Elevator and Escalator Maintenance and Safety Practices (2012)

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32 Appendix Survey and Compilation of Agency Responses Synthesis Questionnaire Elevator and Escalator Maintenance and Safety Practices Purpose of This Survey: As transportation facilities in the United States age, as well as face an increase in usage, the quantity of properly functioning elevators and escalators available for public use declines. Elevator and escalator (El/Es) outages reduce the confidence and limit the opportunities of passengers who rely on vertical transportation technology to access public transit. In addition, accessibility regulations highlight that continual availability of vertical transportation equipment is a core element of transit travel. This questionnaire is intended to obtain in-depth information from various members of your agency to determine how maintenance actions, communication strategies, staffing assignments, and new technologies are implemented to provide safe and reliable El/Es operation to users in a cost-effective manner. Information gained from the surveys and other sources will be synthesized into a report that will serve as a useful source of information to your peers. Feel free to use additional pages and attach documents. Thank you for completing this survey! Transit System Characteristics Question 1 Elevator Details Agency Manufacturer Type Age (years) Quantity BART MCE Hydraulic 35 87 MCE Traction 35 44 Montgomery Traction 35 3 Westinghouse Traction 35 1 Alimax Traction 10 1 US Traction 35 4 Total 140 CTA Mid-America Traction and hydraulic 2-30 77 KONE and Montgomery Traction and hydraulic 3-28 20 Anderson Traction and hydraulic 7-32 19 Reliance T raction 19 11 Otis Traction 20 32 Total 159 MARTA Westinghouse Traction–4 Hydraulic–44 30+; most installed in late 1970s and early 1980s 48

33 Dover Traction–2 Hydraulic–30 15–30 32 Schindler Traction–4 Hydraulic–9 6–10 13 KONE Hydraulic 2–10 4 CEMCO Hydraulic 9–30 4 US Hydraulic 30+ 2 Mowrey Hydraulic 15 2 Montgomery Hydraulic 30 and 13 2 Otis Hydraulic 30+ 1 Millar Hydraulic 13 1 Total 109 NYCTA Canton Hydraulic 5 58 CEMCO Hydraulic 10.6 66 MCE Hydraulic 6.6 31 Others Hydraulic 20 11 MCE Traction 10.3 21 Otis Traction 23 5 Total 192 SEPTA Unspecified N/A 106 Total 106 Total all agencies 706 Question 2 Escalator Details Agency Manufacturer Type Age (years) Quantity BART Westinghouse 48N and 38E 35 88 Fujitec PS-1200 13 28 Montgomery 5E 35 26 O&K HD 15 19 Otis RB&J 35 6 KONE 5TR 15 9 Total 176 CTA Otis RB 25 16 Otis ML 63 15 Otis 506 28 8 Otis 510 22 2 Schindler 2–15 3 Haughton 42 2 KONE 3 16 Montgomery 42 73 O&K 18 18 Fujitec 7 8 Total 161

34 MARTA Westinghouse Modular 100 Modular 30+ years 117 Montgomery Conventional 15–23 10 O&K Conventional 25+ 17 Schindler Conventional 7–11 5 Total 149 NYCTA O&K Conventional 13 84 Fujitec Conventional 6.5 34 KONE Conventional 4.1 27 Otis Conventional 22.5 24 Schindler Conventional 2.2 7 Total 176 SEPTA KONE N/A 2–13 37 Fujitec N/A 2–13 11 ThyssenKrupp N/A 1 2 Total 50 Total all agencies 712 Agency Hours of Operation No. Days per Week Annual Passenger Usage BART 20 7 100 million plus CTA 24 7 200 million MARTA 22 7 80 million NYCTA 24 7 1.6 billion SEPTA 16 7 321 million Question 3 Percentage of Rail System That Is Accessible Agency No. Stations % of System Accessible BART 44 100% CTA 144 70% (approx) MARTA 38 100% NYCTA 468 27% (approx) SEPTA 156 N/A

35 Equipment Specifications Questions 4–7 Agency Specs. Developed by Agency or OEM? Unique Elevator Requirements Unique Escalator Requirements Exceeding Useful Life Examples BART Agency specs. - Hands-free phones beside hall call buttons - Cameras inside of all elevators - Remote monitoring system - Glass vision panels on elevator doors - Auxiliary oil recovery tanks for hydraulic elevators - Station agent booth controls and indications - Remote monitoring systems - Escalator fault displays at unit and on controller - Increased step load requirements that exceed APTA guidelines Yes CTA OEM Sometimes a unique design must take place to be installed in subways. Sometimes a unique design must take place to be installed in subways. Yes; Escalators in service since 1943; parts must be custom-made. MARTA Agency specs. None None Yes; Most of the 117 Westinghouse Modular escalators are well over 30 years old and have exceeded their useful life; modernization program now in progress NYCTA Agency specs. Top of car safety curtains Sleep mode, remote monitoring (Liftnet) Yes SEPTA OEM None Deteriorated roller detection device No Question 5b Willingness to Share Equipment Specifications with Others Agency Elevator Escalator BART Yes Yes CTA No No MARTA Yes Yes NYCTA Yes Yes SEPTA Yes Yes

