250012_RFP_Exhibit_A_-_Scope_of_Work.pdf

RFP 250012

SCOPE OF WORK

EXHIBIT A

FOR

OCTA TRANSIT FACILITY CONDITION ASSESSMENT

SECTION 1 - GENERAL

The Orange County Transportation Authority (OCTA) owns, operates, and maintains five

(5) maintenance and operations bus bases, one (1) streetcar maintenance and storage facility, five (5) transportation centers, two (2) park-and-rides, and one (1) streetcar fixed guideway properties. The properties are comprised of building and structure facilities, totaling approximately 500,000 square feet, and site facilities. These facilities are situated on approximately 118 acres of properties throughout Orange County.

1.1. OCTA wishes to engage the services of a consultant (Consultant) qualified and experienced in the field of transit facility condition assessment to conduct a facility condition assessment (FCA) and rating of OCTA’s transit facility assets including buildings, structures, sites, and equipment. Consultant’s FCA, rating, and recommendations will be used to fulfill Transit Asset Management Plan (TAM Plan) data reporting requirements, guide management decisions on investments to support the state of good repair of the agency’s capital assets, and will be used to plan and implement urgent, major, minor, short-term, and long-term facility projects including capital rehabilitation, maintenance, and capital improvements along with related financial planning and budget processes.

1.2. Consultant shall perform a comprehensive FCA and assign facility ratings as required in this Scope of Work and in conformance with the Federal Transit Administration (FTA) Guidance found in “Federal Transit Administration TAM Facility Performance Measure Reporting Guidebook: Condition Assessment Calculation” (FTA Guidance) Version 1.2 issued March 2018 and incorporated herein as Exhibit A-1, with an expectation that FTA will issue a revised FTA Guidance to correct several typos/errors in Version 1.2. Consultant shall check with FTA for the latest version of FTA Guidance and shall use the latest FTA issued guidance at the time of work. Consultant shall thoroughly assess the existing physical condition and basic functional performance of OCTA’s buildings, structures, sites, grounds, utilities, and emplaced equipment.

1.3. The results of the FCA shall be reported by Consultant to OCTA as required in this Scope of Work and in conformance with FTA Guidance.

SECTION 2 – GENERAL CONDITIONS AND REQUIREMENTS

2.1. Work Performance

Consultant shall commence work immediately upon receiving the executed Agreement. Consultant shall use diligence in completing the work in accordance with the schedule, per Section 3.1.2 herein.

In case of conflict, ambiguities, discrepancies, or errors or omissions among any of the items of work, Consultant shall submit the matters to OCTA for clarification.

Any work affected by such conflicts, ambiguities, discrepancies, or errors or omissions which is performed by the Consultant prior to clarification by OCTA shall be at Consultant’s risk. Such conflicts, ambiguities, discrepancies, or errors or omissions among the references shall not give rise to a claim by Consultant for extra work unless Consultant can demonstrate that it has incurred additional expenses as a result thereof.

2.2. Coordination

Consultant shall notify OCTA and obtain approval in writing at least two (2) workdays prior to visiting OCTA properties to perform FCA work. OCTA staff will observe and shadow the Consultant over all FCA work.

2.3. Daily Facility Inspection Reports

Consultant shall prepare daily facility inspection report(s) for each day Consultant performs FCA work at OCTA properties; daily facility inspection reports shall be submitted to OCTA within two (2) workdays from the day the work was performed.

Consultant shall prepare separate daily facility inspection report(s) for each facility assessed; combining multiple assessed facilities within a daily facility inspection report will not be accepted.

Daily facility inspection reports shall include the following: facility that is assessed that day, Consultant’s onsite staff name, date, time, total hours spent, and all field notes generated by Consultant’s onsite staff.

Daily facility inspection reports shall be signed and dated by Consultant’s onsite staff who performed the FCA work, Consultant Project Manager, and by the OCTA staff who shadowed the work.

2.4. Health, Safety and Environmental Requirements

Consultant shall comply with all OCTA Health, Safety and Environmental requirements, OCTA onsite work requirements, and all guidelines from the agencies having jurisdictions including the Orange County Health Care Agency (HCA) and Cal-OSHA while conducting work at OCTA properties.

SECTION 3 - CONSULTANT RESPONSIBILITIES

3.1. Task 1 – Project Administration/Management and Schedule

3.1.1. Project Administration/Management

Consultant shall designate a Project Manager to manage and oversee all aspects of Consultant’s work.

This task shall include project meetings required to conduct this FCA, which at a minimum shall be comprised of the following:

• Consultant shall include an initial kick-off meeting with OCTA staff to discuss project objectives, the approaches to complete the project, key delivery dates, and coordination with OCTA staff. The kick-off meeting will be scheduled by OCTA after execution of the Agreement.

• Consultant shall include a total of five (5) 1-hour monthly meetings, over the term of this contract, to report the status of the project, work efforts, progress, and schedule updates to the OCTA Project Manager.

• Consultant shall include two (2) 1-hour meetings and two (2) 2-hour meetings for coordination with Transit Asset Management (TAM) plan update inputs/outputs and presentations of the FCA results, including findings and recommendations.

