Transit Asset Management Implementation for Tier II Providers and Sponsors

Transcription

1 Transit Asset Management Implementation for Tier II Providers and Sponsors

2 Course Goal The goal of this course is to facilitate an improved understanding of asset management and increased compliance with 49 CFR 625 for Tier II Providers, including Group Transit Asset Management Plan Sponsors and Group Plan Opt-outs 2

3 Course Objectives Describe fundamental transit asset management (TAM) principles and how they apply to small-sized transit agencies Reference the Transit Asset Management Final Rule requirements (49 CFR 625) for Tier II Agencies Summarize the benefits of a transit asset management plan and how it can be used to improve decision-making regarding the management of assets throughout their lifecycle Draft a transit asset management plan and navigate the plan template 3

4 Course Outline Module 1: Asset Management 101 Module 2: Performance Module 3: TAM Plans and Group Plans Module 4: Technical Resources Module 5: Close-Out 4

5 Ground Rules Please adjust cell phone to silent mode Please return from breaks on time Stay on task during learning activities Ask questions and participate in discussions Sign in and complete evaluation form 5

6 Participant Introductions In one minute or less: Your name, organization or department, and role How does your current role relate to asset management and the implementation of the rule? What are asset management priorities for your agency or department? Raise hand if you are a: Tier II Provider (e.g., 5311 subrecipient, member of American Indian Tribe, Agency with 100 revenue vehicles or less, Subrecipient of 5310 funds and do not receive direct Federal funding) Tier II Group TAM Plan Opt-Out Group TAM Plan Sponsor (State or MPO) Tier I Bus Only Operator 6

7 Rate Your Familiarity with TAM a) Very familiar with TAM, the federal requirements, and have already developed at least one TAM Plan for my agency b) Somewhat familiar with TAM; new to TAM Plans but very familiar with other parts of TAM (e.g., maintenance, condition assessments, capital improvement programming, etc.) c) Somewhat familiar with TAM, has participated or viewed all webinars and/or participated in FTA hosted roundtables, but new to TAM plans d) New to TAM and the federal requirements 7

8 Module 1 Asset Management 101

9 Module Objective By the end of this module, you will be able to: Describe what transit asset management is and why it s important Summarize what the new federal requirements for transit asset management are relevant to Small Providers 9

10 What is an Asset? 10 An asset is something that has potential or actual value to an organization The value will vary between different organizations and their stakeholders Value can be tangible or intangible, financial or non-financial. (International Standard ISO 55001:2014) In the context of FTA s TAM Rule, these primarily include the following asset categories: Rolling Stock (Revenue Vehicles) Equipment Facilities

11 Asset Management is a process of resource allocation, optimization and utilization It s about doing the right amount of work, at the right time for the right cost to deliver the right level of service Dispose/ Replace/ Enhance Rehabilitate /Improve Plan/Design /Acquire Use/ Operate Maintain/ Monitor The singular purpose for managing assets is to deliver a service. 11 The material provided on this slide is owned by WSP and is provided to the NTI for training purposes.

12 Asset Management is not just about maintenance and it is more than technology Continual Improvement People Processes Data & Information Technology Remember that PEOPLE do asset management! 12 The material provided on this slide is owned by WSP and is provided to the NTI for training purposes.

13 Transit Asset Management is The strategic and systematic practice of procuring, operating, inspecting, maintaining, rehabilitating, and replacing transit capital assets to manage their performance, risks, and costs over their life cycles, for the purpose of providing safe, cost-effective, and reliable public transportation State of Good Repair (SGR) is defined as the condition at which a capital asset is able to operate at a full level of performance that is, the asset can perform its designed function and does not pose unacceptable safety risk to users 13 Refer to 49 CFR 625.5

14 A State of Good Repair Backlog is the cumulative dollar value of deferred Transit Asset maintenance and replacement needs In other words, it s the total amount of money it would take at any given time to bring your assets back into acceptable condition 14

15 Why is Asset Management Important? Estimates from the National State of Good Repair Assessment identified $89.8 billion backlog in deferred maintenance and replacement needs, which continues to grow 15

16 Increasing Transit Asset Management Implementation Why is Asset Management Important? Focus on accountability and transparency Funding competition Needs Demand Complex trade-offs 16

17 Resistance to Failure Resistance to Failure Transit Asset Management Implementation All Assets Deteriorate and Eventually Fail unless they are properly maintained renewed or replaced Time/ usage Time/ usage The important thing is understanding the best way to manage the asset thereby reducing failures, reducing downtime, improving safety, and improving performance 17 The material provided on this slide is owned by WSP and is provided to the NTI for training purposes.

18 Benefits Include but are not Limited to: Creating a transparent audit trail for what is done, when and why Better understanding and usage of data and information to provide informed and consistent decisions Improved planning (especially capital prioritization) and improved financial performance Consistent, prioritized and auditable risk management Improved service and outputs 18 The material provided on this slide is owned by WSP and is provided to the NTI for training purposes.

