transit asset management (tam) · 2020-03-26 · accountable executive • plan coordination a tei...
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Transit Asset Management (TAM)
Final Rule-Small Systems FocusAugust 2016
Presenter: Mshadoni Smith
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Today’s Presentation• Transit Asset Management Background• Final Rule Provisions for Small Providers• Implementation• Technical
Assistance
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What is Transit Asset Management?
Transit Asset Management (TAM) is a business model that uses the condition of assets to guide the optimal prioritization of funding at transit properties in order to keep our transit networks in a State of Good Repair (SGR).
Transit Asset Management Background • • • • • • • • 4
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Current Backlog ($85.9 B)Current Annual
SGR Investment
($10.3 B)
$8.2 billion gap Backlog in 2030
Maintain Backlog($12.7 B)
EliminateBacklog($18.5 B)
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Transit Asset Management: Background20
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AAnnnnuualal ExpExpeennddiituturreess forfor P Prreesseerrvativationon ( (BBillioillionnss in in 2010 D2010 Dololllararss))Transit Asset Management Background • • • • • • • •
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Transit Asset Management: Background20
30 S
tate
of G
ood
Rep
air
Bac
klog
(B
illio
ns in
201
0 D
olla
rs)
Annual Expenditures for Preservation (Billions in 2010 Dollars)
Current Backlog ($85.9 B)
Backlog in 2030
Current Annual
SGR Investment
($10.3 B)
Transit Asset Management Background • • • • • • • •
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Transit Asset Management: Background20
30 S
tate
of G
ood
Rep
air
Bac
klog
(B
illio
ns in
201
0 D
olla
rs)
Annual Expenditures for Preservation (Billions in 2010 Dollars)
Current Backlog ($85.9 B)Current Annual
SGR Investment
($10.3 B)
Backlog in 2030
Maintain Backlog($12.7 B)
Transit Asset Management Background • • • • • • • •
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Transit Asset Management: Background
$0
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$8 $10 $12 $14 $16 $18 $20
2030
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te o
f Goo
d R
epai
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(Bill
ions
in 2
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Dol
lars
)
Annual Expenditures for Preservation (Billions in 2010 Dollars)
Current Backlog ($85.9 B)Current Annual
SGR Investment
($10.3 B)
Backlog in 2030
Maintain Backlog($12.7 B)
EliminateBacklog($18.5 B)
Transit Asset Management Background • • • • • • • •
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Transit Asset Management: Background
$0
$20
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$8 $10 $12 $14 $16 $18 $20
2030
Sta
te o
f Goo
d R
epai
r B
ackl
og
(Bill
ions
in 2
010
Dol
lars
)
Annual Expenditures for Preservation (Billions in 2010 Dollars)
Current Backlog ($85.9 B)Current Annual
SGR Investment
($10.3 B)
$8.2 billion gap Backlog in 2030
Maintain Backlog($12.7 B)
EliminateBacklog($18.5 B)
Transit Asset Management Background • • • • • • • •
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Anticipated Benefits of TAM
1. Improved transparency and accountability2. Optimized capital investment and
maintenance decisions3. More data-driven maintenance decisions4. Potential safety benefits
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Statewide and Metropolitan Planning
FHWA
Safety Performance Pavement and Bridge
Condition System Performance & CMAQ Highway Safety Improvement
Program Highway Asset Management
Plan
MAP-21 Performance Management FrameworkFTA National Public Transit Safety
Plan Public Transportation Agency
Safety Plan Transit Asset Management
Transit Asset Management Background • • • • • • • • 10
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Linking Proposed RegulationsPublic Transportation Agency Safety
Transit AssetManagement
Submit Annual Report
TransportationPlanning
SMS Hazard Identification/Risk
Assessment
Establish Safety Targets
Hazard, Control, andMonitoring Strategy
Public TransportationAgency Safety Plan
Asset Inventory/Condition Assessment
Establish SGRTargets
Transit AssetManagement Plan
Prioritize Investments/Program of Projects
Program Formula Funds
MPO and StatePerformance Targets
Integrate Performance-Based Plans
Metropolitan andStatewide Long-Range
Plans
Adopt TIP/STIP
11Transit Asset Management Background • • • • • • • •
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What Process Did We Take to Get Here?
