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TRANSIT TCRP SYNTHESIS 92 COOPERATIVE RESEARCH PROGRAM Sponsored by Transit Asset Condition Reporting the Federal Transit Administration A Synthesis of Transit Practice
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TCRP OVERSIGHT AND PROJECT TRANSPORTATION RESEARCH BOARD 2011 EXECUTIVE COMMITTEE* SELECTION COMMITTEE* CHAIR OFFICERS KEITH PARKER VIA Metropolitan Transit Chair: Neil J. Pedersen, Administrator, Maryland State Highway Administration, Baltimore Vice Chair: Sandra Rosenbloom, Professor of Planning, University of Arizona, Tucson MEMBERS Executive Director: Robert E. Skinner, Jr., Transportation Research Board JOHN BARTOSIEWICZ McDonald Transit Associates MEMBERS MICHAEL BLAYLOCK Jacksonville Transportation Authority J. BARRY BARKER, Executive Director, Transit Authority of River City, Louisville, KY RAUL BRAVO DEBORAH H. BUTLER, Executive Vice President, Planning, and CIO, Norfolk Southern Raul V. Bravo & Associates Corporation, Norfolk, VA TERRY GARCIA CREWS WILLIAM A.V. CLARK, Professor, Department of Geography, University of California, Metro Cincinnati Los Angeles CAROLYN FLOWERS EUGENE A. CONTI, JR., Secretary of Transportation, North Carolina DOT, Raleigh Charlotte Area Transit System JAMES M. CRITES, Executive Vice President of Operations, Dallas-Fort Worth International ANGELA IANNUZZIELLO Airport, TX Genivar Consultants PAULA J. HAMMOND, Secretary, Washington State DOT, Olympia JOHN INGLISH MICHAEL W. HANCOCK, Secretary, Kentucky Transportation Cabinet, Frankfort Utah Transit Authority PAUL JABLONSKI ADIB K. KANAFANI, Cahill Professor of Civil Engineering, University of California, Berkeley San Diego Metropolitan Transit System MICHAEL P. LEWIS, Director, Rhode Island DOT, Providence SHERRY LITTLE SUSAN MARTINOVICH, Director, Nevada DOT, Carson City Spartan Solutions, LLC MICHAEL R. MORRIS, Director of Transportation, North Central Texas Council of Governments, JONATHAN H. MCDONALD Arlington HNTB Corporation TRACY L. ROSSER, Vice President, Regional General Manager, Wal-Mart Stores, Inc., GARY W. MCNEIL Mandeville, LA GO Transit STEVEN T. SCALZO, Chief Operating Officer, Marine Resources Group, Seattle, WA MICHAEL P. MELANIPHY HENRY G. (GERRY) SCHWARTZ, JR., Chairman (retired), Jacobs/Sverdrup Civil, Inc., St. Louis, MO Motor Coach Industries BEVERLY A. SCOTT, General Manager and CEO, Metropolitan Atlanta Rapid Transit Authority, BRADFORD MILLER Pinellas Suncoast Transit Authority Atlanta, GA FRANK OTERO DAVID SELTZER, Principal, Mercator Advisors LLC, Philadelphia, PA PACO Technologies LAWRENCE A. SELZER, President and CEO, The Conservation Fund, Arlington, VA PETER ROGOFF KUMARES C. SINHA, Olson Distinguished Professor of Civil Engineering, Purdue University, FTA West Lafayette, IN JEFFREY ROSENBERG THOMAS K. SOREL, Commissioner, Minnesota DOT, St. Paul Amalgamated Transit Union DANIEL SPERLING, Professor of Civil Engineering and Environmental Science and Policy; RICHARD SARLES Director, Institute of Transportation Studies; and Interim Director, Energy Efficiency Center, Washington Metropolitan Area Transit Authority University of California, Davis MICHAEL SCANLON KIRK T. STEUDLE, Director, Michigan DOT, Lansing San Mateo County Transit District JAMES STEM DOUGLAS W. STOTLAR, President and CEO, Con-Way, Inc., Ann Arbor, MI United Transportation Union C. MICHAEL WALTON, Ernest H. Cockrell Centennial Chair in Engineering, University of GARY THOMAS Texas, Austin Dallas Area Rapid Transit FRANK TOBEY EX OFFICIO MEMBERS First Transit PETER H. APPEL, Administrator, Research and Innovative Technology Administration, U.S.DOT MATTHEW O. TUCKER J. RANDOLPH BABBITT, Administrator, Federal Aviation Administration, U.S.DOT North County Transit District PAM WARD REBECCA M. BREWSTER, President and COO, American Transportation Research Institute, Ottumwa Transit Authority Smyrna, GA PHILLIP WASHINGTON ANNE S. FERRO, Administrator, Federal Motor Carrier Safety Administration, U.S.DOT Denver Regional Transit District LEROY GISHI, Chief, Division of Transportation, Bureau of Indian Affairs, U.S.DOT ALICE WIGGINS-TOLBERT JOHN T. GRAY, Senior Vice President, Policy and Economics, Association of