B O A R D O F D I R E C T O R S A P R I L

Transcription

1 BOARD OF DIRECTORS A P R I L 1 0,

2 SOUTHERN CALIFORNIA REGIONAL RAIL AUTHORITY BOARD ROSTER SOUTHERN CALIFORNIA REGIONAL RAIL AUTHORITY County Member Alternate Orange: Shawn Nelson (Chair) Jeffrey Lalloway* Supervisor, 4 th District Mayor Pro Tem, City of Irvine 2 votes County of Orange, Chairman OCTA Board, Chair OCTA Board Gregory T. Winterbottom Public Member OCTA Board Todd Spitzer* Supervisor, 3 rd District County of Orange OCTA Board Riverside: Daryl Busch (Vice-Chair) Andrew Kotyuk* Mayor Council Member 2 votes City of Perris City of San Jacinto RCTC Board, Chair RCTC Board Karen Spiegel Council Member City of Corona RCTC Board Debbie Franklin* Mayor City of Banning RCTC Board Ventura: Keith Millhouse (2 nd Vice-Chair) Brian Humphrey Mayor Pro Tem Citizen Representative 1 vote City of Moorpark VCTC Board VCTC Board Los Angeles: Michael Antonovich Robert T. Bartlett Supervisor, 5 th District Metro Appointee 4 votes County of Los Angeles, Mayor Metro Board Don Knabe Supervisor, 4 th District County of Los Angeles Metro Board Paul Krekorian Councilmember, 2 nd District Metro Board Ara Najarian Council Member City of Glendale Metro Board Richard Katz Metro Appointee Borja Leon Metro Appointee [currently awaiting appointment] One Gateway Plaza, 12 th Floor, Los Angeles, CA 90012

3 SCRRA Board of Directors Roster Page 2 San Bernardino: Larry McCallon James Ramos* Mayor Supervisor, 3 rd District 2 votes City of Highland County of San Bernardino, Chair SANBAG Board SANBAG Board Paul Eaton Mayor City of Montclair SANBAG Board Alan D. Wapner* Mayor Pro Tem City of Ontario SANBAG Board EX-OFFICIO MEMBERS San Diego Association of Governments: [CURRENTLY AWAITING APPOINTMENT] Contact: Linda Culp Principal Planner Rail Southern California Association of Governments: State of California: Art Brown Mayor, City of Buena Park Ryan Chamberlain Director, Caltrans District 12 Alternate: [CURRENTLY AWAITING APPOINTMENT] *Alternates represent either member Revised 02/27/15

4 SOUTHERN CALIFORNIA REGIONAL RAIL AUTHORITY BOARD OF DIRECTORS MEETING FRIDAY, APRIL 10, :00a.m. LOS ANGELES COUNTY METROPOLITAN TRANSPORTATION AUTHORITY (METRO) BOARD ROOM ONE GATEWAY PLAZA, 3RD FLOOR LOS ANGELES, CALIFORNIA AGENDA DESCRIPTIONS The agenda descriptions are intended to give notice to members of the public of a brief general description of items of business to be transacted or discussed. The posting of the recommended actions does not indicate what action will be taken. The Authority may take any action that it deems to be appropriate on the agenda item and is not limited in any way by the notice of the recommended action. The Chair reserves the right to discuss the items listed on the agenda in any order. Southern California Regional Rail Authority Consent Calendar Matters (Items 22-26) to be approved in one motion unless a Board Member requests separate action which it deems to be appropriate on the agenda item and is not limited in any way by the notice of the recommended action. The Chair reserves the right to discuss the items listed on the agenda in any order. A person with a disability may contact the Board Secretary s office at (213) or via holmank@scrra.net at least 72-hours before the scheduled meeting to request receipt of an agenda in an alternative format or to request disability-related accommodations, including auxiliary aids or services, in order to participate in the public meeting. Later requests will be accommodated to the extent feasible. SUPPORTING DOCUMENTATION The agenda, staff reports and supporting documentation are available from the Board Secretary, located at One Gateway Plaza, 12 th Floor, Los Angeles, CA 90012, and on the Metrolink website at under the Meetings & Agendas link. PUBLIC COMMENTS ON AGENDA ITEMS AND ITEMS NOT ON THE AGENDA Members of the public wishing to address the Board of Directors regarding any item appearing on the agenda or any item not on the agenda, but within the subject matter jurisdiction of the Board, may do so by completing a Speaker s Form and submitting it to the Board Secretary. All speakers will be recognized by the Chairman and will be considered under Item 4 (Public Comment). When addressing the Board, please state your name for the record. Please address the Board as a whole through the Chair. Please note comments to individual Board members or staff are not permitted when addressing the Board. A speaker s comments shall be limited to three (3) minutes. 1. Call to Order 2. Roll Call One Gateway Plaza, 12 th Floor, Los Angeles, CA 90012

5 Board of Directors Meeting Agenda Transmittal Date: April 3, 2015 Meeting Date: April 10, 2015 Page 2 3. Pledge of Allegiance 4. Public Comment REGULAR CALENDAR 5. Approval of Consent Calendar Consent Calendar Items listed at the end of the agenda. 6. Contract No. DB100R-12 Dispatch and Operations Center Increase Contract Funding Authorization and Authorize a Change Order above $150,000 USS Cal Builders, Inc. An increase in the contract contingency fund is needed to complete and close out the Dispatch and Operations Center construction project. Staff recommends the Board authorize the Interim Chief Executive Officer to amend Contract No. DB100R-12 with USS Cal Builders, Inc., and increase the contingency by $290,870 (2.7% of the original total contract value) for a new contingency amount of $2,445,458, and execute Change Order 29 (CO 029) which was previously approved by the Board, however being increased by $59,802 if the additional contingency is approved, to $230,897. The increase in contingency amount will result in a new total not-to-exceed contract funding authorization of $13,218,398. This action will allow the DB-100R-12 Contract to be closed out. The DOC construction project is funded with multiple state and local funding sources within the PTC program. Funding for the increase of Contract DB100R-12 authorization would come from the current available funding within the PTC Program reserve, primarily existing State Proposition 1B, Proposition 116 and Local Measure R sources, as well as funding allocated from the Authority s Information Technology department for upgrades to the data center. Page 1 7. Contract No. OP Equipment Maintenance Services Extension of Contract Term Bombardier Transit Corporation To enable a seamless continuation of the equipment maintenance services, a one-year time extension of Contract No. OP with Bombardier Transit Corporation (Bombardier) is needed. Staff recommends the Board authorize the Interim Chief Executive Officer to amend Contract No. OP with Bombardier to extend the term of the contract by one year to June 30, This action has no budget impact. The current FY Annual Budget for Bombardier s services is $19,558,570. Funding for FY is included in the proposed Annual Budget to be submitted to the Board. Page 5

6 Board of Directors Meeting Agenda Transmittal Date: April 3, 2015 Meeting Date: April 10, 2015 Page 3 8. Authorization of Competitive Negotiation Process and Approval of Revised Evaluation Criteria Request for Proposal No. H Procurement of Fare Collection Systems Revision to the Board approved evaluation criteria is needed to allow for a competitive negotiation procurement process to retain a qualified contractor to provide a fare collection system. Board findings are required to confirm that the procurement of a fare collection system meets the requirements for utilizing the competitive negotiation process for specialized rail transit equipment under Public Utilities Code Section and Public Contract Code Staff recommends the Board: 1. Make a finding, by at least two-thirds vote, that the procurement of fare collection systems qualifies as the type of procurement eligible for the competitive negotiation process, authorized pursuant to Public Utilities Code Section and Public Contract Code 20216; 2. Direct the procurement of a fare collection system through such a competitive negotiation process, involving the issuance of a request for proposals that is advertised in accordance with law, and distributed widely in order to maximize competition and generate the maximum feasible number of proposals from qualified sources; and 3. Approve the proposed evaluation criteria detailed in Attachment 1of the staff report, consistent with the Board-adopted Contract Administration and Procurement Policies and Procedures CON-7, Technical and Cost Criteria Weights, specifying a weighting of seventy percent (70%) for technical qualifications and thirty percent (30%) for cost. Approval of evaluation criteria has no impact on the current fiscal year budget. Funding for this project will be included in the FY new capital budget and operating costs will be included in subsequent budget years. Certain options within the contract may be reimbursable. Page 7 9. Contract No. SP Consultant Services to Support the Office of the Chief Executive Officer - Recommendation to Award James S. Kenan Consultant services are needed at this time to support the Chief Executive Officer. Staff requests the Board find that a non-competitive contract with Jim Kenan is in the best interest of the Authority and authorize the Interim Chief Executive Officer to award Contract No. SP for Consulting Services in an amount not-to-exceed $100,000 from April 20, 2015 to May 31, Funding for Consulting Services is included in the FY Budget. Funding has been requested in the proposed FY Budget. Page 12

7 Board of Directors Meeting Agenda Transmittal Date: April 3, 2015 Meeting Date: April 10, 2015 Page Updates to Finance Policies and Procedures Approval is needed for updates to Finance Policies and Procedures FIN-8.4 and FIN Staff recommends the Board approve updates to Finance Policies and Procedures FIN-8.4 Travel Authorization and Business Expense Reimbursement and FIN-8.9 Per Diem Compensation for Board Members. There is no budget impact associated with this recommendation. Page Transmittal of the Preliminary Fiscal Year SCRRA Budget and two-year projection The Southern California Regional Rail Authority (Authority) is required, under the Joint Exercise of Powers Agreement, to provide to its Member Agencies on or before May 1 of each year, a Preliminary Budget (effective July 1, the start of the fiscal year) for individual agency consideration and approval. Staff recommends the Board authorize the transmittal of the Preliminary Fiscal Year (FY16) SCRRA Budget to its Member Agencies for their consideration. This report represents a summary of the Preliminary FY Budget for consideration. As such, there is no impact to the current (FY ) budget. Page State and Federal Legislative Update Staff will provide an update on current legislative issues in State and Federal Government Affairs. The Board may receive and file this report. There is no immediate budget impact as a result of this update. Page Railroad Safety and Positive Train Control Extension Act Work with Author Clarify the Board s previous position on the Railroad Safety and Positive Train Control Extension Act. Staff recommends that the Board provide additional detail on the previously adopted WORK WITH AUTHOR position to include the following: Any consideration of implementation delays should include a shorter extension for areas where passenger railroads are already operating a PTC system. Five years is too long of a delay, even for areas lacking passenger rail service At this time the liability cap should not be addressed relative to the presence of PTC on systems

8 Board of Directors Meeting Agenda Transmittal Date: April 3, 2015 Meeting Date: April 10, 2015 Page 5 Tiered implementation schedules may reflect the priority for areas of higher or lower passenger and freight traffic, but the capabilities and standards of the technology, including interoperability, should not be altered under any circumstance. There is no budgetary impact as a direct result of this item. 14. Adopt Staff Recommended Positions on Legislation Page 131 Staff is recommending positions on Assembly Bill 318 (Chau) Lost Money and Goods; Restoration to Owner; Senate Bill 9 (Beall) Greenhouse Gas Reduction Fund: Transit/Intercity Rail; Senate Bill 391 (Huff) Assault and Battery: Transit Employees; and House of Representatives Bill 990 (King) Commuter Parity Act of Staff recommends the Board adopt the staff recommended positions on legislation: A. AB Chau (D-Monterey Park) SUPPORT B. SB 9 - Beall (D-San Jose) WORK WITH AUTHOR C. SB Huff (R-Diamond Bar) SUPPORT WITH AMENDMENT D. HR 990 King (R-NY) - SUPPORT Page A. Assembly Bill 318 Lost Money and Goods: Restoration to Owner Assemblymember Ed Chau (D-Monterey Park) has introduced AB 318 which seeks to amend Sections and of the Civil Code, relating to lost and unclaimed property. Staff recommends the Board adopt a SUPPORT position on AB 318. This bill does not have direct budget impact as currently proposed. Page B. Senate Bill 9 Greenhouse Gas Reduction Fund: Transit and Intercity Rail Capital Program Senator Jim Beall (D-San Jose) has introduced SB 9 to modify the selection criteria of the Transit and Intercity Rail Capital Program (TIRCP) by limiting grants from the TIRCP to multi-year projects with a total cost over $100 million. Staff would like to work with the bill s author to allow for some smaller projects to also be funded each year through this program. Staff recommends the Board adopt a WORK WITH AUTHOR position on SB 9. This bill does not have direct budget impact as currently proposed. Page 136

9 Board of Directors Meeting Agenda Transmittal Date: April 3, 2015 Meeting Date: April 10, 2015 Page 6 14C. Senate Bill 391 Assault and Battery: Transit Employees Senator Bob Huff (R-Diamond Bar) has introduced SB 391 to strengthen the penalties for assault of a transit employee by adding transit employee to the list of specified individuals (such as traffic officers, lifeguards, and animal care workers) that allow for more stringent punishments. Staff recommends the Board adopt a SUPPORT WITH AMENDMENT position on SB 391. This bill does not have direct budget impact as currently proposed. Page D. HR 990 (King) Commuter Parity Act of 2015 HR 990 by Representative Peter King (R-NY) seeks to increase the amount allowed for qualified transit expenses for exclusion from gross income for income tax purposes. Staff recommends the Board adopt a SUPPORT position on HR 990. This bill does not have direct budget impact as currently proposed. Page Request to Amend Classification and Salary Plan Staff is proposing to revise the Southern California Regional Rail Authority (SCRRA) Classification and Salary Plan previously approved by the Board at its June 27, 2014 meeting and amended by the Board on October 10, 2014 and December 12, Staff recommends the Board approve adding one (1) new classification title of Chief Administrative Officer to the current Classification and Salary Plan. This position will report to the Chief Executive Officer and be responsible for the Government and Regulatory Affairs Department, Human Resources Department, the Assistant to the Chief Executive Officer/Board Secretary and Administrative Services functions. There is no immediate budget impact as a result of the addition of this position as there are vacant positions in the FY budget to support the headcount and salary level. Page Compensation Report FY Third Quarter Final (4 th Quarter Partial through April 13, 2015) At its April 11, 2014 meeting, the Board amended Human Resources Policy 2.1 to require staff to make quarterly and annual reports to the Board on compensation matters. The Board may receive and file this report. There is no immediate budget impact as a result of this status report. Page 157

10 Board of Directors Meeting Agenda Transmittal Date: April 3, 2015 Meeting Date: April 10, 2015 Page Antelope Valley Line Fare Reduction Pilot Program and System-wide Fare Analysis Study The Authority has an opportunity to initiate a pilot program of new fare products with the goal of increasing ridership and revenue, as well as test various fare changes for potential implementation system-wide. Staff recommends the Board provide direction and approve the commencement of a fare reduction pilot program on the Antelope Valley Line, contingent upon a funding agreement with Los Angeles County Metropolitan Transportation Authority (Metro). Should the Board provide direction and approve commencement of the Antelope Valley Line fare reduction pilot program, staff will work with Metro to finalize a funding agreement which will reimburse the Authority for all marketing, programming and potential net revenue loss associated with the pilot program. The system-wide fare analysis study will be funded by the current fiscal year budget. Cost estimates are currently being developed. Page Ticket Vending Machine Security and Video Surveillance A system-wide video surveillance program will be implemented to improve the security of ticket vending machines (TVMs) and provide the Authority s Dispatch and Operations Center with the ability to view passenger activity on station platforms. Staff will provide a presentation detailing the system s features and a timeline for implementation. There is no written document. The Board may receive and file this report. 19. Interim Chief Executive Officer s Authority Update 20. Chair s Comments 21. Board Members' Comments CONSENT CALENDAR (As referenced in Item 5) 22. Approval of Meeting Minutes March 13, 2015 Board of Directors Meeting Staff recommends the Board approve the minutes of the March 13, 2015 Board of Directors Meeting. Page Approval to Perform Chief Executive Officer Non-Audit Advisory Services Internal Audit would like to accommodate Chief Executive Officer (CEO) requested non-audit related advisory services without formal Executive Management and Audit Committee (EMAC) approval.

11 Board of Directors Meeting Agenda Transmittal Date: April 3, 2015 Meeting Date: April 10, 2015 Page 8 The Executive Management and Audit Committee recommends the Board provide Internal Audit the authority to accommodate CEO requested non-audit services without formal approval from the EMAC/Board each time a CEO request is made. Initiation of CEO requests will be communicated to the Committee at subsequent EMAC meetings. There is no immediate budget impact as a result of this status report. Page Continuation of Audit #2014_03 Audit of Fare Revenue Reconciliation Process and Data Integrity The Internal Audit Department is requesting Executive Management and Audit Committee s concurrence to continue with Audit #2014_03 Audit of Fare Revenue Reconciliation Processes and Data Integrity. Internal Audit had already initiated the performance audit #2014_03 Audit of Fare Revenue Reconciliation Processes and Data Integrity during the 2014 calendar year, however the audit was placed on hold in November The Executive Management and Audit Committee recommends the Board concur with the continuation of this audit. There is no immediate budget impact as a result of this status report. Page Internal Audit Department Update The following status of audit activities of the Audit Department at Southern California Regional Rail Authority (Authority) is provided for informational purposes. The Board may receive and file this report. There is no immediate budget impact as a result of this status report. Page Ticket Vending Machine Availability and Performance Update Staff delivered a presentation at the March 15, 2015 Executive Management and Audit Committee that reviewed the status of the current ticket vending machines. The presentation has been included as information. Page ADJOURNMENT

12 SOUTHERN CALIFORNIA REGIONAL RAIL AUTHORITY TRANSMITTAL DATE: April 3, 2015 MEETING DATE: April 10, 2015 ITEM 6 TO: FROM: Board of Directors Interim Chief Executive Officer SUBJECT: Contract No. DB100R-12 Dispatch and Operations Center Increase Contract Funding Authorization and Authorize a Change Order above $150,000 USS Cal Builders, Inc. Issue An increase in the contract contingency fund is needed to complete and close out the Dispatch and Operations Center construction project. Recommendation Staff recommends the Board authorize the Interim Chief Executive Officer to amend Contract No. DB100R-12 with USS Cal Builders, Inc., and increase the contingency by $290,870 (2.7% of the original total contract value) for a new contingency amount of $2,445,458, and execute Change Order 29 (CO 029) which was previously approved by the Board, however being increased by $59,802 if the additional contingency is approved, to $230,897. The increase in contingency amount will result in a new total not-to-exceed contract funding authorization of $13,218,398. This action will allow the DB-100R-12 Contract to be closed out. Alternatives The Board may: 1) Reduce the requested increase in contingency; or 2) Decline to approve the recommendation. Background On July 13, 2012, following a competitive procurement, the Board awarded Contract No. DB100R-12 to USS Cal Builders, Inc. in the amount of $10,772,940 plus a 15% contingency of $1,615,941 for a total not-to-exceed contract funding authorization of $12,388,881. At the May 9, 2014 meeting the Board authorized a 5% increase in contingency resulting in a total contract not-to-exceed funding authorization of $12,927,528 and authorized the Chief Executive Officer to execute change orders above the $150,000 delegated authority to staff. Contract No. DB100R-12 required the design and construction of a 3.25 acre site to include a newly constructed 25,000 square foot two-story building for Metrolink train control and operations. The facility, now known as the Dispatch and Operations Center (DOC), is One Gateway Plaza, 12 th Floor Los Angeles, CA

13 Contract No. DB100R-12 Dispatch and Operations Center Increase Contract Funding Authorization and Authorize a Change Order above $150,000 USS Cal Builders, Inc. Transmittal Date: April 3, 2015 Meeting Date: April 10, 2015 Page 2 necessary to provide a "secure and hardened" building for the Authority s centralized command and control systems including: Dispatching, Positive Train Control (PTC) back office servers, Centralized communication network, and Commercial wireless, and the Authority-owned telecommunications networks. The DOC will also be utilized as an Emergency Operations Center (EOC) in the event of a regional emergency such as a large magnitude earthquake in Southern California. The building has been partially occupied since early November 2014 and is nearing full occupancy as the Authority s primary regional train control center. The Metrolink Operations Center (MOC) will continue to be utilized as a secondary disaster recovery backup to the DOC, as well as a train control and PTC systems test lab. Repairs and rehabilitation of the MOC facility and systems will be performed in the upcoming months and redundant generators will be added at MOC and DOC. To date, staff has executed 56 change notices for this project covering unforeseen conditions, City of Pomona and Southern California Edison additional requirements, and Authority-initiated design changes needed to further strengthen the facility s security and systems. Based on a thorough analysis of pending and potential changes, staff determined that additional contract funding authorization will be needed in order to complete and close out this project. The increase in contingency will allow the Authority both to settle differences in outstanding change orders and allow staff to negotiate settlement of a pending claim in a timely manner. Board Approved Contract Authority Base Contract $10,195,700 Options $577,240 Total Base Contract plus Options $10,772,940 7/13/12 Board Contingency Authorization (15%) $1,615,941 Total 7/13/12 Board Authorization $12,388,881 5/09/14 Board Increased Contingency Authorization (5%) $538,647 Total 05/09/14 Board Contract Authorization $12,927,528 4/10/15 Additional Contingency Authorization Request (2.7%) $290,870 Total Board Authorization Requested $13,218,398 2

14 Contract No. DB100R-12 Dispatch and Operations Center Increase Contract Funding Authorization and Authorize a Change Order above $150,000 USS Cal Builders, Inc. Transmittal Date: April 3, 2015 Meeting Date: April 10, 2015 Page 3 Project Contingency Authorization and Authorized Contingency (20%) $2,154,588 Additional Requested Contingency (2.7%) $290,870 Total New Contingency (22.7%) $2,445,458 Previously Executed Changes Impacting Contingency ($2,152,079) Increase to CO 029 Electrical panel and breaker revisions ($59,802) Resolve differences in disputed Changes ($95,000) Potential claim resolution (109,000) Remaining Project Contingency $29,577 Of the requested additional contingency, $95,000 will be applied towards closing differences in disputed changes and involve unforeseen conditions, schedule impacts and third party coordination impacts. Staff forecasted the monetary value of changes throughout the project and continued to work with the contractor to resolve disputed changes; however due to the complexity of the project and issues, resolutions were not reached until after construction was completed. Also of the additional contingency, $59,802 will be applied towards CO 029, previously authorized by the Board in May 2014, to increase the authorization for a new change order amount of $230,897. This will rectify a mathematical error in a change order associated with revisions to the electrical panels and breakers necessitated by an increase in the future projected electrical loads of the DOC. Finally of the additional contingency, 109,000 will be potentially applied in resolving a claim received after construction was completed from the electrical subcontractor. The 109,000 is an upper limit of what may come out of the negotiations. Staff is working with the contractor to negotiate resolution of a claim through the prescribed contract process and, if the claim is resolved, issue a change order. The remaining $27,687 in project contingency will allow for minor modifications and changes which may arise in the next few months. In accordance with the Board-approved Contract and Procurement Policies and Procedures CON-27, Contingency Funds, the requested increase in contingency funding to 22.7% remains lower than the statutory limits of 25% for contingency funds on public works projects. In accordance with CON-21, Change Orders for Public Works/Construction Contracts, the maximum authority delegated to staff is $150,000 and thus the aforementioned Change Order must have Board approval. Staff is now seeking authorization for the Interim Chief Executive Officer to execute CO 029 that is over $150,000 for a not-to-exceed amount of $230,897. Therefore, staff recommends the Board authorize the Interim Chief Executive Officer to amend Contract No. DB100R-12 with USS Cal Builders, Inc., increasing the contingency fund by 2.7% 3

15 Contract No. DB100R-12 Dispatch and Operations Center Increase Contract Funding Authorization and Authorize a Change Order above $150,000 USS Cal Builders, Inc. Transmittal Date: April 3, 2015 Meeting Date: April 10, 2015 Page 4 in the amount of $290,870 and execute a Change Order over $150,000. This will result in a new total not-to-exceed contract funding authorization amount of $13,218,398 for Contract No. DB100R-12. Budget Impact The DOC construction project is funded with multiple state and local funding sources within the PTC program. Funding for the increase of Contract DB100R-12 authorization would come from the current available funding within the PTC Program reserve, primarily existing State Proposition 1B, Proposition 116 and Local Measure R sources, as well as funding allocated from the Authority s Information Technology department for upgrades to the data center. Prepared by: Darrell Maxey, Senior Director, PTC and C&S Systems Fia AhSue, PTC Technical Services Manager Lia McNeil-Kakaris, Assistant Director, Contracts & Procurement Sam Joumblat Interim Chief Executive Officer 4

16 SOUTHERN CALIFORNIA REGIONAL RAIL AUTHORITY TRANSMITTAL DATE: April 3, 2015 MEETING DATE: April 10, 2015 ITEM 7 TO: FROM: SUBJECT: Board of Directors Interim Chief Executive Officer Contract No. OP Equipment Maintenance Services Extension of Contract Term Bombardier Transit Corporation Issue To enable a seamless continuation of the equipment maintenance services, a one-year time extension of Contract No. OP with Bombardier Transit Corporation (Bombardier) is needed. Recommendation Staff recommends the Board authorize the Interim Chief Executive Officer to amend Contract No. OP with Bombardier to extend the term of the contract by one year to June 30, Alternatives The Board may request a shorter term time extension. Background Contract No. OP with Bombardier was competitively procured and awarded on February 28, 2003 for a seven-year term, with one three-year option. At subsequent meetings in 2008 and 2010, the Board approved exercising the three-year option, and approved extension of the contract term by two additional years after agreeing to rate reductions, resulting into extension of the period of performance through June 30, Contract No. OP specifies a budgeting process that requires Bombardier to provide an annual budget based on a service plan provided by the Authority s Equipment Department. Since Bombardier s current contract expires on June 30, 2015, staff initiated discussions with Bombardier relative to the FY Service Plan which encompassed a twelve month extension of the contract through June 30, One Gateway Plaza, 12 th Floor, Los Angeles, CA

17 Contract No. OP Equipment Maintenance Services Extension of Contract Term Transmittal Date: April 3, 2015 Meeting Date: April 10, 2015 Page 2 Bombardier proposed a flat budget for FY similar to the FY budget without any increases for indexation. The following proposed changes were discussed and agreed to by Bombardier as part of this twelve month extension: 1. The Service Plan for FY will be developed jointly by the parties and will be at the same rates as the Annual Budget for FY ; 2. Bombardier will manage all overtime in order to comply with the Annual Budget; 3. Additional work not included in the Service Plan and not included in the FY budget will be handled through a Change Order; 4. Provide Bombardier the flexibility to allocate financial resources to achieve the requirements of the Service Plan and continue to provide the Authority evidence of the spend; 5. Liquidated Damages may only be assessed and paid by Bombardier in the event of a major component failure due to Bombardier s negligence; 6. Establish a monthly senior management meeting to review operation and financial performance. Bombardier s proposed FY budget has been reviewed and the final submittal has been found to be consistent with the Authority s operating assumptions for the upcoming fiscal year. The contract period for the twelve month extension will be July 1, 2015 to June 30, Staff will be returning to the Board to request funding for this contract upon approval of the Annual Budget. Budget Impact This action has no budget impact. The current FY Annual Budget for Bombardier s services is $19,558,570. Funding for FY is included in the proposed Annual Budget to be submitted to the Board. Prepared by: Gary Lettengarver, Chief Operating Officer Lia McNeil-Kakaris, Assistant Director, Contracts and Procurement Sam Joumblat Interim Chief Executive Officer 6

18 SOUTHERN CALIFORNIA REGIONAL RAIL AUTHORITY TRANSMITTAL DATE: April 3, 2015 MEETING DATE: April 10, 2015 ITEM 8 TO: FROM: SUBJECT: Board of Directors Interim Chief Executive Officer Authorization of Competitive Negotiation Process and Approval of Revised Evaluation Criteria Request for Proposal No. H Procurement of Fare Collection Systems Issue Revision to the Board approved evaluation criteria is needed to allow for a competitive negotiation procurement process to retain a qualified contractor to provide a fare collection system. Board findings are required to confirm that the procurement of a fare collection system meets the requirements for utilizing the competitive negotiation process for specialized rail transit equipment under Public Utilities Code Section and Public Contract Code Recommendation Staff recommends the Board: 1. Make a finding, by at least two-thirds vote, that the procurement of fare collection systems qualifies as the type of procurement eligible for the competitive negotiation process, authorized pursuant to Public Utilities Code Section and Public Contract Code 20216; 2. Direct the procurement of a fare collection system through such a competitive negotiation process, involving the issuance of a request for proposals that is advertised in accordance with law, and distributed widely in order to maximize competition and generate the maximum feasible number of proposals from qualified sources; and 3. Approve the proposed evaluation criteria detailed in Attachment 1, consistent with the Board-adopted Contract Administration and Procurement Policies and Procedures CON-7, Technical and Cost Criteria Weights, specifying a weighting of seventy percent (70%) for technical qualifications and thirty percent (30%) for cost. One Gateway Plaza, 12 th Floor, Los Angeles, CA

19 Authorization of Competitive Negotiation Process and Approval of Revised Evaluation Criteria Request for Proposal No. H Procurement of Fare Collection Systems Transmittal Date: April 3, 2015 Meeting Date: April 10, 2015 Page 2 Alternatives The Board may: 1. Recommend a different procurement method; or 2. Recommend different proposal evaluation criteria. Legal Notice Regarding Prohibited Ex Parte Communications with Contractors The following restriction shall be effective on the date of the issuance of the RFP. Pursuant to California Public Contract Code Section and Chapter 5.0 titled Ex Parte Communications with Contractors of the SCRRA Ethics Policy, when procurement is authorized under Section of the Public Utilities Code, staff must notify Board members/alternates in bold type of the following communication restriction: NO BOARD MEMBER/ALTERNATE RESPONSIBLE FOR AWARDING A CONTRACT THAT IS SUBJECT TO THE COMPETITIVE NEGOTIATION PROVISIONS OF SECTION OF THE PUBLIC UTILITIES CODE SHALL ENGAGE IN ANY EX PARTE COMMUNICATION WITH A POTENTIAL CONTRACTOR OR REPRESENTATIVE OF THAT POTENTIAL CONTRACTOR EXCEPT IN WRITING AND PROVIDED THAT THE COMMUNICATION SHALL BE MADE PUBLIC. If you have any questions relating to this important prohibition, please contact the Legal Department. Background At the January 23, 2015 meeting, the Board approved the procurement process and evaluation criteria for the procurement of ticket vending machines (TVM). Staff conducted an industry review to assess vendor availability and outreached to other public agencies to compare the requirements of the scope of work. During that review, staff received a request from Los Angeles County Metropolitan Transportation Authority (Metro) to incorporate in the Authority s procurement, an option to provide interoperability between the TVM and the Metro fare collection system. Therefore, staff is returning to the Board at this time to request approval of the revised evaluation criteria. History of TVM Performance and need for new TVMs The current fleet of TVM s consists of 130 TVM s and four (4) Ticket Office Machines (TOMs) across all 55 stations. Over the next 18 months, the TVM fleet will expand to 145 8

20 Authorization of Competitive Negotiation Process and Approval of Revised Evaluation Criteria Request for Proposal No. H Procurement of Fare Collection Systems Transmittal Date: April 3, 2015 Meeting Date: April 10, 2015 Page 3 with planned additional stations. The TVMs have exceeded their useful lifespan and components are failing. Features and Consideration of Technology and Proposed Procurement Options Staff would seek an approach to support all known fare collection systems that exist today and have the capability to support future integration which would include: open payment, open architecture, and open Application Programming Interfaces (APIs). The selected system must be able to interface with the mobile/online ticketing system, potential onboard TVMs and member agency systems, if needed. Staff also suggests reducing the number of fare media ticket stock print styles (currently seven different styles) to one or two styles that would include a Quick Response (QR) code that can be scanned in conjunction with the Rail2Rail program, mobile/online ticketing and potentially other member agency systems. Staff has developed evaluation criteria outlined below and detailed in Attachment 1. The proposed criteria were developed to secure a qualified and experienced firm to provide ticket vending machines. Evaluation Criteria Qualification of Firms 20% Project Management Understanding and Approach 25% Fare Collection System Accurate and Complete Revenue and Ridership Data 25% Cost 30% The period of performance of the resulting contract will be for a base period of five years with a five-year option to be exercised at the discretion of the Authority. The estimated not-to-exceed contract amount is anticipated to be $20 million for the purchase of the TVMs plus an additional $4 million for design and internal costs, for a total cost of $24 million. In addition, approximate costs of $2.4 million per year are needed for ongoing maintenance. Should the Authority not be able to share Metro s back office, it would need to establish a stand-alone back office which could cost up to an additional $5 million. Public Utilities Code Section acknowledges that because of the highly specialized and unique nature of the fare collection system, it is in the public interest to consider factors in addition to price when procuring specialized equipment like fare collection systems. Public Utilities Code Section , Public Contract Code Section and the Authority s Contract and Procurement Policies and Procedures (CON-7 and CON-10) allow a competitive negotiation process in lieu of a competitive sealed bid process when conditions are not appropriate for sealed bids. Competitive negotiation in this context 9

21 Authorization of Competitive Negotiation Process and Approval of Revised Evaluation Criteria Request for Proposal No. H Procurement of Fare Collection Systems Transmittal Date: April 3, 2015 Meeting Date: April 10, 2015 Page 4 describes a procurement process in which a Request for Proposal is issued that identifies all evaluation factors, including price. Such a process is also consistent with best procurement practices endorsed by the Federal Transit Administration. Budget Impact Approval of evaluation criteria has no impact on the current fiscal year budget. Funding for this project will be included in the FY new capital budget and operating costs will be included in subsequent budget years. Certain options within the contract may be reimbursable. Prepared by: Russell Case, Director, Fare Collection Services Gary Lettengarver, Chief Operating Officer Lia McNeil-Kakaris, Assistant Director, Contracts and Procurements Sam Joumblat Interim Chief Executive Officer 10

22 Authorization of Competitive Negotiation Process and Approval of Revised Evaluation Criteria Request for Proposal No. H Procurement of Fare Collection Systems Transmittal Date: April 3, 2015 Meeting Date: April 10, 2015 Page 5 ATTACHMENT 1 Request for Proposal No. H Procurement of Ticket Vending Machines Proposed Evaluation Criteria Criteria Weight A. Qualification of Firms 20% Demonstrated experience and expertise of the firm in multi-fare type and complex fare structures and experience in providing regional commuter rail ticket vending machines as a fare collection system; Demonstrated technical expertise, experience, financial stability and capability needed to effectively provide ticket vending machine installation services. B. PROJECT MANAGEMENT UNDERSTANDING AND APPROACH 25% Demonstrated understanding of the Scope of Services and its components and capabilities of system support across a large system footprint for a fare collection system using ticket vending machines for both platforms and onboard trains as well as the fare collection system s interface with a mobile/online ticketing system and other existing fare collection systems across the Authorities region. Thoroughness in explaining how the Scope of Services will be implemented as well as capabilities of integrating with the Authority s changes in fare policy. C. FARE COLLECTION SYSTEM - ACCURATE AND COMPLETE REVENUE AND RIDERSHIP DATA 25% Understanding and approach in providing accurate and complete revenue and ridership data in a fare collection system for ticket vending machines using multiple fare types and a complex fare structure; change-order recommendations to meet the Authority s requirements and revenue reporting; support for multiple fare collection requirements. D. COST 30% Reasonableness of cost in relation to other proposers 11

23 SOUTHERN CALIFORNIA REGIONAL RAIL AUTHORITY TRANSMITTAL DATE: April 3, 2015 MEETING DATE: April 10, 2015 ITEM 9 TO: FROM: SUBJECT: Issue Board of Directors Interim Chief Executive Officer Contract No. SP Consultant Services to Support the Office of the Chief Executive Officer - Recommendation to Award James S. Kenan Consultant services are needed at this time to support the in-coming Chief Executive Officer. Recommendation Staff recommends the Board find that a non-competitive contract with James S. Kenan is in the best interest of the Authority and authorize the Interim Chief Executive Officer to award Contract No. SP for Consulting Services to Support the Office of the Chief Executive Officer in an amount not-to-exceed $100,000 for a period of performance from April 20, 2015 through May 31, Alternative The Board may: 1) Modify the amount of the contract funding authorization; or 2) Direct staff to issue an Invitation for Bid for these services. Background Consultant services to provide assessment of the Authority s process improvement opportunities will assist the in-coming Chief Executive Officer in identifying and implementing these improvements. Mr. Kenan has an excellent background in the public transit sector. He was the Deputy Chief Executive Officer for the Orange County Transportation Authority (OCTA) and is familiar with the Authority s structure as he spearheaded the Peer Review of the Authority in In addition, he has been providing similar services to the CEOs of OCTA and the Los Angeles Metropolitan Transportation Authority (Metro). His combination of the Authority knowledge and expertise in the public sector transit industry uniquely qualifies him to support the CEO in multiple areas of the organization on an as needed basis. One Gateway Plaza, 12 th Floor, Los Angeles, CA

24 Contract No. SP Consultant Services to Support the Office of the Chief Executive Officer - Recommendation to Award Transmittal Date: April 3, 2015 Meeting Date: April 10, 2015 Page 2 Staff has conducted a cost and price analysis on the proposed rates for Mr. Kenan and based on past rates and usage history, staff has concluded that the proposed rates are within industry standards and are fair and reasonable. Mr. Kenan s hourly rate is $200 per hour. This recommendation for contract award is made in accordance with the Board approved Contracts Administration and Procurement Policy CON-19, permitting award when the Board determines in its sole discretion that a non-competitive procurement is in the best interest of the Authority. Attachment A is the proposed scope of work and Attachment B is James Kenan s resume. Budget Impact Funding for Consulting Services is included in the FY Budget. Funding has been requested in the proposed FY Budget. Prepared by: Sam Joumblat, Interim Chief Executive Officer Lia McNeil-Kakaris, Assistant Director, Contracts and Procurement Sam Joumblat Interim Chief Executive Officer 13