MAP-21 Passed(7/2012)
Informal Outreach
(2012-2013)
ANPRM Open for Comment(10/2013)
NPRM Open for Comment(9/2015)
FAST Act(12/2015)
Final Rule Issued
(7/26/16)
12Transit Asset Management Background • • • • • • • •
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CFR Part 625Transit Asset Management Final Rule
A. General ProvisionsB. National Transit Asset Management SystemC. Transit Asset Management PlansD. Performance ManagementE. Recordkeeping and Reporting Requirements
13Transit Asset Management Final Rule• • • • • • • •
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Changes from NPRM to Final Rule• Definitions Tier II Provider
• Asset Inventory scale Equipment Third party assets
• 5310 Applicability• Group Plans
Sponsor is not the Accountable Executive for its Group TAM Plan participants
Small urban providers (5307) are not required to participate in or be offered Group Plans
14
Δ
Transit Asset Management Final Rule• • • • • • • •
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A. General Provisions
15Final Rule: General Provisions • • • • • • • •
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A. General Provisions
• Purpose To help achieve and maintain a state of good repair
for the nation’s public transportation systems
• Applicability All recipients or subrecipients of Federal financial
assistance under 49 U.S.C. Chapter 53 that own, operate, or manage capital assets used in the provision of public transportation
• Definitions
16Final Rule: General Provisions • • • • • • • •
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Definition of ‘Public Transportation’
The term "public transportation" is defined at 49 U.S.C. 5302 and means regular, continuing shared-ride surface transportation services that are open to the general public or open to a segment of the general public defined by age, disability, or low income.
17Final Rule: General Provisions • • • • • • • •
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B. National Transit Asset ManagementSystem
18Final Rule: National Transit Asset Management System • • • • • • • •
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National Transit Asset Management System
Definestate of good repair
RequireTAM Plans for all recipients and sub-recipients
EstablishSGR perfor-mancemeasures
Reportdata to the NTD
ReceiveTechnical assistance from FTA
Final Rule: National Transit Asset Management System • • • • • • • •
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State of Good Repair
The condition in which a capital asset is able to operate at a full level of performance. This means the asset:
1. Is able to perform its designed function,2. Does not pose a known unacceptable safety risk,
and3. Its lifecycle investments have been met or
recovered.
20Final Rule: National Transit Asset Management System • • • • • • • •
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TAM and State of Good Repair
• The purpose of the National TAM System is to keep our Nation’s assets in a State of Good Repair (SGR)
• Consequences of not being in a SGR include:• Safety risks
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• Decreased system reliability• Higher maintenance costs, and • Lower system performance
Final Rule: National Transit Asset Management System • • • • • • • •
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C. Transit Asset Management Plans
22• • • • • • • •Final Rule: Transit Asset Management Plans
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Applicability – Tier I or Tier II
Tier
Operates RailOR
≥ 101 vehicles across allfixed route modes
OR≥ 101 vehicles in one non-fixed route mode
Tier
Sub-recipient of 5311 FundsOR
American Indian TribeOR
≤ 100 vehicles across all fixed route modes
OR≤ 100 vehicles in one non-fixed route mode
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Responsibility for TAM Plan Development
• Each transit provider must designate an Accountable Executive
• Plan Coordination A Tier II provider may participate in a Group Plan or
opt out and develop its own TAM Plan A Group Plan participant must collaborate with the
sponsor in the development of the plan
• Eligible activity under §5337, §5307 & §5311
24Final Rule: Transit Asset Management Plans • • • • • • • •
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Group Plans
• Group Plans compiled by a sponsor– Generally the State DOT or Designated/Direct
Recipient– Small urban operators (5307 Recipients) are not
required to be offered a group plan but CAN be based on mutual agreement between sponsor and operator.
