Light Rail Systems Asset Management Gap Assessment and Implementation Plan

Transit Asset Management
Systems Handbook
Focusing on the Management of Our Transit Investments
SEPTEMBER 2020
FTA Report No. 0173
Federal Transit Administration
PREPARED BY
JACOBS
Victor Rivas
Amanda DeGiorgi
Rick Laver
Bill Tsiforas
David Dishman

COVER PHOTO
Image courtesy of David Dishman, Jacobs Engineering
DISCLAIMER
The contents of this document do not have the force and effect of law and are not meant to bind the public in any way. This
document is intended only to provide clarity to the public regarding existing requirements under the law and or agency policies.
Grantees and subgrantees should refer to FTA's statutes and regulations for applicable requirements. This document is
disseminated under the sponsorship of the U.S. Department of Transportation in the interest of information exchange. The
United States Government assumes no liability for its contents or use thereof. The United States Government does not endorse
products of manufacturers. Trade or manufacturers' names appear herein solely because they are considered essential to the
objective of this report.

Transit Asset
Management
Systems
Handbook
Focusing on the
Management of Our
Transit Investments
SEPTEMBER 2020
FTA Report No. 0173
PREPARED BY
Victor Rivas
Amanda DeGiorgi
Rick Laver
Bill Tsiforas
David Dishman
JACOBS Engineering Group
501 North Broadway
St. Louis, MO 53102
SPONSORED BY
Federal Transit Administration
Office of Research, Demonstration and Innovation
U.S. Department of Transportation
1200 New Jersey Avenue, SE
Washington, DC 20590
AVAILABLE ONLINE
https://www.transit.dot.gov/about/research-innovation
FEDERAL TRANSIT ADMINISTRATION i

MeMtreictr Cico Cnovenrvseirosnio Tna Tbaleble
Metric Conversion Table
SYMBOL WHEN YOU KNOW MULTIPLY BY TO FIND SYMBOL
LENGTH
in inches 25.4 millimeters mm
ft feet 0.305 meters m
yd yards 0.914 meters m
mi miles 1.61 kilometers km
VOLUME
fl oz fluid ounces 29.57 milliliters mL
gal gallons 3.785 liters L
ft3 cubic feet 0.028 cubic meters m3
yd3 cubic yards 0.765 cubic meters m3
NOTE: volumes greater than 1000 L shall be shown in m3
MASS
oz ounces 28.35 grams g
lb pounds 0.454 kilograms kg
megagrams
T short tons (2000 lb) 0.907 Mg (or "t")
(or "metric ton")
TEMPERATURE (exact degrees)
5 (F-32)/9
oF Fahrenheit Celsius oC
or (F-32)/1.8
FEDERAL TRANSIT ADMINISTRATION iv
FEDERAL TRANSIT ADMINISTRATION ii

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1. AGENCY USE ONLY 2. REPORT DATE 3. REPORT TYPE AND DATES COVERED
September 2020 Project Report, September 2020
4. TITLE AND SUBTITLE 5. FUNDING NUMBERS
Transit Asset Management Systems Handbook: Focusing on the Management of Our
Transit Investments
6. AUTHOR(S)
Victor Rivas, Amanda DeGiorgi, Rick Laver, Bill Tsiforas, David Dishman
7. PERFORMING ORGANIZATION NAME(S) AND ADDRESS(ES) 8. PERFORMING ORGANIZATION REPORT NUMBER
JACOBS Engineering Group
501 North Broadway FTA Report No. 0173
St. Louis, MO 53102
9. SPONSORING/MONITORING AGENCY NAME(S) AND ADDRESS(ES) 10. SPONSORING/MONITORING AGENCY REPORT
U.S. Department of Transportation NUMBER
Federal Transit Administration
Office of Research, Demonstration and Innovation FTA Report No. 0173
East Building
1200 New Jersey Avenue, SE
Washington, DC 20590
11. SUPPLEMENTARY NOTES [https://www.transit.dot.gov/about/research-innovation] [https://doi.org/10.21949/1518345]
Suggested citation: Federal Transit Administration. Transit Asset Management Systems Handbook: Focusing on the Management of Our Transit
Investments. Washington, D.C.: United States Department of Transportation, 2020. https://doi.org/10.21949/1518345
12A. DISTRIBUTION/AVAILABILITY STATEMENT 12B. DISTRIBUTION CODE
Available from: National Technical Information Service (NTIS), Springfield, VA 22161.
Phone 703.605.6000, Fax 703.605.6900, email [orders@ntis.gov] TRI-30
13. ABSTRACT
This handbook is intended to expand upon and provide general information and guidance on the management of systems and associated
assets used in the transit operating environment in support of the FTA Transit Asset Management (TAM) rule. It offers a framework that outlines
systems theoretical concepts and defines specific classes and types of transit systems to foster consistency in transit system asset management
practices. Practical information is presented to assist transit operators in their efforts to inventory systems assets and identify activities
and investments needed throughout the system life cycle to receive the most value from the system. Neither this handbook nor any of its
recommendations are FTA requirements; however, the document provides clarification on associated existing FTA National Transit Database
(NTD) Asset Inventory Module (AIM) reporting requirements and makes note of where FTA regulations intersect with the asset management
practices discussed herein.
14. SUBJECT TERMS 15. NUMBER OF PAGES
Asset management, Transit Asset Management, TAM, Asset management systems, 162
transit systems
16. PRICE CODE
17. SECURITY CLASSIFICATION 18. SECURITY CLASSIFICATION 19. SECURITY CLASSIFICATION 20. LIMITATION OF ABSTRACT
OF REPORT OF THIS PAGE OF ABSTRACT None
Unclassified Unclassified Unclassified
FEDERAL TRANSIT ADMINISTRATION v

