY12-15			0			- 0		2		2		2		1		2		9		200		5		40		2
A		Project Administration and Management		1		2183 2184			(113000)			(29074)		(29074)		83926		New in 2011			7		5		(2)		2		2		2		2		2		10		200		5		40		2
A		EngStandards Buff Bayou Mods		1		9A08 9A09						-		-		New in 2012						3		3		3		2		2		13		300		3		100		3
O		State of Good Repair			2150						-		-		New in 2012						A		A		A		A		A		- 0
A		State of Good Repair			2152						-		-		New in 2012						3		3		2		1		2		11		300		3		100		2
O		Rail Construction			2100 2110 2140						-		-		Consent Agmt Review			7			(7)		A		A		A		A		A		- 0							2014
A		University Corridor			2081						-		-				0			- 0		2		2		2		1		1		8		210		3		70		2
A		4 Light Rail Lines Expansion			2171			(150000)			(13171)		(13171)		136829		$173mil Cap Bdgt			7		6		(1)		3		2		2		2		2		11		210		3		70		2
O		METRO Rail Construction Non-Capital			2040						-		-							A		A		A		A		A		- 0
A		Cap Prog Coor amp Rpt (Inactive)			2433						-		-		New name FY15			0			- 0		3		2		2		1		2		10		210		3		70		2
O		METRO Rail Expansion Integration amp Control			2110 2070						-		-				8			(8)		A		A		A		A		A		- 0
A		Program Integration amp Controls			2111 2121			(134000)			(93508)		(93508)		40492		SrDir Reports to CAO			8		6		(2)		3		2		2		1		2		10		210		3		70		2
A		Rail Vehicles			2153						-		-		Waiver Request Rev						3		3		2		1		2		11		210		3		70		2			2014
O		PLANNING		1		2190				9858000			9858000		9858000		Structure modified in FY14
O		SVP Planning		1		2191			317000			319812		319812		2812		New in 2011			2		2		- 0		A		A		A		A		A		- 0
O		Planning amp Scheduling		1		2050						-		-				29			(29)		A		A		A		A		A		- 0
A		System Planning amp Development		1		2031			16483000			3783057		3783057		(12699943)				11		9		(2)		3		3		1		2		2		11		210		3		70		2
A		Service Planning amp Development		1		2052			1676000			1258682		1258682		(417318)		Alternative Ser Delivery			9		10		1		2		2		3		2		2		11		210		3		70		2			2012
A		System Reimagining		1		1811						-		-		Frmrly Best Practices No employees and project complete			2			(2)		3		3		3		2		3		14		210		3		70		3
A		Scheduling		1		0321			853000			884171		884171		31171				7		8		1		3		2		3		2		2		12		210		3		70		2
A		US 90A Rail Livable Centers ConsortUniv Line		1		9A06 9A07 9A11						-		-		U Line New in FY14						2		1		1		1		2		7		300		3		100		1
O		FACILITY MAINTENANCE		1		1300			15255000		507000			507000		(14748000)		Formerly part of CAO
A		Facility Maint Admin amp Contracts		1		131013411346			3979000			4023276		4023276		44276				13		12		(1)		3		2		2		2		2		11		400		3		133		2
O		Facility Maintenance Programs		1		1320						-		-							A		A		A		A		A		- 0
A		Facility Maint NW Buff Bay amp ProgOp		1		1335 13371342			1598000			1714566		1714566		116566				8		15		7		2		2		2		2		2		10		300		3		100		2
A		SuptFacility Maint		1		1338						-		-		New in 2012			0			- 0		2		2		1		1		2		8		200		5		40		2
A		Facility Maint Headquarters		1		1349			2873000			3033079		3033079		160079				8		7		(1)		2		2		2		2		2		10		300		5		60		2			2007
O		Public Facilities		1		1330						-		-							A		A		A		A		A		- 0
A		Public Facility amp Public Facility Admin		1		1339 1343			7612000			7670039		7670039		58039		Bus Shelter Audit			58		57		(1)		3		2		2		3		2		12		300		3		100		2			2011
A		Public Facility Rail			1348			4497000			4097093		4097093		(399907)				39		39		- 0		3		2		2		3		2		12		300		3		100		2
O		BOF Env Serv amp Proj Management		1		13401380						-		-							A		A		A		A		A		- 0
A		BOF Env Serv amp Proj Management		1		1331-3413361344-45			6945000			6666939		6666939		(278061)				40		34		(6)		3		2		2		3		2		12		300		3		100		2
A		Fac Maint Rail		1		1347			1928000			1754811		1754811		(173189)		Higher risk after rail expans			9		10		1		3		2		2		2		2		11		300		3		100		2
O		REAL ESTATE amp PROPERTY MANAGEMENT			2550								Formerly in Legal
A		Real Estate			2131			463000			435274		435274		(27726)		Appraisal Process Aud			5		1		(4)		3		3		2		2		3		13		300		3		100		3			2015
	Total		141			Total			178221000		593645668		771866668
					83997800000
	Note A - Assessed at the ActivityOrganization Level																	ANNUAL SCHEDULED HOURS							17415
	- Scheduled for 4th qtr of FY17																	STAFF REQUIREMENTS							109
	- Annual budget figures adjusted
	or estimated where appropriate				total		83997800000									3969
	to reflect organizational or				From PY		80538300000								Check Figure from Head Count Report		3969				EDP PORTION OF ABOVE								0
	operating changes				difference		3459500000									0				EDP STAFF REQURIEMENTS								00
																TOTAL UNSCHEDULED ANNUAL HOURS								0
																TOTAL SCHEDULED amp UNSCHEDULED								0
																STAFF REQUIREMENTS IF ALL
																AUDITS SCHEDULED								000

	Organizational Units		Auditable Units
	Executive amp Baord		1
	Legal		4

		13		14		15
		10		11		12
		7		8		9
		-		5		6

	Reconciliation of Risk Assessment Values reviewed Audit obtained the FY2017 Budget amounts from accounting and used these amount to prepare a risk assessment The following is a reconciliation of the amounts reviewed in the Risk Assessment
			Capital Budget Amount
		Risk Assessment Amount Reviewed		178221000
		Budget Amount		178221
		Difference		178042779
			Operating Budget
		Risk Assessment Amount Reviewed		593645668
		Budget Amount		568071000
		Difference		25574668
		Adjustments		2600806		Non-Departmental A
			2500000		Contingency - President amp CEO B
		Remaining Difference		30675474		rounding differences
	Notes
	A		The Non-Departmental amount from the budget was not included in the Risk Assessment as this amount was a contingency for the COLA adjustment expected to be approved during the 2017 Fiscal Year
	B		The Contingency - President amp CEO amount from the budget was not included in the Risk Assessment as the amount was an actual contingency for unknown or potential issues which might effect METRO during the 2017 fiscal year

																		KEY
	Risk Assessment as of JUNE 2017																		Audit Type (Internal Designations not Yellow Book)
																		F = Financial						O = ORGANIZATION
																		P = Performance						S = Special Project
																		C = Compliance						A = Activity
Audit				RESPONSIBILITY		Responsibility Code or Account (SAP - New Codes)		FY2016 Budget		FY2017 BUDGET (000 omitted)				Delta				STAFF SIZE			Delta		RISK ASSESSMENT							AUDIT BUDGET						LAST YEAR
Type		ORGANIZATIONAL UNIT ACTIVITY OR			CODE OR								OTHER CONSIDERATIONS						1		2		3		4		5		Total		Estimated Hours		FRQ		ANNUAL HOURS		RISK			AUDITED
Code		PROJECT DESCRIPTION			ACCOUNT (ORACLE)			Total		CAPITAL		OPERATING		TOTAL		(Less) More		DESCRIPTION		VALUE (000)		FY16 (Actual)		FY17 (Actual)		(Less) More			Control Environment		Technology		Size		Organization				YRS					( Partial)
O		EXECUTIVE amp BOARD		1		2300 2320				3028000			3028000		3028000		Cap Is Unallocated Cap
O		President amp Chief Executive OfficerBoard			2310 11 12 13 21			1901000			2124896		2124896		223896				8		7		(1)		A		A		A		A		A		- 0
S		Board Service Requests								-		-		highest priority						3		3		3		1		3		13		150		1		150		3
S		President amp Chief Executive Officer Requests								-		-		highest priority						3		3		3		1		3		13		150		1		150		3
S		Office of Executive Vice PresidentStrategic Partnering			2011						-		-				0				2		1		1		1		1		6		200		5		40		1
A		Press Office			2371			641000			858422		858422		217422		Social Media Issues			5		8		3		3		3		3		1		1		11		200		5		40		2
A		Office of Innovation			2511					631181		631181		631181					3		3		A		A		A		A		A		- 0
O		GOVERNMENT amp PUBLIC AFFAIRS			2520							-				38
A		Government Affairs			2352			667000			380831		380831		(286169)		Form Part of ExecBoard			4		3		(1)		3		2		2		2		1		10		400		3		133		2
O		CORPORATE COMMUNICATIONS amp MARKETING			2580							-		Formerly part of CAO			22
A		Print Shop and Admin Services			2431 2432			1944000			1960212		1960212		16212				8		10		2		2		1		1		2		2		8		200		5		40		2			1988
A		Media amp Corporate Communications			2581			500000			521510		521510		21510				4		3		(1)		3		1		1		1		1		7		100		5		20		1
A		Marketing			2531			4716000			5440929		5440929		724929				10		12		2		2		1		2		2		1		8		300		5		60		2
O		Public Engagement			2010						-		-		Formerly part of Planning			6			(6)
A		Community Outreach			2521			682000			866624		866624		184624		Involves Rail Expansion			6		26		20		3		2		1		2		2		10		200		5		40		2
A		Interagency Dir Of Pub Engagement			25222523						-		-		Form Part of Planning		No bdgtpers		0			- 0		1		1		1		1		1		5		200		5		40		1
O		Stakeholder Affairs			2060						-		-		Formerly part of Planning			6			(6)		A		A		A		A		A		- 0
A		Stakeholder Affairs			20122524			450000			534409		534409		84409		Form Part of Cap Prog			6			(6)		3		2		1		1		2		9		210		3		70		2			2011
								-		-
A		LEGALSTAFF COUNSELCORPORATE DEVELOPMENT			2350 51			3505000			3955580		3955580		450580				17		15			3		1		1		2		1		8		200		5		40		2
F		Legal Fees		1							-		-							2		1		1		1		1		6		200		5		40		1			2008
S		Attorney Work Requests		1							-		-							3		3		2		1		1		10		200		5		40		2
S		Special Assistance		1							-		-							3		3		2		1		1		10		200		5		40		2
A		Records Management		1		2013			304000			230439		230439		(73561)		Formerly in EEOCompDiv			3		2		(1)		3		3		2		1		2		11		300		3		100		2
								-		-
O		AUDIT			2330 2331			1505000			1534340		1534340		29340				11		11
A		Internal Quality Assurance Review		1							-		-													200		1		200				ON-GOING
A		External Quality Assurance Review		1							-		-		Yellow Book Req												100		3		33				2014
A		External Auditor Assistance								-		-													50		1		50		1			ON-GOING
C		Follow-UpCompliance Reviews								-		-													450		1		450				ON-GOING
A		Application Systems Audit Support								-		-													200		1		200		2			ON-GOING
C		Capital Projects QAQC Programs			Contract Oversight						-		-		FTA REQUIREMENT						3		2		2		1		2		10		200		1		200		2			ON-GOING
P		Review of Performance Measures								-		-							2		2		1		1		1		7		1000		5		200		1			2006
C		State Audit Compliance Review		1							-		-							3		3		3		1		3		13		200		1		200		3			2009 2016(16-1001) Statutory Compliance
C		FTA Audit Compliance Reviews		1							-		-							3		3		3		1		3		13		200		1		200		3			ON-GOING
								-		-
O		FINANCE amp ADMINISTRATION (Frmrly CAO)		1		2500 1610			313000				-		(313000)		AmtsEmps exclude IT
O		EVP Finance amp Administration		1		1611			822000			624447		624447		(197553)				2		3		1		A		A		A		A		A		- 0
O		FINANCE DEPARTMENT		1		2200						-		-
O		Vice PresidentChief Financial Officer			2210 2211			10000			718916		718916		708916				0		2		2		A		A		A		A		A		- 0
O		AccountingController			2220 2221			3250000			3740872		3740872		490872				28		28		- 0		A		A		A		A		A		- 0
O		General Accounting								-		-							A		A		A		A		A		- 0
F		General Ledger								-		-							3		2		3		2		2		12		300		3		100		2			2001
F		Accounts Receivable								-		-							3		2		3		2		2		12		300		3		100		2			2004
O		Grants Accounting (Audit with Grants Admin)								-		-							A		A		A		A		A		- 0							2004
O		Accounting								-		-							A		A		A		A		A		- 0
F		Fixed Assets								-		-		Net Cap Assets (Proj)		3200000					3		2		3		2		2		12		300		3		100		2			200307CR
F		Payroll								-		-		LaborBnfts (Budget)		301554					2		3		3		2		2		12		300		3		100		2			1998 2007
A		Payroll Payment Verification (ghost emps)								-		-		Payroll Ver Aud FY14						2		2		2		2		2		10		200		5		40		2			20032014
A		Accounts Payable								-		-		PAYMENTS (20101010)						3		2		3		2		2		12		300		3		100		2			2007 (CR)
F		Travel Expenses								-		-		(5090201-4)						2		1		1		1		2		7		200		5		40		1			1988
C		External Audit Mgt Ltr Compliance								-		-		Priority as required						3		3		3		1		3		13		100		1		100		3			2012
F		Audit Fees								-		-		(5030302)						2		1		1		1		1		6		80		5		16		1
F		Cost Allocation Plan								-		-							2		2		1		1		1		7		250		5		50		1			2005
O		Treasury Services			2230						-		-		Includes RevSrv			33			(33)		A		A		A		A		A		- 0
O		Director Treasury Services			2231						-		-				6			(6)		A		A		A		A		A		- 0
A		Financial Planning amp Investments								-		-		Investments (2014)		415021					3		3		2		3		3		14		200		2		100		3			2010 2016 (16-1004) Financial Planning amp Investments
O		Treasury Office Operations								-		-							A		A		A		A		A		- 0							2000
F		Sales Tax Revenue(audit with Distributions)								-		-		Sales Tax (Projected)		706241					3		2		2		3		2		12		200		2		100		2			2009
F		Sales Tax Revenue Distributions								-		-		Distributions(est Gen Mob)		173019					3		2		2		3		2		12		100		2		50		2			2009
F		Other Revenues								-		-		Projected FY2015		$108 mil					3		2		1		2		2		10		90		3		30		2
F		Petty Cash								-		-		Disbursements						3		1		1		1		3		9		90		3		30		2			2002
F		Pension Funds (Audited by outside auditors)								-		-		Funds						2		1		2		1		1		7		300		5		60		1			1995
A		Revenue Services		1		2212						-		-		Under OMB Mgmt						3		3		3		2		3		14		300		3		100		3
A		Ticket amp Fare Collection		1		2232			3514000			3037608		3037608		(476392)				27		26		(1)		3		3		3		2		3		14		300		2		150		3			2001 2009
A		Revenue Management		1		2235						-		-		Include wFare Collection						2		2		3		2		2		11		300		3		100		2
A		Grants (Includes Grant Accounting)		1		2250 2353			536000			528174		528174		(7826)		GRANTS INCOME(Bdgt)		196386		4		4		- 0		3		2		3		3		3		14		300		3		100		3			2010 2013
A		New Freedom JARC		1		9A03 9A04						-		-		New 2012 Inc wGrants						A		A		A		A		A		- 0
O		Office of Management amp Budget		1		2260						-		-		low audit priority			10			(10)		A		A		A		A		A		- 0
A		Office of Management amp Budget		1		2361			1887000			2267912		2267912		380912				10		14		4		2		1		2		2		2		9		150		5		30		2
O		PROCUREMENT amp MATERIALS			2460							-		ProcampMat Only(exSBE)
A		Procurement			2422			3661000			3689787		3689787		28787		IT ProcampHRT Auds 14			32		34		2		3		2		2		3		2		12		400		2		200		2			20092014
F		Purchase Card Activity								-		-		Recent Pcard Purch Range		$32 milyr					3		3		1		3		2		12		300		2		150		2			20072017 (17-1003) Purchasing Cards and Small Purchases
A		HGACState of Texas Purchasing Programs								-		-							2		1		2		1		1		7		200		5		40		1
F		Fuel Purchasing Program					31773000			27468028		3207448		385448		DieselampGas Bdgt-Requests for Board Action has a modification for fuel in the amount 28510000 and 4127000		38735					3		3		2		3		2		13		200		2		100		3			20062012
C		Davis Bacon Compliance								-		-		Fewer Cap Projects						3		2		3		1		3		12		300		3		100		2			2010
O		Materials amp Distribution			2423			5695000			6056753		6056753		361753				75		77		2		A		A		A		A		A		- 0
F		Inventory Management and Control								-		-		MampS Expense (Projected)		21651					2		1		3		3		2		11		300		2		150		2			1987 2016(16-1002) FY2016 Spare Parts Inventory 2017 (17-1002) Maintenance Parts Inventory
F		Fuel amp Lubricant Controls					2822000			3207448		27468028		(4304972)		Diesel Budget		36601					3		2		2		2		2		11		500		2		250		2			20082012
F		Annual Physical and Cyclical Inventories								-		-		FY2014 Inv Balance		24250					3		2		3		3		2		13		450		1		450		3			2014
A		Property Services								-		-		Asset Disposals						2		1		2		2		3		10		400		3		133		2			2007 2015
O		SMALL BUSINESS			2340							-		Frmrly in Business Serv
A		SBEDBE			2341			823000			834530		834530		11530				7		6		(1)		3		2		2		2		2		11		300		3		100		2			2017 (17-1006) DBE Compliance
O		HUMAN RESOURCES		1		2400							-		Part of FinampAdmin
O		Vice President Human Resources			2410						-		-							A		A		A		A		A		- 0
O		VP Human Resources			2411			628000			636954		636954		8954				2		2		- 0		A		A		A		A		A		- 0
A		Compensation			2444			491000			495980		495980		4980				4		4		- 0		3		1		3		1		1		9		100		5		20		2
O		Human Resources Operations			2430						-		-							A		A		A		A		A		- 0
O		Staffing			2442			1229000			1385642		1385642		156642		Backgrnd Inv Review			12		11		(1)		A		A		A		A		A		- 0							2015
A		Contract and Temporary Labor								-		-							2		2		2		2		1		9		150		3		50		2			200305CR
C		Recruitment Incentive Programs								-		-							3		2		2		2		2		11		150		3		50		2
O		Labor Relations			2440						-		-		Formerly part of Serv Del						A		A		A		A		A		- 0
A		Labor Relations			2461			428000			426121		426121		(1879)				4		4		- 0		3		1		2		2		1		9		150		3		50		2
O		Human Capital Management and Personnel Services			2470						-		-							A		A		A		A		A		- 0
A		HCM and Personnel Services			2441			434000			451356		451356		17356				5		5		- 0		2		3		2		3		2		12		200		3		67		2
O		Benefits Wellness amp Compensation		1		24502421			55000			75576		75576		20576		Supp Ins Dep Review				3		3		A		A		A		A		A		- 0							2014
A		Wellness Programs		1		2446			289000			270346		270346		(18654)				2		2		- 0		3		3		2		3		2		13		200		1		200		3
A		Benefits and Pensions		1		2443			1282000			1283645		1283645		1645		HIPAA Audit			6		7		1		3		3		2		2		3		13		200		2		100		3			2015
A		Union Benefit Trust		1							-		-		Contributions (2014)		13692					A		A		A		A		A		- 0
A		Non-Union Pension		1							-		-		Contributions (2014)		8967					A		A		A		A		A		- 0							2008
A		Non-Union Health Insurance		1							-		-		Cost of Plans (2014)		9478					A		A		A		A		A		- 0
A		Life Insurance		1							-		-							A		A		A		A		A		- 0
A		Retirees (include wBenefits and Pensions)		1		2412			13411000			15177705		15177705		1766705							A		A		A		A		A		- 0
O		EEO COMPLIANCE AND DIVERSITY		1		2480							-		Part of HR in 2015
O		VP EEO Compliance amp Diversity		1		2014							-		Dir Level in 2015 no VP						A		A		A		A		A		- 0
O		COMPLIANCE EEO EMPLOYEE RELATIONS		1		2560							-		New org structure in 2011
A		EEO and Employee Relations		1		2445			719000			761821		761821		42821				5		4		(1)		2		2		2		2		1		9		150		3		50		2
A		EEO		1		2449			453000			508580		508580		55580				2		4		2		1		1		1		1		1		5		150		5		30		1
								-		-
O		INFORMATION TECHNOLOGY			2280 2451			44507000		8626000		21515539		30141539		(14365461)		Part of FinampAdmin				66		66
O		Disaster Recovery amp Business Continuity								-		-
A		Data Access Security								-		-							2		2		1		3		2		10		300		3		100		2			2008
A		Disaster Recovery Observation								-		-							3		3		3		3		3		15		300		1		300		3			2017
A		Business Recovery Planning								-		-							2		2		2		3		3		12		300		3		100		2			2017
A		Data Center Operations								-		-							2		3		2		3		2		12		200		3		67		2			2009
O		Databases								-		-
A		Data Base Administration								-		-							2		3		3		3		3		14		400		3		133		3			2016
O		Network Management								-		-
A		Firewall Admin amp Controls								-		-							3		3		2		3		2		13		260		2		130		3			2016
A		Incident Intrusion and Emergency Response								-		-							3		3		2		3		2		13		260		2		130		3			2007
A		Wireless Network Security								-		-							3		3		2		3		2		13		260		2		130		3			2007
O		Department Administrative Functions								-		-
A		Help Desk Operations								-		-							2		2		2		2		2		10		300		3		100		2			2009
A		Computer Equipment Disposal Practices								-		-							2		2		2		2		2		10		300		3		100		2			2016
A		HardwareSoftware Standards								-		-							2		2		1		2		2		9		200		3		67		2			2009
A		Remote Access Policies and Security								-		-							2		2		2		2		2		10		150		3		50		2			2009
O		Applications Systems								-		-
A		Enterprise Systems Migration amp Chg Controls								-		-							3		2		3		2		2		12		400		3		133		2			2007
A		Security and Controls								-		-							3		2		3		2		2		12		300		2		150		2			2007
A		SAP Application Maintenance								-		-							3		3		3		2		3		14		300		3		100		3
O		Internet Access Use Controls amp Security								-		-
A		Web Site Management								-		-							3		2		3		2		2		12		250		2		125		2			2010
A		E-business Administration and Controls								-		-							3		2		2		3		2		12		250		2		125		2
A		E-mail Usage Security and Controls								-		-							3		2		2		3		2		12		250		2		125		2			2008
O		Communications Systems								-		-		(50502045121201)
A		VOIP Telephone System Management amp Security								-		-							3		2		3		3		3		14		250		3		83		3			2012
A		Video Surveillance System Man amp Security								-		-							3		2		2		3		3		13		250		2		125		3			2008
A		Radio System Management and Security								-		-							3		2		3		3		3		14		300		3		100		3
O		New Systems Development and Controls								-		-
A		IT Project Management Policies amp Procedures								-		-							2		2		2		2		3		11		400		2		200		2			2011
A		Post Implementation Review								-		-		Q Card review in 2010						2		2		2		2		2		10		200		2		100		2			2010
A		ERP Technical Controls								-		-							2		2		2		2		2		10		400		2		200		2			2010
O		Operating Systems (OS)								-		-
A		UNIX OS Review								-		-							2		3		3		2		3		13		500		3		167		3			2012
A		Windows OS Review								-		-							2		3		3		2		3		13		500		3		167		3			2014
A		Vmware Virtualization OS Review								-		-							2		3		3		2		3		13		500		3		167		3			2014
O		Adherence to Licensing Requirements								-		-
A		SAP Contract Compliance								-		-							2		2		2		2		3		11		200		2		100		2			2017
A		Oracle Contract Compliance								-		-							2		2		2		2		3		11		200		2		100		2			2017
A		Other Licenses								-		-							2		2		2		2		2		10		200		2		100		2			2017
O		Storage								-		-
A		Data Storage								-		-							3		3		3		2		3		14		600		4		150		3			2017
O		Rail IT								-		-
A		SCADA Systems								-		-							3		3		3		3		2		14		300		2		150		3			2011
A		Data Center Operations								-		-							3		3		3		3		2		14		300		2		150		3			2014
								-		-
O		OPS PUB SFTY amp CUST RDRSHP SERVS		1		2800			1405000					(1405000)		Includes MPD in FY1415
O		EVP Ops Pub SftyampCust Rdrshp Servs		1		1821			740000			768800		768800		28800		RC frmrly Best Practices			6		5		(1)		A		A		A		A		A		- 0
O		Director of Safety		1		2810 2812			180000			189445		189445		9445				1			(1)		A		A		A		A		A		- 0
A		Customer and Health Safety		1		2820283022432245			1309000			1248726		1248726		(60274)				12		11		(1)		3		3		2		2		2		12		300		3		100		2
A		Workplace and Environmental Safety		1		28402246			569000			642623		642623		73623		No budget in 2015			5		5		- 0		1		1		1		1		1		5		100		3		33		1
A		Drug amp Alcohol Program		1		2448			611000			630270		630270		19270		FTA area of interest			3		3		- 0		3		3		1		1		2		10		300		3		100		2			2010 2015CR
O		Risk Management			2240						-		-							A		A		A		A		A		- 0							2013
O		Director Risk Management			2241			161000			160688		160688		(312)				1				(1)		A		A		A		A		A		- 0
A		Claims			2242			1116000			1135035		1135035		19035		FEMA Reim Audit			12		13		1		2		2		1		2		2		9		150		3		50		2			2013
A		General Insurance			2244			3852000			3605884		3605884		(246116)				3		3		- 0		2		2		2		2		2		10		150		3		50		2			2003
A		Workers Compensation								-		-		Audited in 2014						2		2		2		1		2		9		150		3		50		2			2014
A		Owner Controlled Iinsurance Program (OCIP)								-		-		True-up in progress						3		3		2		3		2		13		400		3		133		3			20112017 (17-1005) Audit of OCIP
A		Training Design amp Delivery			2850 2247			585000			651220		651220		66220		New org in 2011			3		5		2		3		2		2		1		3		11		300		3		100		2
O		METRO POLICE		1		1900							-		Part of Safety in FY1415
O		Vice PresidentChief of Police		1		1910 0911			593000			569954		569954		(23046)				2		4		2		A		A		A		A		A		- 0
O		Management Services		1		1920 0912 0913			414000			374176		374176		(39824)				4		8		4		A		A		A		A		A		- 0
F		Special Funds - LEOSE amp Seized Property		1							-		-		STATE REQUIREMENT		30					3		1		1		1		2		8		200		1		200		2			2014
O		Police Field amp Rail Operations		1		1930						-		-							A		A		A		A		A		- 0
A		Field amp Rail Operations		1		0934 0966			13646000			15091874		15091874		1445874				144		150		6		3		2		2		3		2		12		300		5		60		2			1998 2007 2016 (16-1006) MPD Administrative Fees
A		System Security K-9 Unit		1		0936			841000			902038		902038		61038				8		8		- 0		3		2		1		2		2		10		200		5		40		2
A		Motorist Assistance Program		1		0964			(88000)			53190		53190		141190				8		7		(1)		3		2		1		1		1		8		200		5		40		2
A		HOV-Enforcements		1		0965			(447000)			383387		383387		830387				25		30		5		3		2		2		1		2		10		300		5		60		2			1998
O		Support Operations		1		1940						-		-							A		A		A		A		A		- 0							1998
A		Transtar amp Dispatch		1		0942 0943			1912000			2200654		2200654		288654				19		19		- 0		3		3		3		2		2		13		300		5		60		3
A		Support OperationsampAnti-Terrorism Grant		1		0932 0935			982000			1416066		1416066		434066				10		14		4		2		2		2		2		2		10		300		5		60		2
A		Investigations		1		0931			1080000			1435846		1435846		355846		Accident Investigations			11		13		2		3		2		2		2		2		11		300		5		60		2			1998 2007 2016 (16-1003) Bus Accident Investigations
A		Records		1		0952			301000			441900		441900		140900				6		6		- 0		2		2		2		1		1		8		300		5		60		2			1998
O		Homeland Security(Inactive budget in 0953)		1		1950						-		-							A		A		A		A		A		- 0
A		Police Homeland Security		1		0953						-		-		No pers In 2015			0			- 0		3		2		2		1		2		10		300		5		60		2
A		Security BOF(Auditable area no budget or pers)		1		0933						-		-		No Emp RC in 2013-15			0			- 0		3		3		3		1		3		13		400		2		200		3			2012 2015
A		Emergency Management(No budget or pers)		1		1960 1961						-		-		No Emp RC in 2012-15			0			- 0		3		2		2		1		2		10		300		3		100		2			2008 2009
S		Special Assistance by Audit - Investigations								-		-		Perform as needed						3		3		2		2		3		13		200		1		200		3			2010
O		CUSTOMER amp RIDERSHIP SERVICES			2530							-		New Dept FY14 (frm Ops)
A		RideStores			2538			696000			653907		653907		(42093)				9		12		3		3		2		3		2		2		12		300		3		100		2			2003 2006
A		Sales			2543			590000			593479		593479		3479		Include wRideStores			5		3		(2)		2		2		2		2		2		10		300		3		100		2
A		Customer Information Center (Customer Care)			2532			3627000			3489725		3489725		(137275)		Partial Audit wComplaints			62		57		(5)		3		2		3		3		2		13		300		3		100		3			2015
								-		-
O		OPERATIONS		1		1000			91154000		65611000			65611000		(25543000)		TotExp Excluding Fuel		338969
O		Senior VP amp Staff (inc Budget Operations(OMS))		1		0100 0011 0351			1850000			1469162		1469162		(380838)				7		12		5		A		A		A		A		A		- 0
A		HOT Lanes Operations		1		1500 1510 2185			8062000			8379468		8379468		317468		New to Ops FY14			1		1		- 0		3		3		2		2		3		13		300		3		100		3			2015
O		Revenue Collection		1		2290						-		-		New to Ser Del In 2011						A		A		A		A		A		- 0
A		Revenue Agents		1		2234			820000			887981		887981		67981		Cash Fare Collections			11		11		- 0		3		2		2		2		3		12		300		3		100		2			2009 2017 (17-1001) Cash Fare Collections
O		Bus Transportation (inc Sr Dir Trans GenampSer Logist)		1		0200003103610322			2775000			4874931		4874931		2099931		Moving Violations Audit			2		2		- 0													2011
A		Bus Operations		1		0220						-		-		Cust Training Audit			1597				3		2		3		3		2		13		600		2		300		3			2011
O		Fallbrook		1		011101120113			25050000			24306144		24306144		(743856)				349		349		- 0		A		A		A		A		A		- 0
O		Kashmere (Greenlink added in 2012)		1		0121012201230124			15750000			17065038		17065038		1315038				216		221		5		A		A		A		A		A		- 0
O		Polk		1		013101320133			27965000			27300859		27300859		(664141)				348		357		9		A		A		A		A		A		- 0
O		West		1		014101420143			32898000			33761527		33761527		863527				404		438		34		A		A		A		A		A		- 0
O		Hiram Clarke		1		0151015201530154			21554000			23379044		23379044		1825044				280		321		41		A		A		A		A		A		- 0
O		Northwest (Contract - see Fac Roll -up Code 1800)		1		0163			(3248000)				-		3248000				0			- 0		A		A		A		A		A		- 0							2012
A		Service Delivery		1		0500						-		-		On-Time Perf Review						2		2		3		2		2		11		300		5		60		2			2014
O		Dispatch		1		0301			1767000			1859803		1859803		92803				17		18		1		A		A		A		A		A		- 0
F		Operator Timekeeping System		1							-		-		Old legacy system						2		2		2		1		2		9		200		5		40		2			2005 UnC
A		Director of Serv Del And Street Supervisors		1		0051 0332			3423000			3594559		3594559		171559				30		35		5		3		2		2		3		2		12		300		3		100		2
A		New Service (Was Budget Services in 2011)		1		030003920393						-		-		No bdgt or pers in 2015			0			- 0		1		1		1		1		1		5		250		2		125		1
O		Transportation Programs		1		0400						-		-							A		A		A		A		A		- 0
A		METROLift amp Director of Trans Prog		1		0045 0041			56698000			58450171		58450171		1752171		FTA review in 2013			117		124		7		3		3		3		3		3		15		400		2		200		3			2006 2007
A		Special Events and Contract Services		1		0470048003710381			330000			322665		322665		(7335)				4		3		(1)		2		1		1		1		1		6		200		5		40		1
A		Rideshare		1		0460 2537			10995000				-		(10995000)				0			- 0		3		2		2		1		2		10		300		3		100		2
A		Regional Vanpool (0831 = Community Connector)		1		0460 2539 0831					12034574		12034574		12034574		Lmtd Rev compltd 2014			3		9		6		3		2		2		2		3		12		300		3		100		2			20122014
C		Contracted Services - Northwest BOF		1		08000811-150821-25			48485000			46163058		46163058		(2321942)		$47mil ann bdgt (NW)		$4mil for NW fuel					3		2		2		3		2		12		400		2		200		2			2012 2015CR
A		METRORail		1		0600													3		2		3		3		3		14		600		2		300		3			2008
O		Senior Director Rail		1		610 0061			234000			244607		244607		10607				2		3		1		A		A		A		A		A		- 0
O		Rail Transportation		1		620 621 622 623 626 627			12352000			12181636		12181636		(170364)		METRORail Cam Aud			149		175		26		A		A		A		A		A		- 0							2015
O		Rail Control Center		1		0651			3054000			3148729		3148729		94729				27		26		(1)		A		A		A		A		A		- 0
O		SampI Administration and Supervision		1		0624 0625			676000			690213		690213		14213		New in FY14			7		8		1		A		A		A		A		A		- 0
O		Rail Maintenance		1		0660-6606810691-93			17903000			18333174		18333174		430174		Includes traction power			134		146		12		A		A		A		A		A		- 0							2013
A		Preventive Maintenance (Bus)		1		1191 (Admin)			306000			323151		323151		17151		Bus Hub Rev FY13			2		2		- 0		3		2		3		3		2		13		300		1		300		3			20122013
O		Kashmere (Greenlink added in 2012)		1		1111-1118			11068000			10734424		10734424		(333576)		Greenlink added in 2012			70		73		3		A		A		A		A		A		- 0
O		Polk		1		1121112211231124			16713000			15617108		15617108		(1095892)				97		98		1		A		A		A		A		A		- 0							1993
O		West		1		1131113211331134			21994000			20796712		20796712		(1197288)				113		121		8		A		A		A		A		A		- 0
O		Hiram Clarke		1		11411142114311441145			14524000			13845519		13845519		(678481)				85		84		(1)		A		A		A		A		A		- 0
S		Northwest (Contract - see Fac Roll-up Code 1800)		1		1151115211531154			(120000)				-		120000							A		A		A		A		A		- 0							2002
O		Fallbrook		1		1161116211631164			16224000			14955860		14955860		(1268140)				79		93		14		A		A		A		A		A		- 0
O		Buffalo Bayou Maint (Under SuppVeh RC)		1		1171 1172 1173			1878000			678775		678775		(1199225)				17		21		4		A		A		A		A		A		- 0
A		Central Support amp Manufacturing		1		1020 1021			399000			404920		404920		5920				4		4		- 0		3		2		3		3		2		13		400		2		200		3
O		Body Shop		1		1023			2267000			2388704		2388704		121704				27		28		1		A		A		A		A		A		- 0							1996 2016 (16-1005) Audit of Paint Booths
O		Unit Overhaul		1		1024			1722000			1969444		1969444		247444				32		32		- 0		A		A		A		A		A		- 0							2001
	Unit Overhaul		1		1025			(244000)					244000							A		A		A		A		A		- 0
O		Heavy Repair		1		1022			1979000			2005634		2005634		26634				22		24		2		A		A		A		A		A		- 0
O		Brake Shop		1		1029						-		-		No FY15 PersonnelBdgt			0		0		- 0		A		A		A		A		A		- 0
O		Rebuild Warranty		1		1026			98000			97500		97500		(500)							A		A		A		A		A		- 0
O		Tire amp Battery Usage		1							-		-		SpecProjAs needed						A		A		A		A		A		- 0							20012010 2017 (17-1004) Bus Tires Inspection
A		Maintenance Support		1		1200						-		-		Increasingly Critical						3		2		3		3		2		13		300		3		100		3
O		Quality Assurance		1		1210 1311			882000			904988		904988		22988				8		9		1		A		A		A		A		A		- 0
O		Warranty		1		1240 1312			3612000			4475803		4475803		863803		FY2014 Audit			4		4		- 0		A		A		A		A		A		- 0							2014
O		Technical Services amp Advanced Technology		1		1220 1014 1036			412000			388743		388743		(23257)				2		3		1		A		A		A		A		A		- 0
O		Director Maintenance Support		1		1280 1381			408000			493025		493025		85025		Fuel Tanker Audit			10		11		1		A		A		A		A		A		- 0							2014
O		Electronic Maintenance (inc fare collampradio maint)		1		13012322331390			4564000			4760210		4760210		196210		Critical Activity			43		45		2		A		A		A		A		A		- 0							2013
O		Support Vehicle Maintenance (Inc Med Duty Bus)		1		1351135312501174			4333000			5234060		5234060		901060		Include wMaint Supp			25		26		1		A		A		A		A		A		- 0							2003 07CR
O		Support Vehicle		1		1354			416000			246395		246395		(169605)							A		A		A		A		A		- 0
	Maintenance General		1		1361			5213000			5744855		5744855		531855							A		A		A		A		A		- 0
O		Maintenance Training (MEAD)		1		17201321			377000				-		(377000)		No FY15 Bdgt Or Pers						A		A		A		A		A		- 0							1996
A		Transportation Training		1		1700 1710 0331			2085000			2186942		2186942		101942		New cust Svc Focus			16		18		2		3		2		1		2		2		10		120		5		24		2			1995
								-		-
O		PLANNING ENGINEERING CONST amp REAL EST		1		2180			113640000		90591000			90591000		(23049000)
O		SVP Capital Programs			2020 2021						-		-				0			- 0		A		A		A		A		A		- 0
O		Capital Projects		1		(2180)						-		-				22			(22)		A		A		A		A		A		- 0
A		Document Control		1		2151						-		-				0			- 0		3		2		2		1		2		10		210		3		70		2
A		Engineering Support Services		1		2161			93000			556421		556421		463421				13		9		(4)		3		2		1		1		2		9		210		3		70		2
A		Capital Projects		1		2181			(16000)			42086		42086		58086		$23mil non-rail Cap Bdgt			2		2		- 0		2		2		2		2		2		10		200		5		40		2
A		Bus Infrastructure		1		2182						-		-		No Emp RC FY12-15			0			- 0		2		2		2		1		2		9		200		5		40		2
A		Project Administration and Management		1		2183 2184			(113000)			(29074)		(29074)		83926		New in 2011			7		5		(2)		2		2		2		2		2		10		200		5		40		2
A		EngStandards Buff Bayou Mods		1		9A08 9A09						-		-		New in 2012						3		3		3		2		2		13		300		3		100		3
O		State of Good Repair			2150						-		-		New in 2012						A		A		A		A		A		- 0
A		State of Good Repair			2152						-		-		New in 2012						3		3		2		1		2		11		300		3		100		2
O		Rail Construction			2100 2110 2140						-		-		Consent Agmt Review			7			(7)		A		A		A		A		A		- 0							2014
A		University Corridor			2081						-		-				0			- 0		2		2		2		1		1		8		210		3		70		2
A		4 Light Rail Lines Expansion			2171			(150000)			(13171)		(13171)		136829		$173mil Cap Bdgt			7		6		(1)		3		2		2		2		2		11		210		3		70		2
O		METRO Rail Construction Non-Capital			2040						-		-							A		A		A		A		A		- 0
A		Cap Prog Coor amp Rpt (Inactive)			2433						-		-		New name FY15			0			- 0		3		2		2		1		2		10		210		3		70		2
O		METRO Rail Expansion Integration amp Control			2110 2070						-		-				8			(8)		A		A		A		A		A		- 0
A		Program Integration amp Controls			2111 2121			(134000)			(93508)		(93508)		40492		SrDir Reports to CAO			8		6		(2)		3		2		2		1		2		10		210		3		70		2
A		Rail Vehicles			2153						-		-		Waiver Request Rev						3		3		2		1		2		11		210		3		70		2			2014
O		PLANNING		1		2190				9858000			9858000		9858000		Structure modified in FY14
O		SVP Planning		1		2191			317000			319812		319812		2812		New in 2011			2		2		- 0		A		A		A		A		A		- 0
O		Planning amp Scheduling		1		2050						-		-				29			(29)		A		A		A		A		A		- 0
A		System Planning amp Development		1		2031			16483000			3783057		3783057		(12699943)				11		9		(2)		3		3		1		2		2		11		210		3		70		2
A		Service Planning amp Development		1		2052			1676000			1258682		1258682		(417318)		Alternative Ser Delivery			9		10		1		2		2		3		2		2		11		210		3		70		2			2012
A		System Reimagining		1		1811						-		-		Frmrly Best Practices No employees and project complete			2			(2)		3		3		3		2		3		14		210		3		70		3
A		Scheduling		1		0321			853000			884171		884171		31171				7		8		1		3		2		3		2		2		12		210		3		70		2
A		US 90A Rail Livable Centers ConsortUniv Line		1		9A06 9A07 9A11						-		-		U Line New in FY14						2		1		1		1		2		7		300		3		100		1
O		FACILITY MAINTENANCE		1		1300			15255000		507000			507000		(14748000)		Formerly part of CAO
A		Facility Maint Admin amp Contracts		1		131013411346			3979000			4023276		4023276		44276				13		12		(1)		3		2		2		2		2		11		400		3		133		2
O		Facility Maintenance Programs		1		1320						-		-							A		A		A		A		A		- 0
A		Facility Maint NW Buff Bay amp ProgOp		1		1335 13371342			1598000			1714566		1714566		116566				8		15		7		2		2		2		2		2		10		300		3		100		2
A		SuptFacility Maint		1		1338						-		-		New in 2012			0			- 0		2		2		1		1		2		8		200		5		40		2
A		Facility Maint Headquarters		1		1349			2873000			3033079		3033079		160079				8		7		(1)		2		2		2		2		2		10		300		5		60		2			2007
O		Public Facilities		1		1330						-		-							A		A		A		A		A		- 0
A		Public Facility amp Public Facility Admin		1		1339 1343			7612000			7670039		7670039		58039		Bus Shelter Audit			58		57		(1)		3		2		2		3		2		12		300		3		100		2			2011
A		Public Facility Rail			1348			4497000			4097093		4097093		(399907)				39		39		- 0		3		2		2		3		2		12		300		3		100		2
O		BOF Env Serv amp Proj Management		1		13401380						-		-							A		A		A		A		A		- 0
A		BOF Env Serv amp Proj Management		1		1331-3413361344-45			6945000			6666939		6666939		(278061)				40		34		(6)		3		2		2		3		2		12		300		3		100		2
A		Fac Maint Rail		1		1347			1928000			1754811		1754811		(173189)		Higher risk after rail expans			9		10		1		3		2		2		2		2		11		300		3		100		2
O		REAL ESTATE amp PROPERTY MANAGEMENT			2550								Formerly in Legal
A		Real Estate			2131			463000			435274		435274		(27726)		Appraisal Process Aud			5		1		(4)		3		3		2		2		3		13		300		3		100		3			2015
	Total		141			Total			178221000		593645668		771866668
					83997800000
	Note A - Assessed at the ActivityOrganization Level																	ANNUAL SCHEDULED HOURS							17415
	- Scheduled for 4th qtr of FY17																	STAFF REQUIREMENTS							109
	- Annual budget figures adjusted
	or estimated where appropriate				total		83997800000									3969
	to reflect organizational or				From PY		80538300000								Check Figure from Head Count Report		3969				EDP PORTION OF ABOVE								0
	operating changes				difference		3459500000									0				EDP STAFF REQURIEMENTS								00
																TOTAL UNSCHEDULED ANNUAL HOURS								0
																TOTAL SCHEDULED amp UNSCHEDULED								0
																STAFF REQUIREMENTS IF ALL
																AUDITS SCHEDULED								000

	Organizational Units		Auditable Units
	Executive amp Baord		1
	Legal		4

		13		14		15
		10		11		12
		7		8		9
		-		5		6

	Reconciliation of Risk Assessment Values reviewed Audit obtained the FY2017 Budget amounts from accounting and used these amount to prepare a risk assessment The following is a reconciliation of the amounts reviewed in the Risk Assessment
			Capital Budget Amount
		Risk Assessment Amount Reviewed		178221000
		Budget Amount		178221
		Difference		178042779
			Operating Budget
		Risk Assessment Amount Reviewed		593645668
		Budget Amount		568071000
		Difference		25574668
		Adjustments		2600806		Non-Departmental A
			2500000		Contingency - President amp CEO B
		Remaining Difference		30675474		rounding differences
	Notes
	A		The Non-Departmental amount from the budget was not included in the Risk Assessment as this amount was a contingency for the COLA adjustment expected to be approved during the 2017 Fiscal Year
	B		The Contingency - President amp CEO amount from the budget was not included in the Risk Assessment as the amount was an actual contingency for unknown or potential issues which might effect METRO during the 2017 fiscal year