36 Safety, Availability, and Customer Communication Question 8 Legal Compliance and Lessons Learned Agency Code and Safety Compliance Procedures Lessons Learned from Violations BART - Weekly quality control inspections - Weekly safety meetings - State-mandated conveyance certification classes on A17.1 for all mechanics - Yearly state permit inspections State inspection violation regarding door zone locks being nonoperational caused agency to hold meetings to ensure mechanics were aware of A17.1 code requirements and why the rules needed to be followed. Also started to review A17.1 rules during weekly safety meetings. CTA - All inspectors are QEI certified and half of the escalator repairmen are licensed. - Safety department oversees compliance and performs audits. Three inspectors are state licensed and QEI to review compliance. Each area (i.e., blue line, red line, etc.) is audited twice per year. OSHA, news reports, and company experiences. MARTA - All elevator and escalator maintenance and repairs 100% contracted. - To ensure that the contractor is complying with all applicable ASME and local codes, MARTA has four in-house QEI-certified inspectors on staff that routinely witness maintenance activities and perform random equipment assessments to audit equipment condition and code compliance. - MARTA’s Safety and Quality Assurance Department also plays an active role in monitoring code and contract compliance. - MARTA’s Test and Evaluation Department has one of the most stringent acceptance programs that utilizes both ASME and APTA code requirements for testing equipment. - MARTA has also hired an outside consultant to supplement the Elevator and Escalator Department staff and provide periodic full ASME A17.2 inspections on selected elevators and escalators throughout the year. - Each member of the Elevator and Escalator Department and supplemental staff has a safety responsibility, which includes performing accident investigations, assisting police, and reviewing video recordings. - Additionally, MARTA’s Safety Department performs periodic safety audits on all work. An escalator incident cuased agency to change from quarterly brake checks to monthly. NYCTA Inspection Team A17.1 for periodic and routine inspections N/A

37 elevator and escalator inspection and maintenance protocols—Code book is available at SEPTA’s Bridge and Building Engineering (B&B) Headquarters. - Additional technical requirements are contained in OEM manuals for each machine and also retained at the field office. - Rigorous scheduled PM and inspections (PMI) program; see maintenance section for details. SEPTA personnel perform all daily and monthly elevator and escalator PMI, plus annual preventive maintenance. Additionally, qualified third-party contractor performs the annual state certifications. - SEPTA System Safety Department conducts annual safety audit. The internal audit scope includes: 1. Identify governing written SEPTA and/or industry standards for railroad (RRD) escalator/elevator inspections—and determine whether they are readily available and used. 2. Identify applicable written procedures (exclusive of standards) for performing inspections—and determine whether they are readily available and used. 3. Identify applicable written worksheets for performing inspections—and determine whether they are readily available and used. 4. Qualitatively review inspection documentation/worksheets—and determine if the documentation was appropriately completed and processed. 5. Identify applicable inspection frequency— and determine whether inspections are conducted in the timeframe specified by the Authority, and if a tracking mechanism was in place to ensure conformance. 6. Determine if inspection information is recorded/tracked electronically—and if the electronic data comport with the hard-copy documentation. 7. Determine whether physical plant records were centralized and secured in a reasonable manner. SEPTA - Pennsylvania State Code A-17 is the principal standard governing SEPTA’s Increased record keeping

38 Agency How El/Es Injuries Are Defined, Categorized, and Monitored BART “Entrapment” at BART refers to passengers stuck inside elevators. “Accidents” at BART refers to patrons who fell (injured or not) and passengers who had body parts, clothing, or personal items trapped in comb segments, skirts, handrails, etc. CTA Accident—for slips, falls, and injuries Detainment—for entrapments Down—for defective equipment Numbering system used to denoted status of El/Es: 1—equipment up 2—equipment down 3—construction 8—accident 9—detainment Daily report generated showing status of each El/Es MARTA Working to define NYCTA N/A SEPTA For National Transit Database: Code 09A = In station/bus stop associated with escalator Code 09B = In station/bus stop associated with elevator For FRA: Code C3 = On escalator (under location codes) Code A8 = In elevator (under location codes) Question 10 How Agencies Define and Monitor El/Es Availability Agency Is El/Es Availability Monitored? How Is Availability Performance Tracked? How Is Availability Performance Defined? How Is Equipment Counted When Down for Scheduled Repairs/Maintenance? BART Yes Data Stream WO System soon to be replaced by MAXIMO Data Mangement System “Uptime” at BART means that an elevator or escalator is available for use. “Downtime” at BART means that an elevator or escalator is not available for our patrons to use. Preventative maintenance, corrective maintenance, repairs, inspections, accidents, or entrapments all Unavailable Question 9 How El/Es Injuries Are Defined, Categorized, and Monitored

39 count against us and are considered as “downtime.” Major capital improvements, however, do not count against “downtime.” CTA Yes Through customer assistants placed and in charge of each station, calling in any defective El/Es to our Control Center. Then contacts (via radio) inspectors to dispatch personnel to repair. Two availability systems are used. For internal agency use, only unscheduled repairs are counted as down and unavailable. Routine maintenance performed to equipment is counted as available. Tracking is done on the agency’s Infor EAM system. For external purposes, any equipment not available for customer use is considered unavailable regardless of the reason. This status system is used to inform customers of unavailable El/Es. Internal purposes: Available External purposes: Unavailable MARTA Yes Currently by spreadsheet, but is not timely. Monthly status reports are not generated until the 2nd week of the following month. Working to track data electronically in MMS to generate real-time tracking and reporting capability. Equipment is considered down any time passengers are unable to access it. Only exception is when equipment is down for long- term modernization upgrades. Unavailable