25 Attachment A Scope of Work Provide support to the office of the CEO to identify opportunities for improved communication with the all SCRRA member agencies including regular status reports on Ticket Vending Machines, ridership, fare evasion, and key financial data. Provide ongoing support services to the Office of the CEO on an as requested basis. Services provided may include working with project staff on the ticket vending machine procurement, the mobile app procurement, the multi-year budget proposal and the long range financial plan and Metrolink's capital acquisition plan. Services will also include working with all SCRRA member agencies to address financial concerns that have been identified by member agencies. Provide support to the CEO's office in the area of Strategic Planning, Staff Development, Leadership Development, and Organizational Development. This effort will support CEO Art Leahy in his effort to make Metrolink a world class organization that is able to attract, hire, and retain a world class staff. Provide support to the CEO's Office in reviewing opportunities for process improvements including a review of the Board Agenda process and the timely preparation of staff reports. Staff report templates will be reviewed for consistency and to determine that reports are thorough and contain sufficient information for Metrolink Board Members, and others, to make an informed decision. Provide support to the CEO's office with the implementation of the new multi-year strategic plan. Provide support in the areas of contracts and procurement to determine if there are opportunities to improve upon existing procurement schedules and improve the current work flow at Metrolink including working with the vendor community. 14

26 Attachment B 15

27 SOUTHERN CALIFORNIA REGIONAL RAIL AUTHORITY TRANSMITTAL DATE: April 3, 2015 MEETING DATE: April 10, 2015 ITEM 10 TO: FROM: SUBJECT: Board of Directors Interim Chief Executive Officer Updates to Finance Policies and Procedures Issue Approval is needed for updates to Finance Policies and Procedures FIN-8.4 and FIN-8.9. Recommendation Staff recommends the Board approve updates to Finance Policies and Procedures FIN-8.4 Travel Authorization and Business Expense Reimbursement and FIN-8.9 Per Diem Compensation for Board Members. Alternatives The Board may elect not to adopt the updates or suggest alternative changes to the policies and procedures. Background The Authority has in place a travel and reimbursement policy to provide guidelines to employees and Board members regarding travel arrangements and reimbursement procedures (FIN-8.4). The Authority also has a policy for per diem compensation to Board members who attend meetings on its behalf (FIN-8.9). These two policies have been reviewed and updated to provide additional information on the responsibilities of employees and Board members, both when planning and during travel, to provide greater clarity of acceptable business expenditures, and to provide more detail regarding nonreimbursable expenses. Finance Policies and Procedures FIN 8.4 (Travel Authorization and Business Expense Reimbursement) Additional language has been added throughout the policy intended to add clarity to the various types of reimbursable expenditures outlined in the policy. One Gateway Plaza, 12 th Floor, Los Angeles, CA

28 Updates to Finance Policies and Procedures Transmittal Date: April 3, 2015 Meeting Date: April 10, 2015 Page 2 Examples include: Addition of new sections for Entertainment Expenses (1.1.11), Memberships and Subscriptions (1.1.12), and Non-Reimbursable Expenses (1.1.13) Additional requirements for use of privately owned vehicles for travel, ( mileage must be supported by a description including beginning and ending points and supported by documentation such as Google Maps, Map Quest, etc.), and ( mileage reimbursement is limited to the lesser of the mileage rate calculation or the least expensive cost of air transportation.) New language has been added specifically pertaining to Board Members eligibility for lodging expenses when traveling 75 miles or more to attend SCRRA Board or Committee meetings ( ) and; Language that Board Members signatures are required in order to process reimbursement requests (1.2.3). Finance Policies and Procedures FIN 8.9 (Per Diem Compensation for Board Members) AB 1234 authorizes members of the legislative body to receive compensation for attendance at meetings of the legislative body (e.g. Board and Committee meetings), meetings of advisory bodies, and conferences or organized educational activities such as professional conferences (e.g. APTA, League of California Cities, County Supervisors Association). The bill authorizes compensation for other activities not specified above only if the governing body has adopted, at a public meeting, a written policy specifying other types of occasions that constitute the performance of official duties for which members may receive compensation. Staff has updated the policy and procedure document (FIN 8.9) to note that attendance at meetings, events and conferences will be coordinated through the Authority s Board Secretary. This policy meets the requirements of AB 1234, and reflects current practices relating to Board member per diem. Specifically, the policy reaffirms current compensation levels of $100 per day, not to exceed $500 per month and lists the types of meetings and events for which per diem compensation is permitted. Budget Impact There is no budget impact associated with this recommendation. Prepared by: Tom Franklin, Controller Sam Joumblat Interim Chief Executive Officer 17

29 REVISED PAGE (IN BOLD) Southern California Regional Rail Authority Finance Policies and Procedures Manual TITLE: Travel Authorization and Business Expense Authorization & Reimbursement FIN NO. ORIGINATING UNIT: Finance Department EFFECTIVE DATE: 01/27/06April 10, 2015 REVISION: 12 PURPOSE This policy establishes guidelines governing authorization and reimbursement of business expenses incurred by Authority employees and the Board of Directors, to provide accountability of related expenses and to ensure an efficient process for approval of travel requests and related expense reimbursement. APPLICATION This policy and procedures document applies to SCRRA employees and members of the SCRRA Board of Directors who incur expenses associated with travel and business transacted on behalf of the Authority. Where there are differences in policy related to the members of the Board of Directors, these differences are specifically noted. POLICY STATEMENT SCRRA authorizes and reimburses ordinary, necessary and reasonable business expenses incurred while conducting SCRRA business, participating in training, seminars, or attending professional association conferences with complete and approved supporting documentation. The Chairman of the Board or Chief Executive Officer, in consultation with the Board Chair, shall authorize in advance Board member business travel for purposes of officially representing SCRRA in connection with an approved SCRRA program, policy, plan, or as a legislative advocate on behalf of SCRRA s approved legislative program. Prior approval is not required for travel to regular meetings of the SCRRA Board and Committees. 1.0 PROCEDURES 18

30 Travel Authorization & Business Expense Reimbursement Page 2 SCRRA will reimburse employees for business related expenses based on an approved Business Expense Authorization and Reimbursement Form. To ensure prompt authorization and reimbursement, the following procedures must be followed. 1.1 Travel and Business Expense Authorization and ReimbursementReport Guidelines Prior to incurring most business expenses, an employee must complete a Business Expense authorization and ReimbursementTravel Request Authorization (TRA) Form. Staff [see Attachment 1 / Refer to Attachment 3 for approval process]. When known in advance, staff will prepare this form for members of the Board of Directors and the form will be approved by the Chief Executive Officer. Trip documentation such as conference schedules, completed registration forms, mailing envelopes and business itineraries must be attached to the authorization form. All necessary authorizations must be obtained in advance, as follows: The employee s immediate supervisor must approve requests for conferences, training, seminars and all related documentation The request must be approved by an authorized signer as defined in the Signature Authorization Policy, FIN-8.2, including the Department Chief If theall travel is out-of-state,forms must be approved by the Chief Executive Officer must approve If the expense is training related, the Director, Human Resources or Manager, Learning & Development must approve, as the training budget resides with Human Resources Board member travel requests will be authorized by the Chief Executive Officer, in consultation with the Board Chair Travel Advance Advances to a traveler will generally not be allowed for transportation, car rental, lodging, and registration. If incurring travel expenses will constitute a hardship on an employee or Board Member, the following advances may be approved: 19

31 Travel Authorization & Business Expense Reimbursement Page Travel advances up to $ must be approved by the Department DirectorChief Travel advances over $ must be approved by the Chief Executive Officer If a Travel and Business Expense Authorization and Reimbursement Form is not returned to accounting within 30 days of completion of the travel, future advances will not be paid. [see Attachment 2] Prepaid Travel Expenses The Authority prefers to make direct payments to the service the provider for transportation, and conference/seminar registration prior to the commencement of any travel Any of these expenses paid by the traveler must be reasonable, within the travel guidelines and supported by receipts Air and Travel and Car Rental - employees are required to coordinate all airline and car rental reservations through the travel coordinator in Administrative Services Transportation bookings All employees and members of the Board of Directors must utilize the most economic mode of transportation, including government rates where available, and the most traveleddirect travel route If for personal convenience an indirect route is traveled or travel by a direct route is interrupted, except for reasons beyond the control of the traveler or valid business reason, any resulting extra expense will be borne by the traveler Any resulting excess travel time, except where beyond the control of the employee, will be not be considered work time but should be charged on the employee s time sheet as Paid Time Off With Pay (TOWP(PTO), if travel occurs during regularly scheduled work hours and employee has received prior approval from supervisor Traveler must immediately notify Administrative Services of any modifications related to the trip, including the need to 20

32 Travel Authorization & Business Expense Reimbursement Page 4 cancel. Charges or loss of refunds resulting from failure to cancel reservations in accordance with carrier s rules and time limits will not be reimbursed, unless it can be demonstrated that such failure resulted from circumstances beyond the traveler s control or valid business reason approved by the traveler s Supervisor The traveler is responsible to ensure that unused portions of transportation tickets, which are subject to refund, are turned in promptly to Administrative Services to secure such refund Modes of Transportation Air Travel - for all trips involving travel by commercial carriers, reservations must be coordinated through the travel coordinator. When making airline reservations, consideration should be given to a Saturday stay if it is cost effective to do so. in Administrative Services Authority Owned Vehicles - Authority owned vehicles may only be used for local travel within the Metrolink service area Privately Owned Vehicles Privately owned vehicles may be used for travel. The traveler must carry liability insurance as required by the State of California, reimbursement for which shallwill not be allowed Reimbursement for use of privately owned vehicle shall be based on actual mileage, to the nearest mile, based on the mileage rates established by the Internal Revenue Service. Mileage claimed must be supported by a statement of description of travel expenses containing a description of the beginning and ending destination points. The calculation of miles claimed must be clearly indicated andwith supporting documentation such as MapQuest, Google Maps, etc. attached to the Travel and Business Expense Form Reimbursable mileage is limited to the number of miles in excess of that normally driven from the employee s residence to and from the assigned work location or public transit location. Reimbursement is further limited to the lesser of the current 21

33 Travel Authorization & Business Expense Reimbursement Page 5 mileage rate calculation or the least expensive cost of air transportation Charges for parking, toll road or emergency road services will be reimbursed Repairs, gasoline or other automobile expensesexpense items shall not be reimbursed Car Rental Employees who require a car rental during their travel will place their request on the TRA. Before renting a car, a determination should be made whether other modes of local transportation are more cost efficient. The travel coordinator in Administrative Services is responsible for arranging car rental reservations. The duration of the rental and other expenses such as tolls and parking should be examined. For example, a shuttle from an airport to a meeting location may be more cost efficient for a single SCRRA traveler, but if more than one SCRRA traveler is being transported; a rental car might be more efficient Reimbursement for rental car is limited to those days that the traveler is on SCRRA business Rental vehicle can only be driven while on business travel by those who have been pre-approved to drive the Authority s owned vehicles Advance reservations should be discussed with the Travel Coordinator.travel coordinator in Administrative Services. Whenever possible a traveler is expected to be prudent in the selection of automobile model based on the number of people being transported by the vehicle When renting a vehicle for SCRRA business purposes, a traveler should not purchase the optional liability or physical damage insurance offered by the rental company. The travel coordinator in Administrative Services will provide the necessary insurance documentation prior to travel Other modes of transportation -Other modes of transportation - The traveler is encouraged when possible to take the FlyAway bus or other public transit methods when flying. The traveler 22

34 Travel Authorization & Business Expense Reimbursement Page Lodging Expenses must seek the most cost-effective parking option available. Public transportation should be used for ground transportation whenever practical and cost effective. Taxi and shuttle fares shall be reimbursed only with appropriate receipts Hotel accommodations will be reimbursed, if justifiable, at a reasonable competitive rate for the night prior to an event. Reservations for hotel accommodations should be made early enough to take advantage of group rates, where available. Government rates, where available, should also be requested SCRRA Board members that are required to travel 75 miles or more one-way to attend a SCRRA Board or Committee meeting are eligible to receive reimbursement for overnight lodging costs as described in The mileage limitation does not apply to attendance at Board Workshops or other Agency related special events. Once approval is granted, the Board Secretary will coordinate with the Board member to make lodging arrangements. If own arrangement are made, then receipts must be submitted to the Board Secretary for reimbursements The Authority will reimburse at actual rates for single accommodations only, including applicable taxes When family members or spousesignificant other accompany the traveler, reimbursable lodging expenses shall only be that share of the room expense normally charged as the single occupancy rate for the room. A breakdown of this should be requested of the innkeeper at the time of payment/check-out and should be indicated by him/her on the statement Registration Fees Payments for registration fees should be made in advance, upon approval of the request to attend an event. The travel coordinator in Administrative Services is responsible for handling the payment of the registration fee whenever possible. Payment should be made payable to the event sponsor or organization whenever possible In the event an emergency arises and a traveler personally pays the registration fees, reimbursement will then be requested on 23

35 Travel Authorization & Business Expense Reimbursement Page 7 the request for reimbursement subject to the appropriate documentation being provided Meals The cost of the traveler s necessary meals while traveling on official business shall be reimbursed at actual costs not-to-exceed $50 per day, excluding alcoholic beverages (original receipts required), or at a daily per diem of $50. For partial day travel, the amount shall be prorated at $10 for breakfast, $15 for lunch, and $25 for dinner. as detailed below. Note: Alcoholic beverage purchases are not reimbursed Other Travel-related Expenses Telephone business related calls will be reimbursed if appropriate documentation is submitted to include person called, telephone number and the nature of the discussion One (1) 10-minute personal phone call will be reimbursed for each day Baggage Handling reasonable fees/tips are reimbursable Laundry/Dry Cleaning travelers required to be out of town for more than three consecutive days may be reimbursed for reasonable laundry/dry cleaning expenses while traveling Other Incidental Expenses supplies, reprographics, facsimiles, and other documented business expenses while traveling may be reimbursed Entertainment Expenses Expenses associated with providing meals to Metrolink visitors or government agency representatives may be reimbursed, however justification is required and must include the following: Names and titles Agency / Company Purpose of meeting / Agenda Banquets and Receptions Entertainment expenses for banquets, receptions, etc. require pre-approval in accordance with Signature Authorization Policy, FIN-8.2 if the amount is budgeted. If not budgeted, it will require approval from the Chief Executive Officer. 24

36 Travel Authorization & Business Expense Reimbursement Page Expenses for Significant other or Guest At an entertainment function where a significant other or guest s presence is necessary and beneficial, written authorization by the Chief Executive Officer or his designee is required for reimbursement. The written authorization must include the specific reason why reimbursement is justified SCRRA Employees - SCRRA does not reimburse expenses when employees buy meals or refreshments for other SCRRA employees, contracted employees, special services employees or consultants. This applies when the cost is incurred in a restaurant or catered in-house. The fact that SCRRA business is being discussed during these meetings does not change this policy Memberships and Subscriptions Memberships and subscriptions are managed by the Executive Office. Requests for memberships and subscriptions are submitted during the development of the annual budget and are approved by the Chief Executive Officer. Once the request has been approved, the Chief Executive Officer will submit the membership/subscription renewal to Accounts Payable for processing and copy the requestor for their reference If a membership or subscription needs to be paid by a personal credit card, the requestor must first confirm with the Chief Executive Officer s office that the costs were included in the budget. If not included in the budget, approval from the Chief Executive Officer is required Non-reimbursable Expenses - SCRRA s policy is that expenses in any category that could be perceived as lavish or excessive will not be reimbursed, as such expenses are inappropriate for reimbursement by a public agency. Expenses that are not reimbursable include, but are not limited to: Alcoholic beverages Costs associated with birthday, retirement or other celebrations for SCRRA staff except as provided for under HR Policies and Procedures, Policy 4.13 Employee Recognition Program 25

37 Travel Authorization & Business Expense Reimbursement Page Incremental cost of lodging and meals for significant others, friends or relatives accompanying employee on business travel or attending SCRRA-related functions Incremental airline ticket costs to obtain frequent flyer benefits Incremental cost of lodging, meals and other travel expenses incurred during personal time prior to or after completion of a SCRRA-related business trip. If deemed necessary for conducting business the next day along with pre-approval these costs will be reimbursed Personal expenses such as toiletries, personal care items, movies, medicines, health club fees, etc Internet access at hotels unless an explanation of specific business need is included Fines for parking tickets or moving violations Membership dues at any country club, golf club, tennis club or similar recreational organization Late fees or penalties incurred on a Corporate American Express or personal credit card due to failure of employee to submit requests for reimbursement in a timely manner Expenses over $25 without original receipts Meal expenses over the $50 daily limit or gratuities in excess of 15% Policy exceptions which were not pre-approved Expenses that violate SCRRA charter, Municipal Codes, Administrative Regulations or Directives Sponsorships and Charitable donations. 1.2 Completing the Business Expense Authorization and ReimbursementTravel and Business Expense Form 26

38 Travel Authorization & Business Expense Reimbursement Page The Business Expense Authorization and ReimbursementA completed Travel and Business Expense Form is completed required to receive approval for attendance at conferences, training, seminars and other related business meetings or associated travel and to be reimbursed for related expenses Original receipts are required for expense reimbursement. In the absence of receipts, or credit card statements, an employee s supervisor must approve reimbursementa statement explaining why a receipt was not provided. All prepaid expenses and advances must be included when completing the Travel and Business Expense Authorization and Reimbursement Form All employees are required to submit a brief report to their supervisor upon their return explaining the benefit of the travel to the SCRRA. A copy of this report should be attached to the Business Expense Authorization and Reimbursement Form Members of the Board of Directors seeking reimbursement for Authority travel expenses shall provide records of such expenses to the Board Secretary, who will complete the Travel and Business Expense Authorization and Reimbursement Form. and will obtain signature from the Board member in order to process the reimbursement. The Board Secretary will compile the required report on travel-related activities atwithin 30 days of the next regular meeting of the Board of Directors according to Assembly Bill The completed Travel and Business Expense Authorization and Reimbursement Form must include the appropriate signatures as required on the form for. For authorization and for reimbursement, the signatures must comply with the Signature Authorization Policy, FIN-8.2. Employees must submit all expense reports related to travel to the Chief Executive Officer for final approval. Board member forms shall be reviewed and signed by the Chief Executive Officer For reimbursement Reimbursement of thenon-travel related business expenses, must include the appropriate signatures as required according to the Signature Authorization Policy, FIN-8.2. The completed Travel and Business Expense Form must be sent to Accounts Payable. The check will be available the day following the next regularly scheduled accounts payable check run. 2.0 DEFINITION OF TERMS 27

39 Travel Authorization & Business Expense Reimbursement Page 11 Traveler an employee or member of the Board of Directors who travels on SCRRA business. Local Travel travel within the State of California. Miscellaneous Expense Any authorized expense incurred by an employee for which a reimbursement will be paid that does not require advance written signature authority for which a Business Expense Authorization and Reimbursement Form must be completed to receive reimbursement. For example, an employee may travel to Pomona with his/her own vehicle and seek reimbursement for mileage expense. Out of State Travel travel outside of the State of California. Prepaid Expenses payments made to a vendor for lodging, transportation, registration, car rental or meals. Per Diem maximum amount for meals that can be reimbursed without receipts. Travel Advance amount of SCRRA funds paid directly to a traveler before a business expense is incurred and usually prior to travel. Business Expense Travel Request and Authorization and Reimbursement Form (TRA) used to estimate travel costs and secure authorization for other various types of business expenses. 28

40 Travel Authorization & Business Expense Reimbursement Page 12 Travel and Business Expense Form used to receive reimbursement for travel and other business expenses. 3.0 RESPONSIBILITIES 3.1 Employee or Member of the Board of Directors Prior to any travel, prepares Business Expense Authorization and Reimbursement FormTRA indicating description of the required reason for the business expense (meeting, conference, seminar, training, etc., estimated costs, dates, destination and other related information.) Board members traveling at the Authority s expense shall forward travel itinerary and other information to the Board Secretary for completion of arrangements consistent with employee travel procedures below Forwards the form with attachments to his/her immediate supervisor for approval. All travel related forms should be submitted to the Chief Executive Officer for final approval Upon receipt of the approved form, forwards a copy of the form to the Travel Coordinatortravel coordinator in Administrative Services to make travel arrangements and reservations (without supporting documents) Upon returning from travel, returns to the Travel Coordinator the unused portions of tickets that are subject to refund Within thirty (30) days of returning from travel, prepares and submits a Travel and Business Expense Authorization and Reimbursement Form, attaching supporting receipts and documentation. At the conclusion of travel, Board members shall forward receipts and other supporting documentation to the Board Secretary to complete the process Prepares as an attachment toforwards the Travel and Business Expense Authorization and Reimbursement Form a brief memo that summarizes the trip and indicates how SCRRA benefited from the travel Forwards the Business Expense Authorization and Reimbursement Form to his/her immediate supervisor. All travel related forms should be submitted to the Chief Executive Officer Upon receipt of the approved form, submits to AP for processing with the appropriate attachments. 29

41 Travel Authorization & Business Expense Reimbursement Page Supervisor Upon receipt of a request to attend a conference, seminar, training or a related business meeting and a completed Business Expense Authorization and Reimbursement FormTRA, approves or disapproves the request If approved, signs form and forwards to the approver as defined in the Signature Authorization Policy, FIN If disapproved, indicates the reason for denial and returns the unsigned form to the Employee Upon receipt of a request for reimbursement of expense as identified on a properly completed Travel and Business Expense Authorization and Reimbursement Form with receipts as applicable, approves or disapproves the form. 3.3 Approver If approved, signs the form and forwards to the approver as defined in the Signature Authorization Policy, FIN If disapproved, indicates the reason for denial and returns the unsigned form to the Employee for correction Reviews the Travel and Business Expense Authorization and Reimbursement Form for appropriateness of the proposed business expenses and the availability of budget Approves or disapproves the request, and returns to the originating employee Reviews the Travel and Business Expense Authorization and Reimbursement Form for related expenses, and reviews documentation Approves or disapproves the report, and returns to the originating employee. 3.4 Travel Coordinator Upon receipt of a request for travel and a Business Expense Authorization and Reimbursement Forman approved TRA, makes the necessary travel arrangements and reservations. 30

42 Travel Authorization & Business Expense Reimbursement Page Forwards travel itinerary, reservations and/or tickets, as applicable, to the employee traveler. May also cancel tickets and reservations, as required Upon receipt of unused portions of tickets, secures refunds. 3.5 Accounts Payable Upon receipt of the approved Travel and Business Expense Form, reviews form to ensure mathematical accuracy. If errors are found, makes corrections in coordination with employee. Once form is accurate, processes a check in the next regularly scheduled Accounts Payable check run. 4.0 REFERENCES None. 5.0 ATTACHMENTS 1. Business Expense Travel Authorization Form (TRA) 1.2.Travel and ReimbursementBusiness Expense Form 3. Travel Flowchart 6.0 PROCEDURE HISTORY January 28, New Finance Policy and Procedures document approved Approvals Department Director Legal Counsel Chief Executive Officer January 27, 2006 Revised Policy April 10, 2015 Revised Policy 31

43 REVISED Page (IN BOLD) Southern California Regional Rail Authority Finance Policies and Procedures Manual TITLE: Travel Authorization and Business Expense Reimbursement NO. FIN ORIGINATING UNIT: Finance Department EFFECTIVE DATE: April 10, 2015 REVISION: 2 PURPOSE This policy establishes guidelines governing authorization and reimbursement of business expenses incurred by Authority employees and the Board of Directors, to provide accountability of related expenses and to ensure an efficient process for approval of travel requests and related expense reimbursement. APPLICATION This policy and procedures document applies to SCRRA employees and members of the SCRRA Board of Directors who incur expenses associated with travel and business transacted on behalf of the Authority. Where there are differences in policy related to the members of the Board of Directors, these differences are specifically noted. POLICY STATEMENT SCRRA authorizes and reimburses ordinary, necessary and reasonable business expenses incurred while conducting SCRRA business, participating in training, seminars, or attending professional association conferences with complete and approved supporting documentation. The Chief Executive Officer, in consultation with the Board Chair, shall authorize in advance Board member business travel for purposes of officially representing SCRRA in connection with an approved SCRRA program, policy, plan, or as a legislative advocate on behalf of SCRRA s approved legislative program. Prior approval is not required for travel to meetings of the SCRRA Board and Committees. 1.0 PROCEDURES SCRRA will reimburse employees for business related expenses based on an approved Business Expense Authorization and Reimbursement Form. To ensure prompt authorization and reimbursement, the following procedures must be followed. 32

44 Travel Authorization & Business Expense Reimbursement Page Travel and Business Expense Report Guidelines Prior to incurring most business expenses, an employee must complete a Travel Request Authorization (TRA) Form [see Attachment 1 / Refer to Attachment 3 for approval process]. When known in advance, staff will prepare this form for members of the Board of Directors and the form will be approved by the Chief Executive Officer. Trip documentation such as conference schedules, completed registration forms, mailing envelopes and business itineraries must be attached to the authorization form. All necessary authorizations must be obtained in advance, as follows: The employee s immediate supervisor must approve requests for conferences, training, seminars and all related documentation The request must be approved by an authorized signer as defined in the Signature Authorization Policy, FIN-8.2, including the Department Chief All travel forms must be approved by the Chief Executive Officer If the expense is training related, the Manager, Learning & Development must approve, as the training budget resides with Human Resources Board member travel requests will be authorized by the Chief Executive Officer, in consultation with the Board Chair Travel Advance Advances to a traveler will generally not be allowed for transportation, car rental, lodging, and registration. If incurring travel expenses will constitute a hardship on an employee or Board Member, the following advances may be approved: Travel advances up to $ must be approved by the Department Chief Travel advances over $ must be approved by the Chief Executive Officer If a Travel and Business Expense Form is not returned to accounting within 30 days of completion of the travel, future advances will not be paid. [see Attachment 2] 33

45 Travel Authorization & Business Expense Reimbursement Page Prepaid Travel Expenses The Authority prefers to make direct payments to the service provider for transportation, and conference/seminar registration prior to the commencement of any travel Any of these expenses paid by the traveler must be reasonable, within the travel guidelines and supported by receipts Air Travel and Car Rental - employees are required to coordinate all airline and car rental reservations through the travel coordinator in Administrative Services Transportation bookings All employees and members of the Board of Directors must utilize the most economic mode of transportation, including government rates where available, and the most direct travel route If for personal convenience an indirect route is traveled or travel by a direct route is interrupted, except for reasons beyond the control of the traveler or valid business reason, any resulting extra expense will be borne by the traveler Any resulting excess travel time, except where beyond the control of the employee, will not be considered work time but should be charged on the employee s time sheet as Paid Time Off (PTO), if travel occurs during regularly scheduled work hours Traveler must immediately notify Administrative Services of any modifications related to the trip, including the need to cancel. Charges or loss of refunds resulting from failure to cancel reservations in accordance with carrier s rules and time limits will not be reimbursed, unless it can be demonstrated that such failure resulted from circumstances beyond the traveler s control or valid business reason approved by the traveler s Supervisor The traveler is responsible to ensure that unused portions of transportation tickets, which are subject to refund, are turned in promptly to Administrative Services to secure such refund. 34

46 Travel Authorization & Business Expense Reimbursement Page Modes of Transportation Air Travel - for all trips involving travel by commercial carriers, reservations must be coordinated through the travel coordinator in Administrative Services Authority Owned Vehicles - Authority owned vehicles may only be used for local travel within the Metrolink service area Privately Owned Vehicles Privately owned vehicles may be used for travel. The traveler must carry liability insurance as required by the State of California, reimbursement will not be allowed Reimbursement for use of privately owned vehicle shall be based on actual mileage, to the nearest mile, based on the mileage rates established by the Internal Revenue Service. Mileage claimed must be supported by a statement of description of travel expenses containing a description of the beginning and ending destination points. The calculation of miles claimed must be clearly indicated with supporting documentation such as MapQuest, Google Maps, etc. attached to the Travel and Business Expense Report Reimbursable mileage is limited to the number of miles in excess of that normally driven from the employee s residence to and from the assigned work location or public transit location. Reimbursement is further limited to the lesser of the current mileage rate calculation or the least expensive cost of air transportation Charges for parking, toll road or emergency road services will be reimbursed Repairs, gasoline or other automobile expense items shall not be reimbursed Car Rental Employees who require a car rental during their travel will place their request on the TRA. Before renting a car, a determination should be made whether other modes of local transportation are more cost efficient. The travel coordinator in Administrative Services is responsible for arranging car rental reservations. The duration of the rental and other expenses such as tolls and 35

47 Travel Authorization & Business Expense Reimbursement Page 5 parking should be examined. For example, a shuttle from an airport to a meeting location may be more cost efficient for a single SCRRA traveler, but if more than one SCRRA traveler is being transported; a rental car might be more efficient Reimbursement for rental car is limited to those days that the traveler is on SCRRA business Rental vehicle can only be driven while on business travel by those who have been pre-approved to drive the Authority s owned vehicles Advance reservations should be discussed with the travel coordinator in Administrative Services. Whenever possible a traveler is expected to be prudent in the selection of automobile model based on the number of people being transported by the vehicle When renting a vehicle for SCRRA business purposes, a traveler should not purchase the optional liability or physical damage insurance offered by the rental company. The travel coordinator in Administrative Services will provide the necessary insurance documentation prior to travel Other modes of transportation - The traveler is encouraged when possible to take the FlyAway bus or other public transit methods when flying. The traveler must seek the most cost-effective parking option available. Public transportation should be used for ground transportation whenever practical and cost effective. Taxi and shuttle fares shall be reimbursed only with appropriate receipts Lodging Expenses Hotel accommodations will be reimbursed, if justifiable, at a reasonable competitive rate for the night prior to an event. Reservations for hotel accommodations should be made early enough to take advantage of group rates, where available. Government rates, where available, should also be requested SCRRA Board members that are required to travel 75 miles or more one-way to attend a SCRRA Board or Committee meeting are eligible to receive reimbursement for overnight lodging costs as described in The mileage limitation does not apply to attendance at Board Workshops or other Agency related special 36

48 Travel Authorization & Business Expense Reimbursement Page 6 events. Once approval is granted, the Board Secretary will coordinate with the Board member to make lodging arrangements. If own arrangement are made, then receipts must be submitted to the Board Secretary for reimbursements The Authority will reimburse at actual rates for single accommodations only, including applicable taxes When family members or significant other accompany the traveler, reimbursable lodging expenses shall only be that share of the room expense normally charged as the single occupancy rate for the room. A breakdown of this should be requested of the innkeeper at the time of payment/check-out and should be indicated by him/her on the statement Registration Fees Payments for registration fees should be made in advance, upon approval of the request to attend an event. The travel coordinator in Administrative Services is responsible for handling the payment of the registration fee whenever possible. Payment should be made payable to the event sponsor or organization whenever possible In the event an emergency arises and a traveler personally pays the registration fees, reimbursement will then be requested, subject to the appropriate documentation being provided Meals The cost of the traveler s necessary meals while traveling on official business shall be reimbursed at actual costs not-to-exceed $50 per day, excluding alcoholic beverages (original receipts required), or at a daily per diem of $50. For partial day travel, the amount shall be prorated at $10 for breakfast, $15 for lunch, and $25 for dinner as detailed below. Note: Alcoholic beverage purchases are not reimbursed Other Travel-related Expenses Telephone business related calls will be reimbursed if appropriate documentation is submitted to include person called, telephone number and the nature of the discussion One (1) 10-minute personal phone call will be reimbursed for each day Baggage Handling reasonable fees/tips are reimbursable. 37

49 Travel Authorization & Business Expense Reimbursement Page Laundry/Dry Cleaning travelers required to be out of town for more than three consecutive days may be reimbursed for reasonable laundry/dry cleaning expenses while traveling Other Incidental Expenses supplies, reprographics, facsimiles, and other documented business expenses while traveling may be reimbursed Entertainment Expenses Expenses associated with providing meals to Metrolink visitors or government agency representatives may be reimbursed, however justification is required and must include the following: Names and titles Agency / Company Purpose of meeting / Agenda Banquets and Receptions Entertainment expenses for banquets, receptions, etc. require pre-approval in accordance with Signature Authorization Policy, FIN-8.2 if the amount is budgeted. If not budgeted, it will require approval from the Chief Executive Officer Expenses for Significant other or Guest At an entertainment function where a significant other or guest s presence is necessary and beneficial, written authorization by the Chief Executive Officer or his designee is required for reimbursement. The written authorization must include the specific reason why reimbursement is justified SCRRA Employees - SCRRA does not reimburse expenses when employees buy meals or refreshments for other SCRRA employees, contracted employees, special services employees or consultants. This applies when the cost is incurred in a restaurant or catered in-house. The fact that SCRRA business is being discussed during these meetings does not change this policy Memberships and Subscriptions Memberships and subscriptions are managed by the Executive Office. Requests for memberships and subscriptions are submitted during the development of the annual budget and are approved by the Chief Executive Officer. Once the request has been approved, the Chief Executive Officer will submit the 38

50 Travel Authorization & Business Expense Reimbursement Page 8 membership/subscription renewal to Accounts Payable for processing and copy the requestor for their reference If a membership or subscription needs to be paid by a personal credit card, the requestor must first confirm with the Chief Executive Officer s office that the costs were included in the budget. If not included in the budget, approval from the Chief Executive Officer is required Non-reimbursable Expenses - SCRRA s policy is that expenses in any category that could be perceived as lavish or excessive will not be reimbursed, as such expenses are inappropriate for reimbursement by a public agency. Expenses that are not reimbursable include, but are not limited to: Alcoholic beverages Costs associated with birthday, retirement or other celebrations for SCRRA staff except as provided for under HR Policies and Procedures, Policy 4.13 Employee Recognition Program Incremental cost of lodging and meals for significant others, friends or relatives accompanying employee on business travel or attending SCRRA-related functions Incremental airline ticket costs to obtain frequent flyer benefits Incremental cost of lodging, meals and other travel expenses incurred during personal time prior to or after completion of a SCRRA-related business trip. If deemed necessary for conducting business the next day along with pre-approval these costs will be reimbursed Personal expenses such as toiletries, personal care items, movies, medicines, health club fees, etc Internet access at hotels unless an explanation of specific business need is included Fines for parking tickets or moving violations Membership dues at any country club, golf club, tennis club or similar recreational organization 39

51 Travel Authorization & Business Expense Reimbursement Page Late fees or penalties incurred on a Corporate American Express or personal credit card due to failure of employee to submit requests for reimbursement in a timely manner Expenses over $25 without original receipts Meal expenses over the $50 daily limit or gratuities in excess of 15% Policy exceptions which were not pre-approved Expenses that violate SCRRA charter, Municipal Codes, Administrative Regulations or Directives Sponsorships and Charitable donations 1.2 Completing the Travel and Business Expense Form A completed Travel and Business Expense Form is required to receive approval for attendance at conferences, training, seminars and other related business meetings or associated travel and to be reimbursed for related expenses Original receipts are required for expense reimbursement. In the absence of receipts, or credit card statements, an employee s supervisor must approve a statement explaining why a receipt was not provided. All prepaid expenses and advances must be included when completing the Travel and Business Expense Form Members of the Board of Directors seeking reimbursement for Authority travel expenses shall provide records of such expenses to the Board Secretary, who will complete the Travel and Business Expense Form and will obtain signature from the Board member in order to process the reimbursement. The Board Secretary will compile the required report on travel-related activities within 30 days of the next regular meeting of the Board of Directors according to Assembly Bill The completed Travel and Business Expense Form must include the appropriate signatures as required on the form. For authorization and reimbursement, the signatures must comply with the Signature Authorization Policy, FIN-8.2. Employees must submit all expense reports related to travel to the Chief Executive Officer for final approval. Board member forms shall be reviewed and signed by the Chief Executive Officer. 40

52 Travel Authorization & Business Expense Reimbursement Page Reimbursement of non-travel related business expenses must include the appropriate signatures as required according to the Signature Authorization Policy, FIN-8.2. The completed Travel and Business Expense Form must be sent to Accounts Payable. The check will be available the day following the next regularly scheduled accounts payable check run. 2.0 DEFINITION OF TERMS Traveler an employee or member of the Board of Directors who travels on SCRRA business. Local Travel travel within the State of California. Miscellaneous Expense Any authorized expense incurred by an employee for which a reimbursement will be paid that does not require advance written signature authority for which a Business Expense Authorization and Reimbursement Form must be completed to receive reimbursement. For example, an employee may travel to Pomona with his/her own vehicle and seek reimbursement for mileage expense. Out of State Travel travel outside of the State of California. Prepaid Expenses payments made to a vendor for lodging, transportation, registration, car rental or meals. Per Diem maximum amount for meals that can be reimbursed without receipts. Travel Advance amount of SCRRA funds paid directly to a traveler before a business expense is incurred and usually prior to travel. Travel Request and Authorization Form (TRA) used to estimate travel costs and secure authorization for other various types of business expenses. Travel and Business Expense Form used to receive reimbursement for travel and other business expenses. 3.0 RESPONSIBILITIES 3.1 Employee or Member of the Board of Directors Prior to any travel, prepares TRA indicating description of the required reason for the business expense (meeting, conference, seminar, training, etc., estimated costs, dates, destination and other related information.) Board members traveling at the Authority s expense shall forward travel itinerary and other information to the Board Secretary for completion of arrangements consistent with employee travel procedures below. 41