19 TAM Rulemaking Process MAP-21 Effective (2012) Informal Outreach ( ) ANPRM Open for Comment (2013) NPRM Open for Comment (2015) FAST Act (12/2015) Final Rule Issued (7/26/16) Final Rule Effective as of October 1,

20 Transit Asset Management Final Rule Purpose: Establish a National Transit Asset Management System to monitor and manage public transportation capital assets to improve safety and increase reliability and performance Applicability: Applies to all recipients and subrecipients of Federal financial assistance under 49 U.S.C. Chapter 53 that own, operate, or manage capital assets used for providing public transportation FTA s Asset Management Final Rule is intended to address the $89.8 billion maintenance backlog and improve the condition, safety, reliability, and performance of transit assets in the US. 20

21 FTA Definition of Public Transportation The term public transportation is defined at 49 U.S.C and means regular, continuing shared-ride surface transportation services that are open to the general public or open to a segment of the general public defined by age, disability, or low income 21

22 Example of Public Transportation A service is not considered public transportation if: The service requires membership in a specific organization such as a shuttle for residents of a senior home, members of a church or an individual hospital s shuttle that picks up patients for doctor s appointments 22

23 Tier I and II Applicability Tier II Operates Rail OR 101 revenue vehicles in peak, scheduled fixed route service OR 101 revenue vehicles in one non-fixed route mode Tier Sub-recipient of 5311 funds OR American Indian Tribe OR 100 revenue vehicles in peak, scheduled fixed route service OR II 100 revenue vehicles in one non-fixed route mode 23

24 Federal Law Tier II Agency Requirements Establish TAM performance targets Coordinate these performance targets with the State and MPOs Develop a TAM Plan Report asset inventories, condition, and performance measures through the NTD 24

25 Definition of Accountable Executive A single, identifiable person who has ultimate responsibility for carrying out the safety management system of a public transportation agency; responsibility for carrying out transit asset management practices; and control or direction over the human and capital resources needed to develop and maintain both the agency s public transportation agency safety plan, in accordance with 49 U.S.C. 5329(d), and the agency s transit asset management plan in accordance with 49 U.S.C Refer to 49 CFR 625.5

26 Quick-Writes What is confusing? What is the clearest thing you understood? Take away messages? Most applicable statement to your area or role? 26

27 Module 2 Performance Reporting: Defining Performance Measures and Establishing Targets

28 Module Objective By the end of this module, you will be able to: Describe requirements for performance measurement and reporting Identify performance measures by asset category Define an asset s useful life benchmark Determine what data is needed to develop a performance baseline and set realistic targets 28

29 Performance Measures Under the National TAM System, FTA is required to set SGR performance measures These performance measures support improved decision-making and provide a basis for agencies to determine whether assets are in a condition sufficient to operate at a full level of performance 29

30 Performance Measures Default SGR performance measures are set by asset category: Asset Category Performance Measure Performance Target Rolling Stock All revenue vehicles Age % of revenue vehicles within a particular asset class that have met or exceeded their Useful Life Benchmark (ULB) Equipment Maintenance equipment or nonrevenue vehicles Age % of non-revenue vehicles that have met or exceeded their Useful Life Benchmark (ULB) 30 Facilities All buildings or structures Condition % of facilities with a condition rating below 3.0 on the FTA Transit Economic Requirements Model (TERM) Scale

31 Performance Standards SGR standards a capital asset is in a SGR if: It can perform its intended function Its use does not represent an unacceptable safety risk Lifecycle investment needs have been recovered 31

32 An Asset s Life Can Be Defined By: Technical life Technical state requiring replacement Commercial life Legal agreement for charging purposes (e.g., lease) Financial life The period over which assets are financially depreciated over their useful economic life 32

33 Asset s Useful Life Benchmark Useful Life Benchmark (ULB) the expected lifecycle of a capital asset for a particular Transit Provider s operating environment, or the acceptable period of use in service for a particular Transit Provider s operating environment ULB takes into account a provider s unique operating environment (geography, service frequency, passenger loads, etc.) It is not the same as useful life for FTA grant programs 33

34 Tier II Performance Measures Examples Asset Category Rolling Stock Equipment Facilities Measure Applicability Measure ULB Example All revenue vehicles used in the provision of public transit -- by vehicle class/mode Only non-revenue service vehicles with direct capital responsibility, no third party assets Only facilities with direct capital responsibility (not bus structures only maintenance, administrative and passenger stations/ parking facilities) Age (ULB) Age (ULB) Condition (TERM) Van = 5 yrs; Cutaway = 6 yrs Lift = 5 yrs Maintenance Facility = 3 34

