REVISED. Agenda. Thursday, November 17, Regular Meeting: 2:00 P.M.

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1 810 Mission Avenue Oceanside, CA (760) (760) (fax) REVISED Agenda Thursday, November 17, 2016 Regular Meeting: 2:00 P.M. BOARD OF DIRECTORS Mark Packard Councilmember, City of Carlsbad Board Chair Location: Oceanside City Council Chambers Second Floor, City Hall North, 300 N. Coast Highway Oceanside, CA Rebecca Jones Vice Mayor, City of San Marcos Board Vice-Chair Donald Mosier Councilmember, City of Del Mar Tony Kranz Councilmember, City of Encinitas Ed Gallo Councilmember, City of Escondido Chuck Lowery Deputy Mayor, City of Oceanside Bill Horn Supervisor, County of San Diego Mike Nichols Councilmember, City of Solana Beach John J. Aguilera Councilmember, City of Vista EXECUTIVE DIRECTOR Matthew O. Tucker GENERAL COUNSEL Lori A. Winfree MISSION North County Transit District s mission is to deliver safe, convenient, reliable and user-friendly public transportation services. VISION Our vision is to build an integrated transit system that enables our customers to travel easily and efficiently throughout our growing region. For individuals with disabilities, NCTD will provide assistive services. To obtain such services or copies of documents in an alternate format, please call or write, a minimum of 72 hours prior to the event, to request these needed reasonable modifications. NCTD will make every attempt to accommodate requests that do not give 72 hour notice. Please contact the Clerk of the Board at (760) For individuals with sensory disabilities, this document is available in alternate formats. For information, please contact the Clerk of the Board at 760/ Persons with hearing impairment, please use the California Relay Service (CRS): 800/ TTY; 800/ voice; 800/ Spanish. CRS Customer Service: 877/ English or 877/ Spanish. Any writings or documents provided to a majority of the members of the NCTD Board of Directors regarding any item on this agenda will be made available for public inspection at the office of the Clerk of the Board located at 810 Mission Avenue, Oceanside, CA 92054, during normal business hours. 1

2 REGULAR MEETING BEGINNING AT 2:00 PM CALL TO ORDER ROLL CALL OF BOARD MEMBERS PLEDGE OF ALLEGIANCE TO THE AMERICAN FLAG SAFETY BRIEF AND EVACUATION PROCEDURES Anthony Flores, Clerk of the Board CHANGES TO THE AGENDA PUBLIC COMMUNICATIONS There is a time limit of 15 minutes for this section of Public Communications and each speaker is limited to three minutes for their presentation. All persons wishing to address the Board during the meeting must complete a Request to Speak form. These forms are provided in a box at the table in the hallway, and must be completed and given to the Clerk of the Board before that agenda item is called. A. MINUTES Approve Minutes for NCTD s Regular Board Meeting of October 20, 2016 (S) (Anthony Flores, Clerk of the Board) B. CONSENT ITEMS 1 22 Items reviewed and recommended for approval by the Executive Committee, Marketing, Service Planning and Business Development Committee (MSPBD), Performance, Administration and Finance Committee (PAF), Staff (S), Board (B) or Board Workshop (W) All matters listed under CONSENT are considered by the Board to be routine and will be enacted by one motion. There will be no separate discussion on these items prior to the time the Board votes on the motion, unless members of the Board, the Executive Director, or the public, request specific items to be discussed and/or removed from the Consent Calendar for separate action. A request from the public to discuss an item must be filed with the Clerk of the Board on the Request to Speak form before that agenda item is called. ITEMS PULLED FROM CONSENT WILL BE MOVED TO THE END OF THE AGENDA 1. Receive Monthly Intergovernmental Affairs Report (S) (Attachment 1A) (Matthew O. Tucker, Executive Director) 2. Receive Quarterly Transit Enforcement Report (S) (Attachment 2A) (Jaime Becerra, Chief of Transit Enforcement) 3. Receive Quarterly Safety Division Report (S) (Attachment 3A) (Sean Loofbourrow, Chief of Safety) 2

3 4. Approve Annual Performance Evaluation and Compensation Per Employment Agreement: Executive Director (S) (Karen L. Tucholski, Chief Administrative Officer) 5. Approve Calendar Year 2017 Nominating Committee for Board Chair and Vice-Chair (B) (Anthony Flores, Clerk of the Board) 6. Award Contract No to Tristar Insurance Group for Workers Compensation Program Administration Services (S) (Karen L. Tucholski, Chief Administrative Officer) 7. Award Contract No to Singh Group, Inc. for System-Wide Landscape Maintenance Services (S) (Andrew Bohnert, Chief Development Officer) 8. Award Contract No to Agricultural Pest Control Services for System-Wide Pest Control (S) (Andrew Bohnert, Chief Development Officer) 9. Award Contract No to Cannon Pacific Services, Inc. for System-Wide Parking Lot Sweeping Services (S) (Andrew Bohnert, Chief Development Officer) 10. Award Contract No to Aztec Landscape, Inc./Aztec Janitorial for Janitorial Services at NCTD General Administrative Office and Tremont Facilities (S) (Andrew Bohnert, Chief Development Officer) 11. Award Contract No to Johnson Controls for System-Wide Heating, Ventilation, Air Conditioning, and Refrigeration Maintenance Services (S) (Andrew Bohnert, Chief Development Officer) 12. Authorize the Executive Director to Finalize and Execute an Exhibit A for the Replacement of the Bus Wash at the West Division Facility Pursuant to the First Amended and Restated Addendum 18 to the Master Memorandum of Understanding Between the San Diego Association of Governments, San Diego Metropolitan Transit System, and North County Transit District (S) (Andrew Bohnert, Chief Development Officer) 13. Award Contract No to Jennett Company. for Stuart Mesa COASTER Fall Protection System Installation Services (S) (Andrew Bohnert, Chief Development Officer) 14. Authorize the Executive Director to Finalize and Execute an Exhibit A for The Oceanside Station Pass-Through Track Project Pursuant to the First Amended and Restated Addendum 18 to the Master Memorandum of Understanding Between the San Diego Association of Governments, San Diego Metropolitan Transit System, and North County Transit District (S) (Andrew Bohnert, Chief Development Officer) 15. Authorize Issuance of a Purchase Order to Dion International Trucks LLC for the Purchase of One Dump Bed Truck (S) (Don Filippi, Chief Operations Officer Rail) 3

4 16. Authorize the Executive Director to Execute Task Order No. 4 to Contract No to Bombardier Transportation (Holdings) USA, Inc. for the Rebuild of Three (3) Head End Power Engine/Generators (S) (Don Filippi, Chief Operations Officer Rail) 17. Authorize the Executive Director to Execute Task Order No. 3 under Contract No to Bombardier Transportation (Holdings) USA, Inc. for Positive Train Control Testing Support (S) (Don Filippi, Chief Operations Officer Rail) 18. Authorize the Executive Director to Execute Sole Source Contract No With HNTB Corporation for Positive Train Control Program Management (S) (Eric Roe, Deputy Chief Operations Officer Rail Systems) 19. Authorize the Executive Director to Execute Sole Source Contract No with Dilax Systems, Inc. for Automatic Passenger Counter System Maintenance Services and Training (S) (Damon Blythe, Deputy Chief of Transit Operations) 20. Adopt Resolution No Certifying North County Transit District Incumbents Authorized to Take the Necessary Actions and Execute the Necessary Documents Related to the Bank of New York Mellon Trust (S) (Attachment 20A) (Luz Cofresí-Howe, Chief Financial Officer) 21. Authorize the Executive Director to Execute Supplemental Agreements to Contract Nos and with Bombardier Transportation (Holdings) USA, Inc. to Restructure the Indemnification and Insurance Provisions (S) (Lori A. Winfree, General Counsel) 22. Receive the Quarterly Positive Train Control Report (S) (Attachment 22A) (Eric Roe, Deputy Chief Operations Officer Rail Systems) C. OTHER BUSINESS ITEMS 23 AND Authorize the Executive Director to Pay the Insurance Premium for the Purchase of the District's Comprehensive General Liability Policy for 2017 (S) (Lori A. Winfree, General Counsel) 24. Receive a Report on ADA Paratransit Program Management, and Authorize the Executive Director to Enter Into a Sole Source Agreement with Trapeze Software, Inc. for the Purchase of Trapeze PASS Modules and Implementation Services (S) (Damon Blythe, Deputy Chief of Transit Operations) 4

5 D. CLOSED SESSION ITEMS 25 AND Closed Session Pursuant to Government Code Section (d)(1) Conference with Legal Counsel Existing Litigation Rafael Munoz v. NCTD, San Diego Workers' Compensation Appeals Board, Case No. ADJ (S) (Lori A. Winfree, General Counsel) 26. Closed Session Pursuant to Government Code Section (d)(4) Conference with Legal Counsel Anticipated Litigation Significant Exposure to Litigation, Two Potential Cases (S) (Lori A. Winfree, General Counsel) EXECUTIVE DIRECTOR S REPORT BOARD MEMBER REPORTS, COMMENTS AND CORRESPONDENCE REMAINING PUBLIC COMMUNICATIONS For any remaining speakers who have completed a Request to Speak form. ADJOURNMENT CERTIFICATIONS AND RULES (FOR BOARD AND PUBLIC INFORMATION) Posting of Board Agenda (Page 7) Rules for Public Speakers at meetings of the North County Transit District (Page 8) Upcoming Meetings: Regular Board Meeting: December 15, 2016 at 2:00 p.m. Regular Board meeting will be held at City of San Marcos City Council Chambers, 1 Civic Center Drive, San Marcos, CA

6 MAP OF CITY OF OCEANSIDE COUNCIL CHAMBERS The City of Oceanside Council Chambers is located at Second Floor, City Hall North, 300 North Coast Highway, Oceanside, CA and is accessible by the COASTER (NCTD Commuter Rail), SPRINTER (NCTD Light Rail), and the BREEZE (NCTD Bus). Please log onto to check our current routes and schedules, or call COMMUTE. 6

7 November 10, 2016 To: From: Subject: North County Transit District Board Members Clerk of the Board POSTING OF BOARD AGENDA In Compliance with the Ralph M. Brown Act, as Amended, the following information is provided. The Agenda for this meeting of the Board was posted as follows: Meeting Date & Time: Posted At: Posted At: Posted Online At: Date & Time of Posting: Posted By: November 17, 2016 at 2:00 p.m. 300 N. Coast Hwy., Oceanside, CA 810 Mission Avenue, Oceanside, CA November 10, 2016 at 5:00 p.m. Anthony Flores, Clerk of the Board 7

8 Rules for Public Speakers at Meetings of the North County Transit District Per Board policy, all public communications at meetings of the North County Transit District shall be made and received in accordance with the following procedures: 1. COMMENTS NOT ON AGENDA A. Total time limit all speakers: Beginning of meeting: Fifteen (15) minutes End of meeting: No time limit. B. Time limit per speaker per meeting: Three (3) minutes, with no donation of time allowed. C. Priority: First come, first served. All speaker slips will be numbered as the Clerk of the Board receives them. Those not allowed to speak at the beginning of the meeting due to limit stated above, will be called at the end of the meeting. D. Order on agenda: Items will be heard at the beginning of the meeting and if the time limit stated in Paragraph A is exhausted, those who filled out a speaker slip and have not yet spoken, will be given an opportunity to speak at the end of the meeting under Remaining Public Communications. E. Comments not addressing items on the agenda are out of order. 2. TIME LIMITS FOR ADDRESSING MATTERS ON THE AGENDA A. Total time limit: None. B. Time limit per speaker: Three (3) minutes, with one donation of three minutes, for a maximum of six minutes. C. These rules apply to both public hearing and non-public hearing items listed on the agenda. D. Comments made not germane to the subject matter of the agenda item being considered are out of order. 3. CUTOFF FOR TURNING IN SPEAKER SLIPS A. Speakers wishing to speak to an item on the Board Agenda must submit a speaker slip to the Clerk of the Board before that agenda item is called. Speaker slips will be available at the meeting. B. Speakers turning in slips after discussion begins on an item will be heard at the end of the meeting under Remaining Public Communications. 4. MODIFICATION OF RULES BY CHAIR A. The Board Chair may, in his or her absolute discretion, relax the requirements of these rules. However, a decision of the Chair to do so in one instance shall not be deemed a waiver of the rules as to any other instance or matter. 8

9 Board Agenda Errata Sheet Thursday, November 17, 2016 Regular Meeting: 2:00 P.M. Item No. 19: Revision to Staff Report: Adjustment of the not-to-exceed amount for consistency with proposal received. The original Staff Report noted the not-toexceed amount as $238,911. The revised Staff Report notes the not-to-exceed amount as $264,412.

10 MINUTES OF THE REGULAR MEETING OF THE NORTH COUNTY TRANSIT DISTRICT BOARD OF DIRECTORES HELD OCTOBER 20, 2016 CALL TO ORDER Mark Packard, Board Chair, called the regular meeting to order at 2:00 p.m. ROLL CALL OF BOARD MEMBERS 1. Mark Packard (City of Carlsbad); 2. Don Mosier (City of Del Mar); 3. Tony Kranz (City of Encinitas); 4. Ed Gallo (City of Escondido); 5. Chuck Lowery (City of Oceanside); 6. Rebecca Jones (City of San Marcos); 7. Bill Horn (County of San Diego); 8. John Aguilera (City of Vista). Mike Nichols (City of Solana Beach) absent. PLEDGE OF ALLEGIANCE TO THE AMERICAN FLAG Board member Mosier led the Pledge of Allegiance to the American Flag. SAFETY BRIEF Anthony Flores, Clerk of the Board, provided a presentation on emergency evacuation procedures. CHANGES TO THE AGENDA Anthony Flores, Clerk of the Board, advised the Board that there was a non-substantive change to the agenda and an errata sheet was provided to the Board and the public that reflected the following change: Consent Item No. 4 Revision to Attachment 4A, Exhibit B, Legal Blacklines of Revised Policies: Page No. 2 of Board Policy No. 27 Equal Employment Opportunity, strike reference to Civil Rights Officer and update contact information. PUBLIC COMMUNICATIONS Terry Kane, Public Speaker provided the Board an update on the herbicide spraying that he spoke about at the last Board meeting. Mr. Kane stated that NCTD sprayed herbicide over a four

11 (4) block area between Oceanside Boulevard and Wisconsin Street after discontinuing a 10 year accommodation which has impacted his wife. Mr. Kane stated that he feels this is wrong on many levels. He commented that SANDAG, in coordination with NCTD, is undergoing an extensive level of construction in the stated four-block area. Mr. Kane alleges that NCTD violated its own 2016 Stormwater Management Plan which calls for the reduction of pesticides with manual control in the right-of-way (ROW). He commented that NCTD sprays 80 miles of track in this process and that 25 feet of herbicide spray overlays every crosswalk over those miles, which impacts residential and business locations that abut the rail lines including the coastal rail trail. Mr. Kane asked the Board members to review potential impacts to the jurisdictions and constituents they serve. Mr. Kane provided the Board members with copies of pages from NCTD s Stormwater Management Plan for review and consideration. Copies were provided by the Clerk of the Board to each Board member present at the meeting. APPROVAL OF MINUTES OF THE SEPTEMBER 15, 2016 REGULAR BOARD MEETING Board Vice-Chair Jones moved to approve the Minutes of the September 15, 2016 Regular Board Meeting with one amendment as follows: Board Vice-Chair Jones requested to be added to the approval of the minutes for the Regular Board Meeting of September 15, Board Vice-Chair Jones approval of the minutes was inadvertently omitted. ON THE MOTION OF BOARD VICE-CHAIR JONES TO APPROVE THE MINUTES OF SEPTEMBER 15, 2016 WITH THE REQUESTED AMENDMENT, SECONDED BY BOARD MEMBER AGUILERA. AYES: NOES: ABSENT: ABSTAIN: PACKARD, MOSIER, KRANZ, LOWERY, GALLO, HORN, AGUILERA, JONES NONE NICHOLS NONE MOTION CARRIES. CONSENT ITEMS 1. Receive Monthly Planning Division Report 2. Receive the Quarterly Report of Contract Actions Issued by NCTD Under the Executive Director s Authority 3. Receive Committee Chair Report for the Executive Committee Meeting of October 4, Adopt Resolution No Revisions to Board Policies 5. Authorize the Executive Director to Award Contract No to Fleetwash, Inc. For Bus Stop Cleaning Services 6. Approve Sole Source Extension to Contract No with CooCoo Inc. for Mobile Ticketing Services Through June 30, Authorize the Executive Director or his Designee(s) to Establish a Separate Bank Account for State of California Department of Transportation FY Low Carbon Transit Operations Program Funds Page 2 of 6

12 8. Authorize the Executive Director to Execute a Supplemental Agreement to Contract No with LA Federal Armored Services, Inc. for Armored Fare Revenue Collection, Transportation, and Currency/Coin Processing ON THE MOTION OF BOARD MEMBER GALLO TO APPROVE CONSENT ITEMS 1 THROUGH 8, SECONDED BY BOARD VICE-CHAIR JONES. AYES: NOES: ABSENT: ABSTAIN: PACKARD, MOSIER, KRANZ, GALLO, LOWERY, JONES, HORN, AGUILERA NONE NICHOLS NONE MOTION CARRIES. OTHER BUSINESS 9. Authorize the Executive Director to Execute a Supplemental Agreement to Contract No with Bombardier Transportation (Holdings), USA, Inc. for Rail Operations Facilities and Equipment Maintenance Services. Andrew Bohnert, Chief Development Officer, made a presentation to the Board regarding proposed Supplemental Agreement to Contract No with Bombardier Transportation Holdings, USA, Inc. for Rail Operations Facilities and Equipment Maintenance Services. Mr. Bohnert provided an overview of the current facilities maintained by NCTD, including Bus and Rail Operations Facilities, Passenger Station, Transit Centers, Office Buildings, and other miscellaneous structures. He noted that in total NCTD owns 33 facilities. Mr. Bohnert stated NCTD has a contract with First Transit for maintenance of bus operations and maintenance (O&M) facilities, office buildings, and passenger stations and transit centers. In addition, he shared that NCTD has a contract with Bombardier for maintenance of rail O&M facilities whereby Phase I of that agreement has commenced. Mr. Bohnert further noted that in accordance with the contract, commencing on July 17, 2016, Phase II of the Contract with Bombardier will include maintenance of the passenger stations and transit centers. Mr. Bohnert provided an overview to the Board on the District s vision regarding improvements to the facility maintenance program, including the procurement history and current status. Mr. Bohnert explained that the action requested would accelerate the commencement of Phase II of the Facility Maintenance activities which would add in the passenger stations and transit centers to the Bombardier scope. Board Member Gallo, requested confirmation that General Counsel s office will have oversight of the permitting process. Lori A. Winfree, General Counsel, stated that staff is the front line with the contractor for contract administration and that General Counsel s office provides secondary oversight through the Comprehensive Compliance and Oversight Program. Board Member Gallo, asked if First Transit will be taking on a subcontractor position after December 18, 2016 for facilities maintenance. Matthew O. Tucker, Executive Director, clarified for the Board that the current contract with First Transit runs through June 30, He explained that the District is proposing to significantly reduce First Transit s facilities maintenance scope to be commensurate with the new scope that is currently advertised in the new bus contract for maintenance of just the East and West Operating Facilities. In addition, Mr. Page 3 of 6