40 NYCTA Yes Computer-based program generates reports on demand. Equipment is considered down any time passengers are unable to access it. Unavailable SEPTA Yes Daily reports Uptime: Equipment functioning and available for public usage. Downtime: Equipment not functioning and can not provide service for public usage. Available However, repairs and annual inspections are marked as unavailable. Questions 10e–f Agency Leading Causes of Equipment Unavailability Ways to Improve Availability BART Comb impact faults are the number one reason for shutdowns. The duration of these calls is usually under 1 h. Analysis of these shutdowns indicates the safety device operated as intended and was usually caused by patrons running down the escalator and jumping the last few steps in an effort to board a train before the doors close. When they land on the comb plate, the safety device can’t tell the difference between a patron becoming entrapped or jumping on it and shuts down the escalator. Preventative maintenance procedures need to be performed at a higher standard. Mechanics require more time in the units and need to pay attention to all the details required to keep elevator and escalator subsystems running efficiently. Proper checking, lubricating, adjusting, cleaning, and replacement of worn parts month after month are required. CTA Door problems are leading for elevators; for escalators, comb impact. Stop button switches are troublesome for both, oftentimes used on purpose by passengers as nuisance. Sometimes thieves use these buttons to rob passengers. Include inspectors and mechanics in meetings when the El/Es design phase begins for new or remodeling of stations. With the addition of new stations, consideration needs to be made that additional personnel is needed to meet these increased maintenance demands and to better satisfy code requirement inspections. MARTA Equipment age contibutes to increased failures and maintenance requirements. Modernize the equipment. NYCTA Major repairs and maintenance events such as rope replacements, bearings, and head shafts. Schedule overhauls and rehabs. SEPTA Malfunction of parts including soft- start and electrical circuit boards. Field training (as oppossed to classroom learning) and improved component inventory

41 Satisfying ADA Requirements That Accessibility Features Must Be Repaired Promptly Agency Agency Definition of Prompt Repairs to Satisfy ADA Policies to Ensure Prompt Repairs to Satisfy ADA BART Per court-mandated agreement stemming from an ADA lawsuit, a mechanic must be dispatched within 1 h. The installation of a trunked radio system, which works anywhere in the entire BART system, including all tunnels and underground rooms, allows us to immediately and without exception communicate with our mechanics to inform them of problems. This allows us to respond quickly and efficiently. CTA Respond immediately to accidents and entrapments; within 1 h for all other downed units. Respond immediately to accidents and entrapments; within 1 h for all other downed units. MARTA The MARTA maintenance contract classifies elevators as either “critical” or “special” depending on their location and use (see definition below). For elevators designated as “special,” work to repair the elevator and return it to service must begin immediately and crews will work 24/7 to return it to service. Special stations are defined as those that have only one elevator or are located at key stations (airport and center transfer station). All remaining elevators are classified as “critical” and carry the same requirements as those designated as “special” with the exception that work can be deferred until the start of the following day if approved by the Manager of Elevators and Escalators. Oversight of contractor to assure work begins immediately. NYCTA Respond time to shutdown is 20 min. We have access 24/7 to parts and labor. Adhere to 20-min response requirement. SEPTA N/A N/A Question 12 Accommodating Individuals with Disabilities When Equipment Is Out of Order Question 11 Agency Procedures to Accommodate Disabled When El/Es Are Unavailable BART Paratransit bus service is set up between the affected stations when El/Es are out of service. CTA Paratransit bus service is set up between the affected stations when El/Es are out of service. Announcements are also made to inform passengers to bypass an affected station and return via the other direction where El/Es are operational. MARTA Bus bridges are put in place to transport patrons around affected stations. NYCTA Website can be used to notify customers that elevators are out of service (OOS) so they can make alternate arrangements. Station announcements are also made. SEPTA Out-of-order display at cashier booths and in front of the equipment, safety barriers, and SEPTA’s information website.

42 Question 13 Communication Procedures Agency Communication Procedures When Equipment is Unavailable Other Information Communicated Educating Passengers About El/Es Usage BART - Electronic outage signs at the entrance of all stations - Anouncements over the PA system - Online services also indicate where and for how long elevators are unavailable or are currently being rehabbed. - Online services include BART’s Internet website, RSS feeds, SMS, e-mail and text message alerts, and Twitter. CTA - Internet - 1–800 phone status report line - Posted signs - TV monitors at 40% of the stations A white dry erase board is in every station showing the status of our elevators. Customer service agent at each station keeps it updated. Signs posted at each unit. MARTA - PA announcements at stations - Operator messages on trains and buses - MARTA website (only when equipment is out of service for extended periods) - Appropriate signage at station entrances There is also a scrolling message board at most stations that can post El/Es information as appropriate. There are recorded messages that play at regular intervals on the PA system that advise patrons to hold handrails, be careful entering and exiting the escalators, etc. NYCTA Website—We provide customers a website where they can view the current list of elevators OOS. Signage, elevators, and participation in Escalator Safety Foundation, which helps provide needed information that allows NYCTA to conduct customer outreach El/Es safety activities at stations. SEPTA - Out-of-order display at cashier booths and in front of equipment - Safety barriers - SEPTA information website Awareness training conducted at stations and schools

