Guidance for Developing a Transit Asset Management Plan (2014)

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T R A N S I T C O O P E R A T I V E R E S E A R C H P R O G R A M TCRP REPORT 172 TRANSPORTAT ION RESEARCH BOARD WASHINGTON, D.C. 2014 www.TRB.org Research sponsored by the Federal Transit Administration in cooperation with the Transit Development Corporation Subject Areas Public Transportation Guidance for Developing a Transit Asset Management Plan William Robert Virginia Reeder Katherine Lawrence Spy pond partnerS, LLC Arlington, MA Harry Cohen Ellicott City, MD Katherine O’Neil KKo & aSSoCiateS, LLC Andover, MA

TCRP REPORT 172 Project E-09A ISSN 1073-4872 ISBN 978-0-309-30817-5 © 2014 National Academy of Sciences. All rights reserved. COPYRIGHT INFORMATION Authors herein are responsible for the authenticity of their materials and for obtaining written permissions from publishers or persons who own the copyright to any previously published or copyrighted material used herein. Cooperative Research Programs (CRP) grants permission to reproduce material in this publication for classroom and not-for-profit purposes. Permission is given with the understanding that none of the material will be used to imply TRB, AASHTO, FAA, FHWA, FMCSA, FTA, or Transit Development Corporation endorsement of a particular product, method, or practice. It is expected that those reproducing the material in this document for educational and not-for-profit uses will give appropriate acknowledgment of the source of any reprinted or reproduced material. For other uses of the material, request permission from CRP. NOTICE The project that is the subject of this report was a part of the Transit Cooperative Research Program, conducted by the Transportation Research Board with the approval of the Governing Board of the National Research Council. The members of the technical panel selected to monitor this project and to review this report were chosen for their special competencies and with regard for appropriate balance. The report was reviewed by the technical panel and accepted for publication according to procedures established and overseen by the Transportation Research Board and approved by the Governing Board of the National Research Council. The opinions and conclusions expressed or implied in this report are those of the researchers who performed the research and are not necessarily those of the Transportation Research Board, the National Research Council, or the program sponsors. The Transportation Research Board of the National Academies, the National Research Council, and the sponsors of the Transit Cooperative Research Program do not endorse products or manufacturers. Trade or manufacturers’ names appear herein solely because they are considered essential to the object of the report. TRANSIT COOPERATIVE RESEARCH PROGRAM The nation’s growth and the need to meet mobility, environmental, and energy objectives place demands on public transit systems. Current systems, some of which are old and in need of upgrading, must expand service area, increase service frequency, and improve efficiency to serve these demands. Research is necessary to solve operating problems, to adapt appropriate new technologies from other industries, and to intro- duce innovations into the transit industry. The Transit Cooperative Research Program (TCRP) serves as one of the principal means by which the transit industry can develop innovative near-term solutions to meet demands placed on it. The need for TCRP was originally identified in TRB Special Report 213—Research for Public Transit: New Directions, published in 1987 and based on a study sponsored by the Urban Mass Transportation Administration—now the Federal Transit Admin istration (FTA). A report by the American Public Transportation Association (APTA), Transportation 2000, also recognized the need for local, problem- solving research. TCRP, modeled after the longstanding and success- ful National Cooperative Highway Research Program, undertakes research and other technical activities in response to the needs of tran- sit service providers. The scope of TCRP includes a variety of transit research fields including planning, service configuration, equipment, facilities, operations, human resources, maintenance, policy, and administrative practices. TCRP was established under FTA sponsorship in July 1992. Pro- posed by the U.S. Department of Transportation, TCRP was autho- rized as part of the Intermodal Surface Transportation Efficiency Act of 1991 (ISTEA). On May 13, 1992, a memorandum agreement out- lining TCRP operating procedures was executed by the three cooper- ating organizations: FTA, the National Academies, acting through the Transportation Research Board (TRB); and the Transit Development Corporation, Inc. (TDC), a nonprofit educational and research orga- nization established by APTA. TDC is responsible for forming the independent governing board, designated as the TCRP Oversight and Project Selection (TOPS) Committee. Research problem statements for TCRP are solicited periodically but may be submitted to TRB by anyone at any time. It is the responsibility of the TOPS Committee to formulate the research program by identi- fying the highest priority projects. As part of the evaluation, the TOPS Committee defines funding levels and expected products. Once selected, each project is assigned to an expert panel, appointed by the Transportation Research Board. The panels prepare project state- ments (requests for proposals), select contractors, and provide techni- cal 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 research pro- grams since 1962. As in other TRB activ ities, TCRP project panels serve voluntarily without com pensation. Because research cannot have the desired impact if products fail to reach the intended audience, special emphasis is placed on dissemi- nating TCRP results to the intended end users of the research: tran- sit agencies, service providers, and suppliers. TRB provides a series of research reports, syntheses of transit practice, and other support- ing material developed by TCRP research. APTA will arrange for workshops, training aids, field visits, and other activities to ensure that results are implemented by urban and rural transit industry practitioners. The TCRP provides a forum where transit agencies can cooperatively address common operational problems. The TCRP results support and complement other ongoing transit research and training programs. Published reports of the TRANSIT COOPERATIVE RESEARCH PROGRAM are available from: Transportation Research Board Business Office 500 Fifth Street, NW Washington, DC 20001 and can be ordered through the Internet at http://www.national-academies.org/trb/bookstore Printed in the United States of America