Document History and Status Revision
Revision Date Description By
Version 1 1/27/2020 Version for FTA Jacobs
Version for BART, CTA, LA Metro, Metra, NY MTA,
Version 2 2/3/2020 Jacobs
RTD, SEPTA, and UTA
Feedback from FTA and participating transit agencies
Version 3 3/13/2020 Jacobs
through 2/28/2020
Version 4 3/20/2020 Final Jacobs
FEDERAL TRANSIT ADMINISTRATION vi

Abstract
This handbook is intended to expand upon and provide general information
and guidance on the management of systems and associated assets used in the
transit operating environment in support of the FTA Transit Asset Management
(TAM) rule. It offers a framework that outlines systems theoretical concepts
and defines specific classes and types of transit systems to foster consistency in
transit system asset management practices. Practical information is presented
to assist transit operators in their efforts to inventory systems assets and
identify activities and investments needed throughout the system life cycle to
receive the most value from the system. Neither this handbook nor any of its
recommendations are FTA requirements; however, the document provides
clarification on associated existing FTA National Transit Database (NTD) Asset
Inventory Module (AIM) reporting requirements and makes note of where FTA
regulations intersect with the asset management practices discussed herein.
FEDERAL TRANSIT ADMINISTRATION vii

TABLE OF CONTENTS
1 1 Introduction
1 1.1 Background
1 1.2 Purpose of this Handbook
4 1.3 Intended Audience
4 1.4 Handbook Contents Overview
5 1.5 Sections Overview
6 1.6 References
8 2 Systems Theoretical Framework
8 2.1 What Is a System?
9 2.2 System Structure
13 2.3 System Boundaries
13 2.4 System Architecture
15 2.5 System Life Cycle Stages
17 2.6 Enabling Processes and Procedures
18 2.7 Systems in the Context of Asset Management
0. 2.7.1 Asset Management Strategy
20 2.7.2 Convergence of Systems and Asset Management
2/
2.8 References
23 3 Overview of Transit Systems
23 3.1 Transit Systems Asset Classes
26 3.2 Systems Not Included in This Document
26 3.3 Networked Support Systems
29 3.4 Transit System Types for End-Use Operations
29 3.4.1 Vehicle Control and Signaling
36 3.4.2 Traction Power/Electrification
40 3.4.3 Communications and Control
47 3.4.4 Revenue Collection
49 3.4.5 Information Technology (Business Applications)
52 3.4.6 Tunnel Support
53 3.5 References
56 4 Systems Asset Inventories and Hierarchies
57 4.1 General Asset Inventory Considerations
57 4.2 Key Systems Asset Information for Inventorying
59 4.3 Software Asset Inventory
60 4.4 Developing Systems Asset Hierarchies
63 4.5 Examples of Systems Asset Hierarchies
64 4.5.1 Example Hierarchy of a Network Supporting Networked
Systems
68 4.5.2 Examples of Asset Class Systems
83 4.6 References
FEDERAL TRANSIT ADMINISTRATION viii