43 Questions 13c–e Agency Customer Communication Methods to Agency Typical Customer Communications to Agency Agency Response to Customer Communications BART A disability task force consisting of all types of disabled patrons meets once a month to discuss these problems. BART staff also bring them up to speed on future and ongoing projects. - Dirty or smelly elevators - Elevator doors not operating properly (too slow, too fast, don’t fully open or slam closed) - Major repairs on escalators take too long to complete Phone calls, e-mails, or letters with explanations or departmental analysis to see if changes or improvements need to be made CTA E-mail or phone (1) Questioning why El/Es are down; (2) asking how soon equipment will be operational (often equipment is purposely put out of service because of overload concerns at major events, but occasional patrons do not realize this) CTA staff receive and log in each call, investigate, and respond to every customer with answer. MARTA A community ADA committee external to MARTA meets regularly throughout the year to address public accessibility issues including vertical transportation. MARTA staff attend these meetings. In addition to this venue, patrons including our patrons with disabilities can provide feedback through Facebook, Twitter, our website, and a customer service hotline. (1) Reports of equipment thought to be out of order; (2) escalators not running in a direction that is deemed convenient for them (i.e., one direction in the morning and the opposite in the afternoon; (3) elevators not functioning at every corner of the station. Complaints are routed to the appropriate manager who is responsible for that area of concern from Customer Service. Issues are investigated and responses are routed back to Customer Service for discussion with patron or group. NYCTA Phone lines, e-mail, and website All of above E&E investigates and answers through Customer Relations Department. SEPTA Through cashier booths, service desk, phone, and SEPTA website Malfunction complaints, equipment takes too long to become operational again Customer Service group issues a complaint ticket to the responsible department, which will investigate the issue, then report back to Customer Service to close correct the problem, and the work order. Customer

44 Service group will correspond to the customer if customer left contact information. Question 13f Agency Steps Needed to Improve Customer Communication BART N/A CTA I think we do a good job. Each call is followed-up with an answer. MARTA Real-time web status (current system only provides info on long-term outages) NYCTA N/A SEPTA Centralize the video camera system and link to the Customer Service Department to provide real-time display. Personnel Question 14 Agency Use of Specialists or Generalists for El/Es Maintenance and Repair Agency El/Es Technicians as Specialists or Generalists BART Generalists—work on both El/Es CTA Specialists—Escalators are mostly taken care of in house. Elevators are maintained by an outside contractor. MARTA Generalists—work on both El/Es NYCTA Generalists—work on both El/Es SEPTA Generalists—work on both El/Es Question 15 Services Contracted Out to Vendors or Third-Party Service Companies Agency Contracted Services (Y/N) Scope of Contracted Services Number of Personnel Involved BART Yes Perform all maintenance, inspections, repairs, minor projects, and some overhauls in house. Contractors are called in only when the agency is overwhelmed with repairs. Major overhauls are also contracted to the lowest bidder. PM: N/A Repairs: Overhauls: Replacements: Quality control (QC): CTA Yes Elevators are maintained by an outside contractor. Maintenance and inspections are done on a monthly basis. PM: 6* Repairs: 2* Overhauls: as needed Replacements: as needed QC: None by contractor; 2 in house (*Additional personnel requested by CTA due to weather and special conditions as called for in the contract. )

45 MARTA Yes MARTA has 100% contract services for preventative maintenance, repairs, and all work done on the agency’s vertical transportation equipment. The agency also has a separate contract for its modernization project. At this time both contracts are held by Schindler. General Maintenance PM and repairs: Min 16 per contract, 18 typical, others brought in as needed to meet contract requirements QC: 2 Other: 1 Superintendent Modernization/Replacements MARTA has a separate contract for a modernization project regarding the aging Westinghouse Modular escalators. About 14 technicians are dedicated to this project; more are brought in when needed. MARTA is also planning to replace all of the O&K escalators under contract since parts availability has become a critical issue. NYCTA No N/A N/A SEPTA Yes Contract services include elevator cab rebuild and renovation, and escalator handrail replacement or vulcanization. Contractors also perform quality control functions. PM: 0 Repairs: 1–2 Overhauls: team Replacements: 1–2 QC: 1–2 (for state inspections) Questions 15c–e Agency Satisfied with Subcontracting (Y/N) Subcontracting Advantages Subcontracting Disadvantages BART Yes. Contracts usually involve an OEM, so quality is good and callbacks infrequent Helps to get units back into service in a timely manner - Slow to respond to our needs - Expensive compared to in- house service - Poor communication of repair details CTA Mixed Contractor assumes all liability; good communication Costly. Agency also has to provide oversight, make sure that correct and quality parts are being used. Also had to inform contractor of special conditions that exist in transit, more severe than typical applications. MARTA Yes In MARTA’s maintenance agreement, all liability is transferred to the contractor. None, the contract is working well. NYCTA N/A SEPTA Can always be better Jobs done faster Budget issues (additional cost)