The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. Upon 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 technical 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 Academy 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 achievements of engineers. Dr. C. D. Mote, Jr., 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, upon its own initiative, to identify issues of medical care, research, and education. Dr. Victor J. Dzau 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 Academy’s purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Academy, 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. C. D. Mote, Jr., 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 Transporta- tion Research Board is to provide leadership in transportation innovation and progress through research and information exchange, conducted within a setting that is objective, interdisciplinary, 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 Transportation, and other organizations and individu- als interested in the development of transportation. www.TRB.org www.national-academies.org

C O O P E R A T I V E R E S E A R C H P R O G R A M S CRP STAFF FOR TCRP REPORT 172 Christopher W. Jenks, Director, Cooperative Research Programs Dianne S. Schwager, Senior Program Officer Jeffrey Oser, Senior Program Assistant Eileen P. Delaney, Director of Publications Margaret B. Hagood, Editor TCRP PROJECT E-09A PANEL Field of Maintenance Michael S. Tanner, Bay Area Rapid Transit District, Danville, CA (Chair) Caroline Downing, AECOM, Boston, MA Jeffrey D. Gonneville, Massachusetts Bay Transportation Authority, Boston, MA Kim Johnson, Michigan DOT, Lansing, MI James R. Plomin, Oak Park, IL Jerry Rutledge, King County (WA) Transit, Seattle, WA Winston Simmonds, Simmonds Construction, LLC, Saxonburg, PA Joel Slavit, San Mateo County (CA) Transit District, San Carlos, CA Waheed Uddin, University of Mississippi, University, MS Alan M. Warde, New York State DOT, Albany, NY John Giorgis, FTA Liaison Chris Nutakor, FTA Liaison Terrell Williams, FTA Liaison Jeff Hiott, APTA Liaison James W. Bryant, Jr., TRB Liaison

TCRP Report 172: Guidance for Developing a Transit Asset Management Plan provides a process for developing a transit asset management plan used by transit agencies seeking to achieve a state of good repair (SGR). The report is accompanied by a Transit Asset Priori- tization Tool (TAPT), which is composed of four spreadsheet models designed to assist transit agencies in predicting the future conditions of their assets, and in prioritizing asset rehabilitation and replacement. TCRP Report 172 together with the TAPT models are valuable resources for transit agen- cies and will be of interest to regional, state, and federal agencies that oversee, plan, or finance public transportation. The report, TAPT models, and the contractor’s final report sum- marizing the research conducted can be found at http://www.trb.org/Main/Blurbs/171285. aspx. This research is the second phase of a two-part research project to develop tools for transit agencies to improve asset management and achieve SGR. Asset management is concerned with using quality data to support decisions that will maintain, rehabilitate, and replace existing assets in a cost-effective way and minimize asset lifecycle costs. By implementing best practices in transit asset management, a transit agency can make investment decisions that reduce the costs over time of maintaining its system, freeing up funds, where possible, to help improve service. • Phase 1. The first phase of this research produced TCRP Report 157, which developed a preliminary framework and spreadsheet tools for transit agencies to use for prioritiz- ing capital asset rehabilitation and replacement decisions. The research in this phase reviewed existing SGR practices in transit and other related industries. Based on the review, a framework was developed for evaluating the impacts and implications of differ- ent investment levels for rehabilitation and replacement of transit assets. The framework was built upon fundamental concepts involved in prioritizing asset rehabilitation and replacement decisions and provided a basic set of steps for transit agencies to analyze their SGR needs. • Phase 2. The second phase produced three deliverables to improve transit asset manage- ment: TCRP Report 172, the TAPT spreadsheet, and a final research report. Additional research was undertaken to further develop the SGR framework and spreadsheet tools developed in Phase 1 and prepare guidance materials for transit agencies. Pilot tests and a workshop were conducted to solicit input from transit agencies and industry experts involved in transit asset management. These initiatives helped validate and refine the guidance document and the spreadsheet tools. F O R E W O R D By Dianne S. Schwager Staff Officer Transportation Research Board

