49 CFR Part 625 — Transit Asset Management

PART 625—TRANSIT ASSET MANAGEMENT Authority: Sec. 20019 of Pub. L. 112-141, 126 Stat. 707, 49 U.S.C. 5326; Sec. 20025(a) of Pub. L. 112-141, 126 Stat, 718, 49 CFR 1.91. Source: 81 FR 48962, July 26, 2016, unless otherwise noted. Subpart A—General Provisions § 625.1 Purpose. This part carries out the mandate of 49 U.S.C. 5326 for transit asset management. This part establishes a National Transit Asset Management (TAM) System to monitor and manage public transportation capital assets to enhance safety, reduce maintenance costs, increase reliability, and improve performance. § 625.3 Applicability. This part 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. § 625.5 Definitions. All terms defined in 49 U.S.C. Chapter 53 are incorporated into this part by reference. The following terms also apply to this part: Accountable Executive Asset category Asset class Asset inventory Capital asset Decision support tool (1) To help prioritize projects to improve and maintain the state of good repair of capital assets within a public transportation system, based on available condition data and objective criteria; or (2) To assess financial needs for asset investments over time. Direct recipient Equipment Exclusive-use maintenance facility Facility Full level of performance Group TAM plan Horizon period Implementation strategy Infrastructure Investment prioritization Key asset management activities Life-cycle cost Participant Performance Measure Performance target Public transportation system Public transportation agency safety plan Recipient Rolling stock Service vehicle Sponsor State of good repair (SGR) Subrecipient TERM scale Tier I provider Tier II provider Transit asset management (TAM) Transit asset management (TAM) plan Transit asset management (TAM) policy Transit asset management (TAM) strategy Transit asset management system Transit provider (provider) Useful life Useful life benchmark (ULB) Subpart B—National Transit Asset Management System § 625.15 Elements of the National Transit Asset Management System. The National TAM System includes the following elements: (a) The definition of state of good repair, (b) Performance measures for capital assets and a requirement that a provider and a group TAM plan sponsor establish performance targets for improving the condition of capital assets, in accordance with subpart D of this part; (c) A requirement that a provider develop and carry out a TAM plan, in accordance with subpart C of this part, (d) Reporting requirements in accordance with subpart E of this part; and (e) Analytical processes and decision support tools developed or recommended by FTA. § 625.17 State of good repair principles. (a) A capital asset is in a state of good repair if it is in a condition sufficient for the asset to operate at a full level of performance. In determining whether a capital asset is in a state of good repair, a provider must consider the state of good repair standards under subpart D of this part. (b) An individual capital asset may operate at a full level of performance regardless of whether or not other capital assets within a public transportation system are in a state of good repair. (c) A provider's Accountable Executive must balance transit asset management, safety, day-to-day operations, and expansion needs in approving and carrying out a TAM plan and a public transportation agency safety plan. Subpart C—Transit Asset Management Plans § 625.25 Transit Asset Management Plan requirements. (a) General. (2) Each tier II provider must develop its own TAM plan or participate in a group TAM plan. A tier II provider's TAM plan and a group TAM plan only must include elements under paragraphs (b)(1) through (4) of this section. (3) A provider's Accountable Executive is ultimately responsible for ensuring that a TAM plan is developed and carried out in accordance with this part. (b) Transit asset management plan elements. (1) An inventory of the number and type of capital assets. The inventory must include all capital assets that a provider owns, except equipment with an acquisition value under $50,000 that is not a service vehicle. An inventory also must include third-party owned or jointly procured exclusive-use maintenance facilities, passenger station facilities, administrative facilities, rolling stock, and guideway infrastructure used by a provider in the provision of public transportation. The asset inventory must be organized at a level of detail commensurate with the level of detail in the provider's program of capital projects; (2) A condition assessment of those inventoried assets for which a provider has direct capital responsibility. A 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; (3) A description of analytical processes or decision-support tools that a provider uses to estimate capital investment needs over time and develop its investment prioritization; (4) A provider's project-based prioritization of investments, developed in accordance with § 625.33 of this part; (5) A provider's TAM and SGR policy; (6) A provider's TAM plan implementation strategy; (7) A description of key TAM activities that a provider intends to engage in over the TAM plan horizon period; (8) A summary or list of the resources, including personnel, that a provider needs to develop and carry out the TAM plan; and (9) An outline of how a provider will monitor, update, and evaluate, as needed, its TAM plan and related business practices, to ensure the continuous improvement of its TAM practices. § 625.27 Group plans for transit asset management. (a) Responsibilities of a group TAM plan sponsor. (2) A sponsor must comply with the requirements of this part for a TAM plan when developing a group TAM plan. (3) A sponsor must coordinate the development of a group TAM plan with each participant's Accountable Executive. (4) A sponsor must make the completed group TAM plan available to all participants in a format that is easily accessible. (b) Responsibilities of a group TAM plan participant. (2) A tier II provider must provide written notification to a sponsor if it chooses to opt-out of a group TAM plan. A provider that opts-out of a group TAM plan must either develop its own TAM plan or participate in another sponsor's group TAM plan. (3) A participant must provide a sponsor with any information that is necessary and relevant to the development of a group TAM plan. § 625.29 Transit asset management plan: horizon period, amendments, and updates. (a) Horizon period. (b) Amendments. (c) Updates. § 625.31 [Reserved] § 625.33 Investment prioritization. (a) A TAM plan must include an investment prioritization that identifies a provider's programs and projects to improve or manage over the TAM plan horizon period the state of good repair of capital assets for which the provider has direct capital responsibility. (b) A provider must rank projects to improve or manage the state of good repair of capital assets in order of priority and anticipated project year. (c) A provider's project rankings must be consistent with its TAM policy and strategies. (d) When developing an investment prioritization, a provider must give due consideration to those state of good repair