Consultant shall prepare and distribute meeting agendas at least two (2) workdays prior to each meeting. Consultant shall prepare and distribute meeting minutes within three (3) workdays of the meetings to the project parties. Meeting minutes shall include completed items, items in progress, upcoming items, changes, and schedule updates. Consultant is also expected to make action item checklists and other pertinent documentation to successfully manage the project. Consultant shall notify the OCTA Project Manager immediately of any problem(s), which may impact the project’s schedule.

Consultant shall prepare a monthly project progress report consisting of narrative for the work during the reported month, cumulative work completed up to the report date, and projected work for the next month. The report shall be submitted prior to the monthly meeting.

3.1.2. Schedule

Consultant shall complete the FCA as required in this Scope of Work within six (6) months from receiving the executed Agreement.

Consultant shall prepare and submit a detailed project schedule to OCTA within five (5) calendar days of receiving the executed Agreement, and allow seven (7) calendar days for OCTA to review Consultant’s project schedule. At a minimum, the detailed project schedule shall include site locations, activities with durations, activity relationships (logic ties), sub activities, start dates, finish dates, submittal and presentation dates, coordination activities to complete the Scope of Work, and

OCTA submittal review periods. After receiving any comments from OCTA on the initial schedule submittal, Consultant shall prepare and submit a final detailed schedule to OCTA within five (5) calendar days. Consultant shall prepare and submit schedule updates each month to track actual overall progress.

Deliverables – Submit an electronic file in PDF format of each of the following documents:

• Meeting agenda and meeting minutes for each project meeting.

• Monthly progress report.

• Detailed project schedule.

• Monthly project schedule updates.

3.2. Task 2 – Implement and Maintain Quality Assurance/Quality Control (QA/QC) Consultant shall implement and maintain its firm’s QA/QC plan in effect during the performance of the services under this Agreement to ensure that the FCA results and required deliverables are reviewed, checked, proofread, accurate, and complete.

Within seven (7) calendar days of receiving the executed Agreement, Consultant shall submit its firm’s QA/QC plan to OCTA for review and acceptance. Consultant shall address OCTA’s comments on the QA/QC plan and submit a revised QA/QC plan within seven (7) calendar days from the date of receipt of OCTA’s comments.

The QA/QC plan shall include a project organization chart. QA/QC plan and shall clearly identify the name and title of Consultant’s QA/QC manager and personnel performing the QA/QC for this project.

Consultant shall certify each deliverable as being prepared and checked in accordance with the Consultant’s QA/QC plan and have been found to meet the quality objectives set forth therein. Consultant QA/QC certification shall be in writing on a form furnished by OCTA and shall be signed by Consultant Quality Assurance Manager and Consultant Project Manager. Deliverables received by OCTA without Consultant QA/QC certification will be returned without review by OCTA.

Deliverables:

• Submit an electronic file in PDF format of QA/QC plan.

3.3. Task 3 – Wok Plan Approach and Pilot Program

3.3.1. Consultant shall prepare and submit to OCTA an FCA Work Plan Approach Report within fourteen (14) calendar days from execution of the Agreement. The report shall demonstrate Consultant’s understanding of the Scope of Work and FTA Guidance. The report shall be a written narrative of the approaches Consultant will be using to assess each OCTA facility type and Consultant’s ability to meet the project objectives and overall schedule. Part of the work plan approach shall include Consultant’s review of as-built documents of OCTA facilities, results of previous inspections, data needs, warranty status, and any other known issues.

FCA Work Plan Approach Report shall include table(s) showing all facilities on each OCTA property, and how each facility is divided into primary and secondary levels, per Section 3.4.2 herein.

FCA Work Plan Approach Report shall include a template of typical Daily Facility Inspection Report, per Section 2.3 herein.

FCA Work Plan Approach Report shall include a template of typical FCA Report on a facility, which shall follow guidelines and requirements within Task 4 – Perform Facility Condition Assessment, per Section 3.4 herein.

FCA Work Plan Approach Report shall be reviewed and accepted by OCTA prior to performing FCA work.

Consultant shall meet and present its work plan to OCTA. Consultant’s presentation of its work plan shall include a walk-through of a typical physical inspection/assessment of conditions at a facility. Consultant’s presentation shall include slides developed using Microsoft PowerPoint software; Consultant’s presentation slides shall be submitted to OCTA at the end of the meeting.

3.3.2. Consultant shall provide a pilot program by performing FCA work on the Maintenance Building at Garden Grove Bus Base (Pilot Program Facility), which translates to FCA work on a single facility within a property, per Section 3.4.1 herein. Consultant shall coordinate with OCTA to access property and facility related to pilot program.

Consultant shall prepare and submit to OCTA an FCA Report on the Pilot Program Facility, per Section 3.4.5.a herein.

Pilot program shall demonstrate Consultant’s understanding of FCA work requirements as described herein. Consultant shall complete pilot program prior to performing FCA work on all remaining facilities. Pilot program shall be deemed complete after FCA Report on the pilot program facility has been submitted to and approved by OCTA.

Deliverables:

• FCA Work Plan Approach Report – Draft and Final

• PDF and native files of Consultant’s Work Plan presentation (slides).

• Daily Facility Inspection Report(s) on Pilot Program Facility

• FCA Report (on Pilot Program Facility) – Draft and Final

3.4. Task 4 – Perform Facility Condition Assessment

3.4.1. Consultant shall perform physical inspection(s) and assess the conditions of facilities at OCTA properties noted in Exhibit A-2, titled “Orange County Transportation Authority Properties”, as required in this Scope of Work and in conformance with FTA Guidance.