53 Travel Authorization & Business Expense Reimbursement Page Forwards the form with attachments to his/her immediate supervisor for approval. All travel related forms should be submitted to the Chief Executive Officer for final approval Upon receipt of the approved form, forwards a copy of the form to the travel coordinator in Administrative Services to make travel arrangements and reservations (without supporting documents) Within thirty (30) days of returning from travel, prepares and submits a Travel and Business Expense Form, attaching supporting receipts and documentation. At the conclusion of travel, Board members shall forward receipts and other supporting documentation to the Board Secretary to complete the process Forwards the Travel and Business Expense Form to his/her immediate supervisor. All travel related forms should be submitted to the Chief Executive Officer Upon receipt of the approved form, submits to AP for processing with the appropriate attachments. 3.2 Supervisor Upon receipt of a request to attend a conference, seminar, training or a related business meeting and a completed TRA, approves or disapproves the request If approved, signs form and forwards to the approver as defined in the Signature Authorization Policy, FIN If disapproved, indicates the reason for denial and returns the unsigned form to the Employee Upon receipt of a request for reimbursement of expense as identified on a properly completed Travel and Business Expense Form with receipts as applicable, approves or disapproves the form. 3.3 Approver If approved, signs the form and forwards to the approver as defined in the Signature Authorization Policy, FIN If disapproved, indicates the reason for denial and returns the unsigned form to the Employee for correction Reviews the Travel and Business Expense Form for appropriateness of the proposed business expenses and the availability of budget. 42

54 Travel Authorization & Business Expense Reimbursement Page Approves or disapproves the request, and returns to the originating employee Reviews the Travel and Business Expense Form for related expenses, and reviews documentation Approves or disapproves the report, and returns to the originating employee. 3.4 Travel Coordinator Upon receipt of a request for travel and an approved TRA, makes the necessary travel arrangements and reservations Forwards travel itinerary, reservations and/or tickets, as applicable, to the traveler. May also cancel tickets and reservations, as required Upon receipt of unused portions of tickets, secures refunds. 3.5 Accounts Payable Upon receipt of the approved Travel and Business Expense Form, reviews form to ensure mathematical accuracy. If errors are found, makes corrections in coordination with employee. Once form is accurate, processes a check in the next regularly scheduled Accounts Payable check run. 4.0 REFERENCES None. 5.0 ATTACHMENTS 1. Travel Authorization Form (TRA) 2. Travel and Business Expense Form 3. Travel Flowchart 6.0 PROCEDURE HISTORY January 28, New Finance Policy and Procedures document approved January 27, 2006 Revised Policy April 10, 2015 Revised Policy 43

55 Attachment 1 METROLINK SOUTHERN CALIFORNIA REGIONAL RAIL AUTHORITY TRAVEL REQUEST AND AUTHORIZATION 1. Name of Traveler: 2. Title of Traveler: 3. Department: 4. Destination: 5. Travel Begins: 6. Travel Ends: 7. Purpose of Travel: 8. ESTIMATED COSTS: Advance Requested Estimated Cost A. Transportation: B. Car Rental: C. Lodging: D. Registration Fees: E. Meals: F. Miscellaneous (Specify): TOTAL $ $ As a condition of receiving a Travel Advance, I agree to submit a travel expense report within 10 days of my return. I further agree that the SCRRA may deduct the amount of my Travel Advance (including prepaids) from my paycheck, in the event I fail to submit a Travel Expense Report, with appropriate documentation, within 30 days of my return. Employee Signature: Extension: Date: APPROVALS: (Please note that if the total is over $750 form requires CEO or AEO approval) Supervisor: Name Signature Date HR Manager: Name Signature Date Dept. Director: Name Sig nature Date Executive Director: 44 Name Sig nature Date

56 TRAVEL AND BUSINESS EXPENSE REPORT Mileage reimbursement rate is currently 57.5 cents per mile beginning January 1, 2015 Please Type or Print. Complete entire form including coding area. Attach Travel Authorization and all original receipts. See Page 2 for additional space. Attachment 2 ER Form Rev 1/2015 EMPLOYEE NAME Ext. No. Period Covered Cost Center M P/U Mileage #50918 #50918 #50912 #50912 #50916 #50914 #50911 #50421 Daily Date Description, Purpose, Destination Miles $ Amt Parking Airfare Ot Tran Lodging Meals Registra Supplies Other Total Carried Forward - Page Total Expended I hereby certify that the above is a true and correct statement of expenses incurred by me and that they were necessary in connection with the performance of my duties. Approved: Less Prepaids Subtotal Employee Signature Date Manager Date Less Advance Amount due Employee/(SCRRA) - Project Task Exp Type Cost Center Amount Director (if applicable) Date Executive Approval (if applicable) Date Total - Accounting Use Only Vendor No. EID Date: Reviewed by: Batch No. Entered/Date: Pickup/Date: Signature Date 45

57 Attachment 3 Employee prepares the Travel Authorization Form (TRA) and supporting documentation flight, hotel, registration, etc. within four weeks of travel, but no less than one week from date of travel. Employee submits form and supporting documentation to Supervisor for review and approval. After Supervisor approves, employee routes the TRA & documentation to the Department Director and Chief for approval. (NOTE: Travel related to training must also be approved by HR.) Employee then routes fully executed TRA to the CEO for review and approval. After approval by the CEO, the TRA is submitted to Administrative Services for processing. The Travel Coordinator (Nancy Griffis x259) books the travel: registration, flight, hotel, and car rental. **NOTE: Car rentals are only approved when justified or public transportation means are not available and MUST be pre-approved. Reservations will be made by the Travel Coordinator ** Within 30 days of travel, employee MUST submit expense report. Expenses incurred, but not preapproved on the TRA by the CEO s Office, WILL be denied. Please code the TRA to your department cost center, respective expense types, and project number All expense reports related to your travel must be submitted within 30 days of your travel. Once your supervisor, department director, and Chief have signed off on the expense report, submit it to the CEO s Office for final review/approval. If you have any questions, either before or during your trip, contact the Travel Coordinator. DO NOT make your own arrangements. Expenses incurred, but not pre-approved on the TRA by the CEO s Office, will be denied. 46

58 Southern California Regional Rail Authority Finance Policies and Procedures Manual TITLE: Per Diem Compensation for Board of Directors NO. FIN ORIGINATING UNIT: Executive Office EFFECTIVE DATE: 01/27/0604/10/15 REVISION: 1 PURPOSE This policy establishes guidelines and procedures for the administration of compensation of members of the Board of Directors. This policy has been created to implement the requirements of Assembly Bill No (Chapter 700, Statutes of 2005), which requires a local agency that provides reimbursement for expenses to members of its legislative body to adopt a written policy on the duties for which legislative body members may receive compensation, other than meetings of the legislative body or an advisory body or attendance at a conference or organized educational activity. APPLICATION This policy and procedures document applies to members of the SCRRA Board of Directors and to SCRRA staff who are responsible for the administration of Board member compensation. POLICY STATEMENT Members of the SCRRA Board of Directors are compensated at a rate of $100 per diem for attendance at any and all meetings and activities described in this policy, not to exceed $500 per month. Board members are paid monthly via the Accounts Payable process, and not through the SCRRA employee payroll process. Board members are also entitled to reimbursement for eligible travel and business expense reimbursement under policy FIN 8.4. The following meetings and activities are specifically compensable under this policy. Additional meetings and activities not specifically listed herein shall be evaluated for consistency with this policy. 1. Regular and Special Meetings of the Board of Directors. 2. Regular and Special Meetings of Board-established Committees. 47

59 FIN Per Diem Compensation for Board of Directors Page 2 3. Calendared meetings between members of the Board and SCRRA staff. (Note: ad hoc, non-calendared telephone calls to discuss SCRRA matters are not compensable under this policy.) 4. Attendance at meetings or events scheduled by SCRRA. 4.5.Attendance at meetings or, events, or conferences (such as American Public Transportation Association, or other rail transportation entities) must be, coordinated through SCRRA s Board Secretary, by its member agencies, cities, or other entities, when the member is attending specifically as a representative of the SCRRA Board of Directors. 5.6.Participation in the Metrolink Holiday Train as a volunteer or a speaker. (Note: attendance as a member of the audience is not compensable under this policy.) 6. Attendance at conferences and other meetings of the American Public Transportation Association, or other rail transportation entities, coordinated through SCRRA s Board Secretary when the member is attending as a member of the SCRRA Board of Directors. 7. Attendance at ethics training programs required by AB If a member of the Board attends a meeting or event and receives compensation for such attendance from another source, the member may not receive duplicate compensation from SCRRA. The Board of Directors has approved a policy limiting the number of times a member may participate in Regular Board and/or Committee meetings via teleconference to two per calendar year. This policy does not apply to Special Meetings of the Board or its Committees. Other calendared meetings between members of the Board and SCRRA staff listed above may be attended via conference call. 1.0 PROCEDURES 1.1 The Board Secretary will compile attendance at meetings of the Board of Directors and Board Committee meetings. 1.2 The Board Secretary will canvass appropriate SCRRA staff for information on other meetings, events, and activities for which members may receive compensation under this policy. 1.3 Members of the Board are encouraged to communicate with the Board Secretary to inform her ofconfirm meetings and events they have attended for which compensation may apply under this policy. 1.4 The Board Secretary will compile and transmit to Accounts Payable a monthly Board Per Diem Worksheet. 48

60 FIN Per Diem Compensation for Board of Directors Page Accounts Payable will issue checks on a monthly basis. These checks may also include reimbursement for expenses incurred under the Authority s Travel and Business Expense Reimbursement Policy [FIN-8.4], but per diem compensation under this policy will be captured for purposes of preparing annual IRS Form 1099s. 1.6 Accounts Payable will deliver the monthly checks to members of the Board of Directors by mail or by hand delivery via the Board Secretary. 2.0 DEFINITION OF TERMS Per Diem For purposes of this policy, per diem represents $100 in compensation for any and all meetings, activities, and events attended on a single calendar day. Members For purposes of this policy, the term member includes Alternate members of the Board of Directors. 3.0 RESPONSIBILITIES 3.1 Board Members. Members of the Board shall inform the Board Secretary of meetings, events, and activities they attend, which may not be tallied by the Board Secretary in the normal course of her duties. Members of the Board are responsible to ensure that they do not claim per diem compensation under this policy for meetings, activities, and events for which they receive similar compensation from another source. 3.2 Board Secretary. The Board Secretary is responsible for the compilation of attendance at Board and Committee meetings, as well as the collection and transmittal of the monthly Board Per Diem Worksheet to Accounts Payable for processing. The Board Secretary is the point of contact for members of the Board in all matters relating to per diem compensation and/or expense reimbursement Accounts Payable. Accounts Payable staff is responsible for monthly preparation of per diem compensation checks, which may include expense reimbursement (if any) under the Authority s Travel and Business Expense Reimbursement Policy. Accounts Payable is also responsible for preparation of IRS Form 1099 for each member of the Board of Directors. 4.0 REFERENCES Finance Policies and Procedures Manual. Policy FIN 8.4 Travel and Business Expense Reimbursement Assembly Bill No (Chapter 700, Statutes of 2005) 5.0 ATTACHMENTS 49

61 FIN Per Diem Compensation for Board of Directors Page 4 a) Board Per Diem Worksheet b) Per Diem Attendance Certification Form 6.0 PROCEDURE HISTORY January 27, 2006 New Policy and Procedures document approved April 10, 2015 Revised Policy approved 50

62 FIN Per Diem Compensation for Board of Directors Page 5 Approvals Department Director Legal Counsel Chief Executive Officer 51

63 Southern California Regional Rail Authority Finance Policies and Procedures Manual TITLE: Per Diem Compensation for Board of Directors NO. FIN ORIGINATING UNIT: Executive Office EFFECTIVE DATE: 04/10/15 REVISION: 1 PURPOSE This policy establishes guidelines and procedures for the administration of compensation of members of the Board of Directors. This policy has been created to implement the requirements of Assembly Bill No (Chapter 700, Statutes of 2005), which requires a local agency that provides reimbursement for expenses to members of its legislative body to adopt a written policy on the duties for which legislative body members may receive compensation, other than meetings of the legislative body or an advisory body or attendance at a conference or organized educational activity. APPLICATION This policy and procedures document applies to members of the SCRRA Board of Directors and to SCRRA staff who are responsible for the administration of Board member compensation. POLICY STATEMENT Members of the SCRRA Board of Directors are compensated at a rate of $100 per diem for attendance at any and all meetings and activities described in this policy, not to exceed $500 per month. Board members are paid monthly via the Accounts Payable process, and not through the SCRRA employee payroll process. Board members are also entitled to reimbursement for eligible travel and business expense reimbursement under policy FIN 8.4. The following meetings and activities are specifically compensable under this policy. Additional meetings and activities not specifically listed herein shall be evaluated for consistency with this policy. 1. Regular and Special Meetings of the Board of Directors. 2. Regular and Special Meetings of Board-established Committees. 3. Calendared meetings between members of the Board and SCRRA staff. (Note: ad hoc, non-calendared telephone calls to discuss SCRRA matters are not compensable under this policy.) 4. Attendance at meetings or events scheduled by SCRRA. 52

64 FIN Per Diem Compensation for Board of Directors Page 2 5. Attendance at meetings, events, or conferences (such as American Public Transportation Association, or other rail transportation entities) must be coordinated through SCRRA s Board Secretary, when the member is attending specifically as a representative of the SCRRA Board of Directors. 6. Participation in the Metrolink Holiday Train as a volunteer or a speaker. (Note: attendance as a member of the audience is not compensable under this policy.) 7. Attendance at ethics training programs required by AB If a member of the Board attends a meeting or event and receives compensation for such attendance from another source, the member may not receive duplicate compensation from SCRRA. The Board of Directors has approved a policy limiting the number of times a member may participate in Regular Board and/or Committee meetings via teleconference to two per calendar year. This policy does not apply to Special Meetings of the Board or its Committees. Other calendared meetings between members of the Board and SCRRA staff listed above may be attended via conference call. 1.0 PROCEDURES 1.1 The Board Secretary will compile attendance at meetings of the Board of Directors and Board Committee meetings. 1.2 The Board Secretary will canvass appropriate SCRRA staff for information on other meetings, events, and activities for which members may receive compensation under this policy. 1.3 Members of the Board are encouraged to communicate with the Board Secretary to confirm meetings and events they have attended for which compensation may apply under this policy. 1.4 The Board Secretary will compile and transmit to Accounts Payable a monthly Board Per Diem Worksheet. 1.5 Accounts Payable will issue checks on a monthly basis. These checks may also include reimbursement for expenses incurred under the Authority s Travel and Business Expense Reimbursement Policy [FIN-8.4], but per diem compensation under this policy will be captured for purposes of preparing annual IRS Form 1099s. 1.6 Accounts Payable will deliver the monthly checks to members of the Board of Directors by mail or by hand delivery via the Board Secretary. 53

65 FIN Per Diem Compensation for Board of Directors Page DEFINITION OF TERMS Per Diem For purposes of this policy, per diem represents $100 in compensation for any and all meetings, activities, and events attended on a single calendar day. Members For purposes of this policy, the term member includes Alternate members of the Board of Directors. 3.0 RESPONSIBILITIES 3.1 Board Members. Members of the Board shall inform the Board Secretary of meetings, events, and activities they attend, which may not be tallied by the Board Secretary in the normal course of her duties. Members of the Board are responsible to ensure that they do not claim per diem compensation under this policy for meetings, activities, and events for which they receive similar compensation from another source. 3.2 Board Secretary. The Board Secretary is responsible for the compilation of attendance at Board and Committee meetings, as well as the collection and transmittal of the monthly Board Per Diem Worksheet to Accounts Payable for processing. The Board Secretary is the point of contact for members of the Board in all matters relating to per diem compensation and/or expense reimbursement. 3.3 Accounts Payable. Accounts Payable staff is responsible for monthly preparation of per diem compensation checks, which may include expense reimbursement (if any) under the Authority s Travel and Business Expense Reimbursement Policy. Accounts Payable is also responsible for preparation of IRS Form 1099 for each member of the Board of Directors. 4.0 REFERENCES Finance Policies and Procedures Manual. Policy FIN 8.4 Travel and Business Expense Reimbursement Assembly Bill No (Chapter 700, Statutes of 2005) 5.0 ATTACHMENTS a) Board Per Diem Worksheet b) Per Diem Attendance Certification Form 6.0 PROCEDURE HISTORY January 27, 2006 New Policy and Procedures document approved April 10, 2015 Revised Policy approved 54

66 SOUTHERN CALIFORNIA REGIONAL RAIL AUTHORITY BOARD PER DIEM WORKSHEET FOR THE MONTH OF: Attachment A SPECIAL BOARD MEETING EXECUTIVE COMMT MEETING OTHER-1 OTHER-2 MEMBER VENDOR # COMMITTEE MEETINGS BOARD MEETING ELIGIBLE PER DIEM DAYS PERIOD REIMBURSEMENT 0 $ - 0 $ - 0 $ - 0 $ - 0 $ - 0 $ - 0 $ - 0 $ - 0 $ - 0 $ - 0 $ - 0 $ - 0 $ - 0 $ - 0 $ - 0 $ - 0 $ - 0 $ - 0 $ - 0 $ - 0 $ - TOTAL $ - DATE ACCOUNTING DISTRIBUTION PROJECT TASK C.C. EXP. TYPE I CERTIFY THE ABOVE BOARD MEMBER/S ARE ELIGIBLE FOR THE PER DIEM AMOUNTS AS INDICATED. Kari Holman, Board Secretary 55 4/3/2015

67 SCRRA BOARD/COMMITTEE MEMBERS PER DIEM ATTENDANCE CERTIFICATION FORM Attachment B DATE: TITLE OF MEETING/DESCRIPTION OF EVENT BOARD MEMBER S NAME PRESENT BOARD MEMBER S NAME PRESENT R BOARD MEMBER S NAME TELECONFERENCE PARTICIPATION TELECONFERENCE LOCATION I certify the above SCRRA Board Member/s attended the meeting/event as indicated. PRINT NAME SIGNATURE DATE Processed by: BOARD SECRETARY S INITIALS Uppercase = Member Revised 9/27/05 Lowercase = Alternate 56

68 Revised April 9, 2015 SOUTHERN CALIFORNIA REGIONAL RAIL AUTHORITY TRANSMITTAL DATE: April 39, 2015 MEETING DATE: April 10, 2015 ITEM 11 TO: FROM: Board of Directors Interim Chief Executive Officer SUBJECT: Transmittal of the Preliminary Fiscal Year SCRRA Budget and two-year projection Issue The Southern California Regional Rail Authority (Authority) is required, under the Joint Exercise of Powers Agreement, to provide to its Member Agencies on or before May 1 of each year, a Preliminary Budget (effective July 1, the start of the fiscal year) for individual agency consideration and approval. Recommendation Staff recommends the Board authorize the transmittal of the Preliminary Fiscal Year (FY16) SCRRA Budget to its Member Agencies for their consideration. Alternatives The Board may choose to adjust the Preliminary FY16 Budget prior to its transmittal to the Member Agencies. Background Attachment A provides a summary of the proposed Preliminary FY16 Budget. Subsequent to the review and adoption by the Member Agencies Boards, the Proposed FY16 Budget will be presented to the Board in June 2015 for review and consideration of adoption. The Preliminary FY16 Budget was presented to the Board during its meeting on January 23, The FY16 Budget was discussed in detail with members of the Technical Advisory Committee (TAC) prior to the Board presentation (TAC Meeting of January 6, 2015), as well as at sixfive subsequent meetings held between January 16 and April 71, 2015, and with member agency CEO s on January 16, 2015, and March 20, Staff will continue to engage Member Agencies, to ensure all issues have been addressed and any required revisions are incorporated, up to the submittal of the final budget to the Board in June 2015 for final adoption. As a guide to the budget development, the following priorities were established for the upcoming fiscal year: One Gateway Plaza, Floor 12, Los Angeles, CA

69 Transmittal of the Preliminary Fiscal Year SCRRA Budget and two-year projection Transmittal Date: April 39, 2015 Meeting Date: April 10, 2015 Page 2 Budget Priorities for FY16 1. Continue the emphasis on safety improvements, with Positive Train Control (PTC) as the centerpiece of our efforts. Full approval by the Federal Railroad Administration is expected near the end of Replace aging ticket vending machines and expand ticketing options with the implementation of mobile/online ticketing. 3. Continue to improve reliability, on-time performance, and the customer experience by enhancing the rehabilitation program to reduce major failures and retrofit aging locomotives and cars. 4. Provide budget predictability and reduce diesel fuel cost through hedging of fuel purchases. 5. Open the Perris Valley extension of the 91 Line which will connect Perris Valley and Riverside, extending the Metrolink route miles by 24 miles. Overall Summary The Preliminary FY16 Budget is currently estimating a request for budgetary authority of $ million. This Budget consists of Operating Budget authority of $ million, an increase of 3.24% over the FY15 Budget and Capital Program authority of $75.0 million for Rehabilitation Projects and $57.0 million for New Capital Projects. Carryover of New Capital Projects approved in prior years is $142.0 million, while carryover of Rehabilitation Projects approved in prior years is $59.9 million. Operating Budget Budget Assumptions Budget development always rests upon key assumption. For the Preliminary FY16 Budget, these assumptions included no increase of current service ridership-based fare revenues and no fare increase. The Big Four major vendors (train operations, track maintenance, signal maintenance, and equipment maintenance) were held to zero increase over FY15 for current service. Diesel fuel is about 10% of the operating budget and its price is very volatile. In an effort to fix costs the Board approved staff to hedge purchases of diesel fuel. We have budgeted an anticipated average price per gallon of $3.00, and added a 5% contingency to allow for the unexpected. The budget includes only two new positions which were Board approved at its February 13, 2015 meeting for the Fare Collection Services Department. The Preliminary FY16 Budget includes the three PTC leased locomotives. As a direct result of the February 2015 Oxnard incident, an increase of $3.0 million has been included in Insurance Claims/Self-Insurance (SI), and our anticipated insurance premiums have been increased from our initial projections by $0.7 million. Train Operations, Maintenance-of-Way (MOW), Administration, and Insurance The Train Operations component of the budget consists of those costs necessary to provide Metrolink commuter rail services across the six-county service area, including the direct costs of railroad operations, equipment maintenance, required support costs, and other 58

70 Transmittal of the Preliminary Fiscal Year SCRRA Budget and two-year projection Transmittal Date: April 39, 2015 Meeting Date: April 10, 2015 Page 3 administrative and operating costs. Ordinary MOW expenditures are those costs necessary to perform the inspections and repairs needed to assure the reliable, safe operation of trains and safety of the public. The FY16 budgeted amount for Train Operations is $ million, MOW is $42.8 million, Administration & Services is $32.4 million, and Insurance/Claims $18.1 million. Attachment B is a detail of the Operating Budget components compared to prior years. Attachment C is a detail of the allocation of the Operating Budget components among the five Member Agencies. The Preliminary FY16 Budget assumes the operation of a total of 2.8 million revenue service miles through the operation of 172 weekday trains and 90 weekend trains. No incremental services were requested for FY16. The only change to train services is the extension of the 91 Line to include the new Perris Valley service, and incremental service between Riverside and Perris Valley. Overall, the total budgeted expenses have increased by only 3.24%. Train Operations andthis change is the result of: Services were driven by: a) increases in total Train Operations and Services, driven primarily as a result ofby the new Perris Valley Service ($2.11.8M), increased TVM ticket stock and credit card service costs (1.0M), and Transfers to Other Operators ($1.5M), partially offset by fuel cost reductions ($2.2M); b) an increase in Maintenance of Way ($2.9M) primarily the result of the new Perris Valley route addition;. c) ttotal Insurance expense is higher by $1.20.4M, with the $3.0M budgeted to cover Oxnard related costs offset by an insurance premium reduction in the budget of $1.72.5M. In total, the budget increase is $7.25M, or 3.24%, over FY15. Attachment D presents the amounts and Member Agency effects of the new services, routes and other changes. Operating Revenues and Member Agency Contributions Operating revenues include farebox, dispatching, maintenance-of-way revenues, interest, other minor miscellaneous revenues, and are currently estimated to equal $101.7 million, a decrease of 8.6 million, or 7.8% compared to the FY15 budget. Fare Revenues, the largest operating revenue of the budget, have been decreased $6.7 million or 7.3% compared to the FY15 budget to a total of $84.7 million. The FY16 budget reflects no fare increase. This decrease is consistent with our current forecast for actuals in Maintenance-of-way revenues from the freight railroads and Amtrak are estimated from existing agreements based on projections of current usage. The Preliminary FY16 Budget estimates a decrease of 4.2% from the FY15 budget to a total of $14.3 million. An abandonment of a portion of a line segment owned by Burlington Northern Santa Fe (BNSF) 59

71 Transmittal of the Preliminary Fiscal Year SCRRA Budget and two-year projection Transmittal Date: April 39, 2015 Meeting Date: April 10, 2015 Page 4 and formerly maintained by the Authority is the primary cause. Dispatching Revenues were over-budgeted in FY15 and are now in line with FY15 actuals. Member Agency contributions represent the difference between the total costs of operations and all available revenues. The Preliminary FY16 Budget estimates total Member Agency contributions to equal $ million, an increase of $ million or % from the current budget. The subsidy increase is primarily the result of lower farebox revenue, higher operating expenses, and higher insurance costs. Attachment E reflects subsidies FY14 FY16 and provides a specific analysis of the FY15 vs. FY16 change in the Member Agency subsidy. Capital Budget The Capital Rehabilitation authorization request for FY16 was identified as necessary for safe and efficient rail operations. These projects total $75.0 million and are represented in summary in Attachment H, and in detail in Attachment J. This information was discussed with the TAC members. The total Rehabilitation Program includes: Track and Structures upgrades totaling $14.0 million: Locomotive and Rolling Stock upgrades of $51.6 million; Signal system improvements of $7.5 million; Fleet and Facility projects of $1.2 million; Communications and Signage improvements of $0.7 million. The New Capital authorization request for FY16 was identified as necessary for safe and efficient rail operations. These projects total $57.0 million and are represented in summary in Attachment I and in detail on Attachment K. This information was discussed with the TAC members. The total New Capital Program includes the following: Replacement Ticket Vending Machines totaling $30.7 million; Sealed Corridor Grade Crossings for $16.7 million; Cameras to monitor TVM s at stations $5.8 million; Tunnel Intrusion Detection totaling $3.0 million; Project development fund totaling $.7 million. Cash flow projections for FY16, FY17, and FY18 are presented in Attachment P. Operating and Capital Budget Projections for FY17 and FY18 Only the FY16 Budget, upon approval by the Board, will be transmitted to Member Agencies for consideration. FY17 and FY18 projected budgets are included in this report for informational purposes only. Operating Budget projections are outlined in attachments F and G, and Capital Budget Projections are shown in Attachments L thru O. 60

72 Transmittal of the Preliminary Fiscal Year SCRRA Budget and two-year projection Transmittal Date: April 39, 2015 Meeting Date: April 10, 2015 Page 5 Budget Impact This report represents a summary of the Preliminary FY Budget for consideration. As such, there is no impact to the current (FY ) budget. Prepared by: Christine Wilson, Manager, Budgets and Financial Analysis Sam Joumblat Interim Chief Executive Officer 61

73 REVISED SOUTHERN CALIFORNIA REGIONAL RAIL AUTHORITY FISCAL YEAR 16 PROPOSED BUDGET OPERATING FUNDING ALLOCATION BY MEMBER AGENCY Attachment A ($000s) Total FY16 Metro OCTA RCTC SANBAG VCTC Expenses Train Operations & Services 135,434 69,323 31,654 13,675 14,892 5,891 Maintenance-of-Way 42,774 23,784 8,507 2,654 5,128 2,701 Administration & Services 32,380 15,644 5,700 4,680 3,268 3,087 Insurance 18,079 9,627 4,257 1,343 2, Total Expenses Including MoW 228, ,378 50,118 22,352 25,440 12,378 Revenues Farebox Revenue 84,738 42,879 20,737 7,311 11,312 2,499 Dispatching 2,663 1, Other Revenues MOW Revenues 14,348 9,301 2, , Member Agency Revenues 108,839 55,216 21,574 13,062 10,664 8,322 Total Revenues 210, ,752 45,861 21,009 23,288 11,679 Total County Allocation 126,917 64,843 25,832 14,405 12,816 9,021 FY15 Budget 111,735 59,683 22,267 9,817 11,805 8,163 (Over)/Under -15,182-5,160-3,565-4,588-1, Percentage Change 13.6% 8.6% 16.0% 46.7% 8.6% 10.5% 62

74 SOUTHERN CALIFORNIA REGIONAL RAIL AUTHORITY REVISED FISCAL YEAR PROPOSED BUDGET Annual Operating Budget Distribution by Cost Component ($000s) Adopted FY14 Budget Adopted FY15 Budget Proposed FY16 Budget Attachment B FY16 Budget Vs. FY15 Budget Increase % EXPENSES 211, , ,667 7, % REVENUES 110, , ,749 (8,614) (7.8%) NET LOCAL SUBSIDY 100, , ,917 15, % As Approved by Member Agencies 111,735 15, % OPERATIONS Revenues Farebox Revenue 93,203 91,396 84,738 (6,658) (7.3%) Dispatching 2,699 3,596 2,663 (933) (25.9%) Other Revenues (398) (100.0%) MOW Revenues 13,867 14,974 14,348 (625) (4.2%) Member Agency Revenues 83,501 94, ,464 15, % Total Revenues 193, , ,213 6, % Operations & Services Train Operations 41,081 42,242 43,414 1, % Equipment Maintenance 25,023 28,897 29, % Contingency (Train Ops) - - N/A Fuel 25,857 25,265 23,076 (2,188) (8.7%) Non-Scheduled Rolling Stock Repairs (20) (7.9%) Operating Facilities Maintenance 1,063 1,361 1,182 (179) (13.2%) Other Operating Train Services % Rolling Stock Lease % Security - Sheriff 4,466 5,272 5, % Security - Guards 1,870 2,010 2, % Supplemental Additional Security % Public Safety Program (15) (5.4%) Passenger Relations 1,620 1,643 1, % Holiday Trains - - N/A TVM Maintenance/Revenue Collection 4,947 5,464 6,703 1, % Marketing 954 1,024 1,020 (5) (0.4%) Media & External Communications % Utilities/Leases 2,677 2,780 2,677 (103) (3.7%) Transfers to Other Operators 7,269 5,900 7,411 1, % Amtrak Transfers 1,367 1,400 1, % Station Maintenance 1,307 1,512 1,464 (48) (3.2%) Rail Agreements 5,494 5,823 4,831 (993) (17.0%) Subtotal Operations & Services 127, , ,933 1, % Maintenance-of-Way MoW - Line Segments 35,258 38,896 41,546 2, % MoW - Extraordinary Maintenance , % Subtotal Maintenance-of-Way 36,257 39,845 42,774 2, % Administration & Services Staff Salaries & Fringe Benefits 10,696 11,511 11,328 (183) (1.6%) Non-Labor Expenses 5,436 4,795 4,760 (34) (0.7%) Indirect Administrative Expenses 12,398 13,231 13, % Professional Services 1,301 1,445 2,670 1, % Subtotal Administration & Services 29,832 30,981 32,380 1, % Contingency (Non-Train Ops) % Total Expenses Including MoW 193, , ,588 5, % RISK MANAGEMENT Revenues Member Agency Revenues 17,302 16,858 18,079 1, % PL/PD Revenues Total Revenues 17,302 16,858 18,079 1, % Insurance Liability/Property/Auto 14,590 14,577 12,880 (1,697) (11.6%) Claims 1,000 1,000 4,000 3, % Claims Administration 1,712 1,281 1,198 (83) (6.5%) Subtotal Insurance 17,302 16,858 18,079 1, % Total Expenses 17,302 16,858 18,079 1, % 63

75 SOUTHERN CALIFORNIA REGIONAL RAIL AUTHORITY FISCAL YEAR PROPOSED BUDGET REVISED Attachment C Annual Operating Budget Distribution by Cost Component ($000s) FY Metro OCTA RCTC SANBAG VCTC EXPENSES 228, ,378 50,118 22,352 25,440 12,378 REVENUES 101,749 53,535 24,286 7,947 12,624 3,357 NET LOCAL SUBSIDY 126,917 64,843 25,832 14,405 12,816 9,021 OPERATIONS Revenues Farebox Revenue 84,738 42,879 20,737 7,311 11,312 2,499 Dispatching 2,663 1, Other Revenues MOW Revenues 14,348 9,301 2, , Operation Revenue Subtotal 101,749 53,535 24,286 7,947 12,624 3,357 Member Agency Revenues 108,839 55,216 21,574 13,062 10,664 8,322 Total Revenues 210, ,752 45,861 21,009 23,288 11,679 Operations & Services Train Operations 43,414 23,481 9,890 3,841 4,613 1,589 Equipment Maintenance 29,455 14,832 6,812 2,944 3,443 1,424 Contingency (Train Ops) Fuel 23,076 11,934 5,803 2,160 2, Non-Scheduled Rolling Stock Repairs Operating Facilities Maintenance 1, Other Operating Train Services Rolling Stock Lease Security - Sheriff 5,591 3,102 1, Security - Guards 2, Supplemental Additional Security Public Safety Program Passenger Relations 1, Holiday Trains TVM Maintenance/Revenue Collection 6,703 2,769 1,506 1, Marketing 1, Media & External Communications Utilities/Leases 2,677 1, Transfers to Other Operators 7,411 4,126 1, Amtrak Transfers 1, Station Maintenance 1, Rail Agreements 4,831 1,784 1,280 1, Subtotal Operations & Services 134,933 69,084 31,567 13,600 14,842 5,841 Maintenance-of-Way MoW - Line Segments 41,546 23,077 8,209 2,641 4,997 2,622 MoW - Extraordinary Maintenance 1, Subtotal Maintenance-of-Way 42,774 23,784 8,507 2,654 5,128 2,701 Administration & Services Staff Ops Salaries & Fringe Benefits 11,328 5,414 1,967 1,684 1,133 1,130 Ops Non-Labor Expenses 4,760 2, Indirect Administrative Expenses 13,621 6,510 2,354 2,032 1,361 1,364 Ops Professional Services 2,670 1, Subtotal Administration & Services 32,380 15,644 5,700 4,680 3,268 3,087 Contingency (Non-Train Ops) Total Expenses Including MoW 210, ,752 45,861 21,009 23,288 11,679 RISK MANAGEMENT Revenues Member Agency Revenues 18,079 9,627 4,257 1,343 2, PL/PD Revenues Total Revenues 18,079 9,627 4,257 1,343 2, Insurance Liability/Property/Auto 12,880 6,859 3, , Claims / SI 4,000 2, Claims Administration 1, Subtotal Insurance 18,079 9,627 4,257 1,343 2, Total Expenses 18,079 9,627 4,257 1,343 2,

76 SOUTHERN CALIFORNIA REGIONAL REVISED RAIL AUTHORITY FISCAL YEAR PROPOSED BUDGET New Service Elements for FY16 Budget Attachment D ($000s) Total Metro OCTA RCTC SANBAG VCTC FY Share Share Share Share Share Increase in Train Service Perris Valley Extentions $2,080 $558 $226 $1,132 $120 $44 Total Train Service Increase $2,080 $558 $226 $1,132 $120 $44 New Routes Perris Valley - MOW Direct only $1,389 $360 $338 $688 $3 Rialto Sub $97 $97 8 TVM's $180 $180 Other Changes Addition to Insurance Claim $3,000 $1,598 $706 $222 $357 $116 Add'l Qtr of EMF $386 $207 $92 $33 $42 $12 Mobile Ticketing $200 $107 $48 $17 $22 $6 TVM Ticket Stock & CC chrge $1,050 $434 $236 $167 $152 $61 2 Board Approved TVM positions $192 $84 $46 $32 $18 $12 New train maintenance services $800 $431 $167 $82 $89 $32 Total all New $9,374 $3,779 $1,859 $2,373 $1,080 $283 65

77 REVISED SOUTHERN CALIFORNIA REGIONAL RAIL AUTHORITY FISCAL YEAR 16 PROPOSED BUDGET Comparison of Net Local Subsidy FY14-FY16 ($000s) Attachment E Net Local Subsidy Metro OCTA RCTC SANBAG VCTC FY14 BUDGET $ 100,803 $ 52,602 $ 20,527 $ 8,609 $ 11,461 $ 7,604 FY15 BUDGET $ 111,735 $ 59,683 $ 22,267 $ 9,817 $ 11,805 $ 8,163 FY16 BUDGET $ 126,917 $ 64,843 $ 25,832 $ 14,405 $ 12,816 $ 9,021 Year over Year Change Net Local Subsidy Metro OCTA RCTC SANBAG VCTC FY14 vs. FY15 $ Increase $ 10,932 $ 7,081 $ 1,740 $ 1,208 $ 344 $ 559 % Increase 10.8% 13.5% 8.5% 14.0% 3.0% 7.4% FY15 vs. FY16 $ Increase $ 15,182 $ 5,160 $ 3,565 $ 4,588 $ 1,011 $ 858 % Increase 13.6% 8.6% 16.0% 46.7% 8.6% 10.5% ************************************************************************************************************************************ Elements Comprising the $15,182 Increase: Adopted FY14-15 Budget EXPENSES 221,496 REVENUES 110,363 $ 228,667 $ 101,749 Proposed FY Budget Increase % $ $ 7, % $ $ (8,614) -7.8% NET LOCAL SUBSIDY (1) $ 111,735 $ 126,917 $ 15, % (1) As approved by member agencies Analysis Of the 13.6% Amount related to Reduction of Revenue Projection vs 7.7% FY15 Budget $ 8,614 = 56.7% of the variance 3.3% Amount related to Oxnard Incident = $ 3,700 = 24.4% of the variance 1.2% Added Perris Valley Route = $ 1,390 = 9.2% of the variance 1.9% Added Perris Valley Train Service = $ 2,080 = 13.7% of the variance 0.9% TVM Adjustments $ 1,048 = 6.9% of the variance 0.2% Add back of Rialto & 8 TVMs for SANBAG $ 277 = 1.8% of the variance 0.7% Outside Service for Rolling Stock maintenance $ 800 = 5.3% of the variance -2.0% Fuel Savings (Hedge Purchases) $ (2,188) = -14.4% of the variance -0.5% Other $ (539) = -3.5% of the variance 13.6% Total Variance = $ 15, % 66