13 Tucker stated that the District is proposing the Phase II activities under the Bombardier contract start in December so that it can avoid two major transitions occurring at the same time (i.e. bus operations and facilities maintenance). He explained this will also allow personnel currently associated with this work to transition over to Bombardier sooner. Mr. Tucker noted that Bombardier would have Phase I and II work all under their contract and First Transit would move to a reduced scope where First Transit would only be maintaining the East and West Division facilities. Board Chair Packard thanked staff for their forward thinking. He commented that in the past, the District has acted in a reactionary way as it relates to facilities maintenance and he observed that this type of thinking should improve economic efficiency for the District. ON THE MOTION OF BOARD MEMBER GALLO TO APPROVE AGENDA ITEM 9, SECONDED BY BOARD MEMBER MOSIER. AYES: NOES: ABSENT: ABSTAIN: PACKARD, MOSIER, KRANZ, JONES, LOWERY, GALLO, HORN, AGUILERA NONE NICHOLS NONE MOTION CARRIES. INFORMATION ITEMS 10. Presentation: Receive an Update on State Legislative Affairs and Receive the Intergovernmental Affairs Report for the Reporting Period of September Anthony Flores, Clerk of the Board, introduced Richard Harmon, Townsend Public Affairs, to the Board of Directors. Mr. Harmon provided an update on State Legislative Affairs including 2016 legislation of interest to the District, as follows: Assembly Bill 1757 (Waldron) was approved and ensures equity in Board compensation for NCTD and its regional partners. Senate Bill 882 (Hertzberg) which was opposed by NCTD, was signed by the Governor. This bill would prohibit a minor from being charged with an infraction or misdemeanor for fare evasion. Assembly Bill 1746 (Stone) failed. This bill would have authorized eight transit agencies, including NCTD, to allow buses to utilize the shoulder of a State highway. Senate Bill 824 (Beall) signed by the Governor. This bill made changes to the Low Carbon Transit Operations Program (LCTOP) and provided additional flexibility to agencies in the use of the funds. Mr. Harmon provided an update on cap and trade funds. Mr. Harmon stated that the legislature apportioned approximately $135 million into the Transit and Intercity Rail Capital Program, however, an estimated $260 million funding shortage affecting various projects is anticipated. Mr. Harmon stated that Senate Bill 32 was approved by the Legislature, extension of Assembly Bill 32 and extends it out to 2030 and further decreases the level of Page 4 of 6

14 greenhouse gas levels and missing from the proposal was a legislative approval and confirmation that cap and trade is legitimate. Board Member Gallo asked what the results were with respect to SANDAG tests on buses riding on the shoulder. Mr. Harmon stated that according to State law the only transit agencies that have authority are on the central coast and he is not familiar with any SANDAG testing. Board Member Aguilera stated that the SANDAG testing was on a section of the 805 in collaboration with San Diego Metropolitan Transit System (MTS). Mr. Harmon stated that the California Department of Transportation (Caltrans) wanted to provide this authority and most likely encouraged some limited trials. Board Member Kranz asked if the District has evaluated the emergency lane access issue to see if there is any significant benefit to the District. Mr. Tucker stated that this was something that SANDAG and MTS were exploring as far as operating on the shoulder, and that NCTD partners with them only from a regional perspective and that such operations are not presently contemplated in any plan that NCTD is considering at this time. 11. Presentation: Receive an Update on North County Transit District s Participation in the American Public Transportation Association s Early Career Program. Luz Cofresí-Howe, Interim Chief Financial Officer, Introduced Kimberly Hayford, Transportation Program Manager, to the Board of Directors. Ms. Hayford provided the Board information and an overview on her participation in the APTA Early Career Program. She stated that the APTA Early Career Program is a workforce development program aimed at grooming young professionals who are aspiring to be the next generation of leaders in the transit industry. Ms. Hayford explained that the goal of the program is to provide access to a network of mentors and resources that will allow to build knowledge outside of current roles and agencies. Ms. Hayford provided a summary of the group project that she was involved with during the program and shared her perspective on the overall value that she found through the experience. CLOSED SESSION Closed Session Pursuant to Government Code Section Public Employee Performance Evaluation, Title: Matthew O. Tucker, Executive Director. The Board of Directors went into closed session at 2:48 p.m. The Board returned to open session at 3:36 p.m. with no reportable action. EXECUTIVE DIRECTOR S REPORT None BOARD MEMBER REPORTS, COMMENTS AND CORRESPONDENCE Board Member Kranz stated pursuant to AB 1234 he attended the Rail~Volution Conference in San Francisco and participated in discussions regarding where transit is going and autonomous vehicles changing public transit. Page 5 of 6

15 Board Member Mosier thanked NCTD staff for working with the City of Del Mar on options to get pedestrians across the bluffs. Mr. Mosier stated that there was a meeting with SANDAG to discuss getting a trail on the west side of the tracks to access the bluffs through alternative routes. Board Member Lowery stated that the City of Oceanside received positive phone calls in regard to the District and working with the contractor to accommodate the Bike MS event that went through Camp Pendleton. Mr. Lowery thanked NCTD staff for helping make the event possible. REMAINING PUBLIC COMMUNICATIONS None ADJOURNMENT The meeting adjourned at 3:40 p.m. Submitted by Anthony Flores, Clerk of the Board for North County Transit District. CERTIFICATION CHAIRMAN North County Transit District I, Anthony Flores, duly appointed and qualified, Clerk of the Board of the North County Transit District, do hereby certify that the above is a true and correct copy of the Minutes of the Regular Meeting held on October 20, 2016 approved by the Board of Directors of the North County Transit District adopted at a legally convened meeting of the Board of Directors of the North County Transit District held on the 17 th day of November, CLERK OF THE BOARD North County Transit District For individuals with sensory disabilities, this document is available in alternate formats. For information, please contact the Clerk of the Board at 760/ Persons with hearing impairment, please use the California Relay Service (CRS): 800/ TTY; 800/ voice; 800/ Spanish. CRS Customer Service: 877/ or TTY. Page 6 of 6

16 Agenda Item # 1 RECEIVE MONTHLY INTERGOVERNMENTAL AFFAIRS REPORT Time Sensitive Consent X STAFF RECOMMENDATION: BACKGROUND INFORMATION: Receive the Intergovernmental Affairs Report for the reporting period of October Staff provides the attached State legislative report for the Board s review. Following are the highlights of Federal and State legislative activity from October. Federal: Congress adjourned in early October after passing a continuing budget resolution to fund federal government programs through December 9 th. Congress is scheduled to return to Washington on November 14, after the elections. State: The Legislature has adjourned until at least after the election, likely until they return briefly for an Organizational Session on December 5 th, where the Members will be sworn in and start work in the new 2 year Legislative Session on January 2, ATTACHMENT: 1A State Legislative Report (Townsend) October 2016 FISCAL IMPACT: This staff report has no fiscal impact. COMMITTEE REVIEW: None STAFF CONTACT: Matthew O. Tucker, Executive Director mtucker@nctd.org Phone: November 17, 2016 Board Meeting Staff Report No.: SR

17 ATTACHMENT 1A MEMO To: From: North County Transit District Board of Directors Matthew O. Tucker, Executive Director Bridget Hennessey, Intergovernmental Affairs Officer Townsend Public Affairs, Inc. Christopher Townsend, President Richard Harmon, Director Date: October 31, 2016 Subject: Monthly Report October 2016 SUMMARY This memo is an overview of activities undertaken by Townsend Public Affairs (TPA) over the last month, working on behalf of the North County Transit District, including the following subjects: Legislative Activity and Updates o State Update Legislative Activity o Tracked Legislation Administrative Action and Updates o Transportation Funding Update Upcoming Funding Opportunities State Capitol Office 925 L Street Suite 1404 Sacramento, CA Phone (916) Fax (916) Federal Office 600 Pennsylvania SE Suite 207 Washington, DC Phone (202) Fax (202) Southern California Office 1401 Dove Street Suite 330 Newport Beach, CA Phone (949) Fax (949) Central California Office 744 P Street Suite 308 Fresno, CA Phone (949) Fax (949) Northern California Office 300 Frank Ogawa Plaza Suite 204 Oakland, CA Phone (510) Fax (510)

18 LEGISLATIVE ACTIVITY AND UPDATES State Update Legislative Activity As noted last month, the Legislature has adjourned until at least after the election, likely until they return briefly for an Organizational Session on December 5, where the Members will be sworn in, and then start work in the new 2 year Legislative Session on January 2, The only change to this schedule would be the possibility of a lame duck meeting of the Legislature in November to consider transportation funding. There is increasing optimism from the Democrats in the Legislature regarding the potential to secure additional seats. This could provide them with a supermajority allowing them to pass legislation requiring a 2/3rds vote with only Democratic votes. We will be providing you with a comprehensive summary of election results for legislative races and ballot measures early on November 9. ADMINISTRATIVE ACTION AND UPDATES Transportation Funding Update As noted last month, there was still no movement on a funding proposal prior to adjournment of the Regular Session. One scenario that could still play out involves the Special Session of the Legislature related to transportation. Technically, the Special Session extends through the end of November unless it is adjourned by the Legislature before then. As one strategy, Legislative leadership could bring members back after the election to work on a funding proposal. The timing of this scenario would mean several members who are termed out or survived re election may be inclined to support the tax increases included in the proposals. We have heard there is a potential for some sort of action on a proposal on November 10 very likely this could be a full committee hearing on a joint legislative transportation proposal. Similarly, it appears the Governor is ramping up his involvement in the discussion, potentially calling for a meeting of the four legislative leaders after the election. One factor that is continuing to inject uncertainty into the potential for a lame duck consideration of a transportation proposal is the increased likelihood of a Democratic supermajority. While having the necessary 2/3rds vote changes the dynamic of the proposal eliminating the need for 2

19 provisions aimed at securing Republican votes, for example it does mean there could be similar challenges securing the votes of moderate Democrats. We will keep you updated as November 8 approaches and strategies for passage are detailed. UPCOMING FUNDING OPPORTUNITIES Included below is a list of some of the upcoming grant programs, descriptions and due dates: Caltrans Sustainable Transportation Planning Grant Program (November 4) Caltrans provides transportation planning grants to promote a balanced, comprehensive multimodal transportation system that promotes sustainability and these grants may still be used for a wide range of transportation planning purposes that address local, regional, and interregional transportation needs and issues. The implementation of these grants should ultimately lead to the adoption, initiation, and programming of transportation improvements. Urban Greening Grant Program (January) this program will fund projects that transform the built environment into places that are more sustainable, enjoyable, and effective in creating healthy and vibrant communities by establishing and enhancing parks and open space, using natural solutions to improving air and water quality and reducing energy consumption, and creating more walkable and bike able trails. All projects are required to show a net greenhouse gas (GHG) benefit and provide multiple other benefits. In order to quantify GHG emission reductions, project must include at least one of the following project activities: o Sequester and store carbon by planting trees o Reduce building energy use from strategically planting trees to shade buildings o Reduce commute, non recreational and recreational vehicle miles travelled by constructing bicycle paths, bicycle lanes, or pedestrian facilities. 3

20 Agenda Item # 2 RECEIVE QUARTERLY TRANSIT ENFORCEMENT DIVISION REPORT Time Sensitive Consent X STAFF RECOMMENDATION: BACKGROUND INFORMATION: Receive the Transit Enforcement Division Quarterly Report for the 1 st Quarter of FY 2017 (July 1, 2016 September 30, 2016) The Transit Enforcement Division s Quarterly Report provides summary information regarding law enforcement, code enforcement, emergency response, crisis communications, and security related activities for the 1 st Quarter period of the fiscal year 2017, including: crimes reported, offenses and incidents reported, citations issued, and arrests, as well as emergency medical and fire response requests. Also provided in this report is an overview of any special projects/details and Directed Patrol Missions (DPM's) in which the NCTD Transit Enforcement Division is actively involved. ATTACHMENT: 2A Quarterly Transit Enforcement Division Report FISCAL IMPACT: This staff report has no fiscal impact. COMMITTEE REVIEW: None STAFF CONTACT: Jaime Becerra, Chief of Transit Enforcement jbecerra@nctd.org Phone: November 17, 2016 Board Meeting Staff Report No.: SR

21 ATTACHMENT 2A Transit Enforcement Division Quarterly Report For the Period July 1, 2016 September 30, 2016 (Q1 of FY 2017) Page 1 of 7

22 TRANSIT ENFORCEMENT DIVISION QUARTERLY REPORT 1 st Quarter, FY 2017 (July 1, 2016 September 30, 2016) The Transit Enforcement Division Quarterly Report provides summary information regarding law enforcement, code enforcement, emergency response, critical incident communications, and security related activities for the 1st Quarter period of FY 2017, including: crimes reported, offenses and incidents reported, citations issued, and arrests, as well as emergency medical and fire response requests. Also provided in this report is an overview of any special projects/details and Directed Patrol Missions (DPMs) in which the NCTD Transit Enforcement Division is actively involved. There were 153 calls for service generated from the Transit Enforcement Security Operations Control Center located at the SPRINTER Operations Facility (SOF) for Law Enforcement and Fire/EMS in the 1st Quarter of FY This compared to the total of 192 calls for Law Enforcement and Fire/EMS response in the 1st Quarter of FY The most common location for public safety responses during this period was at the Oceanside Transit Center, with a total of 38 calls for service. During this reporting period, the contracted Transit Enforcement Services Unit (TESU) Sheriff s deputies selfinitiated and/or responded to calls for service, that resulted in a total of 384 enforcement actions, such as arrests, new crime reports, citations, vehicle impounds, field interviews, and warnings, associated with the NCTD transit system. TESU Sheriff s deputies made 50 arrests and issued 156 citations related to the NCTD system. During this reporting period, the Sheriff s Transit Enforcement Services Unit (TESU) and NCTD Code Enforcement Officers responded to a total of 4 train versus trespasser strikes and conducted 56 special projects or Directed Patrol Missions. Transit Enforcement Division Staffing Update: During this period The Division s Code Enforcement Officer had 6 Code Enforcement Officer vacancies. Through proactive recruitment and hiring, the Division will once again be fully staffed at 35 Code Enforcement Officers, 1 Team Lead Officer, 3 Code Enforcement Supervisors, 1 Transit Enforcement Manager, and 1 Transit Enforcement Division Chief. The Transit Enforcement Division added 2 Code Enforcement Supervisors, 1 Team Lead Officer, and 1 Operations Coordinator. Currently 2 new Code Enforcement Officers are in training and will be in training for several months before they can operate independently. The North County Transit District Sheriff s TESU remains fully staffed at 5 full-time dedicated Deputies, 1 full-time dedicated Administrative Assistant and 1 full-time dedicated Sergeant. Page 2 of 7

23 TRANSIT ENFORCEMENT DIVISION QUARTERLY REPORT 1 st Quarter, FY 2017 (July 1, 2016 September 30, 2016) 1 st Quarter FY 2017 Police/Fire Requests* 1 st Quarter FY 2016 Police/Fire Requests* Law Enforcement Requests: 72 Law Enforcement Requests: 154 Medical Aid Requests: 81 Medical Aid Requests: 38 CONTROL CENTER TOTAL: 153 CONTROL CENTER TOTAL: 192 * Police/Fire requests are compiled from Control Center Notification Forms for Police/Fire assistance. POLICE/FIRE REQUESTS BY LOCATION Page 3 of 7

24 TRANSIT ENFORCEMENT DIVISION QUARTERLY REPORT 1 st Quarter, FY 2017 (July 1, 2016 September 30, 2016) LAW ENFORCEMENT/FIRE REQUESTS BY MODE BREEZE COASTER SPRINTER BREEZE COASTER SPRINTER IN STATION/BUS STOP STATION/R.O.W. STATION/R.O.W BATTERY 0 BATTERY 1 BATTERY 1 INTOX IN PUBLIC 0 INTOX IN PUBLIC 3 INTOX IN PUBLIC 1 MEDICAL AID 8 MEDICAL AID 18 MEDICAL AID 18 MENTAL CASE 1 MENTAL CASE 2 MENTAL CASE 0 UNRULY BEHAVIOR 2 TRESPASSING 9 UNRULY BEHAVIOR 3 VEHICLE ACCIDENT 1 UNRULY BEHAVIOR 2 WANTED PERSON 7 WANTED PERSON 0 L.E. ON ROW - 6 WELFARE CHECK 2 OFF PROPERTY 10 VEHICLE ACCIDENT 1 VEHICLE ACCIDENT 1 CITIZEN ASSIST 5 L.E. ON ROW - 1 WANTED PERSON 7 OBSTRUCTED ROW 1 DECEASED ON PROP - 1 ONBOARD BREEZE ONBOARD COASTER ONBOARD SPRINTER MEDICAL AID 25 MEDICAL AID 3 MEDICAL AID 8 WELFARE CHECK - 1 UNRULY BEHAVIOR 1 UNRULY BEHAVIOR 1 WANTED PERSON 1 MENTAL CASE - 1 TOTAL 48 TOTAL 60 TOTAL 45 Page 4 of 7

25 TRANSIT ENFORCEMENT DIVISION QUARTERLY REPORT 1 st Quarter, FY 2017 (July 1, 2016 September 30, 2016) PART 1 CRIMES The following chart of Reported Crimes represents the crimes reported to local agencies from NCTD. All local law enforcement agencies must report Part I crimes under the Federal Bureau of Investigation guidelines for Uniform Crime Reporting (UCR). Part I crimes are the major felony categories. FELONY CRIMES REPORTED JULY - SEPT 2015 JULY - SEPT 2016 ROBBERY 0 3 THEFT 1 0 AGGRAVATED ASSAULT 4 3 MOTOR VEHICLE THEFT 0 1 BURGLARY 0 5 HOMICIDE 0 0 FORCIBLE RAPE 0 0 ARSON 0 0 (ARRESTS OR REPORTS) TOTAL: 5 12 Page 5 of 7