46 Question 16 In-House Technician Breakdown: When El/Es Are Maintained Collectively Agency Total In-House Technicians BART PMI and light repairs: 23 Repairs: 5 Overhauls: (contracted) Replacements: (contracted) Quality control: In-house El/Es managers Other: Total technicians: 28 Total El/Es: 316 Ratio: 1:11.3 Es/El CTA N/A – maintained separately MARTA (all contracted) PMI and repairs: 18 + 3 in-house oversight = 21 Total technicians: 21 (excluding modernization) Total El/Es: 258 Ratio: 1:12.3 El/Es (additional staff brought in as needed) NYCTA PMI: 124 Repairs: 37 Overhauls: 23 Replacements: 0 Quality control: 12 Other: 50 Total technicians: 246 Total El/Es: 368 Ratio: 1:1.5 El/Es SEPTA PMI and repairs Total in-house technicians: 30 Total El/Es: 156 Ratio: 1:5.2 El/Es Question 16b In-House Technician Breakdown: When El/Es Are Maintained Separately Agency Total In-House Elevator Technicians Total In-House Escalator Technicians BART N/A – maintained collectively N/A—maintained collectively CTA Elevators: contracted PMI: 6 Repairs: 2 Quality control: (2 in-house) Total technicians: 10* Total elevators: 159 Ratio: 1:16 El/Es Escalators: in-house PM and repairs: 20 Quality control: Total technicians: 20 Total escalators: 161 Ratio: 1:8 El/Es brought in when needed) (*Additional personnel

47 MARTA N/A N/A NYCTA N/A N/A SEPTA N/A N/A Questions 17–19 Work Schedules Agency Work Schedule Are Activities Targeted Off-Peak (Y/N) Do You Have Sufficient Personnel (Y/N) BART Hours per day: 27 Days per week: 7 Number of shifts: 3 Shifts rotate to provide 24/7 coverage No No The ratio of units to mechanic is too high. CTA Hours per day: 8 Days per week: 5 Number of shifts: 1 Same schedule for both in- house and contracted workforce. Weekends: workers brought in if 15% or more equipment is down. No No Due to age of escalators, more heavy repairs are needed. MARTA Hours per day: 12 Days per week: 5 Number of shifts: 2 (overlapping) Contract requires 90-min response time on all El/Es; technicians therefore must be on-call during weekends (repair of certain classification El/Es can be deferred pending MARTA manager approval). Yes Scheduled maintenance on all “special” units must be done betwwen the hours of 2:00 a.m. and 6:00 a.m. No NYCTA Hours per day: 24 Days per week: 7 Number of shifts: 3 Yes Yes SEPTA Hours per day: 8 Days per week: 5 Number of shifts: 1–2 Weekend work assigned by managers as needed to on-call technicians at overtime rates. Yes No Not enough technicians working between PM, inspection, testing, maintaining, and repairing. Also, only 1.5 engineering staff assigned to El/Es—need to double or triple engineering resources.

48 Question 20 Doing More with Reduced Budgets Agency Activities Taken to Accomplish More With Less Staff and Resources BART - Cut down travel time by assigning mechanics to equipment next to each other or very close by. - Storage of tools, equipment, and parts are at most stations. - Each mechanic reports to and leaves from his/her route location. CTA In-house escalator staff down six technicians for 3 years now due to budget restraints. Despite the shortfall, agency seeking to improve El/Es uptime by researching reasons for downed equipment and improving its communication with other agencies to exchange information. MARTA Unusual condition for MARTA in that they are ramping up to build an effective in-house department to oversee contract services, conduct performance audits, and oversee modernization/equipment replacement projects. NYCTA Created specific checklists and procedures based on specific El/Es equipment to replace generic PM approach where one set of documentation was used to guide all PMs. Technicians were given more time to do PMs based on the revised approach. Also concentrating on problem machines based on data generated from MMS. SEPTA Concentrate more on the detailed PM and planning to reduce unexpected breakdowns and long lead-time items Question 21 Work Assignments Agency Workers Assigned to Specific Tasks vs. Working on All Jobs Equally BART Technicians work on all jobs equally. CTA Technicians work on all jobs equally. MARTA MARTA’s contract is performance based, calling for contractor to maintain and repair equipment as needed. Therefore, MARTA does not want to be in a position to dictate how technicians perform their assignments. NYCTA Technicians work on all jobs equally. All Maintainers have the same Civil Service status. SEPTA Technicians work on all jobs equally. Question 22 Training Agency Available Training (Y/N) Training Program Descriptiona BART Y CTA Y For new installations, training provided by vendor. In-house training is limited, but most effective is OJT and mentoring. Lack of training aids such as mock-ups makes it difficult to do classroom training because equipment is so detailed and complex. Students really need to work with it hands-on, so bringing them out into field and providing instruction on actual equipment works best.