78 SOUTHERN CALIFORNIA REGIONAL RAIL AUTHORITY FISCAL YEAR PROJECTED BUDGET Annual Operating Budget Distribution by Cost Component REVISEDAttachment F ($000s) Proposed FY Budget Metro OCTA RCTC SANBAG VCTC EXPENSES 236, ,826 50,738 24,384 26,532 12,762 REVENUES 104,650 54,980 24,883 8,227 13,107 3,453 NET LOCAL SUBSIDY 131,593 66,846 25,855 16,157 13,426 9,310 OPERATIONS Revenues Farebox Revenue 87,338 44,130 21,282 7,576 11,769 2,581 Dispatching 2,698 1, Other Revenues MOW Revenues 14,614 9,477 2, , Operation Revenue Sub 104,650 54,980 24,883 8,227 13,107 3,453 Member Agency Revenues 113,293 56,683 22,043 14,725 11,282 8,560 Total Revenues 217, ,663 46,926 22,952 24,389 12,013 Operations & Services Train Operations 45,087 23,806 10,283 4,653 4,735 1,610 Equipment Maintenance 29,811 15,206 6,600 3,094 3,451 1,460 Contingency (Train Ops) Fuel 23,833 12,029 6,074 2,481 2, Non-Scheduled Rolling Stock Operating Facilities Maintena 1, Other Operating Train Service Rolling Stock Lease Security - Sheriff 5,758 3,394 1, Security - Guards 2, Supplemental Additional Secu Public Safety Program Passenger Relations 1, Holiday Trains TVM Maintenance/Revenue C 7,043 2,909 1,582 1,123 1, Marketing Media & External Communica Utilities/Leases 2,766 1, Transfers to Other Operators 7,782 4,304 1, Amtrak Transfers 1, , Station Maintenance 2,006 1, Rail Agreements 4,998 1,776 1,277 1, Subtotal Operations & Services 139,410 70,764 32,348 15,126 15,177 5,993 Maintenance-of-Way MoW - Line Segments 43,426 23,845 8,323 2,876 5,665 2,717 MoW - Extraordinary Mainten 1, Subtotal Maintenance-of-Way 44,707 24,582 8,634 2,890 5,802 2,799 Administration & Services Staff Ops Salaries & Frin 11,687 5,585 2,029 1,738 1,169 1,166 Ops Non-Labor Exp 4,940 2, Indirect Administrat 13,936 6,660 2,409 2,079 1,392 1,396 Ops Professional S 2,747 1, Subtotal Administration & Services 33,310 16,070 5,855 4,858 3,357 3,169 Contingency (Non-Train Ops) Total Expenses Including MoW 217, ,663 46,926 22,952 24,389 12,013 RISK MANAGEMENT Revenues Member Agency Revenues 18,300 10,162 3,812 1,432 2, PL/PD Revenues Total Revenues 18,300 10,162 3,812 1,432 2, Insurance Liability/Property/Auto 13,524 7,511 2,817 1,059 1, Claims / SI 3,500 1, Claims Administration 1, Subtotal Insurance 18,300 10,162 3,812 1,432 2, Total Expenses 18,300 10,162 3,812 1,432 2,

79 SOUTHERN CALIFORNIA REGIONAL RAIL AUTHORITY FISCAL YEAR PROJECTED BUDGET Annual Operating Budget Distribution by Cost Component REVISEDAttachment G ($000s) Proposed FY Budget Metro OCTA RCTC SANBAG VCTC EXPENSES 243, ,353 52,670 26,673 27,112 13,032 REVENUES 106,121 56,035 25,002 8,282 13,355 3,447 NET LOCAL SUBSIDY 137,720 68,319 27,668 18,391 13,758 9,585 OPERATIONS Revenues Farebox Revenue 88,591 45,054 21,349 7,629 11,992 2,567 Dispatching 2,725 1, Other Revenues MOW Revenues 14,805 9,595 2, , Operation Revenue Sub 106,121 56,035 25,002 8,282 13,355 3,447 Member Agency Revenues 119,711 58,620 23,931 16,544 11,751 8,864 Total Revenues 225, ,655 48,933 24,826 25,106 12,312 Operations & Services Train Operations 48,068 25,283 10,988 5,056 5,037 1,704 Equipment Maintenance 30,816 15,121 6,973 3,861 3,412 1,448 Contingency (Train Ops) Fuel 24,125 12,021 6,244 2,596 2, Non-Scheduled Rolling Stock Operating Facilities Maintenan 1, Other Operating Train Service Rolling Stock Lease Security - Sheriff 5,931 3,414 1, Security - Guards 2,132 1, Supplemental Additional Secu Public Safety Program Passenger Relations 1, Holiday Trains TVM Maintenance/Revenue C 7,363 3,041 1,654 1,174 1, Marketing Media & External Communica Utilities/Leases 2,872 1, Transfers to Other Operators 8,171 4,519 1, , Amtrak Transfers 2, , Station Maintenance 2,012 1, Rail Agreements 5,202 1,820 1,357 1, Subtotal Operations & Services 145,306 72,770 34,056 16,751 15,585 6,143 Maintenance-of-Way MoW - Line Segments 44,686 24,475 8,491 3,024 5,901 2,795 MoW - Extraordinary Maintena 1, Subtotal Maintenance-of-Way 46,009 25,236 8,812 3,038 6,043 2,880 Administration & Services Staff Ops Salaries & Fring 11,975 5,723 2,079 1,781 1,198 1,195 Ops Non-Labor Exp 4,985 2, Indirect Administrati 14,245 6,808 2,462 2,125 1,423 1,427 Ops Professional Se 2,780 1, Subtotal Administration & Services 33,985 16,395 5,973 4,957 3,425 3,235 Contingency (Non-Train Ops) Total Expenses Including MoW 225, ,655 48,933 24,826 25,106 12,312 RISK MANAGEMENT Revenues Member Agency Revenues 18,009 9,698 3,737 1,847 2, PL/PD Revenues Total Revenues 18,009 9,698 3,737 1,847 2, Insurance Liability/Property/Auto 14,201 7,647 2,947 1,456 1, Claims / SI 2,500 1, Claims Administration 1, Subtotal Insurance 18,009 9,698 3,737 1,847 2, Total Expenses 18,009 9,698 3,737 1,847 2,

80 FY Rehabilitation New Authority Projects ($ Thousands) Attachment H Subdivision Project Type TOTAL LACMTA OCTA RCTC SANBAG VCTC OTHER Olive Communication $75 $75 Olive Signal $175 $175 Olive Track $318 $318 Orange Communication $150 $150 Orange Signal $1,710 $1,710 Orange Structures $2,725 $2,725 Orange Track $2,138 $2,138 Orange/ PVL /former Olive San Jacinto Communication $75 $75 Industry PVL /former SpurSan Jacinto Communication $125 $125 Industry Spur Signal $790 $790 River Communication $100 $48 $20 $11 $14 $7 River Signal $580 $276 $115 $64 $84 $42 River Track $221 $84 $35 $20 $26 $13 $43 San Gabriel Communication $175 $105 $70 San Gabriel Signal $990 $594 $396 San Gabriel Structures $280 $168 $112 San Gabriel Track $2,946 $1,305 $1,640 Systemwide Facilies/Fleet $662 $314 $131 $73 $95 $48 Systemwide Facilities $360 $171 $71 $40 $52 $26 Systemwide Rolling Stock $51,624 $11,373 $4,741 $2,658 $3,448 $1,724 $27,681 Systemwide Signal $2,860 $1,359 $566 $317 $412 $206 Systemwide Station $140 $67 $28 $16 $20 $10 Systemwide Track $500 $238 $99 $56 $72 $36 Valley Signal $200 $200 Valley Structures $1,800 $1,800 Valley Track $1,900 $1,900 Ventura - VC Signal $245 $245 Ventura - VC Structures $629 $629 Ventura - VC Track $515 $515 CURRENT PROPOSED FY REHAB BUDGET $75,006 $20,000 $13,172 $4,170 $6,441 $3,500 $27,724 ROTEM SETTLEMENT AMOUNTS (YEAR 4) $0 $5,806 -$7,613 $457 $1,000 $350 TOTAL PROPOSED FY REHAB BUDGET $75,006 $25,806 $5,559 $4,627 $7,441 $3,850 $27,724 PRIOR YEAR CARRYOVERS $59,889 $10,759 $12,315 $3,061 $7,717 $17,390 $8,647 TOTAL FY AUTHORITY INCLUDING CARRYOVERS $134,895 $36,564 $17,874 $7,688 $15,157 $21,240 $36,371 69

81 ATTACHMENT "I" FY NEW CAPITAL AUTHORITY PROJECTS ($ Thousands) PROJECT DESCRIPTION SUBDIVISION TOTAL BUDGET LACMTA OCTA RCTC SANBAG VCTC Other Ticket Vending Machines Systemwide $30,700 $13,074 $6,905 $4,856 $4,052 $1,813 Install cameras at current and new stations to monitor TVM activity All $5,800 $ $ $ $ $ $5,800 Funds to be used for preparing Project Study Reports TBD $745 $475 $198 $72 Installation of intrusion detection systems at Tunnels 18 and 19 Valley $2,000 $2,000 Installation of intrusion detection systems at Tunnel 28 Ventura $1,000 $1,000 Crossing improvements using Sealed Corridor standards and speed increases on CP Soledad. San Gabriel (three crossings) and Valley (Soledad) $16,708 $8,000 $8,708 TOTAL FY AUTHORITY FOR NEW FUNDING $56,953 $21,549 $7,103 $4,856 $4,052 $1,885 $17,508 PRIOR YEAR CARRYOVERS $141,983 $11,849 $1,648 $25 $32 $97 $128,332 TOTAL FY AUTHORITY INCLUDING CARRYOVERS $198,936 $33,398 $8,750 $4,881 $4,085 $1,982 $145,840 70

82 ATTACHMENT "J' FY NEW AUTHORITY REHABILITATION PROJECTS PROJECTS - BY SUBDIVISION ($THOUSANDS) Subdivision Project Type REHABILITATION PROJECT DESCRIPTION TOTAL LACMTA OCTA RCTC SANBAG VCTC OTHER Olive Olive Communication Signal Acquire replacement parts including software for wayside and mountain-top communication system. Top 5 high priority parts will be identified that are encountering premature failure, nearing the end of their life cycle or are reaching functional obsolescence. 10 parts at an average unit cost of $5,000, Install with maintenance forces. Also includes new locks and keys. No Design, Professional Services, Agency Staff required. Recurring multi-year program. $75 $75 Acquire and install signal replacement parts including software for wayside signals, control points and grade crossing on a preventive maintenance basis. Top 10 parts encountering premature failure nearing the end of their life cycle will be identified and replaced. 10 parts at an average unit cost of $5,000. Install with maintenance forces. Also includes new locks and keys. No Design, Professional Services, Agency Staff required. $75 $75 Olive Signal Perform annual design, engineering, or special studies to determine condition of wayside signal, communication, and grade crossing systems or revise standards and as builts to keep current. Comply with Config. Mgmt. $100 $100 Olive Track Grind 1 track miles of rail $18 $18 Olive Track Replace track panels $300 $300 Orange Communication Acquire replacement parts including software for wayside and mountain-top communication system. Top 15 high priority parts will be identified that are encountering premature failure, nearing the end of their life cycle or are reaching functional obsolescence. 1 parts at an average unit cost of $5,000, Install with maintenance forces. Also includes new locks and keys. No Design, Professional Services, Agency Staff required. Recurring multi-year program. $75 $75 Orange Orange Communication Signal Perform annual design, engineering, or special studies to determine condition of wayside and mountain-top communication systems or revise standards and as builts to keep current. Comply with Config. Mgmt. Recurring multi-year program. $75 $75 Acquire and install signal replacement parts including software for wayside signals, control points and grade crossing on a preventive maintenance basis. (Does not include batteries or corrosion near at beach parts). Top 30 parts encountering premature failure nearing the end of their life cycle will be identified and replaced. 30 parts at an average unit cost of $5,000. Install with maintenance forces. Also includes new locks and keys. No Design, Professional Services, Agency Staff required. $150 $150 Orange Signal Rehab Electrologic with VHLC:, $180,000 each 2 locations per year. Recurring multi-year program. $360 $360 Orange Signal Rehab M23A Power Switch machines - $60,000 / switch. 2 switches per year. Recurring multi-year program. $120 $120 Orange Orange Signal Signal Add crossing Gate Savers, rehab entrance gates, rehab predictor units, batteries, and rehab other misc. crossing equipment. Modify and improve signing, striping, fencing, traffic interconnects. (2 $125K ea.) per year. Recurring multi-year program. $250 $250 Replace Signal System back-up battery banks and chargers at 15 highest priority locations per year. $5,000 per location. Recurring multiyear program. $110 $110 Orange Orange Orange Signal Signal Signal Selectively Replace wayside signal and grade crossing deteriorated equipment in multi-year program along beach front (CP Serra to MP 206.5) due to corrosion from salt spray. $265 $265 Perform annual design, engineering, or special studies to determine condition of wayside signal and grade crossing systems or revise standards and as builts to keep current. Comply with Config. Mgmt. $150 $150 Replace rehab deteriorating underground cables at wayside signals and grade crossings. Two sites per 100,000 per site. Recurring mult-year program. $200 $200 Orange Signal Connect crossings into SCRRA's network LAN system $35K per location). Connect 3 crossings per year.recurring multi-year program. $105 $105 Orange Structures ROW grading/ditching. $200 $200 Orange Structures Install handrail and ballast retainer at end of 8' x 8' reinforced concrete box on the Orange Subdivision at MP $25 $25 1 of 5 71

83 ATTACHMENT "J' FY NEW AUTHORITY REHABILITATION PROJECTS PROJECTS - BY SUBDIVISION ($THOUSANDS) Subdivision Project Type REHABILITATION PROJECT DESCRIPTION TOTAL LACMTA OCTA RCTC SANBAG VCTC OTHER Orange Structures Design/analysis for the San Juan Creek bridge, to achieve 100% design for rehabilitation of the bridge. $2,500 $2,500 Orange Track Grind 12 track miles of rail $214 $214 Orange Track Rehabilitation project to replace 115 lb rail on the Orange Sub with 136 lb rail. It will replace approximatley 14,000' of Rail per year over three years. $1,624 $1,624 Orange Track Replace track panels $300 $300 Orange/ Olive Pasadena Communication Signal Acquire replacement parts including software for wayside and mountain-top communication system. Top 10 high priority parts will be identified that are encountering premature failure, nearing the end of their life cycle or are reaching functional obsolescence. 1 parts at an average unit cost of $5,000, Install with maintenance forces. Also includes new locks and keys. No Design, Professional Services, Agency Staff required. Recurring multi-year program. $75 $75 Acquire and install signal replacement parts including software for wayside signals, control points and grade crossing on a preventive maintenance basis. (Does not include batteries) Top 30 parts encountering premature failure or nearing the end of their life cycle will be identified and replaced. 30 parts at an average unit cost of $5,000. Install with maintenance forces. No Design, Professional Services, Agency Staff required. $ $ Pasadena Pasadena Pasadena Signal Signal Signal Add crossing Gate Savers, rehab entrance gates, rehab predictor units, batteries, and rehab other misc. crossing equipment. Modify and improve signing, striping, fencing, traffic interconnects. (2 $125K ea.) per year. Recurring multi-year program. $ $ Replace Signal System back-up battery banks and chargers at 5 highest priority locations per year. $5,000 per location. Recurring multiyear program. $ $ Replace and rehab deteriorating wayside Pole Line. Replace with underground cable at annual rate of 4 miles per year and $200,000 per mile. Recurring mult-year program. $ $ Pasadena Structures Replace 2-2' x 18" wooden culvert with reinforced concrete pipe on the Pasadena Subdivision at MP $ $ Pasadena Structures Replace 2-24" x 18" wooden culvert with reinforced concrete pipe on the Pasadena Subdivision at MP $ $ Pasadena Structures Replace 36" x 18" wooden culvert with reinforced concrete pipe on the Pasadena Subdivision at MP $ $ Pasadena Structures Replace 24" brea pipe with reinforced concrete pipe on the Pasadena Subdivision at MP $ $ Acquire replacement parts including software for wayside and mountain-top communication system. Top 10 high priority parts will be identified that are encountering premature failure, nearing the end of their life cycle or are reaching functional obsolescence. 1 parts at an average unit cost of $5,000, Install with maintenance forces. Also includes new locks and keys. No Design, Professional Services, Agency Communication Staff required. Recurring multi-year program. $50 $50 PVL /former San Jacinto Industry Spur PVL /former San Jacinto Industry Spur PVL /former San Jacinto Industry Spur Communication Signal Perform annual design, engineering, or special studies to determine condition of wayside and mountain-top systems or revise standards and as built to keep current or were not included in the new construction. Comply with Config. Mgmt. Recurring multi-year program. $75 $75 Perform annual design, engineering, or special studies to determine condition of wayside signal and grade crossing systems or revise standards and as built to keep current. Comply with Config. Mgmt. Recurring multi-year program. $100 $100 PVL /former San Jacinto Industry Spur PVL /former San Jacinto Industry Spur Signal Signal Acquire replacement parts including software for wayside signals, control points and grade crossing on a preventive maintenance basis. Top 20 high priority parts will be identified that are nearing the end of their life cycle or are reaching functional obsolescence or left out, not installed or prematurely failed from the new construction. 20 parts at an average unit cost of $5,000, Install with maintenance forces. Also includes new locks and keys. No Design, Professional Services, Agency Staff required. Recurring multi-year program. $100 $100 Install active warning equipment at one grade crossing per year that was not rebuilt in the PVL Program starting with Villa Street grade crossing MP 0.4, then Harvill, then Mapes $590 $590 2 of 5 72

84 ATTACHMENT "J' FY NEW AUTHORITY REHABILITATION PROJECTS PROJECTS - BY SUBDIVISION ($THOUSANDS) Subdivision Project Type REHABILITATION PROJECT DESCRIPTION TOTAL LACMTA OCTA RCTC SANBAG VCTC OTHER San Gabriel San Gabriel Communication Communication Acquire replacement parts including software for wayside and mountain-top communication system. Top 20 high priority parts will be identified that are encountering premature failure, nearing the end of their life cycle or are reaching functional obsolescence. 20 parts at an average unit cost of $5,000, Install with maintenance forces. Also includes new locks and keys. No Design, Professional Services, Agency Staff required. Recurring multi-year program. $100 $60 $40 Perform annual design, engineering, or special studies to determine condition of wayside and mountain-top communication systems or revise standards and as builts to keep current. Comply with Config. Mgmt. Recurring multi-year program. $75 $45 $30 San Gabriel Signal Rehab Electrologic with VHLC:, $180,000 each 2 locations per year. Recurring multi-year program. $360 $216 $144 San Gabriel Signal Acquire and install signal replacement parts including software for wayside signals, control points and grade crossing on a preventive maintenance basis. (Does not include batteries) Top 30 parts encountering premature failure or nearing the end of their life cycle will be identified and replaced. 30 parts at an average unit cost of $5,000. Also includes new locks and keys. Install with maintenance forces. No Design, Professional Services, Agency Staff required. $150 $90 $60 San Gabriel San Gabriel Signal Signal Add crossing Gate Savers, rehab entrance gates, rehab predictor units, batteries, and rehab other misc. crossing equipment. Modify and improve signing, striping, fencing, traffic interconnects. (2 $125K ea.) per year. Recurring multi-year program. $250 $150 $100 Replace Signal System back-up battery banks and chargers at 15 highest priority locations per year. $5,000 per location. Recurring multiyear program. $110 $66 $44 San Gabriel Signal Rehab M23A Power Switch machines - $60,000 / switch. 2 switches per year. Recurring multi-year program. $120 $72 $48 San Gabriel Structures Replace 24" reinforced concrete pipe with reinforced concrete pipe on the San Gabriel Subdivision at MP $200 $120 $80 San Gabriel Structures ROW grading/ditching. $80 $48 $32 San Gabriel Track Grind 11 track miles of rail $200 $120 $80 San Gabriel Track Rehabilitate 5,000 Crossties on the San Gabriel Subdivision $1,250 $750 $500 San Gabriel Track Rehabilitate 1 turnout on the San Gabriel subdivision $375 $225 $150 San Gabriel Track Replace track panels Grand and Azusa $300 $180 $120 Install new rail on the San Gabriel sub in San Bernardino County. This is for installation of new rail issued to San Bernardino ROW that was San Gabriel Track previously purchased. $770 $770 San Gabriel Track Replace pedestrian crossing panels at El Monte and Pomona-North Stations $51 $31 $20 Valley Signal Add crossing Gate Savers, rehab entrance gates, rehab predictor units, batteries, and rehab other misc. crossing equipment. Modify and improve signing, striping, fencing, traffic interconnects. (2 $125K ea.) per year. Recurring multi-year program. $200 $200 Valley Structures Construction of bridge replacement of an 18' span rail top bridge on the Valley Subdivision at MP $1,200 $1,200 Valley Structures Design and construction of bridge replacement of a 6' span rail top bridge on the Valley Subdivision at MP $600 $600 Valley Track Rehabilitate approximately 20,400 9,000 crossties on the Valley Subdivision between MP 66 and MP 76. $1,900 $1,900 Ventura - VC Signal Rehab Electrologic with VHLC:, $180,000 each 1 locations per year. Recurring multi-year program. $120 $120 Ventura - VC Signal Add crossing Gate Savers, rehab entrance gates, rehab predictor units, batteries, and rehab other misc. crossing equipment. Modify and improve signing, striping, fencing, traffic interconnects. (2 $125K ea.) per year. Recurring multi-year program. $125 $125 Ventura - VC Structures Design and construction of bridge replacement of an 8' span ballast deck timber bridge on the Ventura Subdivision at MP $604 $604 Ventura - VC Structures Construct handrail at end of a 24" cast iron pipe on the Ventura Subdivision at MP $25 $25 3 of 5 73

85 ATTACHMENT "J' FY NEW AUTHORITY REHABILITATION PROJECTS PROJECTS - BY SUBDIVISION ($THOUSANDS) Subdivision Project Type REHABILITATION PROJECT DESCRIPTION TOTAL LACMTA OCTA RCTC SANBAG VCTC OTHER Ventura - VC Track Grind 4.5 track miles of rail $86 $86 Ventura - VC Track Rehabilitation project to replace worn rail on the Ventura Sub. It will replace approximatley 3,700' of Rail. $429 $429 Acquire replacement parts including software for wayside and mountain-top communication system. Top 20 high priority parts will be identified that are encountering premature failure, nearing the end of their life cycle or are reaching functional obsolescence. 20 parts at an average unit cost of $5,000, Install with maintenance forces. Also includes new locks and keys. No Design, Professional Services, Agency River Communication Staff required. Recurring multi-year program. $100 $48 $20 $11 $14 $7 $ River Signal Rehab Electrologic with VHLC:, $180,000 each 1 location per year. Recurring multi-year program. $180 $86 $36 $20 $26 $13 $ River Signal Add crossing Gate Savers, rehab entrance gates, rehab predictor units, batteries, and rehab other misc crossing equipment. Modify and improve signing, striping, fencing, traffic interconnects. (1 $125K ea) per year. Recurring multi-year program. $125 $59 $25 $14 $18 $9 $ River River Signal Signal Replace Signal System back-up battery banks and chargers and improve, add capacity and quick connects to three backup generators sites at one site per year at $75,000 per site plus 5 battery plants per $5,000 per site. Multi-year program. $125 $59 $25 $14 $18 $9 $ Acquire and install signal replacement parts including software for wayside signals, control points and grade crossing on a preventive maintenance basis. (Does not include batteries) Top 30 parts encountering premature failure or nearing the end of their life cycle will be identified and replaced. 30 parts at an average unit cost of $5,000. Install with maintenance forces. Also includes new locks and keys. No Design, Professional Services, Agency Staff required. $150 $71 $30 $17 $22 $11 $ River Track Grind 3 track miles of rail - River sub East Bank. 3,675 ft (23.2%) Zone 1, 10,410 (65.7%) Zone 2, 1,755 (11.1%) Zone 3. $57 $7 $3 $2 $2 $1 $43 River Track Grind 7 track miles of rail $128 $61 $25 $14 $18 $9 $ River Track Grind 2 track miles of rail - River sub West Bank $36 $17 $7 $4 $5 $3 $ Systemwide Facilies/Fleet Replace 3 hy-rail and 2 MOW specialty Vehicles. $662 $314 $131 $73 $95 $48 $ Systemwide Facilities Replace 2 forklifts and 2 Taylor Dunn yard carts. $360 $171 $71 $40 $52 $26 $ Systemwide Rolling Stock Overhaul EMD PH locomotives and upgrade to next highest tier. This is the remaining funding increment needed to complete the locomotive overhaul project budgeted in FY $2.3M/unit). This budget assumes restoration of FY 2015 funding by Metro and other counties. $7,366 $3,499 $1,458 $818 $1,061 $530 $ Systemwide Systemwide Rolling Stock Rolling Stock Complete overhaul of Gen 1 rail cars, including CEM components, and interior components for longer-distance trips. (30 $1.35M/car) $40,500 $6,089 $2,538 $1,423 $1,846 $923 $27,681 Restore to service 15 rail cars. The scope includes cab to coach conversions, lighting updates, wheels and rotors, HVAC retrofit, seat foam and fabric, batteries and COT&S. $2,700 $1,283 $535 $300 $389 $194 $ Systemwide Rolling Stock Rail Car HVAC Overhaul $715 $340 $142 $79 $103 $51 $ Systemwide Rolling Stock Rail Car Window Gasket Replacement $343 $163 $68 $38 $49 $25 $ Systemwide Systemwide Systemwide Signal Signal Signal Acquire and install PTC on board replacement parts and perform software versions changes to stay current with industry interoperable standards and regulations. 57 cab cars and 52 locomotives. Correct defects not otherwise covered by warranty. Remove ATS. Average estimated cost if $10,000 per unit x 110 units. Multiyear recurring program. $1,100 $523 $218 $122 $158 $79 $ Install new train control software versions as required by industry standards or to keep compliant with regulations. Replace hardware that is defective or becoming obsolescent and not otherwise covered by warranty. Keep test lab current and productive. Keep support systems - batteries, air conditioning, alarms in state of good repair. Includes all back office train control, communication systems in the TCOSF, MOC or Melbourne facilities. $1,090 $518 $216 $121 $157 $78 $ Replace or upgrade signal and communication system test tools and equipment including laptops, on board PTC Hi- Rails equipment, Melbourne Signal/Comm/CIS Test Lab. $195 $93 $39 $22 $28 $14 $ 4 of 5 74

86 ATTACHMENT "J' FY NEW AUTHORITY REHABILITATION PROJECTS PROJECTS - BY SUBDIVISION ($THOUSANDS) Subdivision Project Type REHABILITATION PROJECT DESCRIPTION TOTAL LACMTA OCTA RCTC SANBAG VCTC OTHER Systemwide Systemwide Signal Signal Perform engineering, design, special studies relative to overall Signal, Comm. PTC/Back office Systems - standards, drawings, data bases, track charts, on a System Level current. Comply with Config. Mgmt. $290 $138 $57 $32 $42 $21 $ Install new CIS software versions as required to keep current. Replace hardware that is defective or becoming obsolescent and not otherwise covered by warranty. Keep test lab current and productive. Includes all back office CIS control, systems in the TCOSF, MOC or Melbourne facilities. Recurring Program. $185 $88 $37 $21 $27 $13 $ Systemwide Station Replace damaged passenger information signage and displays at stations throughout system $140 $67 $28 $16 $20 $10 $ Systemwide Track System wide track measurement for Machine Vision Tie Inspection, Mobile Lidar Ballast Scanning, and Ground Penetrating Radar $500 $238 $99 $56 $72 $36 $ CURRENT PROPOSED FY REHAB BUDGET $75,006 $20,000 $13,172 $4,170 $6,441 $3,500 $27,724 ROTEM SETTLEMENT AMOUNTS (YEAR 4) $ $5,806 -$7,613 $457 $1,000 $350 $ TOTAL PROPOSED FY REHAB BUDGET $75,006 $25,806 $5,559 $4,627 $7,441 $3,850 $27,724 PRIOR YEAR CARRYOVERS $59,889 $10,759 $12,315 $3,061 $7,717 $17,390 $8,647 TOTAL FY AUTHORITY INCLUDING CARRYOVERS $134,895 $36,564 $17,874 $7,688 $15,157 $21,240 $36,371 5 of 5 75

87 ATTACHMENT "K" FY NEW CAPITAL PROJECTS ($ Thousands) PROJECT DESCRIPTION SUBDIVISION TOTAL BUDGET LACMTA OCTA RCTC SANBAG VCTC Other Procure and install 144 ticket vending machines and back office software system support for revenue tracking. This includes 58 for LA County; 31 for OCTA; 22 for RCTC; 18 for SANBAG; 8 for VCTC and 4 systemwide ticket office machines and 3 systemwide test machines. Systemwide $30,700 $13,074 $6,905 $4,856 $4,052 $1,813 Procure and install cameras at current and new stations to monitor TVM activity and prevent breakins. All $5,800 $ $ $ $ $ $5,800 Funds to be used for preparing Project Study Reports and initial design for enhancement and expansion (i.e. non-good state of good repair projects) Provide improvements to the existing Metrolink's Moorpark layover facility in the Ventura Subdivision. Installation of intrusion detection systems at Tunnels 18 and 19 on the Antelope Valley Line and the intrusion detection systems include CCTV at the mouth of each tunnel entrance with analytics that will detect intrusion into the work space of the tunnels. TBD $745 $475 $198 $72 Ventura $ $ Valley $2,000 $2,000 Installation of intrusion detection systems at Tunnel 28 on the Ventura County Line and the intrusion detection systems include CCTV at the mouth of the tunnel entrance with analytics that will detect intrusion into the work space of the tunnel. Crossing improvements using Sealed Corridor standards and speed increases on CP Soledad. Ventura $1,000 $1,000 San Gabriel (three crossings) and Valley (Soledad) $16,708 $8,000 $8,708 TOTAL FY AUTHORITY FOR NEW FUNDING $56,953 $21,549 $7,103 $4,856 $4,052 $1,885 $17,508 PRIOR YEAR CARRYOVERS $141,983 $11,849 $1,648 $25 $32 $97 $128,332 TOTAL FY AUTHORITY INCLUDING CARRYOVERS $198,936 $33,398 $8,750 $4,881 $4,085 $1,982 $145,840 76

88 ATTACHMENT "L" FY NEW AUTHORITY REHABILITATION PROJECTS PROJECTS BY SUBDIVISION ($Thousands) Subdivision Project Type PROPOSED REHABILITATION PROJECTS TOTAL LACMTA OCTA RCTC SANBAG VCTC OTHER Olive Olive Olive Communication Signal Signal/Com Acquire replacement parts including software for wayside and mountain-top communication system. Top 5 high priority parts will be identified that are encountering premature failure, nearing the end of their life cycle or are reaching functional obsolescence. 10 parts at an average unit cost of $5,000, Install with maintenance forces. Also includes new locks and keys. No Design, Professional Services, Agency Staff required. Recurring multi-year program. $75 $75 Acquire and install signal replacement parts including software for wayside signals, control points and grade crossing on a preventive maintenance basis. Top 10 parts encountering premature failure nearing the end of their life cycle will be identified and replaced. 10 parts at an average unit cost of $5,000. Install with maintenance forces. Also includes new locks and keys. No Design, Professional Services, Agency Staff required. $75 $75 Perform annual design, engineering, or special studies to determine condition of wayside signal, communication, and grade crossing systems or revise standards and as builts to keep current. Comply with Config. Mgmt. $100 $100 Olive Track Grind 1 track miles of rail $18 $18 Olive Track Replace track panels $300 $300 Orange Orange Orange Communication Communication Signal Acquire replacement parts including software for wayside and mountain-top communication system. Top 15 high priority parts will be identified that are encountering premature failure, nearing the end of their life cycle or are reaching functional obsolescence. 1 parts at an average unit cost of $5,000, Install with maintenance forces. Also includes new locks and keys. No Design, Professional Services, Agency Staff required. Recurring multi-year program. $75 $75 Perform annual design, engineering, or special studies to determine condition of wayside and mountain-top communication systems or revise standards and as builts to keep current. Comply with Config. Mgmt. Recurring multi-year program. $75 $75 Acquire and install signal replacement parts including software for wayside signals, control points and grade crossing on a preventive maintenance basis. (Does not include batteries or corrosion near at beach parts). Top 30 parts encountering premature failure nearing the end of their life cycle will be identified and replaced. 30 parts at an average unit cost of $5,000. Install with maintenance forces. Also includes new locks and keys. No Design, Professional Services, Agency Staff required. $150 $150 Orange Signal Rehab Electrologic with VHLC:, $180,000 each 1 locations per year. Recurring multi-year program. $180 $180 Orange Orange Signal Signal Rehab M23A Power Switch machines - $60,000 / switch. 2 switches per year. Recurring multi-year program. $120 $120 Add crossing Gate Savers, rehab entrance gates, rehab predictor units, batteries, and rehab other misc. crossing equipment. Modify and improve signing, striping, fencing, traffic interconnects. (2 $125K ea.) per year. Recurring multi-year program. $250 $250 Orange Signal Replace Signal System back-up battery banks and chargers at 15 highest priority locations per year. $5,000 per location. Recurring multi-year program. $110 $110 1 of 6 77

89 ATTACHMENT "L" FY NEW AUTHORITY REHABILITATION PROJECTS PROJECTS BY SUBDIVISION ($Thousands) Subdivision Project Type PROPOSED REHABILITATION PROJECTS TOTAL LACMTA OCTA RCTC SANBAG VCTC OTHER Orange Orange Orange Signal Signal Signal Selectively Replace wayside signal and grade crossing deteriorated equipment in multi-year program along beach front (CP Serra to MP 206.5) due to corrosion from salt spray. $265 $265 Perform annual design, engineering, or special studies to determine condition of wayside signal and grade crossing systems or revise standards and as builts to keep current. Comply with Config. Mgmt. $150 $150 Replace rehab deteriorating underground cables at wayside signals and grade crossings. Two sites per 100,000 per site. Recurring mult-year program. $200 $200 Orange Signal Connect crossings into SCRRA's network LAN system $35K per location). Connect 3 crossings per year.recurring multi-year program. $105 $105 Orange Structures ROW grading/ditching. $100 $100 Orange Structures Replace 36" reinforced concrete pipe with new reinforced concrete pipe on the Orange Subdivision at MP $275 $275 Orange Track Grind 12 track miles of rail $214 $214 Orange Track Rehabilitation project to replace 115 lb rail on the Orange Sub with 136 lb rail. It will replace approximatley 14,000' of Rail per year over three years. $1,624 $1,624 Orange Track Replace track panels $300 $300 Orange/ Olive Communication PVL /former San Jacinto Industry Spur Communication PVL /former San Jacinto Industry Spur Communication PVL /former San Jacinto Industry Spur Signal Acquire replacement parts including software for wayside and mountain-top communication system. Top 10 high priority parts will be identified that are encountering premature failure, nearing the end of their life cycle or are reaching functional obsolescence. 1 parts at an average unit cost of $5,000, Install with maintenance forces. Also includes new locks and keys. No Design, Professional Services, Agency Staff required. Recurring multi-year program. $75 $75 Acquire replacement parts including software for wayside and mountain-top communication system. Top 10 high priority parts will be identified that are encountering premature failure, nearing the end of their life cycle or are reaching functional obsolescence. 1 parts at an average unit cost of $5,000, Install with maintenance forces. Also includes new locks and keys. No Design, Professional Services, Agency Staff required. Recurring multi-year program. $50 $50 Perform annual design, engineering, or special studies to determine condition of wayside and mountain-top systems or revise standards and as built to keep current. Comply with Config. Mgmt. Recurring multi-year program. $75 $75 Perform annual design, engineering, or special studies to determine condition of wayside signal and grade crossing systems or revise standards and as built to keep current. Comply with Config. Mgmt. Recurring multi-year program. $150 $150 2 of 6 78