26 TRANSIT ENFORCEMENT DIVISION QUARTERLY REPORT 1 st Quarter, FY 2017 (July 1, 2016 September 30, 2016) The following table of Arrests/Citations reflects all warnings, arrests and/or citations issued for any crime that was reported or the suspect(s) arrested for, other than Part I crimes. These crimes may or may not have had a police response as the majority of which are handled by Code Enforcement Officers issuing a Notice to Appear citation to court. ARRESTS/CITATIONS JULY - SEPT 2015 JULY - SEPT 2016 OTHER ASSAULTS (ARRESTS) 1 0 VANDALISM 0 1 SEX OFFENSES 0 1 NARCOTIC OFFENSES (ARRESTS) 1 0 DRIVING UNDER INFLUENCE 0 0 INTOXICATED IN PUBLIC (ARRESTS) DISORDERLY CONDUCT 0 25 TRESPASSING 0 6 COASTER CITATIONS COASTER WARNINGS 0 1,045 SPRINTER CITATIONS SPRINTER WARNINGS 0 2,044 SMOKING CITATIONS 63 5 SMOKING WARNINGS INTERFERE WITH TRAIN/ENTRY 10 3 WILLFUL DISTURBANCE 8 13 FALSE IDENTIFICATION 0 1 PROPERTY DAMAGE 0 0 LITTERING 0 0 CURFEW/LOITERING 0 3 TOTAL: 266 3,947 Page 6 of 7

27 ON BREEZE ON COASTER ON SPRINTER OCEANSIDE TRANSIT CARLSBAD VILLIAGE ENCINITAS STATION SOLANA BEACH STATION SAN LUIS REY SORRENTO VALLEY SANTA FE DEPOT CROUCH STATION EL CAMINO REAL STATION CIVIC CENTER VISTA VISTA TRANSIT CENTER MELROSE STATION NORDAHL STATION COLLEGE STATION POINTSETTIA STATION ESCONDIDO TRANSIT BUENA CREEK STATION OFF PROPERTY COASTER ROW TRANSIT ENFORCEMENT DIVISION QUARTERLY REPORT 1 st Quarter, FY 2017 (July 1, 2016 September 30, 2016) The following chart identifies geographically where Part 1 and other crimes were reported or suspect(s) arrested. It further reflects information from both tables preceding this chart. During this reporting Quarter (1 st Quarter, FY 2017), there were a total of 220 arrests or crime reports at NCTD service locations. These include: 64 Intoxicated in Public, 4 Trespassing, 141 Disorderly Conduct/Willful Disturbance, 2 Narcotics Offense, 4 Battery, 1 Theft, 1 Robbery, and 3 Assaults. ARRESTS/CITATIONS & CRIMES REPORTED BY LOCATION (WARNINGS ARE NOT INCLUDED IN GRAPH) Page 7 of 7

28 RECEIVE QUARTERLY SAFETY DIVISION REPORT Agenda Item # 3 Time Sensitive Consent X STAFF RECOMMENDATION: BACKGROUND INFORMATION: Receive the Safety Division report for the first quarter of FY2017 (July 1, 2016 through September 30, 2016). Safety is the North County Transit District s (NCTD) top priority. Staff provides the NCTD Board of Directors with a quarterly update covering key safety topics and performance trends. ATTACHMENT: 3A Quarterly Safety Division Report, 1 st Quarter, FY2017 FISCAL IMPACT: This staff report has no fiscal impact. COMMITTEE REVIEW: None STAFF CONTACT: Sean Loofbourrow, Chief of Safety sloofbourrow@nctd.org Phone: November 17, 2016 Board Meeting Staff Report No.: SR

29 July 1, 2016 September 30, 2016 ATTACHMENT 3A Safety Division Quarterly Report For the Period July 1, 2016 September 30, 2016 (Q1 of FY 2017)

30 SAFETY DIVISION QUARTERLY REPORT July 1, 2016 September 30, 2016 Table of Contents Safety Performance Metrics... 3 Preventable Accidents... 4 Non-Preventable Accidents... 5 Rail Accidents... 6 BREEZE Accidents by Category... 8 San Diego Subdivision Overview Escondido Subdivision Overview Page 2 of 16

31 SAFETY DIVISION QUARTERLY REPORT July 1, 2016 September 30, 2016 Safety Performance Metrics Both preventable and non-preventable accidents were down for BREEZE for the second straight quarter, while FLEX/LIFT showed a decrease for preventable accidents and no change for non-preventable accidents. Rail accidents saw a decreasing trend for SPRINTER and AMTRAK, no change for COASTER, and a slight increase for BSNF. Rail near-miss incidents were down for SPRINTER, BNSF and AMTRAK, with no change for COASTER. There was an even distribution of near-miss incidents on the San Diego Subdivision, and all but one of the events were trespasser events. The number of near-miss events in the San Diego Subdivision decreased slightly from the previous quarter. On the Escondido Subdivision, there was a slight decreasing trend in near-miss events with nearly an even distribution of locations for the last quarter. There were 8 trespasser and 5 vehicle near-miss events, and the only location with more than one near-miss event was Rancheros Dr. ACCIDENTS (ACROSS ALL MODES) - QUARTERLY TREND NON-PREVENTABLE PREVENTABLE ACCIDENTS ACCIDENTS BREEZE Trending Down Trending Down LIFT/FLEX Trending Down No change (2/2) SPRINTER Positive (Zero) Trending Down COASTER Positive (Zero) No change (1/1) RAIL ACCIDENTS/NEAR MISSES - QUARTERLY TREND RAIL ACCIDENTS RAIL NEAR MISSES COASTER No change No change SPRINTER Trending Down Trending Down BNSF Trending Up Trending Down METROLINK Positive (Zero) Positive (Zero) AMTRAK Trending Down Trending Down Page 3 of 16

32 SAFETY DIVISION QUARTERLY REPORT July 1, 2016 September 30, 2016 Preventable Accidents A preventable accident is one in which the coach or train operator could have done something to prevent or avoid the accident regardless of fault, even if the investigation places fault on the other driver. NCTD Preventable Accidents 0 SPRINTER COASTER BREEZE LIFT/FLEX LIFT/FLEX BREEZE COASTER SPRINTER September August July September August July Page 4 of 16

33 SAFETY DIVISION QUARTERLY REPORT July 1, 2016 September 30, 2016 Non-Preventable Accidents A non-preventable accident is one that could have not been avoided no matter what actions were taken. These numbers reflect a monthly comparison of non-preventable accidents on all NCTD transit modes for the first quarter of the fiscal year. NCTD Non-Preventable Accidents 0 SPRINTER COASTER BREEZE LIFT/FLEX LIFT/FLEX BREEZE COASTER SPRINTER September August July September August July Page 5 of 16

34 SAFETY DIVISION QUARTERLY REPORT July 1, 2016 September 30, 2016 Rail Accidents Rail accidents that include collisions, derailments, injury, or death. The incidents listed in the chart below reflect the first quarter of the fiscal year. On July 1, 2016, at 15:04, COASTER C654 reported a Trespasser strike at Mile Post On July 8, 2016, at 11:07, Hi-rail vehicle derailed on single track at MP On July 28, 2016, at 20:19, SPRINTER 4012 reported a non-fatal Trespasser strike at Mile Post On September 5, 2016, at 23:48, RCAL reported a Trespasser strike at Mile Post On September 24, 2016 at 21:10, BNSF reported a Trespasser strike at Mile Post Page 6 of 16

35 SAFETY DIVISION QUARTERLY REPORT July 1, 2016 September 30, 2016 Rail Accidents Pacific Sun BNSF Metrolink Amtrak SPRINTER COASTER COASTER SPRINTER Amtrak Metrolink BNSF Pacific Sun September August July September August July Page 7 of 16

36 SAFETY DIVISION QUARTERLY REPORT July 1, 2016 September 30, 2016 BREEZE Accidents by Category Bus vs. Bus Bus vs Object Bus vs. Vehicle Vehicle vs. Bus Vehicle vs. Bus Bus vs. Vehicle Bus vs Object Bus vs. Bus September August July September August July Page 8 of 16

37 SAFETY DIVISION QUARTERLY REPORT July 1, 2016 September 30, 2016 LIFT/FLEX Accidents By Category Bus vs. Object Bus vs. Vehicle Bus vs. Bus Vehicle vs. Bus Vehicle vs. Bus Bus vs. Bus Bus vs. Vehicle Bus vs. Object September August July September August July Page 9 of 16

38 SAFETY DIVISION QUARTERLY REPORT July 1, 2016 September 30, 2016 San Diego Subdivision Overview A Near-Miss is any incident on the railroad right-of-way that causes the train operator/engineer to take an action, outside of the normal operation of a train, to avoid or mitigate a collision with a trespasser or vehicle. Actions include slowing of the train, or initiating an emergency brake application. San Diego Subdivision Near-Miss Oct Nov Dec Jan Feb Mar Apr May Jun Jul Aug Sep Oct/ Sep/ San Diego Subdivision Trespassers Oct Nov Dec Jan Feb Mar Apr May Jun Jul Aug Sep Oct/ Sep/2016 Page 10 of 16

39 SAFETY DIVISION QUARTERLY REPORT July 1, 2016 September 30, 2016 San Diego Subdivision Near - Miss Locations Laurel St Palm St. Taylor St Claremont Ave. Overpass Bridge (MP261.7) CP Morena Coast Blvd (MP 244.1) Chesterfield Dr. CP Cardiff Leucadia Blvd Agua Hedionda Bridge Buena Vista Lagoon Bridge (MP 228.6) Oceanside Blvd September August July Page 11 of 16

40 SAFETY DIVISION QUARTERLY REPORT July 1, 2016 September 30, 2016 San Diego Subdivision Near - Miss Cause Roadway Worker Bicycle Vehicle Trespasser Trespasser Vehicle Bicycle Roadway Worker July August September July August September Page 12 of 16

41 SAFETY DIVISION QUARTERLY REPORT July 1, 2016 September 30, 2016 Escondido Subdivision Overview A majority of the Near-Miss activity on the Escondido Subdivision takes place at grade crossings. 10 Escondido Subdivision Near-Miss Oct Nov Dec Jan Feb Mar Apr May June Jul Aug Sep Oct Sep 2016 Page 13 of 16

42 SAFETY DIVISION QUARTERLY REPORT July 1, 2016 September 30, Escondido Subdivision Trespassers Oct Nov Dec Jan Feb Mar Apr May Jun Jul Aug Sep Oct/2015 -Sep/2016 Page 14 of 16

43 SAFETY DIVISION QUARTERLY REPORT July 1, 2016 September 30, 2016 Escondido Subdivision Near - Miss Locations Andreason Ave Rancheros Dr Marcos St Palomar College Mission/Pacific St. South Santa Fe Vista Transit Center Los Angeles Drive College Blvd Evergreen Nursery September August July Page 15 of 16

44 SAFETY DIVISION QUARTERLY REPORT July 1, 2016 September 30, 2016 Escondido Subdivision Near - Miss Cause Roadway Worker Bicycle Vehicle Trespasser Trespasser Vehicle Bicycle Roadway Worker September August July September August July Page 16 of 16

45 Agenda Item # 4 APPROVE ANNUAL PERFORMANCE EVALUATION AND COMPENSATION PER EMPLOYMENT AGREEMENT: EXECUTIVE DIRECTOR Time Sensitive Consent X STAFF RECOMMENDATION: BACKGROUND INFORMATION: Approve the annual performance evaluation and compensation for the Executive Director per his employment agreement, to include an adjustment to annual salary and a one-time bonus. The Executive Director is engaged via an Employment Agreement with the North County Transit District (NCTD) that is approved by the NCTD Board of Directors (Board). Per the requirements therein, the Board conducts an annual performance evaluation based upon established goal. The following goals had been established for the FY2016 review period: November 17, 2016 Board Meeting Goal #1 Maintain safety and security of the District s customers and employees Goal #2 Maintain high service quality Goal #3 Ridership and revenue management Goal #4 Financial management Goal #5 Foster human resource and organizational development Goal #6 Advance key projects Goal #7 Executive Director and Board partnership Key accomplishments and activities included: Continued positive financial management results despite declines in customer ridership and revenue, and increased capital investment and costs in rail maintenance. Successful completion of negotiations and full execution of Amended and Restated Shared Use Agreement which resulted in increased maintenance payments to NCTD over a (5) five-year period. Updates of major safety and security plans to include System Safety Program Plan, System Security and Emergency Preparedness Plan, and Emergency Response Plan to comply with regulatory requirements and best industry practices. NCTD was one of 13 rail and mass transit agencies to receive the Transportation Security Administration Gold Standard Award for its strong transit security program and commitment to passenger security. Positive Train Control project remains under budget and has advanced to a stage to allow NCTD to submit its draft application for Revenue Service Demonstration (RSD). Staff Report No.: SR

46 ATTACHMENT: None Board members have reviewed the Executive Director s performance and provided feedback to support the final annual performance evaluation. The Executive Committee met in Closed Session, pursuant to Government Code , on October 4, 2016, to evaluate the Executive Director s performance for this rating period and determined that his overall performance relative to the above specified goals has exceeded expectations. The NCTD Board of Directors met in Closed Session, pursuant to Government Code , on October 20, 2016, to review the Executive Committee s recommendations as detailed below: Overall Performance Assessment Exceeds Expectations Based on that assessment and in accordance with his Employment Agreement, Mr. Tucker s annual salary shall be increased to $269,179 effective December 15, 2016 Award a one-time performance-based payment in the amount of 8% on the anniversary of Mr. Tucker s agreement Staff recommends that the Board approve the annual performance evaluation and compensation for the Executive Director per his employment agreement, to include an adjustment to annual salary and a one-time performance-based payment. FISCAL IMPACT: The FY2017 impact of this staff report is $40,726. The compensation is funded by non-federal Transit Administration funds, in the salary and wages and employee benefits accounts of the General Management Department 360, which have a combined FY2017 budget of $416,904. If the Board approves this staff report, the balance of these accounts will be reduced to $0. Future year salary and wages and employee benefits will be budgeted accordingly. COMMITTEE REVIEW: Date: Executive Committee October 4, 2016 STAFF CONTACT: Karen L. Tucholski, Chief Administrative Officer ktucholski@nctd.org Phone: November 17, 2016 Board Meeting Staff Report No.: SR

47 Agenda Item # 5 APPROVE CALENDAR YEAR 2017 BOARD CHAIR AND VICE-CHAIR NOMINATING COMMITTEE Time Sensitive X Consent X BOARD CHAIR RECOMMENDATION: BACKGROUND INFORMATION: The North Country Transit District s Board Chair recommends that the Board of Directors accept the Board Chair s recommendation for the calendar year 2017 Board Chair and Vice-Chair Nominating Committee. North County Transit District s (NCTD) Board of Directors (Board) Policy No. 2 states: ATTACHMENT: None The Board Chairperson and Board Vice-Chairperson shall be nominated each year by the Board at its December meeting based on the recommendations of a three-person nominating committee appointed by the Board Chairperson in November, with the concurrence of the full Board at that meeting. The Board Chairperson and Board Vice-Chairperson shall be subsequently elected by the Board at the January meeting of the Board of Directors, pursuant to Public Utilities Code The Board Chair s recommendation for the Nominating Committee for the 2017 calendar year selection of Board Chair and Vice-Chair is: 1. Bill Horn, Chair of Nominating Committee 2. Tony Kranz 3. Ed Gallo The Nominating Committee will report its nomination back to the Board at its December 15, 2016, meeting. Pursuant to Public Utilities Code , the Board cannot formally approve the selection of the Chair and Vice-Chair until its January 2017 meeting. FISCAL IMPACT: This staff report has no fiscal impact. COMMITTEE REVIEW: None STAFF CONTACT: Anthony Flores, Clerk of the Board aflores@nctd.org Phone: November 17, 2016 Board Meeting Staff Report No.: SR

48 Agenda Item # 6 AWARD CONTRACT NO TO TRISTAR INSURANCE GROUP FOR WORKERS COMPENSATION PROGRAM ADMINISTRATION SERVICES Time Sensitive Consent X STAFF RECOMMENDATION: BACKGROUND INFORMATION: Authorize the Executive Director to Award Contract No to Tristar Insurance Group, for Workers Compensation Program Administration Services for a five-year term, in an amount not-to-exceed $435,300. The North County Transit District (NCTD) is self-insured for Workers Compensation for up to $500,000. NCTD engages the services of a Third Party Administrator to oversee the day-to-day administration of the Workers Compensation program for professional services such as new claims processing and administration, medical review, legacy claim settlement and closure, and risk assessment. The current contract with Tristar Risk Management Services (Tristar) expires on December 31, NCTD issued a Request for Proposals (RFP) No on September 12, The solicitation closed on October 21, 2016, with three proposals being received as follows: Athens Administrators Baypointe Claims Services Tristar Insurance Group The three proposals were deemed responsive and were evaluated based on the following criteria: Work Plan Qualifications and Experience Proposed Staffing Cost Proposal The selection committee selected Tristar Insurance Group (Tristar) as the vendor providing the overall best value proposal to the District based upon qualifications and fair and reasonable cost. The proposed agreement is for an initial five-year term, with three (3) one (1) year options. Under the terms of the contract, Tristar will provide the following services: Claims Administration Medical review auditing services Managed care, including Utilization Review and Nurse Case Management Claims reserves review and management November 17, 2016 Board Meeting Staff Report No.: SR

49 Litigation management Claims adjustments/closure, including settlement recommendations as appropriate. Reporting, including the use of a Risk Management Information System Staff recommends that the Board authorize the Executive Director to award Contract No to Tristar Insurance Group, for Workers Compensation Program Administration services, for a five-year term, in an amount not-toexceed $435,300. Authorization to exercise any future extensions, if deemed in the best interest of NCTD, will be presented to the Board for consideration as appropriate at that time. ATTACHMENT: None FISCAL IMPACT: The total fiscal impact of this proposed contract action is $435,300 over eight (8) years, should all options be exercised. The FY17 contract action of $25,540 is for six (6) months, January 2017 through June 2017, and is funded in the FY17 operating budget with Federal Transit Administration (FTA) Preventive Maintenance (PM) funds matched with local Transportation Development Act (TDA) monies in accounts *, which collectively have an available budget of $37,500 for this scope of work. If the Board approves this proposed contract action, the available FY17 budget remaining in this account for this scope of work will be $11,960. Future fiscal year expenditures will be programmed in the respective fiscal year operating budgets as required. COMMITTEE REVIEW: STAFF CONTACT: None Karen Tucholski, Chief Administrative Officer ktucholski@nctd.org Phone: November 17, 2016 Board Meeting Staff Report No.: SR

