Transit Asset Management (TAM) In California Caltrans Division of Rail and Mass Transportation Mark Codey Brian Travis 4/25/17

National TAM System Provide Technical Assistance Define State of good Repair (SGR) Require TAM Plans Establish SGR Performance Measures, Set Targets & develop TAM Plans Report Data – National Transit Database (NTD) Provide Technical Assistance

Definitions TAM: Is a business model that uses the condition of assets to guide the optimal prioritization of funding at transit properties in order to keep our transit networks in a State of Good Repair SGR: The condition in which a capital asset is able to operate at a full level of performance. This means the asset: Is able to perform its designed function Does not pose a known unacceptable safety risk, and Its lifecycle investment has been met or recovered

TAM Applicability (Final Rule) All recipients/subrecipients of Federal financial assistance under 49 U.S.C. Chapter 53 that own, operate, or manage capital assets used in the provision of public transportation, which is defined as: “Regular, continuing shared-ride surface transportation services that are open to a segment of the general public or defined by age, disability, or low income”

Identify Accountable Executive Step 1 Identify Accountable Executive Tier 1 or Tier II Agency?

Identify Accountable Executive The person responsible for carrying out asset management practices – has control/direction over the human and capital resources needed to develop and maintain the Agency’s TAM Plan

Tier I and Tier II Agencies Tier I ~ operates rail OR ≥101 vehicles across all fixed route modes, OR ≥ 101 vehicles in one non-fixed route mode, OR in California a 5307, 5307/5311 recipient Tier II ~ is a subrecipient of 5311 funds, OR operates ≤ 100 vehicles across all fixed route modes, OR operates ≤ 100 vehicles in one non- fixed route mode

Establish SGR Performance Measures, Set Targets Step 2 Establish SGR Performance Measures, Set Targets

Setting Targets for Performance Required for Tier I and Tier II Providers Initial Targets should be set for each provider or group TAM plan for each asset category by January 1, 2017 (See next slide) and then every fiscal year thereafter Targets should be supported by condition data and reasonable financial projections FTA recognizes providers may not have complete data while establishing initial targets Targets will be refined as TAM plans are established and evolve

Target Deadline 1/1/17 is a soft deadline All transit providers are strongly encouraged to set targets ASAP so a baseline is developed FTA will not require reporting of Targets until 1/1/2018 Targets will be reported in the National Transit Database Its time to do your homework, but that homework won’t start to be collected for about one year

Determining Useful Life Benchmarks (ULB’s) is First!

ULB’s Required for Tier I and Tier II Providers ULB is not the useful life as defined for FTA grant programs ULB is defined as the expected life cycle of a capital asset for a particular transit provider’s operating environment, or the acceptable period of use in service for a particular transit providers operating environment ULB considers providers’ unique operating environment (physical geography) There are default FTA ULBs, but each provider/region should establish their own so that replacement planning for acquired assets is fostered accurately for local conditions

ULB’s Required for Tier I and Tier II Providers as applicable SAMPLE DEFAULT ULB’s Revenue Vehicle Type Default ULB Useful Life in Grant Programs Automated Guideway Vehicle (AG) 31 12 Bus (BU) 14 Cutaway Bus (CU) 10 Ferryboat (FB) 42 8 Heavy Rail Passenger Car (HR) 30 Light Rail Vehicle (LR) 25 Commuter Rail Locomotive (RL) 39 Trolleybus (TB) Van (VN) 7

Performance Measures Required for Tier I and Tier II Providers as applicable Category Assessing Condition Performance Targets Measure Equipment Age based Only non-revenue service vehicles % Rolling Stock Only revenue vehicles by vehicle class/mode Infrastructure Only infrastructure for which agency has direct capital responsibility Only fixed rail guideway, track, signals, and systems Facilities Only facilities for which agency has direct capital responsibility (not including bus shelters) Maintenance facilities, administrative buildings, passenger stations and parking facilities TERM

Performance Measures Required for Tier I and Tier II Providers as applicable Assets: Only those for which agency has direct capital responsibility Performance Measure Equipment: Non-revenue support-service and maintenance vehicles Percentage of vehicles met or exceeded Useful Life Benchmark Rolling Stock: Revenue vehicles by mode Infrastructure: Only rail fixed-guideway, track, signals and systems Percentage of track segments with performance restrictions Facilities: Maintenance and administrative facilities, passenger stations and parking facilities Percentage of assets with condition rating below 3.0 on FTA TERM scale