FTA Guidance clarifies that a single facility is defined as one building; for example, a maintenance and operations bus base (a property) with four buildings and a site, shall be interpreted to be five individual facilities, with the site itself being one facility.

All vehicle lifts shall be inspected by a qualified third-party automotive lift inspector certified by Automotive Lift Institute (ALI). Consultant shall include the cost for third-party vehicle lift inspections in the contract amount.

3.4.2. To determine the overall condition of a facility, Consultant shall first assess the condition of secondary levels, then aggregate secondary level data to obtain primary level condition ratings, then aggregate primary level data to obtain overall facility condition rating. At a minimum, primary levels and secondary levels of each facility shall be defined following Exhibit A-3, titled “Facility Primary and Secondary Levels”.

Consultant shall rate the condition of each facility in conformance with FTA Guidance using FTA’s Transit Economic Requirements Model (TERM) Condition Assessment scale, a five-point scale shown in Table 1 below.

Table 1 – FTA TERM Condition Assessment Scale Rating Condition Description 5 Excellent No visible defects, new or near new condition, may still be under warranty if applicable

4 Good Good condition, but no longer new, may be slightly defective or deteriorated, but is overall functional

3 Adequate Moderately deteriorated or defective, but has not exceeded useful life

2 Marginal Defective or deteriorated in need of replacement;

exceeded useful life

1 Poor Critically damaged or in need of immediate repair;

well past useful life

Consultant shall document their procedures for performing the condition assessment, including the procedures for performing inspections, as assuring/ controlling data quality.

Consultant shall also document the description and reason a rating number is assigned to a level.

3.4.3. Rating Overall Condition of each Facility using FTA Weighted Average Condition Approach:

Consultant shall rate the overall condition for each facility using replacement cost as the method of weighting under the Weighted Average Condition approach in conformance with FTA Guidance. Consultant shall provide a cost estimate for the replacement cost of primary and secondary levels. Consultant shall document the calculation approach and rationale of the overall facility condition rating in terms of replacement costs. Of note, for the recently constructed facilities related to OC Streetcar, Consultant will be provided cost information to be utilized for related replacement cost of primary and secondary levels.

Cost estimates shall be accurate and must be calculated based on public work type contracting. Labor rates shall be based on the higher of California Department of Industrial Relations prevailing wage labor rates for public work projects located in Southern California and Orange County, or the U.S. Department of Labor Prevailing Wage Rates. Calculations for cost estimates shall be submitted to OCTA as back-up information. Consultant shall account for, in the cost estimates, 10% for design and 10% for general conditions.

3.4.4. Categorizing Condition of Secondary Levels at Each Facility in Terms of Criticality:

Consultant shall categorize secondary levels at each facility in terms of criticality using the following criteria:

(a) Life Safety, Accessibility, and Legal Compliance: Hazardous life safety, building, or site conditions that jeopardize people, programs, and equipment; unless corrected will cause suspension of facility use. Repairs, renovations, and improvements required for immediate compliance with local, state, or federal regulations.

(b) Damage or Deterioration to Facilities: Repairs, renovations, and improvements to facilities that, unless corrected, will lead to a loss of a facility or major service interruption.

(c) Time/Cost Related Measures: Repairs, renovations and improvements required to prevent serious facility deterioration and significantly higher costs if not immediately corrected.

(d) Delayed Deferred Maintenance: Repairs and renovations that can be postponed.

Consultant shall document the calculation approach and rationale of the condition category in terms of criticality.

3.4.5. Analyzing and Prioritizing Requirements:

Using the information generated from above, Consultant shall analyze, prioritize, and recommend capital maintenance required for each of OCTA’s facilities by specific project (roof replacement, equipment repair/replacement, etc.). Upon completion of prioritization, Consultant shall:

a. For each facility, Consultant shall prepare written reports which document and summarize the detailed observations, findings, and results of Consultant’s assessment of the facility. Reports shall also include Consultant’s analysis and recommendations. The reports shall include an appendix of all photos of the secondary levels Consultant assessed.

Submit one separate report for each facility. Combining two or more facilities in a report is not allowed. Electronic file of each report shall be named using the format below:

“FCA OCTA {Shortened property name} {Shortened facility name} {Report Date

YYYY-MM-DD}”

For example, the report for Anaheim Bus Base Operations Building (submitted on May 30, 2026) shall have the filename: “FCA ANA Ops_2026-05-30” The report shall be in both narrative and tabular formats and shall include:

1) Comprehensive tables/worksheets developed in Microsoft Excel, one table for each OCTA facility. Refer to Exhibit A-4 – “Facility Condition Assessment Rating Calculation Worksheet” as an example of minimum data/results required; Exhibit A-4 includes examples of facility specific worksheet with minimum data/results required. The Microsoft Excel worksheet will be made available to the selected Consultant as reference only and Consultant shall prepare the comprehensive Microsoft Excel worksheet based on the format on this worksheet. Consultant’s Microsoft Excel worksheet shall list facility, primary and secondary levels, conditions in terms of Criticality, and show all calculations with formula built-in to determine the rating scales of facility.

2) A stand-alone table clearly identifying any primary level and secondary level elements that are rated at an unrounded rating scale of 3 or under, per rating guidelines in Section 3.4.2 herein.