50 Agenda Item # 7 AWARD CONTRACT NO TO SINGH GROUP, INC. FOR SYSTEM-WIDE LANDSCAPE MAINTENANCE SERVICES Time Sensitive Consent X STAFF RECOMMENDATION: BACKGROUND INFORMATION: Authorize the Executive Director to award Contract No to Singh Group, Inc. for system-wide Landscape Maintenance services in an amount not-toexceed $2,243,620, should all options be exercised. The North County Transit District (NCTD) requires a Landscape Maintenance contractor for system-wide landscape and irrigation maintenance for facilities, properties, and the railroad right-of-way. The scope of work includes treetrimming, plant and grass maintenance, irrigation maintenance, and pest and weed control in accordance with the NCTD Landscape Design and Maintenance Management Plan and Integrated Pest Management Plan. NCTD released an Invitation for Bid (IFB) on September 12, 2016 for Landscape Maintenance. NCTD received three (3) sealed bids on October 25, 2016 in response to the IFB. The bids were evaluated on price, responsiveness, and responsibility and Singh Group, Inc. was identified as the lowest responsive and responsible bidder. Should the Board approve this item, mobilization will begin on December 1, 2016, and services shall commence on December 18, The proposed Landscape Maintenance contract is a three-year contract with two (2) one-year options. The contract is structured in this way to ensure that NCTD is receiving the highest quality landscape maintenance services over the five-year period. Staff recommends that the Board authorize the Executive Director to award Contract No to Singh Group, Inc. for system-wide Landscape Maintenance in an amount not-to-exceed $2,243,620, should all options be exercised. ATTACHMENT: FISCAL IMPACT: None The total fiscal impact of this proposed contract action is $2,243,620 over five (5) years, should all options be exercised. The FY17 contract action of $344,817 is for seven (7) months, December 2016 through June 2017, and is funded in the FY17 operating budget with Federal Transit Administration (FTA) Preventive Maintenance (PM) funds matched with local Transportation Development Act (TDA) monies in accounts *.201, which collectively have an available budget of $1,072,179. If the Board approves this proposed contract action, the available FY17 budget remaining in this account will be $727,362. Future expenditures will be programmed in future fiscal year operating budget as required. November 17, 2016 Board Meeting Staff Report No.: SR

51 COMMITTEE REVIEW: STAFF CONTACT: None Andrew Bohnert, Chief Development Officer Phone: November 17, 2016 Board Meeting Staff Report No.: SR

52 Agenda Item # 8 AWARD CONTRACT NO TO AGRICULTURAL PEST CONTROL SERVICES FOR SYSTEM-WIDE PEST CONTROL Time Sensitive Consent x STAFF RECOMMENDATION: BACKGROUND INFORMATION: ATTACHMENT: None Authorize the Executive Director to award Contract No to Agricultural Pest Control Services for system-wide pest control in an amount not-to-exceed $121,208, should all options be exercised. The North County Transit District (NCTD) requires a Pest Control contractor for system-wide pest control for NCTD facilities and properties. The proposed scope of work includes pest control on the interior and exterior of NCTD facilities and properties, and implementation of a pest management program in accordance with the NCTD Integrated Pest Management Plan to achieve a pest- and vermin-free environment. NCTD released an Invitation for Bid (IFB) on September 16, 2016 for Pest Control. NCTD received three (3) sealed bids on October 28, 2016 in response to the IFB. The bids were evaluated on price, responsiveness, and responsibility and Agricultural Pest Control Services was identified as the lowest responsive and responsible bidder. Should the NCTD Board of Directors (Board) approve this item, mobilization will begin on December 1, 2016, and services shall commence on December 18, The proposed Pest Control contract is a one (1)-year contract with one three (3) -year option and one (1) one-year option. The contract is structured in this way to ensure NCTD is receiving the highest quality pest control services over the five-year period. Staff recommends that the Board authorize the Executive Director to award Contract No to Agricultural Pest Control Services for system-wide Pest Control in an amount not-to-exceed $121,208, should all options be exercised. FISCAL IMPACT: The total fiscal impact of this proposed contract action is $121,208 over five (5) years, should all options be exercised. The FY17 contract action of $13,318 is for seven (7) months, December 2016 through June 2017, and is funded in the FY17 operating budget with Federal Transit Administration (FTA) Preventive Maintenance (PM) funds matched with local Transportation Development Act (TDA) monies in accounts *.201, which collectively have an available budget of $633,890. If the Board approves this proposed contract action, the available FY17 budget remaining in this account will be $620,572. Future expenditures will be programmed in future fiscal year operating budget as required. COMMITTEE REVIEW: None STAFF CONTACT: Andrew Bohnert, Chief Development Officer abohnert@nctd.org Phone: November 17, 2016 Board Meeting Staff Report No.: SR

53 Agenda Item # 9 AWARD CONTRACT NO TO CANNON PACIFIC SERVICES, INC. FOR SYSTEM-WIDE PARKING LOT SWEEPING Time Sensitive Consent x STAFF RECOMMENDATION: BACKGROUND INFORMATION: Authorize the Executive Director to award Contract No to Cannon Pacific Services, Inc. for system-wide Parking Lot Sweeping in an amount not-toexceed $238,529, should all options be exercised. The North County Transit District (NCTD) requires a Parking Lot Sweeping contractor for system-wide sweeping and debris removal in parking lots, drive lanes, and curb lines at NCTD facilities and properties. The proposed scope of work includes sweeping, removal, and disposal of large and small debris, grass, sand, glass, and litter. ATTACHMENT: None NCTD released an Invitation for Bid (IFB) on September 16, 2016 for Parking Lot Sweeping. NCTD received two (2) sealed bids on October 28, 2016 in response to the IFB as follows: Vendor Bid Cannon Pacific Services, Inc. $238,529 Spectrum Facility Maintenance $291,024 The bids were evaluated on price, responsiveness, and responsibility and Cannon Pacific Services, Inc. was identified as the lowest responsive and responsible bidder. Should the Board approve this item, mobilization will begin on December 1, 2016, and services shall commence on December 18, The proposed Parking Lot Sweeping contract is a one-year contract with one (1) three-year option and one (1) one-year option. The contract is structured in a way to ensure that NCTD is receiving the highest quality service over the fiveyear period. Staff recommends that the NCTD Board of Directors (Board) authorize the Executive Director to award Contract No to Cannon Pacific Services, Inc. for system-wide Parking Lot Sweeping in an amount not-to-exceed $238,529, should all options be exercised. FISCAL IMPACT: The total fiscal impact of this proposed contract action is $238,529 over five (5) years, should all options be exercised. The FY17 contract action of $26,208 is for seven (7) months, December 2016 through June 2017, and is funded in the FY17 operating budget with Federal Transit Administration (FTA) Preventive Maintenance (PM) funds matched with local Transportation Development Act (TDA) monies in accounts *.201, which collectively have an available November 17, 2016 Board Meeting Staff Report No.: SR

54 COMMITTEE REVIEW: None budget of $727,362. If the Board approves this proposed contract action, the available FY17 budget remaining in this account will be $701,154. Future expenditures will be programmed in future fiscal year operating budget as required. STAFF CONTACT: Andrew Bohnert, Chief Development Officer Phone: November 17, 2016 Board Meeting Staff Report No.: SR

55 Agenda Item # 10 AWARD CONTRACT NO TO AZTEC LANDSCAPE, INC./AZTEC JANITORIAL FOR JANITORIAL SERVICES AT NCTD GENERAL ADMINISTRATIVE AND TREMONT FACILITIES Time Sensitive X Consent X STAFF RECOMMENDATION: BACKGROUND INFORMATION: Authorize the Executive Director to award Contract No to Aztec Landscape, Inc./Aztec Janitorial for Janitorial Services at NCTD General Administrative and Tremont Facilities in an amount not-to-exceed $236,484, should all options be exercised. The North County Transit District (NCTD) requires Janitorial Services for its General Administration Office (GAO) and Tremont Facilities. Janitorial Services for all other NCTD facilities are provided through Contract No for Operation and Maintenance of Transit Services (East Division and West Division) with First Transit Inc., and through Contract No for Rail Operational Facilities & Equipment Maintenance Services (COASTER rail operations facility, SPRINTER rail operations facility, Maintenance-of-Way facility, layover yard trailer, Santa Fe Depot, Old Town COASTER Station, Transit Centers, COASTER Stations and SPRINTER Stations) with Bombardier Transportation (Holdings) USA Inc. ATTACHMENT: None NCTD released an Invitation for Bid (IFB) on September 9, 2016 for Janitorial Services for its GAO and Tremont Facilities. NCTD received 7 sealed bids on October 25, 2016 in response to the IFB. The bids were evaluated on price, responsiveness, and responsibility, with Aztec Landscape, Inc./Aztec Janitorial identified as the lowest responsive and responsible bidder. Should the Board approve this item, mobilization will begin on December 1, 2016, and services shall commence on December 18, The proposed Janitorial Services contract is a one-year contract with four oneyear options. The contract is structured in this way to ensure NCTD receives the highest quality janitorial services over the five-year period. Staff recommends the Board authorize the Executive Director to award Contract No to Aztec Landscape, Inc./Aztec Janitorial for Janitorial Services at the General Administrative and Tremont Facilities in an amount not-to-exceed $236,484, should all options be exercised. FISCAL IMPACT: The total fiscal impact of this proposed contract action is $236,484 over five (5) years, should all options be exercised. The FY17 contract action of $26,774 is for seven (7) months, December 2016 through June 2017, and is funded in the FY17 operating budget with Federal Transit Administration (FTA) Preventive Maintenance (PM) funds matched with local Transportation Development Act (TDA) monies in accounts *.201, which collectively have an available November 17, 2016 Board Meeting Staff Report No.: SR

56 COMMITTEE REVIEW: None budget of $701,154. If the Board approves this proposed contract action, the available FY17 budget remaining in this account will be $674,380. Future expenditures will be programmed in future fiscal year operating budget as required. STAFF CONTACT: Andrew Bohnert, Chief Development Officer Phone: November 17, 2016 Board Meeting Staff Report No.: SR

57 Agenda Item # 11 AWARD CONTRACT NO TO JOHNSON CONTROLS FOR SYSTEM-WIDE HEATING, VENTILATION, AIR CONDITIONING AND REFRIGERATION MAINTENANCE Time Sensitive Consent x STAFF RECOMMENDATION: BACKGROUND INFORMATION: Authorize the Executive Director to award Contract No to Johnson Controls for system-wide heating, ventilation, air conditioning, and refrigeration (HVAC-R) Maintenance in an amount not-to-exceed $347,060, should all options be exercised. The North County Transit District (NCTD) requires an HVAC-R maintenance contractor to provide system-wide preventative maintenance and minor repairs at NCTD facilities. The proposed scope of work includes: the development of a maintenance management program with inspections and reporting in accordance with the NCTD Facility Management Plan, semi-annual preventative maintenance services, building balancing and climate control operations, and limited repair to HVAC-R systems, compressors, pneumatic systems and their components. ATTACHMENT: None NCTD released an Invitation for Bid (IFB) on September 19, 2016 for HVAC-R Maintenance Services. NCTD received one (1) sealed bid on October 31, 2016 in response to the IFB. The bid was evaluated on price, responsiveness, and responsibility and Johnson Controls was identified as the lowest responsive and responsible bidder. Should the Board approve this item, mobilization will begin on December 1, 2016, and services shall commence on December 18, The proposed HVAC-R Maintenance contract is a five-year contract with two (2) one-year options. The contract is structured in a way to ensure that NCTD is receiving the highest quality HVAC-R maintenance services over the five-year period. Staff recommends that the NCTD Board of Directors (Board) authorize the Executive Director to award Contract No to Johnson Controls for system-wide HVAC-R Maintenance in an amount not-to-exceed $347,060, should all options be exercised. FISCAL IMPACT: The total fiscal impact of this proposed contract action is $347,060 over seven (7) years, should all options be exercised. The FY17 contract action of $40,490 is for seven (7) months, December 2016 through June 2017, and is funded in the FY17 operating budget with Federal Transit Administration (FTA) Preventive Maintenance (PM) funds matched with local Transportation Development Act (TDA) monies in accounts *.201, which collectively have an available budget of $674,380. If the Board approves this proposed contract action, the available FY17 budget remaining in this account will be $633,890. Future November 17, 2016 Board Meeting Staff Report No.: SR

58 COMMITTEE REVIEW: None expenditures will be programmed in future fiscal year operating budget as required. STAFF CONTACT: Andrew Bohnert, Chief Development Officer Phone: November 17, 2016 Board Meeting Staff Report No.: SR

59 Agenda Item # 12 AUTHORIZE THE EXECUTIVE DIRECTOR TO FINALIZE AND EXECUTE AN EXHIBIT A FOR THE REPLACEMENT OF THE BUS WASH AT THE WEST DIVISION FACILITY Time Sensitive Consent x STAFF RECOMMENDATION: Authorize the Executive Director to finalize and execute an Exhibit A for the replacement of the bus wash at the West Division Facility pursuant to the First Amended and Restated Addendum 18 to the Master Memorandum of Understanding (MOU) between the San Diego Association of Governments (SANDAG), San Diego Metropolitan Transit System (MTS), and North County Transit District (NCTD) in an amount not-to-exceed $721,371. BACKGROUND INFORMATION: The two existing drive-through bus wash systems at the West Division Facility (303 Via Del Norte, Oceanside, CA) have been in service since The bus wash systems are exhibiting signs of extreme wear and have surpassed their useful life. The integrity of the bus wash systems has been compromised by cracks developing in the bus wash structural steel frames. Repair and refurbishment of the bus wash systems to full operating condition is no longer a viable alternative. The original equipment manufacturer of the existing bus wash systems has discontinued the production of steel frame bus washes and now only manufactures bus wash system framework from structural aluminum. ATTACHMENT: None NCTD staff has been working with SANDAG to develop a scope of work which includes the replacement of the bus wash systems and supporting equipment (Exhibit A). Engineering services will be necessary to finalize and detail the scope of work and will be included in the Exhibit A scope transferred to SANDAG. The estimated budget for the design and construction of the replacement is $750,000, of which $721,371 will be transferred to SANDAG under this proposed Exhibit A, and the remaining funds used to support NCTD project management costs. NCTD will be responsible for funding 100% of the project costs. SANDAG s as-needed engineering services and Job Order Contracting program were competitively procured using Federal Transit Administration (FTA) requirements, and staff believes that this approach is the most cost effective and timely method for implementing this replacement. Staff recommends that the NCTD Board of Directors authorize the Executive Director to finalize and execute an Exhibit A for the replacement of the bus wash at the West Division Facility pursuant to the First Amended and Restated Addendum 18 to the MOU between SANDAG, MTS, and NCTD in an amount not-to-exceed $721,371. November 17, 2016 Board Meeting Staff Report No.: SR

60 FISCAL IMPACT: The fiscal impact of the recommended action is an amount not-to-exceed $721,371. The Exhibit A is to be funded with Federal Transit Administration (FTA) and local Transportation Development Act 4.0 grant funds in project number which has a balance of $815,053. If the Board approves the recommended action, the project balance would be reduced to $93,682. COMMITTEE REVIEW: None STAFF CONTACT: Andrew Bohnert, Chief Development Officer abohnert@nctd.org Phone: November 17, 2016 Board Meeting Staff Report No.: SR

61 Agenda Item # 13 AWARD CONTRACT NO TO JENNETT COMPANY, INC. FOR STUART MESA COASTER FALL PROTECTION SYSTEM INSTALLATION SERVICES Time Sensitive Consent X STAFF RECOMMENDATION: BACKGROUND INFORMATION: Authorize the Executive Director to award Contract No to Jennett Company, Inc. for COASTER Fall Protection System Installation Services at Stuart Mesa Rail Maintenance Facility in an amount not-to-exceed $278,240. Currently, NCTD contracted mechanical workers work on top of railcars with fall protection gear connected to an existing overhead crane, which is typically utilized for other maintenance-related material and equipment-lifting work. While the existing fall protection process provides the required protection for the workers, the overhead crane is not utilized to its maximum capacity. In June 2015, NCTD executed a design and professional services task order through its on-call contract with PGH Wong Engineering, Inc., to evaluate the railcar maintenance activities and develop a permanent fall protection system that complies with the Occupational Safety and Health Administration (OSHA) regulations. The proposed railcar fall protection system includes a customized mobile ladder on top of the service platform and a total of six (6) swing arm fall arrest anchor systems to be installed on the north and south sides of the railcar service platform. On September 19, 2016, NCTD issued an invitation for bids (IFB) for the Stuart Mesa COASTER Fall Protection System Installation Services. On November 1, 2016, NCTD received two (2) sealed bids in response to the IFB. The bids were evaluated based on responsiveness, responsibility and price. A summary of the bids received is shown below: Bidder Name Bid Amount A.B. Hashmi, Inc. $222,980 Jennett Company, Inc. $278,240 On November 7, 2016, the lowest bidder, A. B. Hashmi, Inc., requested relief of bid due to clerical error. NCTD granted relief of bid in accordance with State of California Public Contract Code Section Staff recommends that the NCTD Board of Directors authorize the Executive Director to award Contract No to Jennett Company, Inc. for COASTER Fall Protection System Installation Services at Stuart Mesa Rail Maintenance Facility in an amount not-to-exceed $278,240. ATTACHMENT: None November 17, 2016 Board Meeting Staff Report No.: SR

62 FISCAL IMPACT: COMMITTEE REVIEW: STAFF CONTACT: The fiscal impact of this proposed contract action is $278,240. This project is funded with Federal Transit Administration (FTA) grant monies, with local Transportation Development Act funds as the requisite match, in project , which has a balance of $340,820 for this scope of work. If the Board approves this proposed contract action, the balance in this account for this scope of work will be reduced to $62,580. None Andrew Bohnert, Chief Development Officer abohnert@nctd.org Phone: November 17, 2016 Board Meeting Staff Report No.: SR

63 Agenda Item # 14 AUTHORIZE THE EXECUTIVE DIRECTOR TO FINALIZE AND EXECUTE AN EXHIBIT A FOR THE OCEANSIDE STATION PASS- THROUGH TRACK PROJECT Time Sensitive X Consent X STAFF RECOMMENDATION: BACKGROUND INFORMATION: Authorize the Executive Director to finalize and execute an Exhibit A for the Oceanside Station Pass-Through Track Project, pursuant to the First Amended and Restated Addendum 18 to the Master Memorandum of Understanding (MOU) between the San Diego Association of Governments (SANDAG), San Diego Metropolitan Transit System (MTS), and North County Transit District (NCTD) in an amount not-to-exceed $301,140. The Oceanside Station Pass-Through Track project will add a third track and crossovers in the City of Oceanside, connecting to the existing Oceanside Transit Center track at approximately Mile Post (MP) The new track is intended to accommodate Metrolink and/or COASTER trains and relieve congestion at the Oceanside Transit Center, resulting in improved on-time performance. The project includes the extension of the existing passenger boarding platform to the east of main track 1, in addition to the construction of a new platform located between the new track 3 and the SPRINTER line. SANDAG has established and amended a purchase order (PO) to reimburse NCTD to date for the actual costs incurred for engineering, design, construction, administrative support, and flagging. NCTD has requested the addition of several conduit runs during the platform construction to support the future installation of security cameras, dynamic messaging signs, paging speakers, wireless access points, and emergency systems, which represents the not-toexceed value of this Exhibit A. Staff recommends that the Board authorize the Executive Director to finalize and execute an Exhibit A for the Oceanside Station Pass-Through Track Project, pursuant to the First Amended and Restated Addendum 18 to the MOU between SANDAG, MTS, and NCTD in an amount not-to-exceed $301,140. ATTACHMENT: None FISCAL IMPACT: The fiscal impact of the recommended action is an amount not-to-exceed $301,140. The Exhibit A is to be funded with Federal Transit Administration (FTA) and local Transportation Development Act 4.0 grant funds in project number which has a balance of $301,140. If the Board approves the recommended action, the project balance would be reduced to $0. COMMITTEE REVIEW: None STAFF CONTACT: Andrew Bohnert, Chief Development Officer abohnert@nctd.org Phone: November 17, 2016 Board Meeting Staff Report No.: SR