35 Performance Key Takeaways Performance Element Measure Applicability Performance Measures Rolling Stock/ Equipment = Age Facilities = Condition Asset Categories ULB Age Asset Classes Performance Targets % Asset Classes 35

36 Sample Default Vehicle ULBs Revenue Vehicle Type FTA Default ULB Articulated Bus (AB) 14 Automated Guideway Vehicle (AG) 31 Automobile (AO) 8 Over-the-Road Bus (BR) 14 Bus (BU) 14 Cable Car (CC) 112 Cutaway Bus (CU) 10 Double Decked Bus (DB) 14 Ferry Boat (FB)

37 Sample Default Vehicle ULBs (Cont d) Revenue Vehicle Type FTA Default ULB Heavy Rail Passenger Car (HR) 31 Inclined Plane Vehicle (IP) 56 Light Rail Vehicle (LR) 31 Minibus (MB) 10 Monorail Vehicle (MO) 31 Minivan (MV) 8 Other Rubber Tire Vehicles 14 Commuter Rail Locomotive (RL) 39 Commuter Rail Passenger Coach (RP) 39 37

38 Sample Default Vehicle ULBs (Cont d) Revenue Vehicle Type FTA Default ULB Commuter Rail Self-Propelled Passenger Car (RS) 39 Rubber-Tired Vintage Trolley (RT) 14 School Bus (SB) 14 Steel Wheel Vehicles 25 Streetcar (SR) 31 Sport Utility Vehicle (SV) 8 Trolleybus (TB) 13 Aerial Tramway (TR) 12 Van (VN) 8 Vintage Trolley (VT) 58 38

39 Facility Condition Assessment Rating Condition Description 5 Excellent No visible defects, new or near new condition, may still be under warranty if applicable 4 Good Good condition, but no longer new, may have some slightly defective or deteriorated component(s), but is overall functional 3 Adequate Moderately deteriorated or defective components; but has not exceeded useful life 2 Marginal Defective or deteriorated component(s) in need of replacement; exceeded useful life 1 Poor Critically damaged component(s) or in need of immediate repair; well past useful life State of Good Repair (Facilities) = 3+ 39

40 Performance Target Requirements Targets must: Be set annually for each asset class included in TAM Be supported by data Be reported to NTD (Mandatory reporting begins RY2018) Be approved by the agency s Accountable Executive every fiscal year Be coordinated with States and MPOs to the extent practical No penalty for not meeting 40

41 Performance Target Requirements For State DOTs developing Group TAM plan, targets apply to the group as a whole Review FTA SGR Performance Measure for Asset Category e.g. Age Use default ULB or Select Agency Measure for the Useful Life Benchmark: Years of Service Mileage Remaining Useful Life Other e.g. Years of Service Set the ULB for SGR Considering Various Options: FTA Default ULB: 14 Years Manufacturer: 10 Years of Useful Life Local Experience with Vehicles: 15 Years of Useful Life e.g. 15 Years Select SGR Performance Target for Asset Class e.g. 100% of Vehicles Meet or Exceed the ULB 41

42 Recordkeeping and Reporting Requirements TAM Plan records and documentation must be kept at all times TAM Plans should be shared with State and MPO, and should be kept for their period of applicability Reports to be submitted annually to NTD: Data report: discussion of SGR performance targets and current assessment of system condition and performance Narrative report: description of condition changes in transit system and progress towards meeting targets 42

43 TAM NTD Reporting What s New Asset Inventories Data Report Admin and Maintenance Facilities Include individual facility inventory: facility name, street address, primary mode served at facility, type, year built or reconstructed, square footage, and condition assessment Passenger Stations and Parking Include individual facility inventory: facility name, street address, primary mode served at facility, type, year built or reconstructed, square footage and number of parking spaces, % transit agency capital responsibility, and condition assessment Revenue Vehicles Quantity, expected service life, year of manufacture, and addition of a useful life benchmark Service Vehicles Detailed count of vehicles by type, age, etc. Addition of useful life benchmark for each vehicle type

44 TAM NTD Reporting What s New Data Report, Continued Annual performance targets (one for each asset type for next fiscal year) Annual performance (actual) Facility condition and performance assessment (full implementation over 3 years) Narrative Report Explanation for any change in the condition of the transit system Investments/progress towards meeting performance targets

45 TAM NTD Data Reporting Requirements Assets Revenue Vehicles TAM Plan Inventory TAM Plan Condition Assessment NTD Inventory & Condition Submittal SGR Targets Owned Direct Capital Responsibility 3 rd Party Owned (Direct Capital Responsibility) 3 rd Party Owned (NO Direct Capital Responsibility) *Representative vehicles (excludes taxis) * 45