• Tier II providers may participate in a single Group Plan or may choose to opt out and develop their own TAM Plans
25Final Rule: Transit Asset Management Plans • • • • • • • •
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TAM Plan Elements
Tier I only
All Providers(Tier I & II)
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1. Inventory of Capital Assets2. Condition Assessment3. Decision Support Tools4. Investment Prioritization5. TAM and SGR Policy6. Implementation Strategy7. List of Key Annual Activities8. Identification of Resources9. Evaluation Plan
Final Rule: Transit Asset Management Plans • • • • • • • •
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Δ1. Inventory of Capital Assets
• A listing of all capital assets: Owned by the transit provider Equipment: Non service vehicles & equipment > $50,000
Include third-party exclusive-use non-equipment Level of detail is same as in Capital Program of
Projects
• May use existing inventories already collected E.g., existing rolling stock and equipment reports
• Include assets acquired without FTA funds27
Final Rule: Transit Asset Management Plans • • • • • • • •
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Examples of Asset Categories and Classes
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Category Class
Equipment Construction Service Vehicles
Maintenance
Rolling Stock Railcars Buses Other Passenger Vehicles
Ferries
Infrastructure Fixed Guideway Signal Systems Structures
Power
Facilities Support Facilities Passenger Facilities
Parking Facilities
Final Rule: Transit Asset Management Plans • • • • • • • •
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2. Condition Assessment
• A rating of the inventoried assets E.g., age; good/fair/poor; percentage of residual life
• Ratings should be sufficiently detailed to monitor performance and plan capital investment
• Condition assessments may be collected at the individual or asset class level
• Condition assessments may include vulnerabilities to natural/climate hazards
• Condition assessments are only required for assets with direct capital responsibility
29Final Rule: Transit Asset Management Plans • • • • • • • •
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Assessing Condition by Asset ClassCategory Asset Inventory Assessing Condition
EquipmentAll non-revenue service vehicles and equipment > $50K used in the provision of public transit, except 3rd-party equipment assets
Only equipment with direct capital responsibility, no third party assets
Rolling Stock All revenue vehicles used in the provision of public transit
Only revenue vehicles with direct capital responsibility
Infrastructure All infrastructure used in the provision of public transit
Only infrastructure with direct capital responsibility
Facilities All facilities used in the provision of public transit (excluding bus structures)
Only facilities with directcapital responsibility (excluding bus structures)
Final Rule: Transit Asset Management Plans • • • • • • • •
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3. Decision Support Tools
• List analytical process(es) used to make investment prioritization To estimate capital investment needs over time To assist in prioritization
• The tool does not have to be specialized software
31Final Rule: Transit Asset Management Plans • • • • • • • •
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4. Investment Prioritization
• A ranked listing of proposed projects and programs ordered by year of planned implementation
• Prioritization locally determined based on policy and need
• Must adequately consider Identified unacceptable safety risks Accessibility requirements
• Fiscally constrained based on estimated funding levels
30Final Rule: Transit Asset Management Plans • • • • • • • •
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TAM Plan Timeframes
• Plans would be updated in their entirety at least every 4 years Coincide with relevant (Statewide) Transportation
Improvement Program Cover at least 4 years Should be amended during the horizon period
when there is a significant change
• Initial TAM Plans completed no later than 2 years after effective date (October 2018)
33Final Rule: Transit Asset Management Plans • • • • • • • •
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D. Performance Management
34Final Rule: Performance Management • • • • • • • •
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Analyzing AssetsCategory Assessing Condition Performance Targets Measure
Equipment Only equipment with
Only non-revenue direct capital service vehiclesresponsibility, no third ULB
party assets
Rolling Stock All revenue vehicles
Only revenue vehicles used in the provision by vehicle class/modeof public transit
ULB
Infrastructure Only Only fixed rail infrastructure with guideway with direct direct capital capital responsibilityresponsibility
%
Facilities Maintenance and Only facilities Administrative and with direct capital Passenger Stations and responsibility (not Parking Facilities with bus structures)direct capital responsibility
TERM
Final Rule: Performance Management • • • • • • • •
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Targets for Performance Measures
• Set targets annually for each asset class• Supported by data Most recent condition data Reasonable financial projections
• Targets for Group Plans apply to the group as a whole
• Reported annually to National Transit Database (NTD) https://www.transit.dot.gov/ntd/ntd-asset-
inventory-modules-and-information36
Final Rule: Performance Management • • • • • • • •
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Useful Life Benchmark (ULB)
• ULB ≠ Useful life for FTA grant programs• Useful Life Benchmark is defined as the expected
lifecycle of a capital asset for a particular Transit Provider’s operating environment, or the acceptable period of use in service for a particular Transit Provider’s operating environment.