90 ATTACHMENT "L" FY NEW AUTHORITY REHABILITATION PROJECTS PROJECTS BY SUBDIVISION ($Thousands) Subdivision Project Type PROPOSED REHABILITATION PROJECTS TOTAL LACMTA OCTA RCTC SANBAG VCTC OTHER PVL /former San Jacinto Industry Spur Signal PVL /former San Jacinto Industry Spur Signal Acquire replacement parts including software for wayside signals, control points and grade crossing on a preventive maintenance basis or were left out, not installed or prematurely failed. Top 20 high priority parts will be identified that are nearing the end of their life cycle or are reaching functional obsolescence. 20 parts at an average unit cost of $5,000, Install with maintenance forces. Also includes new locks and keys. No Design, Professional Services, Agency Staff required. Recurring multi-year program. $100 $100 Install active warning equipment at one grade crossing per year that was not rebuilt in the PVL Program starting with Villa Street grade crossing MP 0.4, then Harvill in F 2017, then Mapes $590 $590 San Gabriel Signal Acquire and install signal replacement parts including software for wayside signals, control points and grade crossing on a preventive maintenance basis. (Does not include batteries) Top 30 parts encountering premature failure or nearing the end of their life cycle will be identified and replaced. 30 parts at an average unit cost of $5,000. Also includes new locks and keys. Install with maintenance forces. No Design, Professional Services, Agency Staff required. $150 $90 $60 San Gabriel Signal Rehab Electrologic with VHLC:, $180,000 each 2 locations per year. Recurring multi-year program. $360 $216 $144 San Gabriel Track Grind 11 track miles of rail $200 $120 $80 Valley Track Grind 32 track miles of rail $582 $582 Valley Track Rehabilitate 7,480 Crossties on the Valley Subdivision. $1,784 $1,784 Ventura - LA Signal Rehab Electrologic with VHLC:, $180,000 each 1 locations per year. Recurring multi-year program. $176 $176 Ventura - LA Ventura - LA Ventura - LA Signal Signal Structures Acquire and install signal replacement parts including software for wayside signals, control points and grade crossing on a preventive maintenance basis. (Does not include batteries) Top 30 parts nearing the end of their life cycle will be identified and replaced. 30 parts at an average unit cost of $5,000. Install with maintenance forces. No Design, Professional Services, Agency Staff required. $55 $55 Rehab M23A Power Switch machines - $60,000 / switch. 2 switches per year. Recurring multi-year program. $60 $60 Design and construction of bridge replacement of a 15' span ballast deck trestle bridge on the Ventura Subdivision at MP $1,400 $1,400 Ventura - LA Track Grind 4.5 track miles of rail - LA County $171 $171 Ventura - LA Track Rehab 9 grade crossings that will be lengthened as a result of the Raymer to Bernson double-track project. $3,740 $3,740 3 of 6 79

91 ATTACHMENT "L" FY NEW AUTHORITY REHABILITATION PROJECTS PROJECTS BY SUBDIVISION ($Thousands) Subdivision Project Type PROPOSED REHABILITATION PROJECTS TOTAL LACMTA OCTA RCTC SANBAG VCTC OTHER Ventura - LA Communication Acquire replacement parts including software for wayside and mountain-top communication system. Top 20 high priority parts will be identified that are encountering premature failure, nearing the end of their life cycle or are reaching functional obsolescence. 20 parts at an average unit cost of $5,000, Install with maintenance forces. Also includes new locks and keys. No Design, Professional Services, Agency Staff required. Recurring multi-year program. $50 $50 Ventura - LA Ventura - LA Ventura - VC Communication Signal Communication Rehab field signage with Daktronic and PA at 1 station per year for next three years. $150,000 per station. Recurring multi-year program. $150 $150 Acquire and install signal replacement parts including software for wayside signals, control points and grade crossing on a preventive maintenance basis. (Does not include batteries) Top 30 parts nearing the end of their life cycle will be identified and replaced. 30 parts at an average unit cost of $5,000. Install with maintenance forces. No Design, Professional Services, Agency Staff required. $79 $79 Perform annual design, engineering, or special studies to determine condition of wayside and mountain-top communication systems or revise standards and as builts to keep current. Comply with Config. Mgmt. Recurring multi-year program. $38 $38 Ventura - VC Signal Rehab Electrologic with VHLC:, $180,000 each 1 locations per year. Recurring multi-year program. $180 $180 Ventura - VC Signal Acquire and install signal replacement parts including software for wayside signals, control points and grade crossing on a preventive maintenance basis. (Does not include batteries) Top 30 parts nearing the end of their life cycle will be identified and replaced. 30 parts at an average unit cost of $5,000. Install with maintenance forces. No Design, Professional Services, Agency Staff required. $75 $75 Ventura - VC Signal Acquire and install signal replacement parts including software for wayside signals, control points and grade crossing on a preventive maintenance basis. (Does not include batteries) Top 30 parts nearing the end of their life cycle will be identified and replaced. 30 parts at an average unit cost of $5,000. Install with maintenance forces. No Design, Professional Services, Agency Staff required. $49 $49 Ventura - VC Track Grind 4.5 track miles of rail -Ventura County $174 $174 River River River Communication Communication Communication Acquire replacement parts including software for wayside and mountain-top communication system. Top 20 high priority parts will be identified that are encountering premature failure, nearing the end of their life cycle or are reaching functional obsolescence. 20 parts at an average unit cost of $5,000, Install with maintenance forces. Also includes new locks and keys. No Design, Professional Services, Agency Staff required. Recurring multi-year program. $100 $48 $20 $11 $14 $7 Perform annual design, engineering, or special studies to determine condition of wayside and mountain-top communication systems or revise standards and as builts to keep current. Comply with Config. Mgmt. Recurring multi-year program. $75 $36 $15 $8 $11 $5 Perform annual design, engineering, or special studies to determine condition of wayside and mountain-top communication systems or revise standards and as builts to keep current. Comply with Config. Mgmt. Recurring multi-year program. $45 $21 $9 $5 $6 $3 $ 4 of 6 80

92 ATTACHMENT "L" FY NEW AUTHORITY REHABILITATION PROJECTS PROJECTS BY SUBDIVISION ($Thousands) Subdivision Project Type PROPOSED REHABILITATION PROJECTS TOTAL LACMTA OCTA RCTC SANBAG VCTC OTHER River Signal Rehab Electrologic with VHLC:, $180,000 each 1 location per year. Recurring multi-year program. $180 $86 $36 $20 $26 $13 River Track Grind 3 track miles of rail - River sub East Bank $57 $27 $11 $6 $8 $4 River Track Grind 2 track miles of rail - River sub West Bank $36 $17 $7 $4 $5 $3 River Track Rehabilitation project to replace worn rail and upgrade aged rail to 136 lb rail on the River Sub. It will replace approximatley 10,000' of Rail per year over three years. $ $ $ $ $ $ River Track Replace track panels $ $ $ $ $ $ River River Track Track Rehabilitation project to replace worn rail and upgrade aged rail to 136 lb rail on the River Sub. It will replace approximatley 10,000' of Rail per year over three years. $ $ $ $ $ $ $ Rehabilitate 8,900 Crossties on the River Subdivision (5300 River East Bank and 3600 River West Bank) $ $ $ $ $ $ $ River Track Rehabilitate 4 turnouts on the river subdivision $1,500 $713 $297 $167 $216 $108 $ River Track Replace track panels $ $ $ $ $ $ $ River Track Grind 7 track miles of rail $128 $61 $25 $14 $18 $9 zsystemwide Engineering Planning for State of Good Repair projects to progress projects from concept to 5-20% design. $ $ $ $ $ $ $ zsystemwide Engineering Planning for State of Good Repair projects to progress projects from concept to 5-20% design. $ $ $ $ $ $ Systemwide Facilities Replace hy-rail (1) and standard boom lift (1) $440 $209 $87 $49 $63 $32 Systemwide Rolling Stock Complete overhaul of Gen 1 rail cars, including CEM components, and interior components for longer-distance trips. (15 $1.35M/car. $2.0M from other sources) $20,250 $8,669 $3,614 $2,026 $2,628 $1,314 $2,000 Systemwide Rolling Stock Door Motor Overhaul $178 $85 $35 $20 $26 $13 Systemwide Systemwide Signal Signal Acquire and install PTC on board replacement parts and perform software versions changes to stay current with industry interoperable standards and regulations. 57 cab cars and 52 locomotives. Correct defects not otherwise covered by warranty. Remove ATS. Average estimated cost if $10,000 per unit x 110 units. Multiyear recurring program. $1,100 $523 $218 $122 $158 $79 Install new software versions as required by industry standards or to keep compliant with regulations. Replace hardware that is defective or becoming obsolescent and not otherwise covered by warranty. Keep test lab current and productive. Keep support systems - batteries, air conditioning, alarms in state of good repair. Includes all back office train control, communication systems in the TCOSF, MOC or Melbourne facilities. $1,090 $518 $216 $121 $157 $78 5 of 6 81

93 ATTACHMENT "L" FY NEW AUTHORITY REHABILITATION PROJECTS PROJECTS BY SUBDIVISION ($Thousands) Subdivision Project Type PROPOSED REHABILITATION PROJECTS TOTAL LACMTA OCTA RCTC SANBAG VCTC OTHER Systemwide Systemwide Systemwide Signal Signal Signal Perform engineering, design, special studies relative to overall Signal, Comm. PTC/Back office Systems - standards, drawings, data bases, track charts, on a System Level current. Comply with Config. Mgmt. $290 $138 $57 $32 $42 $21 Replace or upgrade signal and communication system test tools and equipment including laptops, on board PTC Hi- Rails equipment, Melbourne Signal/Comm/CIS Test Lab. $195 $93 $39 $22 $28 $14 Install new software versions as required to keep current. Replace hardware that is defective or becoming obsolescent and not otherwise covered by warranty. Keep test lab current and productive. Includes all back office CIS control, systems in the TCOSF, MOC or Melbourne facilities. Recurring Program. $185 $88 $37 $21 $27 $13 Systemwide Rolling Stock PROPOSED FY REHAB BUDGET WITHOUT PH-R LOCOMOTIVIE REHAB - CONSTRAINED $41,121 $20,000 $9,558 $3,612 $3,718 $2,233 $2,000 Overhaul the first 4 of 7 EMD PH locomotives that were previously upgraded to Tier-2 in 2008, and upgrade to Tier-4. ($4.4M/unit, with $1.3M/unit from other sources in FY18). Measure R funding will be used by LACMTA. $17,600 $8,360 $3,485 $1,954 $2,534 $1,267 $ TOTAL PROPOSED FY REHAB BUDGET - CONSTRAINED $58,721 $28,360 $13,043 $5,566 $6,252 $3,500 $2,000 6 of 6 82

94 ATTACHMENT "M" FY NEW CAPITAL PROJECTS ($ Thousands) PROJECT DESCRIPTION SUBDIVISION TOTAL BUDGET Metro OCTA RCTC SANBAG VCTC Other Funds to be used for preparing Project Study Reports and initial design for enhancement and expansion (ie non-good state of good repair projects) Provide improvements to the existing Metrolink's Moorpark layover facility in the Ventura Subdivision. Installation of intrusion detection systems at Tunnels 18 and 19 on the Antelope Valley Line and the intrusion detection systems include CCTV at the mouth of each tunnel entrance with analytics that will detect intrusion into the work space of the tunnels. TBD $745 $475 $198 $72 Ventura $3,000 $3,000 Valley $3,800 $3,800 Installation of intrusion detection systems at Tunnel 28 on the Ventura County Line and the intrusion detection systems include CCTV at the mouth of the tunnel entrance with analytics that will detect intrusion into the work space of the tunnel. Ventura $1,800 $1,800 TOTAL FY AUTHORITY FOR NEW FUNDING $9,345 $475 $198 $ $ $3,072 $5,600 83

95 FY NEW AUTHORITY REHABILITATION PROJECTS PROJECTS BY SUBDIVISION ($Thousands) ATTACHMENT N Line Project Title PROPOSED REHABILITATION PROJECTS PROJECT JUSTIFICATION Subdivision Project Type LACMTA OCTA RCTC SANBAG VCTC OTHER TOTAL 1 Wayside Communication System Replacment Parts - Olive. Acquire replacement parts including software for wayside and mountain-top communication system. Top 5 high priority parts will be identified that are encountering premature failure, nearing the end of their life cycle or are reaching functional obsolescence. 10 parts at an average unit cost of $5,000, Install with maintenance forces. Also includes new locks and keys. No Design, Professional Services, Agency Staff required. Recurring multi-year program. Determine rehabilitation needs, budgets, schedule for future years. Maintain records and CM. Olive Communication $75 $ Wayside Signal and Grade Crossing Rehab - Replacement Parts and Software - Olive State of Good Repair Design Engineering Special Studies- Olive 4 Olive Rail Grinding Grind 1 track miles of rail Acquire and install signal replacement parts including software for wayside signals, control points and grade crossing on a preventive maintenance basis. Top 10 parts encountering premature failure nearing the end of their life cycle will be identified and replaced. 10 parts at an average unit cost of $5,000. Install with maintenance forces. Also includes new locks and keys. No Design, Professional Services, Agency Staff required. Replace signal units before failure. Identifies the top replaceable signal units. Olive Signal $75 $75 Perform annual design, engineering, or special studies to determine condition of wayside signal, communication, and grade crossing systems or revise standards and as builts to keep current. Comply with Config. Mgmt. Determine rehabilitation needs, budgets, schedule for future years. Maintain records and CM. Olive Signal/Com $100 $100 Grinding of rail head to remove imperfections and discontinuities that develop under traffic loads increases the life of the rail, decreases the probability of rail breaks, and decreases rail replacement intervals Olive Track $18 $18 5 Highway-Rail Xing Replace track panels Based on a review of the inspection reports for Grade Crossings and data from the FRA Olive Track $300 $300 6 Wayside Communication System Replacement Parts - Orange Acquire replacement parts including software for wayside and mountain-top communication system. Top 15 high priority parts will be identified that are encountering premature failure, nearing the end of their life cycle or are reaching functional obsolescence. 1 parts at an average unit cost of $5,000, Install with maintenance forces. Also includes new locks and keys. No Design, Professional Services, Agency Staff required. Recurring multi-year program. Replace communication units before failure. Identifies the top replaceable signal units. Orange Communication $75 $75 7 Wayside Communication System Design, slot planning, interference mitigation - Orange Perform annual design, engineering, or special studies to determine condition of wayside and mountain-top communication systems or Replace signal units before failure. revise standards and as builts to keep current. Comply with Config. Identifies the top replaceable signal Mgmt. Recurring multi-year program. units. Orange Communication $125 $125 8 Wayside Signal and Grade Crossing Rehab Replacement Parts and Software - Orange 9 Wayside Signals EL1-A Replacement- - Orange Acquire and install signal replacement parts including software for wayside signals, control points and grade crossing on a preventive maintenance basis. (Does not include batteries or corrosion near at beach parts). Top 30 parts encountering premature failure nearing the end of their life cycle will be identified and replaced. 30 parts at an average unit cost of $5,000. Install with maintenance forces. Also Replace signal units before failure. includes new locks and keys. No Design, Professional Services, Identifies the highest priority Agency Staff required. replaceable signal units. Orange Signal $150 $150 Rehab Electrologic with VHLC:, $180,000 each 1 locations per year. Recurring multi-year program. Replaces older (15+ years) versions of coded track circuit before failure or obsolescence is reached. Required for signals to govern train movement. Orange Signal $180 $ Wayside Signal- Power Switch Machine Rehab- Orange Rehab M23A Power Switch machines - $60,000 / switch. 2 switches per year. Recurring multi-year program. Replace before failure. Required for sidings, and crossover to function reliably. Orange Signal $120 $120 1 of 11 84

96 FY NEW AUTHORITY REHABILITATION PROJECTS PROJECTS BY SUBDIVISION ($Thousands) ATTACHMENT N Line Project Title PROPOSED REHABILITATION PROJECTS PROJECT JUSTIFICATION Subdivision Project Type LACMTA OCTA RCTC SANBAG VCTC OTHER TOTAL 11 Wayside Signal -Grade Crossing Rehab - Orange Add crossing Gate Savers, rehab entrance gates, rehab predictor units, batteries, and rehab other misc. crossing equipment. Modify and improve signing, striping, fencing, traffic interconnects. (2 $125K ea.) per year. Recurring multi-year program. Maintains necessary functionality and reliability of grade crossings Orange Signal $250 $ Wayside Signal System Rehab - Batteries and Chargers Orange Wayside Signals Equipment Replacement due to Sea Salt Corrosion- Orange Replace Signal System back-up battery banks and chargers at 15 highest priority locations per year. $5,000 per location. Recurring multi-year program. Selectively Replace wayside signal and grade crossing deteriorated equipment in multi-year program along beach front (CP Serra to MP 206.5) due to corrosion from salt spray. Batteries and Chargers required for Grade crossings, CP's and Intermediate Signals to function reliably and safely. Orange Signal $110 $110 Replaces older (15+ years) versions of coded track circuit before failure or obsolescence is reached. Required for signals to govern train movement. Orange Signal $265 $ State of Good Repair Design, Engineering, or Special Studies - Orange Perform annual design, engineering, or special studies to determine Determine rehabilitation needs, budgets, condition of wayside signal and grade crossing systems or revise schedule for future years. Maintain standards and as builts to keep current. Comply with Config. Mgmt. records and CM. Orange Signal $150 $ Wayside Signals and Grade Crossings Selective Cable Replacement - Orange Wayside Signal Crossing Remote Connectivity- Orange Replace rehab deteriorating underground cables at wayside signals and grade crossings. Two sites per 100,000 per site. Recurring mult-year program. Connect crossings into SCRRA's network LAN system $35K per location). Connect 3 crossings per year.recurring multi-year program. Replaces underground cable that has deteriorated or been affected by new construction or third party work and damage to cable was not detected. Required for signals to govern train movement. Recurring mult-year program. Orange Signal $200 $200 Connectivity will provide real time health monitoring, and then detailed downloads for replays. Reduce maintenance costs, improve response Orange Signal $105 $ Orange Sub Bridge Replacement - Design & Construction 18 Orange Sub Culvert Replacement- Construction 19 Orange Sub ROW Maintenance ROW grading/ditching. 20 Orange Sub Culvert Replacement - Construction Construction of bridge replacement of a 300' span thru-plate girder bridge on the Orange Subdivision at MP (San Juan Creek). Replace 36" x 22" corrugated metal pipe with reinforced concrete pipe on the Orange Subdivision at MP Replace 36" reinforced concrete pipe with new reinforced concrete pipe on the Orange Subdivision at MP Orange Sub Culvert - Construction Extend 30" pipe on the Orange Subdivision at MP Orange Sub Culvert - Construction Extend 24" pipe on the Orange Subdivision at MP This bridge is a 300' span thru-plate girder bridge built in 1918 and is 96 years old. The deck is in poor condition and the rating for the bridge is below expected demands. The bridge requires frequent maintenance due to age, fatigue, and deterioration. Orange Structures $28,500 $28,500 36" x 22" pipe was constructed in The outlet end is higher than the inlet end. Needs to be adjusted to convey positive drainage. Orange Structures $225 $225 Track bed and ROW needs to be maintained to provide a base for ties and rail to sit on. Drainage must be properly conveyed away from tracks. Orange Structures $150 $150 36" pipe was constructed in The headwall and wingwall is damaged and pipe is separating at the joints. Orange Structures $275 $275 There is ballast loss due to unstable slope. Extend pipe by 10 ft, construct headwall, and grade slope. Orange Structures $175 $175 There is ballast loss due to unstable slope. Extend pipe by 10 ft, construct headwall, and grade slope. Orange Structures $175 $ Orange Sub Culvert - Construction 24 Orange Sub Culvert - Construction Replace headwall and wingwall at one end of 30" reinforced concrete pipe on the Orange Subdivision at MP Construct headwall at end of reinforced concrete pipe on the Orange Subdivision at MP " pipe was constructed in The headwall is damaged and the ballast retainer above headwall is pushing out. Orange Structures $125 $125 Pipe was constructed in Headwall is separating from pipe. Orange Structures $125 $125 2 of 11 85

97 FY NEW AUTHORITY REHABILITATION PROJECTS PROJECTS BY SUBDIVISION ($Thousands) ATTACHMENT N Line Project Title PROPOSED REHABILITATION PROJECTS PROJECT JUSTIFICATION Subdivision Project Type LACMTA OCTA RCTC SANBAG VCTC OTHER TOTAL 25 Orange Sub Culvert - Construction 26 Orange Rail Grinding Grind 12 track miles of rail Replace headwall and wingwall at one end of 36" reinforced concrete pipe on the Orange Subdivision at MP " pipe was constructed in The headwall is damaged and pipe is separating from headwall Orange Structures $125 $125 Grinding of rail head to remove imperfections and discontinuities that develop under traffic loads increases the life of the rail, decreases the probability of rail breaks, and decreases rail replacement intervals Orange Track $214 $ Orange Track Rehab 28 Olive/Orange Crosstie Rehabilitation 29 Olive/Orange Turnout Rehabilitation Data projected through the use of Rehabilitation project to replace 115 lb rail on the Orange Sub with RangeCam Track Analyst Software. Data is 136 lb rail. It will replace approximatley 14,000' of Rail per year over projected based on the quarterly scan data, three years. which has been collected for several years. Orange Track $1,624 $1,624 Rehabilitate 10,000 Crossties on the Ventura Subdivision (Olive 1,000 and Orange 9,000) Reabilitation 2 Turnouts on the Orange Subdivision and 1 Turnout on the Olive Subdivision Based on a review of the last crosstie work completed on subdivision. In the future, crosstie work will be determined using Machine Vision Tie inspection. Orange Track $2,496 $2,496 Based on a review of the most recent inspection reports for turnouts. Orange Track $1,125 $1, Highway-Rail Xing Replace track panels Based on a review of the inspection reports for Grade Crossings and data from the FRA Orange Track $300 $ Wayside Communication System Replacement Parts - Orange Olive Wayside Signal and Grade Crossing Rehab Replacement Parts and Software -Pasadena Acquire replacement parts including software for wayside and mountain-top communication system. Top 10 high priority parts will be identified that are encountering premature failure, nearing the end of their life cycle or are reaching functional obsolescence. 1 parts at an average unit cost of $5,000, Install with maintenance forces. Also includes new locks and keys. No Design, Professional Services, Agency Staff required. Recurring multi-year program. Acquire and install signal replacement parts including software for wayside signals, control points and grade crossing on a preventive maintenance basis. (Does not include batteries) Top 30 parts encountering premature failure or nearing the end of their life cycle will be identified and replaced. 30 parts at an average unit cost of $5,000. Install with maintenance forces. No Design, Professional Services, Agency Staff required. Replace communication units before failure. Identifies the top replaceable signal units. Orange/ Olive Communication $75 $75 Replace signal units before failure. Identifies the highest priority replaceable signal units. Pasadena Signal $150 $ Wayside Signal -Grade Crossing Rehab - Pasadena Add crossing Gate Savers, rehab entrance gates, rehab predictor units, batteries, and rehab other misc. crossing equipment. Modify and improve signing, striping, fencing, traffic interconnects. (2 $125K ea.) per year. Recurring multi-year program. Maintains necessary functionality and reliability of grade crossings Pasadena Signal $250 $ Wayside Signal System Rehab - Batteries and Chargers - Pasadena Replace Signal System back-up battery banks and chargers at 5 highest priority locations per year. $5,000 per location. Recurring multi-year program. Batteries and Chargers required for Grade crossings, CP's and Intermediate Signals to function reliably and safely. Pasadena Signal $23 $23 36 Wayside Communication System Replacement Parts - PVL Acquire replacement parts including software for wayside and mountain-top communication system. Top 10 high priority parts will be identified that are encountering premature failure, nearing the end of their life cycle or are reaching functional obsolescence. 1 parts at an average unit cost of $5,000, Install with maintenance forces. Also includes new locks and keys. No Design, Professional Services, Agency Staff required. Recurring multi-year program. Replace communication units before failure. Identifies the top replaceable signal units. 3 of 11 PVL /former San Jacinto Industry Spur Communication $50 $50 86

98 FY NEW AUTHORITY REHABILITATION PROJECTS PROJECTS BY SUBDIVISION ($Thousands) ATTACHMENT N Line Project Title PROPOSED REHABILITATION PROJECTS PROJECT JUSTIFICATION Subdivision Project Type LACMTA OCTA RCTC SANBAG VCTC OTHER TOTAL Wayside Communication System Design, slot planning, interference mitigation - PVL Wayside Signal and Grade Crossing Rehab - Design, Engineering, or Special Studies -PVL Wayside Signal and Grade Crossing Replacement Parts - PVL Perform annual design, engineering, or special studies to determine condition of wayside and mountain-top systems or revise standards Replace signal units before failure. PVL /former and as built to keep current. Comply with Config. Mgmt. Recurring Identifies the top replaceable signal San Jacinto multi-year program. units. Industry Spur Communication $75 $75 Perform annual design, engineering, or special studies to determine condition of wayside signal and grade crossing systems or revise Determine rehabilitation needs, budgets, standards and as built to keep current. Comply with Config. Mgmt. schedule for future years. Maintain Recurring multi-year program. necessary records and CM. Acquire replacement parts including software for wayside signals, control points and grade crossing on a preventive maintenance basis or were not provided for in the new construction. Top 20 high priority parts will be identified that are nearing the end of their life cycle or are reaching functional obsolescence. 20 parts at an average unit cost of $5,000, Install with maintenance forces. Also includes new locks and keys. No Design, Professional Services, Agency Staff required. Recurring multi-year program. PVL /former San Jacinto Industry Spur Signal $100 $100 Replace signal units before failure. PVL /former Identifies the top replaceable signal San Jacinto units. Industry Spur Signal $100 $ Major Grade Crossing Rehab- PVL Install active warning equipment at one grade crossing per year that was not rebuilt in the PVL Program starting with Villa Street grade crossing MP 0.4, then Harvill, then Mapes in FY SCRRA will assume maintenance of this grade crossing when the PVL project is completed. The current active warning system is one bell that works marginally and is prone to vandalism. We need to reduce the risk associated with this crossing by installing a modern active warning system. PVL /former San Jacinto Industry Spur Signal $590 $ Wayside Communication System Replacement Parts - San Gabriel Acquire replacement parts including software for wayside and mountain-top communication system. Top 20 high priority parts will be identified that are encountering premature failure, nearing the end of their life cycle or are reaching functional obsolescence. 20 parts at an average unit cost of $5,000, Install with maintenance forces. Also includes new locks and keys. No Design, Professional Services, Agency Staff required. Recurring multi-year program. Replace communication units before failure. Identifies the top replaceable signal units. San Gabriel Communication $60 $40 $ Wayside Communication System Replacement Parts - San Gabriel Wayside Communication System Design, slot planning, interference mitigation - San Gabriel Wayside Communication System Design, slot planning, interference mitigation - San Gabriel Wayside Signals EL1-A Replacement- San Gabriel/Shortway Acquire replacement parts including software for wayside and mountain-top communication system. Top 20 high priority parts will be identified that are encountering premature failure, nearing the end of their life cycle or are reaching functional obsolescence. 20 parts at an average unit cost of $5,000, Install with maintenance forces. Also includes new locks and keys. No Design, Professional Services, Agency Staff required. Recurring multi-year program. Replace communication units before failure. Identifies the top replaceable signal units. San Gabriel Communication $60 $40 $100 Perform annual design, engineering, or special studies to determine condition of wayside and mountain-top communication systems or Replace signal units before failure. revise standards and as builts to keep current. Comply with Config. Identifies the top replaceable signal Mgmt. Recurring multi-year program. units. San Gabriel Communication $45 $30 $75 Perform annual design, engineering, or special studies to determine condition of wayside and mountain-top communication systems or Replace signal units before failure. revise standards and as builts to keep current. Comply with Config. Identifies the top replaceable signal Mgmt. Recurring multi-year program. Rehab Electrologic with VHLC:, $180,000 each 2 locations per year. Recurring multi-year program. units. San Gabriel Communication $45 $30 $75 Replaces older (15+ years) versions of coded track circuit before failure or obsolescence is reached. Required for signals to govern train movement. San Gabriel Signal $216 $144 $360 4 of 11 87

99 FY NEW AUTHORITY REHABILITATION PROJECTS PROJECTS BY SUBDIVISION ($Thousands) ATTACHMENT N Line Project Title PROPOSED REHABILITATION PROJECTS PROJECT JUSTIFICATION Subdivision Project Type LACMTA OCTA RCTC SANBAG VCTC OTHER TOTAL 44 Wayside Signal and Grade Crossing Rehab Replacement Parts and Software - San Gabriel/Shortway Acquire and install signal replacement parts including software for wayside signals, control points and grade crossing on a preventive maintenance basis. (Does not include batteries) Top 30 parts encountering premature failure or nearing the end of their life cycle will be identified and replaced. 30 parts at an average unit cost of $5,000. Also includes new locks and keys. Install with maintenance forces. No Design, Professional Services, Agency Staff required. Replace signal units before failure. Identifies the highest priority replaceable signal units. San Gabriel Signal $90 $60 $ Wayside Signal and Grade Crossing Rehab Replacement Parts and Software - San Gabriel/Shortway Wayside Signal -Grade Crossing Rehab - San Gabriel/Shortway Wayside Signal -Grade Crossing Rehab - San Gabriel/Shortway Acquire and install signal replacement parts including software for wayside signals, control points and grade crossing on a preventive maintenance basis. (Does not include batteries) Top 30 parts encountering premature failure or nearing the end of their life cycle will be identified and replaced. 30 parts at an average unit cost of $5,000. Also includes new locks and keys. Install with maintenance forces. No Design, Professional Services, Agency Staff required. Add crossing Gate Savers, rehab entrance gates, rehab predictor units, batteries, and rehab other misc. crossing equipment. Modify and improve signing, striping, fencing, traffic interconnects. (2 $125K ea.) per year. Recurring multi-year program. Add crossing Gate Savers, rehab entrance gates, rehab predictor units, batteries, and rehab other misc. crossing equipment. Modify and improve signing, striping, fencing, traffic interconnects. (2 $125K ea.) per year. Recurring multi-year program. Replace signal units before failure. Identifies the highest priority replaceable signal units. San Gabriel Signal $90 $60 $150 Maintains necessary functionality and reliability of grade crossings San Gabriel Signal $150 $100 $250 Maintains necessary functionality and reliability of grade crossings San Gabriel Signal $150 $100 $ Wayside Signal- Power Switch Machine Rehab- San Gabriel/Shortway Wayside Signal- Power Switch Machine Rehab- San Gabriel/Shortway Rehab M23A Power Switch machines - $60,000 / switch. 2 switches per year. Recurring multi-year program. Rehab M23A Power Switch machines - $60,000 / switch. 2 switches per year. Recurring multi-year program. Replace before failure. Required for sidings, and crossover to function reliably. San Gabriel Signal $72 $48 $120 Replace before failure. Required for sidings, and crossover to function reliably. San Gabriel Signal $72 $48 $ Wayside Signal System Rehab - Batteries and Chargers San Gabriel/Shortway Replace Signal System back-up battery banks and chargers at 15 highest priority locations per year. $5,000 per location. Recurring multi-year program. Batteries and Chargers required for Grade crossings, CP's and Intermediate Signals to function reliably and safely. San Gabriel Signal $66 $44 $ Wayside Signal System Rehab - Batteries and Chargers San Gabriel/Shortway 55 San Gabriel Rail Grinding Grind 11 track miles of rail Replace Signal System back-up battery banks and chargers at 15 highest priority locations per year. $5,000 per location. Recurring multi-year program. Batteries and Chargers required for Grade crossings, CP's and Intermediate Signals to function reliably and safely. San Gabriel Signal $66 $44 $110 Grinding of rail head to remove imperfections and discontinuities that develop under traffic loads increases the life of the rail, decreases the probability of rail breaks, and decreases rail replacement intervals San Gabriel Track $120 $80 $ San Gabriel Track Rehab Rehabilitation project to replace worn rail on the San Gabriel Sub. It will replace approximatley 12,500' of Rail. Data projected through the use of RangeCam Track Analyst Software. Data is projected based on the quarterly scan data, which has been collected for several years. San Gabriel Track $870 $580 $1, San Gabriel Cross Tie Rehabilitation Rehabilitate 7,000 Crossties on the San Gabriel Subdivision Based on a review of the last crosstie work completed on subdivision. In the future, crosstie work will be determined using Machine Vision Tie inspection. San Gabriel Track $1,048 $699 $1,747 5 of 11 88

100 FY NEW AUTHORITY REHABILITATION PROJECTS PROJECTS BY SUBDIVISION ($Thousands) ATTACHMENT N Line Project Title PROPOSED REHABILITATION PROJECTS PROJECT JUSTIFICATION Subdivision Project Type LACMTA OCTA RCTC SANBAG VCTC OTHER TOTAL 51 San Gabriel Track Rehab Rehabilitation project to replace worn rail on the San Gabriel Sub. It will replace approximatley 12,500' of Rail. Data projected through the use of RangeCam Track Analyst Software. Data is projected based on the quarterly scan data, which has been collected for several years. San Gabriel Track $870 $580 $1, San Gabriel sub Highway-Rail Xing Replace track panels at Cataract, and Lark Ellen 62 Wayside Signals EL1-A Replacement- Valley Rehab Electrologic with VHLC:, $180,000 each 2 locations per year. Recurring multi-year program. Based on a review of the inspection reports for Grade Crossings and data from the FRA San Gabriel Track $454 $302 $756 Replaces older (15+ years) versions of coded track circuit before failure or obsolescence is reached. Required for signals to govern train movement. Valley Signal $360 $ Wayside Signal and Grade Crossing Rehab Replacement Parts and Software - Valley Acquire and install signal replacement parts including software for wayside signals, control points and grade crossing on a preventive maintenance basis. (Does not include batteries) Top 30 parts encountering premature failure or nearing the end of their life cycle will be identified and replaced. 30 parts at an average unit cost of $5,000. Install with maintenance forces. No Design, Professional Services, Agency Staff required. Replace signal units before failure. Identifies the highest priority replaceable signal units. Valley Signal $168 $ Wayside Signal -Grade Crossing Rehab - -Valley Add crossing Gate Savers, rehab entrance gates, rehab predictor units, batteries, and rehab other misc. crossing equipment. Modify and improve signing, striping, fencing, traffic interconnects. (2 $125K ea.) per year. Recurring multi-year program. Maintains necessary functionality and reliability of grade crossings Valley Signal $250 $ Wayside Signal- Power Switch Machine Rehab- - Rehab M23A Power Switch machines - $60,000 / switch. 2 switches Valley per year. Recurring multi-year program. Wayside Signal- Power Switch Machine Rehab- - Rehab M23A Power Switch machines - $60,000 / switch.1 switches Valley per year. Recurring multi-year program. Replace before failure. Required for sidings, and crossover to function reliably. Valley Signal $120 $120 Replace before failure. Required for sidings, and crossover to function reliably. Valley Signal $60 $60 60 Wayside Signal System Rehab - Batteries and Chargers -Valley 86 Valley Rail Grinding Grind 32 track miles of rail 244 Valley sub rail grinding Grind 32 track miles of rail 92 Wayside Signals EL1-A Replacement-Ventura Replace Signal System back-up battery banks and chargers at 15 highest priority locations per year. $5,000 per location. Recurring multi-year program. Rehab Electrologic with VHLC:, $180,000 each 1 locations per year. Recurring multi-year program. Batteries and Chargers required for Grade crossings, CP's and Intermediate Signals to function reliably and safely. Valley Signal $103 $103 Grinding of rail head to remove imperfections and discontinuities that develop under traffic loads increases the life of the rail, decreases the probability of rail breaks, and decreases rail replacement intervals Valley Track $582 $582 Grinding of rail head to remove imperfections and discontinuities that develop under traffic loads increases the life of the rail, decreases the probability of rail breaks, and decreases rail replacement intervals Valley Track $582 $582 Replaces older (15+ years) versions of coded track circuit before failure or obsolescence is reached. Required for signals to govern train movement. Ventura - LA Signal $180 $ Wayside Signal and Grade Crossing Rehab Replacement Parts and Software -Ventura Acquire and install signal replacement parts including software for wayside signals, control points and grade crossing on a preventive maintenance basis. (Does not include batteries) Top 30 parts nearing the end of their life cycle will be identified and replaced. 30 parts at an average unit cost of $5,000. Install with maintenance forces. No Design, Professional Services, Agency Staff required. Replace signal units before failure. Identifies the highest priority replaceable signal units. Ventura - LA Signal $75 $75 6 of 11 89