																		KEY
	Risk Assessment as of JUNE 2017																		Audit Type (Internal Designations not Yellow Book)
																		F = Financial						O = ORGANIZATION
																		P = Performance						S = Special Project
																		C = Compliance						A = Activity
Audit				RESPONSIBILITY		Responsibility Code or Account (SAP - New Codes)		FY2016 Budget		FY2017 BUDGET (000 omitted)				Delta				STAFF SIZE			Delta		RISK ASSESSMENT							AUDIT BUDGET						LAST YEAR
Type		ORGANIZATIONAL UNIT ACTIVITY OR			CODE OR								OTHER CONSIDERATIONS						1		2		3		4		5		Total		Estimated Hours		FRQ		ANNUAL HOURS		RISK			AUDITED
Code		PROJECT DESCRIPTION			ACCOUNT (ORACLE)			Total		CAPITAL		OPERATING		TOTAL		(Less) More		DESCRIPTION		VALUE (000)		FY16 (Actual)		FY17 (Actual)		(Less) More			Control Environment		Technology		Size		Organization				YRS					( Partial)
O		EXECUTIVE amp BOARD		1		2300 2320				3028000			3028000		3028000		Cap Is Unallocated Cap
O		President amp Chief Executive OfficerBoard			2310 11 12 13 21			1901000			2124896		2124896		223896				8		7		(1)		A		A		A		A		A		- 0
S		Board Service Requests								-		-		highest priority						3		3		3		1		3		13		150		1		150		3
S		President amp Chief Executive Officer Requests								-		-		highest priority						3		3		3		1		3		13		150		1		150		3
S		Office of Executive Vice PresidentStrategic Partnering			2011						-		-				0				2		1		1		1		1		6		200		5		40		1
A		Press Office			2371			641000			858422		858422		217422		Social Media Issues			5		8		3		3		3		3		1		1		11		200		5		40		2
A		Office of Innovation			2511					631181		631181		631181					3		3		A		A		A		A		A		- 0
O		GOVERNMENT amp PUBLIC AFFAIRS			2520							-				38
A		Government Affairs			2352			667000			380831		380831		(286169)		Form Part of ExecBoard			4		3		(1)		3		2		2		2		1		10		400		3		133		2
O		CORPORATE COMMUNICATIONS amp MARKETING			2580							-		Formerly part of CAO			22
A		Print Shop and Admin Services			2431 2432			1944000			1960212		1960212		16212				8		10		2		2		1		1		2		2		8		200		5		40		2			1988
A		Media amp Corporate Communications			2581			500000			521510		521510		21510				4		3		(1)		3		1		1		1		1		7		100		5		20		1
A		Marketing			2531			4716000			5440929		5440929		724929				10		12		2		2		1		2		2		1		8		300		5		60		2
O		Public Engagement			2010						-		-		Formerly part of Planning			6			(6)
A		Community Outreach			2521			682000			866624		866624		184624		Involves Rail Expansion			6		26		20		3		2		1		2		2		10		200		5		40		2
A		Interagency Dir Of Pub Engagement			25222523						-		-		Form Part of Planning		No bdgtpers		0			- 0		1		1		1		1		1		5		200		5		40		1
O		Stakeholder Affairs			2060						-		-		Formerly part of Planning			6			(6)		A		A		A		A		A		- 0
A		Stakeholder Affairs			20122524			450000			534409		534409		84409		Form Part of Cap Prog			6			(6)		3		2		1		1		2		9		210		3		70		2			2011
								-		-
A		LEGALSTAFF COUNSELCORPORATE DEVELOPMENT			2350 51			3505000			3955580		3955580		450580				17		15			3		1		1		2		1		8		200		5		40		2
F		Legal Fees		1							-		-							2		1		1		1		1		6		200		5		40		1			2008
S		Attorney Work Requests		1							-		-							3		3		2		1		1		10		200		5		40		2
S		Special Assistance		1							-		-							3		3		2		1		1		10		200		5		40		2
A		Records Management		1		2013			304000			230439		230439		(73561)		Formerly in EEOCompDiv			3		2		(1)		3		3		2		1		2		11		300		3		100		2
								-		-
O		AUDIT			2330 2331			1505000			1534340		1534340		29340				11		11
A		Internal Quality Assurance Review		1							-		-													200		1		200				ON-GOING
A		External Quality Assurance Review		1							-		-		Yellow Book Req												100		3		33				2014
A		External Auditor Assistance								-		-													50		1		50		1			ON-GOING
C		Follow-UpCompliance Reviews								-		-													450		1		450				ON-GOING
A		Application Systems Audit Support								-		-													200		1		200		2			ON-GOING
C		Capital Projects QAQC Programs			Contract Oversight						-		-		FTA REQUIREMENT						3		2		2		1		2		10		200		1		200		2			ON-GOING
P		Review of Performance Measures								-		-							2		2		1		1		1		7		1000		5		200		1			2006
C		State Audit Compliance Review		1							-		-							3		3		3		1		3		13		200		1		200		3			2009 2016(16-1001) Statutory Compliance
C		FTA Audit Compliance Reviews		1							-		-							3		3		3		1		3		13		200		1		200		3			ON-GOING
								-		-
O		FINANCE amp ADMINISTRATION (Frmrly CAO)		1		2500 1610			313000				-		(313000)		AmtsEmps exclude IT
O		EVP Finance amp Administration		1		1611			822000			624447		624447		(197553)				2		3		1		A		A		A		A		A		- 0
O		FINANCE DEPARTMENT		1		2200						-		-
O		Vice PresidentChief Financial Officer			2210 2211			10000			718916		718916		708916				0		2		2		A		A		A		A		A		- 0
O		AccountingController			2220 2221			3250000			3740872		3740872		490872				28		28		- 0		A		A		A		A		A		- 0
O		General Accounting								-		-							A		A		A		A		A		- 0
F		General Ledger								-		-							3		2		3		2		2		12		300		3		100		2			2001
F		Accounts Receivable								-		-							3		2		3		2		2		12		300		3		100		2			2004
O		Grants Accounting (Audit with Grants Admin)								-		-							A		A		A		A		A		- 0							2004
O		Accounting								-		-							A		A		A		A		A		- 0
F		Fixed Assets								-		-		Net Cap Assets (Proj)		3200000					3		2		3		2		2		12		300		3		100		2			200307CR
F		Payroll								-		-		LaborBnfts (Budget)		301554					2		3		3		2		2		12		300		3		100		2			1998 2007
A		Payroll Payment Verification (ghost emps)								-		-		Payroll Ver Aud FY14						2		2		2		2		2		10		200		5		40		2			20032014
A		Accounts Payable								-		-		PAYMENTS (20101010)						3		2		3		2		2		12		300		3		100		2			2007 (CR)
F		Travel Expenses								-		-		(5090201-4)						2		1		1		1		2		7		200		5		40		1			1988
C		External Audit Mgt Ltr Compliance								-		-		Priority as required						3		3		3		1		3		13		100		1		100		3			2012
F		Audit Fees								-		-		(5030302)						2		1		1		1		1		6		80		5		16		1
F		Cost Allocation Plan								-		-							2		2		1		1		1		7		250		5		50		1			2005
O		Treasury Services			2230						-		-		Includes RevSrv			33			(33)		A		A		A		A		A		- 0
O		Director Treasury Services			2231						-		-				6			(6)		A		A		A		A		A		- 0
A		Financial Planning amp Investments								-		-		Investments (2014)		415021					3		3		2		3		3		14		200		2		100		3			2010 2016 (16-1004) Financial Planning amp Investments
O		Treasury Office Operations								-		-							A		A		A		A		A		- 0							2000
F		Sales Tax Revenue(audit with Distributions)								-		-		Sales Tax (Projected)		706241					3		2		2		3		2		12		200		2		100		2			2009
F		Sales Tax Revenue Distributions								-		-		Distributions(est Gen Mob)		173019					3		2		2		3		2		12		100		2		50		2			2009
F		Other Revenues								-		-		Projected FY2015		$108 mil					3		2		1		2		2		10		90		3		30		2
F		Petty Cash								-		-		Disbursements						3		1		1		1		3		9		90		3		30		2			2002
F		Pension Funds (Audited by outside auditors)								-		-		Funds						2		1		2		1		1		7		300		5		60		1			1995
A		Revenue Services		1		2212						-		-		Under OMB Mgmt						3		3		3		2		3		14		300		3		100		3
A		Ticket amp Fare Collection		1		2232			3514000			3037608		3037608		(476392)				27		26		(1)		3		3		3		2		3		14		300		2		150		3			2001 2009
A		Revenue Management		1		2235						-		-		Include wFare Collection						2		2		3		2		2		11		300		3		100		2
A		Grants (Includes Grant Accounting)		1		2250 2353			536000			528174		528174		(7826)		GRANTS INCOME(Bdgt)		196386		4		4		- 0		3		2		3		3		3		14		300		3		100		3			2010 2013
A		New Freedom JARC		1		9A03 9A04						-		-		New 2012 Inc wGrants						A		A		A		A		A		- 0
O		Office of Management amp Budget		1		2260						-		-		low audit priority			10			(10)		A		A		A		A		A		- 0
A		Office of Management amp Budget		1		2361			1887000			2267912		2267912		380912				10		14		4		2		1		2		2		2		9		150		5		30		2
O		PROCUREMENT amp MATERIALS			2460							-		ProcampMat Only(exSBE)
A		Procurement			2422			3661000			3689787		3689787		28787		IT ProcampHRT Auds 14			32		34		2		3		2		2		3		2		12		400		2		200		2			20092014
F		Purchase Card Activity								-		-		Recent Pcard Purch Range		$32 milyr					3		3		1		3		2		12		300		2		150		2			20072017 (17-1003) Purchasing Cards and Small Purchases
A		HGACState of Texas Purchasing Programs								-		-							2		1		2		1		1		7		200		5		40		1
F		Fuel Purchasing Program					31773000			27468028		3207448		385448		DieselampGas Bdgt-Requests for Board Action has a modification for fuel in the amount 28510000 and 4127000		38735					3		3		2		3		2		13		200		2		100		3			20062012
C		Davis Bacon Compliance								-		-		Fewer Cap Projects						3		2		3		1		3		12		300		3		100		2			2010
O		Materials amp Distribution			2423			5695000			6056753		6056753		361753				75		77		2		A		A		A		A		A		- 0
F		Inventory Management and Control								-		-		MampS Expense (Projected)		21651					2		1		3		3		2		11		300		2		150		2			1987 2016(16-1002) FY2016 Spare Parts Inventory 2017 (17-1002) Maintenance Parts Inventory
F		Fuel amp Lubricant Controls					2822000			3207448		27468028		(4304972)		Diesel Budget		36601					3		2		2		2		2		11		500		2		250		2			20082012
F		Annual Physical and Cyclical Inventories								-		-		FY2014 Inv Balance		24250					3		2		3		3		2		13		450		1		450		3			2014
A		Property Services								-		-		Asset Disposals						2		1		2		2		3		10		400		3		133		2			2007 2015
O		SMALL BUSINESS			2340							-		Frmrly in Business Serv
A		SBEDBE			2341			823000			834530		834530		11530				7		6		(1)		3		2		2		2		2		11		300		3		100		2			2017 (17-1006) DBE Compliance
O		HUMAN RESOURCES		1		2400							-		Part of FinampAdmin
O		Vice President Human Resources			2410						-		-							A		A		A		A		A		- 0
O		VP Human Resources			2411			628000			636954		636954		8954				2		2		- 0		A		A		A		A		A		- 0
A		Compensation			2444			491000			495980		495980		4980				4		4		- 0		3		1		3		1		1		9		100		5		20		2
O		Human Resources Operations			2430						-		-							A		A		A		A		A		- 0
O		Staffing			2442			1229000			1385642		1385642		156642		Backgrnd Inv Review			12		11		(1)		A		A		A		A		A		- 0							2015
A		Contract and Temporary Labor								-		-							2		2		2		2		1		9		150		3		50		2			200305CR
C		Recruitment Incentive Programs								-		-							3		2		2		2		2		11		150		3		50		2
O		Labor Relations			2440						-		-		Formerly part of Serv Del						A		A		A		A		A		- 0
A		Labor Relations			2461			428000			426121		426121		(1879)				4		4		- 0		3		1		2		2		1		9		150		3		50		2
O		Human Capital Management and Personnel Services			2470						-		-							A		A		A		A		A		- 0
A		HCM and Personnel Services			2441			434000			451356		451356		17356				5		5		- 0		2		3		2		3		2		12		200		3		67		2
O		Benefits Wellness amp Compensation		1		24502421			55000			75576		75576		20576		Supp Ins Dep Review				3		3		A		A		A		A		A		- 0							2014
A		Wellness Programs		1		2446			289000			270346		270346		(18654)				2		2		- 0		3		3		2		3		2		13		200		1		200		3
A		Benefits and Pensions		1		2443			1282000			1283645		1283645		1645		HIPAA Audit			6		7		1		3		3		2		2		3		13		200		2		100		3			2015
A		Union Benefit Trust		1							-		-		Contributions (2014)		13692					A		A		A		A		A		- 0
A		Non-Union Pension		1							-		-		Contributions (2014)		8967					A		A		A		A		A		- 0							2008
A		Non-Union Health Insurance		1							-		-		Cost of Plans (2014)		9478					A		A		A		A		A		- 0
A		Life Insurance		1							-		-							A		A		A		A		A		- 0
A		Retirees (include wBenefits and Pensions)		1		2412			13411000			15177705		15177705		1766705							A		A		A		A		A		- 0
O		EEO COMPLIANCE AND DIVERSITY		1		2480							-		Part of HR in 2015
O		VP EEO Compliance amp Diversity		1		2014							-		Dir Level in 2015 no VP						A		A		A		A		A		- 0
O		COMPLIANCE EEO EMPLOYEE RELATIONS		1		2560							-		New org structure in 2011
A		EEO and Employee Relations		1		2445			719000			761821		761821		42821				5		4		(1)		2		2		2		2		1		9		150		3		50		2
A		EEO		1		2449			453000			508580		508580		55580				2		4		2		1		1		1		1		1		5		150		5		30		1
								-		-
O		INFORMATION TECHNOLOGY			2280 2451			44507000		8626000		21515539		30141539		(14365461)		Part of FinampAdmin				66		66
O		Disaster Recovery amp Business Continuity								-		-
A		Data Access Security								-		-							2		2		1		3		2		10		300		3		100		2			2008
A		Disaster Recovery Observation								-		-							3		3		3		3		3		15		300		1		300		3			2017
A		Business Recovery Planning								-		-							2		2		2		3		3		12		300		3		100		2			2017
A		Data Center Operations								-		-							2		3		2		3		2		12		200		3		67		2			2009
O		Databases								-		-
A		Data Base Administration								-		-							2		3		3		3		3		14		400		3		133		3			2016
O		Network Management								-		-
A		Firewall Admin amp Controls								-		-							3		3		2		3		2		13		260		2		130		3			2016
A		Incident Intrusion and Emergency Response								-		-							3		3		2		3		2		13		260		2		130		3			2007
A		Wireless Network Security								-		-							3		3		2		3		2		13		260		2		130		3			2007
O		Department Administrative Functions								-		-
A		Help Desk Operations								-		-							2		2		2		2		2		10		300		3		100		2			2009
A		Computer Equipment Disposal Practices								-		-							2		2		2		2		2		10		300		3		100		2			2016
A		HardwareSoftware Standards								-		-							2		2		1		2		2		9		200		3		67		2			2009
A		Remote Access Policies and Security								-		-							2		2		2		2		2		10		150		3		50		2			2009
O		Applications Systems								-		-
A		Enterprise Systems Migration amp Chg Controls								-		-							3		2		3		2		2		12		400		3		133		2			2007
A		Security and Controls								-		-							3		2		3		2		2		12		300		2		150		2			2007
A		SAP Application Maintenance								-		-							3		3		3		2		3		14		300		3		100		3
O		Internet Access Use Controls amp Security								-		-
A		Web Site Management								-		-							3		2		3		2		2		12		250		2		125		2			2010
A		E-business Administration and Controls								-		-							3		2		2		3		2		12		250		2		125		2
A		E-mail Usage Security and Controls								-		-							3		2		2		3		2		12		250		2		125		2			2008
O		Communications Systems								-		-		(50502045121201)
A		VOIP Telephone System Management amp Security								-		-							3		2		3		3		3		14		250		3		83		3			2012
A		Video Surveillance System Man amp Security								-		-							3		2		2		3		3		13		250		2		125		3			2008
A		Radio System Management and Security								-		-							3		2		3		3		3		14		300		3		100		3
O		New Systems Development and Controls								-		-
A		IT Project Management Policies amp Procedures								-		-							2		2		2		2		3		11		400		2		200		2			2011
A		Post Implementation Review								-		-		Q Card review in 2010						2		2		2		2		2		10		200		2		100		2			2010
A		ERP Technical Controls								-		-							2		2		2		2		2		10		400		2		200		2			2010
O		Operating Systems (OS)								-		-
A		UNIX OS Review								-		-							2		3		3		2		3		13		500		3		167		3			2012
A		Windows OS Review								-		-							2		3		3		2		3		13		500		3		167		3			2014
A		Vmware Virtualization OS Review								-		-							2		3		3		2		3		13		500		3		167		3			2014
O		Adherence to Licensing Requirements								-		-
A		SAP Contract Compliance								-		-							2		2		2		2		3		11		200		2		100		2			2017
A		Oracle Contract Compliance								-		-							2		2		2		2		3		11		200		2		100		2			2017
A		Other Licenses								-		-							2		2		2		2		2		10		200		2		100		2			2017
O		Storage								-		-
A		Data Storage								-		-							3		3		3		2		3		14		600		4		150		3			2017
O		Rail IT								-		-
A		SCADA Systems								-		-							3		3		3		3		2		14		300		2		150		3			2011
A		Data Center Operations								-		-							3		3		3		3		2		14		300		2		150		3			2014
								-		-
O		OPS PUB SFTY amp CUST RDRSHP SERVS		1		2800			1405000					(1405000)		Includes MPD in FY1415
O		EVP Ops Pub SftyampCust Rdrshp Servs		1		1821			740000			768800		768800		28800		RC frmrly Best Practices			6		5		(1)		A		A		A		A		A		- 0
O		Director of Safety		1		2810 2812			180000			189445		189445		9445				1			(1)		A		A		A		A		A		- 0
A		Customer and Health Safety		1		2820283022432245			1309000			1248726		1248726		(60274)				12		11		(1)		3		3		2		2		2		12		300		3		100		2
A		Workplace and Environmental Safety		1		28402246			569000			642623		642623		73623		No budget in 2015			5		5		- 0		1		1		1		1		1		5		100		3		33		1
A		Drug amp Alcohol Program		1		2448			611000			630270		630270		19270		FTA area of interest			3		3		- 0		3		3		1		1		2		10		300		3		100		2			2010 2015CR
O		Risk Management			2240						-		-							A		A		A		A		A		- 0							2013
O		Director Risk Management			2241			161000			160688		160688		(312)				1				(1)		A		A		A		A		A		- 0
A		Claims			2242			1116000			1135035		1135035		19035		FEMA Reim Audit			12		13		1		2		2		1		2		2		9		150		3		50		2			2013
A		General Insurance			2244			3852000			3605884		3605884		(246116)				3		3		- 0		2		2		2		2		2		10		150		3		50		2			2003
A		Workers Compensation								-		-		Audited in 2014						2		2		2		1		2		9		150		3		50		2			2014
A		Owner Controlled Iinsurance Program (OCIP)								-		-		True-up in progress						3		3		2		3		2		13		400		3		133		3			20112017 (17-1005) Audit of OCIP
A		Training Design amp Delivery			2850 2247			585000			651220		651220		66220		New org in 2011			3		5		2		3		2		2		1		3		11		300		3		100		2
O		METRO POLICE		1		1900							-		Part of Safety in FY1415
O		Vice PresidentChief of Police		1		1910 0911			593000			569954		569954		(23046)				2		4		2		A		A		A		A		A		- 0
O		Management Services		1		1920 0912 0913			414000			374176		374176		(39824)				4		8		4		A		A		A		A		A		- 0
F		Special Funds - LEOSE amp Seized Property		1							-		-		STATE REQUIREMENT		30					3		1		1		1		2		8		200		1		200		2			2014
O		Police Field amp Rail Operations		1		1930						-		-							A		A		A		A		A		- 0
A		Field amp Rail Operations		1		0934 0966			13646000			15091874		15091874		1445874				144		150		6		3		2		2		3		2		12		300		5		60		2			1998 2007 2016 (16-1006) MPD Administrative Fees
A		System Security K-9 Unit		1		0936			841000			902038		902038		61038				8		8		- 0		3		2		1		2		2		10		200		5		40		2
A		Motorist Assistance Program		1		0964			(88000)			53190		53190		141190				8		7		(1)		3		2		1		1		1		8		200		5		40		2
A		HOV-Enforcements		1		0965			(447000)			383387		383387		830387				25		30		5		3		2		2		1		2		10		300		5		60		2			1998
O		Support Operations		1		1940						-		-							A		A		A		A		A		- 0							1998
A		Transtar amp Dispatch		1		0942 0943			1912000			2200654		2200654		288654				19		19		- 0		3		3		3		2		2		13		300		5		60		3
A		Support OperationsampAnti-Terrorism Grant		1		0932 0935			982000			1416066		1416066		434066				10		14		4		2		2		2		2		2		10		300		5		60		2
A		Investigations		1		0931			1080000			1435846		1435846		355846		Accident Investigations			11		13		2		3		2		2		2		2		11		300		5		60		2			1998 2007 2016 (16-1003) Bus Accident Investigations
A		Records		1		0952			301000			441900		441900		140900				6		6		- 0		2		2		2		1		1		8		300		5		60		2			1998
O		Homeland Security(Inactive budget in 0953)		1		1950						-		-							A		A		A		A		A		- 0
A		Police Homeland Security		1		0953						-		-		No pers In 2015			0			- 0		3		2		2		1		2		10		300		5		60		2
A		Security BOF(Auditable area no budget or pers)		1		0933						-		-		No Emp RC in 2013-15			0			- 0		3		3		3		1		3		13		400		2		200		3			2012 2015
A		Emergency Management(No budget or pers)		1		1960 1961						-		-		No Emp RC in 2012-15			0			- 0		3		2		2		1		2		10		300		3		100		2			2008 2009
S		Special Assistance by Audit - Investigations								-		-		Perform as needed						3		3		2		2		3		13		200		1		200		3			2010
O		CUSTOMER amp RIDERSHIP SERVICES			2530							-		New Dept FY14 (frm Ops)
A		RideStores			2538			696000			653907		653907		(42093)				9		12		3		3		2		3		2		2		12		300		3		100		2			2003 2006
A		Sales			2543			590000			593479		593479		3479		Include wRideStores			5		3		(2)		2		2		2		2		2		10		300		3		100		2
A		Customer Information Center (Customer Care)			2532			3627000			3489725		3489725		(137275)		Partial Audit wComplaints			62		57		(5)		3		2		3		3		2		13		300		3		100		3			2015
								-		-
O		OPERATIONS		1		1000			91154000		65611000			65611000		(25543000)		TotExp Excluding Fuel		338969
O		Senior VP amp Staff (inc Budget Operations(OMS))		1		0100 0011 0351			1850000			1469162		1469162		(380838)				7		12		5		A		A		A		A		A		- 0
A		HOT Lanes Operations		1		1500 1510 2185			8062000			8379468		8379468		317468		New to Ops FY14			1		1		- 0		3		3		2		2		3		13		300		3		100		3			2015
O		Revenue Collection		1		2290						-		-		New to Ser Del In 2011						A		A		A		A		A		- 0
A		Revenue Agents		1		2234			820000			887981		887981		67981		Cash Fare Collections			11		11		- 0		3		2		2		2		3		12		300		3		100		2			2009 2017 (17-1001) Cash Fare Collections
O		Bus Transportation (inc Sr Dir Trans GenampSer Logist)		1		0200003103610322			2775000			4874931		4874931		2099931		Moving Violations Audit			2		2		- 0													2011
A		Bus Operations		1		0220						-		-		Cust Training Audit			1597				3		2		3		3		2		13		600		2		300		3			2011
O		Fallbrook		1		011101120113			25050000			24306144		24306144		(743856)				349		349		- 0		A		A		A		A		A		- 0
O		Kashmere (Greenlink added in 2012)		1		0121012201230124			15750000			17065038		17065038		1315038				216		221		5		A		A		A		A		A		- 0
O		Polk		1		013101320133			27965000			27300859		27300859		(664141)				348		357		9		A		A		A		A		A		- 0
O		West		1		014101420143			32898000			33761527		33761527		863527				404		438		34		A		A		A		A		A		- 0
O		Hiram Clarke		1		0151015201530154			21554000			23379044		23379044		1825044				280		321		41		A		A		A		A		A		- 0
O		Northwest (Contract - see Fac Roll -up Code 1800)		1		0163			(3248000)				-		3248000				0			- 0		A		A		A		A		A		- 0							2012
A		Service Delivery		1		0500						-		-		On-Time Perf Review						2		2		3		2		2		11		300		5		60		2			2014
O		Dispatch		1		0301			1767000			1859803		1859803		92803				17		18		1		A		A		A		A		A		- 0
F		Operator Timekeeping System		1							-		-		Old legacy system						2		2		2		1		2		9		200		5		40		2			2005 UnC
A		Director of Serv Del And Street Supervisors		1		0051 0332			3423000			3594559		3594559		171559				30		35		5		3		2		2		3		2		12		300		3		100		2
A		New Service (Was Budget Services in 2011)		1		030003920393						-		-		No bdgt or pers in 2015			0			- 0		1		1		1		1		1		5		250		2		125		1
O		Transportation Programs		1		0400						-		-							A		A		A		A		A		- 0
A		METROLift amp Director of Trans Prog		1		0045 0041			56698000			58450171		58450171		1752171		FTA review in 2013			117		124		7		3		3		3		3		3		15		400		2		200		3			2006 2007
A		Special Events and Contract Services		1		0470048003710381			330000			322665		322665		(7335)				4		3		(1)		2		1		1		1		1		6		200		5		40		1
A		Rideshare		1		0460 2537			10995000				-		(10995000)				0			- 0		3		2		2		1		2		10		300		3		100		2
A		Regional Vanpool (0831 = Community Connector)		1		0460 2539 0831					12034574		12034574		12034574		Lmtd Rev compltd 2014			3		9		6		3		2		2		2		3		12		300		3		100		2			20122014
C		Contracted Services - Northwest BOF		1		08000811-150821-25			48485000			46163058		46163058		(2321942)		$47mil ann bdgt (NW)		$4mil for NW fuel					3		2		2		3		2		12		400		2		200		2			2012 2015CR
A		METRORail		1		0600													3		2		3		3		3		14		600		2		300		3			2008
O		Senior Director Rail		1		610 0061			234000			244607		244607		10607				2		3		1		A		A		A		A		A		- 0
O		Rail Transportation		1		620 621 622 623 626 627			12352000			12181636		12181636		(170364)		METRORail Cam Aud			149		175		26		A		A		A		A		A		- 0							2015
O		Rail Control Center		1		0651			3054000			3148729		3148729		94729				27		26		(1)		A		A		A		A		A		- 0
O		SampI Administration and Supervision		1		0624 0625			676000			690213		690213		14213		New in FY14			7		8		1		A		A		A		A		A		- 0
O		Rail Maintenance		1		0660-6606810691-93			17903000			18333174		18333174		430174		Includes traction power			134		146		12		A		A		A		A		A		- 0							2013
A		Preventive Maintenance (Bus)		1		1191 (Admin)			306000			323151		323151		17151		Bus Hub Rev FY13			2		2		- 0		3		2		3		3		2		13		300		1		300		3			20122013
O		Kashmere (Greenlink added in 2012)		1		1111-1118			11068000			10734424		10734424		(333576)		Greenlink added in 2012			70		73		3		A		A		A		A		A		- 0
O		Polk		1		1121112211231124			16713000			15617108		15617108		(1095892)				97		98		1		A		A		A		A		A		- 0							1993
O		West		1		1131113211331134			21994000			20796712		20796712		(1197288)				113		121		8		A		A		A		A		A		- 0
O		Hiram Clarke		1		11411142114311441145			14524000			13845519		13845519		(678481)				85		84		(1)		A		A		A		A		A		- 0
S		Northwest (Contract - see Fac Roll-up Code 1800)		1		1151115211531154			(120000)				-		120000							A		A		A		A		A		- 0							2002
O		Fallbrook		1		1161116211631164			16224000			14955860		14955860		(1268140)				79		93		14		A		A		A		A		A		- 0
O		Buffalo Bayou Maint (Under SuppVeh RC)		1		1171 1172 1173			1878000			678775		678775		(1199225)				17		21		4		A		A		A		A		A		- 0
A		Central Support amp Manufacturing		1		1020 1021			399000			404920		404920		5920				4		4		- 0		3		2		3		3		2		13		400		2		200		3
O		Body Shop		1		1023			2267000			2388704		2388704		121704				27		28		1		A		A		A		A		A		- 0							1996 2016 (16-1005) Audit of Paint Booths
O		Unit Overhaul		1		1024			1722000			1969444		1969444		247444				32		32		- 0		A		A		A		A		A		- 0							2001
	Unit Overhaul		1		1025			(244000)					244000							A		A		A		A		A		- 0
O		Heavy Repair		1		1022			1979000			2005634		2005634		26634				22		24		2		A		A		A		A		A		- 0
O		Brake Shop		1		1029						-		-		No FY15 PersonnelBdgt			0		0		- 0		A		A		A		A		A		- 0
O		Rebuild Warranty		1		1026			98000			97500		97500		(500)							A		A		A		A		A		- 0
O		Tire amp Battery Usage		1							-		-		SpecProjAs needed						A		A		A		A		A		- 0							20012010 2017 (17-1004) Bus Tires Inspection
A		Maintenance Support		1		1200						-		-		Increasingly Critical						3		2		3		3		2		13		300		3		100		3
O		Quality Assurance		1		1210 1311			882000			904988		904988		22988				8		9		1		A		A		A		A		A		- 0
O		Warranty		1		1240 1312			3612000			4475803		4475803		863803		FY2014 Audit			4		4		- 0		A		A		A		A		A		- 0							2014
O		Technical Services amp Advanced Technology		1		1220 1014 1036			412000			388743		388743		(23257)				2		3		1		A		A		A		A		A		- 0
O		Director Maintenance Support		1		1280 1381			408000			493025		493025		85025		Fuel Tanker Audit			10		11		1		A		A		A		A		A		- 0							2014
O		Electronic Maintenance (inc fare collampradio maint)		1		13012322331390			4564000			4760210		4760210		196210		Critical Activity			43		45		2		A		A		A		A		A		- 0							2013
O		Support Vehicle Maintenance (Inc Med Duty Bus)		1		1351135312501174			4333000			5234060		5234060		901060		Include wMaint Supp			25		26		1		A		A		A		A		A		- 0							2003 07CR
O		Support Vehicle		1		1354			416000			246395		246395		(169605)							A		A		A		A		A		- 0
	Maintenance General		1		1361			5213000			5744855		5744855		531855							A		A		A		A		A		- 0
O		Maintenance Training (MEAD)		1		17201321			377000				-		(377000)		No FY15 Bdgt Or Pers						A		A		A		A		A		- 0							1996
A		Transportation Training		1		1700 1710 0331			2085000			2186942		2186942		101942		New cust Svc Focus			16		18		2		3		2		1		2		2		10		120		5		24		2			1995
								-		-
O		PLANNING ENGINEERING CONST amp REAL EST		1		2180			113640000		90591000			90591000		(23049000)
O		SVP Capital Programs			2020 2021						-		-				0			- 0		A		A		A		A		A		- 0
O		Capital Projects		1		(2180)						-		-				22			(22)		A		A		A		A		A		- 0
A		Document Control		1		2151						-		-				0			- 0		3		2		2		1		2		10		210		3		70		2
A		Engineering Support Services		1		2161			93000			556421		556421		463421				13		9		(4)		3		2		1		1		2		9		210		3		70		2
A		Capital Projects		1		2181			(16000)			42086		42086		58086		$23mil non-rail Cap Bdgt			2		2		- 0		2		2		2		2		2		10		200		5		40		2
A		Bus Infrastructure		1		2182						-		-		No Emp RC FY12-15			0			- 0		2		2		2		1		2		9		200		5		40		2
A		Project Administration and Management		1		2183 2184			(113000)			(29074)		(29074)		83926		New in 2011			7		5		(2)		2		2		2		2		2		10		200		5		40		2
A		EngStandards Buff Bayou Mods		1		9A08 9A09						-		-		New in 2012						3		3		3		2		2		13		300		3		100		3
O		State of Good Repair			2150						-		-		New in 2012						A		A		A		A		A		- 0
A		State of Good Repair			2152						-		-		New in 2012						3		3		2		1		2		11		300		3		100		2
O		Rail Construction			2100 2110 2140						-		-		Consent Agmt Review			7			(7)		A		A		A		A		A		- 0							2014
A		University Corridor			2081						-		-				0			- 0		2		2		2		1		1		8		210		3		70		2
A		4 Light Rail Lines Expansion			2171			(150000)			(13171)		(13171)		136829		$173mil Cap Bdgt			7		6		(1)		3		2		2		2		2		11		210		3		70		2
O		METRO Rail Construction Non-Capital			2040						-		-							A		A		A		A		A		- 0
A		Cap Prog Coor amp Rpt (Inactive)			2433						-		-		New name FY15			0			- 0		3		2		2		1		2		10		210		3		70		2
O		METRO Rail Expansion Integration amp Control			2110 2070						-		-				8			(8)		A		A		A		A		A		- 0
A		Program Integration amp Controls			2111 2121			(134000)			(93508)		(93508)		40492		SrDir Reports to CAO			8		6		(2)		3		2		2		1		2		10		210		3		70		2
A		Rail Vehicles			2153						-		-		Waiver Request Rev						3		3		2		1		2		11		210		3		70		2			2014
O		PLANNING		1		2190				9858000			9858000		9858000		Structure modified in FY14
O		SVP Planning		1		2191			317000			319812		319812		2812		New in 2011			2		2		- 0		A		A		A		A		A		- 0
O		Planning amp Scheduling		1		2050						-		-				29			(29)		A		A		A		A		A		- 0
A		System Planning amp Development		1		2031			16483000			3783057		3783057		(12699943)				11		9		(2)		3		3		1		2		2		11		210		3		70		2
A		Service Planning amp Development		1		2052			1676000			1258682		1258682		(417318)		Alternative Ser Delivery			9		10		1		2		2		3		2		2		11		210		3		70		2			2012
A		System Reimagining		1		1811						-		-		Frmrly Best Practices No employees and project complete			2			(2)		3		3		3		2		3		14		210		3		70		3
A		Scheduling		1		0321			853000			884171		884171		31171				7		8		1		3		2		3		2		2		12		210		3		70		2
A		US 90A Rail Livable Centers ConsortUniv Line		1		9A06 9A07 9A11						-		-		U Line New in FY14						2		1		1		1		2		7		300		3		100		1
O		FACILITY MAINTENANCE		1		1300			15255000		507000			507000		(14748000)		Formerly part of CAO
A		Facility Maint Admin amp Contracts		1		131013411346			3979000			4023276		4023276		44276				13		12		(1)		3		2		2		2		2		11		400		3		133		2
O		Facility Maintenance Programs		1		1320						-		-							A		A		A		A		A		- 0
A		Facility Maint NW Buff Bay amp ProgOp		1		1335 13371342			1598000			1714566		1714566		116566				8		15		7		2		2		2		2		2		10		300		3		100		2
A		SuptFacility Maint		1		1338						-		-		New in 2012			0			- 0		2		2		1		1		2		8		200		5		40		2
A		Facility Maint Headquarters		1		1349			2873000			3033079		3033079		160079				8		7		(1)		2		2		2		2		2		10		300		5		60		2			2007
O		Public Facilities		1		1330						-		-							A		A		A		A		A		- 0
A		Public Facility amp Public Facility Admin		1		1339 1343			7612000			7670039		7670039		58039		Bus Shelter Audit			58		57		(1)		3		2		2		3		2		12		300		3		100		2			2011
A		Public Facility Rail			1348			4497000			4097093		4097093		(399907)				39		39		- 0		3		2		2		3		2		12		300		3		100		2
O		BOF Env Serv amp Proj Management		1		13401380						-		-							A		A		A		A		A		- 0
A		BOF Env Serv amp Proj Management		1		1331-3413361344-45			6945000			6666939		6666939		(278061)				40		34		(6)		3		2		2		3		2		12		300		3		100		2
A		Fac Maint Rail		1		1347			1928000			1754811		1754811		(173189)		Higher risk after rail expans			9		10		1		3		2		2		2		2		11		300		3		100		2
O		REAL ESTATE amp PROPERTY MANAGEMENT			2550								Formerly in Legal
A		Real Estate			2131			463000			435274		435274		(27726)		Appraisal Process Aud			5		1		(4)		3		3		2		2		3		13		300		3		100		3			2015
	Total		141			Total			178221000		593645668		771866668
					83997800000
	Note A - Assessed at the ActivityOrganization Level																	ANNUAL SCHEDULED HOURS							17415
	- Scheduled for 4th qtr of FY17																	STAFF REQUIREMENTS							109
	- Annual budget figures adjusted
	or estimated where appropriate				total		83997800000									3969
	to reflect organizational or				From PY		80538300000								Check Figure from Head Count Report		3969				EDP PORTION OF ABOVE								0
	operating changes				difference		3459500000									0				EDP STAFF REQURIEMENTS								00
																TOTAL UNSCHEDULED ANNUAL HOURS								0
																TOTAL SCHEDULED amp UNSCHEDULED								0
																STAFF REQUIREMENTS IF ALL
																AUDITS SCHEDULED								000

		13		14		15
		10		11		12
		7		8		9
		-		5		6

	Reconciliation of Risk Assessment Values reviewed Audit obtained the FY2017 Budget amounts from accounting and used these amount to prepare a risk assessment The following is a reconciliation of the amounts reviewed in the Risk Assessment
			Capital Budget Amount
		Risk Assessment Amount Reviewed		178221000
		Budget Amount		178221
		Difference		178042779
			Operating Budget
		Risk Assessment Amount Reviewed		593645668
		Budget Amount		568071000
		Difference		25574668
		Adjustments		2600806		Non-Departmental A
			2500000		Contingency - President amp CEO B
		Remaining Difference		30675474		rounding differences
	Notes
	A		The Non-Departmental amount from the budget was not included in the Risk Assessment as this amount was a contingency for the COLA adjustment expected to be approved during the 2017 Fiscal Year
	B		The Contingency - President amp CEO amount from the budget was not included in the Risk Assessment as the amount was an actual contingency for unknown or potential issues which might effect METRO during the 2017 fiscal year

																	KEY
	Risk Assessment as of JUNE 2017																	Audit Type (Internal Designations not Yellow Book)
																	F = Financial						O = ORGANIZATION
																	P = Performance						S = Special Project
																	C = Compliance						A = Activity
Audit			RESPONSIBILITY		Responsibility Code or Account (SAP - New Codes)		FY2016 Budget		FY2017 BUDGET (000 omitted)				Delta				STAFF SIZE			Delta		RISK ASSESSMENT							AUDIT BUDGET						LAST YEAR
Type		ORGANIZATIONAL UNIT ACTIVITY OR		CODE OR								OTHER CONSIDERATIONS						1		2		3		4		5		Total		Estimated Hours		FRQ		ANNUAL HOURS		RISK			AUDITED
Code		PROJECT DESCRIPTION		ACCOUNT (ORACLE)			Total		CAPITAL		OPERATING		TOTAL		(Less) More		DESCRIPTION		VALUE (000)		FY16 (Actual)		FY17 (Actual)		(Less) More			Control Environment		Technology		Size		Organization				YRS					( Partial)
O		EXECUTIVE amp BOARD		2300 2320				3028000			3028000		3028000		Cap Is Unallocated Cap
O		President amp Chief Executive OfficerBoard		2310 11 12 13 21			1901000			2124896		2124896		223896				8		7		(1)		A		A		A		A		A		- 0
S		Board Service Requests							-		-		highest priority						3		3		3		1		3		13		150		1		150		3
S		President amp Chief Executive Officer Requests							-		-		highest priority						3		3		3		1		3		13		150		1		150		3
S		Office of Executive Vice PresidentStrategic Partnering		2011						-		-				0				2		1		1		1		1		6		200		5		40		1
A		Press Office		2371			641000			858422		858422		217422		Social Media Issues			5		8		3		3		3		3		1		1		11		200		5		40		2
A		Office of Innovation		2511					631181		631181		631181					3		3		A		A		A		A		A		- 0
O		GOVERNMENT amp PUBLIC AFFAIRS		2520							-				38
A		Government Affairs		2352			667000			380831		380831		(286169)		Form Part of ExecBoard			4		3		(1)		3		2		2		2		1		10		400		3		133		2
O		CORPORATE COMMUNICATIONS amp MARKETING		2580							-		Formerly part of CAO			22
A		Print Shop and Admin Services		2431 2432			1944000			1960212		1960212		16212				8		10		2		2		1		1		2		2		8		200		5		40		2			1988
A		Media amp Corporate Communications		2581			500000			521510		521510		21510				4		3		(1)		3		1		1		1		1		7		100		5		20		1
A		Marketing		2531			4716000			5440929		5440929		724929				10		12		2		2		1		2		2		1		8		300		5		60		2
O		Public Engagement		2010						-		-		Formerly part of Planning			6			(6)
A		Community Outreach		2521			682000			866624		866624		184624		Involves Rail Expansion			6		26		20		3		2		1		2		2		10		200		5		40		2
A		Interagency Dir Of Pub Engagement		25222523						-		-		Form Part of Planning		No bdgtpers		0			- 0		1		1		1		1		1		5		200		5		40		1
O		Stakeholder Affairs		2060						-		-		Formerly part of Planning			6			(6)		A		A		A		A		A		- 0
A		Stakeholder Affairs		20122524			450000			534409		534409		84409		Form Part of Cap Prog			6			(6)		3		2		1		1		2		9		210		3		70		2			2011
							-		-
A		LEGALSTAFF COUNSELCORPORATE DEVELOPMENT		2350 51			3505000			3955580		3955580		450580				17		15			3		1		1		2		1		8		200		5		40		2
F		Legal Fees							-		-							2		1		1		1		1		6		200		5		40		1			2008
S		Attorney Work Requests							-		-							3		3		2		1		1		10		200		5		40		2
S		Special Assistance							-		-							3		3		2		1		1		10		200		5		40		2
A		Records Management		2013			304000			230439		230439		(73561)		Formerly in EEOCompDiv			3		2		(1)		3		3		2		1		2		11		300		3		100		2
							-		-
O		AUDIT		2330 2331			1505000			1534340		1534340		29340				11		11
A		Internal Quality Assurance Review							-		-													200		1		200				ON-GOING
A		External Quality Assurance Review							-		-		Yellow Book Req												100		3		33				2014
A		External Auditor Assistance							-		-													50		1		50		1			ON-GOING
C		Follow-UpCompliance Reviews							-		-													450		1		450				ON-GOING
A		Application Systems Audit Support							-		-													200		1		200		2			ON-GOING
C		Capital Projects QAQC Programs		Contract Oversight						-		-		FTA REQUIREMENT						3		2		2		1		2		10		200		1		200		2			ON-GOING
P		Review of Performance Measures							-		-							2		2		1		1		1		7		1000		5		200		1			2006
C		State Audit Compliance Review							-		-							3		3		3		1		3		13		200		1		200		3			2009 2016(16-1001) Statutory Compliance
C		FTA Audit Compliance Reviews							-		-							3		3		3		1		3		13		200		1		200		3			ON-GOING
							-		-
O		FINANCE amp ADMINISTRATION (Frmrly CAO)		2500 1610			313000				-		(313000)		AmtsEmps exclude IT
O		EVP Finance amp Administration		1611			822000			624447		624447		(197553)				2		3		1		A		A		A		A		A		- 0
O		FINANCE DEPARTMENT		2200						-		-
O		Vice PresidentChief Financial Officer		2210 2211			10000			718916		718916		708916				0		2		2		A		A		A		A		A		- 0
O		AccountingController		2220 2221			3250000			3740872		3740872		490872				28		28		- 0		A		A		A		A		A		- 0
O		General Accounting							-		-							A		A		A		A		A		- 0
F		General Ledger							-		-							3		2		3		2		2		12		300		3		100		2			2001
F		Accounts Receivable							-		-							3		2		3		2		2		12		300		3		100		2			2004
O		Grants Accounting (Audit with Grants Admin)							-		-							A		A		A		A		A		- 0							2004
O		Accounting							-		-							A		A		A		A		A		- 0
F		Fixed Assets							-		-		Net Cap Assets (Proj)		3200000					3		2		3		2		2		12		300		3		100		2			200307CR
F		Payroll							-		-		LaborBnfts (Budget)		301554					2		3		3		2		2		12		300		3		100		2			1998 2007
A		Payroll Payment Verification (ghost emps)							-		-		Payroll Ver Aud FY14						2		2		2		2		2		10		200		5		40		2			20032014
A		Accounts Payable							-		-		PAYMENTS (20101010)						3		2		3		2		2		12		300		3		100		2			2007 (CR)
F		Travel Expenses							-		-		(5090201-4)						2		1		1		1		2		7		200		5		40		1			1988
C		External Audit Mgt Ltr Compliance							-		-		Priority as required						3		3		3		1		3		13		100		1		100		3			2012
F		Audit Fees							-		-		(5030302)						2		1		1		1		1		6		80		5		16		1
F		Cost Allocation Plan							-		-							2		2		1		1		1		7		250		5		50		1			2005
O		Treasury Services		2230						-		-		Includes RevSrv			33			(33)		A		A		A		A		A		- 0
O		Director Treasury Services		2231						-		-				6			(6)		A		A		A		A		A		- 0
A		Financial Planning amp Investments							-		-		Investments (2014)		415021					3		3		2		3		3		14		200		2		100		3			2010 2016 (16-1004) Financial Planning amp Investments
O		Treasury Office Operations							-		-							A		A		A		A		A		- 0							2000
F		Sales Tax Revenue(audit with Distributions)							-		-		Sales Tax (Projected)		706241					3		2		2		3		2		12		200		2		100		2			2009
F		Sales Tax Revenue Distributions							-		-		Distributions(est Gen Mob)		173019					3		2		2		3		2		12		100		2		50		2			2009
F		Other Revenues							-		-		Projected FY2015		$108 mil					3		2		1		2		2		10		90		3		30		2
F		Petty Cash							-		-		Disbursements						3		1		1		1		3		9		90		3		30		2			2002
F		Pension Funds (Audited by outside auditors)							-		-		Funds						2		1		2		1		1		7		300		5		60		1			1995
A		Revenue Services		2212						-		-		Under OMB Mgmt						3		3		3		2		3		14		300		3		100		3
A		Ticket amp Fare Collection		2232			3514000			3037608		3037608		(476392)				27		26		(1)		3		3		3		2		3		14		300		2		150		3			2001 2009
A		Revenue Management		2235						-		-		Include wFare Collection						2		2		3		2		2		11		300		3		100		2
A		Grants (Includes Grant Accounting)		2250 2353			536000			528174		528174		(7826)		GRANTS INCOME(Bdgt)		196386		4		4		- 0		3		2		3		3		3		14		300		3		100		3			2010 2013
A		New Freedom JARC		9A03 9A04						-		-		New 2012 Inc wGrants						A		A		A		A		A		- 0
O		Office of Management amp Budget		2260						-		-		low audit priority			10			(10)		A		A		A		A		A		- 0
A		Office of Management amp Budget		2361			1887000			2267912		2267912		380912				10		14		4		2		1		2		2		2		9		150		5		30		2
O		PROCUREMENT amp MATERIALS		2460							-		ProcampMat Only(exSBE)
A		Procurement		2422			3661000			3689787		3689787		28787		IT ProcampHRT Auds 14			32		34		2		3		2		2		3		2		12		400		2		200		2			20092014
F		Purchase Card Activity							-		-		Recent Pcard Purch Range		$32 milyr					3		3		1		3		2		12		300		2		150		2			20072017 (17-1003) Purchasing Cards and Small Purchases
A		HGACState of Texas Purchasing Programs							-		-							2		1		2		1		1		7		200		5		40		1
F		Fuel Purchasing Program				31773000			27468028		3207448		385448		DieselampGas Bdgt-Requests for Board Action has a modification for fuel in the amount 28510000 and 4127000		38735					3		3		2		3		2		13		200		2		100		3			20062012
C		Davis Bacon Compliance							-		-		Fewer Cap Projects						3		2		3		1		3		12		300		3		100		2			2010
O		Materials amp Distribution		2423			5695000			6056753		6056753		361753				75		77		2		A		A		A		A		A		- 0
F		Inventory Management and Control							-		-		MampS Expense (Projected)		21651					2		1		3		3		2		11		300		2		150		2			1987 2016(16-1002) FY2016 Spare Parts Inventory 2017 (17-1002) Maintenance Parts Inventory
F		Fuel amp Lubricant Controls				2822000			3207448		27468028		(4304972)		Diesel Budget		36601					3		2		2		2		2		11		500		2		250		2			20082012
F		Annual Physical and Cyclical Inventories							-		-		FY2014 Inv Balance		24250					3		2		3		3		2		13		450		1		450		3			2014
A		Property Services							-		-		Asset Disposals						2		1		2		2		3		10		400		3		133		2			2007 2015
O		SMALL BUSINESS		2340							-		Frmrly in Business Serv
A		SBEDBE		2341			823000			834530		834530		11530				7		6		(1)		3		2		2		2		2		11		300		3		100		2			2017 (17-1006) DBE Compliance
O		HUMAN RESOURCES		2400							-		Part of FinampAdmin
O		Vice President Human Resources		2410						-		-							A		A		A		A		A		- 0
O		VP Human Resources		2411			628000			636954		636954		8954				2		2		- 0		A		A		A		A		A		- 0
A		Compensation		2444			491000			495980		495980		4980				4		4		- 0		3		1		3		1		1		9		100		5		20		2
O		Human Resources Operations		2430						-		-							A		A		A		A		A		- 0
O		Staffing		2442			1229000			1385642		1385642		156642		Backgrnd Inv Review			12		11		(1)		A		A		A		A		A		- 0							2015
A		Contract and Temporary Labor							-		-							2		2		2		2		1		9		150		3		50		2			200305CR
C		Recruitment Incentive Programs							-		-							3		2		2		2		2		11		150		3		50		2
O		Labor Relations		2440						-		-		Formerly part of Serv Del						A		A		A		A		A		- 0
A		Labor Relations		2461			428000			426121		426121		(1879)				4		4		- 0		3		1		2		2		1		9		150		3		50		2
O		Human Capital Management and Personnel Services		2470						-		-							A		A		A		A		A		- 0
A		HCM and Personnel Services		2441			434000			451356		451356		17356				5		5		- 0		2		3		2		3		2		12		200		3		67		2
O		Benefits Wellness amp Compensation		24502421			55000			75576		75576		20576		Supp Ins Dep Review				3		3		A		A		A		A		A		- 0							2014
A		Wellness Programs		2446			289000			270346		270346		(18654)				2		2		- 0		3		3		2		3		2		13		200		1		200		3
A		Benefits and Pensions		2443			1282000			1283645		1283645		1645		HIPAA Audit			6		7		1		3		3		2		2		3		13		200		2		100		3			2015
A		Union Benefit Trust							-		-		Contributions (2014)		13692					A		A		A		A		A		- 0
A		Non-Union Pension							-		-		Contributions (2014)		8967					A		A		A		A		A		- 0							2008
A		Non-Union Health Insurance							-		-		Cost of Plans (2014)		9478					A		A		A		A		A		- 0
A		Life Insurance							-		-							A		A		A		A		A		- 0
A		Retirees (include wBenefits and Pensions)		2412			13411000			15177705		15177705		1766705							A		A		A		A		A		- 0
O		EEO COMPLIANCE AND DIVERSITY		2480							-		Part of HR in 2015
O		VP EEO Compliance amp Diversity		2014							-		Dir Level in 2015 no VP						A		A		A		A		A		- 0
O		COMPLIANCE EEO EMPLOYEE RELATIONS		2560							-		New org structure in 2011
A		EEO and Employee Relations		2445			719000			761821		761821		42821				5		4		(1)		2		2		2		2		1		9		150		3		50		2
A		EEO		2449			453000			508580		508580		55580				2		4		2		1		1		1		1		1		5		150		5		30		1
							-		-
O		INFORMATION TECHNOLOGY		2280 2451			44507000		8626000		21515539		30141539		(14365461)		Part of FinampAdmin				66		66
O		Disaster Recovery amp Business Continuity							-		-
A		Data Access Security							-		-							2		2		1		3		2		10		300		3		100		2			2008
A		Disaster Recovery Observation							-		-							3		3		3		3		3		15		300		1		300		3			2017
A		Business Recovery Planning							-		-							2		2		2		3		3		12		300		3		100		2			2017
A		Data Center Operations							-		-							2		3		2		3		2		12		200		3		67		2			2009
O		Databases							-		-
A		Data Base Administration							-		-							2		3		3		3		3		14		400		3		133		3			2016
O		Network Management							-		-
A		Firewall Admin amp Controls							-		-							3		3		2		3		2		13		260		2		130		3			2016
A		Incident Intrusion and Emergency Response							-		-							3		3		2		3		2		13		260		2		130		3			2007
A		Wireless Network Security							-		-							3		3		2		3		2		13		260		2		130		3			2007
O		Department Administrative Functions							-		-
A		Help Desk Operations							-		-							2		2		2		2		2		10		300		3		100		2			2009
A		Computer Equipment Disposal Practices							-		-							2		2		2		2		2		10		300		3		100		2			2016
A		HardwareSoftware Standards							-		-							2		2		1		2		2		9		200		3		67		2			2009
A		Remote Access Policies and Security							-		-							2		2		2		2		2		10		150		3		50		2			2009
O		Applications Systems							-		-
A		Enterprise Systems Migration amp Chg Controls							-		-							3		2		3		2		2		12		400		3		133		2			2007
A		Security and Controls							-		-							3		2		3		2		2		12		300		2		150		2			2007
A		SAP Application Maintenance							-		-							3		3		3		2		3		14		300		3		100		3
O		Internet Access Use Controls amp Security							-		-
A		Web Site Management							-		-							3		2		3		2		2		12		250		2		125		2			2010
A		E-business Administration and Controls							-		-							3		2		2		3		2		12		250		2		125		2
A		E-mail Usage Security and Controls							-		-							3		2		2		3		2		12		250		2		125		2			2008
O		Communications Systems							-		-		(50502045121201)
A		VOIP Telephone System Management amp Security							-		-							3		2		3		3		3		14		250		3		83		3			2012
A		Video Surveillance System Man amp Security							-		-							3		2		2		3		3		13		250		2		125		3			2008
A		Radio System Management and Security							-		-							3		2		3		3		3		14		300		3		100		3
O		New Systems Development and Controls							-		-
A		IT Project Management Policies amp Procedures							-		-							2		2		2		2		3		11		400		2		200		2			2011
A		Post Implementation Review							-		-		Q Card review in 2010						2		2		2		2		2		10		200		2		100		2			2010
A		ERP Technical Controls							-		-							2		2		2		2		2		10		400		2		200		2			2010
O		Operating Systems (OS)							-		-
A		UNIX OS Review							-		-							2		3		3		2		3		13		500		3		167		3			2012
A		Windows OS Review							-		-							2		3		3		2		3		13		500		3		167		3			2014
A		Vmware Virtualization OS Review							-		-							2		3		3		2		3		13		500		3		167		3			2014
O		Adherence to Licensing Requirements							-		-
A		SAP Contract Compliance							-		-							2		2		2		2		3		11		200		2		100		2			2017
A		Oracle Contract Compliance							-		-							2		2		2		2		3		11		200		2		100		2			2017
A		Other Licenses							-		-							2		2		2		2		2		10		200		2		100		2			2017
O		Storage							-		-
A		Data Storage							-		-							3		3		3		2		3		14		600		4		150		3			2017
O		Rail IT							-		-
A		SCADA Systems							-		-							3		3		3		3		2		14		300		2		150		3			2011
A		Data Center Operations							-		-							3		3		3		3		2		14		300		2		150		3			2014
							-		-
O		OPS PUB SFTY amp CUST RDRSHP SERVS		2800			1405000					(1405000)		Includes MPD in FY1415
O		EVP Ops Pub SftyampCust Rdrshp Servs		1821			740000			768800		768800		28800		RC frmrly Best Practices			6		5		(1)		A		A		A		A		A		- 0
O		Director of Safety		2810 2812			180000			189445		189445		9445				1			(1)		A		A		A		A		A		- 0
A		Customer and Health Safety		2820283022432245			1309000			1248726		1248726		(60274)				12		11		(1)		3		3		2		2		2		12		300		3		100		2
A		Workplace and Environmental Safety		28402246			569000			642623		642623		73623		No budget in 2015			5		5		- 0		1		1		1		1		1		5		100		3		33		1
A		Drug amp Alcohol Program		2448			611000			630270		630270		19270		FTA area of interest			3		3		- 0		3		3		1		1		2		10		300		3		100		2			2010 2015CR
O		Risk Management		2240						-		-							A		A		A		A		A		- 0							2013
O		Director Risk Management		2241			161000			160688		160688		(312)				1				(1)		A		A		A		A		A		- 0
A		Claims		2242			1116000			1135035		1135035		19035		FEMA Reim Audit			12		13		1		2		2		1		2		2		9		150		3		50		2			2013
A		General Insurance		2244			3852000			3605884		3605884		(246116)				3		3		- 0		2		2		2		2		2		10		150		3		50		2			2003
A		Workers Compensation							-		-		Audited in 2014						2		2		2		1		2		9		150		3		50		2			2014
A		Owner Controlled Iinsurance Program (OCIP)							-		-		True-up in progress						3		3		2		3		2		13		400		3		133		3			20112017 (17-1005) Audit of OCIP
A		Training Design amp Delivery		2850 2247			585000			651220		651220		66220		New org in 2011			3		5		2		3		2		2		1		3		11		300		3		100		2
O		METRO POLICE		1900							-		Part of Safety in FY1415
O		Vice PresidentChief of Police		1910 0911			593000			569954		569954		(23046)				2		4		2		A		A		A		A		A		- 0
O		Management Services		1920 0912 0913			414000			374176		374176		(39824)				4		8		4		A		A		A		A		A		- 0
F		Special Funds - LEOSE amp Seized Property							-		-		STATE REQUIREMENT		30					3		1		1		1		2		8		200		1		200		2			2014
O		Police Field amp Rail Operations		1930						-		-							A		A		A		A		A		- 0
A		Field amp Rail Operations		0934 0966			13646000			15091874		15091874		1445874				144		150		6		3		2		2		3		2		12		300		5		60		2			1998 2007 2016 (16-1006) MPD Administrative Fees
A		System Security K-9 Unit		0936			841000			902038		902038		61038				8		8		- 0		3		2		1		2		2		10		200		5		40		2
A		Motorist Assistance Program		0964			(88000)			53190		53190		141190				8		7		(1)		3		2		1		1		1		8		200		5		40		2
A		HOV-Enforcements		0965			(447000)			383387		383387		830387				25		30		5		3		2		2		1		2		10		300		5		60		2			1998
O		Support Operations		1940						-		-							A		A		A		A		A		- 0							1998
A		Transtar amp Dispatch		0942 0943			1912000			2200654		2200654		288654				19		19		- 0		3		3		3		2		2		13		300		5		60		3
A		Support OperationsampAnti-Terrorism Grant		0932 0935			982000			1416066		1416066		434066				10		14		4		2		2		2		2		2		10		300		5		60		2
A		Investigations		0931			1080000			1435846		1435846		355846		Accident Investigations			11		13		2		3		2		2		2		2		11		300		5		60		2			1998 2007 2016 (16-1003) Bus Accident Investigations
A		Records		0952			301000			441900		441900		140900				6		6		- 0		2		2		2		1		1		8		300		5		60		2			1998
O		Homeland Security(Inactive budget in 0953)		1950						-		-							A		A		A		A		A		- 0
A		Police Homeland Security		0953						-		-		No pers In 2015			0			- 0		3		2		2		1		2		10		300		5		60		2
A		Security BOF(Auditable area no budget or pers)		0933						-		-		No Emp RC in 2013-15			0			- 0		3		3		3		1		3		13		400		2		200		3			2012 2015
A		Emergency Management(No budget or pers)		1960 1961						-		-		No Emp RC in 2012-15			0			- 0		3		2		2		1		2		10		300		3		100		2			2008 2009
S		Special Assistance by Audit - Investigations							-		-		Perform as needed						3		3		2		2		3		13		200		1		200		3			2010
O		CUSTOMER amp RIDERSHIP SERVICES		2530							-		New Dept FY14 (frm Ops)
A		RideStores		2538			696000			653907		653907		(42093)				9		12		3		3		2		3		2		2		12		300		3		100		2			2003 2006
A		Sales		2543			590000			593479		593479		3479		Include wRideStores			5		3		(2)		2		2		2		2		2		10		300		3		100		2
A		Customer Information Center (Customer Care)		2532			3627000			3489725		3489725		(137275)		Partial Audit wComplaints			62		57		(5)		3		2		3		3		2		13		300		3		100		3			2015
							-		-
O		OPERATIONS		1000			91154000		65611000			65611000		(25543000)		TotExp Excluding Fuel		338969
O		Senior VP amp Staff (inc Budget Operations(OMS))		0100 0011 0351			1850000			1469162		1469162		(380838)				7		12		5		A		A		A		A		A		- 0
A		HOT Lanes Operations		1500 1510 2185			8062000			8379468		8379468		317468		New to Ops FY14			1		1		- 0		3		3		2		2		3		13		300		3		100		3			2015
O		Revenue Collection		2290						-		-		New to Ser Del In 2011						A		A		A		A		A		- 0
A		Revenue Agents		2234			820000			887981		887981		67981		Cash Fare Collections			11		11		- 0		3		2		2		2		3		12		300		3		100		2			2009 2017 (17-1001) Cash Fare Collections
O		Bus Transportation (inc Sr Dir Trans GenampSer Logist)		0200003103610322			2775000			4874931		4874931		2099931		Moving Violations Audit			2		2		- 0													2011
A		Bus Operations		0220						-		-		Cust Training Audit			1597				3		2		3		3		2		13		600		2		300		3			2011
O		Fallbrook		011101120113			25050000			24306144		24306144		(743856)				349		349		- 0		A		A		A		A		A		- 0
O		Kashmere (Greenlink added in 2012)		0121012201230124			15750000			17065038		17065038		1315038				216		221		5		A		A		A		A		A		- 0
O		Polk		013101320133			27965000			27300859		27300859		(664141)				348		357		9		A		A		A		A		A		- 0
O		West		014101420143			32898000			33761527		33761527		863527				404		438		34		A		A		A		A		A		- 0
O		Hiram Clarke		0151015201530154			21554000			23379044		23379044		1825044				280		321		41		A		A		A		A		A		- 0
O		Northwest (Contract - see Fac Roll -up Code 1800)		0163			(3248000)				-		3248000				0			- 0		A		A		A		A		A		- 0							2012
A		Service Delivery		0500						-		-		On-Time Perf Review						2		2		3		2		2		11		300		5		60		2			2014
O		Dispatch		0301			1767000			1859803		1859803		92803				17		18		1		A		A		A		A		A		- 0
F		Operator Timekeeping System							-		-		Old legacy system						2		2		2		1		2		9		200		5		40		2			2005 UnC
A		Director of Serv Del And Street Supervisors		0051 0332			3423000			3594559		3594559		171559				30		35		5		3		2		2		3		2		12		300		3		100		2
A		New Service (Was Budget Services in 2011)		030003920393						-		-		No bdgt or pers in 2015			0			- 0		1		1		1		1		1		5		250		2		125		1
O		Transportation Programs		0400						-		-							A		A		A		A		A		- 0
A		METROLift amp Director of Trans Prog		0045 0041			56698000			58450171		58450171		1752171		FTA review in 2013			117		124		7		3		3		3		3		3		15		400		2		200		3			2006 2007
A		Special Events and Contract Services		0470048003710381			330000			322665		322665		(7335)				4		3		(1)		2		1		1		1		1		6		200		5		40		1
A		Rideshare		0460 2537			10995000				-		(10995000)				0			- 0		3		2		2		1		2		10		300		3		100		2
A		Regional Vanpool (0831 = Community Connector)		0460 2539 0831					12034574		12034574		12034574		Lmtd Rev compltd 2014			3		9		6		3		2		2		2		3		12		300		3		100		2			20122014
C		Contracted Services - Northwest BOF		08000811-150821-25			48485000			46163058		46163058		(2321942)		$47mil ann bdgt (NW)		$4mil for NW fuel					3		2		2		3		2		12		400		2		200		2			2012 2015CR
A		METRORail		0600													3		2		3		3		3		14		600		2		300		3			2008
O		Senior Director Rail		610 0061			234000			244607		244607		10607				2		3		1		A		A		A		A		A		- 0
O		Rail Transportation		620 621 622 623 626 627			12352000			12181636		12181636		(170364)		METRORail Cam Aud			149		175		26		A		A		A		A		A		- 0							2015
O		Rail Control Center		0651			3054000			3148729		3148729		94729				27		26		(1)		A		A		A		A		A		- 0
O		SampI Administration and Supervision		0624 0625			676000			690213		690213		14213		New in FY14			7		8		1		A		A		A		A		A		- 0
O		Rail Maintenance		0660-6606810691-93			17903000			18333174		18333174		430174		Includes traction power			134		146		12		A		A		A		A		A		- 0							2013
A		Preventive Maintenance (Bus)		1191 (Admin)			306000			323151		323151		17151		Bus Hub Rev FY13			2		2		- 0		3		2		3		3		2		13		300		1		300		3			20122013
O		Kashmere (Greenlink added in 2012)		1111-1118			11068000			10734424		10734424		(333576)		Greenlink added in 2012			70		73		3		A		A		A		A		A		- 0
O		Polk		1121112211231124			16713000			15617108		15617108		(1095892)				97		98		1		A		A		A		A		A		- 0							1993
O		West		1131113211331134			21994000			20796712		20796712		(1197288)				113		121		8		A		A		A		A		A		- 0
O		Hiram Clarke		11411142114311441145			14524000			13845519		13845519		(678481)				85		84		(1)		A		A		A		A		A		- 0
S		Northwest (Contract - see Fac Roll-up Code 1800)		1151115211531154			(120000)				-		120000							A		A		A		A		A		- 0							2002
O		Fallbrook		1161116211631164			16224000			14955860		14955860		(1268140)				79		93		14		A		A		A		A		A		- 0
O		Buffalo Bayou Maint (Under SuppVeh RC)		1171 1172 1173			1878000			678775		678775		(1199225)				17		21		4		A		A		A		A		A		- 0
A		Central Support amp Manufacturing		1020 1021			399000			404920		404920		5920				4		4		- 0		3		2		3		3		2		13		400		2		200		3
O		Body Shop		1023			2267000			2388704		2388704		121704				27		28		1		A		A		A		A		A		- 0							1996 2016 (16-1005) Audit of Paint Booths
O		Unit Overhaul		1024			1722000			1969444		1969444		247444				32		32		- 0		A		A		A		A		A		- 0							2001
	Unit Overhaul		1025			(244000)					244000							A		A		A		A		A		- 0
O		Heavy Repair		1022			1979000			2005634		2005634		26634				22		24		2		A		A		A		A		A		- 0
O		Brake Shop		1029						-		-		No FY15 PersonnelBdgt			0		0		- 0		A		A		A		A		A		- 0
O		Rebuild Warranty		1026			98000			97500		97500		(500)							A		A		A		A		A		- 0
O		Tire amp Battery Usage							-		-		SpecProjAs needed						A		A		A		A		A		- 0							20012010 2017 (17-1004) Bus Tires Inspection
A		Maintenance Support		1200						-		-		Increasingly Critical						3		2		3		3		2		13		300		3		100		3
O		Quality Assurance		1210 1311			882000			904988		904988		22988				8		9		1		A		A		A		A		A		- 0
O		Warranty		1240 1312			3612000			4475803		4475803		863803		FY2014 Audit			4		4		- 0		A		A		A		A		A		- 0							2014
O		Technical Services amp Advanced Technology		1220 1014 1036			412000			388743		388743		(23257)				2		3		1		A		A		A		A		A		- 0
O		Director Maintenance Support		1280 1381			408000			493025		493025		85025		Fuel Tanker Audit			10		11		1		A		A		A		A		A		- 0							2014
O		Electronic Maintenance (inc fare collampradio maint)		13012322331390			4564000			4760210		4760210		196210		Critical Activity			43		45		2		A		A		A		A		A		- 0							2013
O		Support Vehicle Maintenance (Inc Med Duty Bus)		1351135312501174			4333000			5234060		5234060		901060		Include wMaint Supp			25		26		1		A		A		A		A		A		- 0							2003 07CR
O		Support Vehicle		1354			416000			246395		246395		(169605)							A		A		A		A		A		- 0
	Maintenance General		1361			5213000			5744855		5744855		531855							A		A		A		A		A		- 0
O		Maintenance Training (MEAD)		17201321			377000				-		(377000)		No FY15 Bdgt Or Pers						A		A		A		A		A		- 0							1996
A		Transportation Training		1700 1710 0331			2085000			2186942		2186942		101942		New cust Svc Focus			16		18		2		3		2		1		2		2		10		120		5		24		2			1995
							-		-
O		PLANNING ENGINEERING CONST amp REAL EST		2180			113640000		90591000			90591000		(23049000)
O		SVP Capital Programs		2020 2021						-		-				0			- 0		A		A		A		A		A		- 0
O		Capital Projects		(2180)						-		-				22			(22)		A		A		A		A		A		- 0
A		Document Control		2151						-		-				0			- 0		3		2		2		1		2		10		210		3		70		2
A		Engineering Support Services		2161			93000			556421		556421		463421				13		9		(4)		3		2		1		1		2		9		210		3		70		2
A		Capital Projects		2181			(16000)			42086		42086		58086		$23mil non-rail Cap Bdgt			2		2		- 0		2		2		2		2		2		10		200		5		40		2
A		Bus Infrastructure		2182						-		-		No Emp RC FY12-15			0			- 0		2		2		2		1		2		9		200		5		40		2
A		Project Administration and Management		2183 2184			(113000)			(29074)		(29074)		83926		New in 2011			7		5		(2)		2		2		2		2		2		10		200		5		40		2
A		EngStandards Buff Bayou Mods		9A08 9A09						-		-		New in 2012						3		3		3		2		2		13		300		3		100		3
O		State of Good Repair		2150						-		-		New in 2012						A		A		A		A		A		- 0
A		State of Good Repair		2152						-		-		New in 2012						3		3		2		1		2		11		300		3		100		2
O		Rail Construction		2100 2110 2140						-		-		Consent Agmt Review			7			(7)		A		A		A		A		A		- 0							2014
A		University Corridor		2081						-		-				0			- 0		2		2		2		1		1		8		210		3		70		2
A		4 Light Rail Lines Expansion		2171			(150000)			(13171)		(13171)		136829		$173mil Cap Bdgt			7		6		(1)		3		2		2		2		2		11		210		3		70		2
O		METRO Rail Construction Non-Capital		2040						-		-							A		A		A		A		A		- 0
A		Cap Prog Coor amp Rpt (Inactive)		2433						-		-		New name FY15			0			- 0		3		2		2		1		2		10		210		3		70		2
O		METRO Rail Expansion Integration amp Control		2110 2070						-		-				8			(8)		A		A		A		A		A		- 0
A		Program Integration amp Controls		2111 2121			(134000)			(93508)		(93508)		40492		SrDir Reports to CAO			8		6		(2)		3		2		2		1		2		10		210		3		70		2
A		Rail Vehicles		2153						-		-		Waiver Request Rev						3		3		2		1		2		11		210		3		70		2			2014
O		PLANNING		2190				9858000			9858000		9858000		Structure modified in FY14
O		SVP Planning		2191			317000			319812		319812		2812		New in 2011			2		2		- 0		A		A		A		A		A		- 0
O		Planning amp Scheduling		2050						-		-				29			(29)		A		A		A		A		A		- 0
A		System Planning amp Development		2031			16483000			3783057		3783057		(12699943)				11		9		(2)		3		3		1		2		2		11		210		3		70		2
A		Service Planning amp Development		2052			1676000			1258682		1258682		(417318)		Alternative Ser Delivery			9		10		1		2		2		3		2		2		11		210		3		70		2			2012
A		System Reimagining		1811						-		-		Frmrly Best Practices No employees and project complete			2			(2)		3		3		3		2		3		14		210		3		70		3
A		Scheduling		0321			853000			884171		884171		31171				7		8		1		3		2		3		2		2		12		210		3		70		2
A		US 90A Rail Livable Centers ConsortUniv Line		9A06 9A07 9A11						-		-		U Line New in FY14						2		1		1		1		2		7		300		3		100		1
O		FACILITY MAINTENANCE		1300			15255000		507000			507000		(14748000)		Formerly part of CAO
A		Facility Maint Admin amp Contracts		131013411346			3979000			4023276		4023276		44276				13		12		(1)		3		2		2		2		2		11		400		3		133		2
O		Facility Maintenance Programs		1320						-		-							A		A		A		A		A		- 0
A		Facility Maint NW Buff Bay amp ProgOp		1335 13371342			1598000			1714566		1714566		116566				8		15		7		2		2		2		2		2		10		300		3		100		2
A		SuptFacility Maint		1338						-		-		New in 2012			0			- 0		2		2		1		1		2		8		200		5		40		2
A		Facility Maint Headquarters		1349			2873000			3033079		3033079		160079				8		7		(1)		2		2		2		2		2		10		300		5		60		2			2007
O		Public Facilities		1330						-		-							A		A		A		A		A		- 0
A		Public Facility amp Public Facility Admin		1339 1343			7612000			7670039		7670039		58039		Bus Shelter Audit			58		57		(1)		3		2		2		3		2		12		300		3		100		2			2011
A		Public Facility Rail		1348			4497000			4097093		4097093		(399907)				39		39		- 0		3		2		2		3		2		12		300		3		100		2
O		BOF Env Serv amp Proj Management		13401380						-		-							A		A		A		A		A		- 0
A		BOF Env Serv amp Proj Management		1331-3413361344-45			6945000			6666939		6666939		(278061)				40		34		(6)		3		2		2		3		2		12		300		3		100		2
A		Fac Maint Rail		1347			1928000			1754811		1754811		(173189)		Higher risk after rail expans			9		10		1		3		2		2		2		2		11		300		3		100		2
O		REAL ESTATE amp PROPERTY MANAGEMENT		2550								Formerly in Legal
A		Real Estate		2131			463000			435274		435274		(27726)		Appraisal Process Aud			5		1		(4)		3		3		2		2		3		13		300		3		100		3			2015
			Total			178221000		593645668		771866668
				83997800000
	Note A - Assessed at the ActivityOrganization Level																ANNUAL SCHEDULED HOURS							17415
	- Scheduled for 4th qtr of FY17																STAFF REQUIREMENTS							109
	- Annual budget figures adjusted
	or estimated where appropriate			total		83997800000									3969
	to reflect organizational or			From PY		80538300000								Check Figure from Head Count Report		3969				EDP PORTION OF ABOVE								0
	operating changes			difference		3459500000									0				EDP STAFF REQURIEMENTS								00
															TOTAL UNSCHEDULED ANNUAL HOURS								0
															TOTAL SCHEDULED amp UNSCHEDULED								0
															STAFF REQUIREMENTS IF ALL
															AUDITS SCHEDULED								000