3) A report section with an immediate repair/replacement plan and recommendations for secondary levels that are rated at an unrounded rating scale of under 3 and categorized by criteria (a), (b), (c), or (d) in Terms of Criticality, per criticality criteria in Section 3.4.4 herein. The repair/ replacement plan shall include cost estimates which are fiscally unconstrained. Cost estimate for repair/replacement shall be based on 2026-dollar value and comply with requirements in Section 3.4.3 herein.

4) A report section identifying facility secondary level elements with required repair, replacement(s), improvement, and/or upgrade over a 20-year term to maintain an annual overall facility condition assessment scale (unrounded rating) at a minimum of 3, per FTA’s TERM Condition Assessment Scale. This report section shall include Microsoft Excel data tables showing all elements to be repaired, replaced, improved, and/or updated, along with cost estimates which are fiscally unconstrained. This cost estimate shall be based on 2026-dollar value and comply with requirements in Section 3.4.3 herein. Consultant shall document the analytical process used for this report.

Consultant shall also include another table showing the data above but the cost/expenditure for each of 20 years is escalated.

b. Consultant shall prepare an executive summary report to summarize facility assessment for all OCTA properties. The report shall be in both narrative and tabular formats and shall include:

1) Comprehensive tables/worksheets developed in Microsoft Excel, one table for each OCTA facility. Refer to Exhibit A-4 – “Facility Condition Assessment Rating Calculation Worksheet” as an example of minimum data/results required; Exhibit A-4 includes examples of facility specific worksheet with minimum data/results required. The Microsoft Excel worksheet will be made available to the selected Consultant as reference only and Consultant shall prepare the comprehensive Microsoft Excel worksheets based on the format on this worksheet. Consultant’s Microsoft Excel worksheets shall list all facilities, primary and secondary levels, conditions in terms of Criticality, and show all calculations with formula built-in to determine the rating scales of each facility.

2) A summary table showing all of OCTA facilities with their calculated unrounded rating scale numbers. Refer to Exhibit A-5 – “Summary of OCTA Facilities Ratings” as an example of minimum data/results required.

3) A stand-alone table clearly identifying any primary level and secondary level elements that are rated at an unrounded rating scale of 3 or under, per rating guidelines in Section 3.4.2 herein, at all OCTA facilities.

4) Consultant shall include in the report the performance measures calculations as required in FTA Guidance Section 4.0 – Calculate Performance Measures for each of overarching facility groups:

- Group 1: Administration and maintenance facilities (bus bases, streetcar maintenance and storage facility)

- Group 2: Passenger and parking facilities (transportation centers, park-and-rides, streetcar fixed guideway)

5) A report section with an immediate repair/replacement plan and recommendations for all OCTA facilities’ secondary levels that are rated at an unrounded rating scale of under 3 and categorized by criteria (a), (b), (c), or (d) in Terms of Criticality, per criticality criteria in Section 3.4.4 herein.

The repair/replacement plan shall include cost estimates which are fiscally unconstrained. Cost estimate for repair/replacement shall be based on 2026-dollar value and comply with requirements in Section 3.4.3 herein.

6) A report section identifying all OCTA secondary level elements with required repair, replacement(s), improvement, and/or upgrade over a 20-year term to maintain an annual overall facility condition assessment scale (unrounded rating) at a minimum of 3, per FTA’s TERM Condition Assessment Scale. This report section shall include Microsoft Excel data tables showing all elements to be repaired, replaced, improved, and/or updated, along with cost estimates which are fiscally unconstrained. This cost estimate shall be based on 2026-dollar value and comply with requirements in Section 3.4.3 herein. Consultant shall document the analytical process used for this report.

For each OCTA property, Consultant shall include a table showing facilities’ total expenditure over a 20-year term to maintain an annual overall facility condition assessment scale (unrounded rating) at a minimum of 3, per above; Consultant shall also include a summary of expenditure by combining all facilities’ total expenditure at each OCTA property. Refer to Exhibit A-6 – “20-Year Term Expenditure Reserve Report” as an example of summary of expenditure, along with each OCTA property and their facilities’ total expenditure over a 20-year term.

Consultant shall also include another table showing the data above but the cost/expenditure for each of 20 years is escalated.

7) Consultant’s analysis and recommendations to OCTA Transit Asset Management Team in response to the requirements in this Scope of Work.

c. Based on the results from Consultant’s FCA, Consultant shall provide update inputs to FTA form A-15. See Exhibit A-7 – “FTA Form A-15 – 2022 Data” as a reference. Consultant shall check with FTA to confirm if there is any update, by FTA, on required data to complete FTA Form A-15.

3.4.6. Consultant’s FCA Deliverables:

a. Deliverable Requirements:

1) All reports shall be developed using Microsoft Word in letter size (8.5 x11).

Each report shall be signed and dated by Consultant Project Manager to certify that the report has been reviewed and approved by Consultant Project Manager.

2) Consultant shall include in each submittal package a signed statement to certify that the FCA for OCTA facilities have been performed in accordance with the FTA Guidance, Contract Agreement, and current industry standard practices.

3) All data and calculations shall be developed using Microsoft Excel with formulas built-in the worksheets/spreadsheets. Data exported from other software to Microsoft Excel without calculation formulas will not be accepted.

4) All back-up information shall be in letter size (8.5x11) and/or ledger size (11x17).