101 FY NEW AUTHORITY REHABILITATION PROJECTS PROJECTS BY SUBDIVISION ($Thousands) ATTACHMENT N Line Project Title PROPOSED REHABILITATION PROJECTS PROJECT JUSTIFICATION Subdivision Project Type LACMTA OCTA RCTC SANBAG VCTC OTHER TOTAL Wayside Signal and Grade Crossing Rehab Replacement Parts and Software -Ventura-LA Wayside Signal- Power Switch Machine Rehab- Ventura Acquire and install signal replacement parts including software for wayside signals, control points and grade crossing on a preventive maintenance basis. (Does not include batteries) Top 30 parts nearing the end of their life cycle will be identified and replaced. 30 parts at an average unit cost of $5,000. Install with maintenance forces. No Design, Professional Services, Agency Staff required. Rehab M23A Power Switch machines - $60,000 / switch. 2 switches per year. Recurring multi-year program. Replace signal units before failure. Identifies the highest priority replaceable signal units. Ventura - LA Signal $20 $20 Replace before failure. Required for sidings, and crossover to function reliably. Ventura - LA Signal $60 $60 95 Wayside Signal- Power Switch Machine Rehab- Ventura -LA Rehab M23A Power Switch machines - $60,000 / switch. 2 switches per year. Recurring multi-year program. 102 Ventura Rail Grinding - LA County Grind 4.5 track miles of rail - LA County 251 Ventura sub - LA rail grinding Grind 4.5 track miles of rail 259 Ventura sub - LA electrologic rehab Rehab Electrologic with VHLC:, $180,000 each 1 locations per year. Recurring multi-year program. Replace before failure. Required for sidings, and crossover to function reliably. Ventura - LA Signal $60 $60 Grinding of rail head to remove imperfections and discontinuities that develop under traffic loads increases the life of the rail, decreases the probability of rail breaks, and decreases rail replacement intervals Ventura - LA Track $86 $86 Grinding of rail head to remove imperfections and discontinuities that develop under traffic loads increases the life of the rail, decreases the probability of rail breaks, and decreases rail replacement intervals Ventura - LA Track $86 $86 Replaces older (15+ years) versions of coded track circuit before failure or obsolescence is reached. Required for signals to govern train movement. Ventura - LA Signal $180 $ Ventura sub - LA signal replacement parts 261 Ventura sub - LA crossing signal rehab Acquire and install signal replacement parts including software for wayside signals, control points and grade crossing on a preventive maintenance basis. (Does not include batteries) Top 30 parts nearing the end of their life cycle will be identified and replaced. 30 parts at an average unit cost of $5,000. Install with maintenance forces. No Design, Professional Services, Agency Staff required. Add crossing Gate Savers, rehab entrance gates, rehab predictor units, batteries, and rehab other misc. crossing equipment. Modify and improve signing, striping, fencing, traffic interconnects. (2 $125K ea.) per year. Recurring multi-year program. Replace signal units before failure. Identifies the highest priority replaceable signal units. Ventura - LA Signal $75 $75 Maintains necessary functionality and reliability of grade crossings Ventura - LA Signal $125 $ Ventura sub - LA power swich machine rehab Rehab M23A Power Switch machines - $60,000 / switch. 2 switches per year. Recurring multi-year program. Replace before failure. Required for sidings, and crossover to function reliably. Ventura - LA Signal $60 $ Ventura sub - LA battery rehab 106 Rehab Update CIS at Stations - Ventura 109 Rehab Update CIS at Stations - Ventura -VC Replace Signal System back-up battery banks and chargers at 15 highest priority locations per year. $5,000 per location. Recurring multi-year program. Rehab field signage with Daktronic and PA at 1 station per year for next three years. $150,000 per station. Recurring multi-year program. Rehab field signage with Daktronic and PA at 1 station per year for next three years. $150,000 per station. Recurring multi-year program. Batteries and Chargers required for Grade crossings, CP's and Intermediate Signals to function reliably and safely. Ventura - LA Signal $55 $55 Replace signal units before failure. Identifies the top replaceable signal units. Ventura - VC Communication $150 $150 Replace signal units before failure. Identifies the top replaceable signal units. Ventura - VC Communication $150 $150 7 of 11 90

102 FY NEW AUTHORITY REHABILITATION PROJECTS PROJECTS BY SUBDIVISION ($Thousands) ATTACHMENT N Line Project Title PROPOSED REHABILITATION PROJECTS PROJECT JUSTIFICATION Subdivision Project Type LACMTA OCTA RCTC SANBAG VCTC OTHER TOTAL 105 Wayside Communication System Replacement Parts - Ventura Acquire replacement parts including software for wayside and mountain-top communication system. Top 20 high priority parts will be identified that are encountering premature failure, nearing the end of their life cycle or are reaching functional obsolescence. 20 parts at an average unit cost of $5,000, Install with maintenance forces. Also includes new locks and keys. No Design, Professional Services, Agency Staff required. Recurring multi-year program. Replace communication units before failure. Identifies the top replaceable signal units. Ventura - VC Communication $50 $ Wayside Communication System Replacement Parts - Ventura-VC Acquire replacement parts including software for wayside and mountain-top communication system. Top 20 high priority parts will be identified that are encountering premature failure, nearing the end of their life cycle or are reaching functional obsolescence. 20 parts at an average unit cost of $5,000, Install with maintenance forces. Also includes new locks and keys. No Design, Professional Services, Agency Staff required. Recurring multi-year program. Replace communication units before failure. Identifies the top replaceable signal units. Ventura - VC Communication $50 $ Ventura sub - VC Comm system Acquire replacement parts including software for wayside and mountain-top communication system. Top 20 high priority parts will be identified that are encountering premature failure, nearing the end of their life cycle or are reaching functional obsolescence. 20 parts at an average unit cost of $5,000, Install with maintenance forces. Also includes new locks and keys. No Design, Professional Services, Agency Staff required. Recurring multi-year program. Replace communication units before failure. Identifies the top replaceable signal units. Ventura - VC Communication $50 $ Ventura sub - VC Comm System Standards 108 Wayside Signals EL1-A Replacement-Ventura Perform annual design, engineering, or special studies to determine condition of wayside and mountain-top communication systems or Replace signal units before failure. revise standards and as builts to keep current. Comply with Config. Identifies the top replaceable signal Mgmt. Recurring multi-year program. units. Ventura - VC Communication $38 $38 Rehab Electrologic with VHLC:, $180,000 each 1 locations per year. Recurring multi-year program. Replaces older (15+ years) versions of coded track circuit before failure or obsolescence is reached. Required for signals to govern train movement. Ventura - VC Signal $180 $ Wayside Signal and Grade Crossing Rehab Replacement Parts and Software -Ventura 270 Ventura sub - VC electrologic rehab 271 Ventura sub - VC signal replacement parts Acquire and install signal replacement parts including software for wayside signals, control points and grade crossing on a preventive maintenance basis. (Does not include batteries) Top 30 parts nearing the end of their life cycle will be identified and replaced. 30 parts at an average unit cost of $5,000. Install with maintenance forces. No Design, Professional Services, Agency Staff required. Rehab Electrologic with VHLC:, $180,000 each 1 locations per year. Recurring multi-year program. Acquire and install signal replacement parts including software for wayside signals, control points and grade crossing on a preventive maintenance basis. (Does not include batteries) Top 30 parts nearing the end of their life cycle will be identified and replaced. 30 parts at an average unit cost of $5,000. Install with maintenance forces. No Design, Professional Services, Agency Staff required. Replace signal units before failure. Identifies the highest priority replaceable signal units. Ventura - VC Signal $75 $75 Replaces older (15+ years) versions of coded track circuit before failure or obsolescence is reached. Required for signals to govern train movement. Ventura - VC Signal $180 $180 Replace signal units before failure. Identifies the highest priority replaceable signal units. Ventura - VC Signal $26 $ Wayside Signal -Grade Crossing Rehab - Ventura Add crossing Gate Savers, rehab entrance gates, rehab predictor units, batteries, and rehab other misc. crossing equipment. Modify and improve signing, striping, fencing, traffic interconnects. (2 $125K ea.) per year. Recurring multi-year program. Maintains necessary functionality and reliability of grade crossings Ventura - VC Signal $125 $125 8 of 11 91

103 FY NEW AUTHORITY REHABILITATION PROJECTS PROJECTS BY SUBDIVISION ($Thousands) ATTACHMENT N Line Project Title PROPOSED REHABILITATION PROJECTS PROJECT JUSTIFICATION Subdivision Project Type LACMTA OCTA RCTC SANBAG VCTC OTHER TOTAL 115 Wayside Signal- Power Switch Machine Rehab- Ventura-VC Rehab M23A Power Switch machines - $60,000 / switch. 2 switches per year. Recurring multi-year program. Replace before failure. Required for sidings, and crossover to function reliably. Ventura - VC Signal $60 $ Ventura sub - VC power swich machine rehab Rehab M23A Power Switch machines - $60,000 / switch. 2 switches per year. Recurring multi-year program. Replace before failure. Required for sidings, and crossover to function reliably. Ventura - VC Signal $60 $ Wayside Signal System Rehab - Batteries and Chargers - Ventura Replace Signal System back-up battery banks and chargers at 15 highest priority locations per year. $5,000 per location. Recurring multi-year program. Batteries and Chargers required for Grade crossings, CP's and Intermediate Signals to function reliably and safely. Ventura - VC Signal $60 $ Wayside Signal System Rehab - Batteries and Chargers - Ventura-VC Replace Signal System back-up battery banks and chargers at 15 highest priority locations per year. $5,000 per location. Recurring multi-year program. Batteries and Chargers required for Grade crossings, CP's and Intermediate Signals to function reliably and safely. Ventura - VC Signal $55 $ Ventura sub - VC battery rehab Replace Signal System back-up battery banks and chargers at 15 highest priority locations per year. $5,000 per location. Recurring multi-year program. 118 Ventura Rail Grinding - Ven County Grind 4.5 track miles of rail - Ven County Batteries and Chargers required for Grade crossings, CP's and Intermediate Signals to function reliably and safely. Ventura - VC Signal $31 $31 Grinding of rail head to remove imperfections and discontinuities that develop under traffic loads increases the life of the rail, decreases the probability of rail breaks, and decreases rail replacement intervals Ventura - VC Track $86 $ Wayside Communication System Replacement Parts - River Acquire replacement parts including software for wayside and mountain-top communication system. Top 20 high priority parts will be identified that are encountering premature failure, nearing the end of their life cycle or are reaching functional obsolescence. 20 parts at an average unit cost of $5,000, Install with maintenance forces. Also includes new locks and keys. No Design, Professional Services, Agency Staff required. Recurring multi-year program. Replace communication units before failure. Identifies the top replaceable signal units. zriver Communication $48 $20 $11 $14 $7 $ Wayside Communication System Design, slot planning, interference mitigation - River Perform annual design, engineering, or special studies to determine condition of wayside and mountain-top communication systems or Replace signal units before failure. revise standards and as builts to keep current. Comply with Config. Identifies the top replaceable signal Mgmt. Recurring multi-year program. units. zriver Communication $36 $15 $8 $11 $5 $ River sub Comm System Standards 123 Wayside Signals EL1-A Replacement- - River Perform annual design, engineering, or special studies to determine condition of wayside and mountain-top communication systems or Replace signal units before failure. revise standards and as builts to keep current. Comply with Config. Identifies the top replaceable signal Mgmt. Recurring multi-year program. units. zriver Communication $14 $6 $3 $4 $2 $ $30 Rehab Electrologic with VHLC:, $180,000 each 1 location per year. Recurring multi-year program. Replaces older (15+ years) versions of coded track circuit before failure or obsolescence is reached. Required for signals to govern train movement. zriver Signal $86 $36 $20 $26 $13 $ Wayside Signal -Grade Crossing Rehab - River Add crossing Gate Savers, rehab entrance gates, rehab predictor units, batteries, and rehab other misc crossing equipment. Modify and improve signing, striping, fencing, traffic interconnects. (1 $125K ea) per year. Recurring multi-year program. Maintains necessary functionality and reliability of grade crossings zriver Signal $59 $25 $14 $18 $9 $ Wayside Signal System Rehab - Batteries and Chargers - River Replace Signal System back-up battery banks and chargers and improve, add capacity and quick connects to three backup generators sites at one site per year at $75,000 per site plus 5 battery plants per $5,000 per site. Multi-year program. Batteries, Chargers, Backup Generators required for CP's and Intermediate Signals to function reliably and safely. zriver Signal $59 $25 $14 $18 $9 $125 9 of 11 92

104 FY NEW AUTHORITY REHABILITATION PROJECTS PROJECTS BY SUBDIVISION ($Thousands) ATTACHMENT N Line Project Title PROPOSED REHABILITATION PROJECTS PROJECT JUSTIFICATION Subdivision Project Type LACMTA OCTA RCTC SANBAG VCTC OTHER TOTAL 129 Wayside Signal -Grade Crossing Rehab - River Add crossing Gate Savers, rehab entrance gates, rehab predictor units, batteries, and rehab other misc crossing equipment. Modify and improve signing, striping, fencing, traffic interconnects. (1 $125K ea) per year. Recurring multi-year program. Maintains necessary functionality and reliability of grade crossings zriver Signal $59 $25 $14 $18 $9 $ Wayside Signal System Rehab - Batteries and Chargers - River Replace Signal System back-up battery banks and chargers and improve, add capacity and quick connects to three backup generators sites at one site per year at $75,000 per site plus 5 battery plants per $5,000 per site. Multi-year program. Batteries, Chargers, Backup Generators required for CP's and Intermediate Signals to function reliably and safely. zriver Signal $59 $25 $14 $18 $9 $ Wayside Signal- Power Switch Machine Rehab- - Rehab M23A Power Switch machines - $60,000 / switch. 2 switches River per year. Recurring multi-year program. Wayside Signal- Power Switch Machine Rehab- - Rehab M23A Power Switch machines - $60,000 / switch. 2 switches River per year. Recurring multi-year program. Replace before failure. Required for sidings, and crossover to function reliably. zriver Signal $57 $24 $13 $17 $9 $120 Replace before failure. Required for sidings, and crossover to function reliably. zriver Signal $57 $24 $13 $17 $9 $ River sub power swich machine rehab Rehab M23A Power Switch machines - $60,000 / switch. 2 switches per year. Recurring multi-year program. Replace before failure. Required for sidings, and crossover to function reliably. zriver Signal $57 $24 $13 $17 $9 $ $ Wayside Signal and Grade Crossing Rehab Replacement Parts and Software - - River Acquire and install signal replacement parts including software for wayside signals, control points and grade crossing on a preventive maintenance basis. (Does not include batteries) Top 30 parts encountering premature failure or nearing the end of their life cycle will be identified and replaced. 30 parts at an average unit cost of Replace signal units before failure. $5,000. Install with maintenance forces. Also includes new locks and Identifies the highest priority keys. No Design, Professional Services, Agency Staff required. replaceable signal units. zriver Signal $71 $30 $17 $22 $11 $ Wayside Signal and Grade Crossing Rehab Replacement Parts and Software - - River Acquire and install signal replacement parts including software for wayside signals, control points and grade crossing on a preventive maintenance basis. (Does not include batteries) Top 30 parts encountering premature failure or nearing the end of their life cycle will be identified and replaced. 30 parts at an average unit cost of Replace signal units before failure. $5,000. Install with maintenance forces. Also includes new locks and Identifies the highest priority keys. No Design, Professional Services, Agency Staff required. replaceable signal units. zriver Signal $71 $30 $17 $22 $11 $ River sub tie replacement Rehabilitate 2,100 Crossties on the River Subdivision (1400 River East Bank and 700 River West Bank) Based on a review of the last crosstie work completed on subdivision. In the future, crosstie work will be determined using Machine Vision Tie inspection. zriver Track $249 $104 $58 $76 $38 $ $ Highway-Rail Xing Replace track panels 144 River sub Highway-Rail Xing Replace track panels 136 River Rail Grinding Grind 7 track miles of rail 135 River East Bank Rail Grinding Grind 3 track miles of rail - River sub East Bank Based on a review of the inspection reports for Grade Crossings and data from the FRA zriver Track $143 $59 $33 $43 $22 $300 Based on a review of the inspection reports for Grade Crossings and data from the FRA zriver Track $143 $59 $33 $43 $22 $300 Grinding of rail head to remove imperfections and discontinuities that develop under traffic loads increases the life of the rail, decreases the probability of rail breaks, and decreases rail replacement intervals zriver Track $61 $25 $14 $18 $9 $128 Grinding of rail head to remove imperfections and discontinuities that develop under traffic loads increases the life of the rail, decreases the probability of rail breaks, and decreases rail replacement intervals zriver Track $27 $11 $6 $8 $4 93 $57 10 of 11

105 FY NEW AUTHORITY REHABILITATION PROJECTS PROJECTS BY SUBDIVISION ($Thousands) ATTACHMENT N Line Project Title PROPOSED REHABILITATION PROJECTS PROJECT JUSTIFICATION Subdivision Project Type LACMTA OCTA RCTC SANBAG VCTC OTHER TOTAL 137 River West Bank Rail Grinding Grind 2 track miles of rail - River sub West Bank Grinding of rail head to remove imperfections and discontinuities that develop under traffic loads increases the life of the rail, decreases the probability of rail breaks, and decreases rail replacement intervals zriver Track $17 $7 $4 $5 $3 $ Gen 1 Rail Car Overhaul Complete overhaul of Gen 1 rail cars, including CEM components, and interior components for longer-distance trips. (15 30 $1.35M/car. $24.0M from other sources) Gen 1 rail cars went into service in and have not had a midlife overhaul. There are 88 Gen 1 cars in the fleet. zsystemwide Rolling Stock $8,669 $3,614 $2,026 $2,628 $1,314 $2,000 $20, Rotem Upgrade Door Motor Overhaul End of lifecycle zsystemwide Rolling Stock $85 $35 $20 $26 $13 $ PTC On-Board Software updates, hardware repairs PTC on-board equipment Systems on 57 cab cars and 52 locomotives. Acquire and install PTC on board replacement parts and perform software versions changes to stay current with industry interoperable standards and regulations. 57 cab cars and 52 locomotives. Correct defects not otherwise covered by warranty. Remove ATS. Average estimated cost if $10,000 per unit x 110 units. Multiyear recurring program. Install new software versions as required by industry standards or to keep compliant with regulations. Replace hardware that is defective or becoming obsolescent and not otherwise covered by warranty. TCOSF, MOC, Melbourne Train Control Systems - Keep test lab current and productive. Keep support systems - PTC, CAD, NMS, etc. train batteries, air conditioning, alarms in state of good repair. control/communication software version Includes all back office train control, communication systems in the updates and hardware repairs. TCOSF, MOC or Melbourne facilities. Signal,Communication Back Office Train Control System Design, Condition Studies, Engineering - Keep Drawings, Track Charts, Standards Current. Perform engineering, design, special studies relative to overall Signal, Comm. PTC/Back office Systems - standards, drawings, data bases, track charts, on a System Level current. Comply with Config. Mgmt. Install new software versions as required to keep current. Replace hardware that is defective or becoming obsolescent and not TCOSF, MOC, Melbourne- CIS Systems - otherwise covered by warranty. Keep test lab current and software version updates and hardware repairs productive. Includes all back office CIS control, systems in the. TCOSF, MOC or Melbourne facilities. Recurring Program. Replace or Upgrade System Signal Test Tools and Equipment Replace or upgrade signal and communication system test tools and equipment including laptops, on board PTC Hi- Rails equipment, Melbourne Signal/Comm/CIS Test Lab. Keep locomotive and cab car fleet reliable, interoperable and in regulatory compliance. Replace PTC hardware and software before failure. zsystemwide Signal $523 $218 $122 $158 $79 $1,100 Maintain reliability, state of good repair, safety, regulatory compliance, interoperability. zsystemwide Signal $518 $216 $121 $157 $78 $1,090 Keep System Level standards and as-builts current. Comply with configuration management. zsystemwide Signal $138 $57 $32 $42 $21 $290 Maintain reliability, state of good repair safety, ADA regulatory compliance. zsystemwide Signal $88 $37 $21 $27 $13 $185 Replace or supplement special signal tools, test equipment, hi-rail equipment on system basis zsystemwide Signal $93 $39 $22 $28 $14 $ Track Measurement System wide track measurement for Machine Vision Tie Inspection, Mobile Lidar Ballast Scanning, and Ground Penetrating Radar Data obtained using these track measuring systems gives Metrolink an accurate picture of future rehabilitation needs. zsystemwide Track $262 $109 $61 $79 $40 $551 PROPOSED FY REHAB BUDGET WITHOUT PH-R LOCOMOTIVIE REHAB - CONSTRAINED $20,000 $42,903 $3,660 $6,590 $3,205 $2,000 $78, Locomotive Overhaul/ Upgrade Overhaul the remaining 3 of 7 EMD F-59-Repowered locomotives that were previously upgraded to Tier-2 in 2008, and upgrade to Tier- This will be required if the Board elects to 4. ($4.4M/unit, with $1.3M/unit from other sources for all 7 units). Mearsure R LACMTA Funding. overhaul existing units instead of purchase new. zsystemwide Rolling Stock $1,948 $812 $455 $590 $295 $9,100 $13,200 PROPOSED FY REHAB BUDGET WITH F59 PH-R LOCOMOTIVES REHABILITATED Grand Total $21,947 $43,715 $4,115 $7,181 $3,500 $11,100 $91, of 11 94

106 ATTACHMENT "O" FY NEW CAPITAL PROJECTS ($ Thousands) PROJECT DESCRIPTION SUBDIVISION TOTAL BUDGET Metro OCTA RCTC SANBAG VCTC Other Funds to be used for preparing Project Study Reports and initial design for enhancement and expansion (ie non-good state of good repair projects) TBD $745 $475 $198 $72 TOTAL FY AUTHORITY FOR NEW FUNDING $745 $475 $198 $ $ $72 $ 95

107 ($ Thousands) ATTACHMENT "P" CAPITAL BUDGET SUMMARY ALL AGENCIES FISCAL YEAR REHABILITATION PROJECTS NEW CAPITAL PROJECTS TOTAL 2015/16 $75,006 $74,353 $149, /17 1 $58,721 $9,345 $68, /18 1 $91,558 $745 $92,303 TOTALS $225,285 $84,443 $309, Rehabilitation Includes $30.8M for 7 - F59-R Locomotives upgraded to Tier 4. Net cost to Agencies $21.7M. 96

108 ($ Thousands) ATTACHMENT "P" CAPITAL BUDGET SUMMARY CONSOLIDATED CASH FLOW BY FISCAL YEAR BUDGET FISCAL YEAR 2015/ / / / / /21 TOTAL 2015/16 REHABILITATION $12,524 $34,616 $27,465 $402 $ $ $75,006 NEW CAPITAL $35,470 $35,682 $3,200 $ $ $ $74,353 SUBTOTAL $47,994 $70,298 $30,665 $402 $ $ $149, /2017 REHABILITATION $5,524 $35,584 $17,494 $119 $ $58,721 NEW CAPITAL $654 $5,771 $2,470 $450 $ $9,345 SUBTOTAL $6,178 $41,355 $19,964 $569 $68, /2018 REHABILITATION $8,244 $69,146 $13,936 $232 $91,558 NEW CAPITAL $186 $559 $ $ $745 SUBTOTAL $8,430 $69,705 $13,936 $232 $92,303 TOTALS REHABILITATION $12,524 $40,140 $71,293 $87,042 $14,055 $232 $225,285 NEW CAPITAL $35,470 $36,336 $9,157 $3,029 $450 $ $84,443 TOTAL PROJECTED CASH FLOW BY FISCAL YEAR $47,994 $76,476 $80,450 $90,070 $14,505 $232 $309,728 PROJECT BUDGETS BY FISCAL YEAR $136,537 $68,066 $92,303 97

109 ($ Thousands) FISCAL YEAR ATTACHMENT "P" CAPITAL BUDGET SUMMARY LACMTA REHABILITATION PROJECTS NEW CAPITAL PROJECTS TOTAL 2015/16 $20,000 ROTEM SETTLEMENT $5,806 VCTC SWAP -$5,674 TOTAL 2015/16 $20,132 $30,749 $50, /17 $28,360 $475 $28, /18 $21,947 $475 $22,422 TOTALS $70,440 $31,699 $102,139-16/17 AND 17/18 REHAB BUDGETS EXCLUDE ROTEM SETTLEMENT AND VCTC SWAP 98

110 ($ Thousands) ATTACHMENT "P" CAPITAL BUDGET SUMMARY LACMTA CASH FLOW BY FISCAL YEAR BUDGET FISCAL YEAR 2015/ / / / / /21 TOTAL 2015/16 REHABILITATION $4,744 $10,115 $4,967 $173 $20,000 ROTEM SETTLEMENT $1,802 $2,233 $1,703 $68 $5,806 VCTC SWAP -$284 -$1,796 -$3,594 $ -$5,674 NEW CAPITAL $16,236 $14,513 $ $30,749 SUBTOTAL $22,499 $25,065 $3,076 $241 $ $50, /2017 REHABILITATION $2,670 $17,620 $8,017 $53 $28,360 NEW CAPITAL $119 $356 $475 SUBTOTAL $2,789 $17,977 $8,017 $53 $28, /2018 REHABILITATION $2,240 $14,032 $5,601 $75 $21,947 NEW CAPITAL $119 $356 $475 SUBTOTAL $2,359 $14,388 $5,601 $75 $22,422 TOTALS REHABILITATION NET OF ROTEM AND SWAP $6,262 $13,223 $22,937 $22,290 $5,654 $75 $70,440 NEW CAPITAL $16,236 $14,632 $475 $356 $ $ $31,699 TOTAL PROJECTED CASH FLOW BY FISCAL YEAR 1 $22,499 $27,854 $23,412 $22,646 $5,654 $75 $102,139 PROJECT BUDGETS BY FISCAL YEAR $50,881 $28,835 $22, EXCLUDES ROTEM SETTLEMENT AND VCTC SWAP FOR FY 16/17 AND 17/18 99

111 ATTACHMENT "P" CAPITAL BUDGET SUMMARY OCTA ($ Thousands) FISCAL YEAR REHABILITATION PROJECTS NEW CAPITAL PROJECTS TOTAL 2015/16 $ ROTEM SETTLEMENT LACMTA $ ROTEM SETTLEMENT RCTC -$5,806 ROTEM SETTLEMENT SANBAG -$457 ROTEM SETTLEMENT VCTC -$1,000 TOTAL 15/16 -$7,263 $7,103 -$ /17 $13,043 $198 $13, /18 $43,715 $198 $43,913 TOTALS $49,495 $7,499 $56, EXCLUDES ROTEM SETTLEMENT FOR FY 16/17 AND 17/18 100

112 ($ Thousands) ATTACHMENT "P" CAPITAL BUDGET SUMMARY OCTA CASH FLOW BY FISCAL YEAR BUDGET FISCAL YEAR 2015/ / / / / /21 TOTAL 2015/16 REHABILITATION $2,953 $8,315 $1,802 $102 $ $13,172 ROTEM SETTLEMENT LACMTA -$1,802 -$2,233 -$1,703 -$68 $ -$5,806 ROTEM SETTLEMENT RCTC -$12 -$445 $ $ $ -$457 ROTEM SETTLEMENT SANBAG -$30 -$970 $ $ $ -$1,000 ROTEM SETTLEMENT VCTC -$11 -$340 $ $ $ -$350 NEW CAPITAL $5,228 $1,875 $ $7,103 SUBTOTAL $6,327 $6,202 $99 $34 $ $12, /2017 REHABILITATION $1,215 $8,651 $3,133 $43 $13,043 NEW CAPITAL $50 $149 $ $198 SUBTOTAL $1,265 $8,799 $3,133 $43 $13, /2018 REHABILITATION $1,956 $38,577 $3,139 $43 $43,715 NEW CAPITAL $50 $149 $ $198 SUBTOTAL $2,005 $38,726 $3,139 $43 $43,913 TOTALS REHABILITATION NET OF ROTEM $1,099 $5,542 $10,706 $41,744 $3,182 $43 $62,317 NEW CAPITAL $5,228 $1,924 $198 $149 $ $ $7,499 TOTAL PROJECTED CASH FLOW BY FISCAL YEAR $6,327 $7,466 $10,904 $41,892 $3,182 $43 $69,815 PROJECT BUDGETS BY FISCAL YEAR -$160 $13,241 $43, EXCLUDES ROTEM SETTLEMENT FOR FY 16/17 AND 17/18 101

113 ATTACHMENT "P" CAPITAL BUDGET SUMMARY RCTC ($ Thousands) FISCAL YEAR REHABILITATION PROJECTS NEW CAPITAL PROJECTS TOTAL 2015/16 $4,170 ROTEM SETTLEMENT $457 TOTAL 15/16 $4,627 $4,856 $9, /17 $5,566 $ $5, /18 $4,115 $ $4,115 TOTALS $14,308 $4,856 $19, EXCLUDES ROTEM SETTLEMENT FOR FY 16/17 AND 17/18 102

114 ($ Thousands) ATTACHMENT "P" CAPITAL BUDGET SUMMARY RCTC CASH FLOW BY FISCAL YEAR BUDGET FISCAL YEAR 2015/ / / / / /21 TOTAL 2015/16 REHABILITATION $1,220 $1,940 $965 $46 $4,170 ROTEM SETTLEMENT $12 $445 $ $ $457 NEW CAPITAL $3,642 $1,214 $4,856 SUBTOTAL $4,873 $3,599 $965 $46 $ $9, /2017 REHABILITATION $624 $3,199 $1,730 $13 $5,566 NEW CAPITAL $ $ $ $ SUBTOTAL $624 $3,199 $1,730 $13 $5, /2018 REHABILITATION $549 $2,251 $1,303 $13 $4,115 NEW CAPITAL $ $ $ SUBTOTAL $549 $2,251 $1,303 $13 $4,115 TOTALS REHABILITATION NET OF ROTEM $1,231 $3,009 $4,713 $4,027 $1,316 $13 $14,308 NEW CAPITAL $3,642 $1,214 $ $ $ $ $4,856 TOTAL PROJECTED CASH FLOW BY FISCAL YEAR $4,873 $4,223 $4,713 $4,027 $1,316 $13 $19,164 PROJECT BUDGETS BY FISCAL YEAR $9,483 $5,566 $4, EXCLUDES ROTEM SETTLEMENT FOR FY 16/17 AND 17/18 103

115 ATTACHMENT "P" CAPITAL BUDGET SUMMARY SANBAG ($ Thousands) FISCAL YEAR REHABILITATION PROJECTS NEW CAPITAL PROJECTS TOTAL 2015/16 $6,441 ROTEM SETTLEMENT $1,000 TOTAL 15/16 $7,441 $4,052 $11, /17 $6,252 $ $6, /18 $7,181 $ $7,181 TOTALS $20,874 $4,052 $24, EXCLUDES ROTEM SETTLEMENT FOR FY 16/17 AND 17/18 104

116 ($ Thousands) ATTACHMENT "P" CAPITAL BUDGET SUMMARY SANBAG CASH FLOW BY FISCAL YEAR BUDGET FISCAL YEAR 2015/ / / / / /21 TOTAL 2015/16 REHABILITATION $1,465 $3,622 $1,298 $56 $6,441 ROTEM SETTLEMENT $30 $970 $ $1,000 NEW CAPITAL $3,039 $1,013 $4,052 SUBTOTAL $4,534 $5,605 $1,298 $56 $ $11, /2017 REHABILITATION $561 $3,453 $2,231 $7 $6,252 NEW CAPITAL $ $ $ $ SUBTOTAL $561 $3,453 $2,231 $7 $6, /2018 REHABILITATION $681 $4,788 $1,693 $19 $7,181 NEW CAPITAL $ $ $ SUBTOTAL $681 $4,788 $1,693 $19 $7,181 TOTALS REHABILITATION NET OF ROTEM $1,495 $5,153 $5,432 $7,075 $1,700 $19 $20,874 NEW CAPITAL $3,039 $1,013 $ $ $ $ $4,052 TOTAL PROJECTED CASH FLOW BY FISCAL YEAR $4,534 $6,166 $5,432 $7,075 $1,700 $19 $24,926 PROJECT BUDGETS BY FISCAL YEAR $11,493 $6,252 $7, EXCLUDES ROTEM SETTLEMENT FOR FY 16/17 AND 17/18 105

117 ATTACHMENT "P" CAPITAL BUDGET SUMMARY VCTC SUMMARY ($ Thousands) FISCAL YEAR REHABILITATION PROJECTS NEW CAPITAL PROJECTS TOTAL 2015/16 $3,500 ROTEM SETTLEMENT $350 VCTC SWAP $5,674 TOTAL 15/16 $9,524 $1,885 $11, /17 $3,500 $3,072 $6, /18 $3,500 $72 $3,572 TOTALS $16,524 $5,029 $21,553-16/17 AND 17/18 REHAB BUDGETS EXCLUDE ROTEM SETTLEMENT AND VCTC SWAP 106

118 ($ Thousands) ATTACHMENT "P" CAPITAL BUDGET SUMMARY VCTC CASH FLOW BY FISCAL YEAR BUDGET FISCAL YEAR 2015/ / / / / /21 TOTAL 2015/16 REHABILITATION $758 $1,818 $899 $25 $3,500 ROTEM SETTLEMENT $11 $340 $350 LACMTA SWAP $284 $1,796 $3,594 $ $5,674 NEW CAPITAL $1,378 $507 $1,885 SUBTOTAL $2,430 $4,461 $4,493 $25 $11, /2017 REHABILITATION $353 $2,028 $1,116 $3 $3,500 NEW CAPITAL $318 $954 $1,350 $450 $3,072 SUBTOTAL $671 $2,982 $2,466 $453 $6, /2018 REHABILITATION $444 $2,040 $934 $82 $3,500 NEW CAPITAL $18 $54 $72 SUBTOTAL $462 $2,094 $934 $82 $3,572 TOTALS REHABILITATION NET OF ROTEM $1,052 $4,307 $6,964 $3,181 $937 $82 $16,524 NEW CAPITAL $1,378 $825 $972 $1,404 $450 $ $5,029 TOTAL PROJECTED CASH FLOW BY FISCAL YEAR $2,430 $5,132 $7,936 $4,585 $1,387 $82 $21,553 PROJECT BUDGETS BY FISCAL YEAR $11,409 $6,572 $3,572-16/17 AND 17/18 REHAB BUDGETS EXCLUDE ROTEM SETTLEMENT AND VCTC SWAP 107

119 ($ Thousands) FISCAL YEAR ATTACHMENT "P" CAPITAL BUDGET SUMMARY OTHER SUMMARY REHABILITATION PROJECTS NEW CAPITAL PROJECTS TOTAL 2015/16 CONSTRAINED $27,724 $25,708 $53, /17 $2,000 $5,600 $7, /18 $11,100 $ $11,100 TOTALS $40,824 $31,308 $72,

120 ($ Thousands) ATTACHMENT "P" CAPITAL BUDGET SUMMARY OTHER CASH FLOW BY FISCAL YEAR BUDGET FISCAL YEAR 2015/ / / / /20 TOTAL 2015/16 REHABILITATION $1,385 $8,806 $17,533 $27,724 NEW CAPITAL $5,947 $16,560 $3,200 $25,708 SUBTOTAL $7,332 $25,367 $20,733 $53, /2017 REHABILITATION $100 $633 $1,267 $ $2,000 NEW CAPITAL $168 $4,312 $1,120 $5,600 SUBTOTAL $268 $4,945 $2,387 $ $7, /2018 REHABILITATION $2,375 $7,458 $1,267 $11,100 NEW CAPITAL $ SUBTOTAL $2,375 $7,458 $1,267 $11,100 TOTALS REHABILITATION $1,385 $8,906 $20,541 $8,725 $1,267 $40,824 NEW CAPITAL $5,947 $16,728 $7,512 $1,120 $ $31,308 TOTAL PROJECTED CASH FLOW BY FISCAL YEAR $7,332 $25,635 $28,053 $9,845 $1,267 $72,132 PROJECT BUDGETS BY FISCAL YEAR $53,432 $7,600 $11,

121 SOUTHERN CALIFORNIA REGIONAL RAIL AUTHORITY TRANSMITTAL DATE: April 3, 2015 MEETING DATE: April 10, 2015 ITEM 12 TO: FROM: SUBJECT: Board of Directors Interim Chief Executive Officer State and Federal Legislative Update Issue Staff will provide an update on current legislative issues in State and Federal Government Affairs. Recommendation The Board may receive and file this report. Alternative The Board may choose to act upon the information provided. Background Each month staff provides the Board with a summary of recent developments emerging from the State Legislature and Congress that are of interest to the Authority. Federal On March 17 and 18 the House and Senate released budget resolutions. The House budget, A Balanced Budget for a Stronger America Provides $1.017 trillion in FY (FY16) for discretionary budget authority, equal to the levels set for FY16 by the Budget Control Act ($523 billion for defense and $493 billion for non-defense spending). Beyond these overall caps, the House budget does not break down how this funding will be distributed. Beyond FY16, the House budget proposes reforms for deficit reduction. The House proposal requires several committees to submit recommendations by July 15 on ways to reduce the deficit for the period of FY16-FY25. The House Transportation & Infrastructure Committee is expected to come up with $100M in deficit reducing measures by the July 15 deadline. Additionally, the resolution contains a deficit-neutral transportation reserve fund, which would allow infrastructure spending from the mandatory budget accounts. It also requires that any bailout of the Highway Trust Fund (HTF) be offset. One Gateway Plaza, 12 th Floor, Los Angeles, CA

122 State and Federal Legislative Update Transmittal Date: April 3, 2015 Meeting Date: April 10, 2015 Page 2 The Senate Budget Committee released and marked-up its bill on March 18. It also adheres to the Budget Control Act caps for FY16 and contains a deficit-neutral transportation reserve fund. However, the Senate proposal covers general infrastructure funding, and the House proposal only covers HTF spending. The Senate bill would allow general fund transfers to the HTF to be offset over ten fiscal years instead of in the year that the transfers occur. In addition, staff will provide a summary of recently introduced rail legislation which will include updates on bills relating to funding, the Surface Transportation Board, reauthorization, safety and positive train control. State The State Senate announced the Senate Select Committee on Passenger Rail which includes the following members: Senator Hannah-Beth Jackson (D-Santa Barbara) (Chair) Senator Jim Beall (D-San Jose) (Vice Chair) Senator Anthony Cannella (R-Ceres) Senator Benjamin Allen (D-Santa Monica) Senator Carol Liu (D-La Cañada Flintridge) Senator Cathleen Galgiani (D-Stockton) Senator Patricia C. Bates (R-Laguna Niguel) Senator Ricardo Lara (D-Bell Gardens) Senator Richard Pan (D-Sacramento) The State Assembly announced the Select Committee on Rail last month and those members include: Adam C. Gray (D-Merced) (Chair) Katcho Achadjian (R-San Luis Obispo) Luis A. Alejo (D-Salinas) Tom Daly (D-Anaheim) Jim Frazier (D-Oakley) Jimmy Gomez (D-Northeast Los Angeles) Richard S. Gordon (D-Menlo Park) Brian Maienschein (R-San Diego) Kevin McCarty (D Sacramento) Freddie Rodriguez (D-Chino) Rudy Salas Jr. (D-Bakersfield) Staff is tracking several bills that are relevant to the Authority. These are included in Attachment A. 111