Contracts (87 Audit Reports)bull 72 CostPrice Analysis Audits (supporting 10 contracts totaling $25850082)bull 13 Buy America Post Delivery Audits (supporting 74 buses totaling

$36399427)bull 2 Buy America Pre-Award Audit (supporting 2 contracts totaling $24544973

for 20 Buses)

3

$342540 (4)

$10677220 (20)

$24569237 (49)

$810430 (1)0

10

20

30

40

50

Wheelchair Lift EquippedVehicles

40 Foot CNG Buses 45 Foot Diesel Commuter Buses 60 Foot BRT Transit Buses

Aud

it C

ompl

eted

Types of Vehicles Audited

Internal FunctionsInformation Technology (20 Audit Reports)bull 13 Audit Reportsbull 7 Special ProjectsReviews (Safety Recommendations Lighthouse)

Monthly Corrective Action Compliancebull 35 Previously Identified Audit Recommendations Implemented bull 25 Newly Identified Audit Recommendations

4

Operations 9

Regulatory Compliance

3Information Technology

1

Policy amp Controls 12

Types of Recommendations

Collaborationsbull Participated in round table discussions with other local and state audit leadership

to discuss emerging audit risks and department challengesbull Working with Transit Agencies in Texas to leverage cumulative audit knowledge

and experiencebull Participating on a project for identifying standard transit risks for finance

operations and compliance through APTA with participating Agencies across the US

5

6

bull FY2020 Proposed Audit Plan based on Annual Risk Assessmentbull Risk Assessment based on 5 variables assigned a risk score of 1 -3 each (1=Low 2=Med 3=High)

based on cumulative audit knowledge and experience

Internal Functions - 16

Total Org Units containing a total of 214 Auditable

Areas

Organizational Unit Score Evaluation

High Risk (12-15)Med Risk (8-11) Low Risk (5-7)

Risk Map

7 8 9

- 5 6

13 14 15

10 11 12

Audit Universe

Risk Assessment

Recap

ampZampF

John M GarciaUsed the Original Budget Number (Column O) from the FY2017 Budget By RC Code for the Operating Column

Garrett Brownadded 1174 in 2017

Garrett Brownadded 1361 in 2017

Garrett Brownlisted as Rc code 1600 on 2016 budget

Garrett Brownadded from 2016 budget

Garrett Brown2016 rc code 2000

John M GarciaSource - Fuel Taxes Budget for FY17 the total is comprised of Gasoline 3207448Diesel Fuel 24260580Fuel and Lub Taxes 2649280

John M GarciaSource Document - Fuel Taxes Budget for FY17 3207 = Gasoline acct 526020

John M GarciaDid this department get eliminated

Reconciliation

Heat Map

Sheet1

Sheet2

Sheet3

Sheet4

METROrsquos Organizational Units (not including IT)

bull Thirteen audits proposed for FY2020 including audits of Regional Van Pool Program Support Vehicle Usage and Rail Safety Security and Customer Experience The Audit Plan does incorporate the Agencyrsquos Annual Business Plan Goals as part of the risk assessment when selecting audits

7

0 10 20 30 40

EXECUTIVE amp BOARDLEGALAUDIT

ADMINISTRATIONFINANCE

HUMAN RESOURCESEEO amp COMPLIANCEEMPLOYEE BENEFITS

OPS PUB SFTY amp CUSTOMERMETRO POLICE

NON-RAIL OPERATIONSMETRORail

ENGINEERINGPLANNING

FACILITIES MAINTENANCE

1 4 4

2 8

9 2

3 6

18 24

33 8 8

11 Number of Auditable Areas

Risk Map

Support Vehicle Usage

Compliance

Regional Van Pool Program

Rail Safety amp Security

Recap

ampZampF

John M GarciaUsed the Original Budget Number (Column O) from the FY2017 Budget By RC Code for the Operating Column

Garrett Brownadded 1174 in 2017

Garrett Brownadded 1361 in 2017

Garrett Brownlisted as Rc code 1600 on 2016 budget

Garrett Brownadded from 2016 budget

Garrett Brown2016 rc code 2000

John M GarciaSource - Fuel Taxes Budget for FY17 the total is comprised of Gasoline 3207448Diesel Fuel 24260580Fuel and Lub Taxes 2649280

John M GarciaSource Document - Fuel Taxes Budget for FY17 3207 = Gasoline acct 526020

John M GarciaDid this department get eliminated

Reconciliation

Heat Map

Auditable Organizations

Heat Map 2

Sheet3

Sheet4

8

Risk Map

During FY2020 IT Audit will collaborate with Information Technology and have a Risk Assessment performed by 3rd Party IT Consultants to update the Areas of Focus and Auditable Areas

Since 2012 - Information Technology had 11 Areas of Focus with 61 Auditable Areas resulting in 19 Audit Reports

IT Risk Assessment and Updated Auditable Areas

FY2020 - Risk Assessment

Wireless Network

Disaster Recovery

Recap

ampZampF

John M GarciaUsed the Original Budget Number (Column O) from the FY2017 Budget By RC Code for the Operating Column

Garrett Brownadded 1174 in 2017

Garrett Brownadded 1361 in 2017

Garrett Brownlisted as Rc code 1600 on 2016 budget

Garrett Brownadded from 2016 budget

Garrett Brown2016 rc code 2000

John M GarciaSource - Fuel Taxes Budget for FY17 the total is comprised of Gasoline 3207448Diesel Fuel 24260580Fuel and Lub Taxes 2649280

John M GarciaSource Document - Fuel Taxes Budget for FY17 3207 = Gasoline acct 526020

John M GarciaDid this department get eliminated

Reconciliation

Heat Map

Auditable Organizations

Heat Map 2

Sheet3

Sheet4

bull Buy America (Pre-Award and Post Delivery) 60 Foot Articulated BRT Vehicles 40 Foot CNG Buses 45 Foot Clean Diesel Wheelchair Lift-Equipped Vehicles

bull CostPrice Analysis covers a variety of areas such as Environmental Engineering General Planning Consultant Transportation Consulting Construction Management Surveying Services Contract Modifications

9

Auditable Procurement Activities

Buy America Pre -Award and Post-Delivery

CostPrice Analysis

Risk Map

Recap

ampZampF

John M GarciaUsed the Original Budget Number (Column O) from the FY2017 Budget By RC Code for the Operating Column

Garrett Brownadded 1174 in 2017

Garrett Brownadded 1361 in 2017

Garrett Brownlisted as Rc code 1600 on 2016 budget

Garrett Brownadded from 2016 budget

Garrett Brown2016 rc code 2000

John M GarciaSource - Fuel Taxes Budget for FY17 the total is comprised of Gasoline 3207448Diesel Fuel 24260580Fuel and Lub Taxes 2649280

John M GarciaSource Document - Fuel Taxes Budget for FY17 3207 = Gasoline acct 526020

John M GarciaDid this department get eliminated

Reconciliation

Heat Map

Auditable Organizations

Heat Map 2

Sheet3

Sheet4

10

QuestionsComments

• Metropolitan Transit Authority of Harris County
• Audit Department Highlightsndash Fiscal Year 2019
• Audit Department Highlightsndash Fiscal Year 2019 (Contracts)
• Audit Department Highlightsndash Fiscal Year 2019 (Internal FunctionsIT)
• Audit Department Highlightsndash Fiscal Year 2019
• Audit Department ndash Risk Assessment Highlights
• Audit Department ndash Internal Functions
• Audit Department ndash Information Technology
• Audit Department ndash Contracts Group
• Audit Department ndash Proposed Audit Work Plan

	Organizational Units		Auditable Units
	Executive amp Baord		1
	Legal		4

		13		14		15
		10		11		12
		7		8		9
		-		5		6

	Reconciliation of Risk Assessment Values reviewed Audit obtained the FY2017 Budget amounts from accounting and used these amount to prepare a risk assessment The following is a reconciliation of the amounts reviewed in the Risk Assessment
			Capital Budget Amount
		Risk Assessment Amount Reviewed		178221000
		Budget Amount		178221
		Difference		178042779
			Operating Budget
		Risk Assessment Amount Reviewed		593645668
		Budget Amount		568071000
		Difference		25574668
		Adjustments		2600806		Non-Departmental A
			2500000		Contingency - President amp CEO B
		Remaining Difference		30675474		rounding differences
	Notes
	A		The Non-Departmental amount from the budget was not included in the Risk Assessment as this amount was a contingency for the COLA adjustment expected to be approved during the 2017 Fiscal Year
	B		The Contingency - President amp CEO amount from the budget was not included in the Risk Assessment as the amount was an actual contingency for unknown or potential issues which might effect METRO during the 2017 fiscal year

																		KEY
	Risk Assessment as of JUNE 2017																		Audit Type (Internal Designations not Yellow Book)
																		F = Financial						O = ORGANIZATION
																		P = Performance						S = Special Project
																		C = Compliance						A = Activity
Audit				RESPONSIBILITY		Responsibility Code or Account (SAP - New Codes)		FY2016 Budget		FY2017 BUDGET (000 omitted)				Delta				STAFF SIZE			Delta		RISK ASSESSMENT							AUDIT BUDGET						LAST YEAR
Type		ORGANIZATIONAL UNIT ACTIVITY OR			CODE OR								OTHER CONSIDERATIONS						1		2		3		4		5		Total		Estimated Hours		FRQ		ANNUAL HOURS		RISK			AUDITED
Code		PROJECT DESCRIPTION			ACCOUNT (ORACLE)			Total		CAPITAL		OPERATING		TOTAL		(Less) More		DESCRIPTION		VALUE (000)		FY16 (Actual)		FY17 (Actual)		(Less) More			Control Environment		Technology		Size		Organization				YRS					( Partial)
O		EXECUTIVE amp BOARD		1		2300 2320				3028000			3028000		3028000		Cap Is Unallocated Cap
O		President amp Chief Executive OfficerBoard			2310 11 12 13 21			1901000			2124896		2124896		223896				8		7		(1)		A		A		A		A		A		- 0
S		Board Service Requests								-		-		highest priority						3		3		3		1		3		13		150		1		150		3
S		President amp Chief Executive Officer Requests								-		-		highest priority						3		3		3		1		3		13		150		1		150		3
S		Office of Executive Vice PresidentStrategic Partnering			2011						-		-				0				2		1		1		1		1		6		200		5		40		1
A		Press Office			2371			641000			858422		858422		217422		Social Media Issues			5		8		3		3		3		3		1		1		11		200		5		40		2
A		Office of Innovation			2511					631181		631181		631181					3		3		A		A		A		A		A		- 0
O		GOVERNMENT amp PUBLIC AFFAIRS			2520							-				38
A		Government Affairs			2352			667000			380831		380831		(286169)		Form Part of ExecBoard			4		3		(1)		3		2		2		2		1		10		400		3		133		2
O		CORPORATE COMMUNICATIONS amp MARKETING			2580							-		Formerly part of CAO			22
A		Print Shop and Admin Services			2431 2432			1944000			1960212		1960212		16212				8		10		2		2		1		1		2		2		8		200		5		40		2			1988
A		Media amp Corporate Communications			2581			500000			521510		521510		21510				4		3		(1)		3		1		1		1		1		7		100		5		20		1
A		Marketing			2531			4716000			5440929		5440929		724929				10		12		2		2		1		2		2		1		8		300		5		60		2
O		Public Engagement			2010						-		-		Formerly part of Planning			6			(6)
A		Community Outreach			2521			682000			866624		866624		184624		Involves Rail Expansion			6		26		20		3		2		1		2		2		10		200		5		40		2
A		Interagency Dir Of Pub Engagement			25222523						-		-		Form Part of Planning		No bdgtpers		0			- 0		1		1		1		1		1		5		200		5		40		1
O		Stakeholder Affairs			2060						-		-		Formerly part of Planning			6			(6)		A		A		A		A		A		- 0
A		Stakeholder Affairs			20122524			450000			534409		534409		84409		Form Part of Cap Prog			6			(6)		3		2		1		1		2		9		210		3		70		2			2011
								-		-
A		LEGALSTAFF COUNSELCORPORATE DEVELOPMENT			2350 51			3505000			3955580		3955580		450580				17		15			3		1		1		2		1		8		200		5		40		2
F		Legal Fees		1							-		-							2		1		1		1		1		6		200		5		40		1			2008
S		Attorney Work Requests		1							-		-							3		3		2		1		1		10		200		5		40		2
S		Special Assistance		1							-		-							3		3		2		1		1		10		200		5		40		2
A		Records Management		1		2013			304000			230439		230439		(73561)		Formerly in EEOCompDiv			3		2		(1)		3		3		2		1		2		11		300		3		100		2
								-		-
O		AUDIT			2330 2331			1505000			1534340		1534340		29340				11		11
A		Internal Quality Assurance Review		1							-		-													200		1		200				ON-GOING
A		External Quality Assurance Review		1							-		-		Yellow Book Req												100		3		33				2014
A		External Auditor Assistance								-		-													50		1		50		1			ON-GOING
C		Follow-UpCompliance Reviews								-		-													450		1		450				ON-GOING
A		Application Systems Audit Support								-		-													200		1		200		2			ON-GOING
C		Capital Projects QAQC Programs			Contract Oversight						-		-		FTA REQUIREMENT						3		2		2		1		2		10		200		1		200		2			ON-GOING
P		Review of Performance Measures								-		-							2		2		1		1		1		7		1000		5		200		1			2006
C		State Audit Compliance Review		1							-		-							3		3		3		1		3		13		200		1		200		3			2009 2016(16-1001) Statutory Compliance
C		FTA Audit Compliance Reviews		1							-		-							3		3		3		1		3		13		200		1		200		3			ON-GOING
								-		-
O		FINANCE amp ADMINISTRATION (Frmrly CAO)		1		2500 1610			313000				-		(313000)		AmtsEmps exclude IT
O		EVP Finance amp Administration		1		1611			822000			624447		624447		(197553)				2		3		1		A		A		A		A		A		- 0
O		FINANCE DEPARTMENT		1		2200						-		-
O		Vice PresidentChief Financial Officer			2210 2211			10000			718916		718916		708916				0		2		2		A		A		A		A		A		- 0
O		AccountingController			2220 2221			3250000			3740872		3740872		490872				28		28		- 0		A		A		A		A		A		- 0
O		General Accounting								-		-							A		A		A		A		A		- 0
F		General Ledger								-		-							3		2		3		2		2		12		300		3		100		2			2001
F		Accounts Receivable								-		-							3		2		3		2		2		12		300		3		100		2			2004
O		Grants Accounting (Audit with Grants Admin)								-		-							A		A		A		A		A		- 0							2004
O		Accounting								-		-							A		A		A		A		A		- 0
F		Fixed Assets								-		-		Net Cap Assets (Proj)		3200000					3		2		3		2		2		12		300		3		100		2			200307CR
F		Payroll								-		-		LaborBnfts (Budget)		301554					2		3		3		2		2		12		300		3		100		2			1998 2007
A		Payroll Payment Verification (ghost emps)								-		-		Payroll Ver Aud FY14						2		2		2		2		2		10		200		5		40		2			20032014
A		Accounts Payable								-		-		PAYMENTS (20101010)						3		2		3		2		2		12		300		3		100		2			2007 (CR)
F		Travel Expenses								-		-		(5090201-4)						2		1		1		1		2		7		200		5		40		1			1988
C		External Audit Mgt Ltr Compliance								-		-		Priority as required						3		3		3		1		3		13		100		1		100		3			2012
F		Audit Fees								-		-		(5030302)						2		1		1		1		1		6		80		5		16		1
F		Cost Allocation Plan								-		-							2		2		1		1		1		7		250		5		50		1			2005
O		Treasury Services			2230						-		-		Includes RevSrv			33			(33)		A		A		A		A		A		- 0
O		Director Treasury Services			2231						-		-				6			(6)		A		A		A		A		A		- 0
A		Financial Planning amp Investments								-		-		Investments (2014)		415021					3		3		2		3		3		14		200		2		100		3			2010 2016 (16-1004) Financial Planning amp Investments
O		Treasury Office Operations								-		-							A		A		A		A		A		- 0							2000
F		Sales Tax Revenue(audit with Distributions)								-		-		Sales Tax (Projected)		706241					3		2		2		3		2		12		200		2		100		2			2009
F		Sales Tax Revenue Distributions								-		-		Distributions(est Gen Mob)		173019					3		2		2		3		2		12		100		2		50		2			2009
F		Other Revenues								-		-		Projected FY2015		$108 mil					3		2		1		2		2		10		90		3		30		2
F		Petty Cash								-		-		Disbursements						3		1		1		1		3		9		90		3		30		2			2002
F		Pension Funds (Audited by outside auditors)								-		-		Funds						2		1		2		1		1		7		300		5		60		1			1995
A		Revenue Services		1		2212						-		-		Under OMB Mgmt						3		3		3		2		3		14		300		3		100		3
A		Ticket amp Fare Collection		1		2232			3514000			3037608		3037608		(476392)				27		26		(1)		3		3		3		2		3		14		300		2		150		3			2001 2009
A		Revenue Management		1		2235						-		-		Include wFare Collection						2		2		3		2		2		11		300		3		100		2
A		Grants (Includes Grant Accounting)		1		2250 2353			536000			528174		528174		(7826)		GRANTS INCOME(Bdgt)		196386		4		4		- 0		3		2		3		3		3		14		300		3		100		3			2010 2013
A		New Freedom JARC		1		9A03 9A04						-		-		New 2012 Inc wGrants						A		A		A		A		A		- 0
O		Office of Management amp Budget		1		2260						-		-		low audit priority			10			(10)		A		A		A		A		A		- 0
A		Office of Management amp Budget		1		2361			1887000			2267912		2267912		380912				10		14		4		2		1		2		2		2		9		150		5		30		2
O		PROCUREMENT amp MATERIALS			2460							-		ProcampMat Only(exSBE)
A		Procurement			2422			3661000			3689787		3689787		28787		IT ProcampHRT Auds 14			32		34		2		3		2		2		3		2		12		400		2		200		2			20092014
F		Purchase Card Activity								-		-		Recent Pcard Purch Range		$32 milyr					3		3		1		3		2		12		300		2		150		2			20072017 (17-1003) Purchasing Cards and Small Purchases
A		HGACState of Texas Purchasing Programs								-		-							2		1		2		1		1		7		200		5		40		1
F		Fuel Purchasing Program					31773000			27468028		3207448		385448		DieselampGas Bdgt-Requests for Board Action has a modification for fuel in the amount 28510000 and 4127000		38735					3		3		2		3		2		13		200		2		100		3			20062012
C		Davis Bacon Compliance								-		-		Fewer Cap Projects						3		2		3		1		3		12		300		3		100		2			2010
O		Materials amp Distribution			2423			5695000			6056753		6056753		361753				75		77		2		A		A		A		A		A		- 0
F		Inventory Management and Control								-		-		MampS Expense (Projected)		21651					2		1		3		3		2		11		300		2		150		2			1987 2016(16-1002) FY2016 Spare Parts Inventory 2017 (17-1002) Maintenance Parts Inventory
F		Fuel amp Lubricant Controls					2822000			3207448		27468028		(4304972)		Diesel Budget		36601					3		2		2		2		2		11		500		2		250		2			20082012
F		Annual Physical and Cyclical Inventories								-		-		FY2014 Inv Balance		24250					3		2		3		3		2		13		450		1		450		3			2014
A		Property Services								-		-		Asset Disposals						2		1		2		2		3		10		400		3		133		2			2007 2015
O		SMALL BUSINESS			2340							-		Frmrly in Business Serv
A		SBEDBE			2341			823000			834530		834530		11530				7		6		(1)		3		2		2		2		2		11		300		3		100		2			2017 (17-1006) DBE Compliance
O		HUMAN RESOURCES		1		2400							-		Part of FinampAdmin
O		Vice President Human Resources			2410						-		-							A		A		A		A		A		- 0
O		VP Human Resources			2411			628000			636954		636954		8954				2		2		- 0		A		A		A		A		A		- 0
A		Compensation			2444			491000			495980		495980		4980				4		4		- 0		3		1		3		1		1		9		100		5		20		2
O		Human Resources Operations			2430						-		-							A		A		A		A		A		- 0
O		Staffing			2442			1229000			1385642		1385642		156642		Backgrnd Inv Review			12		11		(1)		A		A		A		A		A		- 0							2015
A		Contract and Temporary Labor								-		-							2		2		2		2		1		9		150		3		50		2			200305CR
C		Recruitment Incentive Programs								-		-							3		2		2		2		2		11		150		3		50		2
O		Labor Relations			2440						-		-		Formerly part of Serv Del						A		A		A		A		A		- 0
A		Labor Relations			2461			428000			426121		426121		(1879)				4		4		- 0		3		1		2		2		1		9		150		3		50		2
O		Human Capital Management and Personnel Services			2470						-		-							A		A		A		A		A		- 0
A		HCM and Personnel Services			2441			434000			451356		451356		17356				5		5		- 0		2		3		2		3		2		12		200		3		67		2
O		Benefits Wellness amp Compensation		1		24502421			55000			75576		75576		20576		Supp Ins Dep Review				3		3		A		A		A		A		A		- 0							2014
A		Wellness Programs		1		2446			289000			270346		270346		(18654)				2		2		- 0		3		3		2		3		2		13		200		1		200		3
A		Benefits and Pensions		1		2443			1282000			1283645		1283645		1645		HIPAA Audit			6		7		1		3		3		2		2		3		13		200		2		100		3			2015
A		Union Benefit Trust		1							-		-		Contributions (2014)		13692					A		A		A		A		A		- 0
A		Non-Union Pension		1							-		-		Contributions (2014)		8967					A		A		A		A		A		- 0							2008
A		Non-Union Health Insurance		1							-		-		Cost of Plans (2014)		9478					A		A		A		A		A		- 0
A		Life Insurance		1							-		-							A		A		A		A		A		- 0
A		Retirees (include wBenefits and Pensions)		1		2412			13411000			15177705		15177705		1766705							A		A		A		A		A		- 0
O		EEO COMPLIANCE AND DIVERSITY		1		2480							-		Part of HR in 2015
O		VP EEO Compliance amp Diversity		1		2014							-		Dir Level in 2015 no VP						A		A		A		A		A		- 0
O		COMPLIANCE EEO EMPLOYEE RELATIONS		1		2560							-		New org structure in 2011
A		EEO and Employee Relations		1		2445			719000			761821		761821		42821				5		4		(1)		2		2		2		2		1		9		150		3		50		2
A		EEO		1		2449			453000			508580		508580		55580				2		4		2		1		1		1		1		1		5		150		5		30		1
								-		-
O		INFORMATION TECHNOLOGY			2280 2451			44507000		8626000		21515539		30141539		(14365461)		Part of FinampAdmin				66		66
O		Disaster Recovery amp Business Continuity								-		-
A		Data Access Security								-		-							2		2		1		3		2		10		300		3		100		2			2008
A		Disaster Recovery Observation								-		-							3		3		3		3		3		15		300		1		300		3			2017
A		Business Recovery Planning								-		-							2		2		2		3		3		12		300		3		100		2			2017
A		Data Center Operations								-		-							2		3		2		3		2		12		200		3		67		2			2009
O		Databases								-		-
A		Data Base Administration								-		-							2		3		3		3		3		14		400		3		133		3			2016
O		Network Management								-		-
A		Firewall Admin amp Controls								-		-							3		3		2		3		2		13		260		2		130		3			2016
A		Incident Intrusion and Emergency Response								-		-							3		3		2		3		2		13		260		2		130		3			2007
A		Wireless Network Security								-		-							3		3		2		3		2		13		260		2		130		3			2007
O		Department Administrative Functions								-		-
A		Help Desk Operations								-		-							2		2		2		2		2		10		300		3		100		2			2009
A		Computer Equipment Disposal Practices								-		-							2		2		2		2		2		10		300		3		100		2			2016
A		HardwareSoftware Standards								-		-							2		2		1		2		2		9		200		3		67		2			2009
A		Remote Access Policies and Security								-		-							2		2		2		2		2		10		150		3		50		2			2009
O		Applications Systems								-		-
A		Enterprise Systems Migration amp Chg Controls								-		-							3		2		3		2		2		12		400		3		133		2			2007
A		Security and Controls								-		-							3		2		3		2		2		12		300		2		150		2			2007
A		SAP Application Maintenance								-		-							3		3		3		2		3		14		300		3		100		3
O		Internet Access Use Controls amp Security								-		-
A		Web Site Management								-		-							3		2		3		2		2		12		250		2		125		2			2010
A		E-business Administration and Controls								-		-							3		2		2		3		2		12		250		2		125		2
A		E-mail Usage Security and Controls								-		-							3		2		2		3		2		12		250		2		125		2			2008
O		Communications Systems								-		-		(50502045121201)
A		VOIP Telephone System Management amp Security								-		-							3		2		3		3		3		14		250		3		83		3			2012
A		Video Surveillance System Man amp Security								-		-							3		2		2		3		3		13		250		2		125		3			2008
A		Radio System Management and Security								-		-							3		2		3		3		3		14		300		3		100		3
O		New Systems Development and Controls								-		-
A		IT Project Management Policies amp Procedures								-		-							2		2		2		2		3		11		400		2		200		2			2011
A		Post Implementation Review								-		-		Q Card review in 2010						2		2		2		2		2		10		200		2		100		2			2010
A		ERP Technical Controls								-		-							2		2		2		2		2		10		400		2		200		2			2010
O		Operating Systems (OS)								-		-
A		UNIX OS Review								-		-							2		3		3		2		3		13		500		3		167		3			2012
A		Windows OS Review								-		-							2		3		3		2		3		13		500		3		167		3			2014
A		Vmware Virtualization OS Review								-		-							2		3		3		2		3		13		500		3		167		3			2014
O		Adherence to Licensing Requirements								-		-
A		SAP Contract Compliance								-		-							2		2		2		2		3		11		200		2		100		2			2017
A		Oracle Contract Compliance								-		-							2		2		2		2		3		11		200		2		100		2			2017
A		Other Licenses								-		-							2		2		2		2		2		10		200		2		100		2			2017
O		Storage								-		-
A		Data Storage								-		-							3		3		3		2		3		14		600		4		150		3			2017
O		Rail IT								-		-
A		SCADA Systems								-		-							3		3		3		3		2		14		300		2		150		3			2011
A		Data Center Operations								-		-							3		3		3		3		2		14		300		2		150		3			2014
								-		-
O		OPS PUB SFTY amp CUST RDRSHP SERVS		1		2800			1405000					(1405000)		Includes MPD in FY1415
O		EVP Ops Pub SftyampCust Rdrshp Servs		1		1821			740000			768800		768800		28800		RC frmrly Best Practices			6		5		(1)		A		A		A		A		A		- 0
O		Director of Safety		1		2810 2812			180000			189445		189445		9445				1			(1)		A		A		A		A		A		- 0
A		Customer and Health Safety		1		2820283022432245			1309000			1248726		1248726		(60274)				12		11		(1)		3		3		2		2		2		12		300		3		100		2
A		Workplace and Environmental Safety		1		28402246			569000			642623		642623		73623		No budget in 2015			5		5		- 0		1		1		1		1		1		5		100		3		33		1
A		Drug amp Alcohol Program		1		2448			611000			630270		630270		19270		FTA area of interest			3		3		- 0		3		3		1		1		2		10		300		3		100		2			2010 2015CR
O		Risk Management			2240						-		-							A		A		A		A		A		- 0							2013
O		Director Risk Management			2241			161000			160688		160688		(312)				1				(1)		A		A		A		A		A		- 0
A		Claims			2242			1116000			1135035		1135035		19035		FEMA Reim Audit			12		13		1		2		2		1		2		2		9		150		3		50		2			2013
A		General Insurance			2244			3852000			3605884		3605884		(246116)				3		3		- 0		2		2		2		2		2		10		150		3		50		2			2003
A		Workers Compensation								-		-		Audited in 2014						2		2		2		1		2		9		150		3		50		2			2014
A		Owner Controlled Iinsurance Program (OCIP)								-		-		True-up in progress						3		3		2		3		2		13		400		3		133		3			20112017 (17-1005) Audit of OCIP
A		Training Design amp Delivery			2850 2247			585000			651220		651220		66220		New org in 2011			3		5		2		3		2		2		1		3		11		300		3		100		2
O		METRO POLICE		1		1900							-		Part of Safety in FY1415
O		Vice PresidentChief of Police		1		1910 0911			593000			569954		569954		(23046)				2		4		2		A		A		A		A		A		- 0
O		Management Services		1		1920 0912 0913			414000			374176		374176		(39824)				4		8		4		A		A		A		A		A		- 0
F		Special Funds - LEOSE amp Seized Property		1							-		-		STATE REQUIREMENT		30					3		1		1		1		2		8		200		1		200		2			2014
O		Police Field amp Rail Operations		1		1930						-		-							A		A		A		A		A		- 0
A		Field amp Rail Operations		1		0934 0966			13646000			15091874		15091874		1445874				144		150		6		3		2		2		3		2		12		300		5		60		2			1998 2007 2016 (16-1006) MPD Administrative Fees
A		System Security K-9 Unit		1		0936			841000			902038		902038		61038				8		8		- 0		3		2		1		2		2		10		200		5		40		2
A		Motorist Assistance Program		1		0964			(88000)			53190		53190		141190				8		7		(1)		3		2		1		1		1		8		200		5		40		2
A		HOV-Enforcements		1		0965			(447000)			383387		383387		830387				25		30		5		3		2		2		1		2		10		300		5		60		2			1998
O		Support Operations		1		1940						-		-							A		A		A		A		A		- 0							1998
A		Transtar amp Dispatch		1		0942 0943			1912000			2200654		2200654		288654				19		19		- 0		3		3		3		2		2		13		300		5		60		3
A		Support OperationsampAnti-Terrorism Grant		1		0932 0935			982000			1416066		1416066		434066				10		14		4		2		2		2		2		2		10		300		5		60		2
A		Investigations		1		0931			1080000			1435846		1435846		355846		Accident Investigations			11		13		2		3		2		2		2		2		11		300		5		60		2			1998 2007 2016 (16-1003) Bus Accident Investigations
A		Records		1		0952			301000			441900		441900		140900				6		6		- 0		2		2		2		1		1		8		300		5		60		2			1998
O		Homeland Security(Inactive budget in 0953)		1		1950						-		-							A		A		A		A		A		- 0
A		Police Homeland Security		1		0953						-		-		No pers In 2015			0			- 0		3		2		2		1		2		10		300		5		60		2
A		Security BOF(Auditable area no budget or pers)		1		0933						-		-		No Emp RC in 2013-15			0			- 0		3		3		3		1		3		13		400		2		200		3			2012 2015
A		Emergency Management(No budget or pers)		1		1960 1961						-		-		No Emp RC in 2012-15			0			- 0		3		2		2		1		2		10		300		3		100		2			2008 2009
S		Special Assistance by Audit - Investigations								-		-		Perform as needed						3		3		2		2		3		13		200		1		200		3			2010
O		CUSTOMER amp RIDERSHIP SERVICES			2530							-		New Dept FY14 (frm Ops)
A		RideStores			2538			696000			653907		653907		(42093)				9		12		3		3		2		3		2		2		12		300		3		100		2			2003 2006
A		Sales			2543			590000			593479		593479		3479		Include wRideStores			5		3		(2)		2		2		2		2		2		10		300		3		100		2
A		Customer Information Center (Customer Care)			2532			3627000			3489725		3489725		(137275)		Partial Audit wComplaints			62		57		(5)		3		2		3		3		2		13		300		3		100		3			2015
								-		-
O		OPERATIONS		1		1000			91154000		65611000			65611000		(25543000)		TotExp Excluding Fuel		338969
O		Senior VP amp Staff (inc Budget Operations(OMS))		1		0100 0011 0351			1850000			1469162		1469162		(380838)				7		12		5		A		A		A		A		A		- 0
A		HOT Lanes Operations		1		1500 1510 2185			8062000			8379468		8379468		317468		New to Ops FY14			1		1		- 0		3		3		2		2		3		13		300		3		100		3			2015
O		Revenue Collection		1		2290						-		-		New to Ser Del In 2011						A		A		A		A		A		- 0
A		Revenue Agents		1		2234			820000			887981		887981		67981		Cash Fare Collections			11		11		- 0		3		2		2		2		3		12		300		3		100		2			2009 2017 (17-1001) Cash Fare Collections
O		Bus Transportation (inc Sr Dir Trans GenampSer Logist)		1		0200003103610322			2775000			4874931		4874931		2099931		Moving Violations Audit			2		2		- 0													2011
A		Bus Operations		1		0220						-		-		Cust Training Audit			1597				3		2		3		3		2		13		600		2		300		3			2011
O		Fallbrook		1		011101120113			25050000			24306144		24306144		(743856)				349		349		- 0		A		A		A		A		A		- 0
O		Kashmere (Greenlink added in 2012)		1		0121012201230124			15750000			17065038		17065038		1315038				216		221		5		A		A		A		A		A		- 0
O		Polk		1		013101320133			27965000			27300859		27300859		(664141)				348		357		9		A		A		A		A		A		- 0
O		West		1		014101420143			32898000			33761527		33761527		863527				404		438		34		A		A		A		A		A		- 0
O		Hiram Clarke		1		0151015201530154			21554000			23379044		23379044		1825044				280		321		41		A		A		A		A		A		- 0
O		Northwest (Contract - see Fac Roll -up Code 1800)		1		0163			(3248000)				-		3248000				0			- 0		A		A		A		A		A		- 0							2012
A		Service Delivery		1		0500						-		-		On-Time Perf Review						2		2		3		2		2		11		300		5		60		2			2014
O		Dispatch		1		0301			1767000			1859803		1859803		92803				17		18		1		A		A		A		A		A		- 0
F		Operator Timekeeping System		1							-		-		Old legacy system						2		2		2		1		2		9		200		5		40		2			2005 UnC
A		Director of Serv Del And Street Supervisors		1		0051 0332			3423000			3594559		3594559		171559				30		35		5		3		2		2		3		2		12		300		3		100		2
A		New Service (Was Budget Services in 2011)		1		030003920393						-		-		No bdgt or pers in 2015			0			- 0		1		1		1		1		1		5		250		2		125		1
O		Transportation Programs		1		0400						-		-							A		A		A		A		A		- 0
A		METROLift amp Director of Trans Prog		1		0045 0041			56698000			58450171		58450171		1752171		FTA review in 2013			117		124		7		3		3		3		3		3		15		400		2		200		3			2006 2007
A		Special Events and Contract Services		1		0470048003710381			330000			322665		322665		(7335)				4		3		(1)		2		1		1		1		1		6		200		5		40		1
A		Rideshare		1		0460 2537			10995000				-		(10995000)				0			- 0		3		2		2		1		2		10		300		3		100		2
A		Regional Vanpool (0831 = Community Connector)		1		0460 2539 0831					12034574		12034574		12034574		Lmtd Rev compltd 2014			3		9		6		3		2		2		2		3		12		300		3		100		2			20122014
C		Contracted Services - Northwest BOF		1		08000811-150821-25			48485000			46163058		46163058		(2321942)		$47mil ann bdgt (NW)		$4mil for NW fuel					3		2		2		3		2		12		400		2		200		2			2012 2015CR
A		METRORail		1		0600													3		2		3		3		3		14		600		2		300		3			2008
O		Senior Director Rail		1		610 0061			234000			244607		244607		10607				2		3		1		A		A		A		A		A		- 0
O		Rail Transportation		1		620 621 622 623 626 627			12352000			12181636		12181636		(170364)		METRORail Cam Aud			149		175		26		A		A		A		A		A		- 0							2015
O		Rail Control Center		1		0651			3054000			3148729		3148729		94729				27		26		(1)		A		A		A		A		A		- 0
O		SampI Administration and Supervision		1		0624 0625			676000			690213		690213		14213		New in FY14			7		8		1		A		A		A		A		A		- 0
O		Rail Maintenance		1		0660-6606810691-93			17903000			18333174		18333174		430174		Includes traction power			134		146		12		A		A		A		A		A		- 0							2013
A		Preventive Maintenance (Bus)		1		1191 (Admin)			306000			323151		323151		17151		Bus Hub Rev FY13			2		2		- 0		3		2		3		3		2		13		300		1		300		3			20122013
O		Kashmere (Greenlink added in 2012)		1		1111-1118			11068000			10734424		10734424		(333576)		Greenlink added in 2012			70		73		3		A		A		A		A		A		- 0
O		Polk		1		1121112211231124			16713000			15617108		15617108		(1095892)				97		98		1		A		A		A		A		A		- 0							1993
O		West		1		1131113211331134			21994000			20796712		20796712		(1197288)				113		121		8		A		A		A		A		A		- 0
O		Hiram Clarke		1		11411142114311441145			14524000			13845519		13845519		(678481)				85		84		(1)		A		A		A		A		A		- 0
S		Northwest (Contract - see Fac Roll-up Code 1800)		1		1151115211531154			(120000)				-		120000							A		A		A		A		A		- 0							2002
O		Fallbrook		1		1161116211631164			16224000			14955860		14955860		(1268140)				79		93		14		A		A		A		A		A		- 0
O		Buffalo Bayou Maint (Under SuppVeh RC)		1		1171 1172 1173			1878000			678775		678775		(1199225)				17		21		4		A		A		A		A		A		- 0
A		Central Support amp Manufacturing		1		1020 1021			399000			404920		404920		5920				4		4		- 0		3		2		3		3		2		13		400		2		200		3
O		Body Shop		1		1023			2267000			2388704		2388704		121704				27		28		1		A		A		A		A		A		- 0							1996 2016 (16-1005) Audit of Paint Booths
O		Unit Overhaul		1		1024			1722000			1969444		1969444		247444				32		32		- 0		A		A		A		A		A		- 0							2001
	Unit Overhaul		1		1025			(244000)					244000							A		A		A		A		A		- 0
O		Heavy Repair		1		1022			1979000			2005634		2005634		26634				22		24		2		A		A		A		A		A		- 0
O		Brake Shop		1		1029						-		-		No FY15 PersonnelBdgt			0		0		- 0		A		A		A		A		A		- 0
O		Rebuild Warranty		1		1026			98000			97500		97500		(500)							A		A		A		A		A		- 0
O		Tire amp Battery Usage		1							-		-		SpecProjAs needed						A		A		A		A		A		- 0							20012010 2017 (17-1004) Bus Tires Inspection
A		Maintenance Support		1		1200						-		-		Increasingly Critical						3		2		3		3		2		13		300		3		100		3
O		Quality Assurance		1		1210 1311			882000			904988		904988		22988				8		9		1		A		A		A		A		A		- 0
O		Warranty		1		1240 1312			3612000			4475803		4475803		863803		FY2014 Audit			4		4		- 0		A		A		A		A		A		- 0							2014
O		Technical Services amp Advanced Technology		1		1220 1014 1036			412000			388743		388743		(23257)				2		3		1		A		A		A		A		A		- 0
O		Director Maintenance Support		1		1280 1381			408000			493025		493025		85025		Fuel Tanker Audit			10		11		1		A		A		A		A		A		- 0							2014
O		Electronic Maintenance (inc fare collampradio maint)		1		13012322331390			4564000			4760210		4760210		196210		Critical Activity			43		45		2		A		A		A		A		A		- 0							2013
O		Support Vehicle Maintenance (Inc Med Duty Bus)		1		1351135312501174			4333000			5234060		5234060		901060		Include wMaint Supp			25		26		1		A		A		A		A		A		- 0							2003 07CR
O		Support Vehicle		1		1354			416000			246395		246395		(169605)							A		A		A		A		A		- 0
	Maintenance General		1		1361			5213000			5744855		5744855		531855							A		A		A		A		A		- 0
O		Maintenance Training (MEAD)		1		17201321			377000				-		(377000)		No FY15 Bdgt Or Pers						A		A		A		A		A		- 0							1996
A		Transportation Training		1		1700 1710 0331			2085000			2186942		2186942		101942		New cust Svc Focus			16		18		2		3		2		1		2		2		10		120		5		24		2			1995
								-		-
O		PLANNING ENGINEERING CONST amp REAL EST		1		2180			113640000		90591000			90591000		(23049000)
O		SVP Capital Programs			2020 2021						-		-				0			- 0		A		A		A		A		A		- 0
O		Capital Projects		1		(2180)						-		-				22			(22)		A		A		A		A		A		- 0
A		Document Control		1		2151						-		-				0			- 0		3		2		2		1		2		10		210		3		70		2
A		Engineering Support Services		1		2161			93000			556421		556421		463421				13		9		(4)		3		2		1		1		2		9		210		3		70		2
A		Capital Projects		1		2181			(16000)			42086		42086		58086		$23mil non-rail Cap Bdgt			2		2		- 0		2		2		2		2		2		10		200		5		40		2
A		Bus Infrastructure		1		2182						-		-		No Emp RC FY12-15			0			- 0		2		2		2		1		2		9		200		5		40		2
A		Project Administration and Management		1		2183 2184			(113000)			(29074)		(29074)		83926		New in 2011			7		5		(2)		2		2		2		2		2		10		200		5		40		2
A		EngStandards Buff Bayou Mods		1		9A08 9A09						-		-		New in 2012						3		3		3		2		2		13		300		3		100		3
O		State of Good Repair			2150						-		-		New in 2012						A		A		A		A		A		- 0
A		State of Good Repair			2152						-		-		New in 2012						3		3		2		1		2		11		300		3		100		2
O		Rail Construction			2100 2110 2140						-		-		Consent Agmt Review			7			(7)		A		A		A		A		A		- 0							2014
A		University Corridor			2081						-		-				0			- 0		2		2		2		1		1		8		210		3		70		2
A		4 Light Rail Lines Expansion			2171			(150000)			(13171)		(13171)		136829		$173mil Cap Bdgt			7		6		(1)		3		2		2		2		2		11		210		3		70		2
O		METRO Rail Construction Non-Capital			2040						-		-							A		A		A		A		A		- 0
A		Cap Prog Coor amp Rpt (Inactive)			2433						-		-		New name FY15			0			- 0		3		2		2		1		2		10		210		3		70		2
O		METRO Rail Expansion Integration amp Control			2110 2070						-		-				8			(8)		A		A		A		A		A		- 0
A		Program Integration amp Controls			2111 2121			(134000)			(93508)		(93508)		40492		SrDir Reports to CAO			8		6		(2)		3		2		2		1		2		10		210		3		70		2
A		Rail Vehicles			2153						-		-		Waiver Request Rev						3		3		2		1		2		11		210		3		70		2			2014
O		PLANNING		1		2190				9858000			9858000		9858000		Structure modified in FY14
O		SVP Planning		1		2191			317000			319812		319812		2812		New in 2011			2		2		- 0		A		A		A		A		A		- 0
O		Planning amp Scheduling		1		2050						-		-				29			(29)		A		A		A		A		A		- 0
A		System Planning amp Development		1		2031			16483000			3783057		3783057		(12699943)				11		9		(2)		3		3		1		2		2		11		210		3		70		2
A		Service Planning amp Development		1		2052			1676000			1258682		1258682		(417318)		Alternative Ser Delivery			9		10		1		2		2		3		2		2		11		210		3		70		2			2012
A		System Reimagining		1		1811						-		-		Frmrly Best Practices No employees and project complete			2			(2)		3		3		3		2		3		14		210		3		70		3
A		Scheduling		1		0321			853000			884171		884171		31171				7		8		1		3		2		3		2		2		12		210		3		70		2
A		US 90A Rail Livable Centers ConsortUniv Line		1		9A06 9A07 9A11						-		-		U Line New in FY14						2		1		1		1		2		7		300		3		100		1
O		FACILITY MAINTENANCE		1		1300			15255000		507000			507000		(14748000)		Formerly part of CAO
A		Facility Maint Admin amp Contracts		1		131013411346			3979000			4023276		4023276		44276				13		12		(1)		3		2		2		2		2		11		400		3		133		2
O		Facility Maintenance Programs		1		1320						-		-							A		A		A		A		A		- 0
A		Facility Maint NW Buff Bay amp ProgOp		1		1335 13371342			1598000			1714566		1714566		116566				8		15		7		2		2		2		2		2		10		300		3		100		2
A		SuptFacility Maint		1		1338						-		-		New in 2012			0			- 0		2		2		1		1		2		8		200		5		40		2
A		Facility Maint Headquarters		1		1349			2873000			3033079		3033079		160079				8		7		(1)		2		2		2		2		2		10		300		5		60		2			2007
O		Public Facilities		1		1330						-		-							A		A		A		A		A		- 0
A		Public Facility amp Public Facility Admin		1		1339 1343			7612000			7670039		7670039		58039		Bus Shelter Audit			58		57		(1)		3		2		2		3		2		12		300		3		100		2			2011
A		Public Facility Rail			1348			4497000			4097093		4097093		(399907)				39		39		- 0		3		2		2		3		2		12		300		3		100		2
O		BOF Env Serv amp Proj Management		1		13401380						-		-							A		A		A		A		A		- 0
A		BOF Env Serv amp Proj Management		1		1331-3413361344-45			6945000			6666939		6666939		(278061)				40		34		(6)		3		2		2		3		2		12		300		3		100		2
A		Fac Maint Rail		1		1347			1928000			1754811		1754811		(173189)		Higher risk after rail expans			9		10		1		3		2		2		2		2		11		300		3		100		2
O		REAL ESTATE amp PROPERTY MANAGEMENT			2550								Formerly in Legal
A		Real Estate			2131			463000			435274		435274		(27726)		Appraisal Process Aud			5		1		(4)		3		3		2		2		3		13		300		3		100		3			2015
	Total		141			Total			178221000		593645668		771866668
					83997800000
	Note A - Assessed at the ActivityOrganization Level																	ANNUAL SCHEDULED HOURS							17415
	- Scheduled for 4th qtr of FY17																	STAFF REQUIREMENTS							109
	- Annual budget figures adjusted
	or estimated where appropriate				total		83997800000									3969
	to reflect organizational or				From PY		80538300000								Check Figure from Head Count Report		3969				EDP PORTION OF ABOVE								0
	operating changes				difference		3459500000									0				EDP STAFF REQURIEMENTS								00
																TOTAL UNSCHEDULED ANNUAL HOURS								0
																TOTAL SCHEDULED amp UNSCHEDULED								0
																STAFF REQUIREMENTS IF ALL
																AUDITS SCHEDULED								000