projects to improve that pose an identified unacceptable safety risk when developing its investment prioritization. (e) When developing an investment prioritization, a provider must take into consideration its estimation of funding levels from all available sources that it reasonably expects will be available in each fiscal year during the TAM plan horizon period. (f) When developing its investment prioritization, a provider must take into consideration requirements under 49 CFR 37.161 and 37.163 concerning maintenance of accessible features and the requirements under 49 CFR 37.43 concerning alteration of transportation facilities. Subpart D—Performance Management § 625.41 Standards for measuring the condition of capital assets. A capital asset is in a state of good repair if it meets the following objective standards— (a) The capital asset is able to perform its designed function; (b) The use of the asset in its current condition does not pose an identified unacceptable safety risk; and (c) The life-cycle investment needs of the asset have been met or recovered, including all scheduled maintenance, rehabilitation, and replacements. § 625.43 SGR performance measures for capital assets. (a) Equipment: (non-revenue) service vehicles. (b) Rolling stock. (c) Infrastructure: rail fixed-guideway, track, signals, and systems. (d) Facilities. § 625.45 Setting performance targets for capital assets. (a) General. (2) A provider must set a performance target based on realistic expectations, and both the most recent data available and the financial resources from all sources that the provider reasonably expects will be available during the TAM plan horizon period. (b) Timeline for target setting. (2) At least once every fiscal year after initial targets are set, a provider must set performance targets for the following fiscal year. (c) Role of the accountable executive. (d) Setting performance targets for group plan participants. (2) To the extent practicable, a Sponsor must coordinate its unified performance targets with each participant's Accountable Executive. (e) Coordination with metropolitan, statewide and non-metropolitan planning processes. Subpart E—Recordkeeping and Reporting Requirements for Transit Asset Management § 625.53 Recordkeeping for transit asset management. (a) At all times, each provider must maintain records and documents that support, and set forth in full, its TAM plan. (b) A provider must make its TAM plan, any supporting records or documents performance targets, investment strategies, and the annual condition assessment report available to a State and Metropolitan Planning Organization that provides funding to the provider to aid in the planning process. § 625.55 Annual reporting for transit asset management. (a) Each provider must submit the following reports: (1) An annual data report to FTA's National Transit Database that reflects the SGR performance targets for the following year and condition information for the provider's public transportation system. (2) An annual narrative report to the National Transit Database that provides a description of any change in the condition of the provider's transit system from the previous year and describes the progress made during the year to meet the performance targets set in the previous reporting year. (b) A Sponsor must submit one consolidated annual data report and one consolidated annual narrative report, as described in paragraph (a)(1) and (2) of this section, to the National Transit Database on behalf of its participants. Appendix A to Part 625—Asset Categories, Asset Classes, and Individual Assets EXAMPLE Appendix B to Part 625—Relationship Amongst SGR Performance Measures, SGR Definition, and SGR Principles EXAMPLE (a) A tier I provider has a TAM asset inventory containing, in total across all modes, over 150 revenue vehicles in peak revenue service, no rail fixed guideway, multiple passenger and exclusive use maintenance facilities, and various pieces of equipment over $50,000. Their asset inventory is itemized at the level of detail they use in their capital program of projects; it also includes capital assets they do not own but use. The provider conducts condition assessments on those assets in its inventory for which it has direct financial responsibility. The results of the condition assessment indicate that there is an identified unacceptable safety risk in the deteriorated condition of one of their non-revenue service vehicles, but that the non-revenue service vehicles are being used as designed. The condition assessment results show the provider that one non-revenue service vehicle is not in SGR. (b) The condition assessment results also inform the investment prioritization process, which for this provider is a regression analysis in a spreadsheet software program. The provider's criteria, as well as their weightings, are locally determined to produce the ranked list of programs and projects in their investment prioritization. The provider batches its projects by low, medium or high priority, identifying in which funding year each project will proceed. The provider has elected to use the ULB defaults, provided by FTA, for each of their modes until such time as they have resources and expertise to develop customized ULBs. (c) The provider separates assets within each asset category by class to determine their current performance measure metric. For example, the equipment listed in its TAM asset inventory includes HVAC equipment and service vehicles; however, the SGR performance metric for the equipment category only requires the non-revenue vehicle metrics. Thus, the provider measures only non-revenue vehicles that exceed the default ULB for the modes they own, operate, or manage. This metric is the baseline the provider uses to determine its target for the forthcoming year. (d) The provider's equipment baseline, its investment priorities that show minimal funding for non-revenue vehicles over the next 4 years, and its TAM policies, strategies and key asset management activities are used to project its target for the equipment category. Since one of its non-revenue service vehicles indicated an unacceptable safety risk, it is elevated in the investment prioritization for maintenance or replacement. The provider's target may indicate a decline in the condition of their equipment overall, but it addresses the unacceptable safety risk as an immediate priority. (e) The cyclic nature of investment prioritization and SGR performance target setting requires the provider to go through the process more than once to settle on the balance of priorities and targets that best reflects its local needs and funding availability from all sources. The provider's accountable executive has ultimate responsibility for accepting and approving the TAM plan and SGR targets. The targets are then submit to the NTD and shared with the provider's planning organization. The narrative report, which describes the SGR performance measure metrics, is also submitted to the NTD. Appendix C to Part 625—Assets Included in National TAM System Provisions Table 1—Assets Included in National TAM System Provisions Table 2— EXAMPLE

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