123 State and Federal Legislative Update Transmittal Date: April 3, 2015 Meeting Date: April 10, 2015 Page 3 Budget Impact There is no immediate budget impact as a result of this update. Prepared by: Jennifer Cohen, Government & Regulatory Manager Devon Ryan, Government Affairs Administrator Sam Joumblat Interim Chief Executive Officer 112

124 Attachment A State and Federal Legislative Update Transmittal Date: April 3, 2015 Meeting Date: April 10, 2015 Page 4 SCRRA State Bill Matrix CA AB 2 AUTHOR: Alejo [D] TITLE: Community Revitalization Authority INTRODUCED: 12/01/2014 DISPOSITION: Pending LOCATION: ASSEMBLY SUMMARY: Authorizes certain local agencies to form a community revitalization authority with a community revitalization and investment area to carry out provisions of the Community Redevelopment Law in that area for infrastructure, affordable housing, and economic revitalization and to provide for the issuance of bonds serviced by tax increment revenues. CA AB 4 AUTHOR: Linder [R] TITLE: Vehicle Weight Fees: Transportation Bond Debt Service INTRODUCED: 12/01/2014 DISPOSITION: Pending LOCATION: Assembly Transportation Committee SUMMARY: Prohibits weight fee revenues from being transferred from the State Highway Account to the Transportation Debt Service Fund, the Transportation Bond Direct Payment Account, or any other fund or account for the purpose of payment of the debt service on transportation general obligation bonds. Prohibits loans of weight fee revenues to the General Fund. CA AB 6 AUTHOR: Wilk [R] TITLE: Bonds: Transportation: School Facilities INTRODUCED: 12/01/2014 DISPOSITION: Pending LOCATION: Assembly Transportation Committee SUMMARY: Provides that no further bonds shall be sold for high-speed rail purposes pursuant to the Safe, Reliable High-Speed Passenger Train Bond Act for the 21st Century. Requires the net proceeds of other bonds to be made available to fund construction of school facilities for K-12 and higher education. CA AB 12 AUTHOR: Cooley [D] TITLE: State Government: Administrative Regulations: Review INTRODUCED: 12/01/2014 DISPOSITION: Pending COMMITTEE: Assembly Accountability and Administrative Review Committee HEARING: 03/25/ :00 am SUMMARY: Requires each state agency after a noticed public hearing, to review and revise that agency's regulations to eliminate any inconsistencies, overlaps, or outdated provisions in the regulations, to adopt the revisions as emergency regulations, and report the Legislature and Governor. 113

125 Attachment A State and Federal Legislative Update Transmittal Date: April 3, 2015 Meeting Date: April 10, 2015 Page 5 CA AB 14 AUTHOR: Waldron [R] TITLE: Unmanned Aircraft Systems: Task Force INTRODUCED: 12/01/2014 LAST AMEND: 02/12/2015 DISPOSITION: Pending LOCATION: Assembly Transportation Committee SUMMARY: Creates the Unmanned Aircraft Systems Task Force to research, develop, and formulate a comprehensive policy for unmanned aircraft systems. CA AB 21 AUTHOR: Perea [D] TITLE: Global Warming Solutions Act of 2006: Emissions Limit INTRODUCED: 12/01/2014 DISPOSITION: Pending LOCATION: Assembly Natural Resources Committee SUMMARY: Requires the State Air Resources Board to prepare and approve a scoping plan for achieving the maximum technologically feasible and cost-effective reductions in greenhouse gas emissions. CA AB 23 AUTHOR: Patterson [R] TITLE: Global Warming Solutions Act of 2006: Compliance INTRODUCED: 12/01/2014 DISPOSITION: Pending COMMITTEE: Assembly Natural Resources Committee HEARING: 03/23/2015 1:30 pm SUMMARY: Exempts categories of persons or entities that did not have a compliance obligation under a market-based compliance mechanism from being subject to that market-based compliance mechanism. CA AB 33 AUTHOR: Quirk [D] TITLE: Global Warming Solutions Act: Scoping Plan INTRODUCED: 12/01/2014 DISPOSITION: Pending LOCATION: Assembly Natural Resources Committee SUMMARY: Requires, for purposes of advising the update of the next scoping plan for achieving the maximum technologically feasible and cost-effective reductions in greenhouse gas emissions, the State Air Resources Board to develop specified information and to submit a report to the appropriate committees of the Legislature. CA AB 56 AUTHOR: Quirk [D] TITLE: Unmanned Aircraft Systems INTRODUCED: 12/02/2014 DISPOSITION: Pending LOCATION: Assembly Public Safety Committee SUMMARY: Prohibits the use of unmanned aircraft systems by public agencies or the contracting therefor. Exempts law enforcement agencies. Requires public notice by agencies when intending to deploy such system. Provides the time frame for destruction of images and data collected. Prohibits public dissemination of images and data. Prohibits arming such system. Relates to surveillance restrictions. Applies to private entities contracting with public agencies. Makes providing data and images subject to disclosure. 114

126 Attachment A State and Federal Legislative Update Transmittal Date: April 3, 2015 Meeting Date: April 10, 2015 Page 6 CA AB 61 AUTHOR: Allen T [R] TITLE: Shuttle Services: Loading and Unloading of Passengers INTRODUCED: 12/12/2014 DISPOSITION: Pending LOCATION: Assembly Transportation Committee SUMMARY: Allows local authorities to permit shuttle service vehicles to stop for the loading and unloading of passengers alongside curb spaces authorized for the loading and unloading of passengers of a bus upon agreement between a transit system operating buses engaged as common carriers in local transportation and a shuttle service provider. CA AB 85 AUTHOR: Wilk [R] TITLE: Open Meetings INTRODUCED: 01/06/2015 DISPOSITION: Pending LOCATION: Assembly Governmental Organization Committee SUMMARY: Amends the Bagley-Keene Open Meeting Act. Specifies that the definition of state body includes an advisory board, advisory commission, advisory committee, advisory subcommittee, or similar multimember advisory body of a state body that consists of 3 or more individuals. Provides exceptions. CA AB 102 AUTHOR: Rodriguez [D] TITLE: Railroad Safety and Emergency Planning and Response INTRODUCED: 01/08/2015 DISPOSITION: Pending LOCATION: ASSEMBLY SUMMARY: Makes technical nonsubstantive changes to existing law that establishes the Railroad Accident Prevention and Immediate Deployment Force in the California Environmental Protection Agency. CA AB 156 AUTHOR: Perea [D] TITLE: Global Warming Solutions Act of 2006: Investment Plan INTRODUCED: 01/20/2015 DISPOSITION: Pending LOCATION: Assembly Natural Resources Committee SUMMARY: Requires the Department of Finance to include in the 3-year investment plan for moneys deposited in the Greenhouse Gas Reduction Fund an allocation to provide technical assistance to disadvantaged communities to assist them in proposing specified projects for inclusion in the investment plan. CA AB 194 AUTHOR: Frazier [D] TITLE: High-Occupancy Toll Lanes INTRODUCED: 01/28/2015 DISPOSITION: Pending LOCATION: Assembly Transportation Committee SUMMARY: Deletes the requirement that high occupancy toll (HOT) lanes facilities be consistent with the established standards, requirements and limitations that apply to specified facilities. Requires the State Transportation Commission to establish guidelines for the development and operation of the facilities approved by the Commission on or after a specified date, 115

127 Attachment A State and Federal Legislative Update Transmittal Date: April 3, 2015 Meeting Date: April 10, 2015 Page 7 subject to specified minimum requirements. Prohibits conversion of non-toll lanes, except for HOT lanes. Removes limits on the number of such lanes. CA AB 210 AUTHOR: Gatto [D] TITLE: High-Occupancy Vehicles Lanes: Los Angeles County INTRODUCED: 02/02/2015 DISPOSITION: Pending COMMITTEE: Assembly Transportation Committee HEARING: 03/23/2015 1:30 pm SUMMARY: Prohibits any high-occupancy vehicle lane from being established on specified portions of state highway routes in the County of Los Angeles, unless that lane is established as a high-occupancy vehicle lane only during the hours of heavy commuter traffic. Requires any existing high-occupancy vehicle lane established on the specified portions of these routes to be modified to conform with those requirements. CA AB 227 AUTHOR: Alejo [D] TITLE: Transportation Funding INTRODUCED: 02/03/2015 DISPOSITION: Pending LOCATION: Assembly Transportation Committee SUMMARY: Retains weight fee revenues in the State Highway Account. Deletes the provisions relating to the reimbursement of the State Highway Account for weight fee revenues and relating to the making of loans to the General Fund, thereby providing for the portion of fuel excise tax revenues that is derived from increases in the motor vehicle fuel excise tax in 2010 to be allocated to the State Transportation Improvement Program, to the State Highway Operation Program, and to city and county roads. CA AB 239 AUTHOR: Gallagher [R] TITLE: Greenhouse Gases: Regulations INTRODUCED: 02/05/2015 DISPOSITION: Pending COMMITTEE: Assembly Natural Resources Committee HEARING: 03/23/2015 1:30 pm SUMMARY: prohibits the State Air Resources Board from adopting or amending regulations pursuant to the Global Warming Solutions Act of Authorizes the Board to submit to the Legislature recommendations on how to achieve the goals of the act. CA AB 318 AUTHOR: Chau [D] TITLE: Lost Money and Goods: Restoration to Owner INTRODUCED: 02/13/2015 LAST AMEND: 03/11/2015 DISPOSITION: Pending COMMITTEE: Assembly Judiciary Committee HEARING: 04/07/2015 9:00 am SUMMARY: Provides that if lost property is found on a vehicle of public conveyance or on public transit property, that it be turned in to the public transit agency. Provides a specified number of days for the owner to return and claim the property under specified rules. Provides that if the property is not claimed within that specified time period, the public transit agency would be authorized to dispose of the property to a charitable organization. 116

128 Attachment A State and Federal Legislative Update Transmittal Date: April 3, 2015 Meeting Date: April 10, 2015 Page 8 CA AB 338 AUTHOR: Hernandez R [D] TITLE: Los Angeles County MTA: Transactions and Use Tax INTRODUCED: 02/13/2015 LAST AMEND: 03/19/2015 DISPOSITION: Pending LOCATION: Assembly Local Government Committee SUMMARY: Authorizes the Los Angeles County Metropolitan Transportation Authority to impose an additional transportation transactions and use tax for a specified time period, subject to various requirements, including the adoption of an expenditure plan and voter approval. CA AB 351 AUTHOR: Jones-Sawyer [D] TITLE: Public Contracts: Small Business Participation INTRODUCED: 02/17/2015 DISPOSITION: Pending LOCATION: Assembly Jobs, Economic Development, and The Economy Committee SUMMARY: Requires all state agencies, departments, boards, and commissions to establish and achieve an annual goal of small business participation in state procurements and contracts, to ensure that the state's procurement and contract processes are administered in order to meet or exceed the goal, and to report to the Director of General Services statistics regarding small business participation in the agency's procurements and contracts. Requires a plan for agencies not meeting related goals. CA AB 464 AUTHOR: Mullin [D] TITLE: Transactions and Use taxes: Maximum Combined Rate INTRODUCED: 02/23/2015 DISPOSITION: Pending COMMITTEE: Assembly Revenue and Taxation Committee HEARING: 04/13/2015 1:30 pm SUMMARY: Amends existing law that authorizes cities and counties to levy a transactions and use tax for general purposes, in accordance with the procedures and requirements set forth in the Transactions and Use Tax Law, including a requirement that the combined rate of all taxes imposed in the county to not exceed a specified percentage. Increases the maximum combined rate. CA AB 590 AUTHOR: Dahle [R] TITLE: Greenhouse Gas Reduction Fund INTRODUCED: 02/24/2015 DISPOSITION: Pending LOCATION: Assembly Natural Resources Committee SUMMARY: Creates the Biomass State Cost Share Account within the Greenhouse Gas Reduction Fund. Provides that moneys in the account would be available for expenditure by the State Energy Resources Conservation and Development Commission for the purposes of maintaining the current level of biomass power generation in the State and revitalizing currently idle facilities in strategically located regions. CA AB 620 AUTHOR: Hernandez R [D] TITLE: High-Occupancy Toll Lanes: Exemptions from Tolls INTRODUCED: 02/24/2015 DISPOSITION: Pending 117

129 Attachment A State and Federal Legislative Update Transmittal Date: April 3, 2015 Meeting Date: April 10, 2015 Page 9 LOCATION: SUMMARY: Assembly Transportation Committee Relates to high-occupancy toll lanes. Requires the Los Angeles county Metropolitan Transportation Authority, in implementing the value-pricing and transit development program, to adopt eligibility requirements for mitigation measures for commuters and transit users of low and moderate income. Requires provision of hardship exemptions from the payment of toll charges for commuters who meet the eligibility requirement for specified assistance programs. CA AB 692 AUTHOR: Quirk [D] TITLE: Low-carbon Transportation Fuels INTRODUCED: 02/25/2015 DISPOSITION: Pending LOCATION: Assembly Natural Resources Committee SUMMARY: Amends the Global Warming Solutions Act of Requires the Department of Transportation, the Department of General Services, and any other state agency that is a buyer of transportation fuels to each procure an unspecified percentage of the total amount of fuel purchased from very low carbon transportation fuel sources. Requires the percentage to be increased each year thereafter. Provides a definition of such fuel for these purposes. CA AB 714 AUTHOR: Melendez [R] TITLE: State Employees INTRODUCED: 02/25/2015 DISPOSITION: Pending LOCATION: Assembly Public Employees, Retirement and Social Security Committee SUMMARY: Authorizes a public employee to elect not to enroll in a health benefit and to elect to be paid the contribution that the employer would have made toward the cost of benefits. CA AB 720 AUTHOR: Cooley [D] TITLE: Global Warming Solutions Act of 2006 INTRODUCED: 02/25/2015 DISPOSITION: Pending LOCATION: Assembly Natural Resources Committee SUMMARY: Amends the Global Warming Solutions Act of Requires the State Air Resources Board for any market-based compliance mechanism that the Board might adopt, to allow participating entities to freely sell or transfer greenhouse gas emissions allowances held in a holding account or compliance account, except for allowances that have been expressly retired to meet a compliance obligation. Requires the Board to set a price cap on any allowances offered for purchase through the Board. CA AB 742 AUTHOR: Gallagher [R] TITLE: Heavy-Duty Diesel-Fueled Vehicles: Safety Review INTRODUCED: 02/25/2015 DISPOSITION: Pending LOCATION: Assembly Transportation Committee SUMMARY: Prohibits the state board from enforcing regulations that restrict emissions from in-use, diesel-fueled vehicles until the state board completes a review of the safety of any particulate-matter filters required to be installed on affected vehicles. 118

130 Attachment A State and Federal Legislative Update Transmittal Date: April 3, 2015 Meeting Date: April 10, 2015 Page 10 CA AB 754 AUTHOR: Ridley-Thomas S [D] TITLE: Taxation INTRODUCED: 02/25/2015 DISPOSITION: Pending LOCATION: ASSEMBLY SUMMARY: Declares the intent of the Legislature to subsequently amend this bill to include provisions that would provide tax relief to small businesses conducting business in Los Angeles County during the period of disruption caused by specified transit-related construction activities, conducted by the county Metropolitan Transportation Authority, and resulting in decreased business revenue. CA AB 777 AUTHOR: Harper [R] TITLE: Global Warming Solutions Act of 2006: Repeal INTRODUCED: 02/25/2015 DISPOSITION: Pending LOCATION: Assembly Natural Resources Committee SUMMARY: Repeals the California Global Warming Solutions Act of 2006 that designates the State Air Resources Board as the state agency charged with monitoring and regulating sources of emissions of greenhouse gases. CA AB 869 AUTHOR: Cooper [D] TITLE: Public Transportation Agencies: Fare Evasion INTRODUCED: 02/26/2015 DISPOSITION: Pending LOCATION: Assembly Transportation Committee SUMMARY: Relates to prohibited conduct on public transit. Provides that a person who fails to pay the administrative penalty when due or successfully complete the administrative process to dismiss the notice of fare evasion or passenger misconduct may be subject to criminal penalties. Requires the notice of fare evasion or passenger misconduct to contain a printed statement that the person may be charged with an infraction or misdemeanor if the penalty is not paid or dismissed. CA AB 914 AUTHOR: Brown [D] TITLE: Toll Facilities: County of San Bernardino INTRODUCED: 02/26/2015 DISPOSITION: Pending LOCATION: Assembly Transportation Committee SUMMARY: Authorizes the San Bernardino County Transportation Commission to construct and operate certain transportation facilities on State Highway Route 10 and 15, as toll facilities in the County of San Bernardino and, with the agreement of affected transportation agencies, in the Counties of Los Angeles and Riverside. Requires the toll revenues to be spent for specified transportation purposes. Authorizes the commission to issue revenue bonds payable from toll revenues. CA AB 1030 AUTHOR: Ridley-Thomas S [D] TITLE: Global Warming Solutions Act of 2006: Greenhouse Gas INTRODUCED: 02/26/2015 DISPOSITION: Pending LOCATION: Assembly Natural Resources Committee 119

131 Attachment A State and Federal Legislative Update Transmittal Date: April 3, 2015 Meeting Date: April 10, 2015 Page 11 SUMMARY: Amends existing law that relates to the Greenhouse Gas Reduction Fund. Requires a State agency that allocates moneys from the fund to prioritize projects that include project labor agreements with targeted hire goals, community workforce agreements, or partnerships with the training entities that have a proven track record of placing disadvantaged workers in career-track jobs. CA AB 1033 AUTHOR: Garcia E [D] TITLE: Infrastructure Financing INTRODUCED: 02/26/2015 DISPOSITION: Pending LOCATION: Assembly Jobs, Economic Development, and The Economy Committee SUMMARY: Amends the Bergeson-Peace Infrastructure and Economic Development Bank Act, which establishes the California Infrastructure and Economic Development Bank, and authorizes the issuance of bonds. Revises the definition of economic development facilities to include facilities that are used to provide goods movement. Revises the definition of port facilities to reference airports, landports, waterports and railports. CA AB 1059 AUTHOR: Garcia E [D] TITLE: California Communities Environ Health Screening INTRODUCED: 02/26/2015 DISPOSITION: Pending LOCATION: Assembly Environmental Safety and Toxic Materials Committee SUMMARY: Requires the Environmental Protection Agency to identify disadvantaged communities as part of an investment plan for the moneys collected by the State Air Resources Board resulting from a market-based compliance mechanism. Requires the Office of Environmental Health Hazard Assessment to update the State Communities Environmental Health Screening by using relevant environmental data relating to known impacts on environmental quality. CA AB 1087 AUTHOR: Grove [R] TITLE: Greenhouse Gas Reduction Fund: High-Speed Rail INTRODUCED: 02/27/2015 DISPOSITION: Pending LOCATION: Assembly Natural Resources Committee SUMMARY: Provides that the continuous appropriations from the Greenhouse Gas Reduction Fund to the High-Speed Rail Authority are for specified components of the initial operating segment and phase I blended system, as described in the Authority's 2012 business plan, of the high speed train system that shall be constructed. CA AB 1138 AUTHOR: Patterson [R] TITLE: High-Speed Rail: Eminent Domain INTRODUCED: 02/27/2015 DISPOSITION: Pending LOCATION: Assembly Transportation Committee SUMMARY: Prohibits the High-Speed Rail Authority or the State Public Works Board acting on behalf of the authority, from adopting a resolution of necessity to commence an eminent domain proceeding to acquire a parcel of real property along a corridor, or usable segment thereof, for the high-speed train system unless the resolution identifies the source of all funds to be 120

132 Attachment A State and Federal Legislative Update Transmittal Date: April 3, 2015 Meeting Date: April 10, 2015 Page 12 invested in the corridor or usable segment and the anticipated time of receipt of those funds. CA AB 1176 AUTHOR: Perea [D] TITLE: Vehicular Air Pollution INTRODUCED: 02/27/2015 DISPOSITION: Pending LOCATION: ASSEMBLY SUMMARY: Establishes the Advanced Low-Carbon Diesel Fuels Access program for the purpose of reducing greenhouse gas emissions of diesel motor vehicles by providing capital assistance for projects that expand advanced low-carbon diesel fueling infrastructure in communities that are disproportionately impacted by environmental hazards and additionally where the greatest air quality impacts can be identified. Provides requirements for funding of the program. CA AB 1218 AUTHOR: Weber [D] TITLE: Public Contracts: Disabled Veteran Business Enterprise INTRODUCED: 02/27/2015 DISPOSITION: Pending LOCATION: ASSEMBLY SUMMARY: Requires a greater participation incentive by a state agency, department, officer, or other state governmental agency be provided to a prime contractor who owns a disabled veteran business enterprise. Requires the Department of Veterans Affairs to maintain additional information relating to its promotion efforts. Provides the records maintenance period for information provided by contractors of veteran business subcontractors used. Requires maintenance of advocate attendance at promotional efforts. CA AB 1265 AUTHOR: Perea [D] TITLE: Transportation Projects: Comprehensive Development INTRODUCED: 02/27/2015 DISPOSITION: Pending LOCATION: ASSEMBLY SUMMARY: Relates to existing law which authorizes the Department of Transportation and regional transportation agencies to enter into comprehensive lease agreements as specified. Extends this authorization indefinitely. CA AB 1269 AUTHOR: Dababneh [D] TITLE: Alternative Energy INTRODUCED: 02/27/2015 DISPOSITION: Pending LOCATION: ASSEMBLY SUMMARY: Amends the State Alternative Energy and Advanced Transportation Financing Authority Act which establishes a related Authority. Extends the authorization to grant financial assistance in the form of a sales and use tax exclusion to projects that promote the use of advanced manufacturing. CA AB 1288 AUTHOR: Atkins [D] TITLE: Global Warming Solutions Act of 2006: Regulations INTRODUCED: 02/27/2015 DISPOSITION: Pending 121

133 Attachment A State and Federal Legislative Update Transmittal Date: April 3, 2015 Meeting Date: April 10, 2015 Page 13 LOCATION: SUMMARY: ASSEMBLY Authorizes the State Air Resources Board to include the use of market-based compliance mechanisms and to adopt a regulation that establishes a system of market-based declining annual aggregate emissions limits for sources or categories of sources that emit greenhouse gases, applicable from January 1, 2012, to December 31, 2020, inclusive, as specified. CA AB 1324 AUTHOR: Williams [D] TITLE: California Global Warming Solutions Act of 2006 INTRODUCED: 02/27/2015 DISPOSITION: Pending LOCATION: ASSEMBLY SUMMARY: Makes changes to findings and declarations of the California Global Warming Solutions Act of CA AB 1347 AUTHOR: Chiu [D] TITLE: Public Contracts Claims INTRODUCED: 02/27/2015 DISPOSITION: Pending LOCATION: ASSEMBLY SUMMARY: Establishes for state and local public contracts entered into or on or after January 1, 2016, a claim resolution process applicable to all public entity contracts. Defines a claim as a contractor's written demand or assertion, including a request for a modification, contract amendment, or change order, seeking an adjustment or interpretation of the terms of the contract documents, payment of money, extension of time. CA AB 1364 AUTHOR: Linder [R] TITLE: California Transportation Commission INTRODUCED: 02/27/2015 DISPOSITION: Pending LOCATION: ASSEMBLY SUMMARY: Excludes the California Transportation Commission from the Transportation Agency and establishes it as an entity in the state government. CA AB 1459 AUTHOR: Kim [R] TITLE: Toll Facilities: County of Orange INTRODUCED: 02/27/2015 DISPOSITION: Pending LOCATION: ASSEMBLY SUMMARY: Prohibits a toll facility to be implemented and constructed on a public highway within the boundaries of the County of Orange unless approved by a vote of the electorate in the county. CA AB 1482 AUTHOR: Gordon [D] TITLE: Strategic Growth Council: Duties INTRODUCED: 02/27/2015 DISPOSITION: Pending LOCATION: ASSEMBLY SUMMARY: 122

134 Attachment A State and Federal Legislative Update Transmittal Date: April 3, 2015 Meeting Date: April 10, 2015 Page 14 Expands the duties of the Strategic Growth Council to include overseeing and coordinating state agency actions to adapt to climate change and identifying and pursuing opportunities for state agencies to collaborate with federal or local agencies in their climate adaptation efforts. CA ACA 1 AUTHOR: Olsen [R] TITLE: Legislative Procedure INTRODUCED: 12/01/2014 DISPOSITION: Pending LOCATION: Assembly Budget Committee SUMMARY: Prohibits either house of the Legislature from passing a bill until the bill, in the form to be voted on, has been made available to the public, in print and published on the Internet, for at least 72 hours preceding the vote. CA ACA 3 AUTHOR: Gallagher [R] TITLE: Public Employees' Retirement INTRODUCED: 02/26/2015 DISPOSITION: Pending LOCATION: ASSEMBLY SUMMARY: Proposes an amendment to the Constitution to require, with respect to any public retirement system, that any enhancement to a public employee's retirement formula or retirement benefit apply only to service performed on and after the operative date of the enhancement. Specifies how changes in membership classification or changes in employment are to be applied in this context. CA ACA 4 AUTHOR: Frazier [D] TITLE: Local Government Transportation Projects: Special Taxes INTRODUCED: 02/27/2015 DISPOSITION: Pending LOCATION: ASSEMBLY SUMMARY: Provides that the imposition, extension, or increase of a special tax for the purpose of providing funding for local transportation projects requires the approval of 55% of its voters voting on the proposition. CA SB 1 AUTHOR: Gaines T [R] TITLE: Global Warming Solutions Act of 2006: Compliance INTRODUCED: 12/01/2014 DISPOSITION: Pending COMMITTEE: Senate Environmental Quality Committee HEARING: 04/15/2015 9:30 am SUMMARY: Amends the State Global Warming Solutions Act of Authorizes the State Air Resources Board to include the use of market-based compliance mechanisms. Exempts categories of persons or entities that did not have a compliance obligation under a market-based compliance mechanism from being subject to that market-based compliance mechanism. Requires all participating categories of persons or entities to have a compliance obligation beginning on a specified date. CA SB 5 AUTHOR: Vidak [R] TITLE: Global Warming Solutions Act of 2006: Compliance INTRODUCED: 12/01/

135 Attachment A State and Federal Legislative Update Transmittal Date: April 3, 2015 Meeting Date: April 10, 2015 Page 15 DISPOSITION: COMMITTEE: HEARING: SUMMARY: Pending Senate Environmental Quality Committee 04/15/2015 9:30 am Relates to the State Global Warming Solutions Act of Authorizes the State Air Resources Board to include the use of market-based compliance mechanisms. Exempts categories of persons or entities that did not have a compliance obligation under a market-based compliance mechanism from being subject to that market-based compliance mechanism through a specified date. CA SB 9 AUTHOR: Beall [D] TITLE: Greenhouse Gas Reduction Fund: Transit/Intercity Rail INTRODUCED: 12/01/2014 DISPOSITION: Pending LOCATION: Senate Second Reading File SUMMARY: Modifies the purpose of the Transit and Intercity Rail Capital Program. Provides for the funding of large, transformative capital improvements. Updates project selection criteria under the program to projects that reduce greenhouse emissions. Requires estimates of funding available under the program. Allows the issuance of a no prejudice letter to allow an applicant to utilize its own funds on a project subject to reimbursement from program funds for eligible expenditures. CA SB 16 AUTHOR: Beall [D] TITLE: Department of Transportation: Budgetary Cost-Savings INTRODUCED: 12/01/2014 LAST AMEND: 03/02/2015 DISPOSITION: Pending LOCATION: Senate Rules Committee SUMMARY: Requires the Department of Transportation as part of its budget for the fiscal year, to prepare a plan to identify up to a specified amount of funding annually in cost savings from its budget, and to submit the plan to the appropriate committees of the Senate and the Assembly. CA SB 32 AUTHOR: Pavley [D] TITLE: Global Warning Solutions Act of 2006: Emissions Limit INTRODUCED: 12/01/2014 LAST AMEND: 03/16/2015 DISPOSITION: Pending LOCATION: Senate Environmental Quality Committee SUMMARY: Requires the State Air Resources Board to approve a specified statewide greenhouse gas emission limit that is equivalent to a specified percentage below the 1990 level to be achieved by Authorizes the Board to adopt interim emissions level targets to be achieve by specified years. CA SB 63 AUTHOR: Hall [D] TITLE: Port of Los Angeles INTRODUCED: 01/05/2015 DISPOSITION: Pending LOCATION: Senate Rules Committee SUMMARY: States the intent of the Legislature to enact legislation to increase and diversify economic 124

136 Attachment A State and Federal Legislative Update Transmittal Date: April 3, 2015 Meeting Date: April 10, 2015 Page 16 development at the Port of Los Angeles. CA SB 64 AUTHOR: Liu [D] TITLE: State Transportation Plan INTRODUCED: 01/05/2015 DISPOSITION: Pending LOCATION: Senate Transportation and Housing Committee SUMMARY: Requires the State Transportation Commission to review recommendations in the update to the Transportation Plan prepared by the department in 2015, and every 5 years thereafter, to prepare specific recommendations for statewide integrated multimodal transportation system improvements, and to submit a report in that regard to the Legislature and the Governor. CA SB 122 AUTHOR: Jackson [D] TITLE: California Environmental Quality Act: Records INTRODUCED: 01/15/2015 LAST AMEND: 03/12/2015 DISPOSITION: Pending COMMITTEE: Senate Environmental Quality Committee HEARING: 04/15/2015 9:30 am SUMMARY: Amends the California Environmental Quality Act. Requires the lead agency, at the request of a project applicant and consent of the lead agency, to prepare a record of proceedings concurrently with the preparation of a negative declaration, mitigated negative declaration, environmental impact report, or other environmental document for projects. CA SB 185 AUTHOR: De Leon [D] TITLE: Public Retirement Systems: Divestiture of Thermal Coal INTRODUCED: 02/09/2015 DISPOSITION: Pending LOCATION: Senate Public Employment and Retirement Committee SUMMARY: Creates the Public Divestiture of Thermal Coal Companies Act and requires the boards of the Public Employees' Retirement System and the State Teachers' Retirement System to divest the public employee retirement funds of any investments in a thermal coal company, and prohibits additional or new investments or the renewal of existing investments in a thermal coal company. CA SB 207 AUTHOR: Wieckowski [D] TITLE: Greenhouse Gas Reduction Fund: Investment Plan INTRODUCED: 02/11/2015 DISPOSITION: Pending COMMITTEE: Senate Environmental Quality Committee HEARING: 04/15/2015 9:30 am SUMMARY: Requires the California Global Warming Solutions Act of 2006 investment plan to identify conflicting or overlapping policies in current state strategies to meeting the state's greenhouse gas emissions reduction goals and targets by sector. CA SB 231 AUTHOR: Gaines T [R] TITLE: Transportation Programs INTRODUCED: 02/13/2015 DISPOSITION: Pending 125

137 Attachment A State and Federal Legislative Update Transmittal Date: April 3, 2015 Meeting Date: April 10, 2015 Page 17 LOCATION: SUMMARY: Senate Transportation and Housing Committee Includes water-borne transit that serves as the key transit trunk line in a region as an eligible project that may be funded under the Low Carbon Transit Operations Program and the Affordable Housing and Sustainable Communities Program. CA SB 246 AUTHOR: Wieckowski [D] TITLE: Climate Action Team INTRODUCED: 02/18/2015 DISPOSITION: Pending COMMITTEE: Senate Environmental Quality Committee HEARING: 04/15/2015 9:30 am SUMMARY: Creates the Climate Action Team that would be responsible for coordinating the state's climate policy to achieve the state's climate change goals, identifying specified unavoidable climate change impacts, developing and implementing specified mitigation and adaptation plans, and identifying and disseminating information to local governments and regional bodies. CA SB 272 AUTHOR: Hertzberg [D] TITLE: State Public Records Act: Local Agencies: Inventory INTRODUCED: 02/19/2015 DISPOSITION: Pending LOCATION: Senate Governance and Finance Committee SUMMARY: Requires each local agency, in implementing the State Public Records Act, to conduct an inventory of data gathered by the agency that discloses what data is maintained by the agency, by whom, and with what frequency it is collected. Requires the inventory to be available to the public. CA SB 280 AUTHOR: Stone [R] TITLE: Public Employees: Compensation INTRODUCED: 02/19/2015 DISPOSITION: Pending LOCATION: Senate Public Employment and Retirement Committee SUMMARY: Requires the employing public agency to provide a secure electronic method for officers and employees enrolled in direct deposit to receive a statement of earnings and deductions, and prohibits the distribution of paper copies of those statements. CA SB 321 AUTHOR: Beall [D] TITLE: Motor Vehicle Fuel Taxes: Rates: Adjustments INTRODUCED: 02/23/2015 DISPOSITION: Pending LOCATION: Senate Governance and Finance Committee SUMMARY: Relates to motor fuel tax rates. Requires the State Board of Equalization to adjust the rate in a manner as to generate an amount of revenue equal to the average amount of revenue loss attributable to a certain exemption over the next five fiscal years, based on estimates made by the board, and continue to take into account adjustments required by existing law to maintain revenue neutrality. CA SB 348 AUTHOR: Galgiani [D] TITLE: California Environmental Quality Act: Railroad Crossing 126

138 Attachment A State and Federal Legislative Update Transmittal Date: April 3, 2015 Meeting Date: April 10, 2015 Page 18 INTRODUCED: 02/24/2015 DISPOSITION: COMMITTEE: HEARING: SUMMARY: Pending Senate Environmental Quality Committee 04/15/2015 9:30 am Amends an existing law which grants to the Public Utilities Commission the authority to regulate railroad crossings and exempts from the California Environmental Quality Act the closure of a railroad grade crossing by order of the PUC. Extends a repeal date. CA SB 357 AUTHOR: Hall [D] TITLE: Private Railroad Car Tax INTRODUCED: 02/24/2015 DISPOSITION: Pending COMMITTEE: Senate Governance and Finance Committee HEARING: 04/08/2015 9:30 am SUMMARY: Relates to the Private Railroad Car Tax Law. Requires the State Board of Equalization to make a certain assessment to determine the physical presence of private railroad cars in the State in the calendar year preceding the fiscal year in which a tax is imposed upon the basis of mileage. Eliminates a requirement that the Board exclude from the state factor car mileage, car days, or other data that occurs while railroad cars are not qualified for revenue service and are in a repair facility in the State. CA SB 375 AUTHOR: Berryhill [R] TITLE: Public Employees Retirement INTRODUCED: 02/24/2015 DISPOSITION: Pending LOCATION: Senate Rules Committee SUMMARY: Makes nonsubstantive changes to the Public Employees' Retirement Law that governs the rate of employer contributions to the Public Employees' Retirement System. Requires that all assets of an employer be used in the determination of the employer contribution rate for the membership comprising the basis of the computation and that those assets held be recognized over the same funding period used to amortize unfunded accrued actuarian obligations. CA SB 391 AUTHOR: Huff [R] TITLE: Assault and Battery: Transit Employees INTRODUCED: 02/25/2015 DISPOSITION: Pending LOCATION: Senate Public Safety Committee SUMMARY: Makes an assault committed against a transit employee punishable by imprisonment in a county jail as specified. Makes a battery committed against a transit employee punishable as specified. CA SB 413 AUTHOR: Wieckowski [D] TITLE: Public Transit: Prohibited Conduct INTRODUCED: 02/25/2015 DISPOSITION: Pending LOCATION: Senate Transportation and Housing Committee SUMMARY: Relates to certain acts on or in a facility or vehicle of a public transportation system. Relates this provision so that it would apply to a person failing to comply with the warning of a transit 127

139 Attachment A State and Federal Legislative Update Transmittal Date: April 3, 2015 Meeting Date: April 10, 2015 Page 19 official related to disturbing another person by loud and unreasonable noise, and also to a person playing sound equipment on or in a public transportation system facility or vehicle. CA SB 471 AUTHOR: Pavley [D] TITLE: Water, Energy, Reduction of Greenhouse Gas INTRODUCED: 02/26/2015 DISPOSITION: Pending COMMITTEE: Senate Natural Resources and Water Committee HEARING: 04/14/2015 9:30 am SUMMARY: Requires the Strategic Growth Council to give special consideration to awarding funds to eligible projects that, in addition to existing objectives and goals, would also result in reduced energy use by a water supplier, and end user of water, or both. Includes projects or programs that reduce energy used to acquire, transport, treat, or distribute water as a regional project or program. CA SB 506 AUTHOR: Fuller [R] TITLE: Global Warming Solutions Act of 2006: Scoping Plan INTRODUCED: 02/26/2015 DISPOSITION: Pending COMMITTEE: Senate Environmental Quality Committee HEARING: 04/15/2015 9:30 am SUMMARY: Amends the Global Warming Solutions Act of Requires, in developing the scoping plan under the act, to take into account the environmental benefits of renewable electrical generation facilities. CA SB 508 AUTHOR: Beall [D] TITLE: Transit Operations: Financial Requirements INTRODUCED: 02/26/2015 DISPOSITION: Pending LOCATION: Senate Transportation and Housing Committee SUMMARY: Deletes the requirement that transit operators maintain higher farebox requirements based on a specified fiscal year. Exempts additional expenditures categories from operating costs. Reduces the public transit operator's operating allocation by a specified percentage, based on the percentage amount that the operator failed to meet the efficiency standards. Excludes certain health coverage and pension costs from the definition of operating costs used to calculate compliance with the efficiency standards. CA SB 513 AUTHOR: Beall [D] TITLE: Memorial Air Quality Standards Attainment Program INTRODUCED: 02/26/2015 DISPOSITION: Pending LOCATION: Senate Rules Committee SUMMARY: Amends existing law that establishes the Carl Moyer Memorial Air Quality Standards Attainment Program, which is administered by the State Air Resources Board, to provide grants to offset the incremental cost of eligible projects that reduce emissions of air pollutants from vehicular sources in the state and for funding a fueling infrastructure demonstration program and technology development efforts. CA SB 599 AUTHOR: Mendoza [D] TITLE: Employment: Public Transit Service Contracts 128