	Organizational Units		Auditable Units
	Executive amp Baord		1
	Legal		4

		13		14		15
		10		11		12
		7		8		9
		-		5		6

	Reconciliation of Risk Assessment Values reviewed Audit obtained the FY2017 Budget amounts from accounting and used these amount to prepare a risk assessment The following is a reconciliation of the amounts reviewed in the Risk Assessment
			Capital Budget Amount
		Risk Assessment Amount Reviewed		178221000
		Budget Amount		178221
		Difference		178042779
			Operating Budget
		Risk Assessment Amount Reviewed		593645668
		Budget Amount		568071000
		Difference		25574668
		Adjustments		2600806		Non-Departmental A
			2500000		Contingency - President amp CEO B
		Remaining Difference		30675474		rounding differences
	Notes
	A		The Non-Departmental amount from the budget was not included in the Risk Assessment as this amount was a contingency for the COLA adjustment expected to be approved during the 2017 Fiscal Year
	B		The Contingency - President amp CEO amount from the budget was not included in the Risk Assessment as the amount was an actual contingency for unknown or potential issues which might effect METRO during the 2017 fiscal year

																		KEY
	Risk Assessment as of JUNE 2017																		Audit Type (Internal Designations not Yellow Book)
																		F = Financial						O = ORGANIZATION
																		P = Performance						S = Special Project
																		C = Compliance						A = Activity
Audit				RESPONSIBILITY		Responsibility Code or Account (SAP - New Codes)		FY2016 Budget		FY2017 BUDGET (000 omitted)				Delta				STAFF SIZE			Delta		RISK ASSESSMENT							AUDIT BUDGET						LAST YEAR
Type		ORGANIZATIONAL UNIT ACTIVITY OR			CODE OR								OTHER CONSIDERATIONS						1		2		3		4		5		Total		Estimated Hours		FRQ		ANNUAL HOURS		RISK			AUDITED
Code		PROJECT DESCRIPTION			ACCOUNT (ORACLE)			Total		CAPITAL		OPERATING		TOTAL		(Less) More		DESCRIPTION		VALUE (000)		FY16 (Actual)		FY17 (Actual)		(Less) More			Control Environment		Technology		Size		Organization				YRS					( Partial)
O		EXECUTIVE amp BOARD		1		2300 2320				3028000			3028000		3028000		Cap Is Unallocated Cap
O		President amp Chief Executive OfficerBoard			2310 11 12 13 21			1901000			2124896		2124896		223896				8		7		(1)		A		A		A		A		A		- 0
S		Board Service Requests								-		-		highest priority						3		3		3		1		3		13		150		1		150		3
S		President amp Chief Executive Officer Requests								-		-		highest priority						3		3		3		1		3		13		150		1		150		3
S		Office of Executive Vice PresidentStrategic Partnering			2011						-		-				0				2		1		1		1		1		6		200		5		40		1
A		Press Office			2371			641000			858422		858422		217422		Social Media Issues			5		8		3		3		3		3		1		1		11		200		5		40		2
A		Office of Innovation			2511					631181		631181		631181					3		3		A		A		A		A		A		- 0
O		GOVERNMENT amp PUBLIC AFFAIRS			2520							-				38
A		Government Affairs			2352			667000			380831		380831		(286169)		Form Part of ExecBoard			4		3		(1)		3		2		2		2		1		10		400		3		133		2
O		CORPORATE COMMUNICATIONS amp MARKETING			2580							-		Formerly part of CAO			22
A		Print Shop and Admin Services			2431 2432			1944000			1960212		1960212		16212				8		10		2		2		1		1		2		2		8		200		5		40		2			1988
A		Media amp Corporate Communications			2581			500000			521510		521510		21510				4		3		(1)		3		1		1		1		1		7		100		5		20		1
A		Marketing			2531			4716000			5440929		5440929		724929				10		12		2		2		1		2		2		1		8		300		5		60		2
O		Public Engagement			2010						-		-		Formerly part of Planning			6			(6)
A		Community Outreach			2521			682000			866624		866624		184624		Involves Rail Expansion			6		26		20		3		2		1		2		2		10		200		5		40		2
A		Interagency Dir Of Pub Engagement			25222523						-		-		Form Part of Planning		No bdgtpers		0			- 0		1		1		1		1		1		5		200		5		40		1
O		Stakeholder Affairs			2060						-		-		Formerly part of Planning			6			(6)		A		A		A		A		A		- 0
A		Stakeholder Affairs			20122524			450000			534409		534409		84409		Form Part of Cap Prog			6			(6)		3		2		1		1		2		9		210		3		70		2			2011
								-		-
A		LEGALSTAFF COUNSELCORPORATE DEVELOPMENT			2350 51			3505000			3955580		3955580		450580				17		15			3		1		1		2		1		8		200		5		40		2
F		Legal Fees		1							-		-							2		1		1		1		1		6		200		5		40		1			2008
S		Attorney Work Requests		1							-		-							3		3		2		1		1		10		200		5		40		2
S		Special Assistance		1							-		-							3		3		2		1		1		10		200		5		40		2
A		Records Management		1		2013			304000			230439		230439		(73561)		Formerly in EEOCompDiv			3		2		(1)		3		3		2		1		2		11		300		3		100		2
								-		-
O		AUDIT			2330 2331			1505000			1534340		1534340		29340				11		11
A		Internal Quality Assurance Review		1							-		-													200		1		200				ON-GOING
A		External Quality Assurance Review		1							-		-		Yellow Book Req												100		3		33				2014
A		External Auditor Assistance								-		-													50		1		50		1			ON-GOING
C		Follow-UpCompliance Reviews								-		-													450		1		450				ON-GOING
A		Application Systems Audit Support								-		-													200		1		200		2			ON-GOING
C		Capital Projects QAQC Programs			Contract Oversight						-		-		FTA REQUIREMENT						3		2		2		1		2		10		200		1		200		2			ON-GOING
P		Review of Performance Measures								-		-							2		2		1		1		1		7		1000		5		200		1			2006
C		State Audit Compliance Review		1							-		-							3		3		3		1		3		13		200		1		200		3			2009 2016(16-1001) Statutory Compliance
C		FTA Audit Compliance Reviews		1							-		-							3		3		3		1		3		13		200		1		200		3			ON-GOING
								-		-
O		FINANCE amp ADMINISTRATION (Frmrly CAO)		1		2500 1610			313000				-		(313000)		AmtsEmps exclude IT
O		EVP Finance amp Administration		1		1611			822000			624447		624447		(197553)				2		3		1		A		A		A		A		A		- 0
O		FINANCE DEPARTMENT		1		2200						-		-
O		Vice PresidentChief Financial Officer			2210 2211			10000			718916		718916		708916				0		2		2		A		A		A		A		A		- 0
O		AccountingController			2220 2221			3250000			3740872		3740872		490872				28		28		- 0		A		A		A		A		A		- 0
O		General Accounting								-		-							A		A		A		A		A		- 0
F		General Ledger								-		-							3		2		3		2		2		12		300		3		100		2			2001
F		Accounts Receivable								-		-							3		2		3		2		2		12		300		3		100		2			2004
O		Grants Accounting (Audit with Grants Admin)								-		-							A		A		A		A		A		- 0							2004
O		Accounting								-		-							A		A		A		A		A		- 0
F		Fixed Assets								-		-		Net Cap Assets (Proj)		3200000					3		2		3		2		2		12		300		3		100		2			200307CR
F		Payroll								-		-		LaborBnfts (Budget)		301554					2		3		3		2		2		12		300		3		100		2			1998 2007
A		Payroll Payment Verification (ghost emps)								-		-		Payroll Ver Aud FY14						2		2		2		2		2		10		200		5		40		2			20032014
A		Accounts Payable								-		-		PAYMENTS (20101010)						3		2		3		2		2		12		300		3		100		2			2007 (CR)
F		Travel Expenses								-		-		(5090201-4)						2		1		1		1		2		7		200		5		40		1			1988
C		External Audit Mgt Ltr Compliance								-		-		Priority as required						3		3		3		1		3		13		100		1		100		3			2012
F		Audit Fees								-		-		(5030302)						2		1		1		1		1		6		80		5		16		1
F		Cost Allocation Plan								-		-							2		2		1		1		1		7		250		5		50		1			2005
O		Treasury Services			2230						-		-		Includes RevSrv			33			(33)		A		A		A		A		A		- 0
O		Director Treasury Services			2231						-		-				6			(6)		A		A		A		A		A		- 0
A		Financial Planning amp Investments								-		-		Investments (2014)		415021					3		3		2		3		3		14		200		2		100		3			2010 2016 (16-1004) Financial Planning amp Investments
O		Treasury Office Operations								-		-							A		A		A		A		A		- 0							2000
F		Sales Tax Revenue(audit with Distributions)								-		-		Sales Tax (Projected)		706241					3		2		2		3		2		12		200		2		100		2			2009
F		Sales Tax Revenue Distributions								-		-		Distributions(est Gen Mob)		173019					3		2		2		3		2		12		100		2		50		2			2009
F		Other Revenues								-		-		Projected FY2015		$108 mil					3		2		1		2		2		10		90		3		30		2
F		Petty Cash								-		-		Disbursements						3		1		1		1		3		9		90		3		30		2			2002
F		Pension Funds (Audited by outside auditors)								-		-		Funds						2		1		2		1		1		7		300		5		60		1			1995
A		Revenue Services		1		2212						-		-		Under OMB Mgmt						3		3		3		2		3		14		300		3		100		3
A		Ticket amp Fare Collection		1		2232			3514000			3037608		3037608		(476392)				27		26		(1)		3		3		3		2		3		14		300		2		150		3			2001 2009
A		Revenue Management		1		2235						-		-		Include wFare Collection						2		2		3		2		2		11		300		3		100		2
A		Grants (Includes Grant Accounting)		1		2250 2353			536000			528174		528174		(7826)		GRANTS INCOME(Bdgt)		196386		4		4		- 0		3		2		3		3		3		14		300		3		100		3			2010 2013
A		New Freedom JARC		1		9A03 9A04						-		-		New 2012 Inc wGrants						A		A		A		A		A		- 0
O		Office of Management amp Budget		1		2260						-		-		low audit priority			10			(10)		A		A		A		A		A		- 0
A		Office of Management amp Budget		1		2361			1887000			2267912		2267912		380912				10		14		4		2		1		2		2		2		9		150		5		30		2
O		PROCUREMENT amp MATERIALS			2460							-		ProcampMat Only(exSBE)
A		Procurement			2422			3661000			3689787		3689787		28787		IT ProcampHRT Auds 14			32		34		2		3		2		2		3		2		12		400		2		200		2			20092014
F		Purchase Card Activity								-		-		Recent Pcard Purch Range		$32 milyr					3		3		1		3		2		12		300		2		150		2			20072017 (17-1003) Purchasing Cards and Small Purchases
A		HGACState of Texas Purchasing Programs								-		-							2		1		2		1		1		7		200		5		40		1
F		Fuel Purchasing Program					31773000			27468028		3207448		385448		DieselampGas Bdgt-Requests for Board Action has a modification for fuel in the amount 28510000 and 4127000		38735					3		3		2		3		2		13		200		2		100		3			20062012
C		Davis Bacon Compliance								-		-		Fewer Cap Projects						3		2		3		1		3		12		300		3		100		2			2010
O		Materials amp Distribution			2423			5695000			6056753		6056753		361753				75		77		2		A		A		A		A		A		- 0
F		Inventory Management and Control								-		-		MampS Expense (Projected)		21651					2		1		3		3		2		11		300		2		150		2			1987 2016(16-1002) FY2016 Spare Parts Inventory 2017 (17-1002) Maintenance Parts Inventory
F		Fuel amp Lubricant Controls					2822000			3207448		27468028		(4304972)		Diesel Budget		36601					3		2		2		2		2		11		500		2		250		2			20082012
F		Annual Physical and Cyclical Inventories								-		-		FY2014 Inv Balance		24250					3		2		3		3		2		13		450		1		450		3			2014
A		Property Services								-		-		Asset Disposals						2		1		2		2		3		10		400		3		133		2			2007 2015
O		SMALL BUSINESS			2340							-		Frmrly in Business Serv
A		SBEDBE			2341			823000			834530		834530		11530				7		6		(1)		3		2		2		2		2		11		300		3		100		2			2017 (17-1006) DBE Compliance
O		HUMAN RESOURCES		1		2400							-		Part of FinampAdmin
O		Vice President Human Resources			2410						-		-							A		A		A		A		A		- 0
O		VP Human Resources			2411			628000			636954		636954		8954				2		2		- 0		A		A		A		A		A		- 0
A		Compensation			2444			491000			495980		495980		4980				4		4		- 0		3		1		3		1		1		9		100		5		20		2
O		Human Resources Operations			2430						-		-							A		A		A		A		A		- 0
O		Staffing			2442			1229000			1385642		1385642		156642		Backgrnd Inv Review			12		11		(1)		A		A		A		A		A		- 0							2015
A		Contract and Temporary Labor								-		-							2		2		2		2		1		9		150		3		50		2			200305CR
C		Recruitment Incentive Programs								-		-							3		2		2		2		2		11		150		3		50		2
O		Labor Relations			2440						-		-		Formerly part of Serv Del						A		A		A		A		A		- 0
A		Labor Relations			2461			428000			426121		426121		(1879)				4		4		- 0		3		1		2		2		1		9		150		3		50		2
O		Human Capital Management and Personnel Services			2470						-		-							A		A		A		A		A		- 0
A		HCM and Personnel Services			2441			434000			451356		451356		17356				5		5		- 0		2		3		2		3		2		12		200		3		67		2
O		Benefits Wellness amp Compensation		1		24502421			55000			75576		75576		20576		Supp Ins Dep Review				3		3		A		A		A		A		A		- 0							2014
A		Wellness Programs		1		2446			289000			270346		270346		(18654)				2		2		- 0		3		3		2		3		2		13		200		1		200		3
A		Benefits and Pensions		1		2443			1282000			1283645		1283645		1645		HIPAA Audit			6		7		1		3		3		2		2		3		13		200		2		100		3			2015
A		Union Benefit Trust		1							-		-		Contributions (2014)		13692					A		A		A		A		A		- 0
A		Non-Union Pension		1							-		-		Contributions (2014)		8967					A		A		A		A		A		- 0							2008
A		Non-Union Health Insurance		1							-		-		Cost of Plans (2014)		9478					A		A		A		A		A		- 0
A		Life Insurance		1							-		-							A		A		A		A		A		- 0
A		Retirees (include wBenefits and Pensions)		1		2412			13411000			15177705		15177705		1766705							A		A		A		A		A		- 0
O		EEO COMPLIANCE AND DIVERSITY		1		2480							-		Part of HR in 2015
O		VP EEO Compliance amp Diversity		1		2014							-		Dir Level in 2015 no VP						A		A		A		A		A		- 0
O		COMPLIANCE EEO EMPLOYEE RELATIONS		1		2560							-		New org structure in 2011
A		EEO and Employee Relations		1		2445			719000			761821		761821		42821				5		4		(1)		2		2		2		2		1		9		150		3		50		2
A		EEO		1		2449			453000			508580		508580		55580				2		4		2		1		1		1		1		1		5		150		5		30		1
								-		-
O		INFORMATION TECHNOLOGY			2280 2451			44507000		8626000		21515539		30141539		(14365461)		Part of FinampAdmin				66		66
O		Disaster Recovery amp Business Continuity								-		-
A		Data Access Security								-		-							2		2		1		3		2		10		300		3		100		2			2008
A		Disaster Recovery Observation								-		-							3		3		3		3		3		15		300		1		300		3			2017
A		Business Recovery Planning								-		-							2		2		2		3		3		12		300		3		100		2			2017
A		Data Center Operations								-		-							2		3		2		3		2		12		200		3		67		2			2009
O		Databases								-		-
A		Data Base Administration								-		-							2		3		3		3		3		14		400		3		133		3			2016
O		Network Management								-		-
A		Firewall Admin amp Controls								-		-							3		3		2		3		2		13		260		2		130		3			2016
A		Incident Intrusion and Emergency Response								-		-							3		3		2		3		2		13		260		2		130		3			2007
A		Wireless Network Security								-		-							3		3		2		3		2		13		260		2		130		3			2007
O		Department Administrative Functions								-		-
A		Help Desk Operations								-		-							2		2		2		2		2		10		300		3		100		2			2009
A		Computer Equipment Disposal Practices								-		-							2		2		2		2		2		10		300		3		100		2			2016
A		HardwareSoftware Standards								-		-							2		2		1		2		2		9		200		3		67		2			2009
A		Remote Access Policies and Security								-		-							2		2		2		2		2		10		150		3		50		2			2009
O		Applications Systems								-		-
A		Enterprise Systems Migration amp Chg Controls								-		-							3		2		3		2		2		12		400		3		133		2			2007
A		Security and Controls								-		-							3		2		3		2		2		12		300		2		150		2			2007
A		SAP Application Maintenance								-		-							3		3		3		2		3		14		300		3		100		3
O		Internet Access Use Controls amp Security								-		-
A		Web Site Management								-		-							3		2		3		2		2		12		250		2		125		2			2010
A		E-business Administration and Controls								-		-							3		2		2		3		2		12		250		2		125		2
A		E-mail Usage Security and Controls								-		-							3		2		2		3		2		12		250		2		125		2			2008
O		Communications Systems								-		-		(50502045121201)
A		VOIP Telephone System Management amp Security								-		-							3		2		3		3		3		14		250		3		83		3			2012
A		Video Surveillance System Man amp Security								-		-							3		2		2		3		3		13		250		2		125		3			2008
A		Radio System Management and Security								-		-							3		2		3		3		3		14		300		3		100		3
O		New Systems Development and Controls								-		-
A		IT Project Management Policies amp Procedures								-		-							2		2		2		2		3		11		400		2		200		2			2011
A		Post Implementation Review								-		-		Q Card review in 2010						2		2		2		2		2		10		200		2		100		2			2010
A		ERP Technical Controls								-		-							2		2		2		2		2		10		400		2		200		2			2010
O		Operating Systems (OS)								-		-
A		UNIX OS Review								-		-							2		3		3		2		3		13		500		3		167		3			2012
A		Windows OS Review								-		-							2		3		3		2		3		13		500		3		167		3			2014
A		Vmware Virtualization OS Review								-		-							2		3		3		2		3		13		500		3		167		3			2014
O		Adherence to Licensing Requirements								-		-
A		SAP Contract Compliance								-		-							2		2		2		2		3		11		200		2		100		2			2017
A		Oracle Contract Compliance								-		-							2		2		2		2		3		11		200		2		100		2			2017
A		Other Licenses								-		-							2		2		2		2		2		10		200		2		100		2			2017
O		Storage								-		-
A		Data Storage								-		-							3		3		3		2		3		14		600		4		150		3			2017
O		Rail IT								-		-
A		SCADA Systems								-		-							3		3		3		3		2		14		300		2		150		3			2011
A		Data Center Operations								-		-							3		3		3		3		2		14		300		2		150		3			2014
								-		-
O		OPS PUB SFTY amp CUST RDRSHP SERVS		1		2800			1405000					(1405000)		Includes MPD in FY1415
O		EVP Ops Pub SftyampCust Rdrshp Servs		1		1821			740000			768800		768800		28800		RC frmrly Best Practices			6		5		(1)		A		A		A		A		A		- 0
O		Director of Safety		1		2810 2812			180000			189445		189445		9445				1			(1)		A		A		A		A		A		- 0
A		Customer and Health Safety		1		2820283022432245			1309000			1248726		1248726		(60274)				12		11		(1)		3		3		2		2		2		12		300		3		100		2
A		Workplace and Environmental Safety		1		28402246			569000			642623		642623		73623		No budget in 2015			5		5		- 0		1		1		1		1		1		5		100		3		33		1
A		Drug amp Alcohol Program		1		2448			611000			630270		630270		19270		FTA area of interest			3		3		- 0		3		3		1		1		2		10		300		3		100		2			2010 2015CR
O		Risk Management			2240						-		-							A		A		A		A		A		- 0							2013
O		Director Risk Management			2241			161000			160688		160688		(312)				1				(1)		A		A		A		A		A		- 0
A		Claims			2242			1116000			1135035		1135035		19035		FEMA Reim Audit			12		13		1		2		2		1		2		2		9		150		3		50		2			2013
A		General Insurance			2244			3852000			3605884		3605884		(246116)				3		3		- 0		2		2		2		2		2		10		150		3		50		2			2003
A		Workers Compensation								-		-		Audited in 2014						2		2		2		1		2		9		150		3		50		2			2014
A		Owner Controlled Iinsurance Program (OCIP)								-		-		True-up in progress						3		3		2		3		2		13		400		3		133		3			20112017 (17-1005) Audit of OCIP
A		Training Design amp Delivery			2850 2247			585000			651220		651220		66220		New org in 2011			3		5		2		3		2		2		1		3		11		300		3		100		2
O		METRO POLICE		1		1900							-		Part of Safety in FY1415
O		Vice PresidentChief of Police		1		1910 0911			593000			569954		569954		(23046)				2		4		2		A		A		A		A		A		- 0
O		Management Services		1		1920 0912 0913			414000			374176		374176		(39824)				4		8		4		A		A		A		A		A		- 0
F		Special Funds - LEOSE amp Seized Property		1							-		-		STATE REQUIREMENT		30					3		1		1		1		2		8		200		1		200		2			2014
O		Police Field amp Rail Operations		1		1930						-		-							A		A		A		A		A		- 0
A		Field amp Rail Operations		1		0934 0966			13646000			15091874		15091874		1445874				144		150		6		3		2		2		3		2		12		300		5		60		2			1998 2007 2016 (16-1006) MPD Administrative Fees
A		System Security K-9 Unit		1		0936			841000			902038		902038		61038				8		8		- 0		3		2		1		2		2		10		200		5		40		2
A		Motorist Assistance Program		1		0964			(88000)			53190		53190		141190				8		7		(1)		3		2		1		1		1		8		200		5		40		2
A		HOV-Enforcements		1		0965			(447000)			383387		383387		830387				25		30		5		3		2		2		1		2		10		300		5		60		2			1998
O		Support Operations		1		1940						-		-							A		A		A		A		A		- 0							1998
A		Transtar amp Dispatch		1		0942 0943			1912000			2200654		2200654		288654				19		19		- 0		3		3		3		2		2		13		300		5		60		3
A		Support OperationsampAnti-Terrorism Grant		1		0932 0935			982000			1416066		1416066		434066				10		14		4		2		2		2		2		2		10		300		5		60		2
A		Investigations		1		0931			1080000			1435846		1435846		355846		Accident Investigations			11		13		2		3		2		2		2		2		11		300		5		60		2			1998 2007 2016 (16-1003) Bus Accident Investigations
A		Records		1		0952			301000			441900		441900		140900				6		6		- 0		2		2		2		1		1		8		300		5		60		2			1998
O		Homeland Security(Inactive budget in 0953)		1		1950						-		-							A		A		A		A		A		- 0
A		Police Homeland Security		1		0953						-		-		No pers In 2015			0			- 0		3		2		2		1		2		10		300		5		60		2
A		Security BOF(Auditable area no budget or pers)		1		0933						-		-		No Emp RC in 2013-15			0			- 0		3		3		3		1		3		13		400		2		200		3			2012 2015
A		Emergency Management(No budget or pers)		1		1960 1961						-		-		No Emp RC in 2012-15			0			- 0		3		2		2		1		2		10		300		3		100		2			2008 2009
S		Special Assistance by Audit - Investigations								-		-		Perform as needed						3		3		2		2		3		13		200		1		200		3			2010
O		CUSTOMER amp RIDERSHIP SERVICES			2530							-		New Dept FY14 (frm Ops)
A		RideStores			2538			696000			653907		653907		(42093)				9		12		3		3		2		3		2		2		12		300		3		100		2			2003 2006
A		Sales			2543			590000			593479		593479		3479		Include wRideStores			5		3		(2)		2		2		2		2		2		10		300		3		100		2
A		Customer Information Center (Customer Care)			2532			3627000			3489725		3489725		(137275)		Partial Audit wComplaints			62		57		(5)		3		2		3		3		2		13		300		3		100		3			2015
								-		-
O		OPERATIONS		1		1000			91154000		65611000			65611000		(25543000)		TotExp Excluding Fuel		338969
O		Senior VP amp Staff (inc Budget Operations(OMS))		1		0100 0011 0351			1850000			1469162		1469162		(380838)				7		12		5		A		A		A		A		A		- 0
A		HOT Lanes Operations		1		1500 1510 2185			8062000			8379468		8379468		317468		New to Ops FY14			1		1		- 0		3		3		2		2		3		13		300		3		100		3			2015
O		Revenue Collection		1		2290						-		-		New to Ser Del In 2011						A		A		A		A		A		- 0
A		Revenue Agents		1		2234			820000			887981		887981		67981		Cash Fare Collections			11		11		- 0		3		2		2		2		3		12		300		3		100		2			2009 2017 (17-1001) Cash Fare Collections
O		Bus Transportation (inc Sr Dir Trans GenampSer Logist)		1		0200003103610322			2775000			4874931		4874931		2099931		Moving Violations Audit			2		2		- 0													2011
A		Bus Operations		1		0220						-		-		Cust Training Audit			1597				3		2		3		3		2		13		600		2		300		3			2011
O		Fallbrook		1		011101120113			25050000			24306144		24306144		(743856)				349		349		- 0		A		A		A		A		A		- 0
O		Kashmere (Greenlink added in 2012)		1		0121012201230124			15750000			17065038		17065038		1315038				216		221		5		A		A		A		A		A		- 0
O		Polk		1		013101320133			27965000			27300859		27300859		(664141)				348		357		9		A		A		A		A		A		- 0
O		West		1		014101420143			32898000			33761527		33761527		863527				404		438		34		A		A		A		A		A		- 0
O		Hiram Clarke		1		0151015201530154			21554000			23379044		23379044		1825044				280		321		41		A		A		A		A		A		- 0
O		Northwest (Contract - see Fac Roll -up Code 1800)		1		0163			(3248000)				-		3248000				0			- 0		A		A		A		A		A		- 0							2012
A		Service Delivery		1		0500						-		-		On-Time Perf Review						2		2		3		2		2		11		300		5		60		2			2014
O		Dispatch		1		0301			1767000			1859803		1859803		92803				17		18		1		A		A		A		A		A		- 0
F		Operator Timekeeping System		1							-		-		Old legacy system						2		2		2		1		2		9		200		5		40		2			2005 UnC
A		Director of Serv Del And Street Supervisors		1		0051 0332			3423000			3594559		3594559		171559				30		35		5		3		2		2		3		2		12		300		3		100		2
A		New Service (Was Budget Services in 2011)		1		030003920393						-		-		No bdgt or pers in 2015			0			- 0		1		1		1		1		1		5		250		2		125		1
O		Transportation Programs		1		0400						-		-							A		A		A		A		A		- 0
A		METROLift amp Director of Trans Prog		1		0045 0041			56698000			58450171		58450171		1752171		FTA review in 2013			117		124		7		3		3		3		3		3		15		400		2		200		3			2006 2007
A		Special Events and Contract Services		1		0470048003710381			330000			322665		322665		(7335)				4		3		(1)		2		1		1		1		1		6		200		5		40		1
A		Rideshare		1		0460 2537			10995000				-		(10995000)				0			- 0		3		2		2		1		2		10		300		3		100		2
A		Regional Vanpool (0831 = Community Connector)		1		0460 2539 0831					12034574		12034574		12034574		Lmtd Rev compltd 2014			3		9		6		3		2		2		2		3		12		300		3		100		2			20122014
C		Contracted Services - Northwest BOF		1		08000811-150821-25			48485000			46163058		46163058		(2321942)		$47mil ann bdgt (NW)		$4mil for NW fuel					3		2		2		3		2		12		400		2		200		2			2012 2015CR
A		METRORail		1		0600													3		2		3		3		3		14		600		2		300		3			2008
O		Senior Director Rail		1		610 0061			234000			244607		244607		10607				2		3		1		A		A		A		A		A		- 0
O		Rail Transportation		1		620 621 622 623 626 627			12352000			12181636		12181636		(170364)		METRORail Cam Aud			149		175		26		A		A		A		A		A		- 0							2015
O		Rail Control Center		1		0651			3054000			3148729		3148729		94729				27		26		(1)		A		A		A		A		A		- 0
O		SampI Administration and Supervision		1		0624 0625			676000			690213		690213		14213		New in FY14			7		8		1		A		A		A		A		A		- 0
O		Rail Maintenance		1		0660-6606810691-93			17903000			18333174		18333174		430174		Includes traction power			134		146		12		A		A		A		A		A		- 0							2013
A		Preventive Maintenance (Bus)		1		1191 (Admin)			306000			323151		323151		17151		Bus Hub Rev FY13			2		2		- 0		3		2		3		3		2		13		300		1		300		3			20122013
O		Kashmere (Greenlink added in 2012)		1		1111-1118			11068000			10734424		10734424		(333576)		Greenlink added in 2012			70		73		3		A		A		A		A		A		- 0
O		Polk		1		1121112211231124			16713000			15617108		15617108		(1095892)				97		98		1		A		A		A		A		A		- 0							1993
O		West		1		1131113211331134			21994000			20796712		20796712		(1197288)				113		121		8		A		A		A		A		A		- 0
O		Hiram Clarke		1		11411142114311441145			14524000			13845519		13845519		(678481)				85		84		(1)		A		A		A		A		A		- 0
S		Northwest (Contract - see Fac Roll-up Code 1800)		1		1151115211531154			(120000)				-		120000							A		A		A		A		A		- 0							2002
O		Fallbrook		1		1161116211631164			16224000			14955860		14955860		(1268140)				79		93		14		A		A		A		A		A		- 0
O		Buffalo Bayou Maint (Under SuppVeh RC)		1		1171 1172 1173			1878000			678775		678775		(1199225)				17		21		4		A		A		A		A		A		- 0
A		Central Support amp Manufacturing		1		1020 1021			399000			404920		404920		5920				4		4		- 0		3		2		3		3		2		13		400		2		200		3
O		Body Shop		1		1023			2267000			2388704		2388704		121704				27		28		1		A		A		A		A		A		- 0							1996 2016 (16-1005) Audit of Paint Booths
O		Unit Overhaul		1		1024			1722000			1969444		1969444		247444				32		32		- 0		A		A		A		A		A		- 0							2001
	Unit Overhaul		1		1025			(244000)					244000							A		A		A		A		A		- 0
O		Heavy Repair		1		1022			1979000			2005634		2005634		26634				22		24		2		A		A		A		A		A		- 0
O		Brake Shop		1		1029						-		-		No FY15 PersonnelBdgt			0		0		- 0		A		A		A		A		A		- 0
O		Rebuild Warranty		1		1026			98000			97500		97500		(500)							A		A		A		A		A		- 0
O		Tire amp Battery Usage		1							-		-		SpecProjAs needed						A		A		A		A		A		- 0							20012010 2017 (17-1004) Bus Tires Inspection
A		Maintenance Support		1		1200						-		-		Increasingly Critical						3		2		3		3		2		13		300		3		100		3
O		Quality Assurance		1		1210 1311			882000			904988		904988		22988				8		9		1		A		A		A		A		A		- 0
O		Warranty		1		1240 1312			3612000			4475803		4475803		863803		FY2014 Audit			4		4		- 0		A		A		A		A		A		- 0							2014
O		Technical Services amp Advanced Technology		1		1220 1014 1036			412000			388743		388743		(23257)				2		3		1		A		A		A		A		A		- 0
O		Director Maintenance Support		1		1280 1381			408000			493025		493025		85025		Fuel Tanker Audit			10		11		1		A		A		A		A		A		- 0							2014
O		Electronic Maintenance (inc fare collampradio maint)		1		13012322331390			4564000			4760210		4760210		196210		Critical Activity			43		45		2		A		A		A		A		A		- 0							2013
O		Support Vehicle Maintenance (Inc Med Duty Bus)		1		1351135312501174			4333000			5234060		5234060		901060		Include wMaint Supp			25		26		1		A		A		A		A		A		- 0							2003 07CR
O		Support Vehicle		1		1354			416000			246395		246395		(169605)							A		A		A		A		A		- 0
	Maintenance General		1		1361			5213000			5744855		5744855		531855							A		A		A		A		A		- 0
O		Maintenance Training (MEAD)		1		17201321			377000				-		(377000)		No FY15 Bdgt Or Pers						A		A		A		A		A		- 0							1996
A		Transportation Training		1		1700 1710 0331			2085000			2186942		2186942		101942		New cust Svc Focus			16		18		2		3		2		1		2		2		10		120		5		24		2			1995
								-		-
O		PLANNING ENGINEERING CONST amp REAL EST		1		2180			113640000		90591000			90591000		(23049000)
O		SVP Capital Programs			2020 2021						-		-				0			- 0		A		A		A		A		A		- 0
O		Capital Projects		1		(2180)						-		-				22			(22)		A		A		A		A		A		- 0
A		Document Control		1		2151						-		-				0			- 0		3		2		2		1		2		10		210		3		70		2
A		Engineering Support Services		1		2161			93000			556421		556421		463421				13		9		(4)		3		2		1		1		2		9		210		3		70		2
A		Capital Projects		1		2181			(16000)			42086		42086		58086		$23mil non-rail Cap Bdgt			2		2		- 0		2		2		2		2		2		10		200		5		40		2
A		Bus Infrastructure		1		2182						-		-		No Emp RC FY12-15			0			- 0		2		2		2		1		2		9		200		5		40		2
A		Project Administration and Management		1		2183 2184			(113000)			(29074)		(29074)		83926		New in 2011			7		5		(2)		2		2		2		2		2		10		200		5		40		2
A		EngStandards Buff Bayou Mods		1		9A08 9A09						-		-		New in 2012						3		3		3		2		2		13		300		3		100		3
O		State of Good Repair			2150						-		-		New in 2012						A		A		A		A		A		- 0
A		State of Good Repair			2152						-		-		New in 2012						3		3		2		1		2		11		300		3		100		2
O		Rail Construction			2100 2110 2140						-		-		Consent Agmt Review			7			(7)		A		A		A		A		A		- 0							2014
A		University Corridor			2081						-		-				0			- 0		2		2		2		1		1		8		210		3		70		2
A		4 Light Rail Lines Expansion			2171			(150000)			(13171)		(13171)		136829		$173mil Cap Bdgt			7		6		(1)		3		2		2		2		2		11		210		3		70		2
O		METRO Rail Construction Non-Capital			2040						-		-							A		A		A		A		A		- 0
A		Cap Prog Coor amp Rpt (Inactive)			2433						-		-		New name FY15			0			- 0		3		2		2		1		2		10		210		3		70		2
O		METRO Rail Expansion Integration amp Control			2110 2070						-		-				8			(8)		A		A		A		A		A		- 0
A		Program Integration amp Controls			2111 2121			(134000)			(93508)		(93508)		40492		SrDir Reports to CAO			8		6		(2)		3		2		2		1		2		10		210		3		70		2
A		Rail Vehicles			2153						-		-		Waiver Request Rev						3		3		2		1		2		11		210		3		70		2			2014
O		PLANNING		1		2190				9858000			9858000		9858000		Structure modified in FY14
O		SVP Planning		1		2191			317000			319812		319812		2812		New in 2011			2		2		- 0		A		A		A		A		A		- 0
O		Planning amp Scheduling		1		2050						-		-				29			(29)		A		A		A		A		A		- 0
A		System Planning amp Development		1		2031			16483000			3783057		3783057		(12699943)				11		9		(2)		3		3		1		2		2		11		210		3		70		2
A		Service Planning amp Development		1		2052			1676000			1258682		1258682		(417318)		Alternative Ser Delivery			9		10		1		2		2		3		2		2		11		210		3		70		2			2012
A		System Reimagining		1		1811						-		-		Frmrly Best Practices No employees and project complete			2			(2)		3		3		3		2		3		14		210		3		70		3
A		Scheduling		1		0321			853000			884171		884171		31171				7		8		1		3		2		3		2		2		12		210		3		70		2
A		US 90A Rail Livable Centers ConsortUniv Line		1		9A06 9A07 9A11						-		-		U Line New in FY14						2		1		1		1		2		7		300		3		100		1
O		FACILITY MAINTENANCE		1		1300			15255000		507000			507000		(14748000)		Formerly part of CAO
A		Facility Maint Admin amp Contracts		1		131013411346			3979000			4023276		4023276		44276				13		12		(1)		3		2		2		2		2		11		400		3		133		2
O		Facility Maintenance Programs		1		1320						-		-							A		A		A		A		A		- 0
A		Facility Maint NW Buff Bay amp ProgOp		1		1335 13371342			1598000			1714566		1714566		116566				8		15		7		2		2		2		2		2		10		300		3		100		2
A		SuptFacility Maint		1		1338						-		-		New in 2012			0			- 0		2		2		1		1		2		8		200		5		40		2
A		Facility Maint Headquarters		1		1349			2873000			3033079		3033079		160079				8		7		(1)		2		2		2		2		2		10		300		5		60		2			2007
O		Public Facilities		1		1330						-		-							A		A		A		A		A		- 0
A		Public Facility amp Public Facility Admin		1		1339 1343			7612000			7670039		7670039		58039		Bus Shelter Audit			58		57		(1)		3		2		2		3		2		12		300		3		100		2			2011
A		Public Facility Rail			1348			4497000			4097093		4097093		(399907)				39		39		- 0		3		2		2		3		2		12		300		3		100		2
O		BOF Env Serv amp Proj Management		1		13401380						-		-							A		A		A		A		A		- 0
A		BOF Env Serv amp Proj Management		1		1331-3413361344-45			6945000			6666939		6666939		(278061)				40		34		(6)		3		2		2		3		2		12		300		3		100		2
A		Fac Maint Rail		1		1347			1928000			1754811		1754811		(173189)		Higher risk after rail expans			9		10		1		3		2		2		2		2		11		300		3		100		2
O		REAL ESTATE amp PROPERTY MANAGEMENT			2550								Formerly in Legal
A		Real Estate			2131			463000			435274		435274		(27726)		Appraisal Process Aud			5		1		(4)		3		3		2		2		3		13		300		3		100		3			2015
	Total		141			Total			178221000		593645668		771866668
					83997800000
	Note A - Assessed at the ActivityOrganization Level																	ANNUAL SCHEDULED HOURS							17415
	- Scheduled for 4th qtr of FY17																	STAFF REQUIREMENTS							109
	- Annual budget figures adjusted
	or estimated where appropriate				total		83997800000									3969
	to reflect organizational or				From PY		80538300000								Check Figure from Head Count Report		3969				EDP PORTION OF ABOVE								0
	operating changes				difference		3459500000									0				EDP STAFF REQURIEMENTS								00
																TOTAL UNSCHEDULED ANNUAL HOURS								0
																TOTAL SCHEDULED amp UNSCHEDULED								0
																STAFF REQUIREMENTS IF ALL
																AUDITS SCHEDULED								000

	Organizational Units		Auditable Units
	Executive amp Baord		1
	Legal		4

		13		14		15
		10		11		12
		7		8		9
		-		5		6

	Reconciliation of Risk Assessment Values reviewed Audit obtained the FY2017 Budget amounts from accounting and used these amount to prepare a risk assessment The following is a reconciliation of the amounts reviewed in the Risk Assessment
			Capital Budget Amount
		Risk Assessment Amount Reviewed		178221000
		Budget Amount		178221
		Difference		178042779
			Operating Budget
		Risk Assessment Amount Reviewed		593645668
		Budget Amount		568071000
		Difference		25574668
		Adjustments		2600806		Non-Departmental A
			2500000		Contingency - President amp CEO B
		Remaining Difference		30675474		rounding differences
	Notes
	A		The Non-Departmental amount from the budget was not included in the Risk Assessment as this amount was a contingency for the COLA adjustment expected to be approved during the 2017 Fiscal Year
	B		The Contingency - President amp CEO amount from the budget was not included in the Risk Assessment as the amount was an actual contingency for unknown or potential issues which might effect METRO during the 2017 fiscal year