64 Agenda Item # 15 AUTHORIZE ISSUANCE OF A PURCHASE ORDER TO DION INTERNATIONAL TRUCKS, LLC FOR THE PURCHASE OF ONE (1) DUMP BED TRUCK Time Sensitive X Consent X STAFF RECOMMENDATION: BACKGROUND INFORMATION: Authorize the Executive Director to issue a Purchase Order to Dion International Trucks LLC for the purchase of one (1) Dump Bed Truck in an amount not-toexceed $144,655. In March 2016, NCTD staff decommissioned the primary vehicle that met the dump bed and towing needs for NCTD rail fleet operations. This vehicle, originally purchased in 2000, had exceeded its useful life, requiring extensive repairs and maintenance to maintain safe operations. On September 12, 2016, NCTD issued an invitation for bid (IFB) for a replacement dump truck. On October 21, 2016, two (2) bids were received. Dion International Trucks, LLC was determined to be both responsive and responsible, and the lowest bid for this replacement dump truck. November 17, 2016 Board Meeting Staff Report No.: SR

65 ATTACHMENT: None Staff recommends the NCTD Board of Directors authorize the Executive Director to issue a Purchase Order to Dion International Trucks, LLC for the purchase of one (1) Dump Bed Truck in an amount not-to-exceed $144,655. FISCAL IMPACT: The fiscal impact of this proposed contract action is $144,655. This project is funded with Federal Transit Administration (FTA) grant monies, with local Transportation Development Act 4.0 funds as the requisite match, in project , which has a balance of $190,000 for this equipment purchase. If the Board approves this proposed contract action, the balance in this account for equipment purchases will be reduced to $45,345. COMMITTEE REVIEW: None STAFF CONTACT: Donald Filippi, Chief Operations Officer-Rail dfilippi@nctd.org Phone: November 17, 2016 Board Meeting Staff Report No.: SR

66 Agenda Item # 16 AUTHORIZE EXECUTIVE DIRECTOR TO EXECUTE TASK ORDER NO. 4 TO CONTRACT NO TO BOMBARDIER TRANSPORTATION (HOLDINGS) USA, INC. FOR THE REBUILD OF THREE (3) HEAD END POWER ENGINE/GENERATORS Time Sensitive X Consent X STAFF RECOMMENDATION: BACKGROUND INFORMATION: Authorize the Executive Director to execute Task Order No. 4 to Contract No to Bombardier Transportation (Holdings) USA, Inc. (Bombardier) for the rebuild of three (3) Head End Power engine/generators in an amount not-toexceed $310,130. The North County Transit District (NCTD) owns and operates five (5) F40 locomotives manufactured in 1994, and two (2) F59 locomotives manufactured in 2001, on the San Diego Sub-Division between Oceanside and San Diego. The F40 Locomotives are equipped with a Cummins KTA19 G2 Head End Power (HEP) Gen Sets and the F59 Locomotives are equipped with a Caterpillar 3412 HEP Gen Sets which supply power to the passenger cars that run the electrical systems, such as the HVAC system and vehicle lighting. HEP sets have an original equipment manufacturer (OEM) recommended service, which requires the complete tear down and rebuild of the mechanical and electrical components every ten (10) years to meet the demands of commuter service. NCTD owns one (1) spare Head End Power set for each locomotive type which allows the flexibility of continuing service while ensuring maintenance is performed as recommended by OEM standards. Currently, out of the stock of nine (9) Head End Power sets, six (6) are currently within tolerance and three (3) have an immediate need for maintenance which includes two (2) Head End Power Gen sets that have exceeded the 10-year manufacturer specifications for rebuild and one (1) that was damaged. Unit # Last Rebuild Due Date /1/2001 9/1/ /1/2005 4/5/2015 Spare 10/5/ /5/2014 The scope of work to repair the three (3) HEP sets currently needing maintenance and/or rebuilding was initially posted on Planet Bids on August 18, 2016 for which NCTD received a single bid response on October 7, 2016 in the amount of $498,522, which exceeded funding limits and the independent cost estimate. The bid was then cancelled and staff recommended the task order be issued to Bombardier per the terms of task order based Contract No as awarded by the Board of Directors on December 17, Contract allows NCTD the right to issue Task Order Agreements to Bombardier if it is in the best interests of NCTD to do so and is based on competitive pricing submitted with their proposal in response to RFP Completing this maintenance work supports the continued reliability of equipment and the state of good repair of these locomotives. November 17, 2016 Board Meeting Staff Report No.: SR

67 ATTACHMENT: None Staff recommends the Board of Directors authorize the Executive Director to execute Task Order No. 4 to Contract No to Bombardier Transportation (Holdings) USA, Inc. for the rebuild of three (3) Head End Power engine/generators in an amount not-to-exceed $310,130. FISCAL IMPACT: The fiscal impact of this proposed contract action is $310,130. This project is funded with Federal Transit Administration (FTA) grant monies, with local Transportation Development Act funds as the requisite match, in project , which has a balance of $311,024 for this scope of work. If the Board approves this proposed contract action, the balance in this account for this scope of work will be reduced to $894. COMMITTEE REVIEW: None STAFF CONTACT: Donald Filippi, Chief Operations Officer Rail dfilippi@nctd.org Phone: November 17, 2016 Board Meeting Staff Report No.: SR

68 Agenda Item # 17 AUTHORIZE THE EXECUTIVE DIRECTOR TO EXECUTE TASK ORDER NO. 3 UNDER CONTRACT NO TO BOMBARDIER TRANSPORTATION (HOLDINGS) USA, INC. FOR POSITIVE TRAIN CONTROL TESTING SUPPORT Time Sensitive Consent X STAFF RECOMMENDATION: BACKGROUND INFORMATION: Authorize the Executive Director to execute Task Order No. 3 under Contract with Bombardier Transportation (Holdings) USA, Inc. in an amount notto-exceed $605,848 for Positive Train Control testing support. The North County Transit District (NCTD) requires Positive Train Control (PTC) testing support to perform project implementation field testing activities along the NCTD San Diego Subdivision coastal corridor. The PTC testing support will include test trains, signal support services, flagging, and hy-rail pilot. The costs for non-base contract activities/work associated with PTC testing support was provided by all bidders in response to NCTD s Request for Proposals No for rail operation and maintenance services. Accordingly, the activities/work proposed were competitively procured and incorporated in Bombardier s Best and Final Offer dated November 16, 2015, which have been incorporated by reference into Contract No and approved by the NCTD Board of Directors (Board) on December 17, The costs for PTC testing support are listed below: Activity Test Trains (min 8 hrs. - max 12 hrs.) Signal Support Services Flagging Hy-Rail Pilot Cost $2,220/train $72.54/hour $68.52/hour $78.19/hour Staff recommends that the Board authorize the Executive Director to execute Task Order No. 3 under Contract with Bombardier Transportation (Holdings) USA, Inc. in an amount not-to-exceed $605,848 for Positive Train Control testing support. ATTACHMENT: FISCAL IMPACT: None The fiscal impact of this proposed contract action is an amount not-to-exceed $605,848. The PTC project is funded from Federal Transit Administration, Federal Railroad Administration, State, and local grant funds. A total of $87,292,969 has been budgeted in projects , , , and for PTC, which have a collective balance of $16,628,085 available for this scope of work. If the Board approves this proposed contract item, the available balance will be reduced to $16,022,237. November 17, 2016 Board Meeting Staff Report No.: SR

69 COMMITTEE REVIEW: STAFF CONTACT: None Eric Roe, Deputy Chief Operations Officer Rail Systems Phone: November 17, 2016 Board Meeting Staff Report No.: SR

70 Agenda Item # 18 AUTHORIZE THE EXECUTIVE DIRECTOR TO EXECUTE SOLE SOURCE CONTRACT NO WITH HNTB CORPORATION FOR POSITIVE TRAIN CONTROL PROGRAM MANAGEMENT Time Sensitive X Consent X STAFF RECOMMENDATION: BACKGROUND INFORMATION: Authorize the Executive Director to execute Sole Source Contract No with HNTB Corporation for Positive Train Control (PTC) program management in an amount not-to-exceed $2,300,000 In November 2015, the federally-mandated PTC implementation date was extended from December 31, 2015 to December 31, Based on the current schedule, the North County Transit District (NCTD) anticipates having its PTC Program certified by the Federal Railroad Administration (FRA) by March of 2018, with implementation closeout to be completed by December HNTB Corporation (HNTB) has been providing technical support for the PTC project since its inception. HNTB prepared the NCTD PTC implementation plan. HNTB also created the detailed Scope of Work for the PTC project and assisted NCTD with the procurement of PTC contractors, and the review of technical deliverables by the proposer s design teams. HNTB s program management personnel has developed a unique expertise regarding NCTD s railroad PTC system as they support PTC program oversight, including program management, quality management, document control, cost control, schedule control, risk management, and systems engineering technical support. Given HNTB s experience with NCTD s PTC Program, and that the project is approaching critical milestones towards completion, staff has determined that it is both efficient and cost effective to continue to contract with for PTC Program Management. NCTD negotiated with HNTB and was able to negotiate cost savings of $103, 212 by reducing the overall profit rate. The proposed contract action in this staff report will continue HTNB s support for PTC development and implementation through December The project management expertise for this extended period is anticipated to not exceed the $2,300,000 requested. NCTD staff will continue to provide oversight of HNTB to ensure program needs are met and that contractor staffing levels and costs are effectively managed. Staff recommends that the Board authorize the Executive Director to execute Sole Source Contract No with HNTB Corporation for Positive Train Control (PTC) program management in an amount not-to-exceed $2,300,000. ATTACHMENT: None November 17, 2016 Board Meeting Staff Report No.: SR

71 FISCAL IMPACT: COMMITTEE REVIEW: STAFF CONTACT: The fiscal impact of this proposed contract action is $2,300,000. The PTC project is funded with Federal Transit Administration (FTA) 5307, Federal Railroad Administration (FRA), state, and local grant funds. A total of $87,292,969 has been budgeted in projects , , , and for PTC, which have a collective balance of $16,628,085 available for this scope of work. If the Board approves this proposed contract item, the available balance will be reduced to $13,722,237. None Eric Roe, Deputy Chief Operating Officer - Rail Systems eroe@nctd.org Phone: November 17, 2016 Board Meeting Staff Report No.: SR

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74 Agenda Item # 20 ADOPT RESOLUTION NO CERTIFYING NORTH COUNTY TRANSIT DISTRICT INCUMBENTS AUTHORIZED TO TAKE THE NECESSARY ACTIONS AND EXECUTE THE NECESSARY DOCUMENTS RELATED TO THE BANK OF NEW YORK MELLON TRUST Time Sensitive X Consent X STAFF RECOMMENDATION: BACKGROUND INFORMATION: Adopt Resolution No certifying the North County Transit District incumbents authorized to provide written direction/ confirmation, receive callbacks at their designated NCTD telephone number, and execute documents in connection with all corporate trust transactions to which the North County Transit District is a party with BNY Mellon. In February 2003, the North County Transit District (NCTD) and the US Department of Transportation, acting through the Federal Transit Administration (FTA), executed a full funding grant agreement (FFGA) providing a federal contribution of $152.1 million to the SPRINTER project. The FFGA required a local contribution as a match for the federal dollars. Of this local contribution, $80 million was funded with State of California (State) Transportation Congestion Relief Program (TCRP) monies. Subsequent to the execution of the FFGA, the State suspended TCRP allocations, which created a cash shortfall for the SPRINTER project. On July 15, 2004, the NCTD Board of Directors (Board) adopted Resolution No authorizing the Executive Director to execute the necessary documents to issue debt in the form of Certificates of Participation (COPs) to fund the shortfall created by the suspension of the State TCRP allocations. One of the documents executed under this Board authority was a Trust Agreement with BNY Western Trust Company (now known as The Bank of New York Mellon [BNY Mellon, Trustee]). As Trustee, BNY Mellon accepts 2004 COPs principal and interest payments from NCTD, and holds these principal and interest payments in short-term investment vehicles until distributed to the debt holders. On October 14, 2016, the U.S. Securities and Exchange Commission (SEC) adopted money market reform rules intended to strengthen the resiliency of money market funds during periods of severe market stress. These new rules require NCTD open a new money market mutual fund through BNY Mellon that meets these recently promulgated SEC guidelines, as well as qualifying as a permitted investment under the COP covenants and NCTD Board Policy No. 09 Investment Policy. BNY Mellon requires the Board adopt a resolution certifying the NCTD incumbents authorized to execute the necessary documents for all trust-related actions, including the opening of this new money market mutual fund. Staff recommends the Board adopt Resolution No certifying the North County Transit District incumbents authorized to provide written direction/ confirmation, receive callbacks at their designated NCTD telephone number, and execute documents in connection with all corporate trust transactions to which the North County Transit District is a party with BNY Mellon. November 17, 2016 Board Meeting Staff Report No.: SR

75 ATTACHMENT: 20A Draft Resolution No BNY Mellon Incumbency Authorization FISCAL IMPACT: This Board action has no fiscal impact. COMMITTEE REVIEW: None STAFF CONTACT: Luz Cofresí-Howe, Chief Financial Officer Phone: November 17, 2016 Board Meeting Staff Report No.: SR

76 ATTACHMENT 20A RESOLUTION NO RESOLUTION OF THE BOARD OF DIRECTORS OF THE NORTH COUNTY TRANSIT DISTRICT CERTIFYING NORTH COUNTY TRANSIT DISTRICT INCUMBENTS AUTHORIZED TO TAKE THE NECESSARY ACTIONS AND EXECUTE THE NECESSARY DOCUMENTS RELATED TO THE BANK OF NEW YORK MELLON TRUST WHEREAS, on July 15, 2004, the North County Transit District (NCTD) Board of Directors adopted Resolution No authorizing the Executive Director to execute the necessary documents to issue debt in the form of Certificates of Participation to support the construction of the SPRINTER project; and WHEREAS, as authorized by the Board of Directors, the Executive Director subsequently executed all the necessary documents for the execution, delivery and sale of $114,000,000 Certificate of Participation 2004 Series A1 and 2004 Series A2 [North County Transit District SPRINTER Project] (2004 COPs), including a Trustee Agreement with BNY Western Trust Company (now known as The Bank of New York Mellon [BNY Mellon]); and WHEREAS, the Trustee Agreement appointed BNY Mellon as Trustee, with the responsibility to accept principal and interest payments from NCTD for the 2004 COPs, and hold these principal and interest payments in short-term investment vehicles until distributed to the debt holders; and WHEREAS, On October 14, 2016, the U.S. Securities and Exchange Commission (SEC) adopted money market reform rules intended to strengthen the resiliency of money market funds during periods of severe market stress; and WHEREAS, this requires NCTD to open a new money market mutual fund through BNY Mellon that meets these recently promulgated SEC guidelines, as well as qualifying as a permitted investment under the 2004 COPs covenants and NCTD Board Policy No. 09 Investment Policy; and WHEREAS, BNY Mellon requires the Board to adopt a resolution certifying the NCTD incumbents that are authorized to execute the necessary documents for all trust-related actions, including the opening of this new money market mutual fund; and WHEREAS, the NCTD wishes to delegate authorization to execute these documents and any amendments thereto to the Executive Director and Chief Financial Officer; and WHEREAS, the North County Transit District also wishes to certify the North County Transit District incumbents authorized to provide written direction/confirmation, receive callbacks at their designated NCTD telephone number, and execute documents in connection with all corporate trust transactions to which NCTD is a party with BNY Mellon.