85 5 Systems Performance Management and Investment
Prioritization
85 5.1 Special Considerations for Systems Asset Management
86 5.1.1 Systems Asset Class Strategy
87 5.1.2 Disciplines and Processes that Support Systems Life Cycle
Activities
87 5.2 Introduction to Systems Performance Management
92 5.3 Performance Management Considerations and Methods by Systems Asset
Class
93 5.3.1 Train Control and Signaling Systems
96 5.3.2 Traction Power/Electrification Systems
98 5.3.3 Communications and Control Systems
101 5.3.4 Revenue Collection Systems
102 5.3.5 Information Technology (Business Applications)
104 5.3.6 Tunnel Support
104 5.4 Investment Prioritization
104 5.4.1 Introduction to Risk-Based Decision-making
107 5.4.2 Transit Systems Prioritization Process Development
108 5.5 References
111 6 National Transit Database Asset Inventory Module
Systems Reporting
111 6.1 Substation Building Reporting
112 6.2 Reporting for Nontraditional Rail Transit Modes
112 6.3 Key Considerations for Translating Asset Inventories into the NTD AIM
Form A-20
115 6.4 TAM System Asset Classes Not Required under 2019 NTD AIM
116 6.5 References
118 7 References
123 Appendix A: Abbreviations and Acronyms
126 Appendix B: Glossary
140 Appendix C: Appendix A to Part 625
141 Appendix D: Example of Key Traction Power Substation
Equipment Assets by Substation Type
144 Appendix E: Crosswalk - TAM Systems Asset Classes,
FTA Standard Cost Categories, and TERM and NTD AIM
145 Appendix F: Transit Systems Condition Assessment
Methodologies and Performance Monitoring for Selected
Subsystems and System Elements
148 Appendix G: Sample of Fire Life Safety Systems
FEDERAL TRANSIT ADMINISTRATION ix

LIST OF TABLES
20 2-1 From Managing Assets to Asset Management
24 3-1 Overview of Transit Systems Asset Class Functions and Elements
31 3-2 Sample Fixed Block Signal System Asset Base
34 3-3 Sample PTC System Asset Base
36 3-4 Sample Transit Signal Priority System Asset Base
38 3-5 Sample Traction Power (or Unit) Substation Asset Base
42 3-6 High-Level Sample of Transit Communications and Control Systems
Asset Bases
43 3-7 Sample Closed Circuit Television System Asset Base
44 3-8 Sample Public Address and Digital Display Systems Asset Base
45 3-9 Sample Radio System Asset Base
45 3-10 Sample Telephone System Asset Base
47 3-11 Sample SCADA System Asset Base
48 3-12 Key Fare Collection Assets and Back Office Hardware and Software
Functions
51 3-13 Summary of System Elements, Functions, and Individual Assets
53 3-14 Sample Tunnel Ventilation and Exhaust System Asset Base
89 5-1 Performance Indicators and Associated Types of Measures or
Assessments (Applicability Varies by System Asset Type)
90 5-2 FTA TERM Rating Scale with Performance and Obsolescence Measure
Equivalents
91 5-3 Example Transit System Activities During Utilization, Support,
and Retirement Life Cycle Stages
93 5-4 Transit System's Selected Condition and Performance Metrics
97 5-5 Example Traction Power Systems Asset Condition Indicators and
Assessment Methodologies
102 5-6 Drivers for Software Replacement
106 5-7 Example of a Criticality Index
106 5-8 Example of a Risk Matrix (No. 1)
107 5-9 Example of a Risk Matrix (No. 2)
111 6-1 NTD Requirements for System Assets under Form A-20
115 6-2 Transit Systems Asset Classes and NTD AIM Requirements
LIST OF FIGURES
10 2-1 Simple Single-Level System Structure
11 2-2 Complex Four-Level System Structure
10 2-3 Example of an Integrated CCTV Surveillance System
14 2-4 Generic CCTV System Architecture
16 2-5 Generic System Life Cycle Stages
18 2-6 Interaction of Rail Traction Power/Electrification System with Systems in Its
Operational Environment and Separate Enabling Processes and Procedures
FEDERAL TRANSIT ADMINISTRATION x