• ULB takes into account a provider’s unique operating environment (i.e. geography, service frequency, etc.)
• There are default ULB values, but agencies are welcome to develop their own
37Final Rule: Performance Management • • • • • • • •
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Sample Default ULBs
38
Revenue Vehicle Type Default Useful Life Benchmark
Useful Life in Grant Programs
Automated Guideway Vehicle (AG) 31 12
Bus (BU) 14 12
Cutaway Bus (CU) 10 10
Ferryboat (FB) 42 25
Heavy Rail Passenger Car (HR) 31 30
Light Rail Vehicle (LR) 31 25
Commuter Rail Locomotive (RL) 39 30
Trolleybus (TB) 14 12
Van (VN) 8 7
Final Rule: Performance Management • • • • • • • •
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Performance Measures
• Equipment Percentage of non-revenue service vehicles that have met or
exceeded their ULB• Rolling Stock Percentage of revenue vehicles within a particular asset class
that have met or exceeded their Useful Life Benchmark (ULB)• Infrastructure Percentage of guideway directional route miles with
performance restrictions by class• Facilities Percentage of facilities with a condition rating below 3.0 on
the FTA Transit Economic Requirements Model (TERM) scale (1=Poor to 5=Excellent) 39
Final Rule: Performance Management • • • • • • • •
Age
Age
Performance
Condition
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E. Recordkeeping and Reporting RequirementsIncluding the role of the National Transit Database
40• • • • • • • •Final Rule: Recordkeeping and Reporting Requirements
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Annual Reporting Requirements
• Submit to NTD1. Data Reports Projected performance targets for next fiscal year System Condition and Performance Reports
2. Narrative Report Change in condition Progress toward targets
• Group Plan Sponsors submit consolidated reports on behalf of their participants
• A TAM-NTD Crosswalk can be found on the TAM website
41Final Rule: Recordkeeping and Reporting Requirements • • • • • • • •
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National Transit Database Webpage
https://www.transit.dot.gov/ntd/ntd-asset-inventory-modules-and-information42
Asset Module Reporting Template
Final Rule: Recordkeeping and Reporting Requirements • • • • • • • •
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Recordkeeping Requirements
• Maintain records supporting TAM Plan• Share with State and metropolitan planning
organization (MPO) planning agencies TAM Plan Performance targets Investment strategies Annual condition assessments
43Final Rule: Recordkeeping and Reporting Requirements • • • • • • • •
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Certification• TAM Plans are Self-Certified by the
Accountable Executive
• FTA will update Certifications and Assurances to reflect TAM Plan requirements
• FTA will review Plans and Progress during Triennial and State Management Reviews, as well as during MPO Certification Reviews
44Final Rule: Recordkeeping and Reporting Requirements • • • • • • • •
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Implementation
45Implementation • • • • • • • •
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Where do we go from here?