77 NOW, THEREFORE, BE IT RESOLVED that the Board of Directors of the North County Transit District hereby delegates authorization to execute the necessary documents for all trust-related actions, including the opening of this new money market mutual fund to the Executive Director and Chief Financial Officer. BE IT FURTHER RESOLVED that the Board of Directors of the North County Transit District also certifies the North County Transit District incumbents that are authorized to provide written direction/confirmation, receive callbacks at their designated NCTD telephone number, and execute documents in connection with all corporate trust transactions to which the North County Transit District is a party with BNY Mellon as follows: Matthew O. Tucker, Executive Director Luz Cofresí-Howe, Chief Financial Officer BE IT FURTHER RESOLVED that insofar as the provisions of any Ordinance, Resolution, document or previous action of the Board and/or the Executive Director, prior to the date of this Resolution, are inconsistent with the provisions of this Resolution or any policy adopted by this Resolution, this Resolution and the Board Policy adopted herein shall control. PASSED, APPROVED AND ADOPTED at the regular meeting of the Board of Directors of the North County Transit District this 17 th day of November CERTIFICATION CHAIRMAN North County Transit District I, Anthony Flores, duly appointed and qualified, Clerk of the Board of the North County Transit District, do hereby certify that the above is a true and correct copy of a resolution passed and approved by the Board of Directors of the North County Transit District adopted at a legally convened meeting of the Board of Directors of the North County Transit District held on the 17 th day of November, CLERK OF THE BOARD North County Transit District Page 2 of 2

78 Agenda Item # 21 AUTHORIZE THE EXECUTIVE DIRECTOR TO EXECUTE SUPPLEMENTAL AGREEMENTS TO CONTRACT NOS AND WITH BOMBARDIER TRANSPORTATION (HOLDINGS) USA, INC. TO RESTRUCTURE THE INDEMNIFICATION AND INSURANCE PROVISIONS Time Sensitive Consent X STAFF RECOMMENDATION: BACKGROUND INFORMATION: Authorize the Executive Director to execute supplemental agreements to Contract Nos and with Bombardier Transportation (Holdings) USA, Inc. to restructure the indemnification and insurance provisions. It is standard practice in the commuter rail industry for agencies that contract for rail operations and maintenance services to provide general railroad liability insurance and to indemnify the contractor for its operations, except for accidents/incidents that are caused by gross negligence or willful misconduct. This was also the North County Transit District s (NCTD or District) practice in prior contracts with Transit Services America, Inc. for COASTER operations and maintenance, and with Transdev for SPRINTER operations and maintenance. In the development and issuance of the procurement that resulted in a contract award to Bombardier, NCTD specified an insurance and indemnification program that would allocate risk to the Contractor to align with the operations and maintenance requirements specified in Contract Nos OS and OS. Under this insurance and indemnification model, NCTD expected the costs and risks associated with NCTD rail operations and maintenance would be allocated to the Contractor insurance program by the insurance market. Consequently, as the winning proposer, Bombardier was required to obtain $200 million in general rail liability insurance and to name NCTD as an additional insured. Additionally, Bombardier was required to provide automobile insurance and property insurance to cover potential costs of damage to NCTD property and or equipment. The insurance requirement provides for losses against claims for injuries to persons or damage to property which may arise from or in connection with the work by the Contractor under the Rail Contract ( Claims ). In conjunction with the insurance liability, the Contractor was to defend and indemnify NCTD for all claims, including the administrative processing of Claims. The cost of the insurance required under the Rail Contract was negotiated as a straight pass-through to NCTD with no overhead or profit in the amount of $1,555,086 for all insurance premiums during Year 1 of the Rail Contract. For subsequent years of the Rail Contract, this amount is to be increased solely by the inflation factor as applicable in the Rail Contract; any yearly increase/decrease in insurance premiums would be equally shared by NCTD and Bombardier. The insurance premiums are payable by NCTD at the time such insurance premiums are to be paid by Bombardier (i.e. at proof of purchase, or at yearly renewals for each insurance policy). November 17, 2016 Board Meeting Staff Report No.: SR

79 Bombardier further agreed to defend, indemnify and hold harmless NCTD against any claims for injury or death to its employees, agents and/or subcontractors of Bombardier and its subcontractors employees and agents, and to assume liability for NCTD in all claims, lawsuits or actions against NCTD and Bombardier as of the effective date of the Rail Contract, which includes the obligation to investigate, handle, respond to and provide defense for and defend any such claims. It was agreed by both parties that NCTD would not hold harmless or indemnify Bombardier for any liability whatsoever. This indemnity obligation of Bombardier was secured by the insurance as described above. Once Bombardier and NCTD began to implement the Rail Contract and acquire the required insurance coverage, it became clear that the unique market around the rail liability insurance component was making the obligations of the parties both costly and duplicative. NCTD maintains $295 million of rail liability insurance to cover the statutory cap pursuant to of the FAST Act of 2015 and the Department of Transportation Notice provided in January of 2016 (81 CFR 1289). In addition, NCTD is required to maintain $295 million in rail liability insurance as a condition of the Amended and Restated Shared Use Agreement (SUA) with BNSF Railway and the San Diego Metropolitan Transit System (MTS). This is an obligation of the District and cannot be contracted to a third party. The insurance obligations of the current Rail Contract also require significant insurance coverage ($200M) for essentially the same underlying liability rail passenger transportation and related operations. It is this underlying (singular) rail operations obligation that gives rise to the main issue that has arisen with the current insurance and indemnity structure. In essence, the insurance market is limited in the amount of liability/risk it will assume and there is insufficient capacity within the market to provide coverage for both NCTD and Bombardier for rail liability up to $295 million for the same risk. The policy ultimately obtained by Bombardier utilized several of the same underlying insurers as NCTD, which created what is known as a stacking or overline issue in the market. The fundamental issue with stacking is that the same insurance market is securing the potential losses of both NCTD ($295M) and Bombardier under the Rail Contract ($200M). This stacking of coverage was deemed unacceptable by the insurance markets, and NCTD and Bombardier were only allowed to obtain the coverage for a limited time to meet the obligations of the Rail Contract and determine how to resolve the issue. The potential solutions were limited to: (1) requiring Bombardier to obtain insurance coverage from an alternate market; or (2) revise the Rail Contract to allow Bombardier to fall under NCTD s insurance coverage. Proposed Modifications to Insurance and Indemnity Structure The first option was explored and deemed far too costly, as the insurance market for rail liability in the amount required is currently saturated. Bombardier would have been required to reach out to smaller markets and obtain policies which were significantly more expensive than the $1,555,086 provided above. As this is a direct pass-through, NCTD would bear that increased cost. The second option was to revise the Rail Contract insurance and indemnity provisions to require NCTD to provide the rail liability insurance and add Bombardier as a named insured under the policy NCTD must maintain under the SUA. NCTD would assume the claims liability obligations, similar to the prior rail operations contract with Transit America Services Inc. This option is the staff November 17, 2016 Board Meeting Staff Report No.: SR

80 ATTACHMENT: recommendation, and is reflected in the proposed supplemental agreements for Contract Nos and By structuring the proposed supplemental agreements for Contract Nos and in this manner, NCTD eliminates the pass-through insurance costs, saving over $1.5 million dollars per year, and resolves the insurance stacking issue identified by the insurance markets and NCTD s insurance broker. Through this restructuring, NCTD will be required to assume the claims liability responsibilities except where the claim is arising from Bombardier s excluded conduct (i.e. gross negligence or willful misconduct) as provided in the attached supplemental agreements. Under the terms of the proposed supplemental agreements, NCTD would release Bombardier of most of its insurance coverage requirements, with the exception of some limited pollution liability and automobile liability coverage. Bombardier would be responsible for any damage it causes to non-revenue vehicles, as well as any property damage to the facilities it controls under the Rail Contract. NCTD would provide rail liability coverage to Bombardier under its existing policy, and would assume liability for property damage and bodily injury claims arising from the operations of the SPRINTER and COASTER rail services, subject only to the limitations of excluded conduct. The terms of the proposed supplemental agreements would commence on December 15, 2016, concurrent with the NCTD comprehensive general liability/rail liability insurance renewal. Until December 15, 2016, NCTD would continue to be covered under the current indemnity and insurance terms under the executed contract with Bombardier, with all claims liability resting with Bombardier. Any claims which arise from the period when operational control commenced in June 2016 until December 15, 2016, would continue to be the obligation of Bombardier. NCTD would still be obligated to pay the insurance premium pass-through for the approximate six (6) month period (June 18 th December 31, 2016) and an early termination penalty which in total is anticipated to be approximately $894,818. For the foregoing reasons, staff recommends the Board authorize the Executive Director to execute supplemental agreements to Contract Nos and with Bombardier Transportation (Holdings) USA, Inc. to restructure the indemnification and insurance provisions. None FISCAL IMPACT: The fiscal impact of this proposed contract action is a cost savings of $660,268 (contractually obligated insurance pass-through amount of $1,555,086 minus $894,818 for the pass-through insurance premium and associated early termination penalty for the period June-December 2016). In addition, there will be costs associated with the administration of claims which, based on the last ten (10) year loss run for rail operations, are expected to be nominal. NCTD will realize an estimated cost savings of the yearly insurance premium pass-through of approximately $1,555,086 on an annual basis for contract years 2017 through termination. COMMITTEE REVIEW: STAFF CONTACT: None. Lori A. Winfree, General Counsel lwinfree@nctd.org Phone: November 17, 2016 Board Meeting Staff Report No.: SR

81 Agenda Item # 22 RECEIVE THE QUARTERLY POSITIVE TRAIN CONTROL REPORT STAFF RECOMMENDATION: BACKGROUND INFORMATION: Time Sensitive Consent X Receive the Quarterly Positive Train Control (PTC) report for the quarter ending September 2016 The Quarterly PTC Report provides status on the progress of the North County Transit District s PTC program with updates on program management; program progress with a schedule rollup, milestone and deliverable by major tasks; and cumulative financial expenditures. ATTACHMENT: 22A PTC Quarterly Report for Quarter ending September 2016 FISCAL IMPACT: This staff report has no fiscal impact. COMMITTEE REVIEW: None STAFF CONTACT: Eric Roe, Deputy Chief Operations Officer Rail Systems eroe@nctd.org Phone: November 17, 2016 Board Meeting Staff Report No.: SR

82 POSITIVE TRAIN CONTROL Quarterly Report Quarter Ending September 30, 2016

83 CONTENTS 1. EXECUTIVE SUMMARY Project Overview PTC Inter-Agency Coordination PTC Operations and Maintenance Scope of Work Overview Key Issues WRE s Individual Composite CRC (Cyclic Redundancy Check) Calculator (IC3) Documentation Schedule Testing PROGRAM MANAGEMENT Integration Management Program Governance Program Control Change Management Program/Project Management Information Systems Scope Management Configuration Control Management Quality Management Quality Plans Deficiency Notices (DN), Nonconformance Reports (NCR), Corrective Action Reports (CAR) PTC Quality Audits and Surveillances Corrective Action Reports (CAR) Quality Tasks Risk Management Stakeholder and Communications Management PROGRAM SAFETY PROGRAM PROGRESS Critical Path POSITIVE TRAIN CONTROL CONTRACTS AND STATUS EXPENDITURES / FUNDING SOURCES Expenditures Funding Sources NCTD PTC Monthly Report Quarter Ending September 30, 2016 Page i

84 7. PROJECT PHOTOS APPENDIX A: ABBREVIATIONS NCTD PTC Monthly Report Quarter Ending September 30, 2016 Page ii

85 1. EXECUTIVE SUMMARY 1.1. Project Overview North County Transit District (NCTD) is implementing an interoperable Positive Train Control (PTC) System on the San Diego Subdivision where passenger and freight operations are conducted (as set forth in the Rail Safety Improvement Act of 2008 (RSIA08) and 49 CFR 236 Subpart I). The purpose of a PTC System is to prevent the following: Train-to-train collisions Over speed accidents Incursion into work zones Movements through a misaligned switch by requiring automatic control systems to override mistakes by human operators This PTC System will be designed and implemented to follow the standard and guidelines established by the Interoperable Train Control (ITC) Committee. The ITC Committee is comprised of the four largest US freight railroads BNSF Railway, CSX, Norfolk Southern Railway (NS), and Union Pacific Railroad (UPRR). The NCTD goal for PTC implementation is the extended December 31, 2018 completion date as stipulated in the Surface Transportation Extension Act of In August 2011, NCTD procured a Vendor/Integrator contractor, Herzog Technologies Inc. (HTI), to design, install, commission, and maintain the PTC System. In addition to and in advance of the implementation of the PTC System, NCTD has assumed the management control of the San Diego Subdivision by installing a new computer-aided dispatch system, Train Management and Dispatching System (TMDS), and assumes responsibility for railroad dispatching. Previously, NCTD s dispatching was managed by Southern California Regional Rail Authority (SCRRA) using the DIGICON CTC system. NCTD awarded a contract to HTSI for CTC installation and dispatch services. The San Diego Subdivision dispatch cutover was April 2012, and the Escondido Subdivision dispatch cutover was December The new PTC system will be located at the Rail Operations Center (ROC) within the Sprinter Operations Facility (SOF) in Escondido CA. NCTD s General Administration Office (GAO) has been identified as a second location to provide geographic redundancy for both the command and control functions as well as the PTC back office functions. Once the Operations Control Center at GAO has been fully built out, GAO will be transitioned to the primary location with the ROC becoming the backup center PTC Inter-Agency Coordination Inter-Agency Coordination is one of the keys for successful implementation of the project. The PTC system must be fully and mutually compatible with host and tenant railroads. Interoperability will enable safe operation of mixed freight and passenger services to allow seamless uninterrupted movement among different host railroads. Interoperability shall be based on the ITC Committee standard and guidelines, and member governance currently in development by the UPRR, BNSF Railway, CSX, and NS. Host and tenant railroads may also execute Interoperability Agreements, which are envisioned as being similar to Shared Use Agreements. NCTD has executed Interoperability Agreements with BNSF Railway (April 2010), SCRRA (April 2010), Amtrak (March 2010) and Pacific Sun Railroad (August 2010). The San Diego Subdivision rail corridor is 60.3 miles in length from the Orange County/San Diego County line (MP 207.4) to 200 feet south of Broadway Street in San Diego (MP 267.7). NCTD PTC Monthly Report Page 1 of 28 Quarter Ending September 30, 2016

86 The entire line is signaled CTC territory with 50% of the territory having segments of multiple main track and passing sidings. Passenger train operations on the corridor are COASTER (22 trains/weekday), Amtrak Pacific Surfliner intercity service (22-24 trains/day), and SCRRA Metrolink commuter rail services (up to 14 trains/day). Freight service on the Subdivision is BNSF Railway (4-6 trains/day) and Pacific Sun Railroad (5-10 trains/week). NCTD's COASTER service operates between the Oceanside Transit Center in Oceanside (MP 226.4) and Santa Fe Depot in San Diego (MP 267.5). NCTD s Maintenance facility is located at Stuart Mesa (MP 221.9), north of Oceanside on Camp Pendleton. This yard is also used by SCRRA Metrolink. A layover facility is located at the San Diego Trolley Yard (MP 268.4) at 12th and Imperial in Centre City San Diego where COASTER train sets are stored during midday. In addition to the NCTD COASTER service area, the tenant railroads use the corridor as follows: Amtrak's Pacific Surfliner Service - Entire subdivision, BNSF Railway - Entire subdivision, SCRRA's Metrolink Orange County Line - From Oceanside to the Orange County Line, BNSF Railway s contracted operator Pacific Sun Railroad, a Watco Company - Local freight service operating between Stuart Mesa Maintenance Facility and Miramar freight spur, and Escondido Subdivision with occasional trips to San Onofre near the Orange County Line. NCTD has organized monthly interoperability calls that include the Federal Railroad Administration (FRA), Caltrans Division of Rail, Pacific Sun, Southern California Regional Rail Authority (SCRRA), BNSF Railway, and Amtrak. NCTD also attends the LA Regional PTC Conference quarterly meeting hosted by SCRRA and attended by BNSF Railway, UPRR and Amtrak PTC Operations and Maintenance HTI was selected as NCTD s Vendor/Integrator, and included in their proposal was an option for PTC System Maintenance Services for a base period of five years with an additional fiveyear option. Should this option be exercised, HTI would be responsible for maintenance of back-office PTC systems, on-board equipment on locomotives and cab cars, communications equipment at other base station locations, and Roadway Worker Protection (portable) equipment. At the time of award, the total original contracted amount was $32,819,671. The estimated cost for the base period of five years maintenance would be an additional $5,629,042, with a second five-year maintenance period at a cost of an additional $6,624,426. The maintenance scope and fee will need to be revisited as the project progresses. For the purpose of the Office Maintenance Services, the office includes back office and network management equipment. For the office maintenance, HTI would provide a technology refresh of the hardware and technology as part of the scheduled maintenance during year four of both the five-year contract and the optional five-year contract. The technology refresh would consist of replacing the back office hardware, software, and firmware with the latest proven operating platform, subject to NCTD approval. NCTD PTC Monthly Report Page 2 of 28 Quarter Ending September 30, 2016

87 1.2. Scope of Work Overview HTI and its subcontractors are solely responsible for designing and implementing a PTC system that meets FRA and other applicable requirements and is FRA approved for NCTD rail operations. HTI is required to follow the Positive Train Control Development Plan (PTCDP) submitted by the NS, CSX, and UPRR railroads and utilize it as the basis for the NCTD PTC system. This PTCDP, revised on June 1, 2011 and subsequently approved by the FRA on August 26, 2011, is known as Interoperable Electronic Train Management System (I-ETMS). HTI and its subcontractors are scoped to be following the I-ETMS Rung 1 model, which fully adheres to AAR/ITC standards and specifications, while designing the NCTD PTC system. This is in an effort to ensure FRA required "type approval" as well as streamlining the final FRA acceptance process. Any deviations from I-ETMS functionalities will require Request(s) for Amendment (RFA) to the FRA and may extend the timeline for FRA acceptance. The Contract has been awarded as a single Contract to be executed in two phases (based on available funding). Phase I includes the initial surveys, studies, and all design work necessary to amend the PTCDP submitted by NS, CSX, and UP to the FRA. Phase 2 includes all other work necessary for the design, installation and implementation of the PTC system. The PTC System is scoped to be completed by December 31, 2018 in accordance with the Surface Transportation Extension Act of 2015, and must be compliant with standards and specifications developed by the ITC Committee for forthcoming publication by the Association of American Railroads (AAR). Safety is paramount. Consideration must also be given during the PTC System design to the NCTD level of service. The throughput (capacity) of the commuter railroad system must be maintained after PTC deployment, and the PTC System needs to support future capacity improvements and ridership growth. a. Phase 1 HTI is scoped to: i. Perform the necessary studies and surveys; attend meetings; and perform the engineering analysis, design and systems engineering necessary to amend the PTCDP per the RFA procedural requirements of 49 CFR HTI is scoped to provide all documentation, research, validation and verification services to ensure a "Type- Approved" system is provided to NCTD prior to commissioning. ii. Provide for the development and submittal of a project schedule and planning for each task of the overall PTC program. HTI is scoped to develop a design, procurement and installation milestone schedule and plan construction, testing, and certification of the specified NCTD PTC System for full deployment in accordance with the milestones and deadlines established by NCTD. As part of HTI's coordination with tenant railroads, HTI shall prepare and submit an Interoperability Coordination Plan (ICP). iii. Provide services necessary to perform detailed onboard surveys: a. Perform data collection subtasks for onboard systems. These data shall be used in designing the removal, relocation, and installation of on board systems (both existing and new systems). b. Develop and submit a Locomotive Survey Report and a Cab Car Survey Report. The survey report is intended to identify probable equipment mounting locations NCTD PTC Monthly Report Page 3 of 28 Quarter Ending September 30, 2016