5) One (1) set of hard copies of final submittal package shall be submitted to OCTA. Hard copies shall be in a form of spiral or comb-bound notebooks.

6) Electronic submittals shall be in PDF format. All native files of reports, calculation, data, and back-up information shall be submitted in each submittal package.

7) For each submittal package, electronic submittals including PDFs and native files, shall be transmitted via emails, and shared with OCTA using Microsoft Office 365 OneDrive.

8) Consultant shall allow OCTA a minimum of twenty-one (21) calendar days to review and comment on each submittal package. Consultant shall address OCTA’s comments and resubmit the corrected submittal package for OCTA’s acceptance within seven (7) calendar days upon receipt of OCTA’s comments.

9) Consultant can start preparing the final submittal package upon receipt of OCTA’s written acceptance on the draft submittal package.

b. Consultant’s Presentations:

Consultant shall conduct presentations using Microsoft PowerPoint to present to OCTA Transit Asset Management team the results of the FCA including the findings and the recommendations as presented in the FCA reports; Consultant shall conduct one presentation after draft submittal and one presentation after final submittal.

Deliverables:

• Daily Facility Inspection Report(s) on each facility

• FCA Reports (one for each facility) – Draft and Final

• Executive Summary FCA Report – Draft and Final

• PDF and native files of Consultant’s presentations (slides).

SECTION 4 – OCTA RESPONSIBILITIES

Within seven (7) calendar days of execution of the Agreement, OCTA shall provide available as-built drawings and other requested available information of OCTA facilities to Consultant.

OCTA will coordinate and assist Consultant to access to OCTA facilities.

OCTA will review Consultant's preliminary and final schedule and respond within seven

(7) calendar days of each schedule submittal.

OCTA will host all meetings with Consultant including Consultant’s presentations in person at OCTA administrative offices located in Orange, California, unless approved in writing by OCTA Project Manager to be held via Microsoft Teams platform.

END OF SCOPE OF WORK

EXHIBIT A-1

EXHIBIT A-1

FEDERAL TRANSIT ADMINISTRATION

TAM FACILITY PERFORMANCE MEASURE REPORTING

GUIDEBOOK:

CONDITION ASSESSMENT CALCULATION

TAM Facility Performance Measure Reporting Guidebook:

Condition Assessment

Calculation Federal Transit Administration

U.S. Department of Transportation

Version 1.2 March 2018

Update Appendix B

Table of Contents

Table of Contents

1.0 Introduction

1.1 Background and Purpose

1.2 Intended Audience

1.3 Document Organization

1.4 Legislative Background

1.5 Inventory

1.6 Steps to Conducting & Reporting a Facility Condition Assessment

2.0 Identify Facility Types and Rating Levels

2.1 Facility Types

2.2 Condition Assessment Measure – TERM Scale

2.3 Facility Assessment Rating Levels

2.4 Summary

3.0 Condition Assessment Procedures

3.1 Identify Primary and Secondary Rating Levels in Facilty

3.2 Condition Assessment Guidelines and Rating Descriptions

3.3 Condition Assessment Procedures

3.4 Quality Management

4.0 Condition Rating Aggregation Approaches

4.1 Alternative 1: Weighted Average Condition

4.2 Alternative 2: Median Value

4.3 Alternative 3: Alternative Weighting

5.0 Calculate Performance Measures

6.0 Reporting and Data Requirements

6.1 Reporting Procedures

Appendices

Appendix A: Definitions

Appendix B: Condition Rating Descriptions

Appendix C: Sample Administrative/Maintenance Facility Condition Assessment Form 27

Appendix D: Sample Passenger/Parking Facility Condition Assessment Form

Appendix E: References

1.0 Introduction

1.1 Background and Purpose

The Moving Ahead for Progress in the 21st Century Act (MAP–21) (Pub. L. 112–141, July 6, 2012), established new Transit Asset Management (TAM) data-reporting requirements at 49

U.S.C. § 5326. FTA recently promulgated the TAM rule at 49 CFR part 625 to effect this statutory requirement. The objective of this guidebook is to detail the methodology for transit agencies to use in fulfilling several of those requirements.

In accordance with 49 U.S.C. § 5335, agencies are required to calculate and report new data elements to the National Transit Database (NTD). This guidebook focuses on data elements regarding facility conditions and performance measures for administrative and maintenance facilities, as well as for passenger and parking facilities.

New and updated regulations require transit agencies reporting to the NTD to include condition information on assets reported to the database. To satisfy this new requirement, the condition of each facility supporting transit operations, must be reported to the NTD at least once every four years.

The TAM rule established performance measures to be reported to the NTD Asset Inventory

Module (AIM) at 49 CFR part 625, Subpart D - Performance Management. This guidebook outlines the calculation of the Facility Condition Assessment for reporting to the NTD. In addition to AIM reporting, the TAM rule requires asset inventory and asset condition assessments at a level of detail sufficient to monitor and predict the performance of assets and to inform investment prioritization in the TAM Plan. Facility condition assessments must be conducted by assessing the condition of and assigning a rating for facility assets using FTA's Transit

Economic Requirements Model (TERM) scale. This guidebook provides procedures for compliance with the condition assessment requirement.

Information on facility conditions is intended to supplement other facility-related information entered in the NTD AIM. The NTD AIM will be available for optional reporting in 2017, one year prior to mandatory reporting.