																		KEY
	Risk Assessment as of JUNE 2017																		Audit Type (Internal Designations not Yellow Book)
																		F = Financial						O = ORGANIZATION
																		P = Performance						S = Special Project
																		C = Compliance						A = Activity
Audit				RESPONSIBILITY		Responsibility Code or Account (SAP - New Codes)		FY2016 Budget		FY2017 BUDGET (000 omitted)				Delta				STAFF SIZE			Delta		RISK ASSESSMENT							AUDIT BUDGET						LAST YEAR
Type		ORGANIZATIONAL UNIT ACTIVITY OR			CODE OR								OTHER CONSIDERATIONS						1		2		3		4		5		Total		Estimated Hours		FRQ		ANNUAL HOURS		RISK			AUDITED
Code		PROJECT DESCRIPTION			ACCOUNT (ORACLE)			Total		CAPITAL		OPERATING		TOTAL		(Less) More		DESCRIPTION		VALUE (000)		FY16 (Actual)		FY17 (Actual)		(Less) More			Control Environment		Technology		Size		Organization				YRS					( Partial)
O		EXECUTIVE amp BOARD		1		2300 2320				3028000			3028000		3028000		Cap Is Unallocated Cap
O		President amp Chief Executive OfficerBoard			2310 11 12 13 21			1901000			2124896		2124896		223896				8		7		(1)		A		A		A		A		A		- 0
S		Board Service Requests								-		-		highest priority						3		3		3		1		3		13		150		1		150		3
S		President amp Chief Executive Officer Requests								-		-		highest priority						3		3		3		1		3		13		150		1		150		3
S		Office of Executive Vice PresidentStrategic Partnering			2011						-		-				0				2		1		1		1		1		6		200		5		40		1
A		Press Office			2371			641000			858422		858422		217422		Social Media Issues			5		8		3		3		3		3		1		1		11		200		5		40		2
A		Office of Innovation			2511					631181		631181		631181					3		3		A		A		A		A		A		- 0
O		GOVERNMENT amp PUBLIC AFFAIRS			2520							-				38
A		Government Affairs			2352			667000			380831		380831		(286169)		Form Part of ExecBoard			4		3		(1)		3		2		2		2		1		10		400		3		133		2
O		CORPORATE COMMUNICATIONS amp MARKETING			2580							-		Formerly part of CAO			22
A		Print Shop and Admin Services			2431 2432			1944000			1960212		1960212		16212				8		10		2		2		1		1		2		2		8		200		5		40		2			1988
A		Media amp Corporate Communications			2581			500000			521510		521510		21510				4		3		(1)		3		1		1		1		1		7		100		5		20		1
A		Marketing			2531			4716000			5440929		5440929		724929				10		12		2		2		1		2		2		1		8		300		5		60		2
O		Public Engagement			2010						-		-		Formerly part of Planning			6			(6)
A		Community Outreach			2521			682000			866624		866624		184624		Involves Rail Expansion			6		26		20		3		2		1		2		2		10		200		5		40		2
A		Interagency Dir Of Pub Engagement			25222523						-		-		Form Part of Planning		No bdgtpers		0			- 0		1		1		1		1		1		5		200		5		40		1
O		Stakeholder Affairs			2060						-		-		Formerly part of Planning			6			(6)		A		A		A		A		A		- 0
A		Stakeholder Affairs			20122524			450000			534409		534409		84409		Form Part of Cap Prog			6			(6)		3		2		1		1		2		9		210		3		70		2			2011
								-		-
A		LEGALSTAFF COUNSELCORPORATE DEVELOPMENT			2350 51			3505000			3955580		3955580		450580				17		15			3		1		1		2		1		8		200		5		40		2
F		Legal Fees		1							-		-							2		1		1		1		1		6		200		5		40		1			2008
S		Attorney Work Requests		1							-		-							3		3		2		1		1		10		200		5		40		2
S		Special Assistance		1							-		-							3		3		2		1		1		10		200		5		40		2
A		Records Management		1		2013			304000			230439		230439		(73561)		Formerly in EEOCompDiv			3		2		(1)		3		3		2		1		2		11		300		3		100		2
								-		-
O		AUDIT			2330 2331			1505000			1534340		1534340		29340				11		11
A		Internal Quality Assurance Review		1							-		-													200		1		200				ON-GOING
A		External Quality Assurance Review		1							-		-		Yellow Book Req												100		3		33				2014
A		External Auditor Assistance								-		-													50		1		50		1			ON-GOING
C		Follow-UpCompliance Reviews								-		-													450		1		450				ON-GOING
A		Application Systems Audit Support								-		-													200		1		200		2			ON-GOING
C		Capital Projects QAQC Programs			Contract Oversight						-		-		FTA REQUIREMENT						3		2		2		1		2		10		200		1		200		2			ON-GOING
P		Review of Performance Measures								-		-							2		2		1		1		1		7		1000		5		200		1			2006
C		State Audit Compliance Review		1							-		-							3		3		3		1		3		13		200		1		200		3			2009 2016(16-1001) Statutory Compliance
C		FTA Audit Compliance Reviews		1							-		-							3		3		3		1		3		13		200		1		200		3			ON-GOING
								-		-
O		FINANCE amp ADMINISTRATION (Frmrly CAO)		1		2500 1610			313000				-		(313000)		AmtsEmps exclude IT
O		EVP Finance amp Administration		1		1611			822000			624447		624447		(197553)				2		3		1		A		A		A		A		A		- 0
O		FINANCE DEPARTMENT		1		2200						-		-
O		Vice PresidentChief Financial Officer			2210 2211			10000			718916		718916		708916				0		2		2		A		A		A		A		A		- 0
O		AccountingController			2220 2221			3250000			3740872		3740872		490872				28		28		- 0		A		A		A		A		A		- 0
O		General Accounting								-		-							A		A		A		A		A		- 0
F		General Ledger								-		-							3		2		3		2		2		12		300		3		100		2			2001
F		Accounts Receivable								-		-							3		2		3		2		2		12		300		3		100		2			2004
O		Grants Accounting (Audit with Grants Admin)								-		-							A		A		A		A		A		- 0							2004
O		Accounting								-		-							A		A		A		A		A		- 0
F		Fixed Assets								-		-		Net Cap Assets (Proj)		3200000					3		2		3		2		2		12		300		3		100		2			200307CR
F		Payroll								-		-		LaborBnfts (Budget)		301554					2		3		3		2		2		12		300		3		100		2			1998 2007
A		Payroll Payment Verification (ghost emps)								-		-		Payroll Ver Aud FY14						2		2		2		2		2		10		200		5		40		2			20032014
A		Accounts Payable								-		-		PAYMENTS (20101010)						3		2		3		2		2		12		300		3		100		2			2007 (CR)
F		Travel Expenses								-		-		(5090201-4)						2		1		1		1		2		7		200		5		40		1			1988
C		External Audit Mgt Ltr Compliance								-		-		Priority as required						3		3		3		1		3		13		100		1		100		3			2012
F		Audit Fees								-		-		(5030302)						2		1		1		1		1		6		80		5		16		1
F		Cost Allocation Plan								-		-							2		2		1		1		1		7		250		5		50		1			2005
O		Treasury Services			2230						-		-		Includes RevSrv			33			(33)		A		A		A		A		A		- 0
O		Director Treasury Services			2231						-		-				6			(6)		A		A		A		A		A		- 0
A		Financial Planning amp Investments								-		-		Investments (2014)		415021					3		3		2		3		3		14		200		2		100		3			2010 2016 (16-1004) Financial Planning amp Investments
O		Treasury Office Operations								-		-							A		A		A		A		A		- 0							2000
F		Sales Tax Revenue(audit with Distributions)								-		-		Sales Tax (Projected)		706241					3		2		2		3		2		12		200		2		100		2			2009
F		Sales Tax Revenue Distributions								-		-		Distributions(est Gen Mob)		173019					3		2		2		3		2		12		100		2		50		2			2009
F		Other Revenues								-		-		Projected FY2015		$108 mil					3		2		1		2		2		10		90		3		30		2
F		Petty Cash								-		-		Disbursements						3		1		1		1		3		9		90		3		30		2			2002
F		Pension Funds (Audited by outside auditors)								-		-		Funds						2		1		2		1		1		7		300		5		60		1			1995
A		Revenue Services		1		2212						-		-		Under OMB Mgmt						3		3		3		2		3		14		300		3		100		3
A		Ticket amp Fare Collection		1		2232			3514000			3037608		3037608		(476392)				27		26		(1)		3		3		3		2		3		14		300		2		150		3			2001 2009
A		Revenue Management		1		2235						-		-		Include wFare Collection						2		2		3		2		2		11		300		3		100		2
A		Grants (Includes Grant Accounting)		1		2250 2353			536000			528174		528174		(7826)		GRANTS INCOME(Bdgt)		196386		4		4		- 0		3		2		3		3		3		14		300		3		100		3			2010 2013
A		New Freedom JARC		1		9A03 9A04						-		-		New 2012 Inc wGrants						A		A		A		A		A		- 0
O		Office of Management amp Budget		1		2260						-		-		low audit priority			10			(10)		A		A		A		A		A		- 0
A		Office of Management amp Budget		1		2361			1887000			2267912		2267912		380912				10		14		4		2		1		2		2		2		9		150		5		30		2
O		PROCUREMENT amp MATERIALS			2460							-		ProcampMat Only(exSBE)
A		Procurement			2422			3661000			3689787		3689787		28787		IT ProcampHRT Auds 14			32		34		2		3		2		2		3		2		12		400		2		200		2			20092014
F		Purchase Card Activity								-		-		Recent Pcard Purch Range		$32 milyr					3		3		1		3		2		12		300		2		150		2			20072017 (17-1003) Purchasing Cards and Small Purchases
A		HGACState of Texas Purchasing Programs								-		-							2		1		2		1		1		7		200		5		40		1
F		Fuel Purchasing Program					31773000			27468028		3207448		385448		DieselampGas Bdgt-Requests for Board Action has a modification for fuel in the amount 28510000 and 4127000		38735					3		3		2		3		2		13		200		2		100		3			20062012
C		Davis Bacon Compliance								-		-		Fewer Cap Projects						3		2		3		1		3		12		300		3		100		2			2010
O		Materials amp Distribution			2423			5695000			6056753		6056753		361753				75		77		2		A		A		A		A		A		- 0
F		Inventory Management and Control								-		-		MampS Expense (Projected)		21651					2		1		3		3		2		11		300		2		150		2			1987 2016(16-1002) FY2016 Spare Parts Inventory 2017 (17-1002) Maintenance Parts Inventory
F		Fuel amp Lubricant Controls					2822000			3207448		27468028		(4304972)		Diesel Budget		36601					3		2		2		2		2		11		500		2		250		2			20082012
F		Annual Physical and Cyclical Inventories								-		-		FY2014 Inv Balance		24250					3		2		3		3		2		13		450		1		450		3			2014
A		Property Services								-		-		Asset Disposals						2		1		2		2		3		10		400		3		133		2			2007 2015
O		SMALL BUSINESS			2340							-		Frmrly in Business Serv
A		SBEDBE			2341			823000			834530		834530		11530				7		6		(1)		3		2		2		2		2		11		300		3		100		2			2017 (17-1006) DBE Compliance
O		HUMAN RESOURCES		1		2400							-		Part of FinampAdmin
O		Vice President Human Resources			2410						-		-							A		A		A		A		A		- 0
O		VP Human Resources			2411			628000			636954		636954		8954				2		2		- 0		A		A		A		A		A		- 0
A		Compensation			2444			491000			495980		495980		4980				4		4		- 0		3		1		3		1		1		9		100		5		20		2
O		Human Resources Operations			2430						-		-							A		A		A		A		A		- 0
O		Staffing			2442			1229000			1385642		1385642		156642		Backgrnd Inv Review			12		11		(1)		A		A		A		A		A		- 0							2015
A		Contract and Temporary Labor								-		-							2		2		2		2		1		9		150		3		50		2			200305CR
C		Recruitment Incentive Programs								-		-							3		2		2		2		2		11		150		3		50		2
O		Labor Relations			2440						-		-		Formerly part of Serv Del						A		A		A		A		A		- 0
A		Labor Relations			2461			428000			426121		426121		(1879)				4		4		- 0		3		1		2		2		1		9		150		3		50		2
O		Human Capital Management and Personnel Services			2470						-		-							A		A		A		A		A		- 0
A		HCM and Personnel Services			2441			434000			451356		451356		17356				5		5		- 0		2		3		2		3		2		12		200		3		67		2
O		Benefits Wellness amp Compensation		1		24502421			55000			75576		75576		20576		Supp Ins Dep Review				3		3		A		A		A		A		A		- 0							2014
A		Wellness Programs		1		2446			289000			270346		270346		(18654)				2		2		- 0		3		3		2		3		2		13		200		1		200		3
A		Benefits and Pensions		1		2443			1282000			1283645		1283645		1645		HIPAA Audit			6		7		1		3		3		2		2		3		13		200		2		100		3			2015
A		Union Benefit Trust		1							-		-		Contributions (2014)		13692					A		A		A		A		A		- 0
A		Non-Union Pension		1							-		-		Contributions (2014)		8967					A		A		A		A		A		- 0							2008
A		Non-Union Health Insurance		1							-		-		Cost of Plans (2014)		9478					A		A		A		A		A		- 0
A		Life Insurance		1							-		-							A		A		A		A		A		- 0
A		Retirees (include wBenefits and Pensions)		1		2412			13411000			15177705		15177705		1766705							A		A		A		A		A		- 0
O		EEO COMPLIANCE AND DIVERSITY		1		2480							-		Part of HR in 2015
O		VP EEO Compliance amp Diversity		1		2014							-		Dir Level in 2015 no VP						A		A		A		A		A		- 0
O		COMPLIANCE EEO EMPLOYEE RELATIONS		1		2560							-		New org structure in 2011
A		EEO and Employee Relations		1		2445			719000			761821		761821		42821				5		4		(1)		2		2		2		2		1		9		150		3		50		2
A		EEO		1		2449			453000			508580		508580		55580				2		4		2		1		1		1		1		1		5		150		5		30		1
								-		-
O		INFORMATION TECHNOLOGY			2280 2451			44507000		8626000		21515539		30141539		(14365461)		Part of FinampAdmin				66		66
O		Disaster Recovery amp Business Continuity								-		-
A		Data Access Security								-		-							2		2		1		3		2		10		300		3		100		2			2008
A		Disaster Recovery Observation								-		-							3		3		3		3		3		15		300		1		300		3			2017
A		Business Recovery Planning								-		-							2		2		2		3		3		12		300		3		100		2			2017
A		Data Center Operations								-		-							2		3		2		3		2		12		200		3		67		2			2009
O		Databases								-		-
A		Data Base Administration								-		-							2		3		3		3		3		14		400		3		133		3			2016
O		Network Management								-		-
A		Firewall Admin amp Controls								-		-							3		3		2		3		2		13		260		2		130		3			2016
A		Incident Intrusion and Emergency Response								-		-							3		3		2		3		2		13		260		2		130		3			2007
A		Wireless Network Security								-		-							3		3		2		3		2		13		260		2		130		3			2007
O		Department Administrative Functions								-		-
A		Help Desk Operations								-		-							2		2		2		2		2		10		300		3		100		2			2009
A		Computer Equipment Disposal Practices								-		-							2		2		2		2		2		10		300		3		100		2			2016
A		HardwareSoftware Standards								-		-							2		2		1		2		2		9		200		3		67		2			2009
A		Remote Access Policies and Security								-		-							2		2		2		2		2		10		150		3		50		2			2009
O		Applications Systems								-		-
A		Enterprise Systems Migration amp Chg Controls								-		-							3		2		3		2		2		12		400		3		133		2			2007
A		Security and Controls								-		-							3		2		3		2		2		12		300		2		150		2			2007
A		SAP Application Maintenance								-		-							3		3		3		2		3		14		300		3		100		3
O		Internet Access Use Controls amp Security								-		-
A		Web Site Management								-		-							3		2		3		2		2		12		250		2		125		2			2010
A		E-business Administration and Controls								-		-							3		2		2		3		2		12		250		2		125		2
A		E-mail Usage Security and Controls								-		-							3		2		2		3		2		12		250		2		125		2			2008
O		Communications Systems								-		-		(50502045121201)
A		VOIP Telephone System Management amp Security								-		-							3		2		3		3		3		14		250		3		83		3			2012
A		Video Surveillance System Man amp Security								-		-							3		2		2		3		3		13		250		2		125		3			2008
A		Radio System Management and Security								-		-							3		2		3		3		3		14		300		3		100		3
O		New Systems Development and Controls								-		-
A		IT Project Management Policies amp Procedures								-		-							2		2		2		2		3		11		400		2		200		2			2011
A		Post Implementation Review								-		-		Q Card review in 2010						2		2		2		2		2		10		200		2		100		2			2010
A		ERP Technical Controls								-		-							2		2		2		2		2		10		400		2		200		2			2010
O		Operating Systems (OS)								-		-
A		UNIX OS Review								-		-							2		3		3		2		3		13		500		3		167		3			2012
A		Windows OS Review								-		-							2		3		3		2		3		13		500		3		167		3			2014
A		Vmware Virtualization OS Review								-		-							2		3		3		2		3		13		500		3		167		3			2014
O		Adherence to Licensing Requirements								-		-
A		SAP Contract Compliance								-		-							2		2		2		2		3		11		200		2		100		2			2017
A		Oracle Contract Compliance								-		-							2		2		2		2		3		11		200		2		100		2			2017
A		Other Licenses								-		-							2		2		2		2		2		10		200		2		100		2			2017
O		Storage								-		-
A		Data Storage								-		-							3		3		3		2		3		14		600		4		150		3			2017
O		Rail IT								-		-
A		SCADA Systems								-		-							3		3		3		3		2		14		300		2		150		3			2011
A		Data Center Operations								-		-							3		3		3		3		2		14		300		2		150		3			2014
								-		-
O		OPS PUB SFTY amp CUST RDRSHP SERVS		1		2800			1405000					(1405000)		Includes MPD in FY1415
O		EVP Ops Pub SftyampCust Rdrshp Servs		1		1821			740000			768800		768800		28800		RC frmrly Best Practices			6		5		(1)		A		A		A		A		A		- 0
O		Director of Safety		1		2810 2812			180000			189445		189445		9445				1			(1)		A		A		A		A		A		- 0
A		Customer and Health Safety		1		2820283022432245			1309000			1248726		1248726		(60274)				12		11		(1)		3		3		2		2		2		12		300		3		100		2
A		Workplace and Environmental Safety		1		28402246			569000			642623		642623		73623		No budget in 2015			5		5		- 0		1		1		1		1		1		5		100		3		33		1
A		Drug amp Alcohol Program		1		2448			611000			630270		630270		19270		FTA area of interest			3		3		- 0		3		3		1		1		2		10		300		3		100		2			2010 2015CR
O		Risk Management			2240						-		-							A		A		A		A		A		- 0							2013
O		Director Risk Management			2241			161000			160688		160688		(312)				1				(1)		A		A		A		A		A		- 0
A		Claims			2242			1116000			1135035		1135035		19035		FEMA Reim Audit			12		13		1		2		2		1		2		2		9		150		3		50		2			2013
A		General Insurance			2244			3852000			3605884		3605884		(246116)				3		3		- 0		2		2		2		2		2		10		150		3		50		2			2003
A		Workers Compensation								-		-		Audited in 2014						2		2		2		1		2		9		150		3		50		2			2014
A		Owner Controlled Iinsurance Program (OCIP)								-		-		True-up in progress						3		3		2		3		2		13		400		3		133		3			20112017 (17-1005) Audit of OCIP
A		Training Design amp Delivery			2850 2247			585000			651220		651220		66220		New org in 2011			3		5		2		3		2		2		1		3		11		300		3		100		2
O		METRO POLICE		1		1900							-		Part of Safety in FY1415
O		Vice PresidentChief of Police		1		1910 0911			593000			569954		569954		(23046)				2		4		2		A		A		A		A		A		- 0
O		Management Services		1		1920 0912 0913			414000			374176		374176		(39824)				4		8		4		A		A		A		A		A		- 0
F		Special Funds - LEOSE amp Seized Property		1							-		-		STATE REQUIREMENT		30					3		1		1		1		2		8		200		1		200		2			2014
O		Police Field amp Rail Operations		1		1930						-		-							A		A		A		A		A		- 0
A		Field amp Rail Operations		1		0934 0966			13646000			15091874		15091874		1445874				144		150		6		3		2		2		3		2		12		300		5		60		2			1998 2007 2016 (16-1006) MPD Administrative Fees
A		System Security K-9 Unit		1		0936			841000			902038		902038		61038				8		8		- 0		3		2		1		2		2		10		200		5		40		2
A		Motorist Assistance Program		1		0964			(88000)			53190		53190		141190				8		7		(1)		3		2		1		1		1		8		200		5		40		2
A		HOV-Enforcements		1		0965			(447000)			383387		383387		830387				25		30		5		3		2		2		1		2		10		300		5		60		2			1998
O		Support Operations		1		1940						-		-							A		A		A		A		A		- 0							1998
A		Transtar amp Dispatch		1		0942 0943			1912000			2200654		2200654		288654				19		19		- 0		3		3		3		2		2		13		300		5		60		3
A		Support OperationsampAnti-Terrorism Grant		1		0932 0935			982000			1416066		1416066		434066				10		14		4		2		2		2		2		2		10		300		5		60		2
A		Investigations		1		0931			1080000			1435846		1435846		355846		Accident Investigations			11		13		2		3		2		2		2		2		11		300		5		60		2			1998 2007 2016 (16-1003) Bus Accident Investigations
A		Records		1		0952			301000			441900		441900		140900				6		6		- 0		2		2		2		1		1		8		300		5		60		2			1998
O		Homeland Security(Inactive budget in 0953)		1		1950						-		-							A		A		A		A		A		- 0
A		Police Homeland Security		1		0953						-		-		No pers In 2015			0			- 0		3		2		2		1		2		10		300		5		60		2
A		Security BOF(Auditable area no budget or pers)		1		0933						-		-		No Emp RC in 2013-15			0			- 0		3		3		3		1		3		13		400		2		200		3			2012 2015
A		Emergency Management(No budget or pers)		1		1960 1961						-		-		No Emp RC in 2012-15			0			- 0		3		2		2		1		2		10		300		3		100		2			2008 2009
S		Special Assistance by Audit - Investigations								-		-		Perform as needed						3		3		2		2		3		13		200		1		200		3			2010
O		CUSTOMER amp RIDERSHIP SERVICES			2530							-		New Dept FY14 (frm Ops)
A		RideStores			2538			696000			653907		653907		(42093)				9		12		3		3		2		3		2		2		12		300		3		100		2			2003 2006
A		Sales			2543			590000			593479		593479		3479		Include wRideStores			5		3		(2)		2		2		2		2		2		10		300		3		100		2
A		Customer Information Center (Customer Care)			2532			3627000			3489725		3489725		(137275)		Partial Audit wComplaints			62		57		(5)		3		2		3		3		2		13		300		3		100		3			2015
								-		-
O		OPERATIONS		1		1000			91154000		65611000			65611000		(25543000)		TotExp Excluding Fuel		338969
O		Senior VP amp Staff (inc Budget Operations(OMS))		1		0100 0011 0351			1850000			1469162		1469162		(380838)				7		12		5		A		A		A		A		A		- 0
A		HOT Lanes Operations		1		1500 1510 2185			8062000			8379468		8379468		317468		New to Ops FY14			1		1		- 0		3		3		2		2		3		13		300		3		100		3			2015
O		Revenue Collection		1		2290						-		-		New to Ser Del In 2011						A		A		A		A		A		- 0
A		Revenue Agents		1		2234			820000			887981		887981		67981		Cash Fare Collections			11		11		- 0		3		2		2		2		3		12		300		3		100		2			2009 2017 (17-1001) Cash Fare Collections
O		Bus Transportation (inc Sr Dir Trans GenampSer Logist)		1		0200003103610322			2775000			4874931		4874931		2099931		Moving Violations Audit			2		2		- 0													2011
A		Bus Operations		1		0220						-		-		Cust Training Audit			1597				3		2		3		3		2		13		600		2		300		3			2011
O		Fallbrook		1		011101120113			25050000			24306144		24306144		(743856)				349		349		- 0		A		A		A		A		A		- 0
O		Kashmere (Greenlink added in 2012)		1		0121012201230124			15750000			17065038		17065038		1315038				216		221		5		A		A		A		A		A		- 0
O		Polk		1		013101320133			27965000			27300859		27300859		(664141)				348		357		9		A		A		A		A		A		- 0
O		West		1		014101420143			32898000			33761527		33761527		863527				404		438		34		A		A		A		A		A		- 0
O		Hiram Clarke		1		0151015201530154			21554000			23379044		23379044		1825044				280		321		41		A		A		A		A		A		- 0
O		Northwest (Contract - see Fac Roll -up Code 1800)		1		0163			(3248000)				-		3248000				0			- 0		A		A		A		A		A		- 0							2012
A		Service Delivery		1		0500						-		-		On-Time Perf Review						2		2		3		2		2		11		300		5		60		2			2014
O		Dispatch		1		0301			1767000			1859803		1859803		92803				17		18		1		A		A		A		A		A		- 0
F		Operator Timekeeping System		1							-		-		Old legacy system						2		2		2		1		2		9		200		5		40		2			2005 UnC
A		Director of Serv Del And Street Supervisors		1		0051 0332			3423000			3594559		3594559		171559				30		35		5		3		2		2		3		2		12		300		3		100		2
A		New Service (Was Budget Services in 2011)		1		030003920393						-		-		No bdgt or pers in 2015			0			- 0		1		1		1		1		1		5		250		2		125		1
O		Transportation Programs		1		0400						-		-							A		A		A		A		A		- 0
A		METROLift amp Director of Trans Prog		1		0045 0041			56698000			58450171		58450171		1752171		FTA review in 2013			117		124		7		3		3		3		3		3		15		400		2		200		3			2006 2007
A		Special Events and Contract Services		1		0470048003710381			330000			322665		322665		(7335)				4		3		(1)		2		1		1		1		1		6		200		5		40		1
A		Rideshare		1		0460 2537			10995000				-		(10995000)				0			- 0		3		2		2		1		2		10		300		3		100		2
A		Regional Vanpool (0831 = Community Connector)		1		0460 2539 0831					12034574		12034574		12034574		Lmtd Rev compltd 2014			3		9		6		3		2		2		2		3		12		300		3		100		2			20122014
C		Contracted Services - Northwest BOF		1		08000811-150821-25			48485000			46163058		46163058		(2321942)		$47mil ann bdgt (NW)		$4mil for NW fuel					3		2		2		3		2		12		400		2		200		2			2012 2015CR
A		METRORail		1		0600													3		2		3		3		3		14		600		2		300		3			2008
O		Senior Director Rail		1		610 0061			234000			244607		244607		10607				2		3		1		A		A		A		A		A		- 0
O		Rail Transportation		1		620 621 622 623 626 627			12352000			12181636		12181636		(170364)		METRORail Cam Aud			149		175		26		A		A		A		A		A		- 0							2015
O		Rail Control Center		1		0651			3054000			3148729		3148729		94729				27		26		(1)		A		A		A		A		A		- 0
O		SampI Administration and Supervision		1		0624 0625			676000			690213		690213		14213		New in FY14			7		8		1		A		A		A		A		A		- 0
O		Rail Maintenance		1		0660-6606810691-93			17903000			18333174		18333174		430174		Includes traction power			134		146		12		A		A		A		A		A		- 0							2013
A		Preventive Maintenance (Bus)		1		1191 (Admin)			306000			323151		323151		17151		Bus Hub Rev FY13			2		2		- 0		3		2		3		3		2		13		300		1		300		3			20122013
O		Kashmere (Greenlink added in 2012)		1		1111-1118			11068000			10734424		10734424		(333576)		Greenlink added in 2012			70		73		3		A		A		A		A		A		- 0
O		Polk		1		1121112211231124			16713000			15617108		15617108		(1095892)				97		98		1		A		A		A		A		A		- 0							1993
O		West		1		1131113211331134			21994000			20796712		20796712		(1197288)				113		121		8		A		A		A		A		A		- 0
O		Hiram Clarke		1		11411142114311441145			14524000			13845519		13845519		(678481)				85		84		(1)		A		A		A		A		A		- 0
S		Northwest (Contract - see Fac Roll-up Code 1800)		1		1151115211531154			(120000)				-		120000							A		A		A		A		A		- 0							2002
O		Fallbrook		1		1161116211631164			16224000			14955860		14955860		(1268140)				79		93		14		A		A		A		A		A		- 0
O		Buffalo Bayou Maint (Under SuppVeh RC)		1		1171 1172 1173			1878000			678775		678775		(1199225)				17		21		4		A		A		A		A		A		- 0
A		Central Support amp Manufacturing		1		1020 1021			399000			404920		404920		5920				4		4		- 0		3		2		3		3		2		13		400		2		200		3
O		Body Shop		1		1023			2267000			2388704		2388704		121704				27		28		1		A		A		A		A		A		- 0							1996 2016 (16-1005) Audit of Paint Booths
O		Unit Overhaul		1		1024			1722000			1969444		1969444		247444				32		32		- 0		A		A		A		A		A		- 0							2001
	Unit Overhaul		1		1025			(244000)					244000							A		A		A		A		A		- 0
O		Heavy Repair		1		1022			1979000			2005634		2005634		26634				22		24		2		A		A		A		A		A		- 0
O		Brake Shop		1		1029						-		-		No FY15 PersonnelBdgt			0		0		- 0		A		A		A		A		A		- 0
O		Rebuild Warranty		1		1026			98000			97500		97500		(500)							A		A		A		A		A		- 0
O		Tire amp Battery Usage		1							-		-		SpecProjAs needed						A		A		A		A		A		- 0							20012010 2017 (17-1004) Bus Tires Inspection
A		Maintenance Support		1		1200						-		-		Increasingly Critical						3		2		3		3		2		13		300		3		100		3
O		Quality Assurance		1		1210 1311			882000			904988		904988		22988				8		9		1		A		A		A		A		A		- 0
O		Warranty		1		1240 1312			3612000			4475803		4475803		863803		FY2014 Audit			4		4		- 0		A		A		A		A		A		- 0							2014
O		Technical Services amp Advanced Technology		1		1220 1014 1036			412000			388743		388743		(23257)				2		3		1		A		A		A		A		A		- 0
O		Director Maintenance Support		1		1280 1381			408000			493025		493025		85025		Fuel Tanker Audit			10		11		1		A		A		A		A		A		- 0							2014
O		Electronic Maintenance (inc fare collampradio maint)		1		13012322331390			4564000			4760210		4760210		196210		Critical Activity			43		45		2		A		A		A		A		A		- 0							2013
O		Support Vehicle Maintenance (Inc Med Duty Bus)		1		1351135312501174			4333000			5234060		5234060		901060		Include wMaint Supp			25		26		1		A		A		A		A		A		- 0							2003 07CR
O		Support Vehicle		1		1354			416000			246395		246395		(169605)							A		A		A		A		A		- 0
	Maintenance General		1		1361			5213000			5744855		5744855		531855							A		A		A		A		A		- 0
O		Maintenance Training (MEAD)		1		17201321			377000				-		(377000)		No FY15 Bdgt Or Pers						A		A		A		A		A		- 0							1996
A		Transportation Training		1		1700 1710 0331			2085000			2186942		2186942		101942		New cust Svc Focus			16		18		2		3		2		1		2		2		10		120		5		24		2			1995
								-		-
O		PLANNING ENGINEERING CONST amp REAL EST		1		2180			113640000		90591000			90591000		(23049000)
O		SVP Capital Programs			2020 2021						-		-				0			- 0		A		A		A		A		A		- 0
O		Capital Projects		1		(2180)						-		-				22			(22)		A		A		A		A		A		- 0
A		Document Control		1		2151						-		-				0			- 0		3		2		2		1		2		10		210		3		70		2
A		Engineering Support Services		1		2161			93000			556421		556421		463421				13		9		(4)		3		2		1		1		2		9		210		3		70		2
A		Capital Projects		1		2181			(16000)			42086		42086		58086		$23mil non-rail Cap Bdgt			2		2		- 0		2		2		2		2		2		10		200		5		40		2
A		Bus Infrastructure		1		2182						-		-		No Emp RC FY12-15			0			- 0		2		2		2		1		2		9		200		5		40		2
A		Project Administration and Management		1		2183 2184			(113000)			(29074)		(29074)		83926		New in 2011			7		5		(2)		2		2		2		2		2		10		200		5		40		2
A		EngStandards Buff Bayou Mods		1		9A08 9A09						-		-		New in 2012						3		3		3		2		2		13		300		3		100		3
O		State of Good Repair			2150						-		-		New in 2012						A		A		A		A		A		- 0
A		State of Good Repair			2152						-		-		New in 2012						3		3		2		1		2		11		300		3		100		2
O		Rail Construction			2100 2110 2140						-		-		Consent Agmt Review			7			(7)		A		A		A		A		A		- 0							2014
A		University Corridor			2081						-		-				0			- 0		2		2		2		1		1		8		210		3		70		2
A		4 Light Rail Lines Expansion			2171			(150000)			(13171)		(13171)		136829		$173mil Cap Bdgt			7		6		(1)		3		2		2		2		2		11		210		3		70		2
O		METRO Rail Construction Non-Capital			2040						-		-							A		A		A		A		A		- 0
A		Cap Prog Coor amp Rpt (Inactive)			2433						-		-		New name FY15			0			- 0		3		2		2		1		2		10		210		3		70		2
O		METRO Rail Expansion Integration amp Control			2110 2070						-		-				8			(8)		A		A		A		A		A		- 0
A		Program Integration amp Controls			2111 2121			(134000)			(93508)		(93508)		40492		SrDir Reports to CAO			8		6		(2)		3		2		2		1		2		10		210		3		70		2
A		Rail Vehicles			2153						-		-		Waiver Request Rev						3		3		2		1		2		11		210		3		70		2			2014
O		PLANNING		1		2190				9858000			9858000		9858000		Structure modified in FY14
O		SVP Planning		1		2191			317000			319812		319812		2812		New in 2011			2		2		- 0		A		A		A		A		A		- 0
O		Planning amp Scheduling		1		2050						-		-				29			(29)		A		A		A		A		A		- 0
A		System Planning amp Development		1		2031			16483000			3783057		3783057		(12699943)				11		9		(2)		3		3		1		2		2		11		210		3		70		2
A		Service Planning amp Development		1		2052			1676000			1258682		1258682		(417318)		Alternative Ser Delivery			9		10		1		2		2		3		2		2		11		210		3		70		2			2012
A		System Reimagining		1		1811						-		-		Frmrly Best Practices No employees and project complete			2			(2)		3		3		3		2		3		14		210		3		70		3
A		Scheduling		1		0321			853000			884171		884171		31171				7		8		1		3		2		3		2		2		12		210		3		70		2
A		US 90A Rail Livable Centers ConsortUniv Line		1		9A06 9A07 9A11						-		-		U Line New in FY14						2		1		1		1		2		7		300		3		100		1
O		FACILITY MAINTENANCE		1		1300			15255000		507000			507000		(14748000)		Formerly part of CAO
A		Facility Maint Admin amp Contracts		1		131013411346			3979000			4023276		4023276		44276				13		12		(1)		3		2		2		2		2		11		400		3		133		2
O		Facility Maintenance Programs		1		1320						-		-							A		A		A		A		A		- 0
A		Facility Maint NW Buff Bay amp ProgOp		1		1335 13371342			1598000			1714566		1714566		116566				8		15		7		2		2		2		2		2		10		300		3		100		2
A		SuptFacility Maint		1		1338						-		-		New in 2012			0			- 0		2		2		1		1		2		8		200		5		40		2
A		Facility Maint Headquarters		1		1349			2873000			3033079		3033079		160079				8		7		(1)		2		2		2		2		2		10		300		5		60		2			2007
O		Public Facilities		1		1330						-		-							A		A		A		A		A		- 0
A		Public Facility amp Public Facility Admin		1		1339 1343			7612000			7670039		7670039		58039		Bus Shelter Audit			58		57		(1)		3		2		2		3		2		12		300		3		100		2			2011
A		Public Facility Rail			1348			4497000			4097093		4097093		(399907)				39		39		- 0		3		2		2		3		2		12		300		3		100		2
O		BOF Env Serv amp Proj Management		1		13401380						-		-							A		A		A		A		A		- 0
A		BOF Env Serv amp Proj Management		1		1331-3413361344-45			6945000			6666939		6666939		(278061)				40		34		(6)		3		2		2		3		2		12		300		3		100		2
A		Fac Maint Rail		1		1347			1928000			1754811		1754811		(173189)		Higher risk after rail expans			9		10		1		3		2		2		2		2		11		300		3		100		2
O		REAL ESTATE amp PROPERTY MANAGEMENT			2550								Formerly in Legal
A		Real Estate			2131			463000			435274		435274		(27726)		Appraisal Process Aud			5		1		(4)		3		3		2		2		3		13		300		3		100		3			2015
	Total		141			Total			178221000		593645668		771866668
					83997800000
	Note A - Assessed at the ActivityOrganization Level																	ANNUAL SCHEDULED HOURS							17415
	- Scheduled for 4th qtr of FY17																	STAFF REQUIREMENTS							109
	- Annual budget figures adjusted
	or estimated where appropriate				total		83997800000									3969
	to reflect organizational or				From PY		80538300000								Check Figure from Head Count Report		3969				EDP PORTION OF ABOVE								0
	operating changes				difference		3459500000									0				EDP STAFF REQURIEMENTS								00
																TOTAL UNSCHEDULED ANNUAL HOURS								0
																TOTAL SCHEDULED amp UNSCHEDULED								0
																STAFF REQUIREMENTS IF ALL
																AUDITS SCHEDULED								000

		13		14		15
		10		11		12
		7		8		9
		-		5		6

	Reconciliation of Risk Assessment Values reviewed Audit obtained the FY2017 Budget amounts from accounting and used these amount to prepare a risk assessment The following is a reconciliation of the amounts reviewed in the Risk Assessment
			Capital Budget Amount
		Risk Assessment Amount Reviewed		178221000
		Budget Amount		178221
		Difference		178042779
			Operating Budget
		Risk Assessment Amount Reviewed		593645668
		Budget Amount		568071000
		Difference		25574668
		Adjustments		2600806		Non-Departmental A
			2500000		Contingency - President amp CEO B
		Remaining Difference		30675474		rounding differences
	Notes
	A		The Non-Departmental amount from the budget was not included in the Risk Assessment as this amount was a contingency for the COLA adjustment expected to be approved during the 2017 Fiscal Year
	B		The Contingency - President amp CEO amount from the budget was not included in the Risk Assessment as the amount was an actual contingency for unknown or potential issues which might effect METRO during the 2017 fiscal year

																	KEY
	Risk Assessment as of JUNE 2017																	Audit Type (Internal Designations not Yellow Book)
																	F = Financial						O = ORGANIZATION
																	P = Performance						S = Special Project
																	C = Compliance						A = Activity
Audit			RESPONSIBILITY		Responsibility Code or Account (SAP - New Codes)		FY2016 Budget		FY2017 BUDGET (000 omitted)				Delta				STAFF SIZE			Delta		RISK ASSESSMENT							AUDIT BUDGET						LAST YEAR
Type		ORGANIZATIONAL UNIT ACTIVITY OR		CODE OR								OTHER CONSIDERATIONS						1		2		3		4		5		Total		Estimated Hours		FRQ		ANNUAL HOURS		RISK			AUDITED
Code		PROJECT DESCRIPTION		ACCOUNT (ORACLE)			Total		CAPITAL		OPERATING		TOTAL		(Less) More		DESCRIPTION		VALUE (000)		FY16 (Actual)		FY17 (Actual)		(Less) More			Control Environment		Technology		Size		Organization				YRS					( Partial)
O		EXECUTIVE amp BOARD		2300 2320				3028000			3028000		3028000		Cap Is Unallocated Cap
O		President amp Chief Executive OfficerBoard		2310 11 12 13 21			1901000			2124896		2124896		223896				8		7		(1)		A		A		A		A		A		- 0
S		Board Service Requests							-		-		highest priority						3		3		3		1		3		13		150		1		150		3
S		President amp Chief Executive Officer Requests							-		-		highest priority						3		3		3		1		3		13		150		1		150		3
S		Office of Executive Vice PresidentStrategic Partnering		2011						-		-				0				2		1		1		1		1		6		200		5		40		1
A		Press Office		2371			641000			858422		858422		217422		Social Media Issues			5		8		3		3		3		3		1		1		11		200		5		40		2
A		Office of Innovation		2511					631181		631181		631181					3		3		A		A		A		A		A		- 0
O		GOVERNMENT amp PUBLIC AFFAIRS		2520							-				38
A		Government Affairs		2352			667000			380831		380831		(286169)		Form Part of ExecBoard			4		3		(1)		3		2		2		2		1		10		400		3		133		2
O		CORPORATE COMMUNICATIONS amp MARKETING		2580							-		Formerly part of CAO			22
A		Print Shop and Admin Services		2431 2432			1944000			1960212		1960212		16212				8		10		2		2		1		1		2		2		8		200		5		40		2			1988
A		Media amp Corporate Communications		2581			500000			521510		521510		21510				4		3		(1)		3		1		1		1		1		7		100		5		20		1
A		Marketing		2531			4716000			5440929		5440929		724929				10		12		2		2		1		2		2		1		8		300		5		60		2
O		Public Engagement		2010						-		-		Formerly part of Planning			6			(6)
A		Community Outreach		2521			682000			866624		866624		184624		Involves Rail Expansion			6		26		20		3		2		1		2		2		10		200		5		40		2
A		Interagency Dir Of Pub Engagement		25222523						-		-		Form Part of Planning		No bdgtpers		0			- 0		1		1		1		1		1		5		200		5		40		1
O		Stakeholder Affairs		2060						-		-		Formerly part of Planning			6			(6)		A		A		A		A		A		- 0
A		Stakeholder Affairs		20122524			450000			534409		534409		84409		Form Part of Cap Prog			6			(6)		3		2		1		1		2		9		210		3		70		2			2011
							-		-
A		LEGALSTAFF COUNSELCORPORATE DEVELOPMENT		2350 51			3505000			3955580		3955580		450580				17		15			3		1		1		2		1		8		200		5		40		2
F		Legal Fees							-		-							2		1		1		1		1		6		200		5		40		1			2008
S		Attorney Work Requests							-		-							3		3		2		1		1		10		200		5		40		2
S		Special Assistance							-		-							3		3		2		1		1		10		200		5		40		2
A		Records Management		2013			304000			230439		230439		(73561)		Formerly in EEOCompDiv			3		2		(1)		3		3		2		1		2		11		300		3		100		2
							-		-
O		AUDIT		2330 2331			1505000			1534340		1534340		29340				11		11
A		Internal Quality Assurance Review							-		-													200		1		200				ON-GOING
A		External Quality Assurance Review							-		-		Yellow Book Req												100		3		33				2014
A		External Auditor Assistance							-		-													50		1		50		1			ON-GOING
C		Follow-UpCompliance Reviews							-		-													450		1		450				ON-GOING
A		Application Systems Audit Support							-		-													200		1		200		2			ON-GOING
C		Capital Projects QAQC Programs		Contract Oversight						-		-		FTA REQUIREMENT						3		2		2		1		2		10		200		1		200		2			ON-GOING
P		Review of Performance Measures							-		-							2		2		1		1		1		7		1000		5		200		1			2006
C		State Audit Compliance Review							-		-							3		3		3		1		3		13		200		1		200		3			2009 2016(16-1001) Statutory Compliance
C		FTA Audit Compliance Reviews							-		-							3		3		3		1		3		13		200		1		200		3			ON-GOING
							-		-
O		FINANCE amp ADMINISTRATION (Frmrly CAO)		2500 1610			313000				-		(313000)		AmtsEmps exclude IT
O		EVP Finance amp Administration		1611			822000			624447		624447		(197553)				2		3		1		A		A		A		A		A		- 0
O		FINANCE DEPARTMENT		2200						-		-
O		Vice PresidentChief Financial Officer		2210 2211			10000			718916		718916		708916				0		2		2		A		A		A		A		A		- 0
O		AccountingController		2220 2221			3250000			3740872		3740872		490872				28		28		- 0		A		A		A		A		A		- 0
O		General Accounting							-		-							A		A		A		A		A		- 0
F		General Ledger							-		-							3		2		3		2		2		12		300		3		100		2			2001
F		Accounts Receivable							-		-							3		2		3		2		2		12		300		3		100		2			2004
O		Grants Accounting (Audit with Grants Admin)							-		-							A		A		A		A		A		- 0							2004
O		Accounting							-		-							A		A		A		A		A		- 0
F		Fixed Assets							-		-		Net Cap Assets (Proj)		3200000					3		2		3		2		2		12		300		3		100		2			200307CR
F		Payroll							-		-		LaborBnfts (Budget)		301554					2		3		3		2		2		12		300		3		100		2			1998 2007
A		Payroll Payment Verification (ghost emps)							-		-		Payroll Ver Aud FY14						2		2		2		2		2		10		200		5		40		2			20032014
A		Accounts Payable							-		-		PAYMENTS (20101010)						3		2		3		2		2		12		300		3		100		2			2007 (CR)
F		Travel Expenses							-		-		(5090201-4)						2		1		1		1		2		7		200		5		40		1			1988
C		External Audit Mgt Ltr Compliance							-		-		Priority as required						3		3		3		1		3		13		100		1		100		3			2012
F		Audit Fees							-		-		(5030302)						2		1		1		1		1		6		80		5		16		1
F		Cost Allocation Plan							-		-							2		2		1		1		1		7		250		5		50		1			2005
O		Treasury Services		2230						-		-		Includes RevSrv			33			(33)		A		A		A		A		A		- 0
O		Director Treasury Services		2231						-		-				6			(6)		A		A		A		A		A		- 0
A		Financial Planning amp Investments							-		-		Investments (2014)		415021					3		3		2		3		3		14		200		2		100		3			2010 2016 (16-1004) Financial Planning amp Investments
O		Treasury Office Operations							-		-							A		A		A		A		A		- 0							2000
F		Sales Tax Revenue(audit with Distributions)							-		-		Sales Tax (Projected)		706241					3		2		2		3		2		12		200		2		100		2			2009
F		Sales Tax Revenue Distributions							-		-		Distributions(est Gen Mob)		173019					3		2		2		3		2		12		100		2		50		2			2009
F		Other Revenues							-		-		Projected FY2015		$108 mil					3		2		1		2		2		10		90		3		30		2
F		Petty Cash							-		-		Disbursements						3		1		1		1		3		9		90		3		30		2			2002
F		Pension Funds (Audited by outside auditors)							-		-		Funds						2		1		2		1		1		7		300		5		60		1			1995
A		Revenue Services		2212						-		-		Under OMB Mgmt						3		3		3		2		3		14		300		3		100		3
A		Ticket amp Fare Collection		2232			3514000			3037608		3037608		(476392)				27		26		(1)		3		3		3		2		3		14		300		2		150		3			2001 2009
A		Revenue Management		2235						-		-		Include wFare Collection						2		2		3		2		2		11		300		3		100		2
A		Grants (Includes Grant Accounting)		2250 2353			536000			528174		528174		(7826)		GRANTS INCOME(Bdgt)		196386		4		4		- 0		3		2		3		3		3		14		300		3		100		3			2010 2013
A		New Freedom JARC		9A03 9A04						-		-		New 2012 Inc wGrants						A		A		A		A		A		- 0
O		Office of Management amp Budget		2260						-		-		low audit priority			10			(10)		A		A		A		A		A		- 0
A		Office of Management amp Budget		2361			1887000			2267912		2267912		380912				10		14		4		2		1		2		2		2		9		150		5		30		2
O		PROCUREMENT amp MATERIALS		2460							-		ProcampMat Only(exSBE)
A		Procurement		2422			3661000			3689787		3689787		28787		IT ProcampHRT Auds 14			32		34		2		3		2		2		3		2		12		400		2		200		2			20092014
F		Purchase Card Activity							-		-		Recent Pcard Purch Range		$32 milyr					3		3		1		3		2		12		300		2		150		2			20072017 (17-1003) Purchasing Cards and Small Purchases
A		HGACState of Texas Purchasing Programs							-		-							2		1		2		1		1		7		200		5		40		1
F		Fuel Purchasing Program				31773000			27468028		3207448		385448		DieselampGas Bdgt-Requests for Board Action has a modification for fuel in the amount 28510000 and 4127000		38735					3		3		2		3		2		13		200		2		100		3			20062012
C		Davis Bacon Compliance							-		-		Fewer Cap Projects						3		2		3		1		3		12		300		3		100		2			2010
O		Materials amp Distribution		2423			5695000			6056753		6056753		361753				75		77		2		A		A		A		A		A		- 0
F		Inventory Management and Control							-		-		MampS Expense (Projected)		21651					2		1		3		3		2		11		300		2		150		2			1987 2016(16-1002) FY2016 Spare Parts Inventory 2017 (17-1002) Maintenance Parts Inventory
F		Fuel amp Lubricant Controls				2822000			3207448		27468028		(4304972)		Diesel Budget		36601					3		2		2		2		2		11		500		2		250		2			20082012
F		Annual Physical and Cyclical Inventories							-		-		FY2014 Inv Balance		24250					3		2		3		3		2		13		450		1		450		3			2014
A		Property Services							-		-		Asset Disposals						2		1		2		2		3		10		400		3		133		2			2007 2015
O		SMALL BUSINESS		2340							-		Frmrly in Business Serv
A		SBEDBE		2341			823000			834530		834530		11530				7		6		(1)		3		2		2		2		2		11		300		3		100		2			2017 (17-1006) DBE Compliance
O		HUMAN RESOURCES		2400							-		Part of FinampAdmin
O		Vice President Human Resources		2410						-		-							A		A		A		A		A		- 0
O		VP Human Resources		2411			628000			636954		636954		8954				2		2		- 0		A		A		A		A		A		- 0
A		Compensation		2444			491000			495980		495980		4980				4		4		- 0		3		1		3		1		1		9		100		5		20		2
O		Human Resources Operations		2430						-		-							A		A		A		A		A		- 0
O		Staffing		2442			1229000			1385642		1385642		156642		Backgrnd Inv Review			12		11		(1)		A		A		A		A		A		- 0							2015
A		Contract and Temporary Labor							-		-							2		2		2		2		1		9		150		3		50		2			200305CR
C		Recruitment Incentive Programs							-		-							3		2		2		2		2		11		150		3		50		2
O		Labor Relations		2440						-		-		Formerly part of Serv Del						A		A		A		A		A		- 0
A		Labor Relations		2461			428000			426121		426121		(1879)				4		4		- 0		3		1		2		2		1		9		150		3		50		2
O		Human Capital Management and Personnel Services		2470						-		-							A		A		A		A		A		- 0
A		HCM and Personnel Services		2441			434000			451356		451356		17356				5		5		- 0		2		3		2		3		2		12		200		3		67		2
O		Benefits Wellness amp Compensation		24502421			55000			75576		75576		20576		Supp Ins Dep Review				3		3		A		A		A		A		A		- 0							2014
A		Wellness Programs		2446			289000			270346		270346		(18654)				2		2		- 0		3		3		2		3		2		13		200		1		200		3
A		Benefits and Pensions		2443			1282000			1283645		1283645		1645		HIPAA Audit			6		7		1		3		3		2		2		3		13		200		2		100		3			2015
A		Union Benefit Trust							-		-		Contributions (2014)		13692					A		A		A		A		A		- 0
A		Non-Union Pension							-		-		Contributions (2014)		8967					A		A		A		A		A		- 0							2008
A		Non-Union Health Insurance							-		-		Cost of Plans (2014)		9478					A		A		A		A		A		- 0
A		Life Insurance							-		-							A		A		A		A		A		- 0
A		Retirees (include wBenefits and Pensions)		2412			13411000			15177705		15177705		1766705							A		A		A		A		A		- 0
O		EEO COMPLIANCE AND DIVERSITY		2480							-		Part of HR in 2015
O		VP EEO Compliance amp Diversity		2014							-		Dir Level in 2015 no VP						A		A		A		A		A		- 0
O		COMPLIANCE EEO EMPLOYEE RELATIONS		2560							-		New org structure in 2011
A		EEO and Employee Relations		2445			719000			761821		761821		42821				5		4		(1)		2		2		2		2		1		9		150		3		50		2
A		EEO		2449			453000			508580		508580		55580				2		4		2		1		1		1		1		1		5		150		5		30		1
							-		-
O		INFORMATION TECHNOLOGY		2280 2451			44507000		8626000		21515539		30141539		(14365461)		Part of FinampAdmin				66		66
O		Disaster Recovery amp Business Continuity							-		-
A		Data Access Security							-		-							2		2		1		3		2		10		300		3		100		2			2008
A		Disaster Recovery Observation							-		-							3		3		3		3		3		15		300		1		300		3			2017
A		Business Recovery Planning							-		-							2		2		2		3		3		12		300		3		100		2			2017
A		Data Center Operations							-		-							2		3		2		3		2		12		200		3		67		2			2009
O		Databases							-		-
A		Data Base Administration							-		-							2		3		3		3		3		14		400		3		133		3			2016
O		Network Management							-		-
A		Firewall Admin amp Controls							-		-							3		3		2		3		2		13		260		2		130		3			2016
A		Incident Intrusion and Emergency Response							-		-							3		3		2		3		2		13		260		2		130		3			2007
A		Wireless Network Security							-		-							3		3		2		3		2		13		260		2		130		3			2007
O		Department Administrative Functions							-		-
A		Help Desk Operations							-		-							2		2		2		2		2		10		300		3		100		2			2009
A		Computer Equipment Disposal Practices							-		-							2		2		2		2		2		10		300		3		100		2			2016
A		HardwareSoftware Standards							-		-							2		2		1		2		2		9		200		3		67		2			2009
A		Remote Access Policies and Security							-		-							2		2		2		2		2		10		150		3		50		2			2009
O		Applications Systems							-		-
A		Enterprise Systems Migration amp Chg Controls							-		-							3		2		3		2		2		12		400		3		133		2			2007
A		Security and Controls							-		-							3		2		3		2		2		12		300		2		150		2			2007
A		SAP Application Maintenance							-		-							3		3		3		2		3		14		300		3		100		3
O		Internet Access Use Controls amp Security							-		-
A		Web Site Management							-		-							3		2		3		2		2		12		250		2		125		2			2010
A		E-business Administration and Controls							-		-							3		2		2		3		2		12		250		2		125		2
A		E-mail Usage Security and Controls							-		-							3		2		2		3		2		12		250		2		125		2			2008
O		Communications Systems							-		-		(50502045121201)
A		VOIP Telephone System Management amp Security							-		-							3		2		3		3		3		14		250		3		83		3			2012
A		Video Surveillance System Man amp Security							-		-							3		2		2		3		3		13		250		2		125		3			2008
A		Radio System Management and Security							-		-							3		2		3		3		3		14		300		3		100		3
O		New Systems Development and Controls							-		-
A		IT Project Management Policies amp Procedures							-		-							2		2		2		2		3		11		400		2		200		2			2011
A		Post Implementation Review							-		-		Q Card review in 2010						2		2		2		2		2		10		200		2		100		2			2010
A		ERP Technical Controls							-		-							2		2		2		2		2		10		400		2		200		2			2010
O		Operating Systems (OS)							-		-
A		UNIX OS Review							-		-							2		3		3		2		3		13		500		3		167		3			2012
A		Windows OS Review							-		-							2		3		3		2		3		13		500		3		167		3			2014
A		Vmware Virtualization OS Review							-		-							2		3		3		2		3		13		500		3		167		3			2014
O		Adherence to Licensing Requirements							-		-
A		SAP Contract Compliance							-		-							2		2		2		2		3		11		200		2		100		2			2017
A		Oracle Contract Compliance							-		-							2		2		2		2		3		11		200		2		100		2			2017
A		Other Licenses							-		-							2		2		2		2		2		10		200		2		100		2			2017
O		Storage							-		-
A		Data Storage							-		-							3		3		3		2		3		14		600		4		150		3			2017
O		Rail IT							-		-
A		SCADA Systems							-		-							3		3		3		3		2		14		300		2		150		3			2011
A		Data Center Operations							-		-							3		3		3		3		2		14		300		2		150		3			2014
							-		-
O		OPS PUB SFTY amp CUST RDRSHP SERVS		2800			1405000					(1405000)		Includes MPD in FY1415
O		EVP Ops Pub SftyampCust Rdrshp Servs		1821			740000			768800		768800		28800		RC frmrly Best Practices			6		5		(1)		A		A		A		A		A		- 0
O		Director of Safety		2810 2812			180000			189445		189445		9445				1			(1)		A		A		A		A		A		- 0
A		Customer and Health Safety		2820283022432245			1309000			1248726		1248726		(60274)				12		11		(1)		3		3		2		2		2		12		300		3		100		2
A		Workplace and Environmental Safety		28402246			569000			642623		642623		73623		No budget in 2015			5		5		- 0		1		1		1		1		1		5		100		3		33		1
A		Drug amp Alcohol Program		2448			611000			630270		630270		19270		FTA area of interest			3		3		- 0		3		3		1		1		2		10		300		3		100		2			2010 2015CR
O		Risk Management		2240						-		-							A		A		A		A		A		- 0							2013
O		Director Risk Management		2241			161000			160688		160688		(312)				1				(1)		A		A		A		A		A		- 0
A		Claims		2242			1116000			1135035		1135035		19035		FEMA Reim Audit			12		13		1		2		2		1		2		2		9		150		3		50		2			2013
A		General Insurance		2244			3852000			3605884		3605884		(246116)				3		3		- 0		2		2		2		2		2		10		150		3		50		2			2003
A		Workers Compensation							-		-		Audited in 2014						2		2		2		1		2		9		150		3		50		2			2014
A		Owner Controlled Iinsurance Program (OCIP)							-		-		True-up in progress						3		3		2		3		2		13		400		3		133		3			20112017 (17-1005) Audit of OCIP
A		Training Design amp Delivery		2850 2247			585000			651220		651220		66220		New org in 2011			3		5		2		3		2		2		1		3		11		300		3		100		2
O		METRO POLICE		1900							-		Part of Safety in FY1415
O		Vice PresidentChief of Police		1910 0911			593000			569954		569954		(23046)				2		4		2		A		A		A		A		A		- 0
O		Management Services		1920 0912 0913			414000			374176		374176		(39824)				4		8		4		A		A		A		A		A		- 0
F		Special Funds - LEOSE amp Seized Property							-		-		STATE REQUIREMENT		30					3		1		1		1		2		8		200		1		200		2			2014
O		Police Field amp Rail Operations		1930						-		-							A		A		A		A		A		- 0
A		Field amp Rail Operations		0934 0966			13646000			15091874		15091874		1445874				144		150		6		3		2		2		3		2		12		300		5		60		2			1998 2007 2016 (16-1006) MPD Administrative Fees
A		System Security K-9 Unit		0936			841000			902038		902038		61038				8		8		- 0		3		2		1		2		2		10		200		5		40		2
A		Motorist Assistance Program		0964			(88000)			53190		53190		141190				8		7		(1)		3		2		1		1		1		8		200		5		40		2
A		HOV-Enforcements		0965			(447000)			383387		383387		830387				25		30		5		3		2		2		1		2		10		300		5		60		2			1998
O		Support Operations		1940						-		-							A		A		A		A		A		- 0							1998
A		Transtar amp Dispatch		0942 0943			1912000			2200654		2200654		288654				19		19		- 0		3		3		3		2		2		13		300		5		60		3
A		Support OperationsampAnti-Terrorism Grant		0932 0935			982000			1416066		1416066		434066				10		14		4		2		2		2		2		2		10		300		5		60		2
A		Investigations		0931			1080000			1435846		1435846		355846		Accident Investigations			11		13		2		3		2		2		2		2		11		300		5		60		2			1998 2007 2016 (16-1003) Bus Accident Investigations
A		Records		0952			301000			441900		441900		140900				6		6		- 0		2		2		2		1		1		8		300		5		60		2			1998
O		Homeland Security(Inactive budget in 0953)		1950						-		-							A		A		A		A		A		- 0
A		Police Homeland Security		0953						-		-		No pers In 2015			0			- 0		3		2		2		1		2		10		300		5		60		2
A		Security BOF(Auditable area no budget or pers)		0933						-		-		No Emp RC in 2013-15			0			- 0		3		3		3		1		3		13		400		2		200		3			2012 2015
A		Emergency Management(No budget or pers)		1960 1961						-		-		No Emp RC in 2012-15			0			- 0		3		2		2		1		2		10		300		3		100		2			2008 2009
S		Special Assistance by Audit - Investigations							-		-		Perform as needed						3		3		2		2		3		13		200		1		200		3			2010
O		CUSTOMER amp RIDERSHIP SERVICES		2530							-		New Dept FY14 (frm Ops)
A		RideStores		2538			696000			653907		653907		(42093)				9		12		3		3		2		3		2		2		12		300		3		100		2			2003 2006
A		Sales		2543			590000			593479		593479		3479		Include wRideStores			5		3		(2)		2		2		2		2		2		10		300		3		100		2
A		Customer Information Center (Customer Care)		2532			3627000			3489725		3489725		(137275)		Partial Audit wComplaints			62		57		(5)		3		2		3		3		2		13		300		3		100		3			2015
							-		-
O		OPERATIONS		1000			91154000		65611000			65611000		(25543000)		TotExp Excluding Fuel		338969
O		Senior VP amp Staff (inc Budget Operations(OMS))		0100 0011 0351			1850000			1469162		1469162		(380838)				7		12		5		A		A		A		A		A		- 0
A		HOT Lanes Operations		1500 1510 2185			8062000			8379468		8379468		317468		New to Ops FY14			1		1		- 0		3		3		2		2		3		13		300		3		100		3			2015
O		Revenue Collection		2290						-		-		New to Ser Del In 2011						A		A		A		A		A		- 0
A		Revenue Agents		2234			820000			887981		887981		67981		Cash Fare Collections			11		11		- 0		3		2		2		2		3		12		300		3		100		2			2009 2017 (17-1001) Cash Fare Collections
O		Bus Transportation (inc Sr Dir Trans GenampSer Logist)		0200003103610322			2775000			4874931		4874931		2099931		Moving Violations Audit			2		2		- 0													2011
A		Bus Operations		0220						-		-		Cust Training Audit			1597				3		2		3		3		2		13		600		2		300		3			2011
O		Fallbrook		011101120113			25050000			24306144		24306144		(743856)				349		349		- 0		A		A		A		A		A		- 0
O		Kashmere (Greenlink added in 2012)		0121012201230124			15750000			17065038		17065038		1315038				216		221		5		A		A		A		A		A		- 0
O		Polk		013101320133			27965000			27300859		27300859		(664141)				348		357		9		A		A		A		A		A		- 0
O		West		014101420143			32898000			33761527		33761527		863527				404		438		34		A		A		A		A		A		- 0
O		Hiram Clarke		0151015201530154			21554000			23379044		23379044		1825044				280		321		41		A		A		A		A		A		- 0
O		Northwest (Contract - see Fac Roll -up Code 1800)		0163			(3248000)				-		3248000				0			- 0		A		A		A		A		A		- 0							2012
A		Service Delivery		0500						-		-		On-Time Perf Review						2		2		3		2		2		11		300		5		60		2			2014
O		Dispatch		0301			1767000			1859803		1859803		92803				17		18		1		A		A		A		A		A		- 0
F		Operator Timekeeping System							-		-		Old legacy system						2		2		2		1		2		9		200		5		40		2			2005 UnC
A		Director of Serv Del And Street Supervisors		0051 0332			3423000			3594559		3594559		171559				30		35		5		3		2		2		3		2		12		300		3		100		2
A		New Service (Was Budget Services in 2011)		030003920393						-		-		No bdgt or pers in 2015			0			- 0		1		1		1		1		1		5		250		2		125		1
O		Transportation Programs		0400						-		-							A		A		A		A		A		- 0
A		METROLift amp Director of Trans Prog		0045 0041			56698000			58450171		58450171		1752171		FTA review in 2013			117		124		7		3		3		3		3		3		15		400		2		200		3			2006 2007
A		Special Events and Contract Services		0470048003710381			330000			322665		322665		(7335)				4		3		(1)		2		1		1		1		1		6		200		5		40		1
A		Rideshare		0460 2537			10995000				-		(10995000)				0			- 0		3		2		2		1		2		10		300		3		100		2
A		Regional Vanpool (0831 = Community Connector)		0460 2539 0831					12034574		12034574		12034574		Lmtd Rev compltd 2014			3		9		6		3		2		2		2		3		12		300		3		100		2			20122014
C		Contracted Services - Northwest BOF		08000811-150821-25			48485000			46163058		46163058		(2321942)		$47mil ann bdgt (NW)		$4mil for NW fuel					3		2		2		3		2		12		400		2		200		2			2012 2015CR
A		METRORail		0600													3		2		3		3		3		14		600		2		300		3			2008
O		Senior Director Rail		610 0061			234000			244607		244607		10607				2		3		1		A		A		A		A		A		- 0
O		Rail Transportation		620 621 622 623 626 627			12352000			12181636		12181636		(170364)		METRORail Cam Aud			149		175		26		A		A		A		A		A		- 0							2015
O		Rail Control Center		0651			3054000			3148729		3148729		94729				27		26		(1)		A		A		A		A		A		- 0
O		SampI Administration and Supervision		0624 0625			676000			690213		690213		14213		New in FY14			7		8		1		A		A		A		A		A		- 0
O		Rail Maintenance		0660-6606810691-93			17903000			18333174		18333174		430174		Includes traction power			134		146		12		A		A		A		A		A		- 0							2013
A		Preventive Maintenance (Bus)		1191 (Admin)			306000			323151		323151		17151		Bus Hub Rev FY13			2		2		- 0		3		2		3		3		2		13		300		1		300		3			20122013
O		Kashmere (Greenlink added in 2012)		1111-1118			11068000			10734424		10734424		(333576)		Greenlink added in 2012			70		73		3		A		A		A		A		A		- 0
O		Polk		1121112211231124			16713000			15617108		15617108		(1095892)				97		98		1		A		A		A		A		A		- 0							1993
O		West		1131113211331134			21994000			20796712		20796712		(1197288)				113		121		8		A		A		A		A		A		- 0
O		Hiram Clarke		11411142114311441145			14524000			13845519		13845519		(678481)				85		84		(1)		A		A		A		A		A		- 0
S		Northwest (Contract - see Fac Roll-up Code 1800)		1151115211531154			(120000)				-		120000							A		A		A		A		A		- 0							2002
O		Fallbrook		1161116211631164			16224000			14955860		14955860		(1268140)				79		93		14		A		A		A		A		A		- 0
O		Buffalo Bayou Maint (Under SuppVeh RC)		1171 1172 1173			1878000			678775		678775		(1199225)				17		21		4		A		A		A		A		A		- 0
A		Central Support amp Manufacturing		1020 1021			399000			404920		404920		5920				4		4		- 0		3		2		3		3		2		13		400		2		200		3
O		Body Shop		1023			2267000			2388704		2388704		121704				27		28		1		A		A		A		A		A		- 0							1996 2016 (16-1005) Audit of Paint Booths
O		Unit Overhaul		1024			1722000			1969444		1969444		247444				32		32		- 0		A		A		A		A		A		- 0							2001
	Unit Overhaul		1025			(244000)					244000							A		A		A		A		A		- 0
O		Heavy Repair		1022			1979000			2005634		2005634		26634				22		24		2		A		A		A		A		A		- 0
O		Brake Shop		1029						-		-		No FY15 PersonnelBdgt			0		0		- 0		A		A		A		A		A		- 0
O		Rebuild Warranty		1026			98000			97500		97500		(500)							A		A		A		A		A		- 0
O		Tire amp Battery Usage							-		-		SpecProjAs needed						A		A		A		A		A		- 0							20012010 2017 (17-1004) Bus Tires Inspection
A		Maintenance Support		1200						-		-		Increasingly Critical						3		2		3		3		2		13		300		3		100		3
O		Quality Assurance		1210 1311			882000			904988		904988		22988				8		9		1		A		A		A		A		A		- 0
O		Warranty		1240 1312			3612000			4475803		4475803		863803		FY2014 Audit			4		4		- 0		A		A		A		A		A		- 0							2014
O		Technical Services amp Advanced Technology		1220 1014 1036			412000			388743		388743		(23257)				2		3		1		A		A		A		A		A		- 0
O		Director Maintenance Support		1280 1381			408000			493025		493025		85025		Fuel Tanker Audit			10		11		1		A		A		A		A		A		- 0							2014
O		Electronic Maintenance (inc fare collampradio maint)		13012322331390			4564000			4760210		4760210		196210		Critical Activity			43		45		2		A		A		A		A		A		- 0							2013
O		Support Vehicle Maintenance (Inc Med Duty Bus)		1351135312501174			4333000			5234060		5234060		901060		Include wMaint Supp			25		26		1		A		A		A		A		A		- 0							2003 07CR
O		Support Vehicle		1354			416000			246395		246395		(169605)							A		A		A		A		A		- 0
	Maintenance General		1361			5213000			5744855		5744855		531855							A		A		A		A		A		- 0
O		Maintenance Training (MEAD)		17201321			377000				-		(377000)		No FY15 Bdgt Or Pers						A		A		A		A		A		- 0							1996
A		Transportation Training		1700 1710 0331			2085000			2186942		2186942		101942		New cust Svc Focus			16		18		2		3		2		1		2		2		10		120		5		24		2			1995
							-		-
O		PLANNING ENGINEERING CONST amp REAL EST		2180			113640000		90591000			90591000		(23049000)
O		SVP Capital Programs		2020 2021						-		-				0			- 0		A		A		A		A		A		- 0
O		Capital Projects		(2180)						-		-				22			(22)		A		A		A		A		A		- 0
A		Document Control		2151						-		-				0			- 0		3		2		2		1		2		10		210		3		70		2
A		Engineering Support Services		2161			93000			556421		556421		463421				13		9		(4)		3		2		1		1		2		9		210		3		70		2
A		Capital Projects		2181			(16000)			42086		42086		58086		$23mil non-rail Cap Bdgt			2		2		- 0		2		2		2		2		2		10		200		5		40		2
A		Bus Infrastructure		2182						-		-		No Emp RC FY12-15			0			- 0		2		2		2		1		2		9		200		5		40		2
A		Project Administration and Management		2183 2184			(113000)			(29074)		(29074)		83926		New in 2011			7		5		(2)		2		2		2		2		2		10		200		5		40		2
A		EngStandards Buff Bayou Mods		9A08 9A09						-		-		New in 2012						3		3		3		2		2		13		300		3		100		3
O		State of Good Repair		2150						-		-		New in 2012						A		A		A		A		A		- 0
A		State of Good Repair		2152						-		-		New in 2012						3		3		2		1		2		11		300		3		100		2
O		Rail Construction		2100 2110 2140						-		-		Consent Agmt Review			7			(7)		A		A		A		A		A		- 0							2014
A		University Corridor		2081						-		-				0			- 0		2		2		2		1		1		8		210		3		70		2
A		4 Light Rail Lines Expansion		2171			(150000)			(13171)		(13171)		136829		$173mil Cap Bdgt			7		6		(1)		3		2		2		2		2		11		210		3		70		2
O		METRO Rail Construction Non-Capital		2040						-		-							A		A		A		A		A		- 0
A		Cap Prog Coor amp Rpt (Inactive)		2433						-		-		New name FY15			0			- 0		3		2		2		1		2		10		210		3		70		2
O		METRO Rail Expansion Integration amp Control		2110 2070						-		-				8			(8)		A		A		A		A		A		- 0
A		Program Integration amp Controls		2111 2121			(134000)			(93508)		(93508)		40492		SrDir Reports to CAO			8		6		(2)		3		2		2		1		2		10		210		3		70		2
A		Rail Vehicles		2153						-		-		Waiver Request Rev						3		3		2		1		2		11		210		3		70		2			2014
O		PLANNING		2190				9858000			9858000		9858000		Structure modified in FY14
O		SVP Planning		2191			317000			319812		319812		2812		New in 2011			2		2		- 0		A		A		A		A		A		- 0
O		Planning amp Scheduling		2050						-		-				29			(29)		A		A		A		A		A		- 0
A		System Planning amp Development		2031			16483000			3783057		3783057		(12699943)				11		9		(2)		3		3		1		2		2		11		210		3		70		2
A		Service Planning amp Development		2052			1676000			1258682		1258682		(417318)		Alternative Ser Delivery			9		10		1		2		2		3		2		2		11		210		3		70		2			2012
A		System Reimagining		1811						-		-		Frmrly Best Practices No employees and project complete			2			(2)		3		3		3		2		3		14		210		3		70		3
A		Scheduling		0321			853000			884171		884171		31171				7		8		1		3		2		3		2		2		12		210		3		70		2
A		US 90A Rail Livable Centers ConsortUniv Line		9A06 9A07 9A11						-		-		U Line New in FY14						2		1		1		1		2		7		300		3		100		1
O		FACILITY MAINTENANCE		1300			15255000		507000			507000		(14748000)		Formerly part of CAO
A		Facility Maint Admin amp Contracts		131013411346			3979000			4023276		4023276		44276				13		12		(1)		3		2		2		2		2		11		400		3		133		2
O		Facility Maintenance Programs		1320						-		-							A		A		A		A		A		- 0
A		Facility Maint NW Buff Bay amp ProgOp		1335 13371342			1598000			1714566		1714566		116566				8		15		7		2		2		2		2		2		10		300		3		100		2
A		SuptFacility Maint		1338						-		-		New in 2012			0			- 0		2		2		1		1		2		8		200		5		40		2
A		Facility Maint Headquarters		1349			2873000			3033079		3033079		160079				8		7		(1)		2		2		2		2		2		10		300		5		60		2			2007
O		Public Facilities		1330						-		-							A		A		A		A		A		- 0
A		Public Facility amp Public Facility Admin		1339 1343			7612000			7670039		7670039		58039		Bus Shelter Audit			58		57		(1)		3		2		2		3		2		12		300		3		100		2			2011
A		Public Facility Rail		1348			4497000			4097093		4097093		(399907)				39		39		- 0		3		2		2		3		2		12		300		3		100		2
O		BOF Env Serv amp Proj Management		13401380						-		-							A		A		A		A		A		- 0
A		BOF Env Serv amp Proj Management		1331-3413361344-45			6945000			6666939		6666939		(278061)				40		34		(6)		3		2		2		3		2		12		300		3		100		2
A		Fac Maint Rail		1347			1928000			1754811		1754811		(173189)		Higher risk after rail expans			9		10		1		3		2		2		2		2		11		300		3		100		2
O		REAL ESTATE amp PROPERTY MANAGEMENT		2550								Formerly in Legal
A		Real Estate		2131			463000			435274		435274		(27726)		Appraisal Process Aud			5		1		(4)		3		3		2		2		3		13		300		3		100		3			2015
			Total			178221000		593645668		771866668
				83997800000
	Note A - Assessed at the ActivityOrganization Level																ANNUAL SCHEDULED HOURS							17415
	- Scheduled for 4th qtr of FY17																STAFF REQUIREMENTS							109
	- Annual budget figures adjusted
	or estimated where appropriate			total		83997800000									3969
	to reflect organizational or			From PY		80538300000								Check Figure from Head Count Report		3969				EDP PORTION OF ABOVE								0
	operating changes			difference		3459500000									0				EDP STAFF REQURIEMENTS								00
															TOTAL UNSCHEDULED ANNUAL HOURS								0
															TOTAL SCHEDULED amp UNSCHEDULED								0
															STAFF REQUIREMENTS IF ALL
															AUDITS SCHEDULED								000