46 TAM NTD Data Reporting Requirements 46 Assets TAM Plan Inventory Equipment: Non-Revenue Vehicles TAM Plan Condition Assessment NTD Inventory & Condition Submittal SGR Targets Owned Direct Capital Responsibility 3 rd Party Owned Equipment: >$50,000 in Acquisition Value Owned Direct Capital Responsibility 3 rd Party Owned Equipment <$50K in Acquisition Value

47 TAM NTD Data Reporting Requirements Assets Facilities TAM Plan Inventory TAM Plan Condition Assessment NTD Inventory & Condition Submittal SGR Targets Owned Direct Capital Responsibility 3 rd Party Owned (Direct Capital Responsibility) 3 rd Party Owned (NO Direct Capital Responsibility) Passenger Facilities Only 47

48 TAM NTD Data Reporting Requirements Key Takeaways: All asset that are owned/have direct capital responsibility for must be reported on (even if 3rd party owned and not obtained with FTA funds but used in the provision of public transportation service) Taxis are not included Non-revenue vehicles (unless 3rd party owned) must be reported on regardless of cost SGR targets are only required for revenue/non-revenue vehicles and facilities (owned/have direct capital responsibility for) 48

49 TAM NTD Reporting Requirements Optional reporting RY 2017 TAM Plan compliance Oct 1, 2018 Mandatory reporting starting RY 2018 Fiscal Year Ends Report Due July to June October 31 st, 2018 October to September January 30 th, 2019 January to December April 30 th,

50 Performance Reporting to NTD See NTD Reporting Guidance, Form A-90 50

51 Activity #1 Performance Measures and Targets

52 Activity #1 Debrief Did you adjust any Useful Life Benchmarks? If so, why and how did you determine which Useful Life Benchmarks to apply? How did you determine your performance targets? What process and/or factors supported your decision making? How does this activity example compare to your own ULB and performance target setting experience? Is there anything you would do differently? 52

53 Quick-Writes What is confusing? What is the clearest thing you understood? Take away messages? Most applicable statement to your area or role? 53

54 Module 3 TAM Plans and Group Plans

55 Module Objective By the end of this module, you will be able to: Explain what a TAM Plan is, its purpose, and approaches to development Describe the required contents of a Tier II TAM Plan and/or Group Plan, including: Inventory Condition Assessments Decision-Support Prioritization of Investments 55

56 What is a TAM Plan? A TAM plan establishes the objectives for an asset or group of assets as it relates to delivering service It sets out the whole life plan for asset maintenance, overhaul, and renewal strategies by specifying the capital asset inventory, condition assessments, decision support tools, and investment prioritization A TAM plan is a living, single source of information that will continue to evolve to improve delivery of services TAM Plans must be updated in their entirety at least once every four years 56

57 Why are TAM Plans Important? TAM Plans are important to the sustainable development of an organization and improvement of performance and safety conditions. TAM Plans are essential for: Legislative Requirements Funding Applications Long Term Financial Plans Lifecycle Services Current legislation require development of TAM plans (e.g., MAP-21/FAST Act) Federal, and some state, funding applications require a lifecycle investment plan for consideration (e.g., State of Good Repair Grants) TAM plans are powerful tools for creating financial plans and decision making because the TAM plan displays historical data, projected goals, and work plans TAM plans detail and organize an asset s lifecycle activities and forecast trends in performance and service 57 The material provided on this slide is owned by WSP and is provided to the NTI for training purposes.

58 Benefits of Developing a TAM Plan Benefits come from the process of developing the plan rather than the plan itself Knowledge of: Target level of service Existing assets and their condition Asset performance How assets are used and maintained Gives us the ability to: Predict demand Predict how assets will fail Forecast likelihood of failures Assess probable consequences of failures Which, in turn enables us to: Effectively manage the asset lifecycle Confidently provide sustained performance at the lowest lifecycle cost Effectively manage asset related risks Justify funding requirements to deliver required levels of service Which allows us to: Analyze alternative operations and maintenance options Prioritize operations, maintenance, renewals on a benefit-cost basis Rationalize budgets Optimize O&M activities 58 The material provided on this slide is owned by WSP and is provided to the NTI for training purposes.

59 Approaching the TAM Plan Top Down Early TAM Plans (or baseline TAM plan ) System or network level analysis Intermediate TAM Plans Mixture of both Bottom Up Advanced TAM Plans Asset/component level analysis 59 The material provided on this slide is owned by WSP and is provided to the NTI for training purposes.