49 MARTA N/A MARTA’s contract is performance based, calling for contractor to maintain and repair equipment as needed. Therefore, MARTA does not want to be in a position to dictate how technicians become qualified. The responsibility falls on the contractor to provide training. NYCTA Y The following classes are given once a month: 1. Hydraulic Valve Body: 3 days 2. Introduction to Electrical Schematics Basic: 3 days 3. Elevator Door: 3 days 4. Escalator Maintenance: 2 days 5. Hydraulic Elevator Maintenance: 1 day 6. Traction Elevator Maintenance: 1 day Agency also has a training mock-up of a running escalator and mock-ups of key elevator components such as doors. SEPTA Y Working on a 4-year training program with emphasis placed on providing additional code knowledge, field training, and case study exercises. SEPTA has a training center and training program (Preventive Maintenance and Repairs) for elevators and escalators. In addition, SEPTA currently is purchasing one escalator and one elevator for training purposes. aSurveyed agencies are also participating in an El/Es Training Consortium where the cost and resources needed to develop comprehensive training are being shared by all parties with financial assistance provided by FTA. Questions 22b and 22c Training Adequacy Agency Adequate Training Provided (Y/N) Needed Training Improvements BART Y Participating in the El/Es Consortium will provide BART and others with nationally accepted apprentice program, State License Accreditation, and consistent training of existing mechanics. CTA N Include in-depth electrical print reading, troubleshooting, and mechanical maintenance and adjusting equipment to specification tolerances. Additional hands-on training is greatly needed. MARTA N/A N/A (Contractor’s responsibility) NYCTA N Maintainers do not receive the level of training needed to repair NYC Transit elevators and escalators. This is due to the vastly different types of controllers and electrical systems throughout Transit. Maintainers will require additional training and material. To improve training, more training aids and mocks-up are required. SEPTA N Need more code knowledge, field training, and case study excercises.

Agency Required Licensing (Y/N) Requirements and How Licensing/Certification Achieved BART Y Certification is run by the state, which requires a 2-year re- certification course administered by the state CTA N Licensing will be required in near future, so CTA is increasing its training to prepare technicians for state licensing requirement. MARTA Y MARTA does not have in-house maintenance personnel but they do have 4 in-house equipment inspectors that audit contractor maintenance and equipment condition. These inspectors are all QEI certified even though Georgia Department of Labor does not require certification for their state inspectors. Regarding the contractor’s technicians, the state of Georgia requires all El/Es technicans to be licensed through testing and recertification. NYCTA N Some supervisors are QEI certified. SEPTA N SEPTA’s training program will be used to prepare technicians for certification once we complete the Transit Elevator and Escalator Training Course materials being developed under the consortium. Maintenance Questions 24 and 27 Documented Maintenance Program Agency Do You Have a Document That Describes Overall Maintenance Program (Y/N) If Yes, Are You Willing to Share a Copy of That Program with Peers? Documents that Guide PMIs, Repairs, and Overhauls (Y/N) If Yes, Are You Willing to Share with Peers? BART Y Y Y Y CTA Y N Y Time standards being considered for basic jobs MARTA Y The contract documents state that OEM recommendations of inspections and appropriate intervals must be followed and all ASME code and state requirements must be met. Additionally, MARTA requires increased inspection frequency on all safety devices and brakes for escalators. Y The contract documents with contractor stipulate inspection, maintenance, and audit frequencies as well as provide basic check charts that stipulate minimum inspection and maintenance requirements. Specific guidelines and procedures are by the contractor. NYCTA Y Y “Five or More Outages” defined as an elevator or escalator that is down five or more times in a week are investigated; Y Question 23 Certification and Licensing PM schedule and procedures are then

51 adjusted to reduce breakdowns. PM program is now tailored for each type of El/Es instead of using generic approach. SEPTA Y Y Y Have documented PMI intervals, procedures, and checklists. Repairs are based on OEM instruction manual. Time standards are not included. Y Question 25a Maintenance Management System (MMS) Agency Type of MMS Used Last Time Changed BART - Presently using Data Stream Work Order System - Changing over soon to MAXIMO Data Management System - Changing to gain a systemwide data management system and better analysis of shutdowns by capturing more data - Yearly review - When new equipment comes onboard CTA All work orders entered into EAM system, reports generated by human resources. Reports include: - How many times equipment was down, - How long the equipment was down, and - Root causes of specific problems. July 2010 when CTA changed to adhering to 2007 version of ASME A17 MARTA MARTA uses FASuites, which is a MMS program operating on an Oracle database platform. Before 2011, elevators and escalators were not included in the program since they were not maintained internally. The agency has since entered all equipment into the system and all callbacks and scheduled and unscheduled maintenance are entered into the system to help track outages and their respective causes. An enhanced MMS system is being planned. During the last contract cycle, which was placed out to bid in September 2010. NYCTA Microsoft-based system provides historical repair data on each El/Es and generates reports according to need. March 2011 SEPTA Review work orders and quantify the results to the categories as needed March 2011, updated every 2–3 years.

52 Agency Use of Data to Support Decision Making Maintenance Program Changes Made as Result of MMS Data BART - Monthly reviews of reason for repairs. CTA N/A N/A MARTA MARTA uses FASuites, which is a MMS program operating on an Oracle database platform. Before 2011, elevators and escalators were not included in the program since they were not maintained internally. We have since entered all equipment into the system and all callbacks and scheduled and unscheduled maintenance are entered into the system to help track outages and their respective causes. Just starting the process; insufficient data available to comment at this time. NYCTA Data are used to identify reoccurring problems and adjust scheduled PM activities to minimize future unscheduled problems and breakdowns. Developed PM checklists and procedures based on specific equipment SEPTA Handrail breakdown period vs. handrail inventory level Due to short handrail life, SEPTA is working to replace the handrail every 5 years. Vandalized handrails are replaced immediately. Question 26 Proactive vs. Reactive Maintenance Agency Proactive or Reactive Maintenance? Explanation BART Proactive PM is our core business. CTA Proactive CTA goes through PM inspections to help them to understand problems and adjust maintenance program accordingly. Seasonal PM programs in place. Winter: heaters are all working by October. Summer: make sure vent fans are operational before warm weather arrives. MARTA Proactive While overall approach is to be proactive, reality is such that there will always be times when reactive maintenance is needed. NYCTA Proactive The purpose of PM is to try to prevent problems. SEPTA Proactive The idea of PM is to prevent/avoid the breakdown situation. Question 28 Elevator PM Intervals for Inspections Agency Elevator PM Inspection Intervals and Activities BART Monthly Bimonthly Quarterly Semiannually Annually (see detailed schedule of activities) Questions 25b and 25c MMS Applications