Internal FunctionsInformation Technology (20 Audit Reports)bull 13 Audit Reportsbull 7 Special ProjectsReviews (Safety Recommendations Lighthouse)

Monthly Corrective Action Compliancebull 35 Previously Identified Audit Recommendations Implemented bull 25 Newly Identified Audit Recommendations

4

Operations 9

Regulatory Compliance

3Information Technology

1

Policy amp Controls 12

Types of Recommendations

Collaborationsbull Participated in round table discussions with other local and state audit leadership

to discuss emerging audit risks and department challengesbull Working with Transit Agencies in Texas to leverage cumulative audit knowledge

and experiencebull Participating on a project for identifying standard transit risks for finance

operations and compliance through APTA with participating Agencies across the US

5

6

bull FY2020 Proposed Audit Plan based on Annual Risk Assessmentbull Risk Assessment based on 5 variables assigned a risk score of 1 -3 each (1=Low 2=Med 3=High)

based on cumulative audit knowledge and experience

Internal Functions - 16

Total Org Units containing a total of 214 Auditable

Areas

Organizational Unit Score Evaluation

High Risk (12-15)Med Risk (8-11) Low Risk (5-7)

Risk Map

7 8 9

- 5 6

13 14 15

10 11 12

Audit Universe

Risk Assessment

Recap

ampZampF

John M GarciaUsed the Original Budget Number (Column O) from the FY2017 Budget By RC Code for the Operating Column

Garrett Brownadded 1174 in 2017

Garrett Brownadded 1361 in 2017

Garrett Brownlisted as Rc code 1600 on 2016 budget

Garrett Brownadded from 2016 budget

Garrett Brown2016 rc code 2000

John M GarciaSource - Fuel Taxes Budget for FY17 the total is comprised of Gasoline 3207448Diesel Fuel 24260580Fuel and Lub Taxes 2649280

John M GarciaSource Document - Fuel Taxes Budget for FY17 3207 = Gasoline acct 526020

John M GarciaDid this department get eliminated

Reconciliation

Heat Map

Sheet1

Sheet2

Sheet3

Sheet4

METROrsquos Organizational Units (not including IT)

bull Thirteen audits proposed for FY2020 including audits of Regional Van Pool Program Support Vehicle Usage and Rail Safety Security and Customer Experience The Audit Plan does incorporate the Agencyrsquos Annual Business Plan Goals as part of the risk assessment when selecting audits

7

0 10 20 30 40

EXECUTIVE amp BOARDLEGALAUDIT

ADMINISTRATIONFINANCE

HUMAN RESOURCESEEO amp COMPLIANCEEMPLOYEE BENEFITS

OPS PUB SFTY amp CUSTOMERMETRO POLICE

NON-RAIL OPERATIONSMETRORail

ENGINEERINGPLANNING

FACILITIES MAINTENANCE

1 4 4

2 8

9 2

3 6

18 24

33 8 8

11 Number of Auditable Areas

Risk Map

Support Vehicle Usage

Compliance

Regional Van Pool Program

Rail Safety amp Security

Recap

ampZampF

John M GarciaUsed the Original Budget Number (Column O) from the FY2017 Budget By RC Code for the Operating Column

Garrett Brownadded 1174 in 2017

Garrett Brownadded 1361 in 2017

Garrett Brownlisted as Rc code 1600 on 2016 budget

Garrett Brownadded from 2016 budget

Garrett Brown2016 rc code 2000

John M GarciaSource - Fuel Taxes Budget for FY17 the total is comprised of Gasoline 3207448Diesel Fuel 24260580Fuel and Lub Taxes 2649280

John M GarciaSource Document - Fuel Taxes Budget for FY17 3207 = Gasoline acct 526020

John M GarciaDid this department get eliminated

Reconciliation

Heat Map

Auditable Organizations

Heat Map 2

Sheet3

Sheet4

8

Risk Map

During FY2020 IT Audit will collaborate with Information Technology and have a Risk Assessment performed by 3rd Party IT Consultants to update the Areas of Focus and Auditable Areas

Since 2012 - Information Technology had 11 Areas of Focus with 61 Auditable Areas resulting in 19 Audit Reports

IT Risk Assessment and Updated Auditable Areas

FY2020 - Risk Assessment

Wireless Network

Disaster Recovery

Recap

ampZampF

John M GarciaUsed the Original Budget Number (Column O) from the FY2017 Budget By RC Code for the Operating Column

Garrett Brownadded 1174 in 2017

Garrett Brownadded 1361 in 2017

Garrett Brownlisted as Rc code 1600 on 2016 budget

Garrett Brownadded from 2016 budget

Garrett Brown2016 rc code 2000

John M GarciaSource - Fuel Taxes Budget for FY17 the total is comprised of Gasoline 3207448Diesel Fuel 24260580Fuel and Lub Taxes 2649280

John M GarciaSource Document - Fuel Taxes Budget for FY17 3207 = Gasoline acct 526020

John M GarciaDid this department get eliminated

Reconciliation

Heat Map

Auditable Organizations

Heat Map 2

Sheet3

Sheet4

bull Buy America (Pre-Award and Post Delivery) 60 Foot Articulated BRT Vehicles 40 Foot CNG Buses 45 Foot Clean Diesel Wheelchair Lift-Equipped Vehicles

bull CostPrice Analysis covers a variety of areas such as Environmental Engineering General Planning Consultant Transportation Consulting Construction Management Surveying Services Contract Modifications

9

Auditable Procurement Activities

Buy America Pre -Award and Post-Delivery

CostPrice Analysis

Risk Map

Recap

ampZampF

John M GarciaUsed the Original Budget Number (Column O) from the FY2017 Budget By RC Code for the Operating Column

Garrett Brownadded 1174 in 2017

Garrett Brownadded 1361 in 2017

Garrett Brownlisted as Rc code 1600 on 2016 budget

Garrett Brownadded from 2016 budget

Garrett Brown2016 rc code 2000

John M GarciaSource - Fuel Taxes Budget for FY17 the total is comprised of Gasoline 3207448Diesel Fuel 24260580Fuel and Lub Taxes 2649280

John M GarciaSource Document - Fuel Taxes Budget for FY17 3207 = Gasoline acct 526020

John M GarciaDid this department get eliminated

Reconciliation

Heat Map

Auditable Organizations

Heat Map 2

Sheet3

Sheet4

10

QuestionsComments

• Metropolitan Transit Authority of Harris County
• Audit Department Highlightsndash Fiscal Year 2019
• Audit Department Highlightsndash Fiscal Year 2019 (Contracts)
• Audit Department Highlightsndash Fiscal Year 2019 (Internal FunctionsIT)
• Audit Department Highlightsndash Fiscal Year 2019
• Audit Department ndash Risk Assessment Highlights
• Audit Department ndash Internal Functions
• Audit Department ndash Information Technology
• Audit Department ndash Contracts Group
• Audit Department ndash Proposed Audit Work Plan

	Organizational Units		Auditable Units
	Executive amp Baord		1
	Legal		4

		13		14		15
		10		11		12
		7		8		9
		-		5		6

	Reconciliation of Risk Assessment Values reviewed Audit obtained the FY2017 Budget amounts from accounting and used these amount to prepare a risk assessment The following is a reconciliation of the amounts reviewed in the Risk Assessment
			Capital Budget Amount
		Risk Assessment Amount Reviewed		178221000
		Budget Amount		178221
		Difference		178042779
			Operating Budget
		Risk Assessment Amount Reviewed		593645668
		Budget Amount		568071000
		Difference		25574668
		Adjustments		2600806		Non-Departmental A
			2500000		Contingency - President amp CEO B
		Remaining Difference		30675474		rounding differences
	Notes
	A		The Non-Departmental amount from the budget was not included in the Risk Assessment as this amount was a contingency for the COLA adjustment expected to be approved during the 2017 Fiscal Year
	B		The Contingency - President amp CEO amount from the budget was not included in the Risk Assessment as the amount was an actual contingency for unknown or potential issues which might effect METRO during the 2017 fiscal year

																		KEY
	Risk Assessment as of JUNE 2017																		Audit Type (Internal Designations not Yellow Book)
																		F = Financial						O = ORGANIZATION
																		P = Performance						S = Special Project
																		C = Compliance						A = Activity
Audit				RESPONSIBILITY		Responsibility Code or Account (SAP - New Codes)		FY2016 Budget		FY2017 BUDGET (000 omitted)				Delta				STAFF SIZE			Delta		RISK ASSESSMENT							AUDIT BUDGET						LAST YEAR
Type		ORGANIZATIONAL UNIT ACTIVITY OR			CODE OR								OTHER CONSIDERATIONS						1		2		3		4		5		Total		Estimated Hours		FRQ		ANNUAL HOURS		RISK			AUDITED
Code		PROJECT DESCRIPTION			ACCOUNT (ORACLE)			Total		CAPITAL		OPERATING		TOTAL		(Less) More		DESCRIPTION		VALUE (000)		FY16 (Actual)		FY17 (Actual)		(Less) More			Control Environment		Technology		Size		Organization				YRS					( Partial)
O		EXECUTIVE amp BOARD		1		2300 2320				3028000			3028000		3028000		Cap Is Unallocated Cap
O		President amp Chief Executive OfficerBoard			2310 11 12 13 21			1901000			2124896		2124896		223896				8		7		(1)		A		A		A		A		A		- 0
S		Board Service Requests								-		-		highest priority						3		3		3		1		3		13		150		1		150		3
S		President amp Chief Executive Officer Requests								-		-		highest priority						3		3		3		1		3		13		150		1		150		3
S		Office of Executive Vice PresidentStrategic Partnering			2011						-		-				0				2		1		1		1		1		6		200		5		40		1
A		Press Office			2371			641000			858422		858422		217422		Social Media Issues			5		8		3		3		3		3		1		1		11		200		5		40		2
A		Office of Innovation			2511					631181		631181		631181					3		3		A		A		A		A		A		- 0
O		GOVERNMENT amp PUBLIC AFFAIRS			2520							-				38
A		Government Affairs			2352			667000			380831		380831		(286169)		Form Part of ExecBoard			4		3		(1)		3		2		2		2		1		10		400		3		133		2
O		CORPORATE COMMUNICATIONS amp MARKETING			2580							-		Formerly part of CAO			22
A		Print Shop and Admin Services			2431 2432			1944000			1960212		1960212		16212				8		10		2		2		1		1		2		2		8		200		5		40		2			1988
A		Media amp Corporate Communications			2581			500000			521510		521510		21510				4		3		(1)		3		1		1		1		1		7		100		5		20		1
A		Marketing			2531			4716000			5440929		5440929		724929				10		12		2		2		1		2		2		1		8		300		5		60		2
O		Public Engagement			2010						-		-		Formerly part of Planning			6			(6)
A		Community Outreach			2521			682000			866624		866624		184624		Involves Rail Expansion			6		26		20		3		2		1		2		2		10		200		5		40		2
A		Interagency Dir Of Pub Engagement			25222523						-		-		Form Part of Planning		No bdgtpers		0			- 0		1		1		1		1		1		5		200		5		40		1
O		Stakeholder Affairs			2060						-		-		Formerly part of Planning			6			(6)		A		A		A		A		A		- 0
A		Stakeholder Affairs			20122524			450000			534409		534409		84409		Form Part of Cap Prog			6			(6)		3		2		1		1		2		9		210		3		70		2			2011
								-		-
A		LEGALSTAFF COUNSELCORPORATE DEVELOPMENT			2350 51			3505000			3955580		3955580		450580				17		15			3		1		1		2		1		8		200		5		40		2
F		Legal Fees		1							-		-							2		1		1		1		1		6		200		5		40		1			2008
S		Attorney Work Requests		1							-		-							3		3		2		1		1		10		200		5		40		2
S		Special Assistance		1							-		-							3		3		2		1		1		10		200		5		40		2
A		Records Management		1		2013			304000			230439		230439		(73561)		Formerly in EEOCompDiv			3		2		(1)		3		3		2		1		2		11		300		3		100		2
								-		-
O		AUDIT			2330 2331			1505000			1534340		1534340		29340				11		11
A		Internal Quality Assurance Review		1							-		-													200		1		200				ON-GOING
A		External Quality Assurance Review		1							-		-		Yellow Book Req												100		3		33				2014
A		External Auditor Assistance								-		-													50		1		50		1			ON-GOING
C		Follow-UpCompliance Reviews								-		-													450		1		450				ON-GOING
A		Application Systems Audit Support								-		-													200		1		200		2			ON-GOING
C		Capital Projects QAQC Programs			Contract Oversight						-		-		FTA REQUIREMENT						3		2		2		1		2		10		200		1		200		2			ON-GOING
P		Review of Performance Measures								-		-							2		2		1		1		1		7		1000		5		200		1			2006
C		State Audit Compliance Review		1							-		-							3		3		3		1		3		13		200		1		200		3			2009 2016(16-1001) Statutory Compliance
C		FTA Audit Compliance Reviews		1							-		-							3		3		3		1		3		13		200		1		200		3			ON-GOING
								-		-
O		FINANCE amp ADMINISTRATION (Frmrly CAO)		1		2500 1610			313000				-		(313000)		AmtsEmps exclude IT
O		EVP Finance amp Administration		1		1611			822000			624447		624447		(197553)				2		3		1		A		A		A		A		A		- 0
O		FINANCE DEPARTMENT		1		2200						-		-
O		Vice PresidentChief Financial Officer			2210 2211			10000			718916		718916		708916				0		2		2		A		A		A		A		A		- 0
O		AccountingController			2220 2221			3250000			3740872		3740872		490872				28		28		- 0		A		A		A		A		A		- 0
O		General Accounting								-		-							A		A		A		A		A		- 0
F		General Ledger								-		-							3		2		3		2		2		12		300		3		100		2			2001
F		Accounts Receivable								-		-							3		2		3		2		2		12		300		3		100		2			2004
O		Grants Accounting (Audit with Grants Admin)								-		-							A		A		A		A		A		- 0							2004
O		Accounting								-		-							A		A		A		A		A		- 0
F		Fixed Assets								-		-		Net Cap Assets (Proj)		3200000					3		2		3		2		2		12		300		3		100		2			200307CR
F		Payroll								-		-		LaborBnfts (Budget)		301554					2		3		3		2		2		12		300		3		100		2			1998 2007
A		Payroll Payment Verification (ghost emps)								-		-		Payroll Ver Aud FY14						2		2		2		2		2		10		200		5		40		2			20032014
A		Accounts Payable								-		-		PAYMENTS (20101010)						3		2		3		2		2		12		300		3		100		2			2007 (CR)
F		Travel Expenses								-		-		(5090201-4)						2		1		1		1		2		7		200		5		40		1			1988
C		External Audit Mgt Ltr Compliance								-		-		Priority as required						3		3		3		1		3		13		100		1		100		3			2012
F		Audit Fees								-		-		(5030302)						2		1		1		1		1		6		80		5		16		1
F		Cost Allocation Plan								-		-							2		2		1		1		1		7		250		5		50		1			2005
O		Treasury Services			2230						-		-		Includes RevSrv			33			(33)		A		A		A		A		A		- 0
O		Director Treasury Services			2231						-		-				6			(6)		A		A		A		A		A		- 0
A		Financial Planning amp Investments								-		-		Investments (2014)		415021					3		3		2		3		3		14		200		2		100		3			2010 2016 (16-1004) Financial Planning amp Investments
O		Treasury Office Operations								-		-							A		A		A		A		A		- 0							2000
F		Sales Tax Revenue(audit with Distributions)								-		-		Sales Tax (Projected)		706241					3		2		2		3		2		12		200		2		100		2			2009
F		Sales Tax Revenue Distributions								-		-		Distributions(est Gen Mob)		173019					3		2		2		3		2		12		100		2		50		2			2009
F		Other Revenues								-		-		Projected FY2015		$108 mil					3		2		1		2		2		10		90		3		30		2
F		Petty Cash								-		-		Disbursements						3		1		1		1		3		9		90		3		30		2			2002
F		Pension Funds (Audited by outside auditors)								-		-		Funds						2		1		2		1		1		7		300		5		60		1			1995
A		Revenue Services		1		2212						-		-		Under OMB Mgmt						3		3		3		2		3		14		300		3		100		3
A		Ticket amp Fare Collection		1		2232			3514000			3037608		3037608		(476392)				27		26		(1)		3		3		3		2		3		14		300		2		150		3			2001 2009
A		Revenue Management		1		2235						-		-		Include wFare Collection						2		2		3		2		2		11		300		3		100		2
A		Grants (Includes Grant Accounting)		1		2250 2353			536000			528174		528174		(7826)		GRANTS INCOME(Bdgt)		196386		4		4		- 0		3		2		3		3		3		14		300		3		100		3			2010 2013
A		New Freedom JARC		1		9A03 9A04						-		-		New 2012 Inc wGrants						A		A		A		A		A		- 0
O		Office of Management amp Budget		1		2260						-		-		low audit priority			10			(10)		A		A		A		A		A		- 0
A		Office of Management amp Budget		1		2361			1887000			2267912		2267912		380912				10		14		4		2		1		2		2		2		9		150		5		30		2
O		PROCUREMENT amp MATERIALS			2460							-		ProcampMat Only(exSBE)
A		Procurement			2422			3661000			3689787		3689787		28787		IT ProcampHRT Auds 14			32		34		2		3		2		2		3		2		12		400		2		200		2			20092014
F		Purchase Card Activity								-		-		Recent Pcard Purch Range		$32 milyr					3		3		1		3		2		12		300		2		150		2			20072017 (17-1003) Purchasing Cards and Small Purchases
A		HGACState of Texas Purchasing Programs								-		-							2		1		2		1		1		7		200		5		40		1
F		Fuel Purchasing Program					31773000			27468028		3207448		385448		DieselampGas Bdgt-Requests for Board Action has a modification for fuel in the amount 28510000 and 4127000		38735					3		3		2		3		2		13		200		2		100		3			20062012
C		Davis Bacon Compliance								-		-		Fewer Cap Projects						3		2		3		1		3		12		300		3		100		2			2010
O		Materials amp Distribution			2423			5695000			6056753		6056753		361753				75		77		2		A		A		A		A		A		- 0
F		Inventory Management and Control								-		-		MampS Expense (Projected)		21651					2		1		3		3		2		11		300		2		150		2			1987 2016(16-1002) FY2016 Spare Parts Inventory 2017 (17-1002) Maintenance Parts Inventory
F		Fuel amp Lubricant Controls					2822000			3207448		27468028		(4304972)		Diesel Budget		36601					3		2		2		2		2		11		500		2		250		2			20082012
F		Annual Physical and Cyclical Inventories								-		-		FY2014 Inv Balance		24250					3		2		3		3		2		13		450		1		450		3			2014
A		Property Services								-		-		Asset Disposals						2		1		2		2		3		10		400		3		133		2			2007 2015
O		SMALL BUSINESS			2340							-		Frmrly in Business Serv
A		SBEDBE			2341			823000			834530		834530		11530				7		6		(1)		3		2		2		2		2		11		300		3		100		2			2017 (17-1006) DBE Compliance
O		HUMAN RESOURCES		1		2400							-		Part of FinampAdmin
O		Vice President Human Resources			2410						-		-							A		A		A		A		A		- 0
O		VP Human Resources			2411			628000			636954		636954		8954				2		2		- 0		A		A		A		A		A		- 0
A		Compensation			2444			491000			495980		495980		4980				4		4		- 0		3		1		3		1		1		9		100		5		20		2
O		Human Resources Operations			2430						-		-							A		A		A		A		A		- 0
O		Staffing			2442			1229000			1385642		1385642		156642		Backgrnd Inv Review			12		11		(1)		A		A		A		A		A		- 0							2015
A		Contract and Temporary Labor								-		-							2		2		2		2		1		9		150		3		50		2			200305CR
C		Recruitment Incentive Programs								-		-							3		2		2		2		2		11		150		3		50		2
O		Labor Relations			2440						-		-		Formerly part of Serv Del						A		A		A		A		A		- 0
A		Labor Relations			2461			428000			426121		426121		(1879)				4		4		- 0		3		1		2		2		1		9		150		3		50		2
O		Human Capital Management and Personnel Services			2470						-		-							A		A		A		A		A		- 0
A		HCM and Personnel Services			2441			434000			451356		451356		17356				5		5		- 0		2		3		2		3		2		12		200		3		67		2
O		Benefits Wellness amp Compensation		1		24502421			55000			75576		75576		20576		Supp Ins Dep Review				3		3		A		A		A		A		A		- 0							2014
A		Wellness Programs		1		2446			289000			270346		270346		(18654)				2		2		- 0		3		3		2		3		2		13		200		1		200		3
A		Benefits and Pensions		1		2443			1282000			1283645		1283645		1645		HIPAA Audit			6		7		1		3		3		2		2		3		13		200		2		100		3			2015
A		Union Benefit Trust		1							-		-		Contributions (2014)		13692					A		A		A		A		A		- 0
A		Non-Union Pension		1							-		-		Contributions (2014)		8967					A		A		A		A		A		- 0							2008
A		Non-Union Health Insurance		1							-		-		Cost of Plans (2014)		9478					A		A		A		A		A		- 0
A		Life Insurance		1							-		-							A		A		A		A		A		- 0
A		Retirees (include wBenefits and Pensions)		1		2412			13411000			15177705		15177705		1766705							A		A		A		A		A		- 0
O		EEO COMPLIANCE AND DIVERSITY		1		2480							-		Part of HR in 2015
O		VP EEO Compliance amp Diversity		1		2014							-		Dir Level in 2015 no VP						A		A		A		A		A		- 0
O		COMPLIANCE EEO EMPLOYEE RELATIONS		1		2560							-		New org structure in 2011
A		EEO and Employee Relations		1		2445			719000			761821		761821		42821				5		4		(1)		2		2		2		2		1		9		150		3		50		2
A		EEO		1		2449			453000			508580		508580		55580				2		4		2		1		1		1		1		1		5		150		5		30		1
								-		-
O		INFORMATION TECHNOLOGY			2280 2451			44507000		8626000		21515539		30141539		(14365461)		Part of FinampAdmin				66		66
O		Disaster Recovery amp Business Continuity								-		-
A		Data Access Security								-		-							2		2		1		3		2		10		300		3		100		2			2008
A		Disaster Recovery Observation								-		-							3		3		3		3		3		15		300		1		300		3			2017
A		Business Recovery Planning								-		-							2		2		2		3		3		12		300		3		100		2			2017
A		Data Center Operations								-		-							2		3		2		3		2		12		200		3		67		2			2009
O		Databases								-		-
A		Data Base Administration								-		-							2		3		3		3		3		14		400		3		133		3			2016
O		Network Management								-		-
A		Firewall Admin amp Controls								-		-							3		3		2		3		2		13		260		2		130		3			2016
A		Incident Intrusion and Emergency Response								-		-							3		3		2		3		2		13		260		2		130		3			2007
A		Wireless Network Security								-		-							3		3		2		3		2		13		260		2		130		3			2007
O		Department Administrative Functions								-		-
A		Help Desk Operations								-		-							2		2		2		2		2		10		300		3		100		2			2009
A		Computer Equipment Disposal Practices								-		-							2		2		2		2		2		10		300		3		100		2			2016
A		HardwareSoftware Standards								-		-							2		2		1		2		2		9		200		3		67		2			2009
A		Remote Access Policies and Security								-		-							2		2		2		2		2		10		150		3		50		2			2009
O		Applications Systems								-		-
A		Enterprise Systems Migration amp Chg Controls								-		-							3		2		3		2		2		12		400		3		133		2			2007
A		Security and Controls								-		-							3		2		3		2		2		12		300		2		150		2			2007
A		SAP Application Maintenance								-		-							3		3		3		2		3		14		300		3		100		3
O		Internet Access Use Controls amp Security								-		-
A		Web Site Management								-		-							3		2		3		2		2		12		250		2		125		2			2010
A		E-business Administration and Controls								-		-							3		2		2		3		2		12		250		2		125		2
A		E-mail Usage Security and Controls								-		-							3		2		2		3		2		12		250		2		125		2			2008
O		Communications Systems								-		-		(50502045121201)
A		VOIP Telephone System Management amp Security								-		-							3		2		3		3		3		14		250		3		83		3			2012
A		Video Surveillance System Man amp Security								-		-							3		2		2		3		3		13		250		2		125		3			2008
A		Radio System Management and Security								-		-							3		2		3		3		3		14		300		3		100		3
O		New Systems Development and Controls								-		-
A		IT Project Management Policies amp Procedures								-		-							2		2		2		2		3		11		400		2		200		2			2011
A		Post Implementation Review								-		-		Q Card review in 2010						2		2		2		2		2		10		200		2		100		2			2010
A		ERP Technical Controls								-		-							2		2		2		2		2		10		400		2		200		2			2010
O		Operating Systems (OS)								-		-
A		UNIX OS Review								-		-							2		3		3		2		3		13		500		3		167		3			2012
A		Windows OS Review								-		-							2		3		3		2		3		13		500		3		167		3			2014
A		Vmware Virtualization OS Review								-		-							2		3		3		2		3		13		500		3		167		3			2014
O		Adherence to Licensing Requirements								-		-
A		SAP Contract Compliance								-		-							2		2		2		2		3		11		200		2		100		2			2017
A		Oracle Contract Compliance								-		-							2		2		2		2		3		11		200		2		100		2			2017
A		Other Licenses								-		-							2		2		2		2		2		10		200		2		100		2			2017
O		Storage								-		-
A		Data Storage								-		-							3		3		3		2		3		14		600		4		150		3			2017
O		Rail IT								-		-
A		SCADA Systems								-		-							3		3		3		3		2		14		300		2		150		3			2011
A		Data Center Operations								-		-							3		3		3		3		2		14		300		2		150		3			2014
								-		-
O		OPS PUB SFTY amp CUST RDRSHP SERVS		1		2800			1405000					(1405000)		Includes MPD in FY1415
O		EVP Ops Pub SftyampCust Rdrshp Servs		1		1821			740000			768800		768800		28800		RC frmrly Best Practices			6		5		(1)		A		A		A		A		A		- 0
O		Director of Safety		1		2810 2812			180000			189445		189445		9445				1			(1)		A		A		A		A		A		- 0
A		Customer and Health Safety		1		2820283022432245			1309000			1248726		1248726		(60274)				12		11		(1)		3		3		2		2		2		12		300		3		100		2
A		Workplace and Environmental Safety		1		28402246			569000			642623		642623		73623		No budget in 2015			5		5		- 0		1		1		1		1		1		5		100		3		33		1
A		Drug amp Alcohol Program		1		2448			611000			630270		630270		19270		FTA area of interest			3		3		- 0		3		3		1		1		2		10		300		3		100		2			2010 2015CR
O		Risk Management			2240						-		-							A		A		A		A		A		- 0							2013
O		Director Risk Management			2241			161000			160688		160688		(312)				1				(1)		A		A		A		A		A		- 0
A		Claims			2242			1116000			1135035		1135035		19035		FEMA Reim Audit			12		13		1		2		2		1		2		2		9		150		3		50		2			2013
A		General Insurance			2244			3852000			3605884		3605884		(246116)				3		3		- 0		2		2		2		2		2		10		150		3		50		2			2003
A		Workers Compensation								-		-		Audited in 2014						2		2		2		1		2		9		150		3		50		2			2014
A		Owner Controlled Iinsurance Program (OCIP)								-		-		True-up in progress						3		3		2		3		2		13		400		3		133		3			20112017 (17-1005) Audit of OCIP
A		Training Design amp Delivery			2850 2247			585000			651220		651220		66220		New org in 2011			3		5		2		3		2		2		1		3		11		300		3		100		2
O		METRO POLICE		1		1900							-		Part of Safety in FY1415
O		Vice PresidentChief of Police		1		1910 0911			593000			569954		569954		(23046)				2		4		2		A		A		A		A		A		- 0
O		Management Services		1		1920 0912 0913			414000			374176		374176		(39824)				4		8		4		A		A		A		A		A		- 0
F		Special Funds - LEOSE amp Seized Property		1							-		-		STATE REQUIREMENT		30					3		1		1		1		2		8		200		1		200		2			2014
O		Police Field amp Rail Operations		1		1930						-		-							A		A		A		A		A		- 0
A		Field amp Rail Operations		1		0934 0966			13646000			15091874		15091874		1445874				144		150		6		3		2		2		3		2		12		300		5		60		2			1998 2007 2016 (16-1006) MPD Administrative Fees
A		System Security K-9 Unit		1		0936			841000			902038		902038		61038				8		8		- 0		3		2		1		2		2		10		200		5		40		2
A		Motorist Assistance Program		1		0964			(88000)			53190		53190		141190				8		7		(1)		3		2		1		1		1		8		200		5		40		2
A		HOV-Enforcements		1		0965			(447000)			383387		383387		830387				25		30		5		3		2		2		1		2		10		300		5		60		2			1998
O		Support Operations		1		1940						-		-							A		A		A		A		A		- 0							1998
A		Transtar amp Dispatch		1		0942 0943			1912000			2200654		2200654		288654				19		19		- 0		3		3		3		2		2		13		300		5		60		3
A		Support OperationsampAnti-Terrorism Grant		1		0932 0935			982000			1416066		1416066		434066				10		14		4		2		2		2		2		2		10		300		5		60		2
A		Investigations		1		0931			1080000			1435846		1435846		355846		Accident Investigations			11		13		2		3		2		2		2		2		11		300		5		60		2			1998 2007 2016 (16-1003) Bus Accident Investigations
A		Records		1		0952			301000			441900		441900		140900				6		6		- 0		2		2		2		1		1		8		300		5		60		2			1998
O		Homeland Security(Inactive budget in 0953)		1		1950						-		-							A		A		A		A		A		- 0
A		Police Homeland Security		1		0953						-		-		No pers In 2015			0			- 0		3		2		2		1		2		10		300		5		60		2
A		Security BOF(Auditable area no budget or pers)		1		0933						-		-		No Emp RC in 2013-15			0			- 0		3		3		3		1		3		13		400		2		200		3			2012 2015
A		Emergency Management(No budget or pers)		1		1960 1961						-		-		No Emp RC in 2012-15			0			- 0		3		2		2		1		2		10		300		3		100		2			2008 2009
S		Special Assistance by Audit - Investigations								-		-		Perform as needed						3		3		2		2		3		13		200		1		200		3			2010
O		CUSTOMER amp RIDERSHIP SERVICES			2530							-		New Dept FY14 (frm Ops)
A		RideStores			2538			696000			653907		653907		(42093)				9		12		3		3		2		3		2		2		12		300		3		100		2			2003 2006
A		Sales			2543			590000			593479		593479		3479		Include wRideStores			5		3		(2)		2		2		2		2		2		10		300		3		100		2
A		Customer Information Center (Customer Care)			2532			3627000			3489725		3489725		(137275)		Partial Audit wComplaints			62		57		(5)		3		2		3		3		2		13		300		3		100		3			2015
								-		-
O		OPERATIONS		1		1000			91154000		65611000			65611000		(25543000)		TotExp Excluding Fuel		338969
O		Senior VP amp Staff (inc Budget Operations(OMS))		1		0100 0011 0351			1850000			1469162		1469162		(380838)				7		12		5		A		A		A		A		A		- 0
A		HOT Lanes Operations		1		1500 1510 2185			8062000			8379468		8379468		317468		New to Ops FY14			1		1		- 0		3		3		2		2		3		13		300		3		100		3			2015
O		Revenue Collection		1		2290						-		-		New to Ser Del In 2011						A		A		A		A		A		- 0
A		Revenue Agents		1		2234			820000			887981		887981		67981		Cash Fare Collections			11		11		- 0		3		2		2		2		3		12		300		3		100		2			2009 2017 (17-1001) Cash Fare Collections
O		Bus Transportation (inc Sr Dir Trans GenampSer Logist)		1		0200003103610322			2775000			4874931		4874931		2099931		Moving Violations Audit			2		2		- 0													2011
A		Bus Operations		1		0220						-		-		Cust Training Audit			1597				3		2		3		3		2		13		600		2		300		3			2011
O		Fallbrook		1		011101120113			25050000			24306144		24306144		(743856)				349		349		- 0		A		A		A		A		A		- 0
O		Kashmere (Greenlink added in 2012)		1		0121012201230124			15750000			17065038		17065038		1315038				216		221		5		A		A		A		A		A		- 0
O		Polk		1		013101320133			27965000			27300859		27300859		(664141)				348		357		9		A		A		A		A		A		- 0
O		West		1		014101420143			32898000			33761527		33761527		863527				404		438		34		A		A		A		A		A		- 0
O		Hiram Clarke		1		0151015201530154			21554000			23379044		23379044		1825044				280		321		41		A		A		A		A		A		- 0
O		Northwest (Contract - see Fac Roll -up Code 1800)		1		0163			(3248000)				-		3248000				0			- 0		A		A		A		A		A		- 0							2012
A		Service Delivery		1		0500						-		-		On-Time Perf Review						2		2		3		2		2		11		300		5		60		2			2014
O		Dispatch		1		0301			1767000			1859803		1859803		92803				17		18		1		A		A		A		A		A		- 0
F		Operator Timekeeping System		1							-		-		Old legacy system						2		2		2		1		2		9		200		5		40		2			2005 UnC
A		Director of Serv Del And Street Supervisors		1		0051 0332			3423000			3594559		3594559		171559				30		35		5		3		2		2		3		2		12		300		3		100		2
A		New Service (Was Budget Services in 2011)		1		030003920393						-		-		No bdgt or pers in 2015			0			- 0		1		1		1		1		1		5		250		2		125		1
O		Transportation Programs		1		0400						-		-							A		A		A		A		A		- 0
A		METROLift amp Director of Trans Prog		1		0045 0041			56698000			58450171		58450171		1752171		FTA review in 2013			117		124		7		3		3		3		3		3		15		400		2		200		3			2006 2007
A		Special Events and Contract Services		1		0470048003710381			330000			322665		322665		(7335)				4		3		(1)		2		1		1		1		1		6		200		5		40		1
A		Rideshare		1		0460 2537			10995000				-		(10995000)				0			- 0		3		2		2		1		2		10		300		3		100		2
A		Regional Vanpool (0831 = Community Connector)		1		0460 2539 0831					12034574		12034574		12034574		Lmtd Rev compltd 2014			3		9		6		3		2		2		2		3		12		300		3		100		2			20122014
C		Contracted Services - Northwest BOF		1		08000811-150821-25			48485000			46163058		46163058		(2321942)		$47mil ann bdgt (NW)		$4mil for NW fuel					3		2		2		3		2		12		400		2		200		2			2012 2015CR
A		METRORail		1		0600													3		2		3		3		3		14		600		2		300		3			2008
O		Senior Director Rail		1		610 0061			234000			244607		244607		10607				2		3		1		A		A		A		A		A		- 0
O		Rail Transportation		1		620 621 622 623 626 627			12352000			12181636		12181636		(170364)		METRORail Cam Aud			149		175		26		A		A		A		A		A		- 0							2015
O		Rail Control Center		1		0651			3054000			3148729		3148729		94729				27		26		(1)		A		A		A		A		A		- 0
O		SampI Administration and Supervision		1		0624 0625			676000			690213		690213		14213		New in FY14			7		8		1		A		A		A		A		A		- 0
O		Rail Maintenance		1		0660-6606810691-93			17903000			18333174		18333174		430174		Includes traction power			134		146		12		A		A		A		A		A		- 0							2013
A		Preventive Maintenance (Bus)		1		1191 (Admin)			306000			323151		323151		17151		Bus Hub Rev FY13			2		2		- 0		3		2		3		3		2		13		300		1		300		3			20122013
O		Kashmere (Greenlink added in 2012)		1		1111-1118			11068000			10734424		10734424		(333576)		Greenlink added in 2012			70		73		3		A		A		A		A		A		- 0
O		Polk		1		1121112211231124			16713000			15617108		15617108		(1095892)				97		98		1		A		A		A		A		A		- 0							1993
O		West		1		1131113211331134			21994000			20796712		20796712		(1197288)				113		121		8		A		A		A		A		A		- 0
O		Hiram Clarke		1		11411142114311441145			14524000			13845519		13845519		(678481)				85		84		(1)		A		A		A		A		A		- 0
S		Northwest (Contract - see Fac Roll-up Code 1800)		1		1151115211531154			(120000)				-		120000							A		A		A		A		A		- 0							2002
O		Fallbrook		1		1161116211631164			16224000			14955860		14955860		(1268140)				79		93		14		A		A		A		A		A		- 0
O		Buffalo Bayou Maint (Under SuppVeh RC)		1		1171 1172 1173			1878000			678775		678775		(1199225)				17		21		4		A		A		A		A		A		- 0
A		Central Support amp Manufacturing		1		1020 1021			399000			404920		404920		5920				4		4		- 0		3		2		3		3		2		13		400		2		200		3
O		Body Shop		1		1023			2267000			2388704		2388704		121704				27		28		1		A		A		A		A		A		- 0							1996 2016 (16-1005) Audit of Paint Booths
O		Unit Overhaul		1		1024			1722000			1969444		1969444		247444				32		32		- 0		A		A		A		A		A		- 0							2001
	Unit Overhaul		1		1025			(244000)					244000							A		A		A		A		A		- 0
O		Heavy Repair		1		1022			1979000			2005634		2005634		26634				22		24		2		A		A		A		A		A		- 0
O		Brake Shop		1		1029						-		-		No FY15 PersonnelBdgt			0		0		- 0		A		A		A		A		A		- 0
O		Rebuild Warranty		1		1026			98000			97500		97500		(500)							A		A		A		A		A		- 0
O		Tire amp Battery Usage		1							-		-		SpecProjAs needed						A		A		A		A		A		- 0							20012010 2017 (17-1004) Bus Tires Inspection
A		Maintenance Support		1		1200						-		-		Increasingly Critical						3		2		3		3		2		13		300		3		100		3
O		Quality Assurance		1		1210 1311			882000			904988		904988		22988				8		9		1		A		A		A		A		A		- 0
O		Warranty		1		1240 1312			3612000			4475803		4475803		863803		FY2014 Audit			4		4		- 0		A		A		A		A		A		- 0							2014
O		Technical Services amp Advanced Technology		1		1220 1014 1036			412000			388743		388743		(23257)				2		3		1		A		A		A		A		A		- 0
O		Director Maintenance Support		1		1280 1381			408000			493025		493025		85025		Fuel Tanker Audit			10		11		1		A		A		A		A		A		- 0							2014
O		Electronic Maintenance (inc fare collampradio maint)		1		13012322331390			4564000			4760210		4760210		196210		Critical Activity			43		45		2		A		A		A		A		A		- 0							2013
O		Support Vehicle Maintenance (Inc Med Duty Bus)		1		1351135312501174			4333000			5234060		5234060		901060		Include wMaint Supp			25		26		1		A		A		A		A		A		- 0							2003 07CR
O		Support Vehicle		1		1354			416000			246395		246395		(169605)							A		A		A		A		A		- 0
	Maintenance General		1		1361			5213000			5744855		5744855		531855							A		A		A		A		A		- 0
O		Maintenance Training (MEAD)		1		17201321			377000				-		(377000)		No FY15 Bdgt Or Pers						A		A		A		A		A		- 0							1996
A		Transportation Training		1		1700 1710 0331			2085000			2186942		2186942		101942		New cust Svc Focus			16		18		2		3		2		1		2		2		10		120		5		24		2			1995
								-		-
O		PLANNING ENGINEERING CONST amp REAL EST		1		2180			113640000		90591000			90591000		(23049000)
O		SVP Capital Programs			2020 2021						-		-				0			- 0		A		A		A		A		A		- 0
O		Capital Projects		1		(2180)						-		-				22			(22)		A		A		A		A		A		- 0
A		Document Control		1		2151						-		-				0			- 0		3		2		2		1		2		10		210		3		70		2
A		Engineering Support Services		1		2161			93000			556421		556421		463421				13		9		(4)		3		2		1		1		2		9		210		3		70		2
A		Capital Projects		1		2181			(16000)			42086		42086		58086		$23mil non-rail Cap Bdgt			2		2		- 0		2		2		2		2		2		10		200		5		40		2
A		Bus Infrastructure		1		2182						-		-		No Emp RC FY12-15			0			- 0		2		2		2		1		2		9		200		5		40		2
A		Project Administration and Management		1		2183 2184			(113000)			(29074)		(29074)		83926		New in 2011			7		5		(2)		2		2		2		2		2		10		200		5		40		2
A		EngStandards Buff Bayou Mods		1		9A08 9A09						-		-		New in 2012						3		3		3		2		2		13		300		3		100		3
O		State of Good Repair			2150						-		-		New in 2012						A		A		A		A		A		- 0
A		State of Good Repair			2152						-		-		New in 2012						3		3		2		1		2		11		300		3		100		2
O		Rail Construction			2100 2110 2140						-		-		Consent Agmt Review			7			(7)		A		A		A		A		A		- 0							2014
A		University Corridor			2081						-		-				0			- 0		2		2		2		1		1		8		210		3		70		2
A		4 Light Rail Lines Expansion			2171			(150000)			(13171)		(13171)		136829		$173mil Cap Bdgt			7		6		(1)		3		2		2		2		2		11		210		3		70		2
O		METRO Rail Construction Non-Capital			2040						-		-							A		A		A		A		A		- 0
A		Cap Prog Coor amp Rpt (Inactive)			2433						-		-		New name FY15			0			- 0		3		2		2		1		2		10		210		3		70		2
O		METRO Rail Expansion Integration amp Control			2110 2070						-		-				8			(8)		A		A		A		A		A		- 0
A		Program Integration amp Controls			2111 2121			(134000)			(93508)		(93508)		40492		SrDir Reports to CAO			8		6		(2)		3		2		2		1		2		10		210		3		70		2
A		Rail Vehicles			2153						-		-		Waiver Request Rev						3		3		2		1		2		11		210		3		70		2			2014
O		PLANNING		1		2190				9858000			9858000		9858000		Structure modified in FY14
O		SVP Planning		1		2191			317000			319812		319812		2812		New in 2011			2		2		- 0		A		A		A		A		A		- 0
O		Planning amp Scheduling		1		2050						-		-				29			(29)		A		A		A		A		A		- 0
A		System Planning amp Development		1		2031			16483000			3783057		3783057		(12699943)				11		9		(2)		3		3		1		2		2		11		210		3		70		2
A		Service Planning amp Development		1		2052			1676000			1258682		1258682		(417318)		Alternative Ser Delivery			9		10		1		2		2		3		2		2		11		210		3		70		2			2012
A		System Reimagining		1		1811						-		-		Frmrly Best Practices No employees and project complete			2			(2)		3		3		3		2		3		14		210		3		70		3
A		Scheduling		1		0321			853000			884171		884171		31171				7		8		1		3		2		3		2		2		12		210		3		70		2
A		US 90A Rail Livable Centers ConsortUniv Line		1		9A06 9A07 9A11						-		-		U Line New in FY14						2		1		1		1		2		7		300		3		100		1
O		FACILITY MAINTENANCE		1		1300			15255000		507000			507000		(14748000)		Formerly part of CAO
A		Facility Maint Admin amp Contracts		1		131013411346			3979000			4023276		4023276		44276				13		12		(1)		3		2		2		2		2		11		400		3		133		2
O		Facility Maintenance Programs		1		1320						-		-							A		A		A		A		A		- 0
A		Facility Maint NW Buff Bay amp ProgOp		1		1335 13371342			1598000			1714566		1714566		116566				8		15		7		2		2		2		2		2		10		300		3		100		2
A		SuptFacility Maint		1		1338						-		-		New in 2012			0			- 0		2		2		1		1		2		8		200		5		40		2
A		Facility Maint Headquarters		1		1349			2873000			3033079		3033079		160079				8		7		(1)		2		2		2		2		2		10		300		5		60		2			2007
O		Public Facilities		1		1330						-		-							A		A		A		A		A		- 0
A		Public Facility amp Public Facility Admin		1		1339 1343			7612000			7670039		7670039		58039		Bus Shelter Audit			58		57		(1)		3		2		2		3		2		12		300		3		100		2			2011
A		Public Facility Rail			1348			4497000			4097093		4097093		(399907)				39		39		- 0		3		2		2		3		2		12		300		3		100		2
O		BOF Env Serv amp Proj Management		1		13401380						-		-							A		A		A		A		A		- 0
A		BOF Env Serv amp Proj Management		1		1331-3413361344-45			6945000			6666939		6666939		(278061)				40		34		(6)		3		2		2		3		2		12		300		3		100		2
A		Fac Maint Rail		1		1347			1928000			1754811		1754811		(173189)		Higher risk after rail expans			9		10		1		3		2		2		2		2		11		300		3		100		2
O		REAL ESTATE amp PROPERTY MANAGEMENT			2550								Formerly in Legal
A		Real Estate			2131			463000			435274		435274		(27726)		Appraisal Process Aud			5		1		(4)		3		3		2		2		3		13		300		3		100		3			2015
	Total		141			Total			178221000		593645668		771866668
					83997800000
	Note A - Assessed at the ActivityOrganization Level																	ANNUAL SCHEDULED HOURS							17415
	- Scheduled for 4th qtr of FY17																	STAFF REQUIREMENTS							109
	- Annual budget figures adjusted
	or estimated where appropriate				total		83997800000									3969
	to reflect organizational or				From PY		80538300000								Check Figure from Head Count Report		3969				EDP PORTION OF ABOVE								0
	operating changes				difference		3459500000									0				EDP STAFF REQURIEMENTS								00
																TOTAL UNSCHEDULED ANNUAL HOURS								0
																TOTAL SCHEDULED amp UNSCHEDULED								0
																STAFF REQUIREMENTS IF ALL
																AUDITS SCHEDULED								000

	Organizational Units		Auditable Units
	Executive amp Baord		1
	Legal		4

		13		14		15
		10		11		12
		7		8		9
		-		5		6

	Reconciliation of Risk Assessment Values reviewed Audit obtained the FY2017 Budget amounts from accounting and used these amount to prepare a risk assessment The following is a reconciliation of the amounts reviewed in the Risk Assessment
			Capital Budget Amount
		Risk Assessment Amount Reviewed		178221000
		Budget Amount		178221
		Difference		178042779
			Operating Budget
		Risk Assessment Amount Reviewed		593645668
		Budget Amount		568071000
		Difference		25574668
		Adjustments		2600806		Non-Departmental A
			2500000		Contingency - President amp CEO B
		Remaining Difference		30675474		rounding differences
	Notes
	A		The Non-Departmental amount from the budget was not included in the Risk Assessment as this amount was a contingency for the COLA adjustment expected to be approved during the 2017 Fiscal Year
	B		The Contingency - President amp CEO amount from the budget was not included in the Risk Assessment as the amount was an actual contingency for unknown or potential issues which might effect METRO during the 2017 fiscal year