60 Core Group/Tier II TAM Plan Elements Introduction Asset Inventory Condition Assessment Decision- Support Investment Prioritization What services are you running? TAM/SGR goals? Performance targets? Recent or foreseeable challenges that may affect your agency and ability to provide transport services? (e.g. population growth, inheritance of major assets, etc.) What assets do you own or lease to deliver public transportation services What data do you maintain on these assets? and how? What condition are those assets in to run the services required? How do they compare to the condition targets set for the asset class? What tools or processes are used to estimate capital investment needs? How are they prioritized and who is involved? What does your program of projects look like over your TAM Plan horizon? In what priority order and in which year(s) will these investments occur? Do any of the projects address identified safetyrelated risks? Does it consider reasonably estimated funding levels? Develop TAM plan, incorporate into budgeting process, review/revisit/update regularly 60

61 Asset Inventory The asset inventory includes all assets used in the provision of public transportation with or without FTA funds including: All Revenue Vehicles Owned by agency, not owned but have direct capital responsibility, and owned by 3 rd party agencies Equipment (Non-Revenue Vehicles) Only those that are owned by agency and/or have direct capital responsibility over, regardless of cost. 3 rd party owned equipment not included Equipment (Other Equipment) Only those equipment with an acquisition value of over $50K that are owned by agency and/or have direct capital responsibility over. 3 rd party owned equipment not included All Facilities Owned by agency, not owned but have direct capital responsibility, and owned by 3 rd party agencies (regardless of capital responsibility) 61

62 Asset Inventory Revenue Vehicle Types NTD Code Revenue Vehicle Type NTD Code AR Articulated Bus MV Minivan AO Automobile SB School Bus Revenue Vehicle Type BR Over the Road Bus SV Sport Utility Vehicle BU Bus TB Trolley Bus CC Cable Car TR Aerial Tramway CU Cutaway Bus VN Van DB Double Decked Bus VT Vintage Trolley / Streetcar MB Minibus Note: Rail vehicles and other revenue vehicles operated by larger transit agencies classified as Tier I are not included in the table above. 62

63 Asset Inventory Equipment Types Equipment: Non-Revenue Vehicles Automobiles Trucks and other rubber tire vehicles Steel wheel vehicles 63

64 Asset Inventory Facility Types Facilities: Administrative and Maintenance Maintenance Facility (Service and Inspections) Heavy Maintenance and Overhaul General Purpose Maintenance Facility / Depot Vehicle Washing Facility Vehicle Blow-Down Facility Vehicle Fueling Facility Administrative Office / Sales Office Revenue Collection Facility Combined Administrative and Maintenance Facility Other 64

65 Asset Inventory Facility Types (Cont d) Facilities: Passenger/Parking Facility Inventory Bus Transfer Center Elevated Fixed Guideway Station At-Grade Fixed Guideway Station Underground Fixed Guideway Station Simple At-Grade Platform Station Surface Parking Lot Parking Structure Other 65

66 Condition Assessment Condition assessment is required for those inventoried assets for which a provider has direct capital responsibility Condition assessment must generate information in a level of detail sufficient to monitor and predict the performance of the assets and to inform the investment prioritization 66 Refer to 49 CFR

67 Condition Assessment The condition assessment is a systematic process of inspecting and evaluating the visual and/or measured condition of your assets A well-established condition assessment process can help predict failure, identify unacceptable safety risks, initiate an evaluation of their root causes, and integrate directly with proactive planning for SGR investments 67

68 Facility Condition Assessment Site Substructure Shell Equipment/ Fare Collection Electrical Facility Condition Interiors Conveyance Fire Protection Plumbing HVAC 68

69 Facility Condition Assessment Primary Rating Level Secondary Rating Level Substructure Foundations: Walls, columns, pilings other structural components Basement: Materials, insulation, slab, floor underpinnings Shell Superstructure / structural frame: Columns, pillars, walls Roof: Roof surface, gutters, eaves, skylights, chimney surrounds Exterior: Windows, doors, and all finishes (paint, masonry) Shell appurtenances: Balconies, fire escapes, gutters, downspouts Interiors Partitions: Walls, interior doors, fittings such as signage Stairs: Interior stairs and landings Finishes: Materials used on walls, floors, and ceilings 69 Guidebook downloadable at: docs/regulations-and-guidance/asset-management/60361/tam-facility-performance-measurereporting-guidebook.pdf

70 Facility Condition Assessment (Cont d) 70 Minimum Primary Rating Level Secondary Rating Level Conveyance Elevators, escalators, lifts Plumbing Fixtures, water distribution, sanitary waste, rain water drainage HVAC Energy supply Heating and cooling generation and distribution systems Testing, balancing, controls and instrumentation Chimneys and vents Fire Protection Sprinklers, standpipes, hydrants and other fire protection specialties Electrical Electrical service and distribution Lighting and branch wiring (interior and exterior) Communications and security Other electrical system-related pieces such as lightning protection, generators, and emergency lighting

71 Facility Condition Assessment (Cont d) 71 Minimum Primary Rating Level Equipment (For M&A Facilities) Fare Collection (For Passenger Facilities) Secondary Rating Level Equipment related to the function of the facility, including maintenance or vehicle service equipment For clarity, includes only items valued above $10,000 and related to facility function Turnstiles, ticket machines, and any other major equipment requiring capital request for replacement Site Roadways/driveways and associated signage, markings, and equipment Parking lots/pedestrian areas and associated signage, markings, and equipment Site development such as fences, walls, and miscellaneous structures Landscaping and irrigation Site utilities