Final Rule Published
(7/26/2016)
Final Rule Effective
(10/1/2016)
Initial Target Submittal Due Date(1/2017)
Initial TAM Plan
Completion Date
(10/2018)
TAM Reports Due Date(Annually with NTD report )
46Implementation • • • • • • • •
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TAM TimelinesActivity Initial Due Date Ongoing Submittal Frequency
Final Rule Effective Date October 1, 2016 n/a
SGR Targets Set by 1/1/17 Annually within 4 months of end of provider’s FY as part of NTD Report
TAM Plan October 1, 2018 Every 4 years
Asset Inventory and Condition Reporting*
Within 4 months of end of provider’s FY 2018
As part of NTD Report
Narrative Report Within 4 months of end of provider’s FY 2019
Annually within 4 months of end of provider’s FY
47
Items in blue Submitted to NTD
Implementation • • • • • • • •
* Only 1/3 of facilities condition assessments are due in NTD report year 2018
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TAM Plan Example
What type of TAM plan do I need to develop?
1. Is this rule applicable to me?2. Am I Tier I or Tier II?3. Can I participate in a Group Plan?
48Implementation • • • • • • • •
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TAM Plan Example
1. Inventory Capital AssetsAgency A: Owns Four 30-foot low-floor busesAgency B: Owns Two 30-foot low-floor buses
Group Plan inventory would include six 30-foot low-floor buses
49Implementation • • • • • • • •
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50• • • • • •
TAM Plan Example
2. Assess Condition
Criteria Bus 1 Bus 2 Bus 3 Bus 4 Bus 5 Bus 6
Poses safety risk (0-5) 5 0 1 2 4 0
Age (years) 17 15 15 7 7 2
Poor reliability (0-5) 2 3 3 4 2 1
Poor appearance (0-5) 1 3 2 4 2 1
Implementation • •
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TAM Plan Example
3. Decision Support ToolsCriteria Weight Bus 1 Bus 2 Bus 3 Bus 4 Bus 5 Bus 6Poses safety risk (0-5) 8 5 0 1 2 4 0Age (years) .5 17 15 15 7 7 2Poor reliability (0-5) 5 2 3 3 4 2 1Poor appearance (0-5) 1 1 3 2 4 2 1Totals 59.5 25.5 32.5 43.5 47.5 7
4. Investment Prioritization
51• • • • • • • •
Score ≥ 50………. Replace this year30 ≤ Score < 50… Replace in year 3Score < 30………. No immediate remedial action
Implementation
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Reporting Requirements
Performance Measures and Targetsa) Calculate condition informationb) Set targets for next fiscal year
35% of 30-foot buses will exceed the 12-year ULB.
52Implementation • • • • • • • •
ULB Bus 1 Bus2
Bus3
Bus 4
Bus 5
Bus 6
Exceed ULB
Year 1 12 17 15 15 7 7 2 50%Year 2 12 retired 16 16 8 8 3 33%
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Report Annually to NTD (group plan sponsor):• Data Report Condition information Performance targets for next FY
• Narrative report Describing changes
• Sponsors submit consolidated report for the group
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Technical Assistance from FTA
TCRP Products
Training & Webinars
TAM News & Noteworthy
Practices
Facility Condition &
Rail Guideway
Guidebooks
Transit Asset Management
Guide
Asset Inventory
Development & Integration
Guide
TERM-Lite
Small Provider
Guide and Template
https://www.transit.dot.gov/TAM 54
Technical Assistance • • • • • • • •
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Asset Management Guide for Small Providers
• Explains/provides: Who, What, & Why TAM TAM plan requirements for small providers Other TAM plan considerations (e.g., reporting,
monitoring) TAM plan template
https://www.transit.dot.gov/research-innovation/asset-management-guide-small-providers-report-no-0092
55
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Guide for Small Providers, Inside
56
Table 2-1 & 2-2, FTA Asset Management Guide for Small Providers
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TAM Template for Small Providers
57
https://www.transit.dot.gov/research-innovation/asset-management-guide-small-providers-fta-report-no0092
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Next Steps
• Guides are open for comment Webinar: August 11
• If you have questions, where do you go? Website: www.transit.dot.gov/TAM Regional Staff Mshadoni Smith
58Next Steps • • • • • • • •