State of Good Repair: Prioritizing the Rehabilitation and Replacement of Existing Capital Assets and Evaluating the Implications for Transit (2012)

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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 157 TRANSPORTAT ION RESEARCH BOARD WASHINGTON, D.C. 2012 www.TRB.org Research sponsored by the Federal Transit Administration in cooperation with the Transit Development Corporation Subscriber Categories Public Transportation • Planning and Forecasting State of Good Repair: Prioritizing the Rehabilitation and Replacement of Existing Capital Assets and Evaluating the Implications for Transit Spy Pond Partners, LLC Arlington, MA w i th KKO & Associates, LLC Andover, MA Harry Cohen Ellicott City, MD Joseph Barr Arlington, MA

TCRP REPORT 157 Project E-09 ISSN 1073-4872 ISBN 978-0-309-25844-9 Library of Congress Control Number 2012943634 © 2012 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. On 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. Charles M. Vest 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, on its own initiative, to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg 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. Charles M. Vest 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 157 Christopher W. Jenks, Director, Cooperative Research Programs Crawford F. Jencks, Deputy Director, Cooperative Research Programs Dianne S. Schwager, Senior Program Officer Jeff Oser, Senior Program Assistant Eileen P. Delaney, Director of Publications TCRP PROJECT E-09 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 Robert Padgette, High Street Consulting Group, LLC, Chevy Chase, MD James R. Plomin, Oak Park, IL Jerry Rutledge, King County (WA) Transit, Seattle, WA Winston Simmonds, Port Authority of Allegheny County (PA), Pittsburgh, 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 Keith Gates, FTA Liaison Chris Nutakor, FTA Liaison Terrell Williams, FTA Liaison Jeff Hiott, APTA Liaison Frank N. Lisle, TRB Liaison

F O R E W O R D TCRP Report 157: State of Good Repair: Prioritizing the Rehabilitation and Replacement of Existing Capital Assets and Evaluating the Implications for Transit presents a framework for transit agencies to use for prioritizing capital asset rehabilitation and replacement decisions. By applying this framework, a decision maker can answer questions about asset rehabilita- tion and replacement investment decisions. The published report is accompanied by four Microsoft Excel models, which are available electronically via the TRB website. This report and the models will be a valuable resource for transit agencies and will be of interest to regional, state, and federal agencies that oversee, plan, or finance public transportation. TCRP Report 157 presents the results of Transit Cooperative Research Program (TCRP) Project E-09 related to achieving a state of good repair for transit assets, focused specifically on approaches for evaluating and prioritizing rehabilitation and replacement investments in existing capital assets. The research reviewed existing state-of-good-repair practices in transit and other related industries. Based on the review, an evaluation was performed of the impacts and implications of different investment levels for rehabilitation and replacement of transit assets. The evaluation summarizes the positive and negative impacts of rehabilita- tion and replacement investment decisions and describes the performance measures used to quantify those impacts. The research developed a framework for transit agencies to use for prioritization of capi- tal asset rehabilitation and replacement decisions. The framework builds upon fundamental concepts involved in prioritizing asset rehabilitation and replacement decisions and pro- vides a basic set of steps for transit agencies to follow. An analytical approach and set of spreadsheet tools were developed to support the framework. The tools address (a) how to evaluate rehabilitation and replacement actions for specific types of transit assets, and (b) how to prioritize candidate rehabilitation and replacement actions. The report presents a detailed example demonstrating application of the analytical approach and tools in support of the framework. Practitioners, researchers, and transit agencies can use the results of the research to better prioritize their investments in existing capital assets and better communicate the predicted impacts of a given set of rehabilitation and replacement investments. This research is the first phase of a two-part research project. The next phase of the research will develop guidance for applying the approach developed through TCRP Project E-09. It includes transit agency pilots and a workshop for testing, refining, and communicating the implementation guidance for evaluating and prioritizing state-of-good-repair investments, as well as development of a set of web-based implementation support tools. This two-part project will help transit agencies evaluate and prioritize capital investments in transit assets for achieving a state of good repair. By Dianne S. Schwager Staff Officer Transportation Research Board

C O N T E N T S 1 Summary 3 Section 1 Introduction 5 Section 2 Review Findings 5 2.1 Review Approach 5 2.2 Review Results 19 Section 3 Characterizing Investment Impacts and Implications 19 3.1 Overview 19 3.2 Examples of Impacts and Implications 23 3.3 Impact Categorization 25 3.4 Other Impacts 27 Section 4 Framework for Prioritizing Transit Asset Rehabilitation and Replacement 27 4.1 Introduction 27 4.2 Fundamental Concepts 31 4.3 Process for Evaluating and Prioritizing Transit Asset Rehabilitation and Replacement 42 4.4 Summary 44 Section 5 Tools and Approaches 44 5.1 Introduction 44 5.2 Recommended Analytical Approach 47 5.3 Supporting Tools 56 5.4 Example Analysis 62 Section 6 Conclusions 64 References 67 Acronyms and Abbreviations 69 Appendix A Review Approach Details 75 Appendix B Annotated Bibliography 104 Appendix C Interview Guide 106 Appendix D Existing Practice Profiles 111 Appendix E Analytical Approach Details 122 Appendix F Additional Details on the Example Analysis Note: Many of the photographs, figures, and tables in this report 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.