88 b. Phase 2 for all Interoperable-Electronic Train Management System (IETMS) system components, create the preliminary BOM, measure probable cable lengths required, and identify probable relocations of existing equipment. c. Develop and submit a preliminary Bill of Materials (BOM) and a baseline Installation and Relocation manual and schematics for each locomotive, cab car, and Hy-Rail vehicle type. Upon issuance of the second NTP for Phase 2 by NCTD, HTI is scoped to: i. Continue with the development, procurement, and installation of the PTC System for NCTD's PTC program. ii. Prepare all required documents for submittal to and approval by the FRA, including the PTC Safety Plan (PTCSP). iii. Provide a complete functional PTC System in accordance with the Contract Documents in compliance with the NCTD approved milestone schedule. The system is scoped to include wayside, onboard, radio communications network, and back office server segments. iv. Develop an installation milestone schedule. v. Plan construction, testing, and certification of the specified NCTD PTC System including full deployment. vi. Complete an initial design incorporating all PTC System components, including pre-ptc equipment. The PTC System proposed shall be based on NCTD's PTCIP deferred track area of the San Diego Subdivision. vii. Be responsible for ensuring proper systems engineering processes, systems integration, system function, and correct sub-systems interaction for all aspects of the NCTD PTC System and its inter-relationships, inter-dependencies, and interfaces with other equipment and systems. The furnished PTC System shall be interoperable with the PTC Systems that are being deployed in Southern California by SCRRA and BNSF. Interoperability refers to the ability of trains to cross property boundaries under PTC at territory speed without stopping to acquire authorities. The PTC System shall also require direct or throughput communications among the PTC offices of NCTD, SCRRA, and BNSF. viii. Coordinate all PTC activities with the FRA and the California Public Utilities Commission (CPUC) as necessary. ix. Establish a safety program that conforms with the requirements of 49 CFR 236 Parts 214, 218, 219, CPUC General Orders, and NCTD Operating Rules; and obtain roadway worker safety training certification for all HTI and supplier, subcontractor and subconsultant personnel who may enter the NCTD San Diego Subdivision and project right-of way. Figure 1.1 provides an overview of the NCTD PTC System Architecture. NCTD PTC Monthly Report Page 4 of 28 Quarter Ending September 30, 2016

89 Figure 1.1: NCTD PTC System Architecture 1.3. Key Issues This section describes the key issues that are contributing to, or have the potential to contribute to, schedule slippage WRE s Individual Composite CRC (Cyclic Redundancy Check) Calculator (IC3) IC3 requirements are in development by the ITC, and the functionality will be required by the FRA for PTC Certification. The schedule for implementing IC3 is under discussion with the proposal anticipated to be finalized and negotiated in Documentation Documentation is a continued focus Schedule The schedule updates submitted by the Contractor in 2015 and 2016 continue to raise concerns for the NCTD team. NCTD continues to work with the Contractor on the schedule Testing Software version changes and related regression testing may impact the schedule. 2. PROGRAM MANAGEMENT 2.1. Integration Management This section describes the status of integration management, program governance, program controls, change management process, and program/project management information systems. NCTD PTC Monthly Report Page 5 of 28 Quarter Ending September 30, 2016

90 Program Governance The governance for the PTC program is organized as follows: NCTD Organization Deputy Chief Operating Officer Rail Systems: Eric Roe Chief Technology Officer: Ryan Cashin Chief Financial Officer: Ryan Bailey Chief of Safety: Don Filippi Deputy Chief Operating Officer Rail Operations: Damon Blythe Senior Network Engineer: Roy Gilbert Rail Systems Engineer: Robert Paladino Right of Way Officer: Tim Morehead HNTB Organization PTC Program/Construction Manager: Mary Holland Document Control Coordinator: Cara Smith Business Manager/Scheduler: Robert Hartley PTC Quality Manager: Mike Phillips PTC Quality Inspector: Patrick Malley Program Control The PTC program has had over 21 active vendor-implemented projects. The status of selected projects is described in Section 5 of this report Change Management The changes that are currently in process for the active vendor-implemented projects include: PTC for the LOSSAN Corridor (PO # OS) Herzog Technologies, Inc. A potential change order is in process that includes the addition of scope associated with the implementation of IC3. A potential change order is in process that includes the dynamic braking in the event recorder download. A potential change order is in process that includes the ElectroLogIXS/EC5 in the PTC documentation. ElectroLogIXS/EC5 are being installed at intermediate wayside locations in the SANDAG contracts. A potential change order is in process that includes Class D High Availability licenses for NCTD PTC WIUs. This General Electric (GE) functionality is necessary to interface between the WSRS and Wayside Interface Units (WIUs) on the network Program/Project Management Information Systems The current document control software was assessed for adequacy and will be maintained at this time Scope Management The Contract Document Requirements List (CDRL) for the PTC project is being cross-checked against the scope to check that contract requirements are met. This occurs once per quarter so that adjustments can be made where applicable. NCTD PTC Monthly Report Page 6 of 28 Quarter Ending September 30, 2016

91 2.3. Configuration Control Management The Configuration Control Management Plan (CCMP) and the Field Control Management Plan (FCMP) were formally submitted to the FRA in November 2014 and were found to be acceptable by the FRA. The Configuration Control Board (CCB) continues to meet to organize the PTC configuration management structure. The CCB has been meeting regularly and is establishing configuration control processes Quality Management Quality Plans The quality plans being used for the PTC program include: NCTD Quality Plan, Rev. A, January 1, 2012 HTI PTC Project FTA Quality Management System Guidelines (FTA-PA ), December 2012 HTI PTC System Quality Plan, Rev. 1, April 30, 2012 Wabtec Quality Assurance Plan for NCTD Onboard Installation, Rev. 2, August 13, 2013 Wabtec I-ETMS - Locomotive Segment, Software Quality Assurance Plan, Rev. 1.2, August 19, 2013 Wabtec Quality Management System Manual, Rev. 14, December 15, 2012 Convergent Communications, Inc. Quality Policy, Rev. A, May 17, 2013 JLP Quality Control / Quality Assurance Manual, Last Revised, February 28, 2007 Innovative Solutions In Signaling, LLC, Supplier Quality Survey, March 18, 2016 Experior Systems Ltd, Supplier Quality Survey, April 15, NCTD Program Support and Design HNTB Northern California Office, Best Practices, Quality Assurance/Quality Control Manual, Rev. 1, October 29, 2004 Pacific Railway Enterprises, Inc. Design Quality Process, November 2, 2010 NCTD Fiber Construction Projects HTI Quality Assurance Manual, Rev. G, July Deficiency Notices (DN), Nonconformance Reports (NCR), Corrective Action Reports (CAR) The PTC Quality Manager and the HTI System Quality Manager meet on a weekly basis to review the status of the project DNs, NCRs, and CARs. These items are defined as follows: DNs are items that have been identified as being deficient but not in nonconformance. These items can remain installed and in operation until they are either repaired or otherwise brought out of deficient standing. NCRs are items that have been identified where there is a discrepancy in characteristic, documentation, or procedure affecting form, fit, or function and renders the quality of an item unacceptable or indeterminate in regard to meeting relevant project requirements. CARs are measures taken to rectify conditions adverse to quality and to avoid repetition. Table 2.1 summarizes the total number of DNs, NCRs, and CARs that the PTC Quality Manager is tracking for the PTC project: NCTD PTC Monthly Report Page 7 of 28 Quarter Ending September 30, 2016

92 Table 2.1: Quality Tracking Item Total Open Items Closed items Number Remaining Deficiency Notices Nonconformance Reports Corrective and Preventative Actions The work needed to resolve deficiency notices are scheduled to coincide with other work taking place at the same locations in order to be as efficient and productive as possible. The deficiency notices are closed through final inspections. Nonconformance Reports are closed when the contractor has provided evidence that the nonconforming item has been properly repaired and/or corrected and meets the requirements of the project. Corrective and Preventative Actions are described in Section below. These are closed when the root cause analysis has been performed and when the adverse condition has been corrected to meet the requirements of the project based on an inspection of the HTI Quality Manager. In addition to the corrective action, a preventative action may be put in place to prevent recurrence of similar situations PTC Quality Audits and Surveillances The PTC Quality Manager is working with the HTI System Quality Manager on the following: Quality Records - HTI uses Fogbugz, a project management software program, to conduct quality checks and to maintain quality records. Although this program is proprietary and only accessible by HTI employees, the HTI System Quality Manager will be coordinating efforts with the PTC Quality Manager to provide quality documents in a timely fashion when requested. HTI is developing a plan to transfer all quality records over to NCTD per the contract requirements for the project. Once developed, the plan will be submitted for review. Audits The following is a summary of audits that were conducted during this quarter and the audits planned for next quarter: o Conducted: Wayside/Network Walk Downs: In Progress PTC Interface Management Plan (2 nd Audit) PTC Reliability Program Plan (2 nd Audit) o Planned PTC Production Baseline Audit (Part of the Change Control Board Function) PTC Back Office (2 nd Audit) Corrective Action Reports (CAR) The PTC Quality Manager is monitoring the progress of the following Corrective Action Reports for the PTC project: CAR 012 (Wayside Audit Actions) Issue Date of 04/13/15 This is a follow-up on the action items resulting from the Wayside audit. The purpose of this CAR is to resolve the outstanding findings and observations resulting from the Audit. NCTD PTC Monthly Report Page 8 of 28 Quarter Ending September 30, 2016

93 Update: Item was closed by the contractor. NCTD is leaving this item open until the Wayside locations have been inspected and signed off as completed. Estimated Closure Date: 10/31/2016 DN Log No. None Quality Tasks The PTC Quality Manager continues to coordinate the technical review of the Software Quality Assurance Plan documents initiated in April Wabtec has developed additional test cases to satisfy quality requirements. This task is being tracked as part of NCR-002 by the Contractor. The Wayside and Network installations have been completed along the corridor under continuous NCTD Quality Inspection Representatives oversight. The PTC Quality Manager along with NCTD representatives have developed a final punch list of items to be resolved at each Wayside location by the Contractor. The Contractor is addressing all punch list items identified by the inspection team; completion of the punch list will be verified by NCTD. Follow-up audits of the Interface Management Plan and Reliability Program Plan were performed. Both audits resulted in no findings or observations Risk Management Monitoring of project risk is ongoing by the NCTD and HTI project teams. A Risk Management Plan (RMP) has been developed and is reviewed on a monthly basis Stakeholder and Communications Management NCTD communicated to stakeholders about the broader PTC project. This included communications with City Staff, SANDAG, neighbors, written notices, communications, and website updates. NCTD PTC Monthly Report Page 9 of 28 Quarter Ending September 30, 2016

94 3. PROGRAM SAFETY Per the National Transportation Safety Board (NTSB) s Safety Recommendations dated June 18, 2013, Tables 3.1 and 3.2 reflect the progress being made on the required components and training for the NCTD PTC program. All wayside units have been installed. The base station radio installations are complete. The locomotive / on-board radios completed in April Table 3.1: Components Component Description Total Components Completed Remaining Percent Complete Estimated Completion Date Locomotives / On-board Wayside Units Switches F40 (x5); F59 (x2); BCC (x10) VHLC; EC4; EL-1A % Mar % Dec-2014 Not Applicable Base Station Radios Meteorcomm % Feb-2015 Locomotive Radios Meteorcomm % Apr-2016 Wayside Radios New/novel technologies (if applicable) Not Applicable % TBD Training activities, shown in Table 3.2, are in progress. The number in the column titled Employees Trained represent the number of employees that have completed training. The Roadway Worker Protection System remains under development in the industry; training will be provided when the Roadway Worker Protection System becomes available. Future completion dates are estimated. Table 3.2: Training Classification / Craft Total Employees Employees Trained Employees Remaining Percent Trained Completion Date Train Operator % December 2016 Vehicle Maintainer % December 2016 Signal Maintainer % December 2016 Communications Maintainer % April 2016 Dispatcher % December 2016 IT & Administration % May 2016 Track Maintainer % December 2016 Configuration Control Board % March 2016 GIS Technician % September 2015 Hy-Rail Maintainer - Onboard % December 2016 Hy-Rail Maintainer - Communications % April 2016 NCTD PTC Monthly Report Page 10 of 28 Quarter Ending September 30, 2016

95 4. PROGRAM PROGRESS 4.1. Critical Path The schedule updates submitted by the Contractor in 2015 and 2016 have raised some concerns for the NCTD team. NCTD is working with Contractor to resolve the issues in the schedule updates. Figure 4.1 presents the critical path graphic for the HTI Contract No schedule that reflects the 2016 PTC Implementation Plan (PTCIP) schedule and compares the 2016 PTCIP critical path with the unapproved May 2015 schedule update as well as the 2013 PTCIP Request for Amendment (RFA) #1. HTI has been revising their schedule, incorporating activities that were not originally shown in their baseline schedule. The preliminary review indicates that the schedule has slipped by 328 and 322 calendar days from the May 2015 update for the FRA system certification and final acceptance respectively. The current critical path shows the critical activities in the following order: - System Integration Test Procedures - Final Integration Testing - Appendix N Test Results - Develop PTC Safety Plan - FRA Certification activities Figure 4.2, Milestone Summary, shows the MS1050 PTC System Certification by the FRA completion date reflecting a date of March 14, 2018 in the 2016 PTCIP schedule. This date represents approximately 26 months of total delay from the original federally mandated date of December 31, The project team continues to work to recover schedule. Figure 4.3, Schedule Summary, is a rollup of the major elements of work, with Certification and Acceptance concluding in end of July NCTD PTC Monthly Report Page 11 of 28 Quarter Ending September 30, 2016

96 Figure 4.1: Monthly Progress Report - Critical Path for HTI Contract PO#11046: 2013 PTCIP RFA#1 vs. May 2015 vs PTCIP NCTD PTC Monthly Report Page 12 of 28 Quarter Ending September 30, 2016

97 Figure 4.2: Milestone Summary for HTI Contract PO#11046 Approved Baseline October 2013 Update Act. ID Project Milestones Per Contract (DD 1 : 8/31/2012) (Finish Dates) (DD 1 :11/1/2013) (Finish Dates) Negative=late Positive=early (months) Aug 2015 update (DD 1 : 8/31/2015) (Finish Dates) Negative=late Positive=early (months) MS1000 NTP (Phase 1) 19-Aug Aug Aug-11 Completed completed completed completed MS1010 PTC Phase 1: Development Complete 31-Jul Aug-12 9-Aug-12 Completed completed completed completed MS1030 PTC Phase 2: Procurement/Installation/Testing Complete 15-Aug-14 8-Aug-14 1-May Oct Completion of System Safety Certification and Safety Plan MS1040 Submittals 15-May Oct Jul Mar PTC System Commissioned into Revenue Service with PTC MS1050 System Certification by the FRA 31-Dec-15 2-Nov Jul Mar MS1060 Final Acceptance 2 14-Mar-16 1-Dec Jul DD: Data Date 2 Final Acceptance slippage is calculated based on baseline date of 3/14/ PTCIP RFA #1 vs. Contract 2016 PTCIP vs. Contract 2016 PTCIP vs PTCIP RFA #1 Neg.=Slippage Pos.= Gain (months) Figure 4.3: Project Schedule Summary for HTI Contract PO#11046 NCTD PTC Monthly Report Page 13 of 28 Quarter Ending September 30, 2016

98 5. POSITIVE TRAIN CONTROL CONTRACTS AND STATUS The PTC Program, extending from the Orange County Line to the Santa Fe Depot, has had over 21 active vendor-implemented projects. The detail for these projects can be found in previous progress reports. Table 5.1 provides at-a-glance information for the five significant remaining open contracts. Additional detail on the progress and financial status is provided in Tables 5.2 through 5.6. Table 5.1: PTC Program Projects Summary NCTD Tracking Number Project Name Contractor Contract Amount Status Table # on report PTC for the LOSSAN Corridor PTC Vendor-Integrator Project Herzog Technologies, Inc. COASTER Fiber Cable & Conduit Installation Projects $37,637,515 On-Going South COASTER Fiber MP Nexlevel $6,442,249 On-Going Design Support During Construction Other PTC Program Implemented Projects Pacific Railway Enterprises, Inc. $2,742,430 On-Going Engineering Support Services HNTB $9,272,400 On-Going Environmental Support Services BRG Consulting $661,567 On-Going 5.6 NCTD PTC Monthly Report Page 14 of 28 Quarter Ending September 30, 2016

99 Table 5.2: Positive Train Control System for the LOSSAN Corridor; NCTD PO#11046 NCTD PURCHASE ORDER PROJECT NAME CONTRACTOR/CONSULTANT PTC for the LOSSAN Corridor Herzog Technologies, Inc. BRIEF PROJECT DESCRIPTION The PTC System for the LOSSAN Corridor is the primary contract for implementation of the PTC system. PROJECT STATUS On-Going Stakeholder and interoperability meetings continue to be held. The Caltrans quarterly meeting was held in August An LA Regional PTC meeting was held in July 2016 focusing on tenant interoperability; the next meeting is scheduled for October COMMUNICATIONS: Regarding the ATCS Antenna Install Proposal, HTI is working on the disposal quote. Wi-Fi site testing and base radio startup test results were accepted by NCTD in The microwave installation test results and cellular test results were accepted by NCTD in March System level integration testing is in process. Completion of the Level 2 and Level 3 Backhaul Network Verification and Validation Plan is anticipated next quarter. ONBOARD: Onboard installation was completed in March with installations complete on all 17 vehicles. All onboard radio startup tests were accepted in April The onboard installation binders containing all test results and as-builts have been accepted. Brake testing began and completed in June 2016, and test results were submitted to the SIR site on 7/8/2016. WAYSIDE: Critical Feature V&V testing with the FRA began in January 2016 with test results uploaded to the SIR site in May NETWORK: NMS witness training occurred in March 2016 with testing started in April 2016 and expected to conclude next quarter. BACK OFFICE: Federated MPLS test results with Metrolink and BNSF and back office network connection test results were accepted in March BOS-CAD testing occurred in April 2016 with test results accepted in April TMDS testing occurred in March 2016 with approval of test results occurring May TMDS and BOS to ITCM Test Results were approved in June INTEGRATION: Field Integration and Functional Test (FI&FT) Book 1 testing completed in July 2016 with one failed test that will be captured in a regression test book. FI&FT Book 2 testing completed in August 2016 with two failed tests that will be captured in a regression test book. FI&FT Book 3 testing is ongoing and is expected to complete in October FI&FT Book 4 testing completed in August 2016 with all tests passing. Brake regression testing was required in order to complete the FI&FT Book 3 enforcement test cases; brake regression testing completed in September TRAINING: Training has been completed for 80 of 91 staff. The trainings for the Train Operators, Signal Maintainers, Configuration Control Board, Speedtrax, GIS Technician, Communications/Network, and Back Office have been completed. DOCUMENTATION: The Test Waiver was conditionally approved by the FRA in August Test waiver conditions continue under review by HTI. The Configuration Control Management Plan (CCMP) and Field Configuration Management Plan (FCMP) have been formally submitted to the FRA and were found to be acceptable by the FRA (December 2014). Critical Feature V&V were found to be acceptable for formal submittal by the FRA (November 2015). The new PTCIP was submitted to the SIR site on 1/22/2016. The Wayside V&V and Route V&V Test Reports were accepted by NCTD in March and submitted to the SIR site on 3/10/2016. The Brake Test Cases and Procedures and Brake Test Book were submitted to the SIR site on 3/29/2016. The PTC Annual Report was submitted to the SIR site on 3/29/2016. The Critical Feature V&V Test Reports were approved in May 2016 and submitted to the SIR site on 5/4/16. The Field Integration and Functional Test Book (FI&FT) Book 1 was submitted to the SIR site on 6/20/2016 and was found to be acceptable by the FRA (June 2016). The FI&FT Book 2 was submitted to the SIR site on 6/30/2016 and was found to be acceptable by the FRA (July 2016). The FI&FT Book 3 was submitted to the SIR site on 8/5/2016 and was found to be acceptable by the FRA (August 2016). The FI&FT Book 4 was submitted to the SIR site on 7/26/2016 and was found to be acceptable by the FRA (July 2016). A draft RSD Application was uploaded to the SIR site on 8/19/2016 and is under review by the FRA. OTHER ISSUES: None. NCTD PTC Monthly Report Page 15 of 28 Quarter Ending September 30, 2016