																		KEY
	Risk Assessment as of JUNE 2017																		Audit Type (Internal Designations not Yellow Book)
																		F = Financial						O = ORGANIZATION
																		P = Performance						S = Special Project
																		C = Compliance						A = Activity
Audit				RESPONSIBILITY		Responsibility Code or Account (SAP - New Codes)		FY2016 Budget		FY2017 BUDGET (000 omitted)				Delta				STAFF SIZE			Delta		RISK ASSESSMENT							AUDIT BUDGET						LAST YEAR
Type		ORGANIZATIONAL UNIT ACTIVITY OR			CODE OR								OTHER CONSIDERATIONS						1		2		3		4		5		Total		Estimated Hours		FRQ		ANNUAL HOURS		RISK			AUDITED
Code		PROJECT DESCRIPTION			ACCOUNT (ORACLE)			Total		CAPITAL		OPERATING		TOTAL		(Less) More		DESCRIPTION		VALUE (000)		FY16 (Actual)		FY17 (Actual)		(Less) More			Control Environment		Technology		Size		Organization				YRS					( Partial)
O		EXECUTIVE amp BOARD		1		2300 2320				3028000			3028000		3028000		Cap Is Unallocated Cap
O		President amp Chief Executive OfficerBoard			2310 11 12 13 21			1901000			2124896		2124896		223896				8		7		(1)		A		A		A		A		A		- 0
S		Board Service Requests								-		-		highest priority						3		3		3		1		3		13		150		1		150		3
S		President amp Chief Executive Officer Requests								-		-		highest priority						3		3		3		1		3		13		150		1		150		3
S		Office of Executive Vice PresidentStrategic Partnering			2011						-		-				0				2		1		1		1		1		6		200		5		40		1
A		Press Office			2371			641000			858422		858422		217422		Social Media Issues			5		8		3		3		3		3		1		1		11		200		5		40		2
A		Office of Innovation			2511					631181		631181		631181					3		3		A		A		A		A		A		- 0
O		GOVERNMENT amp PUBLIC AFFAIRS			2520							-				38
A		Government Affairs			2352			667000			380831		380831		(286169)		Form Part of ExecBoard			4		3		(1)		3		2		2		2		1		10		400		3		133		2
O		CORPORATE COMMUNICATIONS amp MARKETING			2580							-		Formerly part of CAO			22
A		Print Shop and Admin Services			2431 2432			1944000			1960212		1960212		16212				8		10		2		2		1		1		2		2		8		200		5		40		2			1988
A		Media amp Corporate Communications			2581			500000			521510		521510		21510				4		3		(1)		3		1		1		1		1		7		100		5		20		1
A		Marketing			2531			4716000			5440929		5440929		724929				10		12		2		2		1		2		2		1		8		300		5		60		2
O		Public Engagement			2010						-		-		Formerly part of Planning			6			(6)
A		Community Outreach			2521			682000			866624		866624		184624		Involves Rail Expansion			6		26		20		3		2		1		2		2		10		200		5		40		2
A		Interagency Dir Of Pub Engagement			25222523						-		-		Form Part of Planning		No bdgtpers		0			- 0		1		1		1		1		1		5		200		5		40		1
O		Stakeholder Affairs			2060						-		-		Formerly part of Planning			6			(6)		A		A		A		A		A		- 0
A		Stakeholder Affairs			20122524			450000			534409		534409		84409		Form Part of Cap Prog			6			(6)		3		2		1		1		2		9		210		3		70		2			2011
								-		-
A		LEGALSTAFF COUNSELCORPORATE DEVELOPMENT			2350 51			3505000			3955580		3955580		450580				17		15			3		1		1		2		1		8		200		5		40		2
F		Legal Fees		1							-		-							2		1		1		1		1		6		200		5		40		1			2008
S		Attorney Work Requests		1							-		-							3		3		2		1		1		10		200		5		40		2
S		Special Assistance		1							-		-							3		3		2		1		1		10		200		5		40		2
A		Records Management		1		2013			304000			230439		230439		(73561)		Formerly in EEOCompDiv			3		2		(1)		3		3		2		1		2		11		300		3		100		2
								-		-
O		AUDIT			2330 2331			1505000			1534340		1534340		29340				11		11
A		Internal Quality Assurance Review		1							-		-													200		1		200				ON-GOING
A		External Quality Assurance Review		1							-		-		Yellow Book Req												100		3		33				2014
A		External Auditor Assistance								-		-													50		1		50		1			ON-GOING
C		Follow-UpCompliance Reviews								-		-													450		1		450				ON-GOING
A		Application Systems Audit Support								-		-													200		1		200		2			ON-GOING
C		Capital Projects QAQC Programs			Contract Oversight						-		-		FTA REQUIREMENT						3		2		2		1		2		10		200		1		200		2			ON-GOING
P		Review of Performance Measures								-		-							2		2		1		1		1		7		1000		5		200		1			2006
C		State Audit Compliance Review		1							-		-							3		3		3		1		3		13		200		1		200		3			2009 2016(16-1001) Statutory Compliance
C		FTA Audit Compliance Reviews		1							-		-							3		3		3		1		3		13		200		1		200		3			ON-GOING
								-		-
O		FINANCE amp ADMINISTRATION (Frmrly CAO)		1		2500 1610			313000				-		(313000)		AmtsEmps exclude IT
O		EVP Finance amp Administration		1		1611			822000			624447		624447		(197553)				2		3		1		A		A		A		A		A		- 0
O		FINANCE DEPARTMENT		1		2200						-		-
O		Vice PresidentChief Financial Officer			2210 2211			10000			718916		718916		708916				0		2		2		A		A		A		A		A		- 0
O		AccountingController			2220 2221			3250000			3740872		3740872		490872				28		28		- 0		A		A		A		A		A		- 0
O		General Accounting								-		-							A		A		A		A		A		- 0
F		General Ledger								-		-							3		2		3		2		2		12		300		3		100		2			2001
F		Accounts Receivable								-		-							3		2		3		2		2		12		300		3		100		2			2004
O		Grants Accounting (Audit with Grants Admin)								-		-							A		A		A		A		A		- 0							2004
O		Accounting								-		-							A		A		A		A		A		- 0
F		Fixed Assets								-		-		Net Cap Assets (Proj)		3200000					3		2		3		2		2		12		300		3		100		2			200307CR
F		Payroll								-		-		LaborBnfts (Budget)		301554					2		3		3		2		2		12		300		3		100		2			1998 2007
A		Payroll Payment Verification (ghost emps)								-		-		Payroll Ver Aud FY14						2		2		2		2		2		10		200		5		40		2			20032014
A		Accounts Payable								-		-		PAYMENTS (20101010)						3		2		3		2		2		12		300		3		100		2			2007 (CR)
F		Travel Expenses								-		-		(5090201-4)						2		1		1		1		2		7		200		5		40		1			1988
C		External Audit Mgt Ltr Compliance								-		-		Priority as required						3		3		3		1		3		13		100		1		100		3			2012
F		Audit Fees								-		-		(5030302)						2		1		1		1		1		6		80		5		16		1
F		Cost Allocation Plan								-		-							2		2		1		1		1		7		250		5		50		1			2005
O		Treasury Services			2230						-		-		Includes RevSrv			33			(33)		A		A		A		A		A		- 0
O		Director Treasury Services			2231						-		-				6			(6)		A		A		A		A		A		- 0
A		Financial Planning amp Investments								-		-		Investments (2014)		415021					3		3		2		3		3		14		200		2		100		3			2010 2016 (16-1004) Financial Planning amp Investments
O		Treasury Office Operations								-		-							A		A		A		A		A		- 0							2000
F		Sales Tax Revenue(audit with Distributions)								-		-		Sales Tax (Projected)		706241					3		2		2		3		2		12		200		2		100		2			2009
F		Sales Tax Revenue Distributions								-		-		Distributions(est Gen Mob)		173019					3		2		2		3		2		12		100		2		50		2			2009
F		Other Revenues								-		-		Projected FY2015		$108 mil					3		2		1		2		2		10		90		3		30		2
F		Petty Cash								-		-		Disbursements						3		1		1		1		3		9		90		3		30		2			2002
F		Pension Funds (Audited by outside auditors)								-		-		Funds						2		1		2		1		1		7		300		5		60		1			1995
A		Revenue Services		1		2212						-		-		Under OMB Mgmt						3		3		3		2		3		14		300		3		100		3
A		Ticket amp Fare Collection		1		2232			3514000			3037608		3037608		(476392)				27		26		(1)		3		3		3		2		3		14		300		2		150		3			2001 2009
A		Revenue Management		1		2235						-		-		Include wFare Collection						2		2		3		2		2		11		300		3		100		2
A		Grants (Includes Grant Accounting)		1		2250 2353			536000			528174		528174		(7826)		GRANTS INCOME(Bdgt)		196386		4		4		- 0		3		2		3		3		3		14		300		3		100		3			2010 2013
A		New Freedom JARC		1		9A03 9A04						-		-		New 2012 Inc wGrants						A		A		A		A		A		- 0
O		Office of Management amp Budget		1		2260						-		-		low audit priority			10			(10)		A		A		A		A		A		- 0
A		Office of Management amp Budget		1		2361			1887000			2267912		2267912		380912				10		14		4		2		1		2		2		2		9		150		5		30		2
O		PROCUREMENT amp MATERIALS			2460							-		ProcampMat Only(exSBE)
A		Procurement			2422			3661000			3689787		3689787		28787		IT ProcampHRT Auds 14			32		34		2		3		2		2		3		2		12		400		2		200		2			20092014
F		Purchase Card Activity								-		-		Recent Pcard Purch Range		$32 milyr					3		3		1		3		2		12		300		2		150		2			20072017 (17-1003) Purchasing Cards and Small Purchases
A		HGACState of Texas Purchasing Programs								-		-							2		1		2		1		1		7		200		5		40		1
F		Fuel Purchasing Program					31773000			27468028		3207448		385448		DieselampGas Bdgt-Requests for Board Action has a modification for fuel in the amount 28510000 and 4127000		38735					3		3		2		3		2		13		200		2		100		3			20062012
C		Davis Bacon Compliance								-		-		Fewer Cap Projects						3		2		3		1		3		12		300		3		100		2			2010
O		Materials amp Distribution			2423			5695000			6056753		6056753		361753				75		77		2		A		A		A		A		A		- 0
F		Inventory Management and Control								-		-		MampS Expense (Projected)		21651					2		1		3		3		2		11		300		2		150		2			1987 2016(16-1002) FY2016 Spare Parts Inventory 2017 (17-1002) Maintenance Parts Inventory
F		Fuel amp Lubricant Controls					2822000			3207448		27468028		(4304972)		Diesel Budget		36601					3		2		2		2		2		11		500		2		250		2			20082012
F		Annual Physical and Cyclical Inventories								-		-		FY2014 Inv Balance		24250					3		2		3		3		2		13		450		1		450		3			2014
A		Property Services								-		-		Asset Disposals						2		1		2		2		3		10		400		3		133		2			2007 2015
O		SMALL BUSINESS			2340							-		Frmrly in Business Serv
A		SBEDBE			2341			823000			834530		834530		11530				7		6		(1)		3		2		2		2		2		11		300		3		100		2			2017 (17-1006) DBE Compliance
O		HUMAN RESOURCES		1		2400							-		Part of FinampAdmin
O		Vice President Human Resources			2410						-		-							A		A		A		A		A		- 0
O		VP Human Resources			2411			628000			636954		636954		8954				2		2		- 0		A		A		A		A		A		- 0
A		Compensation			2444			491000			495980		495980		4980				4		4		- 0		3		1		3		1		1		9		100		5		20		2
O		Human Resources Operations			2430						-		-							A		A		A		A		A		- 0
O		Staffing			2442			1229000			1385642		1385642		156642		Backgrnd Inv Review			12		11		(1)		A		A		A		A		A		- 0							2015
A		Contract and Temporary Labor								-		-							2		2		2		2		1		9		150		3		50		2			200305CR
C		Recruitment Incentive Programs								-		-							3		2		2		2		2		11		150		3		50		2
O		Labor Relations			2440						-		-		Formerly part of Serv Del						A		A		A		A		A		- 0
A		Labor Relations			2461			428000			426121		426121		(1879)				4		4		- 0		3		1		2		2		1		9		150		3		50		2
O		Human Capital Management and Personnel Services			2470						-		-							A		A		A		A		A		- 0
A		HCM and Personnel Services			2441			434000			451356		451356		17356				5		5		- 0		2		3		2		3		2		12		200		3		67		2
O		Benefits Wellness amp Compensation		1		24502421			55000			75576		75576		20576		Supp Ins Dep Review				3		3		A		A		A		A		A		- 0							2014
A		Wellness Programs		1		2446			289000			270346		270346		(18654)				2		2		- 0		3		3		2		3		2		13		200		1		200		3
A		Benefits and Pensions		1		2443			1282000			1283645		1283645		1645		HIPAA Audit			6		7		1		3		3		2		2		3		13		200		2		100		3			2015
A		Union Benefit Trust		1							-		-		Contributions (2014)		13692					A		A		A		A		A		- 0
A		Non-Union Pension		1							-		-		Contributions (2014)		8967					A		A		A		A		A		- 0							2008
A		Non-Union Health Insurance		1							-		-		Cost of Plans (2014)		9478					A		A		A		A		A		- 0
A		Life Insurance		1							-		-							A		A		A		A		A		- 0
A		Retirees (include wBenefits and Pensions)		1		2412			13411000			15177705		15177705		1766705							A		A		A		A		A		- 0
O		EEO COMPLIANCE AND DIVERSITY		1		2480							-		Part of HR in 2015
O		VP EEO Compliance amp Diversity		1		2014							-		Dir Level in 2015 no VP						A		A		A		A		A		- 0
O		COMPLIANCE EEO EMPLOYEE RELATIONS		1		2560							-		New org structure in 2011
A		EEO and Employee Relations		1		2445			719000			761821		761821		42821				5		4		(1)		2		2		2		2		1		9		150		3		50		2
A		EEO		1		2449			453000			508580		508580		55580				2		4		2		1		1		1		1		1		5		150		5		30		1
								-		-
O		INFORMATION TECHNOLOGY			2280 2451			44507000		8626000		21515539		30141539		(14365461)		Part of FinampAdmin				66		66
O		Disaster Recovery amp Business Continuity								-		-
A		Data Access Security								-		-							2		2		1		3		2		10		300		3		100		2			2008
A		Disaster Recovery Observation								-		-							3		3		3		3		3		15		300		1		300		3			2017
A		Business Recovery Planning								-		-							2		2		2		3		3		12		300		3		100		2			2017
A		Data Center Operations								-		-							2		3		2		3		2		12		200		3		67		2			2009
O		Databases								-		-
A		Data Base Administration								-		-							2		3		3		3		3		14		400		3		133		3			2016
O		Network Management								-		-
A		Firewall Admin amp Controls								-		-							3		3		2		3		2		13		260		2		130		3			2016
A		Incident Intrusion and Emergency Response								-		-							3		3		2		3		2		13		260		2		130		3			2007
A		Wireless Network Security								-		-							3		3		2		3		2		13		260		2		130		3			2007
O		Department Administrative Functions								-		-
A		Help Desk Operations								-		-							2		2		2		2		2		10		300		3		100		2			2009
A		Computer Equipment Disposal Practices								-		-							2		2		2		2		2		10		300		3		100		2			2016
A		HardwareSoftware Standards								-		-							2		2		1		2		2		9		200		3		67		2			2009
A		Remote Access Policies and Security								-		-							2		2		2		2		2		10		150		3		50		2			2009
O		Applications Systems								-		-
A		Enterprise Systems Migration amp Chg Controls								-		-							3		2		3		2		2		12		400		3		133		2			2007
A		Security and Controls								-		-							3		2		3		2		2		12		300		2		150		2			2007
A		SAP Application Maintenance								-		-							3		3		3		2		3		14		300		3		100		3
O		Internet Access Use Controls amp Security								-		-
A		Web Site Management								-		-							3		2		3		2		2		12		250		2		125		2			2010
A		E-business Administration and Controls								-		-							3		2		2		3		2		12		250		2		125		2
A		E-mail Usage Security and Controls								-		-							3		2		2		3		2		12		250		2		125		2			2008
O		Communications Systems								-		-		(50502045121201)
A		VOIP Telephone System Management amp Security								-		-							3		2		3		3		3		14		250		3		83		3			2012
A		Video Surveillance System Man amp Security								-		-							3		2		2		3		3		13		250		2		125		3			2008
A		Radio System Management and Security								-		-							3		2		3		3		3		14		300		3		100		3
O		New Systems Development and Controls								-		-
A		IT Project Management Policies amp Procedures								-		-							2		2		2		2		3		11		400		2		200		2			2011
A		Post Implementation Review								-		-		Q Card review in 2010						2		2		2		2		2		10		200		2		100		2			2010
A		ERP Technical Controls								-		-							2		2		2		2		2		10		400		2		200		2			2010
O		Operating Systems (OS)								-		-
A		UNIX OS Review								-		-							2		3		3		2		3		13		500		3		167		3			2012
A		Windows OS Review								-		-							2		3		3		2		3		13		500		3		167		3			2014
A		Vmware Virtualization OS Review								-		-							2		3		3		2		3		13		500		3		167		3			2014
O		Adherence to Licensing Requirements								-		-
A		SAP Contract Compliance								-		-							2		2		2		2		3		11		200		2		100		2			2017
A		Oracle Contract Compliance								-		-							2		2		2		2		3		11		200		2		100		2			2017
A		Other Licenses								-		-							2		2		2		2		2		10		200		2		100		2			2017
O		Storage								-		-
A		Data Storage								-		-							3		3		3		2		3		14		600		4		150		3			2017
O		Rail IT								-		-
A		SCADA Systems								-		-							3		3		3		3		2		14		300		2		150		3			2011
A		Data Center Operations								-		-							3		3		3		3		2		14		300		2		150		3			2014
								-		-
O		OPS PUB SFTY amp CUST RDRSHP SERVS		1		2800			1405000					(1405000)		Includes MPD in FY1415
O		EVP Ops Pub SftyampCust Rdrshp Servs		1		1821			740000			768800		768800		28800		RC frmrly Best Practices			6		5		(1)		A		A		A		A		A		- 0
O		Director of Safety		1		2810 2812			180000			189445		189445		9445				1			(1)		A		A		A		A		A		- 0
A		Customer and Health Safety		1		2820283022432245			1309000			1248726		1248726		(60274)				12		11		(1)		3		3		2		2		2		12		300		3		100		2
A		Workplace and Environmental Safety		1		28402246			569000			642623		642623		73623		No budget in 2015			5		5		- 0		1		1		1		1		1		5		100		3		33		1
A		Drug amp Alcohol Program		1		2448			611000			630270		630270		19270		FTA area of interest			3		3		- 0		3		3		1		1		2		10		300		3		100		2			2010 2015CR
O		Risk Management			2240						-		-							A		A		A		A		A		- 0							2013
O		Director Risk Management			2241			161000			160688		160688		(312)				1				(1)		A		A		A		A		A		- 0
A		Claims			2242			1116000			1135035		1135035		19035		FEMA Reim Audit			12		13		1		2		2		1		2		2		9		150		3		50		2			2013
A		General Insurance			2244			3852000			3605884		3605884		(246116)				3		3		- 0		2		2		2		2		2		10		150		3		50		2			2003
A		Workers Compensation								-		-		Audited in 2014						2		2		2		1		2		9		150		3		50		2			2014
A		Owner Controlled Iinsurance Program (OCIP)								-		-		True-up in progress						3		3		2		3		2		13		400		3		133		3			20112017 (17-1005) Audit of OCIP
A		Training Design amp Delivery			2850 2247			585000			651220		651220		66220		New org in 2011			3		5		2		3		2		2		1		3		11		300		3		100		2
O		METRO POLICE		1		1900							-		Part of Safety in FY1415
O		Vice PresidentChief of Police		1		1910 0911			593000			569954		569954		(23046)				2		4		2		A		A		A		A		A		- 0
O		Management Services		1		1920 0912 0913			414000			374176		374176		(39824)				4		8		4		A		A		A		A		A		- 0
F		Special Funds - LEOSE amp Seized Property		1							-		-		STATE REQUIREMENT		30					3		1		1		1		2		8		200		1		200		2			2014
O		Police Field amp Rail Operations		1		1930						-		-							A		A		A		A		A		- 0
A		Field amp Rail Operations		1		0934 0966			13646000			15091874		15091874		1445874				144		150		6		3		2		2		3		2		12		300		5		60		2			1998 2007 2016 (16-1006) MPD Administrative Fees
A		System Security K-9 Unit		1		0936			841000			902038		902038		61038				8		8		- 0		3		2		1		2		2		10		200		5		40		2
A		Motorist Assistance Program		1		0964			(88000)			53190		53190		141190				8		7		(1)		3		2		1		1		1		8		200		5		40		2
A		HOV-Enforcements		1		0965			(447000)			383387		383387		830387				25		30		5		3		2		2		1		2		10		300		5		60		2			1998
O		Support Operations		1		1940						-		-							A		A		A		A		A		- 0							1998
A		Transtar amp Dispatch		1		0942 0943			1912000			2200654		2200654		288654				19		19		- 0		3		3		3		2		2		13		300		5		60		3
A		Support OperationsampAnti-Terrorism Grant		1		0932 0935			982000			1416066		1416066		434066				10		14		4		2		2		2		2		2		10		300		5		60		2
A		Investigations		1		0931			1080000			1435846		1435846		355846		Accident Investigations			11		13		2		3		2		2		2		2		11		300		5		60		2			1998 2007 2016 (16-1003) Bus Accident Investigations
A		Records		1		0952			301000			441900		441900		140900				6		6		- 0		2		2		2		1		1		8		300		5		60		2			1998
O		Homeland Security(Inactive budget in 0953)		1		1950						-		-							A		A		A		A		A		- 0
A		Police Homeland Security		1		0953						-		-		No pers In 2015			0			- 0		3		2		2		1		2		10		300		5		60		2
A		Security BOF(Auditable area no budget or pers)		1		0933						-		-		No Emp RC in 2013-15			0			- 0		3		3		3		1		3		13		400		2		200		3			2012 2015
A		Emergency Management(No budget or pers)		1		1960 1961						-		-		No Emp RC in 2012-15			0			- 0		3		2		2		1		2		10		300		3		100		2			2008 2009
S		Special Assistance by Audit - Investigations								-		-		Perform as needed						3		3		2		2		3		13		200		1		200		3			2010
O		CUSTOMER amp RIDERSHIP SERVICES			2530							-		New Dept FY14 (frm Ops)
A		RideStores			2538			696000			653907		653907		(42093)				9		12		3		3		2		3		2		2		12		300		3		100		2			2003 2006
A		Sales			2543			590000			593479		593479		3479		Include wRideStores			5		3		(2)		2		2		2		2		2		10		300		3		100		2
A		Customer Information Center (Customer Care)			2532			3627000			3489725		3489725		(137275)		Partial Audit wComplaints			62		57		(5)		3		2		3		3		2		13		300		3		100		3			2015
								-		-
O		OPERATIONS		1		1000			91154000		65611000			65611000		(25543000)		TotExp Excluding Fuel		338969
O		Senior VP amp Staff (inc Budget Operations(OMS))		1		0100 0011 0351			1850000			1469162		1469162		(380838)				7		12		5		A		A		A		A		A		- 0
A		HOT Lanes Operations		1		1500 1510 2185			8062000			8379468		8379468		317468		New to Ops FY14			1		1		- 0		3		3		2		2		3		13		300		3		100		3			2015
O		Revenue Collection		1		2290						-		-		New to Ser Del In 2011						A		A		A		A		A		- 0
A		Revenue Agents		1		2234			820000			887981		887981		67981		Cash Fare Collections			11		11		- 0		3		2		2		2		3		12		300		3		100		2			2009 2017 (17-1001) Cash Fare Collections
O		Bus Transportation (inc Sr Dir Trans GenampSer Logist)		1		0200003103610322			2775000			4874931		4874931		2099931		Moving Violations Audit			2		2		- 0													2011
A		Bus Operations		1		0220						-		-		Cust Training Audit			1597				3		2		3		3		2		13		600		2		300		3			2011
O		Fallbrook		1		011101120113			25050000			24306144		24306144		(743856)				349		349		- 0		A		A		A		A		A		- 0
O		Kashmere (Greenlink added in 2012)		1		0121012201230124			15750000			17065038		17065038		1315038				216		221		5		A		A		A		A		A		- 0
O		Polk		1		013101320133			27965000			27300859		27300859		(664141)				348		357		9		A		A		A		A		A		- 0
O		West		1		014101420143			32898000			33761527		33761527		863527				404		438		34		A		A		A		A		A		- 0
O		Hiram Clarke		1		0151015201530154			21554000			23379044		23379044		1825044				280		321		41		A		A		A		A		A		- 0
O		Northwest (Contract - see Fac Roll -up Code 1800)		1		0163			(3248000)				-		3248000				0			- 0		A		A		A		A		A		- 0							2012
A		Service Delivery		1		0500						-		-		On-Time Perf Review						2		2		3		2		2		11		300		5		60		2			2014
O		Dispatch		1		0301			1767000			1859803		1859803		92803				17		18		1		A		A		A		A		A		- 0
F		Operator Timekeeping System		1							-		-		Old legacy system						2		2		2		1		2		9		200		5		40		2			2005 UnC
A		Director of Serv Del And Street Supervisors		1		0051 0332			3423000			3594559		3594559		171559				30		35		5		3		2		2		3		2		12		300		3		100		2
A		New Service (Was Budget Services in 2011)		1		030003920393						-		-		No bdgt or pers in 2015			0			- 0		1		1		1		1		1		5		250		2		125		1
O		Transportation Programs		1		0400						-		-							A		A		A		A		A		- 0
A		METROLift amp Director of Trans Prog		1		0045 0041			56698000			58450171		58450171		1752171		FTA review in 2013			117		124		7		3		3		3		3		3		15		400		2		200		3			2006 2007
A		Special Events and Contract Services		1		0470048003710381			330000			322665		322665		(7335)				4		3		(1)		2		1		1		1		1		6		200		5		40		1
A		Rideshare		1		0460 2537			10995000				-		(10995000)				0			- 0		3		2		2		1		2		10		300		3		100		2
A		Regional Vanpool (0831 = Community Connector)		1		0460 2539 0831					12034574		12034574		12034574		Lmtd Rev compltd 2014			3		9		6		3		2		2		2		3		12		300		3		100		2			20122014
C		Contracted Services - Northwest BOF		1		08000811-150821-25			48485000			46163058		46163058		(2321942)		$47mil ann bdgt (NW)		$4mil for NW fuel					3		2		2		3		2		12		400		2		200		2			2012 2015CR
A		METRORail		1		0600													3		2		3		3		3		14		600		2		300		3			2008
O		Senior Director Rail		1		610 0061			234000			244607		244607		10607				2		3		1		A		A		A		A		A		- 0
O		Rail Transportation		1		620 621 622 623 626 627			12352000			12181636		12181636		(170364)		METRORail Cam Aud			149		175		26		A		A		A		A		A		- 0							2015
O		Rail Control Center		1		0651			3054000			3148729		3148729		94729				27		26		(1)		A		A		A		A		A		- 0
O		SampI Administration and Supervision		1		0624 0625			676000			690213		690213		14213		New in FY14			7		8		1		A		A		A		A		A		- 0
O		Rail Maintenance		1		0660-6606810691-93			17903000			18333174		18333174		430174		Includes traction power			134		146		12		A		A		A		A		A		- 0							2013
A		Preventive Maintenance (Bus)		1		1191 (Admin)			306000			323151		323151		17151		Bus Hub Rev FY13			2		2		- 0		3		2		3		3		2		13		300		1		300		3			20122013
O		Kashmere (Greenlink added in 2012)		1		1111-1118			11068000			10734424		10734424		(333576)		Greenlink added in 2012			70		73		3		A		A		A		A		A		- 0
O		Polk		1		1121112211231124			16713000			15617108		15617108		(1095892)				97		98		1		A		A		A		A		A		- 0							1993
O		West		1		1131113211331134			21994000			20796712		20796712		(1197288)				113		121		8		A		A		A		A		A		- 0
O		Hiram Clarke		1		11411142114311441145			14524000			13845519		13845519		(678481)				85		84		(1)		A		A		A		A		A		- 0
S		Northwest (Contract - see Fac Roll-up Code 1800)		1		1151115211531154			(120000)				-		120000							A		A		A		A		A		- 0							2002
O		Fallbrook		1		1161116211631164			16224000			14955860		14955860		(1268140)				79		93		14		A		A		A		A		A		- 0
O		Buffalo Bayou Maint (Under SuppVeh RC)		1		1171 1172 1173			1878000			678775		678775		(1199225)				17		21		4		A		A		A		A		A		- 0
A		Central Support amp Manufacturing		1		1020 1021			399000			404920		404920		5920				4		4		- 0		3		2		3		3		2		13		400		2		200		3
O		Body Shop		1		1023			2267000			2388704		2388704		121704				27		28		1		A		A		A		A		A		- 0							1996 2016 (16-1005) Audit of Paint Booths
O		Unit Overhaul		1		1024			1722000			1969444		1969444		247444				32		32		- 0		A		A		A		A		A		- 0							2001
	Unit Overhaul		1		1025			(244000)					244000							A		A		A		A		A		- 0
O		Heavy Repair		1		1022			1979000			2005634		2005634		26634				22		24		2		A		A		A		A		A		- 0
O		Brake Shop		1		1029						-		-		No FY15 PersonnelBdgt			0		0		- 0		A		A		A		A		A		- 0
O		Rebuild Warranty		1		1026			98000			97500		97500		(500)							A		A		A		A		A		- 0
O		Tire amp Battery Usage		1							-		-		SpecProjAs needed						A		A		A		A		A		- 0							20012010 2017 (17-1004) Bus Tires Inspection
A		Maintenance Support		1		1200						-		-		Increasingly Critical						3		2		3		3		2		13		300		3		100		3
O		Quality Assurance		1		1210 1311			882000			904988		904988		22988				8		9		1		A		A		A		A		A		- 0
O		Warranty		1		1240 1312			3612000			4475803		4475803		863803		FY2014 Audit			4		4		- 0		A		A		A		A		A		- 0							2014
O		Technical Services amp Advanced Technology		1		1220 1014 1036			412000			388743		388743		(23257)				2		3		1		A		A		A		A		A		- 0
O		Director Maintenance Support		1		1280 1381			408000			493025		493025		85025		Fuel Tanker Audit			10		11		1		A		A		A		A		A		- 0							2014
O		Electronic Maintenance (inc fare collampradio maint)		1		13012322331390			4564000			4760210		4760210		196210		Critical Activity			43		45		2		A		A		A		A		A		- 0							2013
O		Support Vehicle Maintenance (Inc Med Duty Bus)		1		1351135312501174			4333000			5234060		5234060		901060		Include wMaint Supp			25		26		1		A		A		A		A		A		- 0							2003 07CR
O		Support Vehicle		1		1354			416000			246395		246395		(169605)							A		A		A		A		A		- 0
	Maintenance General		1		1361			5213000			5744855		5744855		531855							A		A		A		A		A		- 0
O		Maintenance Training (MEAD)		1		17201321			377000				-		(377000)		No FY15 Bdgt Or Pers						A		A		A		A		A		- 0							1996
A		Transportation Training		1		1700 1710 0331			2085000			2186942		2186942		101942		New cust Svc Focus			16		18		2		3		2		1		2		2		10		120		5		24		2			1995
								-		-
O		PLANNING ENGINEERING CONST amp REAL EST		1		2180			113640000		90591000			90591000		(23049000)
O		SVP Capital Programs			2020 2021						-		-				0			- 0		A		A		A		A		A		- 0
O		Capital Projects		1		(2180)						-		-				22			(22)		A		A		A		A		A		- 0
A		Document Control		1		2151						-		-				0			- 0		3		2		2		1		2		10		210		3		70		2
A		Engineering Support Services		1		2161			93000			556421		556421		463421				13		9		(4)		3		2		1		1		2		9		210		3		70		2
A		Capital Projects		1		2181			(16000)			42086		42086		58086		$23mil non-rail Cap Bdgt			2		2		- 0		2		2		2		2		2		10		200		5		40		2
A		Bus Infrastructure		1		2182						-		-		No Emp RC FY12-15			0			- 0		2		2		2		1		2		9		200		5		40		2
A		Project Administration and Management		1		2183 2184			(113000)			(29074)		(29074)		83926		New in 2011			7		5		(2)		2		2		2		2		2		10		200		5		40		2
A		EngStandards Buff Bayou Mods		1		9A08 9A09						-		-		New in 2012						3		3		3		2		2		13		300		3		100		3
O		State of Good Repair			2150						-		-		New in 2012						A		A		A		A		A		- 0
A		State of Good Repair			2152						-		-		New in 2012						3		3		2		1		2		11		300		3		100		2
O		Rail Construction			2100 2110 2140						-		-		Consent Agmt Review			7			(7)		A		A		A		A		A		- 0							2014
A		University Corridor			2081						-		-				0			- 0		2		2		2		1		1		8		210		3		70		2
A		4 Light Rail Lines Expansion			2171			(150000)			(13171)		(13171)		136829		$173mil Cap Bdgt			7		6		(1)		3		2		2		2		2		11		210		3		70		2
O		METRO Rail Construction Non-Capital			2040						-		-							A		A		A		A		A		- 0
A		Cap Prog Coor amp Rpt (Inactive)			2433						-		-		New name FY15			0			- 0		3		2		2		1		2		10		210		3		70		2
O		METRO Rail Expansion Integration amp Control			2110 2070						-		-				8			(8)		A		A		A		A		A		- 0
A		Program Integration amp Controls			2111 2121			(134000)			(93508)		(93508)		40492		SrDir Reports to CAO			8		6		(2)		3		2		2		1		2		10		210		3		70		2
A		Rail Vehicles			2153						-		-		Waiver Request Rev						3		3		2		1		2		11		210		3		70		2			2014
O		PLANNING		1		2190				9858000			9858000		9858000		Structure modified in FY14
O		SVP Planning		1		2191			317000			319812		319812		2812		New in 2011			2		2		- 0		A		A		A		A		A		- 0
O		Planning amp Scheduling		1		2050						-		-				29			(29)		A		A		A		A		A		- 0
A		System Planning amp Development		1		2031			16483000			3783057		3783057		(12699943)				11		9		(2)		3		3		1		2		2		11		210		3		70		2
A		Service Planning amp Development		1		2052			1676000			1258682		1258682		(417318)		Alternative Ser Delivery			9		10		1		2		2		3		2		2		11		210		3		70		2			2012
A		System Reimagining		1		1811						-		-		Frmrly Best Practices No employees and project complete			2			(2)		3		3		3		2		3		14		210		3		70		3
A		Scheduling		1		0321			853000			884171		884171		31171				7		8		1		3		2		3		2		2		12		210		3		70		2
A		US 90A Rail Livable Centers ConsortUniv Line		1		9A06 9A07 9A11						-		-		U Line New in FY14						2		1		1		1		2		7		300		3		100		1
O		FACILITY MAINTENANCE		1		1300			15255000		507000			507000		(14748000)		Formerly part of CAO
A		Facility Maint Admin amp Contracts		1		131013411346			3979000			4023276		4023276		44276				13		12		(1)		3		2		2		2		2		11		400		3		133		2
O		Facility Maintenance Programs		1		1320						-		-							A		A		A		A		A		- 0
A		Facility Maint NW Buff Bay amp ProgOp		1		1335 13371342			1598000			1714566		1714566		116566				8		15		7		2		2		2		2		2		10		300		3		100		2
A		SuptFacility Maint		1		1338						-		-		New in 2012			0			- 0		2		2		1		1		2		8		200		5		40		2
A		Facility Maint Headquarters		1		1349			2873000			3033079		3033079		160079				8		7		(1)		2		2		2		2		2		10		300		5		60		2			2007
O		Public Facilities		1		1330						-		-							A		A		A		A		A		- 0
A		Public Facility amp Public Facility Admin		1		1339 1343			7612000			7670039		7670039		58039		Bus Shelter Audit			58		57		(1)		3		2		2		3		2		12		300		3		100		2			2011
A		Public Facility Rail			1348			4497000			4097093		4097093		(399907)				39		39		- 0		3		2		2		3		2		12		300		3		100		2
O		BOF Env Serv amp Proj Management		1		13401380						-		-							A		A		A		A		A		- 0
A		BOF Env Serv amp Proj Management		1		1331-3413361344-45			6945000			6666939		6666939		(278061)				40		34		(6)		3		2		2		3		2		12		300		3		100		2
A		Fac Maint Rail		1		1347			1928000			1754811		1754811		(173189)		Higher risk after rail expans			9		10		1		3		2		2		2		2		11		300		3		100		2
O		REAL ESTATE amp PROPERTY MANAGEMENT			2550								Formerly in Legal
A		Real Estate			2131			463000			435274		435274		(27726)		Appraisal Process Aud			5		1		(4)		3		3		2		2		3		13		300		3		100		3			2015
	Total		141			Total			178221000		593645668		771866668
					83997800000
	Note A - Assessed at the ActivityOrganization Level																	ANNUAL SCHEDULED HOURS							17415
	- Scheduled for 4th qtr of FY17																	STAFF REQUIREMENTS							109
	- Annual budget figures adjusted
	or estimated where appropriate				total		83997800000									3969
	to reflect organizational or				From PY		80538300000								Check Figure from Head Count Report		3969				EDP PORTION OF ABOVE								0
	operating changes				difference		3459500000									0				EDP STAFF REQURIEMENTS								00
																TOTAL UNSCHEDULED ANNUAL HOURS								0
																TOTAL SCHEDULED amp UNSCHEDULED								0
																STAFF REQUIREMENTS IF ALL
																AUDITS SCHEDULED								000

	Organizational Units		Auditable Units
	Executive amp Baord		1
	Legal		4

		13		14		15
		10		11		12
		7		8		9
		-		5		6

	Reconciliation of Risk Assessment Values reviewed Audit obtained the FY2017 Budget amounts from accounting and used these amount to prepare a risk assessment The following is a reconciliation of the amounts reviewed in the Risk Assessment
			Capital Budget Amount
		Risk Assessment Amount Reviewed		178221000
		Budget Amount		178221
		Difference		178042779
			Operating Budget
		Risk Assessment Amount Reviewed		593645668
		Budget Amount		568071000
		Difference		25574668
		Adjustments		2600806		Non-Departmental A
			2500000		Contingency - President amp CEO B
		Remaining Difference		30675474		rounding differences
	Notes
	A		The Non-Departmental amount from the budget was not included in the Risk Assessment as this amount was a contingency for the COLA adjustment expected to be approved during the 2017 Fiscal Year
	B		The Contingency - President amp CEO amount from the budget was not included in the Risk Assessment as the amount was an actual contingency for unknown or potential issues which might effect METRO during the 2017 fiscal year

																		KEY
	Risk Assessment as of JUNE 2017																		Audit Type (Internal Designations not Yellow Book)
																		F = Financial						O = ORGANIZATION
																		P = Performance						S = Special Project
																		C = Compliance						A = Activity
Audit				RESPONSIBILITY		Responsibility Code or Account (SAP - New Codes)		FY2016 Budget		FY2017 BUDGET (000 omitted)				Delta				STAFF SIZE			Delta		RISK ASSESSMENT							AUDIT BUDGET						LAST YEAR
Type		ORGANIZATIONAL UNIT ACTIVITY OR			CODE OR								OTHER CONSIDERATIONS						1		2		3		4		5		Total		Estimated Hours		FRQ		ANNUAL HOURS		RISK			AUDITED
Code		PROJECT DESCRIPTION			ACCOUNT (ORACLE)			Total		CAPITAL		OPERATING		TOTAL		(Less) More		DESCRIPTION		VALUE (000)		FY16 (Actual)		FY17 (Actual)		(Less) More			Control Environment		Technology		Size		Organization				YRS					( Partial)
O		EXECUTIVE amp BOARD		1		2300 2320				3028000			3028000		3028000		Cap Is Unallocated Cap
O		President amp Chief Executive OfficerBoard			2310 11 12 13 21			1901000			2124896		2124896		223896				8		7		(1)		A		A		A		A		A		- 0
S		Board Service Requests								-		-		highest priority						3		3		3		1		3		13		150		1		150		3
S		President amp Chief Executive Officer Requests								-		-		highest priority						3		3		3		1		3		13		150		1		150		3
S		Office of Executive Vice PresidentStrategic Partnering			2011						-		-				0				2		1		1		1		1		6		200		5		40		1
A		Press Office			2371			641000			858422		858422		217422		Social Media Issues			5		8		3		3		3		3		1		1		11		200		5		40		2
A		Office of Innovation			2511					631181		631181		631181					3		3		A		A		A		A		A		- 0
O		GOVERNMENT amp PUBLIC AFFAIRS			2520							-				38
A		Government Affairs			2352			667000			380831		380831		(286169)		Form Part of ExecBoard			4		3		(1)		3		2		2		2		1		10		400		3		133		2
O		CORPORATE COMMUNICATIONS amp MARKETING			2580							-		Formerly part of CAO			22
A		Print Shop and Admin Services			2431 2432			1944000			1960212		1960212		16212				8		10		2		2		1		1		2		2		8		200		5		40		2			1988
A		Media amp Corporate Communications			2581			500000			521510		521510		21510				4		3		(1)		3		1		1		1		1		7		100		5		20		1
A		Marketing			2531			4716000			5440929		5440929		724929				10		12		2		2		1		2		2		1		8		300		5		60		2
O		Public Engagement			2010						-		-		Formerly part of Planning			6			(6)
A		Community Outreach			2521			682000			866624		866624		184624		Involves Rail Expansion			6		26		20		3		2		1		2		2		10		200		5		40		2
A		Interagency Dir Of Pub Engagement			25222523						-		-		Form Part of Planning		No bdgtpers		0			- 0		1		1		1		1		1		5		200		5		40		1
O		Stakeholder Affairs			2060						-		-		Formerly part of Planning			6			(6)		A		A		A		A		A		- 0
A		Stakeholder Affairs			20122524			450000			534409		534409		84409		Form Part of Cap Prog			6			(6)		3		2		1		1		2		9		210		3		70		2			2011
								-		-
A		LEGALSTAFF COUNSELCORPORATE DEVELOPMENT			2350 51			3505000			3955580		3955580		450580				17		15			3		1		1		2		1		8		200		5		40		2
F		Legal Fees		1							-		-							2		1		1		1		1		6		200		5		40		1			2008
S		Attorney Work Requests		1							-		-							3		3		2		1		1		10		200		5		40		2
S		Special Assistance		1							-		-							3		3		2		1		1		10		200		5		40		2
A		Records Management		1		2013			304000			230439		230439		(73561)		Formerly in EEOCompDiv			3		2		(1)		3		3		2		1		2		11		300		3		100		2
								-		-
O		AUDIT			2330 2331			1505000			1534340		1534340		29340				11		11
A		Internal Quality Assurance Review		1							-		-													200		1		200				ON-GOING
A		External Quality Assurance Review		1							-		-		Yellow Book Req												100		3		33				2014
A		External Auditor Assistance								-		-													50		1		50		1			ON-GOING
C		Follow-UpCompliance Reviews								-		-													450		1		450				ON-GOING
A		Application Systems Audit Support								-		-													200		1		200		2			ON-GOING
C		Capital Projects QAQC Programs			Contract Oversight						-		-		FTA REQUIREMENT						3		2		2		1		2		10		200		1		200		2			ON-GOING
P		Review of Performance Measures								-		-							2		2		1		1		1		7		1000		5		200		1			2006
C		State Audit Compliance Review		1							-		-							3		3		3		1		3		13		200		1		200		3			2009 2016(16-1001) Statutory Compliance
C		FTA Audit Compliance Reviews		1							-		-							3		3		3		1		3		13		200		1		200		3			ON-GOING
								-		-
O		FINANCE amp ADMINISTRATION (Frmrly CAO)		1		2500 1610			313000				-		(313000)		AmtsEmps exclude IT
O		EVP Finance amp Administration		1		1611			822000			624447		624447		(197553)				2		3		1		A		A		A		A		A		- 0
O		FINANCE DEPARTMENT		1		2200						-		-
O		Vice PresidentChief Financial Officer			2210 2211			10000			718916		718916		708916				0		2		2		A		A		A		A		A		- 0
O		AccountingController			2220 2221			3250000			3740872		3740872		490872				28		28		- 0		A		A		A		A		A		- 0
O		General Accounting								-		-							A		A		A		A		A		- 0
F		General Ledger								-		-							3		2		3		2		2		12		300		3		100		2			2001
F		Accounts Receivable								-		-							3		2		3		2		2		12		300		3		100		2			2004
O		Grants Accounting (Audit with Grants Admin)								-		-							A		A		A		A		A		- 0							2004
O		Accounting								-		-							A		A		A		A		A		- 0
F		Fixed Assets								-		-		Net Cap Assets (Proj)		3200000					3		2		3		2		2		12		300		3		100		2			200307CR
F		Payroll								-		-		LaborBnfts (Budget)		301554					2		3		3		2		2		12		300		3		100		2			1998 2007
A		Payroll Payment Verification (ghost emps)								-		-		Payroll Ver Aud FY14						2		2		2		2		2		10		200		5		40		2			20032014
A		Accounts Payable								-		-		PAYMENTS (20101010)						3		2		3		2		2		12		300		3		100		2			2007 (CR)
F		Travel Expenses								-		-		(5090201-4)						2		1		1		1		2		7		200		5		40		1			1988
C		External Audit Mgt Ltr Compliance								-		-		Priority as required						3		3		3		1		3		13		100		1		100		3			2012
F		Audit Fees								-		-		(5030302)						2		1		1		1		1		6		80		5		16		1
F		Cost Allocation Plan								-		-							2		2		1		1		1		7		250		5		50		1			2005
O		Treasury Services			2230						-		-		Includes RevSrv			33			(33)		A		A		A		A		A		- 0
O		Director Treasury Services			2231						-		-				6			(6)		A		A		A		A		A		- 0
A		Financial Planning amp Investments								-		-		Investments (2014)		415021					3		3		2		3		3		14		200		2		100		3			2010 2016 (16-1004) Financial Planning amp Investments
O		Treasury Office Operations								-		-							A		A		A		A		A		- 0							2000
F		Sales Tax Revenue(audit with Distributions)								-		-		Sales Tax (Projected)		706241					3		2		2		3		2		12		200		2		100		2			2009
F		Sales Tax Revenue Distributions								-		-		Distributions(est Gen Mob)		173019					3		2		2		3		2		12		100		2		50		2			2009
F		Other Revenues								-		-		Projected FY2015		$108 mil					3		2		1		2		2		10		90		3		30		2
F		Petty Cash								-		-		Disbursements						3		1		1		1		3		9		90		3		30		2			2002
F		Pension Funds (Audited by outside auditors)								-		-		Funds						2		1		2		1		1		7		300		5		60		1			1995
A		Revenue Services		1		2212						-		-		Under OMB Mgmt						3		3		3		2		3		14		300		3		100		3
A		Ticket amp Fare Collection		1		2232			3514000			3037608		3037608		(476392)				27		26		(1)		3		3		3		2		3		14		300		2		150		3			2001 2009
A		Revenue Management		1		2235						-		-		Include wFare Collection						2		2		3		2		2		11		300		3		100		2
A		Grants (Includes Grant Accounting)		1		2250 2353			536000			528174		528174		(7826)		GRANTS INCOME(Bdgt)		196386		4		4		- 0		3		2		3		3		3		14		300		3		100		3			2010 2013
A		New Freedom JARC		1		9A03 9A04						-		-		New 2012 Inc wGrants						A		A		A		A		A		- 0
O		Office of Management amp Budget		1		2260						-		-		low audit priority			10			(10)		A		A		A		A		A		- 0
A		Office of Management amp Budget		1		2361			1887000			2267912		2267912		380912				10		14		4		2		1		2		2		2		9		150		5		30		2
O		PROCUREMENT amp MATERIALS			2460							-		ProcampMat Only(exSBE)
A		Procurement			2422			3661000			3689787		3689787		28787		IT ProcampHRT Auds 14			32		34		2		3		2		2		3		2		12		400		2		200		2			20092014
F		Purchase Card Activity								-		-		Recent Pcard Purch Range		$32 milyr					3		3		1		3		2		12		300		2		150		2			20072017 (17-1003) Purchasing Cards and Small Purchases
A		HGACState of Texas Purchasing Programs								-		-							2		1		2		1		1		7		200		5		40		1
F		Fuel Purchasing Program					31773000			27468028		3207448		385448		DieselampGas Bdgt-Requests for Board Action has a modification for fuel in the amount 28510000 and 4127000		38735					3		3		2		3		2		13		200		2		100		3			20062012
C		Davis Bacon Compliance								-		-		Fewer Cap Projects						3		2		3		1		3		12		300		3		100		2			2010
O		Materials amp Distribution			2423			5695000			6056753		6056753		361753				75		77		2		A		A		A		A		A		- 0
F		Inventory Management and Control								-		-		MampS Expense (Projected)		21651					2		1		3		3		2		11		300		2		150		2			1987 2016(16-1002) FY2016 Spare Parts Inventory 2017 (17-1002) Maintenance Parts Inventory
F		Fuel amp Lubricant Controls					2822000			3207448		27468028		(4304972)		Diesel Budget		36601					3		2		2		2		2		11		500		2		250		2			20082012
F		Annual Physical and Cyclical Inventories								-		-		FY2014 Inv Balance		24250					3		2		3		3		2		13		450		1		450		3			2014
A		Property Services								-		-		Asset Disposals						2		1		2		2		3		10		400		3		133		2			2007 2015
O		SMALL BUSINESS			2340							-		Frmrly in Business Serv
A		SBEDBE			2341			823000			834530		834530		11530				7		6		(1)		3		2		2		2		2		11		300		3		100		2			2017 (17-1006) DBE Compliance
O		HUMAN RESOURCES		1		2400							-		Part of FinampAdmin
O		Vice President Human Resources			2410						-		-							A		A		A		A		A		- 0
O		VP Human Resources			2411			628000			636954		636954		8954				2		2		- 0		A		A		A		A		A		- 0
A		Compensation			2444			491000			495980		495980		4980				4		4		- 0		3		1		3		1		1		9		100		5		20		2
O		Human Resources Operations			2430						-		-							A		A		A		A		A		- 0
O		Staffing			2442			1229000			1385642		1385642		156642		Backgrnd Inv Review			12		11		(1)		A		A		A		A		A		- 0							2015
A		Contract and Temporary Labor								-		-							2		2		2		2		1		9		150		3		50		2			200305CR
C		Recruitment Incentive Programs								-		-							3		2		2		2		2		11		150		3		50		2
O		Labor Relations			2440						-		-		Formerly part of Serv Del						A		A		A		A		A		- 0
A		Labor Relations			2461			428000			426121		426121		(1879)				4		4		- 0		3		1		2		2		1		9		150		3		50		2
O		Human Capital Management and Personnel Services			2470						-		-							A		A		A		A		A		- 0
A		HCM and Personnel Services			2441			434000			451356		451356		17356				5		5		- 0		2		3		2		3		2		12		200		3		67		2
O		Benefits Wellness amp Compensation		1		24502421			55000			75576		75576		20576		Supp Ins Dep Review				3		3		A		A		A		A		A		- 0							2014
A		Wellness Programs		1		2446			289000			270346		270346		(18654)				2		2		- 0		3		3		2		3		2		13		200		1		200		3
A		Benefits and Pensions		1		2443			1282000			1283645		1283645		1645		HIPAA Audit			6		7		1		3		3		2		2		3		13		200		2		100		3			2015
A		Union Benefit Trust		1							-		-		Contributions (2014)		13692					A		A		A		A		A		- 0
A		Non-Union Pension		1							-		-		Contributions (2014)		8967					A		A		A		A		A		- 0							2008
A		Non-Union Health Insurance		1							-		-		Cost of Plans (2014)		9478					A		A		A		A		A		- 0
A		Life Insurance		1							-		-							A		A		A		A		A		- 0
A		Retirees (include wBenefits and Pensions)		1		2412			13411000			15177705		15177705		1766705							A		A		A		A		A		- 0
O		EEO COMPLIANCE AND DIVERSITY		1		2480							-		Part of HR in 2015
O		VP EEO Compliance amp Diversity		1		2014							-		Dir Level in 2015 no VP						A		A		A		A		A		- 0
O		COMPLIANCE EEO EMPLOYEE RELATIONS		1		2560							-		New org structure in 2011
A		EEO and Employee Relations		1		2445			719000			761821		761821		42821				5		4		(1)		2		2		2		2		1		9		150		3		50		2
A		EEO		1		2449			453000			508580		508580		55580				2		4		2		1		1		1		1		1		5		150		5		30		1
								-		-
O		INFORMATION TECHNOLOGY			2280 2451			44507000		8626000		21515539		30141539		(14365461)		Part of FinampAdmin				66		66
O		Disaster Recovery amp Business Continuity								-		-
A		Data Access Security								-		-							2		2		1		3		2		10		300		3		100		2			2008
A		Disaster Recovery Observation								-		-							3		3		3		3		3		15		300		1		300		3			2017
A		Business Recovery Planning								-		-							2		2		2		3		3		12		300		3		100		2			2017
A		Data Center Operations								-		-							2		3		2		3		2		12		200		3		67		2			2009
O		Databases								-		-
A		Data Base Administration								-		-							2		3		3		3		3		14		400		3		133		3			2016
O		Network Management								-		-
A		Firewall Admin amp Controls								-		-							3		3		2		3		2		13		260		2		130		3			2016
A		Incident Intrusion and Emergency Response								-		-							3		3		2		3		2		13		260		2		130		3			2007
A		Wireless Network Security								-		-							3		3		2		3		2		13		260		2		130		3			2007
O		Department Administrative Functions								-		-
A		Help Desk Operations								-		-							2		2		2		2		2		10		300		3		100		2			2009
A		Computer Equipment Disposal Practices								-		-							2		2		2		2		2		10		300		3		100		2			2016
A		HardwareSoftware Standards								-		-							2		2		1		2		2		9		200		3		67		2			2009
A		Remote Access Policies and Security								-		-							2		2		2		2		2		10		150		3		50		2			2009
O		Applications Systems								-		-
A		Enterprise Systems Migration amp Chg Controls								-		-							3		2		3		2		2		12		400		3		133		2			2007
A		Security and Controls								-		-							3		2		3		2		2		12		300		2		150		2			2007
A		SAP Application Maintenance								-		-							3		3		3		2		3		14		300		3		100		3
O		Internet Access Use Controls amp Security								-		-
A		Web Site Management								-		-							3		2		3		2		2		12		250		2		125		2			2010
A		E-business Administration and Controls								-		-							3		2		2		3		2		12		250		2		125		2
A		E-mail Usage Security and Controls								-		-							3		2		2		3		2		12		250		2		125		2			2008
O		Communications Systems								-		-		(50502045121201)
A		VOIP Telephone System Management amp Security								-		-							3		2		3		3		3		14		250		3		83		3			2012
A		Video Surveillance System Man amp Security								-		-							3		2		2		3		3		13		250		2		125		3			2008
A		Radio System Management and Security								-		-							3		2		3		3		3		14		300		3		100		3
O		New Systems Development and Controls								-		-
A		IT Project Management Policies amp Procedures								-		-							2		2		2		2		3		11		400		2		200		2			2011
A		Post Implementation Review								-		-		Q Card review in 2010						2		2		2		2		2		10		200		2		100		2			2010
A		ERP Technical Controls								-		-							2		2		2		2		2		10		400		2		200		2			2010
O		Operating Systems (OS)								-		-
A		UNIX OS Review								-		-							2		3		3		2		3		13		500		3		167		3			2012
A		Windows OS Review								-		-							2		3		3		2		3		13		500		3		167		3			2014
A		Vmware Virtualization OS Review								-		-							2		3		3		2		3		13		500		3		167		3			2014
O		Adherence to Licensing Requirements								-		-
A		SAP Contract Compliance								-		-							2		2		2		2		3		11		200		2		100		2			2017
A		Oracle Contract Compliance								-		-							2		2		2		2		3		11		200		2		100		2			2017
A		Other Licenses								-		-							2		2		2		2		2		10		200		2		100		2			2017
O		Storage								-		-
A		Data Storage								-		-							3		3		3		2		3		14		600		4		150		3			2017
O		Rail IT								-		-
A		SCADA Systems								-		-							3		3		3		3		2		14		300		2		150		3			2011
A		Data Center Operations								-		-							3		3		3		3		2		14		300		2		150		3			2014
								-		-
O		OPS PUB SFTY amp CUST RDRSHP SERVS		1		2800			1405000					(1405000)		Includes MPD in FY1415
O		EVP Ops Pub SftyampCust Rdrshp Servs		1		1821			740000			768800		768800		28800		RC frmrly Best Practices			6		5		(1)		A		A		A		A		A		- 0
O		Director of Safety		1		2810 2812			180000			189445		189445		9445				1			(1)		A		A		A		A		A		- 0
A		Customer and Health Safety		1		2820283022432245			1309000			1248726		1248726		(60274)				12		11		(1)		3		3		2		2		2		12		300		3		100		2
A		Workplace and Environmental Safety		1		28402246			569000			642623		642623		73623		No budget in 2015			5		5		- 0		1		1		1		1		1		5		100		3		33		1
A		Drug amp Alcohol Program		1		2448			611000			630270		630270		19270		FTA area of interest			3		3		- 0		3		3		1		1		2		10		300		3		100		2			2010 2015CR
O		Risk Management			2240						-		-							A		A		A		A		A		- 0							2013
O		Director Risk Management			2241			161000			160688		160688		(312)				1				(1)		A		A		A		A		A		- 0
A		Claims			2242			1116000			1135035		1135035		19035		FEMA Reim Audit			12		13		1		2		2		1		2		2		9		150		3		50		2			2013
A		General Insurance			2244			3852000			3605884		3605884		(246116)				3		3		- 0		2		2		2		2		2		10		150		3		50		2			2003
A		Workers Compensation								-		-		Audited in 2014						2		2		2		1		2		9		150		3		50		2			2014
A		Owner Controlled Iinsurance Program (OCIP)								-		-		True-up in progress						3		3		2		3		2		13		400		3		133		3			20112017 (17-1005) Audit of OCIP
A		Training Design amp Delivery			2850 2247			585000			651220		651220		66220		New org in 2011			3		5		2		3		2		2		1		3		11		300		3		100		2
O		METRO POLICE		1		1900							-		Part of Safety in FY1415
O		Vice PresidentChief of Police		1		1910 0911			593000			569954		569954		(23046)				2		4		2		A		A		A		A		A		- 0
O		Management Services		1		1920 0912 0913			414000			374176		374176		(39824)				4		8		4		A		A		A		A		A		- 0
F		Special Funds - LEOSE amp Seized Property		1							-		-		STATE REQUIREMENT		30					3		1		1		1		2		8		200		1		200		2			2014
O		Police Field amp Rail Operations		1		1930						-		-							A		A		A		A		A		- 0
A		Field amp Rail Operations		1		0934 0966			13646000			15091874		15091874		1445874				144		150		6		3		2		2		3		2		12		300		5		60		2			1998 2007 2016 (16-1006) MPD Administrative Fees
A		System Security K-9 Unit		1		0936			841000			902038		902038		61038				8		8		- 0		3		2		1		2		2		10		200		5		40		2
A		Motorist Assistance Program		1		0964			(88000)			53190		53190		141190				8		7		(1)		3		2		1		1		1		8		200		5		40		2
A		HOV-Enforcements		1		0965			(447000)			383387		383387		830387				25		30		5		3		2		2		1		2		10		300		5		60		2			1998
O		Support Operations		1		1940						-		-							A		A		A		A		A		- 0							1998
A		Transtar amp Dispatch		1		0942 0943			1912000			2200654		2200654		288654				19		19		- 0		3		3		3		2		2		13		300		5		60		3
A		Support OperationsampAnti-Terrorism Grant		1		0932 0935			982000			1416066		1416066		434066				10		14		4		2		2		2		2		2		10		300		5		60		2
A		Investigations		1		0931			1080000			1435846		1435846		355846		Accident Investigations			11		13		2		3		2		2		2		2		11		300		5		60		2			1998 2007 2016 (16-1003) Bus Accident Investigations
A		Records		1		0952			301000			441900		441900		140900				6		6		- 0		2		2		2		1		1		8		300		5		60		2			1998
O		Homeland Security(Inactive budget in 0953)		1		1950						-		-							A		A		A		A		A		- 0
A		Police Homeland Security		1		0953						-		-		No pers In 2015			0			- 0		3		2		2		1		2		10		300		5		60		2
A		Security BOF(Auditable area no budget or pers)		1		0933						-		-		No Emp RC in 2013-15			0			- 0		3		3		3		1		3		13		400		2		200		3			2012 2015
A		Emergency Management(No budget or pers)		1		1960 1961						-		-		No Emp RC in 2012-15			0			- 0		3		2		2		1		2		10		300		3		100		2			2008 2009
S		Special Assistance by Audit - Investigations								-		-		Perform as needed						3		3		2		2		3		13		200		1		200		3			2010
O		CUSTOMER amp RIDERSHIP SERVICES			2530							-		New Dept FY14 (frm Ops)
A		RideStores			2538			696000			653907		653907		(42093)				9		12		3		3		2		3		2		2		12		300		3		100		2			2003 2006
A		Sales			2543			590000			593479		593479		3479		Include wRideStores			5		3		(2)		2		2		2		2		2		10		300		3		100		2
A		Customer Information Center (Customer Care)			2532			3627000			3489725		3489725		(137275)		Partial Audit wComplaints			62		57		(5)		3		2		3		3		2		13		300		3		100		3			2015
								-		-
O		OPERATIONS		1		1000			91154000		65611000			65611000		(25543000)		TotExp Excluding Fuel		338969
O		Senior VP amp Staff (inc Budget Operations(OMS))		1		0100 0011 0351			1850000			1469162		1469162		(380838)				7		12		5		A		A		A		A		A		- 0
A		HOT Lanes Operations		1		1500 1510 2185			8062000			8379468		8379468		317468		New to Ops FY14			1		1		- 0		3		3		2		2		3		13		300		3		100		3			2015
O		Revenue Collection		1		2290						-		-		New to Ser Del In 2011						A		A		A		A		A		- 0
A		Revenue Agents		1		2234			820000			887981		887981		67981		Cash Fare Collections			11		11		- 0		3		2		2		2		3		12		300		3		100		2			2009 2017 (17-1001) Cash Fare Collections
O		Bus Transportation (inc Sr Dir Trans GenampSer Logist)		1		0200003103610322			2775000			4874931		4874931		2099931		Moving Violations Audit			2		2		- 0													2011
A		Bus Operations		1		0220						-		-		Cust Training Audit			1597				3		2		3		3		2		13		600		2		300		3			2011
O		Fallbrook		1		011101120113			25050000			24306144		24306144		(743856)				349		349		- 0		A		A		A		A		A		- 0
O		Kashmere (Greenlink added in 2012)		1		0121012201230124			15750000			17065038		17065038		1315038				216		221		5		A		A		A		A		A		- 0
O		Polk		1		013101320133			27965000			27300859		27300859		(664141)				348		357		9		A		A		A		A		A		- 0
O		West		1		014101420143			32898000			33761527		33761527		863527				404		438		34		A		A		A		A		A		- 0
O		Hiram Clarke		1		0151015201530154			21554000			23379044		23379044		1825044				280		321		41		A		A		A		A		A		- 0
O		Northwest (Contract - see Fac Roll -up Code 1800)		1		0163			(3248000)				-		3248000				0			- 0		A		A		A		A		A		- 0							2012
A		Service Delivery		1		0500						-		-		On-Time Perf Review						2		2		3		2		2		11		300		5		60		2			2014
O		Dispatch		1		0301			1767000			1859803		1859803		92803				17		18		1		A		A		A		A		A		- 0
F		Operator Timekeeping System		1							-		-		Old legacy system						2		2		2		1		2		9		200		5		40		2			2005 UnC
A		Director of Serv Del And Street Supervisors		1		0051 0332			3423000			3594559		3594559		171559				30		35		5		3		2		2		3		2		12		300		3		100		2
A		New Service (Was Budget Services in 2011)		1		030003920393						-		-		No bdgt or pers in 2015			0			- 0		1		1		1		1		1		5		250		2		125		1
O		Transportation Programs		1		0400						-		-							A		A		A		A		A		- 0
A		METROLift amp Director of Trans Prog		1		0045 0041			56698000			58450171		58450171		1752171		FTA review in 2013			117		124		7		3		3		3		3		3		15		400		2		200		3			2006 2007
A		Special Events and Contract Services		1		0470048003710381			330000			322665		322665		(7335)				4		3		(1)		2		1		1		1		1		6		200		5		40		1
A		Rideshare		1		0460 2537			10995000				-		(10995000)				0			- 0		3		2		2		1		2		10		300		3		100		2
A		Regional Vanpool (0831 = Community Connector)		1		0460 2539 0831					12034574		12034574		12034574		Lmtd Rev compltd 2014			3		9		6		3		2		2		2		3		12		300		3		100		2			20122014
C		Contracted Services - Northwest BOF		1		08000811-150821-25			48485000			46163058		46163058		(2321942)		$47mil ann bdgt (NW)		$4mil for NW fuel					3		2		2		3		2		12		400		2		200		2			2012 2015CR
A		METRORail		1		0600													3		2		3		3		3		14		600		2		300		3			2008
O		Senior Director Rail		1		610 0061			234000			244607		244607		10607				2		3		1		A		A		A		A		A		- 0
O		Rail Transportation		1		620 621 622 623 626 627			12352000			12181636		12181636		(170364)		METRORail Cam Aud			149		175		26		A		A		A		A		A		- 0							2015
O		Rail Control Center		1		0651			3054000			3148729		3148729		94729				27		26		(1)		A		A		A		A		A		- 0
O		SampI Administration and Supervision		1		0624 0625			676000			690213		690213		14213		New in FY14			7		8		1		A		A		A		A		A		- 0
O		Rail Maintenance		1		0660-6606810691-93			17903000			18333174		18333174		430174		Includes traction power			134		146		12		A		A		A		A		A		- 0							2013
A		Preventive Maintenance (Bus)		1		1191 (Admin)			306000			323151		323151		17151		Bus Hub Rev FY13			2		2		- 0		3		2		3		3		2		13		300		1		300		3			20122013
O		Kashmere (Greenlink added in 2012)		1		1111-1118			11068000			10734424		10734424		(333576)		Greenlink added in 2012			70		73		3		A		A		A		A		A		- 0
O		Polk		1		1121112211231124			16713000			15617108		15617108		(1095892)				97		98		1		A		A		A		A		A		- 0							1993
O		West		1		1131113211331134			21994000			20796712		20796712		(1197288)				113		121		8		A		A		A		A		A		- 0
O		Hiram Clarke		1		11411142114311441145			14524000			13845519		13845519		(678481)				85		84		(1)		A		A		A		A		A		- 0
S		Northwest (Contract - see Fac Roll-up Code 1800)		1		1151115211531154			(120000)				-		120000							A		A		A		A		A		- 0							2002
O		Fallbrook		1		1161116211631164			16224000			14955860		14955860		(1268140)				79		93		14		A		A		A		A		A		- 0
O		Buffalo Bayou Maint (Under SuppVeh RC)		1		1171 1172 1173			1878000			678775		678775		(1199225)				17		21		4		A		A		A		A		A		- 0
A		Central Support amp Manufacturing		1		1020 1021			399000			404920		404920		5920				4		4		- 0		3		2		3		3		2		13		400		2		200		3
O		Body Shop		1		1023			2267000			2388704		2388704		121704				27		28		1		A		A		A		A		A		- 0							1996 2016 (16-1005) Audit of Paint Booths
O		Unit Overhaul		1		1024			1722000			1969444		1969444		247444				32		32		- 0		A		A		A		A		A		- 0							2001
	Unit Overhaul		1		1025			(244000)					244000							A		A		A		A		A		- 0
O		Heavy Repair		1		1022			1979000			2005634		2005634		26634				22		24		2		A		A		A		A		A		- 0
O		Brake Shop		1		1029						-		-		No FY15 PersonnelBdgt			0		0		- 0		A		A		A		A		A		- 0
O		Rebuild Warranty		1		1026			98000			97500		97500		(500)							A		A		A		A		A		- 0
O		Tire amp Battery Usage		1							-		-		SpecProjAs needed						A		A		A		A		A		- 0							20012010 2017 (17-1004) Bus Tires Inspection
A		Maintenance Support		1		1200						-		-		Increasingly Critical						3		2		3		3		2		13		300		3		100		3
O		Quality Assurance		1		1210 1311			882000			904988		904988		22988				8		9		1		A		A		A		A		A		- 0
O		Warranty		1		1240 1312			3612000			4475803		4475803		863803		FY2014 Audit			4		4		- 0		A		A		A		A		A		- 0							2014
O		Technical Services amp Advanced Technology		1		1220 1014 1036			412000			388743		388743		(23257)				2		3		1		A		A		A		A		A		- 0
O		Director Maintenance Support		1		1280 1381			408000			493025		493025		85025		Fuel Tanker Audit			10		11		1		A		A		A		A		A		- 0							2014
O		Electronic Maintenance (inc fare collampradio maint)		1		13012322331390			4564000			4760210		4760210		196210		Critical Activity			43		45		2		A		A		A		A		A		- 0							2013
O		Support Vehicle Maintenance (Inc Med Duty Bus)		1		1351135312501174			4333000			5234060		5234060		901060		Include wMaint Supp			25		26		1		A		A		A		A		A		- 0							2003 07CR
O		Support Vehicle		1		1354			416000			246395		246395		(169605)							A		A		A		A		A		- 0
	Maintenance General		1		1361			5213000			5744855		5744855		531855							A		A		A		A		A		- 0
O		Maintenance Training (MEAD)		1		17201321			377000				-		(377000)		No FY15 Bdgt Or Pers						A		A		A		A		A		- 0							1996
A		Transportation Training		1		1700 1710 0331			2085000			2186942		2186942		101942		New cust Svc Focus			16		18		2		3		2		1		2		2		10		120		5		24		2			1995
								-		-
O		PLANNING ENGINEERING CONST amp REAL EST		1		2180			113640000		90591000			90591000		(23049000)
O		SVP Capital Programs			2020 2021						-		-				0			- 0		A		A		A		A		A		- 0
O		Capital Projects		1		(2180)						-		-				22			(22)		A		A		A		A		A		- 0
A		Document Control		1		2151						-		-				0			- 0		3		2		2		1		2		10		210		3		70		2
A		Engineering Support Services		1		2161			93000			556421		556421		463421				13		9		(4)		3		2		1		1		2		9		210		3		70		2
A		Capital Projects		1		2181			(16000)			42086		42086		58086		$23mil non-rail Cap Bdgt			2		2		- 0		2		2		2		2		2		10		200		5		40		2
A		Bus Infrastructure		1		2182						-		-		No Emp RC FY12-15			0			- 0		2		2		2		1		2		9		200		5		40		2
A		Project Administration and Management		1		2183 2184			(113000)			(29074)		(29074)		83926		New in 2011			7		5		(2)		2		2		2		2		2		10		200		5		40		2
A		EngStandards Buff Bayou Mods		1		9A08 9A09						-		-		New in 2012						3		3		3		2		2		13		300		3		100		3
O		State of Good Repair			2150						-		-		New in 2012						A		A		A		A		A		- 0
A		State of Good Repair			2152						-		-		New in 2012						3		3		2		1		2		11		300		3		100		2
O		Rail Construction			2100 2110 2140						-		-		Consent Agmt Review			7			(7)		A		A		A		A		A		- 0							2014
A		University Corridor			2081						-		-				0			- 0		2		2		2		1		1		8		210		3		70		2
A		4 Light Rail Lines Expansion			2171			(150000)			(13171)		(13171)		136829		$173mil Cap Bdgt			7		6		(1)		3		2		2		2		2		11		210		3		70		2
O		METRO Rail Construction Non-Capital			2040						-		-							A		A		A		A		A		- 0
A		Cap Prog Coor amp Rpt (Inactive)			2433						-		-		New name FY15			0			- 0		3		2		2		1		2		10		210		3		70		2
O		METRO Rail Expansion Integration amp Control			2110 2070						-		-				8			(8)		A		A		A		A		A		- 0
A		Program Integration amp Controls			2111 2121			(134000)			(93508)		(93508)		40492		SrDir Reports to CAO			8		6		(2)		3		2		2		1		2		10		210		3		70		2
A		Rail Vehicles			2153						-		-		Waiver Request Rev						3		3		2		1		2		11		210		3		70		2			2014
O		PLANNING		1		2190				9858000			9858000		9858000		Structure modified in FY14
O		SVP Planning		1		2191			317000			319812		319812		2812		New in 2011			2		2		- 0		A		A		A		A		A		- 0
O		Planning amp Scheduling		1		2050						-		-				29			(29)		A		A		A		A		A		- 0
A		System Planning amp Development		1		2031			16483000			3783057		3783057		(12699943)				11		9		(2)		3		3		1		2		2		11		210		3		70		2
A		Service Planning amp Development		1		2052			1676000			1258682		1258682		(417318)		Alternative Ser Delivery			9		10		1		2		2		3		2		2		11		210		3		70		2			2012
A		System Reimagining		1		1811						-		-		Frmrly Best Practices No employees and project complete			2			(2)		3		3		3		2		3		14		210		3		70		3
A		Scheduling		1		0321			853000			884171		884171		31171				7		8		1		3		2		3		2		2		12		210		3		70		2
A		US 90A Rail Livable Centers ConsortUniv Line		1		9A06 9A07 9A11						-		-		U Line New in FY14						2		1		1		1		2		7		300		3		100		1
O		FACILITY MAINTENANCE		1		1300			15255000		507000			507000		(14748000)		Formerly part of CAO
A		Facility Maint Admin amp Contracts		1		131013411346			3979000			4023276		4023276		44276				13		12		(1)		3		2		2		2		2		11		400		3		133		2
O		Facility Maintenance Programs		1		1320						-		-							A		A		A		A		A		- 0
A		Facility Maint NW Buff Bay amp ProgOp		1		1335 13371342			1598000			1714566		1714566		116566				8		15		7		2		2		2		2		2		10		300		3		100		2
A		SuptFacility Maint		1		1338						-		-		New in 2012			0			- 0		2		2		1		1		2		8		200		5		40		2
A		Facility Maint Headquarters		1		1349			2873000			3033079		3033079		160079				8		7		(1)		2		2		2		2		2		10		300		5		60		2			2007
O		Public Facilities		1		1330						-		-							A		A		A		A		A		- 0
A		Public Facility amp Public Facility Admin		1		1339 1343			7612000			7670039		7670039		58039		Bus Shelter Audit			58		57		(1)		3		2		2		3		2		12		300		3		100		2			2011
A		Public Facility Rail			1348			4497000			4097093		4097093		(399907)				39		39		- 0		3		2		2		3		2		12		300		3		100		2
O		BOF Env Serv amp Proj Management		1		13401380						-		-							A		A		A		A		A		- 0
A		BOF Env Serv amp Proj Management		1		1331-3413361344-45			6945000			6666939		6666939		(278061)				40		34		(6)		3		2		2		3		2		12		300		3		100		2
A		Fac Maint Rail		1		1347			1928000			1754811		1754811		(173189)		Higher risk after rail expans			9		10		1		3		2		2		2		2		11		300		3		100		2
O		REAL ESTATE amp PROPERTY MANAGEMENT			2550								Formerly in Legal
A		Real Estate			2131			463000			435274		435274		(27726)		Appraisal Process Aud			5		1		(4)		3		3		2		2		3		13		300		3		100		3			2015
	Total		141			Total			178221000		593645668		771866668
					83997800000
	Note A - Assessed at the ActivityOrganization Level																	ANNUAL SCHEDULED HOURS							17415
	- Scheduled for 4th qtr of FY17																	STAFF REQUIREMENTS							109
	- Annual budget figures adjusted
	or estimated where appropriate				total		83997800000									3969
	to reflect organizational or				From PY		80538300000								Check Figure from Head Count Report		3969				EDP PORTION OF ABOVE								0
	operating changes				difference		3459500000									0				EDP STAFF REQURIEMENTS								00
																TOTAL UNSCHEDULED ANNUAL HOURS								0
																TOTAL SCHEDULED amp UNSCHEDULED								0
																STAFF REQUIREMENTS IF ALL
																AUDITS SCHEDULED								000