American Railroads, Parsons Brinckerhoff Washington, DC JOHN C. HORSLEY, Executive Director, American Association of State Highway and EX OFFICIO MEMBERS Transportation Officials, Washington, DC WILLIAM W. MILLAR DAVID T. MATSUDA, Deputy Administrator, Maritime Administration, U.S.DOT APTA ROBERT E. SKINNER, JR. VICTOR M. MENDEZ, Administrator, Federal Highway Administration, U.S.DOT TRB WILLIAM W. MILLAR, President, American Public Transportation Association, Washington, DC JOHN C. HORSLEY TARA O'TOOLE, Under Secretary for Science and Technology, U.S. Department of Homeland AASHTO Security, Washington, DC VICTOR MENDEZ ROBERT J. PAPP (Adm., U.S. Coast Guard), Commandant, U.S. Coast Guard, U.S. Department of FHWA Homeland Security, Washington, DC CYNTHIA L. QUARTERMAN, Administrator, Pipeline and Hazardous Materials Safety TDC EXECUTIVE DIRECTOR Administration, U.S.DOT LOUIS SANDERS APTA PETER M. ROGOFF, Administrator, Federal Transit Administration, U.S.DOT DAVID L. STRICKLAND, Administrator, National Highway Traffic Safety Administration, U.S.DOT SECRETARY JOSEPH C. SZABO, Administrator, Federal Railroad Administration, U.S.DOT CHRISTOPHER W. JENKS POLLY TROTTENBERG, Assistant Secretary for Transportation Policy, U.S.DOT TRB ROBERT L. VAN ANTWERP (Lt. Gen., U.S. Army), Chief of Engineers and Commanding General, U.S. Army Corps of Engineers, Washington, DC BARRY R. WALLERSTEIN, Executive Officer, South Coast Air Quality Management District, Diamond Bar, CA *Membership as of July 2011. *Membership as of June 2011.
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TRANSIT COOPERATIVE RESEARCH PROGRAM TCRP SYNTHESIS 92 Transit Asset Condition Reporting A Synthesis of Transit Practice CONSULTANTS BRIAN McCOLLOM and STEPHEN A. BERRANG McCollom Management Consulting, Inc. Darnestown, Maryland S UBSCRIBER C ATEGORIES Economics, Finance, Public Transportation Research Sponsored by the Federal Transit Administration in Cooperation with the Transit Development Corporation TRANSPORTATION RESEARCH BOARD WASHINGTON, D.C. 2011 www.TRB.org
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TRANSIT COOPERATIVE RESEARCH PROGRAM TCRP SYNTHESIS 92 The nation's growth and the need to meet mobility, environ- Project J-7, Topic SG-11 mental, and energy objectives place demands on public transit ISSN 1073-4880 systems. Current systems, some of which are old and in need of ISBN 978-0-309-14349-3 upgrading, must expand service area, increase service frequency, Library of Congress Control Number 2011931177 and improve efficiency to serve these demands. Research is nec- © 2011 National Academy of Sciences. All rights reserved. essary to solve operating problems, to adapt appropriate new technologies from other industries, and to introduce innovations into the transit industry. The Transit Cooperative Research Pro- COPYRIGHT INFORMATION gram (TCRP) serves as one of the principal means by which the transit industry can develop innovative near-term solutions to Authors herein are responsible for the authenticity of their materials and for meet demands placed on it. obtaining written permissions from publishers or persons who own the The need for TCRP was originally identified in TRB Special copyright to any previously published or copyrighted material used herein. Cooperative Research Programs (CRP) grants permission to reproduce Report 213--Research for Public Transit: New Directions, pub- material in this publication for classroom and not-for-profit purposes. lished in 1987 and based on a study sponsored by the Federal Permission is given with the understanding that none of the material will be Transit Administration (FTA). A report by the American Public used to imply TRB, AASHTO, FAA, FHWA, FMCSA, FTA, or Transit Transportation Association (APTA), Transportation 2000, also Development Corporation endorsement of a particular product, method, or recognized the need for local, problem-solving research. TCRP, practice. It is expected that those reproducing the material in this document modeled after the longstanding and successful National Coopera- for educational and not-for-profit uses will give appropriate acknowledgment tive Highway Research Program, undertakes research and other