72 Facility Condition Aggregation Approaches Facilities must be evaluated by rating level and then aggregated to determine the overall facility condition. Three approaches include: Approach Description Notes Weighted Average Condition Median Value Alternative Weighting Based on replacement cost for each facility rating level Based on median value across rating levels Custom (e.g., average, weighted by criticality or proxy for asset value, etc.) Best if rating level replacement costs exists Good if limited data on replacement costs Calculation approach and rationale for its use must be documented For more detail, please refer to FTA TAM Facility Performance Measure Reporting Guidebook: Condition Assessment Calculation 72 Guidebook downloadable at: docs/regulations-and-guidance/asset-management/60361/tam-facility-performance-measurereporting-guidebook.pdf

73 Prioritization and Decision-Making Include analytical processes or tools used to support: capital and/or operating decisions Investment prioritization The tool does not have to be software. It can be a documented process; prioritization framework; worstfirst, red/amber/green, or index approach, etc. 73

74 Example Prioritization Framework Set prioritization factors and indicators Assign scoring definitions and weightings Determine prioritization index score Prioritization Factor Criticality Strategic Objective Condition Risk Description Scores the criticality of each asset based on the nature of impact on the system, location, and service provision Scores the impact of each asset (or proposed capital intervention) on agency s key strategic cornerstones Scores based on the condition of each asset Scores based on the risk of asset failure, including the probability and impact magnitude of failure 74

75 Example Prioritization Framework Prioritization Index Scoring Sheet (Sample) Factor No. --> Factor Name --> Factor Weight --> Indicator --> System Impact Network Location Factor 1 Criticality Factor 2 Strategic Objective Service Provision Factor Ave Planning Investment Delivery Factor Ave Proposed SGR Project A Proposed SGR Project B Proposed SGR Project C Prioritization Index Scoring Sheet (Sample) Factor No. --> Factor Name --> Factor Weight --> Indicator --> Age Visual Condition Reliability Factor 3 Condition Factor Measured Condition Mtce Condition Factor Ave Strategic Operational Financial Factor Ave Proposed SGR Project A Proposed SGR Project B Proposed SGR Project C Risk Prioritization Index Score

76 Investment Prioritization Ranked project-based prioritization of investments over the TAM Plan horizon period Should consider those that pose an identified unacceptable safety risk Only required for those that the agency has direct capital responsibility for Should consider all funding sources reasonably expected in each fiscal year over the horizon period 76 Refer to 49 CFR and

77 Example #2 10-Year Cost Schedule Capital and fleet costs (partial snapshot) Example courtesy of Akron METRO Bus 77

78 Example #2 10-Year Cost Schedule Operations cost (partial snapshot) Example courtesy of Akron METRO Bus 78

79 Tier I Additional Requirements TAM and SGR Policy TAM Plan implementation strategy Description of key TAM activities over the TAM Plan horizon period Summary or list of resources, including personnel, that a provider needs to develop and carry out the TAM Plan Outline of how a provider will monitor, update, and evaluate its TAM Plan and related business practices, to ensure continuous improvement of TAM practices 79 Refer to 49 CFR

80 TAM Plan Considerations TAM Plan must cover a horizon period of at least four years Providers must update its entire TAM Plan at least once every four years Amendments to TAM Plan may take place at any time during the TAM Plan horizon period, especially if significant changes to: Asset inventory Condition assessments Investment prioritization 80 Refer to 49 CFR

81 Quick-Writes What is confusing? What is the clearest thing you understood? Take away messages? Most applicable statement to your area or role? 81

82 Module 4 Technical Resources

83 Module Objective By the end of this module, you will be able to: Know how to apply the Asset Management Guide for Small Providers and TAM Plan Template Determine what technical resources are available for the development of TAM plans and implementation of the FTA TAM Final Rule 83

84 TAM Guide for Small Providers (2016) The guide serves as a supplement to the 2012 FTA TAM Guide, applying the asset management framework for small providers NOT a surrogate for FTA s federal regulations but incorporates the rules to provide guidance for a baseline, good practice asset management plan Small Providers: Fewer assets and asset classes Fewer resources for asset management May be rural, tribal, or urban FTA s Tier II providers 84 Refer to page 6 of TAM Guide for Small Providers

85 TAM Guide Parts I and II The TAM Plan Primer provides information for developing and implementing a TAM plan, with examples of effective practices, and answers to frequently asked questions The TAM Plan Template is a menudriven Excel tool that can support the development of a TAM Plan for small providers 85 While the Primer can be used as a reference document on its own, the Template should be used with the guidelines provided in the Primer.