		13		14		15
		10		11		12
		7		8		9
		-		5		6

	Reconciliation of Risk Assessment Values reviewed Audit obtained the FY2017 Budget amounts from accounting and used these amount to prepare a risk assessment The following is a reconciliation of the amounts reviewed in the Risk Assessment
			Capital Budget Amount
		Risk Assessment Amount Reviewed		178221000
		Budget Amount		178221
		Difference		178042779
			Operating Budget
		Risk Assessment Amount Reviewed		593645668
		Budget Amount		568071000
		Difference		25574668
		Adjustments		2600806		Non-Departmental A
			2500000		Contingency - President amp CEO B
		Remaining Difference		30675474		rounding differences
	Notes
	A		The Non-Departmental amount from the budget was not included in the Risk Assessment as this amount was a contingency for the COLA adjustment expected to be approved during the 2017 Fiscal Year
	B		The Contingency - President amp CEO amount from the budget was not included in the Risk Assessment as the amount was an actual contingency for unknown or potential issues which might effect METRO during the 2017 fiscal year

																	KEY
	Risk Assessment as of JUNE 2017																	Audit Type (Internal Designations not Yellow Book)
																	F = Financial						O = ORGANIZATION
																	P = Performance						S = Special Project
																	C = Compliance						A = Activity
Audit			RESPONSIBILITY		Responsibility Code or Account (SAP - New Codes)		FY2016 Budget		FY2017 BUDGET (000 omitted)				Delta				STAFF SIZE			Delta		RISK ASSESSMENT							AUDIT BUDGET						LAST YEAR
Type		ORGANIZATIONAL UNIT ACTIVITY OR		CODE OR								OTHER CONSIDERATIONS						1		2		3		4		5		Total		Estimated Hours		FRQ		ANNUAL HOURS		RISK			AUDITED
Code		PROJECT DESCRIPTION		ACCOUNT (ORACLE)			Total		CAPITAL		OPERATING		TOTAL		(Less) More		DESCRIPTION		VALUE (000)		FY16 (Actual)		FY17 (Actual)		(Less) More			Control Environment		Technology		Size		Organization				YRS					( Partial)
O		EXECUTIVE amp BOARD		2300 2320				3028000			3028000		3028000		Cap Is Unallocated Cap
O		President amp Chief Executive OfficerBoard		2310 11 12 13 21			1901000			2124896		2124896		223896				8		7		(1)		A		A		A		A		A		- 0
S		Board Service Requests							-		-		highest priority						3		3		3		1		3		13		150		1		150		3
S		President amp Chief Executive Officer Requests							-		-		highest priority						3		3		3		1		3		13		150		1		150		3
S		Office of Executive Vice PresidentStrategic Partnering		2011						-		-				0				2		1		1		1		1		6		200		5		40		1
A		Press Office		2371			641000			858422		858422		217422		Social Media Issues			5		8		3		3		3		3		1		1		11		200		5		40		2
A		Office of Innovation		2511					631181		631181		631181					3		3		A		A		A		A		A		- 0
O		GOVERNMENT amp PUBLIC AFFAIRS		2520							-				38
A		Government Affairs		2352			667000			380831		380831		(286169)		Form Part of ExecBoard			4		3		(1)		3		2		2		2		1		10		400		3		133		2
O		CORPORATE COMMUNICATIONS amp MARKETING		2580							-		Formerly part of CAO			22
A		Print Shop and Admin Services		2431 2432			1944000			1960212		1960212		16212				8		10		2		2		1		1		2		2		8		200		5		40		2			1988
A		Media amp Corporate Communications		2581			500000			521510		521510		21510				4		3		(1)		3		1		1		1		1		7		100		5		20		1
A		Marketing		2531			4716000			5440929		5440929		724929				10		12		2		2		1		2		2		1		8		300		5		60		2
O		Public Engagement		2010						-		-		Formerly part of Planning			6			(6)
A		Community Outreach		2521			682000			866624		866624		184624		Involves Rail Expansion			6		26		20		3		2		1		2		2		10		200		5		40		2
A		Interagency Dir Of Pub Engagement		25222523						-		-		Form Part of Planning		No bdgtpers		0			- 0		1		1		1		1		1		5		200		5		40		1
O		Stakeholder Affairs		2060						-		-		Formerly part of Planning			6			(6)		A		A		A		A		A		- 0
A		Stakeholder Affairs		20122524			450000			534409		534409		84409		Form Part of Cap Prog			6			(6)		3		2		1		1		2		9		210		3		70		2			2011
							-		-
A		LEGALSTAFF COUNSELCORPORATE DEVELOPMENT		2350 51			3505000			3955580		3955580		450580				17		15			3		1		1		2		1		8		200		5		40		2
F		Legal Fees							-		-							2		1		1		1		1		6		200		5		40		1			2008
S		Attorney Work Requests							-		-							3		3		2		1		1		10		200		5		40		2
S		Special Assistance							-		-							3		3		2		1		1		10		200		5		40		2
A		Records Management		2013			304000			230439		230439		(73561)		Formerly in EEOCompDiv			3		2		(1)		3		3		2		1		2		11		300		3		100		2
							-		-
O		AUDIT		2330 2331			1505000			1534340		1534340		29340				11		11
A		Internal Quality Assurance Review							-		-													200		1		200				ON-GOING
A		External Quality Assurance Review							-		-		Yellow Book Req												100		3		33				2014
A		External Auditor Assistance							-		-													50		1		50		1			ON-GOING
C		Follow-UpCompliance Reviews							-		-													450		1		450				ON-GOING
A		Application Systems Audit Support							-		-													200		1		200		2			ON-GOING
C		Capital Projects QAQC Programs		Contract Oversight						-		-		FTA REQUIREMENT						3		2		2		1		2		10		200		1		200		2			ON-GOING
P		Review of Performance Measures							-		-							2		2		1		1		1		7		1000		5		200		1			2006
C		State Audit Compliance Review							-		-							3		3		3		1		3		13		200		1		200		3			2009 2016(16-1001) Statutory Compliance
C		FTA Audit Compliance Reviews							-		-							3		3		3		1		3		13		200		1		200		3			ON-GOING
							-		-
O		FINANCE amp ADMINISTRATION (Frmrly CAO)		2500 1610			313000				-		(313000)		AmtsEmps exclude IT
O		EVP Finance amp Administration		1611			822000			624447		624447		(197553)				2		3		1		A		A		A		A		A		- 0
O		FINANCE DEPARTMENT		2200						-		-
O		Vice PresidentChief Financial Officer		2210 2211			10000			718916		718916		708916				0		2		2		A		A		A		A		A		- 0
O		AccountingController		2220 2221			3250000			3740872		3740872		490872				28		28		- 0		A		A		A		A		A		- 0
O		General Accounting							-		-							A		A		A		A		A		- 0
F		General Ledger							-		-							3		2		3		2		2		12		300		3		100		2			2001
F		Accounts Receivable							-		-							3		2		3		2		2		12		300		3		100		2			2004
O		Grants Accounting (Audit with Grants Admin)							-		-							A		A		A		A		A		- 0							2004
O		Accounting							-		-							A		A		A		A		A		- 0
F		Fixed Assets							-		-		Net Cap Assets (Proj)		3200000					3		2		3		2		2		12		300		3		100		2			200307CR
F		Payroll							-		-		LaborBnfts (Budget)		301554					2		3		3		2		2		12		300		3		100		2			1998 2007
A		Payroll Payment Verification (ghost emps)							-		-		Payroll Ver Aud FY14						2		2		2		2		2		10		200		5		40		2			20032014
A		Accounts Payable							-		-		PAYMENTS (20101010)						3		2		3		2		2		12		300		3		100		2			2007 (CR)
F		Travel Expenses							-		-		(5090201-4)						2		1		1		1		2		7		200		5		40		1			1988
C		External Audit Mgt Ltr Compliance							-		-		Priority as required						3		3		3		1		3		13		100		1		100		3			2012
F		Audit Fees							-		-		(5030302)						2		1		1		1		1		6		80		5		16		1
F		Cost Allocation Plan							-		-							2		2		1		1		1		7		250		5		50		1			2005
O		Treasury Services		2230						-		-		Includes RevSrv			33			(33)		A		A		A		A		A		- 0
O		Director Treasury Services		2231						-		-				6			(6)		A		A		A		A		A		- 0
A		Financial Planning amp Investments							-		-		Investments (2014)		415021					3		3		2		3		3		14		200		2		100		3			2010 2016 (16-1004) Financial Planning amp Investments
O		Treasury Office Operations							-		-							A		A		A		A		A		- 0							2000
F		Sales Tax Revenue(audit with Distributions)							-		-		Sales Tax (Projected)		706241					3		2		2		3		2		12		200		2		100		2			2009
F		Sales Tax Revenue Distributions							-		-		Distributions(est Gen Mob)		173019					3		2		2		3		2		12		100		2		50		2			2009
F		Other Revenues							-		-		Projected FY2015		$108 mil					3		2		1		2		2		10		90		3		30		2
F		Petty Cash							-		-		Disbursements						3		1		1		1		3		9		90		3		30		2			2002
F		Pension Funds (Audited by outside auditors)							-		-		Funds						2		1		2		1		1		7		300		5		60		1			1995
A		Revenue Services		2212						-		-		Under OMB Mgmt						3		3		3		2		3		14		300		3		100		3
A		Ticket amp Fare Collection		2232			3514000			3037608		3037608		(476392)				27		26		(1)		3		3		3		2		3		14		300		2		150		3			2001 2009
A		Revenue Management		2235						-		-		Include wFare Collection						2		2		3		2		2		11		300		3		100		2
A		Grants (Includes Grant Accounting)		2250 2353			536000			528174		528174		(7826)		GRANTS INCOME(Bdgt)		196386		4		4		- 0		3		2		3		3		3		14		300		3		100		3			2010 2013
A		New Freedom JARC		9A03 9A04						-		-		New 2012 Inc wGrants						A		A		A		A		A		- 0
O		Office of Management amp Budget		2260						-		-		low audit priority			10			(10)		A		A		A		A		A		- 0
A		Office of Management amp Budget		2361			1887000			2267912		2267912		380912				10		14		4		2		1		2		2		2		9		150		5		30		2
O		PROCUREMENT amp MATERIALS		2460							-		ProcampMat Only(exSBE)
A		Procurement		2422			3661000			3689787		3689787		28787		IT ProcampHRT Auds 14			32		34		2		3		2		2		3		2		12		400		2		200		2			20092014
F		Purchase Card Activity							-		-		Recent Pcard Purch Range		$32 milyr					3		3		1		3		2		12		300		2		150		2			20072017 (17-1003) Purchasing Cards and Small Purchases
A		HGACState of Texas Purchasing Programs							-		-							2		1		2		1		1		7		200		5		40		1
F		Fuel Purchasing Program				31773000			27468028		3207448		385448		DieselampGas Bdgt-Requests for Board Action has a modification for fuel in the amount 28510000 and 4127000		38735					3		3		2		3		2		13		200		2		100		3			20062012
C		Davis Bacon Compliance							-		-		Fewer Cap Projects						3		2		3		1		3		12		300		3		100		2			2010
O		Materials amp Distribution		2423			5695000			6056753		6056753		361753				75		77		2		A		A		A		A		A		- 0
F		Inventory Management and Control							-		-		MampS Expense (Projected)		21651					2		1		3		3		2		11		300		2		150		2			1987 2016(16-1002) FY2016 Spare Parts Inventory 2017 (17-1002) Maintenance Parts Inventory
F		Fuel amp Lubricant Controls				2822000			3207448		27468028		(4304972)		Diesel Budget		36601					3		2		2		2		2		11		500		2		250		2			20082012
F		Annual Physical and Cyclical Inventories							-		-		FY2014 Inv Balance		24250					3		2		3		3		2		13		450		1		450		3			2014
A		Property Services							-		-		Asset Disposals						2		1		2		2		3		10		400		3		133		2			2007 2015
O		SMALL BUSINESS		2340							-		Frmrly in Business Serv
A		SBEDBE		2341			823000			834530		834530		11530				7		6		(1)		3		2		2		2		2		11		300		3		100		2			2017 (17-1006) DBE Compliance
O		HUMAN RESOURCES		2400							-		Part of FinampAdmin
O		Vice President Human Resources		2410						-		-							A		A		A		A		A		- 0
O		VP Human Resources		2411			628000			636954		636954		8954				2		2		- 0		A		A		A		A		A		- 0
A		Compensation		2444			491000			495980		495980		4980				4		4		- 0		3		1		3		1		1		9		100		5		20		2
O		Human Resources Operations		2430						-		-							A		A		A		A		A		- 0
O		Staffing		2442			1229000			1385642		1385642		156642		Backgrnd Inv Review			12		11		(1)		A		A		A		A		A		- 0							2015
A		Contract and Temporary Labor							-		-							2		2		2		2		1		9		150		3		50		2			200305CR
C		Recruitment Incentive Programs							-		-							3		2		2		2		2		11		150		3		50		2
O		Labor Relations		2440						-		-		Formerly part of Serv Del						A		A		A		A		A		- 0
A		Labor Relations		2461			428000			426121		426121		(1879)				4		4		- 0		3		1		2		2		1		9		150		3		50		2
O		Human Capital Management and Personnel Services		2470						-		-							A		A		A		A		A		- 0
A		HCM and Personnel Services		2441			434000			451356		451356		17356				5		5		- 0		2		3		2		3		2		12		200		3		67		2
O		Benefits Wellness amp Compensation		24502421			55000			75576		75576		20576		Supp Ins Dep Review				3		3		A		A		A		A		A		- 0							2014
A		Wellness Programs		2446			289000			270346		270346		(18654)				2		2		- 0		3		3		2		3		2		13		200		1		200		3
A		Benefits and Pensions		2443			1282000			1283645		1283645		1645		HIPAA Audit			6		7		1		3		3		2		2		3		13		200		2		100		3			2015
A		Union Benefit Trust							-		-		Contributions (2014)		13692					A		A		A		A		A		- 0
A		Non-Union Pension							-		-		Contributions (2014)		8967					A		A		A		A		A		- 0							2008
A		Non-Union Health Insurance							-		-		Cost of Plans (2014)		9478					A		A		A		A		A		- 0
A		Life Insurance							-		-							A		A		A		A		A		- 0
A		Retirees (include wBenefits and Pensions)		2412			13411000			15177705		15177705		1766705							A		A		A		A		A		- 0
O		EEO COMPLIANCE AND DIVERSITY		2480							-		Part of HR in 2015
O		VP EEO Compliance amp Diversity		2014							-		Dir Level in 2015 no VP						A		A		A		A		A		- 0
O		COMPLIANCE EEO EMPLOYEE RELATIONS		2560							-		New org structure in 2011
A		EEO and Employee Relations		2445			719000			761821		761821		42821				5		4		(1)		2		2		2		2		1		9		150		3		50		2
A		EEO		2449			453000			508580		508580		55580				2		4		2		1		1		1		1		1		5		150		5		30		1
							-		-
O		INFORMATION TECHNOLOGY		2280 2451			44507000		8626000		21515539		30141539		(14365461)		Part of FinampAdmin				66		66
O		Disaster Recovery amp Business Continuity							-		-
A		Data Access Security							-		-							2		2		1		3		2		10		300		3		100		2			2008
A		Disaster Recovery Observation							-		-							3		3		3		3		3		15		300		1		300		3			2017
A		Business Recovery Planning							-		-							2		2		2		3		3		12		300		3		100		2			2017
A		Data Center Operations							-		-							2		3		2		3		2		12		200		3		67		2			2009
O		Databases							-		-
A		Data Base Administration							-		-							2		3		3		3		3		14		400		3		133		3			2016
O		Network Management							-		-
A		Firewall Admin amp Controls							-		-							3		3		2		3		2		13		260		2		130		3			2016
A		Incident Intrusion and Emergency Response							-		-							3		3		2		3		2		13		260		2		130		3			2007
A		Wireless Network Security							-		-							3		3		2		3		2		13		260		2		130		3			2007
O		Department Administrative Functions							-		-
A		Help Desk Operations							-		-							2		2		2		2		2		10		300		3		100		2			2009
A		Computer Equipment Disposal Practices							-		-							2		2		2		2		2		10		300		3		100		2			2016
A		HardwareSoftware Standards							-		-							2		2		1		2		2		9		200		3		67		2			2009
A		Remote Access Policies and Security							-		-							2		2		2		2		2		10		150		3		50		2			2009
O		Applications Systems							-		-
A		Enterprise Systems Migration amp Chg Controls							-		-							3		2		3		2		2		12		400		3		133		2			2007
A		Security and Controls							-		-							3		2		3		2		2		12		300		2		150		2			2007
A		SAP Application Maintenance							-		-							3		3		3		2		3		14		300		3		100		3
O		Internet Access Use Controls amp Security							-		-
A		Web Site Management							-		-							3		2		3		2		2		12		250		2		125		2			2010
A		E-business Administration and Controls							-		-							3		2		2		3		2		12		250		2		125		2
A		E-mail Usage Security and Controls							-		-							3		2		2		3		2		12		250		2		125		2			2008
O		Communications Systems							-		-		(50502045121201)
A		VOIP Telephone System Management amp Security							-		-							3		2		3		3		3		14		250		3		83		3			2012
A		Video Surveillance System Man amp Security							-		-							3		2		2		3		3		13		250		2		125		3			2008
A		Radio System Management and Security							-		-							3		2		3		3		3		14		300		3		100		3
O		New Systems Development and Controls							-		-
A		IT Project Management Policies amp Procedures							-		-							2		2		2		2		3		11		400		2		200		2			2011
A		Post Implementation Review							-		-		Q Card review in 2010						2		2		2		2		2		10		200		2		100		2			2010
A		ERP Technical Controls							-		-							2		2		2		2		2		10		400		2		200		2			2010
O		Operating Systems (OS)							-		-
A		UNIX OS Review							-		-							2		3		3		2		3		13		500		3		167		3			2012
A		Windows OS Review							-		-							2		3		3		2		3		13		500		3		167		3			2014
A		Vmware Virtualization OS Review							-		-							2		3		3		2		3		13		500		3		167		3			2014
O		Adherence to Licensing Requirements							-		-
A		SAP Contract Compliance							-		-							2		2		2		2		3		11		200		2		100		2			2017
A		Oracle Contract Compliance							-		-							2		2		2		2		3		11		200		2		100		2			2017
A		Other Licenses							-		-							2		2		2		2		2		10		200		2		100		2			2017
O		Storage							-		-
A		Data Storage							-		-							3		3		3		2		3		14		600		4		150		3			2017
O		Rail IT							-		-
A		SCADA Systems							-		-							3		3		3		3		2		14		300		2		150		3			2011
A		Data Center Operations							-		-							3		3		3		3		2		14		300		2		150		3			2014
							-		-
O		OPS PUB SFTY amp CUST RDRSHP SERVS		2800			1405000					(1405000)		Includes MPD in FY1415
O		EVP Ops Pub SftyampCust Rdrshp Servs		1821			740000			768800		768800		28800		RC frmrly Best Practices			6		5		(1)		A		A		A		A		A		- 0
O		Director of Safety		2810 2812			180000			189445		189445		9445				1			(1)		A		A		A		A		A		- 0
A		Customer and Health Safety		2820283022432245			1309000			1248726		1248726		(60274)				12		11		(1)		3		3		2		2		2		12		300		3		100		2
A		Workplace and Environmental Safety		28402246			569000			642623		642623		73623		No budget in 2015			5		5		- 0		1		1		1		1		1		5		100		3		33		1
A		Drug amp Alcohol Program		2448			611000			630270		630270		19270		FTA area of interest			3		3		- 0		3		3		1		1		2		10		300		3		100		2			2010 2015CR
O		Risk Management		2240						-		-							A		A		A		A		A		- 0							2013
O		Director Risk Management		2241			161000			160688		160688		(312)				1				(1)		A		A		A		A		A		- 0
A		Claims		2242			1116000			1135035		1135035		19035		FEMA Reim Audit			12		13		1		2		2		1		2		2		9		150		3		50		2			2013
A		General Insurance		2244			3852000			3605884		3605884		(246116)				3		3		- 0		2		2		2		2		2		10		150		3		50		2			2003
A		Workers Compensation							-		-		Audited in 2014						2		2		2		1		2		9		150		3		50		2			2014
A		Owner Controlled Iinsurance Program (OCIP)							-		-		True-up in progress						3		3		2		3		2		13		400		3		133		3			20112017 (17-1005) Audit of OCIP
A		Training Design amp Delivery		2850 2247			585000			651220		651220		66220		New org in 2011			3		5		2		3		2		2		1		3		11		300		3		100		2
O		METRO POLICE		1900							-		Part of Safety in FY1415
O		Vice PresidentChief of Police		1910 0911			593000			569954		569954		(23046)				2		4		2		A		A		A		A		A		- 0
O		Management Services		1920 0912 0913			414000			374176		374176		(39824)				4		8		4		A		A		A		A		A		- 0
F		Special Funds - LEOSE amp Seized Property							-		-		STATE REQUIREMENT		30					3		1		1		1		2		8		200		1		200		2			2014
O		Police Field amp Rail Operations		1930						-		-							A		A		A		A		A		- 0
A		Field amp Rail Operations		0934 0966			13646000			15091874		15091874		1445874				144		150		6		3		2		2		3		2		12		300		5		60		2			1998 2007 2016 (16-1006) MPD Administrative Fees
A		System Security K-9 Unit		0936			841000			902038		902038		61038				8		8		- 0		3		2		1		2		2		10		200		5		40		2
A		Motorist Assistance Program		0964			(88000)			53190		53190		141190				8		7		(1)		3		2		1		1		1		8		200		5		40		2
A		HOV-Enforcements		0965			(447000)			383387		383387		830387				25		30		5		3		2		2		1		2		10		300		5		60		2			1998
O		Support Operations		1940						-		-							A		A		A		A		A		- 0							1998
A		Transtar amp Dispatch		0942 0943			1912000			2200654		2200654		288654				19		19		- 0		3		3		3		2		2		13		300		5		60		3
A		Support OperationsampAnti-Terrorism Grant		0932 0935			982000			1416066		1416066		434066				10		14		4		2		2		2		2		2		10		300		5		60		2
A		Investigations		0931			1080000			1435846		1435846		355846		Accident Investigations			11		13		2		3		2		2		2		2		11		300		5		60		2			1998 2007 2016 (16-1003) Bus Accident Investigations
A		Records		0952			301000			441900		441900		140900				6		6		- 0		2		2		2		1		1		8		300		5		60		2			1998
O		Homeland Security(Inactive budget in 0953)		1950						-		-							A		A		A		A		A		- 0
A		Police Homeland Security		0953						-		-		No pers In 2015			0			- 0		3		2		2		1		2		10		300		5		60		2
A		Security BOF(Auditable area no budget or pers)		0933						-		-		No Emp RC in 2013-15			0			- 0		3		3		3		1		3		13		400		2		200		3			2012 2015
A		Emergency Management(No budget or pers)		1960 1961						-		-		No Emp RC in 2012-15			0			- 0		3		2		2		1		2		10		300		3		100		2			2008 2009
S		Special Assistance by Audit - Investigations							-		-		Perform as needed						3		3		2		2		3		13		200		1		200		3			2010
O		CUSTOMER amp RIDERSHIP SERVICES		2530							-		New Dept FY14 (frm Ops)
A		RideStores		2538			696000			653907		653907		(42093)				9		12		3		3		2		3		2		2		12		300		3		100		2			2003 2006
A		Sales		2543			590000			593479		593479		3479		Include wRideStores			5		3		(2)		2		2		2		2		2		10		300		3		100		2
A		Customer Information Center (Customer Care)		2532			3627000			3489725		3489725		(137275)		Partial Audit wComplaints			62		57		(5)		3		2		3		3		2		13		300		3		100		3			2015
							-		-
O		OPERATIONS		1000			91154000		65611000			65611000		(25543000)		TotExp Excluding Fuel		338969
O		Senior VP amp Staff (inc Budget Operations(OMS))		0100 0011 0351			1850000			1469162		1469162		(380838)				7		12		5		A		A		A		A		A		- 0
A		HOT Lanes Operations		1500 1510 2185			8062000			8379468		8379468		317468		New to Ops FY14			1		1		- 0		3		3		2		2		3		13		300		3		100		3			2015
O		Revenue Collection		2290						-		-		New to Ser Del In 2011						A		A		A		A		A		- 0
A		Revenue Agents		2234			820000			887981		887981		67981		Cash Fare Collections			11		11		- 0		3		2		2		2		3		12		300		3		100		2			2009 2017 (17-1001) Cash Fare Collections
O		Bus Transportation (inc Sr Dir Trans GenampSer Logist)		0200003103610322			2775000			4874931		4874931		2099931		Moving Violations Audit			2		2		- 0													2011
A		Bus Operations		0220						-		-		Cust Training Audit			1597				3		2		3		3		2		13		600		2		300		3			2011
O		Fallbrook		011101120113			25050000			24306144		24306144		(743856)				349		349		- 0		A		A		A		A		A		- 0
O		Kashmere (Greenlink added in 2012)		0121012201230124			15750000			17065038		17065038		1315038				216		221		5		A		A		A		A		A		- 0
O		Polk		013101320133			27965000			27300859		27300859		(664141)				348		357		9		A		A		A		A		A		- 0
O		West		014101420143			32898000			33761527		33761527		863527				404		438		34		A		A		A		A		A		- 0
O		Hiram Clarke		0151015201530154			21554000			23379044		23379044		1825044				280		321		41		A		A		A		A		A		- 0
O		Northwest (Contract - see Fac Roll -up Code 1800)		0163			(3248000)				-		3248000				0			- 0		A		A		A		A		A		- 0							2012
A		Service Delivery		0500						-		-		On-Time Perf Review						2		2		3		2		2		11		300		5		60		2			2014
O		Dispatch		0301			1767000			1859803		1859803		92803				17		18		1		A		A		A		A		A		- 0
F		Operator Timekeeping System							-		-		Old legacy system						2		2		2		1		2		9		200		5		40		2			2005 UnC
A		Director of Serv Del And Street Supervisors		0051 0332			3423000			3594559		3594559		171559				30		35		5		3		2		2		3		2		12		300		3		100		2
A		New Service (Was Budget Services in 2011)		030003920393						-		-		No bdgt or pers in 2015			0			- 0		1		1		1		1		1		5		250		2		125		1
O		Transportation Programs		0400						-		-							A		A		A		A		A		- 0
A		METROLift amp Director of Trans Prog		0045 0041			56698000			58450171		58450171		1752171		FTA review in 2013			117		124		7		3		3		3		3		3		15		400		2		200		3			2006 2007
A		Special Events and Contract Services		0470048003710381			330000			322665		322665		(7335)				4		3		(1)		2		1		1		1		1		6		200		5		40		1
A		Rideshare		0460 2537			10995000				-		(10995000)				0			- 0		3		2		2		1		2		10		300		3		100		2
A		Regional Vanpool (0831 = Community Connector)		0460 2539 0831					12034574		12034574		12034574		Lmtd Rev compltd 2014			3		9		6		3		2		2		2		3		12		300		3		100		2			20122014
C		Contracted Services - Northwest BOF		08000811-150821-25			48485000			46163058		46163058		(2321942)		$47mil ann bdgt (NW)		$4mil for NW fuel					3		2		2		3		2		12		400		2		200		2			2012 2015CR
A		METRORail		0600													3		2		3		3		3		14		600		2		300		3			2008
O		Senior Director Rail		610 0061			234000			244607		244607		10607				2		3		1		A		A		A		A		A		- 0
O		Rail Transportation		620 621 622 623 626 627			12352000			12181636		12181636		(170364)		METRORail Cam Aud			149		175		26		A		A		A		A		A		- 0							2015
O		Rail Control Center		0651			3054000			3148729		3148729		94729				27		26		(1)		A		A		A		A		A		- 0
O		SampI Administration and Supervision		0624 0625			676000			690213		690213		14213		New in FY14			7		8		1		A		A		A		A		A		- 0
O		Rail Maintenance		0660-6606810691-93			17903000			18333174		18333174		430174		Includes traction power			134		146		12		A		A		A		A		A		- 0							2013
A		Preventive Maintenance (Bus)		1191 (Admin)			306000			323151		323151		17151		Bus Hub Rev FY13			2		2		- 0		3		2		3		3		2		13		300		1		300		3			20122013
O		Kashmere (Greenlink added in 2012)		1111-1118			11068000			10734424		10734424		(333576)		Greenlink added in 2012			70		73		3		A		A		A		A		A		- 0
O		Polk		1121112211231124			16713000			15617108		15617108		(1095892)				97		98		1		A		A		A		A		A		- 0							1993
O		West		1131113211331134			21994000			20796712		20796712		(1197288)				113		121		8		A		A		A		A		A		- 0
O		Hiram Clarke		11411142114311441145			14524000			13845519		13845519		(678481)				85		84		(1)		A		A		A		A		A		- 0
S		Northwest (Contract - see Fac Roll-up Code 1800)		1151115211531154			(120000)				-		120000							A		A		A		A		A		- 0							2002
O		Fallbrook		1161116211631164			16224000			14955860		14955860		(1268140)				79		93		14		A		A		A		A		A		- 0
O		Buffalo Bayou Maint (Under SuppVeh RC)		1171 1172 1173			1878000			678775		678775		(1199225)				17		21		4		A		A		A		A		A		- 0
A		Central Support amp Manufacturing		1020 1021			399000			404920		404920		5920				4		4		- 0		3		2		3		3		2		13		400		2		200		3
O		Body Shop		1023			2267000			2388704		2388704		121704				27		28		1		A		A		A		A		A		- 0							1996 2016 (16-1005) Audit of Paint Booths
O		Unit Overhaul		1024			1722000			1969444		1969444		247444				32		32		- 0		A		A		A		A		A		- 0							2001
	Unit Overhaul		1025			(244000)					244000							A		A		A		A		A		- 0
O		Heavy Repair		1022			1979000			2005634		2005634		26634				22		24		2		A		A		A		A		A		- 0
O		Brake Shop		1029						-		-		No FY15 PersonnelBdgt			0		0		- 0		A		A		A		A		A		- 0
O		Rebuild Warranty		1026			98000			97500		97500		(500)							A		A		A		A		A		- 0
O		Tire amp Battery Usage							-		-		SpecProjAs needed						A		A		A		A		A		- 0							20012010 2017 (17-1004) Bus Tires Inspection
A		Maintenance Support		1200						-		-		Increasingly Critical						3		2		3		3		2		13		300		3		100		3
O		Quality Assurance		1210 1311			882000			904988		904988		22988				8		9		1		A		A		A		A		A		- 0
O		Warranty		1240 1312			3612000			4475803		4475803		863803		FY2014 Audit			4		4		- 0		A		A		A		A		A		- 0							2014
O		Technical Services amp Advanced Technology		1220 1014 1036			412000			388743		388743		(23257)				2		3		1		A		A		A		A		A		- 0
O		Director Maintenance Support		1280 1381			408000			493025		493025		85025		Fuel Tanker Audit			10		11		1		A		A		A		A		A		- 0							2014
O		Electronic Maintenance (inc fare collampradio maint)		13012322331390			4564000			4760210		4760210		196210		Critical Activity			43		45		2		A		A		A		A		A		- 0							2013
O		Support Vehicle Maintenance (Inc Med Duty Bus)		1351135312501174			4333000			5234060		5234060		901060		Include wMaint Supp			25		26		1		A		A		A		A		A		- 0							2003 07CR
O		Support Vehicle		1354			416000			246395		246395		(169605)							A		A		A		A		A		- 0
	Maintenance General		1361			5213000			5744855		5744855		531855							A		A		A		A		A		- 0
O		Maintenance Training (MEAD)		17201321			377000				-		(377000)		No FY15 Bdgt Or Pers						A		A		A		A		A		- 0							1996
A		Transportation Training		1700 1710 0331			2085000			2186942		2186942		101942		New cust Svc Focus			16		18		2		3		2		1		2		2		10		120		5		24		2			1995
							-		-
O		PLANNING ENGINEERING CONST amp REAL EST		2180			113640000		90591000			90591000		(23049000)
O		SVP Capital Programs		2020 2021						-		-				0			- 0		A		A		A		A		A		- 0
O		Capital Projects		(2180)						-		-				22			(22)		A		A		A		A		A		- 0
A		Document Control		2151						-		-				0			- 0		3		2		2		1		2		10		210		3		70		2
A		Engineering Support Services		2161			93000			556421		556421		463421				13		9		(4)		3		2		1		1		2		9		210		3		70		2
A		Capital Projects		2181			(16000)			42086		42086		58086		$23mil non-rail Cap Bdgt			2		2		- 0		2		2		2		2		2		10		200		5		40		2
A		Bus Infrastructure		2182						-		-		No Emp RC FY12-15			0			- 0		2		2		2		1		2		9		200		5		40		2
A		Project Administration and Management		2183 2184			(113000)			(29074)		(29074)		83926		New in 2011			7		5		(2)		2		2		2		2		2		10		200		5		40		2
A		EngStandards Buff Bayou Mods		9A08 9A09						-		-		New in 2012						3		3		3		2		2		13		300		3		100		3
O		State of Good Repair		2150						-		-		New in 2012						A		A		A		A		A		- 0
A		State of Good Repair		2152						-		-		New in 2012						3		3		2		1		2		11		300		3		100		2
O		Rail Construction		2100 2110 2140						-		-		Consent Agmt Review			7			(7)		A		A		A		A		A		- 0							2014
A		University Corridor		2081						-		-				0			- 0		2		2		2		1		1		8		210		3		70		2
A		4 Light Rail Lines Expansion		2171			(150000)			(13171)		(13171)		136829		$173mil Cap Bdgt			7		6		(1)		3		2		2		2		2		11		210		3		70		2
O		METRO Rail Construction Non-Capital		2040						-		-							A		A		A		A		A		- 0
A		Cap Prog Coor amp Rpt (Inactive)		2433						-		-		New name FY15			0			- 0		3		2		2		1		2		10		210		3		70		2
O		METRO Rail Expansion Integration amp Control		2110 2070						-		-				8			(8)		A		A		A		A		A		- 0
A		Program Integration amp Controls		2111 2121			(134000)			(93508)		(93508)		40492		SrDir Reports to CAO			8		6		(2)		3		2		2		1		2		10		210		3		70		2
A		Rail Vehicles		2153						-		-		Waiver Request Rev						3		3		2		1		2		11		210		3		70		2			2014
O		PLANNING		2190				9858000			9858000		9858000		Structure modified in FY14
O		SVP Planning		2191			317000			319812		319812		2812		New in 2011			2		2		- 0		A		A		A		A		A		- 0
O		Planning amp Scheduling		2050						-		-				29			(29)		A		A		A		A		A		- 0
A		System Planning amp Development		2031			16483000			3783057		3783057		(12699943)				11		9		(2)		3		3		1		2		2		11		210		3		70		2
A		Service Planning amp Development		2052			1676000			1258682		1258682		(417318)		Alternative Ser Delivery			9		10		1		2		2		3		2		2		11		210		3		70		2			2012
A		System Reimagining		1811						-		-		Frmrly Best Practices No employees and project complete			2			(2)		3		3		3		2		3		14		210		3		70		3
A		Scheduling		0321			853000			884171		884171		31171				7		8		1		3		2		3		2		2		12		210		3		70		2
A		US 90A Rail Livable Centers ConsortUniv Line		9A06 9A07 9A11						-		-		U Line New in FY14						2		1		1		1		2		7		300		3		100		1
O		FACILITY MAINTENANCE		1300			15255000		507000			507000		(14748000)		Formerly part of CAO
A		Facility Maint Admin amp Contracts		131013411346			3979000			4023276		4023276		44276				13		12		(1)		3		2		2		2		2		11		400		3		133		2
O		Facility Maintenance Programs		1320						-		-							A		A		A		A		A		- 0
A		Facility Maint NW Buff Bay amp ProgOp		1335 13371342			1598000			1714566		1714566		116566				8		15		7		2		2		2		2		2		10		300		3		100		2
A		SuptFacility Maint		1338						-		-		New in 2012			0			- 0		2		2		1		1		2		8		200		5		40		2
A		Facility Maint Headquarters		1349			2873000			3033079		3033079		160079				8		7		(1)		2		2		2		2		2		10		300		5		60		2			2007
O		Public Facilities		1330						-		-							A		A		A		A		A		- 0
A		Public Facility amp Public Facility Admin		1339 1343			7612000			7670039		7670039		58039		Bus Shelter Audit			58		57		(1)		3		2		2		3		2		12		300		3		100		2			2011
A		Public Facility Rail		1348			4497000			4097093		4097093		(399907)				39		39		- 0		3		2		2		3		2		12		300		3		100		2
O		BOF Env Serv amp Proj Management		13401380						-		-							A		A		A		A		A		- 0
A		BOF Env Serv amp Proj Management		1331-3413361344-45			6945000			6666939		6666939		(278061)				40		34		(6)		3		2		2		3		2		12		300		3		100		2
A		Fac Maint Rail		1347			1928000			1754811		1754811		(173189)		Higher risk after rail expans			9		10		1		3		2		2		2		2		11		300		3		100		2
O		REAL ESTATE amp PROPERTY MANAGEMENT		2550								Formerly in Legal
A		Real Estate		2131			463000			435274		435274		(27726)		Appraisal Process Aud			5		1		(4)		3		3		2		2		3		13		300		3		100		3			2015
			Total			178221000		593645668		771866668
				83997800000
	Note A - Assessed at the ActivityOrganization Level																ANNUAL SCHEDULED HOURS							17415
	- Scheduled for 4th qtr of FY17																STAFF REQUIREMENTS							109
	- Annual budget figures adjusted
	or estimated where appropriate			total		83997800000									3969
	to reflect organizational or			From PY		80538300000								Check Figure from Head Count Report		3969				EDP PORTION OF ABOVE								0
	operating changes			difference		3459500000									0				EDP STAFF REQURIEMENTS								00
															TOTAL UNSCHEDULED ANNUAL HOURS								0
															TOTAL SCHEDULED amp UNSCHEDULED								0
															STAFF REQUIREMENTS IF ALL
															AUDITS SCHEDULED								000