53 CTA Detailed inspection and PM activities performed monthly. MARTA Contract calls for a minimum requirement of monthly maintenance. Contractor, however, is required to consider age of equipment, OEM recommendations, and ASME requirements. NYCTA Routine and periodic interval: PMs at 4, 6, and 8 weeks SEPTA Daily Weekly Monthly Annually Question 28b Escalator PM Intervals for Inspections Agency Escalator PM Inspection Intervals and Activities BART See sheets. CTA Daily visual inspection: as many units as can be inspected in a day; within a month each unit is inspected. Monthly PM: inspection and lubrication Yearly: Comprehensive inspection and servicing MARTA Contract calls for a minimum requirement of monthly maintenance. Contractor, however, is required to consider age of equipment, OEM recommendations, and ASME requirements. NYCTA Type I, II, III, IV, and V interval: 4, 6, and 8 weeks Repairs: Step chain replacement interval: 10 years SEPTA Daily Weekly Annually Question 28c Equipment Overhauls and Replacement Plans Agency Equipment Overhauls and Replacements BART CTA CTA wants to replace 52 units within 5 years to get the oldest equipment out of service. Getting parts is difficult with older units, which increases maintenance requirements and downtime. MARTA Most of the 117 Westinghouse Modular escalators were installed in the mid- 1970s and early 1980s. With that age well over 30 years, they have exceeded the useful life of the equipment and, as a result, MARTA has aggressively pushed an escalator modernization program that has the first phase of 30 units 50% complete and the second phase of 30+ units getting ready for release in the coming fiscal year. NYCTA Rope replacement interval: 5 years Escalator replacements: 25–35 years SEPTA Some units replaced in house, others contracted out.

54 Question 29 Establishing Maintenance Intervals Agency Procedure for Establishing Intervals Solicit Technicians’ Input (Y/N) How Legal Requirements Are Integrated BART OEM recommendations Y Follow OEM recommendations and ASME codes CTA Code, local experiences, OEM recommendations Y Follow OEM recommendations and ASME codes MARTA A consultant to MARTA has started to track repeated callbacks on equipment. Based on the findings, MARTA will require the contractor to replace certain parts and take other actions at scheduled PM intervals. Y NYCTA ASME A17, age, rise of equipment (length), location, usage, and OEM recommendations Y ASME A17 SEPTA A combination of ASME A17, OEM recommendation, and local experiences Y ASME A17 Question 30 Scheduled Maintenance vs. Unscheduled Repairs Agency Is There a Distinction Made? (Y/N) Is It Monitored? (Y/N) Performance Measures BART Y Y CTA Y Y But not as much as needed Information can be obtained from worker time sheets; starting to track it more closely. MARTA Y Y None, but if repeated failures are noted, MARTA will put pressure on contractor to improve performance. NYCTA Y Y Reporting flexibility allows agency to view several performance measures such as downtime due to repairs and PM, length of PM and repairs, response time, etc. SEPTA Y Y No report on the ratio of scheduled and unscheduled

55 Agency Classify Costs by Parts and Labor (Y/N) Classify Costs by Asset Type (Y/N) Cost Details BART Y Y CTA Y Y CTA pays contractor for labor based on set hourly rate, and for major parts (marked up an estimated 20% or more). Contractor pays for small item parts. Warranty costs picked up by OEM. Regarding in-house costs for escalators, CTA stays within allotted budget. Each WO has cost breakdown, but agency simply does not have the personnel to track costs very closely. MARTA N N/A N/A NYCTA Y Y N/A SEPTA N N N/A Question 32 Quality Assurance Agency QA Measures to Determine Correct Maintenance Who Conducts QA How Often QA Conducted BART In-house CTA Engineering group and QEI inspectors oversee both in-house escalators and contracted elevators; they also conduct acceptance testing. In-house Twice every 6 months and periodically MARTA In-house staff of four QEI inspectors ensure the contractor is complying with all applicable ASME and local safety codes. In-house Rigorously throughout the year NYCTA Supervisors verify technicians’ work; engineering staff conducts audits on a periodic, random basis. In-house Daily SEPTA New equipment acceptance test and ASME/PA state requirement Contracted New equipment acceptance test and ASME/PA state requirement Question 31 Maintenance Costs

56 Agency Spare Parts Ordering Procedures Enough Parts Kept in Inventory (Y/N) Missed Repairs Due to Lacking Parts (%) Steps to Improve Parts Availability BART Automatic reorder system based on preset minimum quantities Y CTA Recommendations made by foremen and inspectors Y and N In some cases can’t keep parts on hand due to high cost (e.g., a rotor costing $12,500 took 2 weeks to arrive from Germany, causing the equipment to be down the entire time). About 2%. Some escalators in service since 1943 require that some parts be custom made. More frequent inspections would allow technicians to note parts that will need replacement so parts can be ordered in advance of failure. MARTA All maintenance is contracted and all parts are purchased by the contractor. Contractor is required to maintain parts inventory, but MARTA realizes it must understand in cases involving O&K where the company has gone out of business and finding parts is difficult or impossible. Not tracked currently; hope to implement capability with new MMS. NYCTA We forecast spare parts and store them in three central satellite locations. Y Not known Standardized equipment SEPTA Based on the OEM recommendation and local experiences N Spare parts are based on the most common wear parts only. Not known Risk assessment Question 33 Spare Parts