1.2 Intended Audience

This guidebook is intended for any organization receiving funds from FTA that owns, operates, or manages transit capital assets for which it has direct capital responsibility. While this guidebook may be helpful for those who occupy Accountable Executive positions at their agencies, it is specifically directed at those who will conduct or report transit asset condition assessments, and those who will compile the agency’s asset inventory.

Agencies that share direct capital responsibility for facility assets should determine how to coordinate condition assessment reporting – FTA does not require each entity to conduct a separate assessment, although each will report the result.

1.3 Document Organization

This guidebook is organized into six main sections:

Section 1.0 describes the scope of this document and provides a brief policy background, linking this guidance to the requirements of the NTD.

Section 1.0 identifies facility types and rating levels.

Section 2.0 provides instructions on how to assess the condition of facility.

Section 3.0 offers solutions to aggregating condition ratings to determine an overall facility rating.

Section 4.0 provides instructions on how to calculate performance measures for each facility asset category.

Section 5.0 outlines data requirements and definitions relating to reporting facility condition data.

1.4 Legislative Background

The guidance presented here is intended to help agencies fulfill the NTD facility condition data reporting requirements of 49 U.S.C. § 5335. Section 5335 contains several provisions impacting

NTD reporting requirements. Of note is a new requirement to report “asset condition information” to the NTD. FTA effected this statutory requirement with the recent promulgation of the TAM rule at 49 CFR part 625. The rule includes definitions for “transit asset management plan”, “state of good repair” (SGR), and establishes performance measures for equipment, rolling stock, infrastructure, and facilities asset categories. These requirements are also included with the Asset Inventory Reporting notice of 49 CFR part 630 that was published in the

Federal Register on July 26, 2016 (81 FR 48971).

This guidebook offers a methodology for defining, gathering, calculating and reporting facility condition data to NTD and links these requirements to TAM plan requirements.

1.5 Inventory

The NTD AIM stores basic information on assets and infrastructure applied by U.S. transit agencies. A pilot version of the AIM was made available as a Microsoft Excel spreadsheet on the NTD webpage. The data elements shown on the pilot version will be incorporated as part of the online NTD reporting system and will be available for optional reporting in 2017. Inventory data must be reported to the NTD AIM. Specific form numbers, by asset category, will be provided on the NTD website.

The NTD facility asset inventory1 forms gather required information on administrative, maintenance, passenger, and parking facilities, such as facility name, address, square footage, year built or substantially reconstructed, and the primary mode served by or operated out of the facility. An agency must report all facilities for which it has a full or partial capital responsibility.

1 See full instructions from the latest Asset Inventory Reporting Manual (2015), pages 20 and 26.

Further, for each reportable facility, an agency must indicate its percent of responsibility for capital replacement costs, including costs that would be part of the planning, design, and replacement of a facility. The form also specifies facility sub-type based on size and function.

1.6 Steps to Conducting & Reporting a Facility Condition

Assessment

Agencies are required to report the overall condition of all facilities for which they have direct or shared capital responsibility using a single numeric value. Assessing facility asset condition is the focus of this guidebook. Each facility can be divided into primary rating levels and secondary rating levels. Information in the following sections of this guidebook will explain approaches to aggregating condition data for reporting.

Before performing any assessments, it is first necessary for agencies to determine exactly what items must be assessed. Agencies should first divide facilities into primary rating levels.

Some agencies may determine the primary level rating by inspection and assessing each secondary level.

Section 2.1 of this guidebook describes the recommended levels for inclusion in a condition assessment. Next, Section 2.2 describes how to apply the five-point condition scale to each, providing condition state language for each. Once the identification of primary and secondary level to rate and condition state language are defined, the next step is to perform the condition assessment, described further in Section 2.3.

Next, agencies should aggregate the condition ratings of secondary (if any ratings) and then primary level facility ratings to determine the overall condition rating of each facility. Section

3.0 describes how to aggregate the data to determine an overall facility condition rating.

Using the condition rating for each facility, agencies must then calculate a performance measure for their administrative and maintenance facilities and a performance measure for their passenger and parking facilities. Calculating performance measures is reviewed in

Section 4.0. Finally, agencies must report asset conditions and asset category performance measures, set targets, and prepare any required supporting documentation. Data requirements and reporting is discussed in Section 5.0.

The figure below illustrates the basic steps to assessing and reporting facility conditions and performance measures.

1.0 Identify Facility Types and Rating Levels

This section defines the facility data agencies must collect. The NTD Policy Manual offers definitions on the building types agencies must assess, while the NTD AIM details the specific data that must be reported for each facility type.

1.1 Facility Types

Condition assessment data must be gathered on all facilities for which an agency has direct

Document and Report (Section 6)

Calculate Performance Measures (Section 5)

Aggregate Results (Section 4)

Conduct Assessment (Section 3)

Identify Facility Type and Rating Levels (Section 2)

Figure 1. Steps to Assessing and Reporting Facility Conditions and Performance Measures capital responsibility. A single facility is defined as one building, so a compound with four buildings would be four facilities. The 2017 AIM Manual itemizes all facility types that will be reported to the NTD. Each of these facility types and any other building where transit administrative, maintenance, or operations functions are conducted should be considered an independent facility even when it is adjacent to or on the same property as another building. The definitions for different types of facilities are listed below. These definitions are stated in the

NTD Policy Manual and are included in this document for completeness.