of the source of any reprinted or reproduced material. For other uses of the technical activities in response to the needs of transit service provid- material, request permission from CRP. ers. The scope of TCRP includes a variety of transit research fields including planning, service configuration, equipment, fa- cilities, operations, human resources, maintenance, policy, and ad- NOTICE ministrative practices. The project that is the subject of this report was a part of the Transit Co- TCRP was established under FTA sponsorship in July 1992. operative Research Program, conducted by the Transportation Research Proposed by the U.S. Department of Transportation, TCRP was Board with the approval of the Governing Board of the National Research authorized as part of the Intermodal Surface Transportation Effi- Council. ciency Act of 1991 (ISTEA). On May 13, 1992, a memorandum The members of the technical panel selected to monitor this project and agreement outlining TCRP operating procedures was executed by to review this report were chosen for their special competencies and with the three cooperating organizations: FTA, the National Academy of regard for appropriate balance. The report was reviewed by the technical Sciences, acting through the Transportation Research Board panel and accepted for publication according to procedures established and (TRB); and the Transit Development Corporation, Inc. (TDC), a overseen by the Transportation Research Board and approved by the Gov- erning Board of the National Research Council. nonprofit educational and research organization established by The opinions and conclusions expressed or implied in this report are those APTA. TDC is responsible for forming the independent govern- of the researchers who performed the research and are not necessarily those ing board, designated as the TCRP Oversight and Project Selec- of the Transportation Research Board, the National Research Council, or the tion (TOPS) Committee. program sponsors. Research problem statements for TCRP are solicited periodi- cally but may be submitted to TRB by anyone at any time. It is the responsibility of the TOPS Committee to formulate the re- The Transportation Research Board of the National Academies, the National search program by identifying the highest priority projects. As Research Council, and the sponsors of the Transit Cooperative Research part of the evaluation, the TOPS Committee defines funding Program do not endorse products or manufacturers. Trade or manufacturers' levels and expected products. names appear herein solely because they are considered essential to the Once selected, each project is assigned to an expert panel, ap- object of the report. pointed by TRB. The panels prepare project statements (requests for proposals), select contractors, and provide technical guidance and counsel throughout the life of the project. The process for developing research problem statements and selecting research agencies has been used by TRB in managing cooperative re- search programs since 1962. As in other TRB activities, TCRP project panels serve voluntarily without compensation. Because research cannot have the desired impact if products fail to reach the intended audience, special emphasis is placed on disseminating TCRP results to the intended end users of the re- Published reports of the search: transit agencies, service providers, and suppliers. TRB TRANSIT COOPERATIVE RESEARCH PROGRAM provides a series of research reports, syntheses of transit practice, and other supporting material developed by TCRP research. are available from: APTA will arrange for workshops, training aids, field visits, and Transportation Research Board other activities to ensure that results are implemented by urban Business Office and rural transit industry practitioners. 500 Fifth Street, NW Washington, DC 20001 The TCRP provides a forum where transit agencies can coop- eratively address common operational problems. The TCRP results and can be ordered through the Internet at http://www.national-academies.org/trb/bookstore support and complement other ongoing transit research and train- ing programs. Printed in the United States of America
