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

2. 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

3. 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

4. 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”

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

6. 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

7. 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

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

9. 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, (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

10. 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

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

12. 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

13. 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

14. 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

15. 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

16. 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%

17. Step 3
Develop TAM Plans

18. 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

19. 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

20. 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

21. 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

22. 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)

23. 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

24. 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

25. 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)

26. Condition Assessment Guidance
FTA Guidance for Condition Assessment:
Tool “TERM Lite” (Transit Economic Requirements Model) for facilities condition assessments

27. 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

28. 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

29. 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

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

31. 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.

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

33. 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.

34. 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.

35. 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

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

37. 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

38. 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 Program subrecipients

39. 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

40. 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

41. 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.

42. Technical Assistance FTA Websites
/finalrulefactsheet

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

44. Technical Assistance (CalACT)
Tenley Borchman California Association for Coordinated Transportation (916)

45. Technical Assistance (Caltrans)
Brian Travis Division of Rail and Mass Transportation (916)

46. Technical Assistance (FTA)
Mshadoni Smith Transit Asset Management 1200 New Jersey Ave., SE Washington, DC United States

47. Questions/Comments? Thank you!