100 (Table 5.2 continuation from previous page) CONTRACT DATES NTP 08/19/2011 Phase 1: Development Completed 07/31/2012 Phase 2: Procurement/Installation/Testing 10/14/2016 System Safety Certification 03/13/2017 System Commissioned into Revenue Service 03/14/2018 Phase 1 includes the initial surveys, studies, and all design work necessary to amend the Positive Train Control Development Plan (PTCDP) submitted by NS, CSX, and UPRR to the FRA. This Phase has been completed. An amended PTCDP was not needed at the time this phase was completed. Once lab testing is underway, the PTCDP may be revisited. Phase 2 includes all other work necessary for the design, installation and implementation of the PTC system. COMPLETION UPDATE COST UPDATE Phase 1: Development Completed 100% Contract Amount $37,637,515 Phase 2: Procurement/Installation/Testing 81% Spent to Date $33,257,660 System Safety Certification Not Started Encumbered $4,379,856 System Commissioning into Revenue Service Not Started CONTRACT & BUDGET INFORMATION Description Contract Amount Date Executed Original Contract Value $33,044,670 5-Aug-11 Change order 001 $237,000 5-Oct-12 Change order 002 $809, Jan-13 Change order 003 $2,456, Jun-13 Change order 004 $1,089, Jun-14 CONTRACTOR/CONSULTANT SUBMITTALS DURING THIS PERIOD Submittal - Reliability Program Plan (RPP) Submittal - PTC System Management System Design Overview 30% Submittal - Positive Train Control Office-Locomotive Segment - Interface Control Document (ICD) S-9361 V Submittal - Secure Access Control System (ACS) Submittal - Secure Access Control System (ACS) Submittal - As-Built Drawings - CP Crosby M.P Submittal - Hazard Log Flowdown To Test Submittal - PTC Safety Plan Appendix FF System Safety Program Plan Submittal - PTC Safety Plan Appendix FF System Safety Program Plan Submittal - PTC Safety Plan Appendix FF System Safety Program Plan Submittal - Level 3 Communication Network Architecture Layout Submittal - PTCSP Appendix D - Hazard Log Exceptions Questionnaire Submittal - PTCSP Appendix D - Hazard Log Exceptions Questionnaire Submittal - As-Built Drawings - Intermediate Submittal - As-Built Drawings - Intermediate Submittal - As-Built Drawings - CP Elvira M.P Submittal - As-Built Drawings - CP Tecolote M.P Submittal - As-Built Drawings - CP Del Mar M.P Submittal - As-Built Drawings - CP Swami M.P Submittal - As-Built Drawings - CP Songs M.P Submittal - As-Built Drawings - Wye Tower M.P Submittal - As-Built Drawings - Wye Tower M.P Submittal - As-Built Drawings - CP Ash M.P NCTD PTC Monthly Report Page 16 of 28 Quarter Ending September 30, 2016

101 (Table 5.2 continuation from previous page) Submittal - As-Built Drawings - CP Valley M.P Submittal - As-Built Drawings - CP Friar M.P Submittal - As-Built Drawings - Santa Fe Depot Comm M.P Submittal - As-Built Drawings - Santa Fe Depot Comm M.P Submittals - As-Built Drawings - CP Miramar M.P Submittals - As-Built Drawings - CP Convair M.P Submittals - As-Built Drawings - CP Convair M.P Submittal - PTC Safety Plan Appendix L System Operations & Maintenance Manuals Submittal - As-Built Drawings - Oceanside Transit Center Comm M.P Submittal - As-Built Drawings - Stuart Mesa Yard M.P Submittal - As-Built Drawings - Stuart Mesa Yard M.P Submittal - As-Built Drawings - Mt. Soledad Submittal - As-Built Drawings - Mt. Soledad Submittal - Present and Future Network Message Traffic Detailed Assessment Submittal - NMS Test Book Submittal - As-Built Drawings - CP Miramar Remote Case M.P Submittal - System Integration Test Cases and Procedures Submittal - System Integration Test Cases and Procedures Submittal - System Integration Test Book Submittal - System Integration Test Book Submittal - As-Built Drawings - Friar Base Communications Package M.P Submittal - As-Built Drawings - Torrey Pines Base M.P Submittal - As-Built Drawings - Torrey Pines Base M.P Submittal - Site Power Monitor Submittal - Field Integration and Functional Test (FI&FT) Book Submittals - Back Office Segment Spare Parts List Submittals - Back Office Segment Spare Parts List Submittal - PTCSP Appendix AA - Warnings and Warning Labels Submittal - PTCSP Appendix AA - Warnings and Warning Labels Submittal - PTCSP Appendix G - Safety Analysis Documentation Submittal - In-Service Test Program 90% Draft Submittal - Field Integration and Functional Test (FI&FT) Book Submittal - Field Integration and Functional Test (FI&FT) Book Submittal - Field Integration and Functional Test (FI&FT) Book Submittal - Existing Vehicle Electrical and Air Schematic Redlines (As-Builts) - F40 Locomotive Submittal - PTC Failure Backup Plan Submittal - PTC Failure Backup Plan Submittal - PTCSP Appendix I - NCTD Lab Validation and Verification Test Procedures Submittal - PTCSP Appendix I - NCTD Lab Validation and Verification Test Procedures Submittal - PTCSP Appendix I - NCTD Lab Validation and Verification Test Procedures Submittal - Host and Network Intrusion Prevention System Submittal - Project Schedule Update April Submittal - As-Built Drawings - Back Office Submittal - Reliability and Availability Analysis Submittal - Sensitivity Analysis and Trade-off Study Submittal - OSCAR Training Verification Report Submittal - Brake Test Report Submittal - Final Acceptance Test Program Submittal - Field Integration and Functional Test (FI&FT) Book 1 Report Submittal - Regression Test 1 - Critical Feature V&V Test Book Submittal - Regression Test 1 - Critical Feature V&V Test Book Submittal - Field Integration and Functional Test (FI&FT) Book 2 Report Submittal - PTCSP Appendix J- NCTD Lab Validation & Verification Test Results NCTD PTC Monthly Report Page 17 of 28 Quarter Ending September 30, 2016

102 (Table 5.2 continuation from previous page) Submittal - Level 1 Network Plan Submittal - Special Tools Inventory List Submittal - Final Subdiv File Submittal - Written Progress Meeting Minutes (minimum monthly) Submittal - Written Progress Meeting Agendas (minimum monthly) Submittal - PTC System and User Documentation Submittal - System, Subsystem, Line Replaceable Unit Repair and Parts Manual Submittal - Test Equipment, Testing Supplies, and Tools Submittal - System Communication Network/Administration Manual Submittal - Field Integration and Functional Test (FI&FT) Book 4 Report Submittal - System Hardware Manual Submittal - System Software Manual Submittal - System User's Manual Submittal - System Training Manual Submittal - Regression Test 1 - Route V&V Test Book Submittal - Inspection Reports Submittal - Quality Records Submittal - PTCSP Appendix V - Post Implementation Safety Testing and Monitoring Plans and Processes Submittal - Training Records Submittal - Recertification Training Program Submittal - Training Certification Test Procedures Submittal - Practical Tests for Each Training Course Submittal - Training Module: Engineering NCTD PTC Monthly Report Page 18 of 28 Quarter Ending September 30, 2016

103 Figure 5.1 shows the S-curve for the PTC project (PO 11046) dollars expended and projected versus dollars contracted. The equation used to formulate the S-Curve is a logistic differential formula, which creates a graphic display of cumulative estimated costs plotted against time. S-Curve forecasting assumes slow initial growth, subsequent rapid growth, followed by declining growth as saturation levels are achieved. The essential concept of this function illustrates that the rate of growth is proportional to both the amount of growth already accomplished and the amount of growth remaining to be accomplished. The expended amount shows the total amount that NCTD has paid to HTI as of June 30, Figure 5.1: PTC Project (PO 11046) Budgeted versus Expended NCTD PTC Monthly Report Page 19 of 28 Quarter Ending September 30, 2016

104 San Diego Subdivision Fiber Installation The San Diego Subdivision fiber installation is comprised of three geographically based contracts as listed below and shown in Figure 5.2: North COASTER Orange County Line to Oceanside Transit Center South COASTER Oceanside Transit Center to Old Town Transit Center San Diego Old Town Transit Center to Santa Fe Depot All three contracts include the installation of fiber conduit and cable along the San Diego Subdivision right-of-way to provide fiber for the PTC communication system. Status and financial information on the individual contracts is provided on Tables 5.3, 5.4 and 5.5. Figure 5.2: San Diego Subdivision Fiber Installation North COASTER Fiber (Orange County Line to Oceanside Transit Center) Status: Closed South COASTER Fiber (Oceanside Transit Center to Old Town Transit Center) Status: In close-out San Diego Fiber (Old Town Transit Center to Santa Fe Depot) Status: Closed NCTD PTC Monthly Report Page 20 of 28 Quarter Ending September 30, 2016

105 Table 5.3: South COASTER Fiber; NCTD PO#13020 NCTD PURCHASE ORDER PROJECT NAME CONTRACTOR/CONSULTANT South COASTER Fiber MP Nexlevel BRIEF PROJECT DESCRIPTION This contract is one of three contracts for fiber conduit and cable installation along the San Diego Subdivision right-of-way to provide fiber for the PTC communication system. Project limits are from the Oceanside Transit Center to the Old Town Transit Station. PROJECT STATUS On-Going All work was completed on Friday 12/12/2014. PRE reviewed and accepted the 24 and the 72 Pair fiber test result. NCTD turned over this section to HTI and they began the additional fiber terminations (Fibers 5-12) in February Change Order 15 was amended and issued in December 2015 to extend the project until March 31, 2016 in order to accommodate rightof-entry for the work directed under Field Work Directive 15 for the contractor to repair the Rose Canyon sewer/fiber conflict. The repair work for CP Del Mar, Intermediate Signal 246, missing tracer wires and CCH module at fiber patch panel has been completed. The repair of the Rose Canyon sewer/fiber conflict was completed in February Project is in closeout. CONTRACT DATES Original Contract NTP 01/03/2013 Contract Completion 09/30/2013 Amendment 1 NTP 01/28/2014 Amendment 1 Contract Completion 05/15/2014 Change Order 15 Contract Completion 12/31/2015 Change Order 15 Amd 01 Contract Completion 03/31/2016 COMPLETION UPDATE COST UPDATE Conduit Installation 100% Contract Amount $6,442,249 Fiber Installation 100% Spent to Date $6,432,553 Encumbered $9,695 CONTRACT & BUDGET INFORMATION Description Contract Amount Date Executed Contract Value $4,694,395 3-Jan-13 Change order 001 $70,218 8-Apr-13 Change order 002 $0 8-Aug-13 Change order 003 $0 18-Sep-13 Change order 005 $7, Jan-14 Change order 006 $197,667 7-Mar-14 Change order 008 (FWD004) $50, Apr-14 Change order 007 $0 28-Apr-14 Change order 009 (FWD005) $336, May-14 Change order 004 (FWD006) $1,085,700 1-Jun-14 Change order 010 (FWD007) $0 24-Jun-14 Change order 011 (FWD011) $0 7-Aug-14 Change order 012 (FWD012) $0 5-Sep-14 Change order 013 (FWD013) $0 13-Nov-14 Change order 014 (FWD014) $0 30-Dec-14 Change order 015 (FWD015) $0 2-Apr-15 Change order 015 Amd 01 $0 14-Dec-15 CONTRACTOR/CONSULTANT SUBMITTALS DURING THIS PERIOD None NCTD PTC Monthly Report Page 21 of 28 Quarter Ending September 30, 2016

106 Table 5.4: Design Support During Construction; NCTD PO#29895 NCTD PURCHASE ORDER PROJECT NAME CONTRACTOR/CONSULTANT Design Support During Construction Pacific Railway Enterprises, Inc. BRIEF PROJECT DESCRIPTION This contract provides signal and communication systems support for the PTC project as well as inspection services. PROJECT STATUS On-Going The consultant is providing ongoing design reviews and inspection services for the PTC project. CONTRACT DATES COMPLETION UPDATE NTP 11/08/2011 Contract Completion 12/31/2015 Amendment 3 Contract Completion 4/30/2016 COST UPDATE Overall Contract 98% Contract Amount $2,742,430 Spent to Date $2,697,392 Encumbered $45,038 CONTRACT & BUDGET INFORMATION Description Contract Amount Date Executed Contract Value $2,000,000 8-Nov-11 Amendment 1 $160, Jun-12 Amendment 3 $581,908 1-Oct-15 CONTRACTOR/CONSULTANT SUBMITTALS DURING THIS PERIOD Various project documentation. Table 5.5: Engineering Support Services; NCTD PO#29935 NCTD PURCHASE ORDER PROJECT NAME CONTRACTOR/CONSULTANT Engineering Support Services HNTB BRIEF PROJECT DESCRIPTION Scope includes design submittal review, as needed design work, scheduling services, and general project management. PROJECT STATUS On-Going HNTB Program Management efforts are ongoing. Primary activity is submittal review for the PTC project. CONTRACT DATES COMPLETION UPDATE NTP 12/07/2011 Contract Completion 12/31/2015 Supplemental Agreement 12 Completion 11/30/2016 COST UPDATE Overall Contract 96% Contract Amount $9,272,400 Spent to Date $8,937,585 Encumbered $334,815 CONTRACT & BUDGET INFORMATION Description Contract Amount Date Executed Contract Value $1,911,199 7-Dec-11 Amendment 1 $84,560 4-Mar-14 Amendment 2 $611,013 3-Aug-12 Amendment 3 $4,865,828 5-Mar-14 Supplemental Agreement 11 $1,800, Dec-15 Supplemental 11 Amended $ Jun-16 Supplemental Agreement 12 $ Sep-16 CONTRACTOR/CONSULTANT SUBMITTALS DURING THIS PERIOD Various project documentation. NCTD PTC Monthly Report Page 22 of 28 Quarter Ending September 30, 2016

107 Table 5.6: Environmental Support Services; NCTD PO#30475 NCTD PURCHASE ORDER PROJECT NAME CONTRACTOR/CONSULTANT Environmental Support Services BRG Consulting BRIEF PROJECT DESCRIPTION This contract provides as needed environmental support for PTC project. Initial task order was increased due to extent of environmental risks and other considerations identified in the PTC program, specifically the fiber project. PROJECT STATUS On-Going Efforts are provided on an as-needed basis for environmental and archeological monitoring support for the PTC Program. CONTRACT DATES NTP 09/18/2012 Contract Completion 12/31/2015 Supplemental Agreement 03 Completion 3/31/2016 COMPLETION UPDATE COST UPDATE Overall Contract 28% Contract Amount $661,567 Spent to Date $183,612 Encumbered $477,955 CONTRACT & BUDGET INFORMATION Description Contract Amount Date Executed Original Contract Value $2,144, Sep-12 Contract Deduction ($1,482,800) 21-Feb-14 CONTRACTOR/CONSULTANT SUBMITTALS DURING THIS PERIOD None. NCTD PTC Monthly Report Page 23 of 28 Quarter Ending September 30, 2016

108 6. EXPENDITURES / FUNDING SOURCES 6.1. Expenditures Through September 2016, expenditures to date on the PTC Program total $65,180,664, or 75 percent of the project budget. The period expenditures total $1,260,044 and were primarily composed of contractor charges, followed by engineering and consultant charges. Overall, expenditures are in line with the current $87,292,969 estimate at completion. Without contingency, the project value is currently $85,515,711. NCTD is closely monitoring the budget and the impact of pending contractor change orders and schedule changes. Figure 6.1 represents the budgeted funding versus the expenditures to-date for the overall PTC Program. Figure 6.1: PTC Program Budgeted versus Expended Table 6.1 summarizes the PTC Program expenditures. NCTD PTC Monthly Report Page 24 of 28 Quarter Ending September 30, 2016

109 Table 6.1: PTC Program Expenditures Current FRA Incurred Costs Proposed Budget Thru 6/30/16 Open/Proposed Total Incurred & Available FRA TASK 3/ /2015 (Actual in JDE) Encumbrances Encumbered Budget Pre-Award $ 5,063, $ 5,294, $ 4,538, $ 727, $ 4,595, $ 28, Post-Award $ 82,229, $ 81,998, $ 60,641, $ 18,916, $ 66,539, $ 2,440, Phase 1: System Development $ 7,949, $ 7,949, $ 7,949, $ - $ 7,949, $ - Phase 2 - Prime Post Award Costs $ 33,089, $ 32,577, $ 25,155, $ 7,421, $ 29,497, $ 0.00 Non Prime Post Award Costs $ 35,746, $ 37,361, $ 27,440, $ 9,505, $ 28,985, $ 415, OCC: Procurement, Installation, Testing, and Implementation $ 5,444, $ 4,110, $ 95, $ 1,989, $ 107, $ 2,025, GRAND TOTAL PTC PROGRAM COSTS $ 87,292, $ 87,292, $ 65,180, $ 19,643, $ 71,134, $ 2,469, Funding Sources The FRA and Prop 1A Discretionary funds comprise just over 55 percent of the overall PTC budget. Prop 1A Formula funds total 20 percent of the PTC program budget and Federal Section 5307 Formula Funds total comprise roughly 9 percent. A variety of sources makes up the remaining 16 percent, with the largest component being Proposition 1B TSGP funds. Table 6.2 summarizes the PTC Program Funding. Table 6.2: PTC Program Funding Description Total Planned and Programmed Funding Federal Section 5307 Formula Funds $7,658, FRA $24,900, Prop 1A Discretionary $24,010, Prop 1A Formula $17,833, Prop 1B - PTMISEA $1,302, Prop 1B TSGP $5,757, Other State / Local Funding $3,641, TDA Article 4.0 $1,190, TransNet Major Corridor $1,000, Total $87,292, NCTD PTC Monthly Report Page 25 of 28 Quarter Ending September 30, 2016

110 7. PROJECT PHOTOS NCTD Purchase Order 11046: PTC for the LOSSAN Corridor The following photos were taken during construction: Reviewing brake test results Back office server Network nodes Network management system NCTD PTC Monthly Report Page 26 of 28 Quarter Ending September 30, 2016