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The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished schol- ars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. On the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and techni- cal matters. Dr. Ralph J. Cicerone is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Acad- emy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achieve- ments of engineers. Dr. Charles M. Vest is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, on its own initiative, to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academys í p urposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Acad- emy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine. Dr. Ralph J. Cicerone and Dr. Charles M. Vest are chair and vice chair, respectively, of the National Research Council. The Transportation Research Board is one of six major divisions of the National Research Council. The mission of the Transportation Research Board is to provide leadership in transportation innovation and progress through research and information exchange, conducted within a setting that is objective, interdisci- plinary, and multimodal. The Board's varied activities annually engage about 7,000 engineers, scientists, and other transportation researchers and practitioners from the public and private sectors and academia, all of whom contribute their expertise in the public interest. The program is supported by state transportation departments, federal agencies including the component administrations of the U.S. Department of Transporta- tion, and other organizations and individuals interested in the development of transportation. www.TRB.org www.national-academies.org
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TCRP COMMITTEE FOR PROJECT J-7 COOPERATIVE RESEARCH PROGRAMS STAFF CHRISTOPHER W. JENKS, Director, Cooperative Research Programs CHAIR CRAWFORD F. JENCKS, Deputy Director, Cooperative Research DWIGHT A. FERRELL Programs Metropolitan Atlanta Rapid Transit Authority, Atlanta, GA GWEN CHISHOLM SMITH, Senior Program Officer EILEEN P. DELANEY, Director of Publications MEMBERS DEBRA W. ALEXANDER SYNTHESIS STUDIES STAFF Capital Area Transportation Authority, Lansing, MI STEPHEN R. GODWIN, Director for Studies and Special Programs DONNA DeMARTINO JON M. WILLIAMS, Program Director, IDEA and Synthesis Studies San Joaquin Regional Transit District, Stockton, CA JO ALLEN GAUSE, Senior Program Officer MARK W. FUHRMANN GAIL STABA, Senior Program Officer Metro Transit--Minneapolis/St. Paul, MN DONNA L. VLASAK, Senior Program Officer ROBERT H. IRWIN DON TIPPMAN, Senior Editor Consultant, Sooke, AB, Canada DEMISHA WILLIAMS, Senior Program Assistant JEANNE KRIEG DEBBIE IRVIN, Program Associate Eastern Contra Costa Transit Authority, Antioch, CA PAUL J. LARROUSSE TOPIC PANEL Rutgers, The State University of New Jersey, New Brunswick, NJ MICHAEL S. "MIKE" CONNELLY, Chicago Transit Authority DAVID A. LEE JOHN R. DECKER, Metropolitan Transportation Authority--New Connecticut Transit, Hartford, CT York City Transit FRANK T. MARTIN DWIGHT A. FERRELL, Metropolitan Atlanta Rapid Transit Atkins, Tallahassee, FL Authority, Atlanta, GA BRADFORD J. MILLER CHRISTOPHER NORRIS, Canadian Urban Transit Association, Pinellas Suncoast Transit Authority (PSTA), St. Petersburg, FL Toronto HAYWARD M. SEYMORE, III THOMAS PALMERLEE, Transportation Research Board Kitsap Transit, Bremerton, WA ROBERT L. PESKIN, AECOM, Arlington, VA FRANK TOBEY JERRY RUTLEDGE, King County (WA) Transit First Transit, Inc., Moscow, TN JOSEPH L. SCHOFER, Northwestern University PAM WARD ERIC WAARAMAA, Massachusetts Bay Transportation Authority Ottumwa Transit Authority, Ottumwa, IA KEITH GATES, Federal Transit Administration (Liaison) JAMES "BUCK" MARKS, Federal Transit Administration, FTA LIAISON Cambridge, MA (Liaison) LISA COLBERT FRANK T. MARTIN, Atkins, Tallahassee, FL (Liaison) Federal Transit Administration MICHAEL BALTES Federal Transit Administration APTA LIAISON KEVIN DOW American Public Transportation Association TRB LIAISON JENNIFER A. ROSALES Transportation Research Board PETER SHAW Transportation Research Board Cover figure: TriRail (Courtesy: McCollom Management Consulting, Inc., Photo Archives).