86 TAM Plan Primer Highlights (Part I) Section 1: Transit Asset Management 101 Section 2: Introduction 2.1 Who is This Guide Intended For? 2.2 What is a Transit Asset? 2.3 What is Transit Asset Management (TAM)? 2.4 Why Asset Management? 2.5 How Does This Guide Align with MAP-21 Requirements for Small Providers? Section 3: Transit Asset Management Plans 3.1 Overview of TAM Plan and Structure 3.2 Other TAM Plan Considerations: Reporting, Updates, and Continual Improvements Section 4: Frequently Asked Questions Section 5: Resources 86 Downloadable at:

87 How Federal Requirements are Met Requirement Reference Requirement Part I Guide Reference 49 CFR (b)(1) Develop TAM Plan that includes capital asset Section inventories 49 CFR (b)(1) and (2) Develop TAM Plan that includes condition Section assessments 49 CFR (b)(3) Develop TAM Plan that references use of decision Section support tools 49 CFR (b)(4) in Develop TAM Plan that includes investment Section accordance with prioritization 49 CFR (a)(1) Report on condition of system Sections and CFR (a)(2) Provide description of any change in condition since Sections and 3.2 last report 49 CFR (a)(1) and (2) Provide performance targets in relation to SGR Sections and 3.2 performance measures 49 CFR (a)(2) Report on progress toward meeting performance Sections and 3.2 target 49 CFR (b)(1) and (2) Provide subsequent fiscal year performance targets Sections and Refer to page 10 of TAM Guide for Small Providers

88 Five TAM Plan Core Elements The purpose of a TAM Plan is to specify the activities (maintenance, overhaul/renewal, replacement, etc.), resources, and timescales required for a group of assets to achieve the agency s service and asset management objectives. Introduction Asset Inventory Condition Assessment Decision- Support Investment Prioritization What services are you running? TAM/SGR goals? Performance targets? Recent or foreseeable challenges that may affect your agency and ability to provide transport services? (e.g. population growth, inheritance of major assets, etc.) What assets do you own or lease to deliver public transportation services What data do you maintain on these assets? and how? What condition are those assets in to run the services required? How do they compare to the condition targets set for the asset class? What tools or processes are used to estimate capital investment needs? How are they prioritized and who is involved? What does your program of projects look like over your TAM Plan horizon? In what priority order and in which year(s) will these investments occur? Do any of the projects address identified safetyrelated risks? Does it consider reasonably estimated funding levels? (Section 3.1.1) (Section 3.1.3) (Section 3.1.4) (Section 3.1.5) (Section 3.1.6) 88 Refer to pages of TAM Guide for Small Providers

89 Overview of the TAM Plan Template (Part II) Nine (9) Parts: Instructions Getting Started Introduction April Capital Asset Inventory Condition Assessment Decision Support Investment Prioritization Fleet Replacement Module TAM Plan and Appendices UPDATED POST FINAL RULE!

90 Template User Instructions Who should use the template? State DOTs or MPOs developing plans for subrecipients Small transit providers developing their own plans Guidance on how to navigate through the tool DATA ENTRY KEY: Input Cell Error TAB COLOR KEY Data Entry Output Intro/Reference Comprehensive vs basic plans: provides the option to hide all comprehensive questions 90

91 Key Instructions to Remember Title of the page/worksheet Information should only be entered in these yellow boxes Answer these questions to complete the template. This bar denotes sections required by the FTA TAM Final Rule Information in blue boxes differentiates Group Sponsor use of the template from Small Provider use. 91

92 Getting Started Note: Getting Started information is not included in final output 92

93 Introduction Sheet Establishes Plan Context Basic Comprehensive 93 Refer to page 12 of TAM Guide for Small Providers

94 Capital Asset Inventory Sheet Primary Data Entry Data collected includes: Characteristics (manufacturer, quantity, age, mileage, etc.) Historical Data Valuation (replacement cost) Asset owner 94 Refer to page 14 of TAM Guide for Small Providers

95 Capital Asset Inventory Sheet Instructions Follow the five-step process (Steps 1-3): Inventory Table 1. On the Inventory Table (on the right), list all assets Use the drop down menus where provided Asset Category Asset Class Asset Name Make Model Count Facilities* RevenueVehicles RevenueVehicles RevenueVehicles RevenueVehicles Maintenance CU - Cutaway Bus CU - Cutaway Bus CU - Cutaway Bus CU - Cutaway Bus York Street Maintenance Building ID/ Serial No. N/A N/A 1 MAINT0010 #61 Ford Startrans 1 05-HTD #62 Chevy Senator 1 CO #63 Chevy Senator 1 07-HTD #65 Chevy Senator 1 07-HTD Asset Owner Example Agency Para Transit Fixed Route Fixed Route Fixed Route Acquisition Year Vehicle Mileage Replacement Cost/Value 2000 $50, $50, $89, $81, $89, Click the Add More button only after some yellow cells are filled 3. Be sure to click Finish when complete Add More Finish 95