Setting Targets Required for Tier I and Tier II Providers as applicable Assets: Only those for which agency has direct capital responsibility Performance Measure Estimated Current % Target for Next Year Equipment: Non-revenue support-service and maintenance vehicles Percentage of vehicles met or exceeded Useful Life Benchmark 10% 5% Rolling Stock: Revenue vehicles by mode 15% Infrastructure: Only rail fixed-guideway, track, signals and systems Percentage of track segments with performance restrictions 8% 7% Facilities: Maintenance and administrative facilities, passenger stations and parking facilities Percentage of assets with condition rating below 3.0 on FTA TERM scale 12% 11%

Step 3 Develop TAM Plans

TAM Plans (Tier 1 Provider) Develops Own TAM Plan Typically a 5307 Recipient or a 5307/5311Recipient/Subrecipient Tier I agencies must coordinate TAM Plan development with their MPO

TAM Plans (Tier II Provider) Typically a 5311 Subrecipient FTA Template Available RTPA/MPO coordination must occur Options Develop Own TAM Plan (preferred) Group Plan Transit Agency Sponsors Multiple Agencies – A Local/Regional Approach (also preferred) State (Caltrans) Sponsors Multiple Agencies

Group TAM Plans Compiled by a Sponsor – State DOT, Designated/Direct Recipient or Subrecipient of FTA funds A Group Plan Participant must collaborate with the Sponsor in the development of the TAM Plan Each transit provider must still designate an Accountable Executive

Plan Elements Tier I & II Tier I Only ________________ Inventory of Capital Assets Condition Assessment Decision Support Tool Investment Prioritization ________________ TAM and SGR Policy Implementation Strategy List of Key Annual Activities Identification of Resources Evaluation Plan

Inventory of Capital Assets Required for Tier I and Tier II Providers Listing of all Capital Assets Owned by the transit provider > $50,000 Includes all non-revenue service vehicles and equipment Includes third-party vehicles – those operated exclusively by contractors for the transit agency Includes assets acquired without FTA funds Level of detail is the same as for Capital Program of Projects (POP)

Inventory of Capital Assets (continued) Asset Categories and Classes Category Equipment----------- Rolling Stock-------- Infrastructure------- Facilities------------- Class Construction, Service & Maintenance vehicles Railcars, Buses, Ferries, Other Passenger Vehicles Fixed Guideway, Power, Signal Systems, Structures Support/Admin, Parking, Passenger

Condition Assessment Required for Tier I and Tier II Providers A Condition Assessment is: A rating of the inventoried assets - age, condition, percentage of useful life Ratings should be detailed enough to monitor performance and plan capital investment Assessments may: be collected at the individual or asset class level include vulnerabilities to natural climate hazards Assessments are only required for assets who’s owner has direct capital responsibility

Assessing Condition by Asset Class Required for Tier I and Tier II Providers Category Asset Inventory Assessing Condition Equipment All non-revenue service vehicles and equipment > $50k used in the provision of public transit, except 3rd-party equipment assets Only owners of equipment with direct capital responsibility. No 3rd-party assets Rolling Stock All revenue vehicles used in the provision of public transit Only owners of rolling stock with direct capital responsibility. Infrastructure All infrastructure used in the provision of public transit Only owners of infrastructure with direct capital responsibility Facilities All facilities used in the provision of public transit (excluding bus shelters) Only owners of facilities with direct capital responsibility (excluding bus shelters)

Condition Assessment Guidance FTA Guidance for Condition Assessment: https://www.transit.dot.gov/TAM/resources/conditionassessment Tool “TERM Lite” (Transit Economic Requirements Model) for facilities condition assessments https://www.transit.dot.gov/TAM/TERMLite

Decision Support Tools (sample) Required for Tier I and Tier II Providers Criteria Weight Bus 1 Bus 2 Bus 3 Bus 4 Bus 5 Bus 6 Poses Safety Risk (0-5) 8 5 1 2 4 Age (years) .5 17 15 7 Reliability (0-5) 3 Appearance (0-5) Totals 59.5 25.5 32.5 43.5 47.5 Key For Investment Prioritization: Score ≥ 50………Replace this year 30≤Score<50….Replace year 3 Score < 30 …….No Immediate action Tool Identifies analytical process used to make investment decisions