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FOREWORD Transit administrators, engineers, and researchers often face problems for which infor- mation already exists, either in documented form or as undocumented experience and prac- tice. This information may be fragmented, scattered, and unevaluated. As a consequence, full knowledge of what has been learned about a problem may not be brought to bear on its solution. Costly research findings may go unused, valuable experience may be overlooked, and due consideration may not be given to recommended practices for solving or alleviat- ing the problem. There is information on nearly every subject of concern to the transit industry. Much of it derives from research or from the work of practitioners faced with problems in their day- to-day work. To provide a systematic means for assembling and evaluating such useful information and to make it available to the entire transit community, the Transit Coopera- tive Research Program Oversight and Project Selection (TOPS) Committee authorized the Transportation Research Board to undertake a continuing study. This study, TCRP Project J-7, "Synthesis of Information Related to Transit Problems," searches out and synthesizes useful knowledge from all available sources and prepares concise, documented reports on specific topics. Reports from this endeavor constitute a TCRP report series, Synthesis of Transit Practice. This synthesis series reports on current knowledge and practice, in a compact format, without the detailed directions usually found in handbooks or design manuals. Each report in the series provides a compendium of the best knowledge available on those measures found to be the most successful in resolving specific problems. PREFACE The purpose of this synthesis was to examine and document the current state of the prac- By Donna L. Vlasak tice in transit asset condition management. Transit asset management is defined here as a Senior Program Officer strategic planning process that supports informed capital investment planning and program- Transportation ming. It is said that "good" transit asset management can provide critical support in two key Research Board areas--establishing the level of need for infrastructure investment and programming the cost of effective investment. The report's objective is to provide transit agencies and their federal, state, and local funding partners with a review of current practices in hopes of en- couraging industry-wide discussion on standards and the data needed to measure conditions and use the information in making effective investment decisions. The report contains information derived from a literature review and the results of an in- dustrial survey of the 50 largest multi-modal transit agencies in terms of operations size, which yielded an 82% response rate. Further, detailed case studies of innovative practices at the Massachusetts Bay Transportation Authority and the New York City Transit Author- ity describe the origin of each agency's asset management system, how it is used, and how it evolved over time. Then two agencies were chosen to represent two distinct State of Good Repair systems that represent different approaches and that would likely have the most advanced asset management systems because of the complexity of their operations. These examples might help others identify opportunities and challenges for upgrading and in- creasing the consistency of their own transit asset condition reporting. Brian McCollom and Stephen A. Berrang, McCollom Management Consulting, Inc., Darnestown, Maryland, collected and synthesized the information and wrote the paper, under the guidance of a panel of experts in the subject area. The members of the Topic Panel are acknowledged on the preceding page. This synthesis is an immediately useful document that records the practices that were acceptable within the limitations of the knowledge avail- able at the time of its preparation. As progress in research and practice continues, new knowledge will be added to that now at hand.
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CONTENTS 1 SUMMARY 5 CHAPTER ONE INTRODUCTION Project Objective, 5 Project Scope, 5 Technical Approach to Project, 6 Report Organization, 6 7 CHAPTER TWO LITERATURE REVIEW Measure of the State of Good Repair, 7 Asset Costs Considered, 7 Scenario Testing, 8 Summary, 8 9 CHAPTER THREE SURVEY RESULTS: TRANSIT CAPITAL PROGRAMMING AND ASSET TRACKING SYSTEMS Survey Response, 9 Scope of Asset Inventory, 9 Use of Inventory Data, 10 Condition Assessment, 10 Summary, 10 15 CHAPTER FOUR AGENCY USE OF ASSET TRACKING AND CONDITION ASSESSMENT DATA Age and Condition Data Use, 15 Summary, 16 18 CHAPTER FIVE CASE STUDIES Case Study: Asset Condition Data Collection and Tracking at the Massachusetts Bay Transportation Authority, 18 Case Study: Updating the Definition of Being in a "State of Good Repair at NYC Transit", 20 Summary of Case Studies, 21 23 CHAPTER SIX CONCLUSIONS 26 ACRONYMS 27 REFERENCES 28 APPENDIX A SURVEY QUESTIONNAIRE 35 APPENDIX B DETAILED SUMMARY OF SURVEY RESPONSES
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40 APPENDIX C LISTING OF RESPONDING AGENCIES 41 APPENDIX D ANNOTATED BIBLIOGRAPHY