The guidebook does not list each possible type of facility but instead provides general descriptions to allow agencies to assess which facility type best fits their facility. Additionally, while the final rule provides a minimum standard for regulation, if an entity elects to inventory and conduct condition assessments on facilities that are beyond the standard, they must follow the same methodology required by regulated facilities.

There are two overarching groups of facilities: 1) Administrative and Maintenance; and 2)

Passenger and Parking; and four types of facilities that fall under them. Transit agencies will submit condition assessments for each facility, which will be aggregated to calculate the facility condition performance measure metric. Agencies must submit one performance measure metric and one target for administrative and maintenance facilities, and one metric and target for passenger and parking facilities.

1.1.1 Maintenance and Administrative Facilities

Administrative Facilities

Administrative facilities are typically offices that house management and supporting activities for overall transit operations such as accounting, finance, engineering, legal, safety, security, customer services, scheduling, and planning. They also include facilities for customer information or ticket sales, but that are not part of any passenger station.

Maintenance Facilities

Maintenance facilities are those where routine maintenance and repairs or heavy maintenance or unit rebuilds are conducted. Agencies must not report maintenance facilities where third-party vendors perform services, such as a local gasoline service or body shop. Note that characterizing a facility as one maintenance facility type over another will not alter the maintenance and administrative facility performance measure. For extensive list and definitions of maintenance facility types visit the NTD glossary.

1.1.2 Passenger and Parking Facilities

Passenger Facilities

Agencies report passenger station information for fixed route, fixed schedule services (rail modes, bus modes, trolleybus, ferryboat, and aerial tramway). Each agency must report inventory data for all passenger stations the agency uses in public transportation even if the agency does not own the stations.

Passenger stations are significant structures on a separate right-of-way (ROW). For rail modes, passenger facilities typically mean a platform area and any associated access structures or accessory spaces accessible to passengers or by staff who are in support of passenger service.

This definition of passenger facilities includes:

All rail passenger facilities (except for light rail, cable car, and streetcar modes)

All light rail, cable car, and streetcar passenger facilities that have platforms and serve track that is in a separate ROW (not in mixed-street traffic)

All motorbus, rapid bus, commuter bus, and trolley bus passenger facilities in a separate ROW that have an enclosed structure (building) for passengers for items such as ticketing, information, restrooms, and concessions

All transportation, transit or transfer centers, and transit malls if they have an enclosed structure (building) for passengers for items such as ticketing, information, restrooms, concessions, and telephones

As an example, a bus stop on a street or in a median is not a station if the bus stop does not have a separate, enclosed building. Open shelters, canopies, lighting, signage, or ramps for accessibility alone are not enough to establish a passenger station.

Parking Facilities

Parking facilities include park & ride lots as well as parking garages. Note that passenger and parking facilities are often collectively referenced as “passenger facilities.” Parking facilities are those immediately adjacent to passenger facilities.

1.2 Condition Assessment Measure – TERM Scale

The condition measure used in the NTD is the five-point scale used by FTA's TERM. Agencies must use this scale to report the condition of their facility assets. This scale has the following values:

Table 1. FTA TERM Condition Assessment Scale

Rating Condition Description

5 Excellent No visible defects, new or near new condition, may still be under warranty if applicable

4 Good Good condition, but no longer new, may be slightly defective or deteriorated, but is overall functional

3 Adequate Moderately deteriorated or defective; but has not exceeded useful life

2 Marginal Defective or deteriorated in need of replacement; exceeded

1 Poor Critically damaged or in need of immediate repair; well past

An asset is deemed to be in good repair if it has a rating of 3, 4, or 5 on this scale. Likewise, a facility is deemed to not be in good repair if it has a rating of 1 or 2. This scale as it applies to rating levels is reviewed further in Section 2.0 of this guidebook.

This guidebook provides direction on how to assign a condition rating and calculate performance measures. However, it does not include detailed information on inspections.

Agencies may have procedures already in place or develop new procedures to complete inspections.

1.3 Facility Assessment Rating Levels

To determine the overall condition of a facility, an agency must inspect and assess the following at a minimum:

A. Substructure

B. Shell

C. Interiors

D. Conveyance (Elevators and Escalators)

E. Plumbing

F. HVAC

G. Fire Protection

H. Electrical

I. Site

J. Equipment (for Administrative and Maintenance Facilities)

K. Fare Collection (for Passenger and Parking Facilities)

Agencies must also assess equipment for administrative and maintenance facilities, and fare collection for passenger and parking facilities. Section 2.0 of this document describes how to assess the primary level and their secondary levels, and Section 3.0 describes how to aggregate the assessments into an overall facility rating.

1.4 Summary

The following is a summary of the facility condition assessment requirements described above.

2.0 Condition Assessment Procedures

2.1 Define Primary and Secondary Facility Ratings

This section describes the procedures for conducting a facility condition assessment. The

Facility Condition Assessment Requirements

Transit agencies reporting to the NTD are required to report the overall condition of each administrative, maintenance, passenger, and parking facility that is listed in the NTD AIM and for which the agency has direct capital responsibility.

Transit agencies must update facility conditions every four years at a minimum.