Investment Prioritization Required for Tier I and Tier II Providers A ranked listing of proposed projects and programs ordered by year and planned implementation Prioritization locally determined based on policy and need Must adequately consider Identified unacceptable safety risks Accessibility requirements Fiscally constrained based on estimated funding levels

TAM and SGR Policy Required for Tier I Providers Only Must Include: Transit provider vision Executive level direction to support the goals of the TAM program Documented commitment to achieve SGR Defined TAM objectives Defined and assigned roles and responsibilities

Implementation Strategy Required for Tier I Providers Only Must Include: Operational level process for implementing TAM plans Who and how

List of Key Annual Activities Required for Tier I Providers Only Must Include: A description of actions needed to implement TAM plan for each year of plan’s horizon (minimum 4 years) Software development Coordination between maintenance and finance departments, etc.

Identification of Resources Required for Tier I Providers Only Must Include: Staff time, technology requirements, funding, etc.

Evaluation Plan Required for Tier I Providers Only Must Include: How TAM activities will be monitored, evaluated and updated to ensure continuous improvement of TAM practice.

TAM Plan Adoption Required for Tier I Providers Only TAM Plans are self-certified by each Accountable Executive, and TAM plan requirements will be added to FTA’s annual Certifications and Assurances.

TAM Plan Timelines Required for Tier I and Tier II Providers Action Timeframe Set Targets January 2017 – January 2018 Initial TAM Plan October 2018 Plan Update Every 4 years Plan Horizion 4-year period Amendments During horizon period if a significant change

Reporting Tier I & Tier II Caltrans Electronic Grants Management (Tier II only)

Annual Reporting Requirements Required for Tier I and Tier II Providers Submit to NTD Data Reports: Projected performance targets for next fiscal year, system condition and performance reports. Narrative Report: Change in condition, progress toward targets. Group Plan Sponsors ~ submit consolidated reports on behalf of their participants

Electronic Grants Management (EGM) It is foreseen that: 5311 Subreipients Will Upload TAM Plan and Reporting Data Into EGM Caltrans Reports TAM Data to NTD for 5311 Program subrecipients

TAM Plan Review FTA will ~ Review TAM plans and progress during Triennial and State Management Reviews, as well as during MPO Certification Reviews Caltrans will ~ Check to ensure TAM Plans and TAM reportable data are current and posted in the EGM compliance section for each 5311 Agency as part of their grant application submittal

Planning Link Required for Tier I and Tier II Providers Transit Providers RTPA’s and MPO’s must coordinate to: Share TAM Plans and report targets in Long Range Transportation Plan (RTP) updates Report Targets and provide narrative for TIP Maintain records to support TAM Plan Group Plan Sponsors must: Report targets and provide narrative in STIP

Takeaways ~ Transit Agencies receiving FTA funds must. engage and Takeaways ~ Transit Agencies receiving FTA funds must engage and champion TAM – NEW FTA RULE. ~ Each transit agencies identify Accountable Executive & determine Tier. ~ Transit Agencies Establish ULB’s, Determine Targets/Performance Measures this year – to be reported 1/1/18. ~ Develop TAM Plan by 10/1/18. (Consider OWP Work Element for Regional TAM Coordination). ~ TAM Plans must be Updated Every 4 Years – coincides with Statewide, Metro and Non-Metro TP Planning and programming process, so RTPA/MPO Coordination is essential – see previous “Planning Link” slide.

Technical Assistance FTA Websites https://www.transit.dot.gov/TAM/rulemaking /finalrulefactsheet https://www.transit.dot.gov/TAM

Technical Assistance CalACT Conferences Spring of 2017 – Lake Tahoe Fall of 2017 – Monterey Spring of 2018 – TBD Fall of 2018 - TDB

Technical Assistance (CalACT) Tenley Borchman California Association for Coordinated Transportation (916) 920-8018 tenley@calact.org

Technical Assistance (Caltrans) Brian Travis Division of Rail and Mass Transportation (916) 654-9842 Brian.travis@dot.ca.gov

Technical Assistance (FTA) Mshadoni Smith Transit Asset Management 1200 New Jersey Ave., SE Washington, DC 20590 United States mshadoni.smith@dot.gov

Questions/Comments? Thank you!