57 NYCTA PM schedule redesigned in March 2011 to account for specific equipment to replace generic approach SEPTA More knowledgeable technicians and training program New Technology Question 35 New Technology Impact on Equipment Availability Agency Examples of New Technology Impacts on Availability Impact Monitored (Y/N) Details BART Requires more maintenance Y CTA More safety features translate into more maintenance requirements. N Estimates that a minimum of 20% additional time is needed for maintenance and repairs. MARTA As older Westinghouse Modular escalators are modernized, the number of safety devices essentially doubles from 10 to 20 devices. With that increase in safety devices, the number of shutdowns will also increase. We are collecting data to compare the number of shutdowns pre- and postmodernization to correlate the relative change in shutdowns. We are also beginning to track the change in incident reports on the units. Y Comb impact device is especially troublesome at airports due to passengers boarding with heavy luggage. Skirt deflection switch also troublesome due to school-age children purposely activating it to shut down escalator as prank. NYCTA Liftnet, a remote equipment monitoring system, provides real-time status of breakdowns, which reduces response time. Y Agency can monitor uptime, downtime, time spent on repairs, fault codes, entrapments, response time, and other information from central, remote location. SEPTA Planning to install a centralized monitoring system N/A N/A Question 34 Improving Maintenance Effectiveness Agency Steps Needed to Improve Maintenance Effectiveness BART PM procedures need to be performed at a higher standard. Mechanics require more time in the units and need to pay attention to all details required to keep elevator and escalator subsystems running efficiently. Proper checking, lubricating, adjusting, cleaning, and replacement of worn parts month after month are required. CTA Installing new equipment after 30–40 years. MARTA MARTA is still in the early stages of building an oversight department, which is a slow-moving process. The agency is confident that when it is up and running it will be among the best in the industry.

58 which is written into contract. OEMs provide manuals and specified amount of training. MARTA N/A – Contract requirement N/A N/A NYCTA Contractual training and in- house training N More training is needed. Having hard time finding qualified and experienced El/Es technicians. SEPTA Through OEM company training when we have new equipment before acceptance test. N Need a better way to approve and monitor the OEM company training. Questions 37 and 38 New Technology Contributions Agency New Features That Have Improved Maintenance New Features That Have Improved Customer Experiences BART - Equipment fault displays - Remote monitoring systems N/A CTA Code and fault recorders are helpful for troubleshooting. - Escalators have more lighting. - El/Es have more safety devices. MARTA The modernized escalators have fault code capability, something that older equipment did not have. This new feature allows technicians and managers to see the type of faults that are occurring and respond accordingly. Codes help direct technician to problem. Availability on the older equipment was suffering due to its age; modernization of equipment revitalizes the stations. The increased safety devices automatically shut down equipment to dramatically improve patron safety. NYCTA Liftnet Intercoms, escalator electronic signs SEPTA N/A N/A Question 36 Familiarizing Technicians with New Technology Agency Steps Taken to Familiarize Technicians with New Technology Technician Ability to Work on New Technology (Y/N) Other Comments BART Per every contract, all new equipment manufacturers are required to perform training. Y CTA On-the-job training and Y Have selected a quality seminars provided by OEMs, group of mechanics.

Abbreviations used without definitions in TRB publications: AAAE American Association of Airport Executives AASHO American Association of State Highway Officials AASHTO American Association of State Highway and Transportation Officials ACI–NA Airports Council International–North America ACRP Airport Cooperative Research Program ADA Americans with Disabilities Act APTA American Public Transportation Association ASCE American Society of Civil Engineers ASME American Society of Mechanical Engineers ASTM American Society for Testing and Materials ATA American Trucking Associations CTAA Community Transportation Association of America CTBSSP Commercial Truck and Bus Safety Synthesis Program DHS Department of Homeland Security DOE Department of Energy EPA Environmental Protection Agency FAA Federal Aviation Administration FHWA Federal Highway Administration FMCSA Federal Motor Carrier Safety Administration FRA Federal Railroad Administration FTA Federal Transit Administration HMCRP Hazardous Materials Cooperative Research Program IEEE Institute of Electrical and Electronics Engineers ISTEA Intermodal Surface Transportation Efficiency Act of 1991 ITE Institute of Transportation Engineers NASA National Aeronautics and Space Administration NASAO National Association of State Aviation Officials NCFRP National Cooperative Freight Research Program NCHRP National Cooperative Highway Research Program NHTSA National Highway Traffic Safety Administration NTSB National Transportation Safety Board PHMSA Pipeline and Hazardous Materials Safety Administration RITA Research and Innovative Technology Administration SAE Society of Automotive Engineers SAFETEA-LU Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (2005) TCRP Transit Cooperative Research Program TEA-21 Transportation Equity Act for the 21st Century (1998) TRB Transportation Research Board TSA Transportation Security Administration U.S.DOT United States Department of Transportation