TCRP Report 172 and the accompanying TAPT spreadsheet are intended for use by transit agencies of all sizes and with all types of assets. The complexity of the process of developing an asset management plan as described in the report is dependent upon the total number of assets and the number of types of assets in a transit agency’s inventory. TCRP Report 172 provides a set of tutorials illustrating the use of TAPT and describes additional resources that may be relevant for transit agencies implementing an asset management approach for helping achieve SGR. The TAPT tutorials illustrate use of the process and tool with two transit agencies; the first describes a smaller agency modeling its bus assets, and the second describes an agency using the tool to analyze needs for buses, light rail, track, and facilities. The final research report, which is a separate electronic deliverable, documents the Phase 2 research and supplements TCRP Report 172 and the TAPT spreadsheet.

1 Chapter 1 Introduction 1 Background 2 Purpose of the Guide 3 MAP-21 Requirements 4 Asset Management Guidance 5 Important Concepts 6 Guide Organization 7 Chapter 2 Steps in Developing a Transit Asset Management Plan 7 Step One: Inventory Assets and Data 8 Step 1.1 Establish the Capital Asset Inventory 10 Step 1.2 Establish Available Data Resources 11 Step 1.3 Define SGR 12 Step 1.4 Select Performance Measures and Targets for Asset Management 15 Step 1.5 Define Data Collection Protocols and Reporting Schedule 18 Step Two: Analyze Asset Conditions and Performance 18 Step 2.1 Calculate Current Asset Conditions and Performance 18 Step 2.2 Develop Asset Deterioration Models 20 Step 2.3 Project Replacement Impacts 20 Step 2.4 Develop an Asset Lifecycle Policy 21 Step Three: Define Asset Investment Scenarios 22 Step 3.1 Specify Prioritization Approach 23 Step 3.2 Develop Funding Assumptions for Asset Investments 24 Step 3.3 Develop Asset Investment Scenarios 24 Step 3.4 Describe Future Decisions, Conditions, and Performance for Each Investment Scenario 25 Step Four: Finalize Asset Investment Scenarios 25 Step 4.1 Revisit and Revise Asset Lifecycle Policy, Funding, and Prioritization Assumptions 26 Step 4.2 Finalize and Select the Preferred Scenario 26 Step Five: Develop the Asset Management Plan 27 Step 5.1 Finalize Funding Levels and Constraints 27 Step 5.2 Select Specific Projects 28 Step 5.3 Prepare the Plan 30 Chapter 3 Using the Transit Asset Prioritization Tool 30 Introduction 30 System Requirements 31 Tool Components 31 Using the Tool 32 The Start Screen 33 Parameters 33 Inputting Budgets and Parameters C O N T E N T S

37 Asset Group Administration 38 Creating an Asset Group: Vehicle Assets 46 Creating an Asset Group: Age-Based Assets 51 Creating an Asset Group: Condition-Based Assets 54 Editing an Asset Group 54 Deleting an Asset Group 56 Prioritization Model 56 Review the Summary Data 57 Running the Prioritization Model 58 Deleting a Prioritization Run 59 Results 59 Prioritization Model Results Summary Table 61 Asset Replacement Program List 62 Display Charts 65 Chapter 4 TAPT Tutorials 65 Introduction 65 Main Street Transit 66 Step 1: Create Vehicle Models and Define Parameters 66 Budgets and Parameters 66 Hybrid Buses 70 Diesel Buses 72 Demand Response Vans 72 Step 2: Run the Prioritization Model 73 Unconstrained Scenario 78 Do Nothing Scenario 80 Step 3: Incorporate the Constrained Budget 80 Annual Budget Scenario 82 Step 4: Refine the Prioritization Approach 83 Adjusted Program Scenario 86 Step 5: Prepare Data for the Asset Management Plan 86 Springfield Transit Authority 87 Budgets and Parameters 88 Bus 90 Light Rail 94 Track 97 Guideway 98 Facilities 99 HVAC 103 Roof 104 Results: Springfield Transit Authority 104 Unconstrained Scenario 107 Do Nothing Scenario 110 $35M Annual Budget Scenario 113 $35M Adjusted Program Scenario 117 Chapter 5 Additional Resources Note: Photographs, figures, and tables in this report may have been converted from color to grayscale for printing. The electronic version of the report (posted on the web at www.trb.org) retains the color versions.