96 Capital Asset Inventory Sheet Instructions Follow the five-step process (Steps 4-5): 4. Click the Summarize button to populate the summary table Asset Inventory Listing Asset Category/Class Total Avg Avg Number Age Mileage Avg Value RevenueVehicles #DIV/0! $164, AB - Articulated Bus AO - Automobile BR - Over-the-road Bus BU - Bus #DIV/0! $304, CU - Cutaway Bus #DIV/0! $82, Summarize Custom N/A - Custom N/A - Back Save Continue 5. Click Continue to proceed to the next sheet 96

97 Condition Assessment Sheet Generates a summary of asset condition 97 Refer to page 15 of TAM Guide for Small Providers

98 Decision Support Sheet Documents strategies, processes, and activities needed over asset lifecycles Basic Comprehensive 98 Refer to page 18 of TAM Guide for Small Providers

99 Investment Prioritization Sheet Documents specific activities and projects to maintain a state of good repair 99 Refer to page 20 of TAM Guide for Small Providers

100 Fleet Replacement Module Uses inventory data to recommend fleet replacement schedules 100

101 A Complete Template Produces Output in the Form of a Draft TAM Plan Red cells indicate missing information for a basic plan 101

102 Frequently Asked Questions Can the output be used as a complete TAM Plan? What if I already collect data from my subrecipients another way? What is the benefit of using this to collect information for a group plan? The tool is not a step-by-step guide on achieving FTA compliance However, the output produces a draft TAM Plan which will include Federally required parts This should be reviewed to ensure accuracy and fit for purpose The template is a resource that should be used to augment existing processes Some agencies may find this more useful than others Information collected would be standardized and based on Federal requirements The template can provide a useful summary of sub-recipient information 102

103 TAM Guide Acknowledgements Providers: Clay County Transportation Ki Bois Area Transit System Malheur Council on Aging & Community Services Roaring Fork Transit Authority Sandusky County Public Transportation: TRIPS (A Division of WSOS Communication Action) National Industry Groups/Technical Assistance Centers: National Rural Transit Assistance Program National Transit Institute AASHTO SCOPT/MTAP State Departments of Transportation: Illinois Department of Transportation Maryland Department of Transportation Michigan Department of Transportation Mississippi Department of Transportation New Mexico Department of Transportation Ohio Department of Transportation Pennsylvania Department of Transportation Washington Department of Transportation Wisconsin Department of Transportation 103

104 Technical Resources FTA Asset Management Guide for Small Providers FTA TAM Facility Performance Measure Reporting Guidebook: Condition Assessment Calculation NTD Asset Inventory Modules and Information FTA Transit Asset Management 104

105 Technical Resources 105 Transit Cooperative Research Program (TCRP) Report 172: Guidance for Developing a Transit Asset Management Plan Transportation Research Board (TRB) Public Transportation Research The Institute of Asset Management (IAM) International Infrastructure Management Manual (IIMM)/New Zealand Asset Management Support (NAMS) ISO Standards Catalog ISO/PC 251 Asset Management

106 Activity #2 Developing a TAM Plan

107 Activity #2 Debrief In thinking about the major requirements of a Tier II TAM Plan What information and analysis is included? What is missing? What could be improved? How would you structure the TAM Plan differently, if at all? Think about the process your agency has gone/will go through in developing its TAM Plan. What process will you follow to obtain and integrate the various pieces of information required to improve decision making? 107

108 Module 5 Close-Out

109 Points to Walk Away With What is transit asset management? How can it help you? What is required for implementation? What are next steps you can take now? 109

110 How Can it Help You? Lower long-term costs for asset preservation More consistent performance Improve safety Better decision making: More transparency Improved ability to make the case for funding requests and respond to funding fluctuations Consideration of agency risks 110

111 What is Required for Implementation? Strong executive support Willingness to assess current situation and improve Buy-in by managers and staff at all levels Inter-disciplinary perspective Sustained, consistent, multi-year commitment 111

112 How Can You Move Forward? No single, correct approach to asset management Implementation can be incremental, accomplished in stages Focus on fully utilizing existing resources Start by addressing known gaps Utilize existing and forthcoming technical resources 112

113 Wrap-Up and Evaluation Are there any remaining questions to be addressed? Have you initialed the sign-in sheet? Have you completed and turned in the course evaluation? 113

114 Course Evaluation 1 = Strongly Disagree (Poor), 5 = Strongly Agree (Excellent) Blue or black pen Do not cross out mistakes! Fill circles completely /14/2017 Atlanta GA 114

115 Instructor Evaluation 1 = Strongly Disagree (Poor), 5 = Strongly Agree (Excellent) Blue or black pen Do not cross out mistakes! Fill circles completely O Har, John