The overall condition of a facility is specified using the following scale:

5 – Excellent

4 – Good

3 – Adequate

2 – Marginal

1 – Poor

A facility is deemed to be in good repair if it has a condition rating of 3, 4, or 5 on this scale, and is deemed to not be in good repair if it has a rating of 1 or 2.

To establish the overall condition of a facility an agency must first assess the condition of primary levels (potentially starting with secondary levels) then aggregate the primary level data to obtain an overall facility condition rating. Example aggregation approaches are reviewed in Section 4.

Facility primary rating level types include:

o Substructure o Shell o Interiors o Conveyance (Elevators and Escalators) o Plumbing o HVAC o Fire Protection o Electrical o Equipment (Administrative and Maintenance Facilities only) o Fare Collection (Passenger Facilities only) o Site

It is recommended that agencies document their procedures for performing condition assessments, including procedures for performing inspections, and assuring/controlling data quality. Similar to other aspects of an agency’s activities related to NTD reporting, these procedures may be subject to review by FTA.

classification is based upon American Society of Testing and Materials (ASTM) documents that provide standards for classification of buildings and related features, but these have been customized in certain respects to address common features of transit facilities.

Table 2 provides a list of rating levels for administrative and maintenance facilities, while Table

3 provides a list for passenger and parking facilities. The primary difference between these facility groups is the inclusion of specialized equipment – maintenance and operations – in administrative and maintenance facilities, and fare collection and passenger amenities in passenger and parking facilities.

Table 2. Administrative and Maintenance Facilities: Rating Level

ID# Primary Level Secondary Level

A. Substructure Foundations: Walls, columns, pilings, etc.

Basement: Materials, insulation, slab, floor underpinnings

B. Shell Superstructure / structural frame: Columns, pillars, walls

Roof: Roof surface, gutters, eaves, skylights, chimney surrounds

Exterior: Windows, doors, and all finishes (paint, masonry)

Shell appurtenances: Balconies, fire escapes, gutters, downspouts

C. Interiors Partitions: Walls, interior doors, fittings and signage

Stairs: Interior stairs and landings

Finishes: Materials used on walls, floors, and ceilings

Covers all interior spaces, regardless of use.

D. Conveyance Elevators

Escalators

Lifts: Any other such fixed apparatuses for the movement of goods or people

E. Plumbing Fixtures

Water distribution

Sanitary waste

Rain water drainage

(Heating, ventilation, and air conditioning)

Energy supply

Heat generation and distribution systems

Cooling generation and distribution systems

Testing, balancing, controls and instrumentation

Chimneys and vents

G. Fire Protection Sprinklers

Standpipes

Hydrants and other fire protection specialties

ID# Primary Level Secondary Level

H. Electrical Electrical service & distribution

Lighting & branch wiring (interior and exterior)

Communications & security

Other electrical system-related pieces such as lightning protection, generators, and emergency lighting

I. Equipment* Equipment related to the function of the facility, including maintenance or vehicle service equipment – does not include supplies

J. Site Roadways/driveways and associated signage, markings, and equipment

Parking lots and associated signage, markings, and equipment

Pedestrian areas and associated signage, markings, and

Site development such as fences, walls, and miscellaneous structures

Landscaping and irrigation

Site utilities

* Agencies may choose to include equipment assets as an administrative and maintenance facilities asset or inventory the equipment in their TAM Plan in the Equipment asset category.

Equipment valued between $10,000 and $50,000 may be rated in a facility. If equipment is valued at $50,000 or more, or is a piece of equipment you would inventory separately in your

TAM Plan, it may not be rated in a facility.

Table 3. Passenger and Parking Facilities: Rating Levels

ID# Primary Level

Secondary Level

A. Substructure Foundations: Walls, columns, pilings, etc.

Basement: Materials, insulation, slab, floor underpinnings

B. Shell Superstructure / structural frame: Columns, pillars, walls

Roof: Roof surface, gutters, eaves, skylights, chimney surrounds

Exterior: Windows, doors, and all finishes (paint, masonry)

Shell appurtenances: Balconies, fire escapes, gutters, downspouts

C. Interiors Passenger areas: Platform and access tunnels / passageways

Partitions: Walls, interior doors, fittings and signage

Stairs: Interior stairs and landings

Finishes: Materials used on walls, floors, and ceilings

ID# Primary Level

Secondary Level

Covers all interior spaces, regardless of use.

D. Conveyance Elevators

Lifts: Any other such fixed apparatuses for the movement of goods or people

E. Plumbing Fixtures

Water distribution

Sanitary waste

Rain water drainage

(Heating, ventilation, and air conditioning)

Energy supply

Heat generation and distribution systems

Cooling generation and distribution systems

Testing, balancing, controls, and instrumentation

Chimneys and vents

G. Fire Protection Sprinklers

Standpipes

Hydrants and other fire protection specialties

H. Electrical Electrical service & distribution

Lighting & branch wiring (interior and exterior)

Communications & security

Other electrical system-related pieces such as lightning protection, generators, and emergency lighting

I. Fare Collection Equipment

Items including turnstiles, ticket machines, and any other major equipment requiring capital request for replacement

J. Site Roadways/driveways and associated signage, markings, and

Parking lots and associated signage, markings, and equipment

Pedestrian areas and associated signage, markings, and structures

Landscaping and irrigation

Site utilities

2.2 Condition Assessment Guidelines and Rating Descriptions

This section provides…