140 Attachment A State and Federal Legislative Update Transmittal Date: April 3, 2015 Meeting Date: April 10, 2015 Page 20 INTRODUCED: 02/27/2015 DISPOSITION: LOCATION: SUMMARY: Pending Senate Labor and Industrial Relations Committee Relates to a local government agency giving a preference to any bidder on a service contract to provide public transit services who agrees to retain employees of the prior contractor or subcontractor for a period of not less than 90 days. Expands these provisions to require a state agency to also give a 10% preference to any bidder under these provisions. CA SB 627 AUTHOR: Galgiani [D] TITLE: Personal Income Taxes: Credit: Commuting Miles INTRODUCED: 02/27/2015 DISPOSITION: Pending LOCATION: Senate Governance and Finance Committee SUMMARY: Allows a credit in a specified amount, computed as described by the total number of the taxpayer's commuting miles for the taxable year, as provided. Provides that, in those years in which an appropriation is made by the Legislature, when the amount allowable as a credit exceeds the taxpayer's tax liability the excess amount would be paid by the taxpayer. CA SB 698 AUTHOR: Cannella [R] TITLE: Active Transportation Program: School Zone Safety INTRODUCED: 02/27/2015 DISPOSITION: Pending LOCATION: Senate Environmental Quality Committee SUMMARY: Relates to the Active Transportation Program to encourage increased use of active modes of transportation, such as biking and walking. Appropriates continuously an unspecified amount from the Greenhouse Gas Reduction Fund to the State Highway Account in the State Transportation fund for purposes of funding school zone safety projects within the Active Transportation Program. CA SB 710 AUTHOR: Galgiani [D] TITLE: Joint Exercise of Powers: Financing INTRODUCED: 02/27/2015 DISPOSITION: Pending LOCATION: Senate Governance and Finance Committee SUMMARY: Relates to the Joint Exercise of Powers Act. Authorizes a joint powers authority to issue bonds and enter into a loan agreement for the financing or refinancing of a project that is situated in another state, including working capital related to that project, if the project and its financing meets certain conditions. Requires the Legislative Analyst to prepare and submit a report to the Legislature on the issuance of bonds and the financing of projects. CA SB 730 AUTHOR: Wolk [D] TITLE: Railroads: Movement of Freight: Trains or Light Engines INTRODUCED: 02/27/2015 DISPOSITION: Pending LOCATION: Senate Labor and Industrial Relations Committee SUMMARY: Prohibits a train or light engine used in connection with the movement of freight from being operated unless it has a specified minimum-sized crew. Authorizes the Public Utilities Commission to assess civil penalties against a person who willfully violates this provision. 129

141 Attachment A State and Federal Legislative Update Transmittal Date: April 3, 2015 Meeting Date: April 10, 2015 Page 21 CA SB 760 AUTHOR: Mendoza [D] TITLE: Disadvantaged Community Enhancement Act of 2015 INTRODUCED: 02/27/2015 DISPOSITION: Pending LOCATION: Senate Transportation and Housing Committee SUMMARY: Relates to the California Global Warming Solutions Act of 2006 and the Strategic Growth Council. Requires the Council to develop and implement the Disadvantaged Community Enhancement Program to award grants to disadvantaged communities to facilitate projects for community enhancement improvements that reduce greenhouse gas emissions in furtherance of the goals of the California Global Warming Solutions Act of CA SB 767 AUTHOR: De Leon [D] TITLE: Los Angeles County Metro Transportation Authority INTRODUCED: 02/27/2015 DISPOSITION: Pending LOCATION: Senate Transportation and Housing Committee SUMMARY: Authorizes the Los Angeles county Metropolitan Transportation Authority to impose an additional transportation transactions and use tax subject to various requirements, including the adoption of an expenditure plan and voter approval. CA SJR 1 AUTHOR: Beall [D] TITLE: Social Security: Retirement Benefits: Public Employees INTRODUCED: 12/01/2014 LAST AMEND: 01/12/2015 DISPOSITION: Pending LOCATION: Senate Public Employment and Retirement Committee SUMMARY: Requests the President and the Congress of the United States to pass legislation repealing the Government Pension Offset and the Windfall Elimination Provisions from the Social Security Act. 130

142 SOUTHERN CALIFORNIA REGIONAL RAIL AUTHORITY TRANSMITTAL DATE: April 3, 2015 MEETING DATE: April 10, 2015 ITEM 13 TO: FROM: Board of Directors Interim Chief Executive Officer SUBJECT: Railroad Safety and Positive Train Control Extension Act Work with Author Issue Clarify the Board s previous position on the Railroad Safety and Positive Train Control Extension Act. Recommendation Staff recommends that the Board provide additional detail on the previously adopted WORK WITH AUTHOR position to include the following: Any consideration of implementation delays should include a shorter extension for areas where passenger railroads are already operating a PTC system. Five years is too long of a delay, even for areas lacking passenger rail service At this time the liability cap should not be addressed relative to the presence of PTC on systems Tiered implementation schedules may reflect the priority for areas of higher or lower passenger and freight traffic, but the capabilities and standards of the technology, including interoperability, should not be altered under any circumstance Alternative The Board may opt to adopt an alternative position. Background At its meeting on March 13, 2015, the Board approved as amended a WORK WITH AUTHOR position considering a shorter extension for freight railroads to have Positive Train Control (PTC) interoperability with commuter railroads already operating a PTC system. Since that time, the bill was marked up by the Senate Commerce Committee on March 25, As amendments to the bill were being developed, staff received inquiries for greater One Gateway Plaza, 12 th Floor, Los Angeles, CA

143 Railroad Safety and Positive Train Control Extension Act Work with Author Transmittal Date: April 3, 2015 Meeting Date: April 10, 2015 Page 2 clarification on the objectives of the agency related to the future of PTC implementation. Specifically, Congressional staff asked for a more precise recommendation for an extension length. We have also been asked to clarify our objectives for a national and/or regional level. At the March 25, 2015 hearing, only one amendment was made to the bill. It relates to transparency and reporting requirements and Metrolink staff has indicated that it would not be a problem to comply with those requirements. There were several other amendments that were/are being considered. These cover a wide breadth of issues, therefore, it may be prudent to develop clear board positions in anticipation of additional questions related to these and the timing of our board process. Some of the amendment concepts that were shared with us reinforced actions that the Board and Authority have already undertaken. Specifically, requirements for inward and outward facing cameras, rail inspection practices, close call reporting, redundant signal protection for roadway workers and equipment and alerters in locomotives and cab cars. Metrolink staff has reviewed draft language and confirmed that these conceptual changes would not greatly affect us because of our existing practices. Budget Impact There is no budgetary impact as a direct result of this item. Prepared by: Jennifer Cohen, Government and Regulatory Affairs Manager Sam Joumblat Interim Chief Executive Officer 132

144 SOUTHERN CALIFORNIA REGIONAL RAIL AUTHORITY TRANSMITTAL DATE: April 3, 2015 MEETING DATE: April 10, 2015 ITEM 14 TO: FROM: SUBJECT: Board of Directors Interim Chief Executive Officer Adopt Staff Recommended Positions on Legislation Issue Staff is recommending positions on Assembly Bill 318 (Chau) Lost Money and Goods; Restoration to Owner; Senate Bill 9 (Beall) Greenhouse Gas Reduction Fund: Transit/Intercity Rail; Senate Bill 391 (Huff) Assault and Battery: Transit Employees; and House of Representatives Bill 990 (King) Commuter Parity Act of Recommendation Staff recommends the Board adopt the staff recommended positions on legislation: A. AB Chau (D-Monterey Park) SUPPORT B. SB 9 - Beall (D-San Jose) WORK WITH AUTHOR C. SB Huff (R-Diamond Bar) SUPPORT WITH AMENDMENT D. HR 990 King (R-NY) - SUPPORT Attachments Attachments A, B, C and D. Prepared by: Jennifer Cohen, Government and Regulatory Affairs Manager Devon Ryan, Government Relations Administrator Sam Joumblat Interim Chief Executive Officer One Gateway Plaza, 12 th Floor, Los Angeles, CA

145 SOUTHERN CALIFORNIA REGIONAL RAIL AUTHORITY TRANSMITTAL DATE: April 3, 2015 MEETING DATE: April 10, 2015 ITEM 14A TO: FROM: SUBJECT: Board of Directors Interim Chief Executive Officer Assembly Bill 318 Lost Money and Goods: Restoration to Owner Issue Assemblymember Ed Chau (D-Monterey Park) has introduced AB 318 which seeks to amend Sections and of the Civil Code, relating to lost and unclaimed property. Recommendation Staff recommends the Board adopt a SUPPORT position on AB 318. Alternative The Board may adopt an alternative position. Background Current law requires a person who finds lost property to try to return it to the rightful owner. Existing law provides 90 days for the owner to return and claim the property and to pay any reasonable fee for its bailment. If the owner of the lost property cannot be determined and the item is worth $100 or more, the finder is required to turn the item over to the police department of the city or county in which it was found, or to the sheriff s department of the county, if found outside of the city limits. The owner then has 90 days to reclaim the property, after which time the property could be turned over to the finder, or disposed of through auction to the highest bidder. For items under $100 that are retained by the Authority, an auction should be conducted after the 90 day period. The auction process can be cumbersome and an undue burden for a public transit agency. This bill would require lost property worth $100 or more, which is found in a public transit vehicle or on public transit property, to be turned in to the public transit agency. The owner would have 30 days to claim the property, after which time, the public transit agency is authorized to donate the unclaimed property to a charitable organization. The bill seeks to make a more logical process for turning in and retrieving lost property found in a public transit vehicle or on public transit property, which is clear and convenient to all parties. This bill would allow transit agencies to donate left-behind property, such as bicycles, to One Gateway Plaza, 12 th Floor, Los Angeles, CA

146 Assembly Bill 318 Lost Money and Goods: Restoration to Owner Transmittal Date: April 3, 2015 Meeting Date: April 10, 2015 Page 2 charitable organizations sooner than it would otherwise be allowed to under existing law. Because this bill would impose new requirements on public transit agencies statewide and constitutes a state-mandated local program, the costs associated with its implementation would be reimbursable by the state. Staff recommends supporting the bill as is in keeping with the Authority s preferred practices while still protecting the rights of owners of lost property on public transit within reason. Budget Impact This bill does not have direct budget impact as currently proposed. Prepared by: Jennifer Cohen, Government and Regulatory Affairs Manager Devon Ryan, Government Relations Administrator Sam Joumblat Interim Chief Executive Officer 135

147 SOUTHERN CALIFORNIA REGIONAL RAIL AUTHORITY TRANSMITTAL DATE: April 3, 2015 MEETING DATE: April 10, 2015 ITEM 14B TO: FROM: SUBJECT: Board of Directors Interim Chief Executive Officer Senate Bill 9 Greenhouse Gas Reduction Fund: Transit and Intercity Rail Capital Program Issue Senator Jim Beall (D-San Jose) has introduced SB 9 to modify the selection criteria of the Transit and Intercity Rail Capital Program (TIRCP) by limiting grants from the TIRCP to multi-year projects with a total cost over $100 million. Staff would like to work with the bill s author to allow for some smaller projects to also be funded each year through this program. Recommendation Staff recommends the Board adopt a WORK WITH AUTHOR position on SB 9. Alternative The Board may adopt an alternative position. Background The Cap and Trade Auction Greenhouse Gas Reduction Fund (GGRF) revenue is estimated in the Governor s Budget to be over $1 billion this year and is likely to increase in subsequent years. The TIRCP is allocated 10 percent of all GGRF funds beginning in FY Currently, the program guidelines state that a major capital project in terms of a grant request is $3 million or greater and a minor capital project is less than $3 million in cost. As currently written, the bill would eliminate the option for a smaller project and focus on supporting larger, multi-year capital projects. There are only a few capital improvement projects that the Authority could apply to this program that might meet the $100 million minimum set forth in the bill. However, there are several smaller scale projects that the Authority would like to keep this funding source available for. A Senate Committee on Environmental Quality hearing regarding this bill was held on March 18, 2015, during which an amendment was adopted that changes the language of the bill to authorize but not require multi-year funding as part of the selection criteria for One Gateway Plaza, 12 th Floor, Los Angeles, CA

148 Senate Bill 9 Greenhouse Gas Reduction Fund: Transit and Intercity Rail Capital Program Transmittal Date: April 3, 2015 Meeting Date: April 10, 2015 Page: 2 the TIRCP. However the $100 million project threshold requirement was not addressed and the author indicated that he was still working with stakeholders on the issue. Staff recommends working with the author of this bill in order to create an option for smaller projects to be eligible for funding from the program. Budget Impact This bill does not have direct budget impact as currently proposed. Prepared by: Jennifer Cohen, Government and Regulatory Affairs Manager Devon Ryan, Government Relations Administrator Sam Joumblat Interim Chief Executive Officer 137

149 SOUTHERN CALIFORNIA REGIONAL RAIL AUTHORITY TRANSMITTAL DATE: April 3, 2015 MEETING DATE: April 10, 2015 ITEM 14C TO: FROM: SUBJECT: Board of Directors Interim Chief Executive Officer Senate Bill 391 Assault and Battery: Transit Employees Issue Senator Bob Huff (R-Diamond Bar) has introduced SB 391 to strengthen the penalties for assault of a transit employee by adding transit employee to the list of specified individuals (such as traffic officers, lifeguards, and animal care workers) that allow for more stringent punishments. Recommendation Staff recommends the Board adopt a SUPPORT WITH AMENDMENT position on SB 391. Alternative The Board may adopt an alternative position. Background This bill seeks to increase the penalties for assault and/or battery committed against transit employees. There is currently a list of specified individuals for which penalties for assault and/or battery are more stringent than when those crimes are committed against a person without these designations. Under existing law, an assault committed against specified individuals, such as a peace officer or a lifeguard, is punishable by imprisonment in a county jail not exceeding one year, a fine not exceeding $2,000 or both fine and imprisonment. This bill would also make an assault committed against a transit employee punishable in the same manner. Also under existing law for battery, if an injury is inflicted, it is punishable by imprisonment in a county jail not exceeding one year, a fine of $2,000, or both that fine and imprisonment, or imprisonment in a county jail for 16 months, or two or three years. This bill would also make a battery committed against a transit employee punishable in the same manner. One Gateway Plaza, 12 th Floor, Los Angeles, CA

150 Senate Bill 391 Assault and Battery: Transit Employees Transmittal Date: April 3, 2015 Meeting Date: April 10, 2015 Page 2 According to the bill language, the definition of transit employee is as follows: any employee of an operator as defined in Section of the Public Utilities Code. This Section states that "Operator" means any transit district, included transit district, municipal operator, included municipal operator, or transit development board. Thus, as written, Metrolink employees would not be covered as transit employees in the bill. Staff recommends the Board take a SUPPORT WITH AMENDMENT position in order to amend the bill so that current and contract employees of the Southern California Regional Rail Authority are included in the definition of transit employee. Proposed amendment language can be found in Attachment A. Budget Impact This bill does not have direct budget impact as currently proposed. Prepared by: Jennifer Cohen, Government and Regulatory Affairs Manager Devon Ryan, Government Relations Administrator Sam Joumblat Interim Chief Executive Officer 139

151 Senate Bill 391 Assault and Battery: Transit Employees Transmittal Date: April 3, 2015 Meeting Date: April 10, 2015 Page 3 Proposed Amendment to SB 391 SECTION 1. Section 241 of the Penal Code is amended to read: Attachment A 241 (d) (12) (A) Transit employee means any employee of an operator as defined in Section of the Public Utilities Code. (B) Transit employee also means any employee or contract employee of the Southern California Regional Rail Authority. SECTION 2. Section 243 of the Penal Code is amended to read: 243 (f) (15) (A) Transit employee means any employee of an operator as defined in Section of the Public Utilities Code. (B) Transit employee also means any employee or contract employee of the Southern California Regional Rail Authority. 140

152 SOUTHERN CALIFORNIA REGIONAL RAIL AUTHORITY TRANSMITTAL DATE: April 3, 2015 MEETING DATE: April 10, 2015 ITEM 14D TO: FROM: Board of Directors Interim Chief Executive Officer SUBJECT: HR 990 (King) Commuter Parity Act of 2015 Issue HR 990 by Representative Peter King (R-NY) seeks to increase the amount allowed for qualified transit expenses for exclusion from gross income for income tax purposes. Recommendation Staff recommends the Board adopt a SUPPORT position on HR 990. Alternative The Board may adopt an alternative position. Background Congressman Peter King (R-NY), along with Congressmembers Blumenauer (D-OR), McGovern (D-MA), Maloney (D-NY), Hultgren (R-IL), Dold (R-IL), Lance (R-NJ) and Lipiniski (D-IL), has introduced The Commuter Parity Act of 2015 (HR 990) to bring parity between qualified parking and transit expenses for exclusion from gross income for income tax purposes. The availability of a commuter tax benefit is important to public transit riders, especially Metrolink commuters that rely on the credit to offset the cost of their transit passes. The current allowed exclusion for transit is $130 per month. Previous legislation has raised that amount to higher levels, however that has expired. This legislation increases the amount for transit to $235 per month and decreases the amount allowed for parking to $235 per month to create parity between the two commute modes. It also makes the benefit permanent and builds in increases for inflation. The permanence is important because past legislation that retroactively increased the benefit had limited utility to transit users. Budget Impact This bill does not have direct budget impact as currently proposed. One Gateway Plaza, 12 th Floor, Los Angeles, CA

153 HR 990 (King) Commuter Parity Act of 2015 Transmittal Date: April 3, 2015 Meeting Date: April 10, 2015 Page 2 Prepared by: Jennifer Cohen, Government and Regulatory Affairs Manager Devon Ryan, Government Relations Administrator Sam Joumblat Interim Chief Executive Officer 142

154 SOUTHERN CALIFORNIA REGIONAL RAIL AUTHORITY TRANSMITTAL DATE: April 3, 2015 MEETING DATE: April 10, 2015 ITEM 15 TO: FROM: SUBJECT: Board of Directors Interim Chief Executive Officer Request to Amend Classification and Salary Plan Issue Staff is proposing to revise the Southern California Regional Rail Authority (SCRRA) Classification and Salary Plan previously approved by the Board at its June 27, 2014 meeting and amended by the Board on October 10, 2014 and December 12, Recommendation Staff recommends the Board approve adding one (1) new classification title of Chief Administrative Officer to the current Classification and Salary Plan. This position will report to the Chief Executive Officer and be responsible for the Government and Regulatory Affairs Department, Human Resources Department, the Assistant to the Chief Executive Officer/Board Secretary and Administrative Services functions. Alternatives The Board may direct staff to retain the current classifications with no additions to the Classification and Salary Plan. Background In accordance with amended HR Policy 2.1, the addition of new job classifications and corresponding salary grade assignments to the Classification and Salary Plan require Board of Directors review and approval. Attachment A is the job description for the proposed new position of Chief Administrative Officer. Attachment A1 is a revised structure chart for the Office of the Chief Executive Officer with the position and its direct reports. Attachment B is the Revised Classification and Pay Plan with the addition of the new position in Salary Grade T. One Gateway Plaza, 12 th Floor, Los Angeles, CA

155 Request to Amend Classification and Salary Plan Transmittal Date: April 3, 2015 Meeting Date: April 10, 2015 Page 2 Budget Impact There is no immediate budget impact as a result of the addition of this position as there are vacant positions in the FY budget to support the headcount and salary level. Prepared by: Patricia Francisco, Director, Human Resources and Irene Shapiro, Manager, Human Resources Sam Joumblat Interim Chief Executive Officer 144

156 Job Title: Chief Administrative Officer PCN: TBD Cost Center: TBD Reports To: Chief Executive Officer FLSA Status: E Prepared by: Shapiro 4/3/2015 Updated By: Salary Grade: T ATTACHMENT A Southern California Regional Rail Authority Proposed Job Description SUMMARY Under the leadership of the Chief Executive Officer, this position will lead staff operations by providing direction and leadership to the staff and contractors who are responsible for all staff operations within the Administration Office including Governmental and Regulatory Affairs, Human Resources, the Board Secretary/Assistant to the Chief Executive Officer and all direct reports. This position is located in SCRRA s downtown office at One Gateway Plaza, Los Angeles, CA JOB DUTIES AND RESPONSIBILITIES Under the leadership of the Chief Executive Officer, this position is responsible for the following: Ensure the delivery of safe, efficient and convenient commuter rail service every day; Ensure the railroad delivers the highest level of customer service possible each and every day; Lead the operations and functions of all reporting departments to ensure services are operating at maximum efficiency and consistent quality service is provided; Monitor the development of the budget and budgetary performance and make necessary adjustments to achieve budget compliance; Manage and negotiate contracts with service providers to ensure on time performance; Develop and review a variety of reports on the operating performance of the functional areas within the various departments and for the SCRRA overall; Report on issues and problems involving department activities and take action to address and resolve issues; Plan the future direction of the work units within the Office of the Chief Administrative Officer s departments and functions; Identify and forecast the human resource needs of the Office of the Chief Administrative Officer s departments and functions; Evaluate the budgetary impact of operational recommendations for respective departments and functions; Collaborate with other Executives on the activities throughout the SCRRA;

157 Review and make recommendations to the CEO on the impact of various changes to the commuter rail service; Direct staffing issues within the Department ensuring that objectives are achieved within budgetary constraints; Work closely with the Executive Management team as part of a strong leadership team working on behalf of the Chief Executive Officer; Provide day-to-day oversight, policy direction and high performance development for all the reporting departments; In collaboration with the General Counsel, act as the CEO s liaison to staff and the Board of Directors for preparation and review of all Board Committee and Board Agenda items; Represent SCRRA to external audiences and stakeholders; Interpret and provide guidance on a variety of laws, rules, regulations, policies, procedures and contracts pertaining to the Office of the Chief Administrative Officer; Manage subordinates who may possess highly specialized knowledge and skills in professional disciplines other than one's own; Participate in various cross-functional teams in order to address overall organizational strategies and goals; Perform other related duties as assigned. MINIMUM REQUIREMENTS To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Bachelor s degree in Business Administration, Public Administration or Business Development or a related field preferred; Minimum four years of work experience in a senior leadership position; Minimum five years of work experience supervising, directing and managing staff; Minimum five years of legislative and policy development; Minimum five years working in the state and federal legislative areas and knowledge of the legislative process; Experience at the management level in governmental affairs; Minimum four years advising Chief Executive Officers and providing guidance to governing Boards; Must have prior work experience interacting with governing Boards, elected officials, managing governing Board relations and understanding the Board and Committee process in a public sector organization; Prior experience with executive development; Must be able to demonstrate experience creating both vision and mission and providing leadership to others; Ability to understand the interdependencies between various line departments and the impact to customers, customer relationships and other customer driven services in a public environment; Become conversant and knowledgeable of public agency rules and regulations and the ability to review and understand the delivery of services under those regulations; Prior work experience that demonstrates a genuine interest in helping direct reports and others across the organization; Excellent and highly developed analytical skills;

158 Ability to identify opportunities for operating efficiencies and understand the impact of their implementation both within the department and throughout SCRRA; Must be able and willing to build team cohesiveness by establishing, communicating and reinforcing shared values and norms; Create a work environment to encourage excellence, to reward performance and to embrace change. Ability to provide clear direction and policies to eliminate or reduce potential conflicts; Ability to make formal presentations to large and small groups, the Board, Committees and the public; Proficient in Microsoft Office; Demonstrate strong and effective organizational and time management skills; Valid class C Driver s License with a satisfactory driving record of no more than three moving violations within the last three years. PHYSICAL DEMANDS The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. Transition between standing, walking and sitting at varying lengths of time; Climb or balance and stoop, kneel, crouch or crawl; Use hands to finger, handle, feel and grasp tools to perform the duties of the position; Ability to lift, hold and move objects up to 25lbs.; Hear and perceive the nature of sounds; Listen and express or exchange ideas by means of spoken words; Adjust visual focus; Work in normal office environment with little exposure to excessive noise, dust, temperature

159 Southern California Regional Rail Authority Office of the Chief Executive Officer ATTACHMENT A-1 PROPOSED 4/10/2015 Metrolink Board of Directors General Counsel Don O. Del Rio Chief Auditor Vacant Chief Executive Officer Arthur T. Leahy Deputy Chief Executive Officer Vacant Chief Administrative Officer Vacant Chief Operating Officer Gary Lettengarver Chief Marketing and Communications Officer Robert Turnauckas Chief Planning and Project Delivery Officer Vacant Chief Finance Officer Sam Joumblat 148

160 Southern California Regional Rail Authority Officer of the Chief Administrative Officer ATTACHMENT A-1 PROPOSED 4/10/2015 Chief Executive Officer Arthur T. Leahy Chief Administrative Officer Vacant Government and Regulatory Affairs Manager Jennifer Cohen Administrative Management Specialist Paul Anninos Records Management Specialist Perry Tseko Board Secretary/Assistant to the CEO Kari Holman Department Assistant Deborah Hudson Director, Human Resources/EEO OFFICER Patricia Francisco Government Relations Administrator Devon Ryan Department Assistant Nancy Griffis Department Assistant Margaret Gonsalves Administrative Management Specialist Charlene Simons Manager, Human Resources Irene Shapiro Manager, Learning and Development Naphtali Bryant Learning and Development Coordinator Joan Powe Assistant Manager, Human Resources Roxanne Randolph 149

161 ATTACHMENT B Southern California Regional Rail Authority Classification and Salary Plan Proposed 4/10/2015 Salary Grade Classification Title Minimum Mid-point Maximum Bi-Weekly 2, , , Hourly Grade 1 Train Dispatcher Annual 67, , , Bi-Weekly 3, , , Hourly Grade 2 Supervisor, Dispatching Operations Annual 78, , , Bi-Weekly 1, , , Hourly Grade B Associate Customer Engagement Representative Annual 27, , , Bi-Weekly 1, , , Hourly Grade D Accounting Assistant Annual 35, , , Administrative Assistant Customer Engagement Representative Bi-Weekly 1, , , Hourly Grade E Department Assistant Annual 40, , , Maintenance Technician Material Handler/Operator Bi-Weekly 1, , , Hourly Grade F Accounting Specialist - Payables Annual 45, , , Accounting Specialist - Receivables Assistant Budget Analyst Executive Assistant Lead, Customer Engagement Representative Lead, Maintenance Technician Records Management Specialist Bi-Weekly 1, , , Hourly Grade G Administrative Management Specialist Annual 50, , , Assistant to the CEO Board Secretary Buyer Cash Management Analyst I Civil Design CADD Operator Page 1 150

162 ATTACHMENT B Southern California Regional Rail Authority Classification and Salary Plan Proposed 4/10/2015 Salary Grade Classification Title Minimum Mid-point Maximum Communications Coordinator Communications Representative Contracts Data Analyst I Corporate Sales Manager Data Analyst Fare Collections Services Administrator Field Operations Administrator Financial Analyst I Fleet Maintenance Coordinator GIS Analyst ROW Crossings Coordinator Sales & Marketing Coordinator Senior Legal Administrator Bi-Weekly 2, , , Hourly Grade H Accountant Annual 55, , , Accountant I - General Ledger Assistant Engineer I Budget Analyst Cost Accountant I Grants Accountant I Payroll Accountant I P-Card Administrator PTC Configuration Engineer PTC Records Engineer ROW Maintenance Coordinator Bi-Weekly 2, , , Hourly Grade I Accountant II-General Ledger Annual 62, , , Business Analyst Capital Budget Analyst Contract & Compliance Administrator Cost Accountant II FCS Project Analyst Financial Analyst II Inventory Control Analyst Page 2 151

163 ATTACHMENT B Southern California Regional Rail Authority Classification and Salary Plan Proposed 4/10/2015 Salary Grade Classification Title Minimum Mid-point Maximum Labor Compliance Analyst I Learning and Development Coordinator Salesforce.com Administrator Senior Budget Analyst Social Media Specialist Bi-Weekly 2, , , Hourly Grade J Assistant Manager, Human Resources Annual 67, , , Assistant Public Affairs Officer Associate Engineer Customer Experience Administrator Customer Relations Supervisor Government Relations Administrator Grants Funding and Compliance Administrator Grants Reporting and Compliance Administrator Information Systems Supervisor Labor Compliance Analyst II Materials Supervisor Operations Compliance Officer I PTC Database Administrator PTC Equipment Engineer I PTC Senior Network Engineer Senior Contract & Compliance Administrator Senior Network Engineer Senior Systems Engineer Bi-Weekly 2, , , Hourly Grade K Assistant Manager, Customer Engagement LAUS Annual 73, , , Assistant Manager, Customer Engagement, MOC Assistant Manager, Inventory Control Business Administrator District C & S Supervisor District Supervisor, Communications District T & S Maintenance Supervisor Manager, Research & Planning Marketing Manager Page 3 152

164 ATTACHMENT B Southern California Regional Rail Authority Classification and Salary Plan Proposed 4/10/2015 Salary Grade Classification Title Minimum Mid-point Maximum Principal Contract and Compliance Adminstrator Program Management Analyst I Project Engineer I PTC Equipment Engineer II Signal Standards Compliance Officer Staff Auditor II Track Maintenance Engineer Training Compliance Administrator Bi-Weekly 3, , , Hourly Grade L Assistant Manager, Field Operations Annual 81, , , Business Intelligence Architect Communication Systems Manager Facilities and Fleet Maintenance Manager Functional Lead, Customer Engmnt & Comm Functional Lead, Operations and Engineering Functional Lead, Oracle Reporting Lead, Oracle Finance & Procurement Manager, Diversity & Labor Compliance Manager, Learning & Development Mechanical Compliance Officer Mechanical Compliance Officer PTC Mechanical Systems Integrator Operations Compliance Officer II Planning Manager Program Management Analyst II Project Engineer II Project Engineer, Communication Systems Project Engineer, Signal Systems PTC Technical Services Manager Public Safety & Environment Manager Rail Vehicle Capital Program Administrator Security Manager Senior Auditor Senior Auditor, Governmental Compliance Senior Civil Engineer Page 4 153

165 ATTACHMENT B Southern California Regional Rail Authority Classification and Salary Plan Proposed 4/10/2015 Salary Grade Classification Title Minimum Mid-point Maximum Senior Public Project Specialist Service Design & Compliance Administrator Strategic Programming & Development Manager Bi-Weekly 3, , , Hourly Grade M Annual 87, , , Audit Manager Dispatching Manager Field Operations Manager Government & Regulatory Affairs Manager Manager, Budgets and Financial Analysis Manager, Customer Engagement LAUS Manager, Customer Engagement MOC Manager, Financial Information Management Manager, Grants Admin & Fiscal Mngmt Manager, On Board PTC Systems Manager, Operating Rules Manager, Sales & Marketing Manager, Special Projects Program Manager Senior Auditor, IT Strategic Communications Manager Technical Services Manager Bi-Weekly 3, , , Hourly Grade N Manager, Corporate Accounts Annual 95, , , Manager, General Accounting Manager, Human Resources Manager, PTC Network Architecture Bi-Weekly 3, , , Hourly Grade O Assistant Director, C & S Rehabilitation and Maintenance Annual 103, , , Assistant Director, Capital Construction & Rehabilitation Assistant Director, Contracts Assistant Director, Grants Assistant Director, Maintenance of Equipment Page 5 154

166 ATTACHMENT B Southern California Regional Rail Authority Classification and Salary Plan Proposed 4/10/2015 Salary Grade Classification Title Minimum Mid-point Maximum Assistant Director, Operating Practices Assistant Director, Planning and Development Assistant Director, Program Management Assistant Director, PTC Communications Systems Assistant Director, PTC Technical Services Assistant Director, Public Projects Assistant Director, Standards & Design Assistant Director, System Safety Assistant Director, T&S Rehabilitation Bi-Weekly 4, , , Hourly Grade P Controller Annual 111, , , Director, Business Systems Director, Fare Collection Services Director, Finance Director, Network Control Systems Director, Planning and Development Director, Public Affairs Director, Signals and Communications Director, Special Projects Director, System Safety and Security FIS Oracle Liaison Bi-Weekly 4, , , Hourly Grade Q Director, Customer Engagement Annual 119, , , Director, Dispatching Operations Director, Engineering & Construction Director, Human Resources Director, Maintenance of Equipment Director, Operations Bi-Weekly 4, , , Hourly Grade R Associate General Counsel Annual 128, , , Senior Counsel, Risk Manager Senior Director, Information Technology Senior Director, PTC Page 6 155

167 ATTACHMENT B Southern California Regional Rail Authority Classification and Salary Plan Proposed 4/10/2015 Salary Grade Classification Title Minimum Mid-point Maximum Senior Director, Safety and Security Bi-Weekly 6, , , Hourly Grade T Chief Auditor Annual 170, , , Chief Administrative Officer Chief Communications and Marketing Officer Chief Financial Officer Chief Operating Officer Chief Planning and Project Delivery Officer Bi-Weekly 7, , , Hourly Grade U Deputy Chief Executive Officer Annual 196, , , General Counsel Bi-Weekly 8, , , Hourly Grade V Chief Executive Officer Annual 225, , , Page 7 156

168 SOUTHERN CALIFORNIA REGIONAL RAIL AUTHORITY TRANSMITTAL DATE: April 3, 2015 MEETING DATE: April 10, 2015 ITEM 16 TO: FROM: SUBJECT: Board of Directors Interim Chief Executive Officer Compensation Report FY Third Quarter Final (4 th Quarter Partial through April 13, 2015) Issue At its April 11, 2014 meeting, the Board of Directors amended Human Resources Policy 2.1 to require staff to make quarterly and annual reports to the Board on compensation matters. Recommendation The Board may receive and file this report. Alternatives The Board may direct staff to make changes to various transactions in the report. Background In accordance with amended HR Policy 2.1, the Board requires the Director of Human Resources to report all salary placements for new hires, promotions, demotions, reclassifications and other changes in employee compensation to the Board on a quarterly basis. Attachment A is a summary of the transactions that occurred during the Third Quarter for the period ended March 31, In addition, we have included a partial report for the 4 th Quarter through April 13, Attachment B is a more detailed report. There are thirteen (13) compensation changes during this period. One (1) of the four (4) promotions require salary placement at the range minimum consistent with Human Resources Policy and Procedures 2.1, Section 1.5 Promotions. Budget Impact There is no immediate budget impact as a result of this status report. One Gateway Plaza, 12 th Floor, Los Angeles, CA

169 Compensation Report FY Third and Fourth Quarter March 16 through April 13, 2015 Transmittal Date: April 3, 2015 Meeting Date: April 10, 2015 Page 2 Prepared by: Patricia Francisco, Director, Human Resources and Irene Shapiro, Manager, Human Resources Sam Joumblat Interim Chief Executive Officer 158

170 ATTACHMENT A - COMPENSATION REPORT SUMMARY 3RD QUARTER FY 15 (Final), 4TH QUARTER through April 13, 2015 Category based on H.R. Policy 2.1 Requirements Salary Placement for New Hire Salary Placement for Promotion Other Changes in Compensation Total Number 8 4 Return from Acting Pay 1 TOTAL TRANSACTIONS 13 RB-HR

171 ATTACHMENT B - COMPENSATION REPORT 3RD QUARTER FY 15 (Final), 4TH QUARTER through April 13, 2015 POSITION/CLASSIFICATION EFFECTIVE DATE TYPE OF INCREASE OR SALARY PLACEMENT SALARY HISTORY RATE AMOUNT (Bi-Weekly Rate) PERCENT CHANGE FROM PREVIOUS SCRRA SALARY RATE A.New Hire 1 FCS Specialist 03/16/2015 Initial Compensation $2, N/A 2 Senior Contract + Compliance Administrator 03/23/2015 Initial Compensation $3, N/A 3 Train Dispatcher 04/01/2015 Initial Compensation $45.19 N/A 4 District C & S Supervisor 04/13/2015 Initial Compensation $3, N/A 5 Senior Contract + Compliance Administrator 04/13/2015 Initial Compensation $3, N/A 6 Senior Contract + Compliance Administrator 04/13/2015 Initial Compensation $3, N/A 7 Customer Engagement Representative 04/13/2015 Initial Compensation $17.78 N/A 8 Customer Engagement Representative 04/13/2015 Initial Compensation $17.45 N/A B.Promotion 1 Planning Mgr (Plng & System Perf Analysis) 03/16/2015 Promotion $4, % 2 Field Operations Administrator (Trainee) 04/13/2015 Promotion $1, % 3 Field Operations Administrator (Trainee) 04/13/2015 Promotion $2, % 4 Field Operations Administrator (Trainee) 04/13/2015 Promotion $1, % E.Other Changes in Compensation 1 Program Management Analyst II 02/14/2015 Return from Acting Pay $4, N/A RB-HR Page 1 of 160 1

172 SOUTHERN CALIFORNIA REGIONAL RAIL AUTHORITY TRANSMITTAL DATE: April 3, 2015 MEETING DATE: April 10, 2015 ITEM 17 TO: FROM: SUBJECT: Board of Directors Interim Chief Executive Officer Antelope Valley Line Fare Reduction Pilot Program and System-wide Fare Analysis Study Issue The Authority has an opportunity to initiate a pilot program of new fare products with the goal of increasing ridership and revenue, as well as test various fare changes for potential implementation system-wide. Recommendation Staff recommends the Board provide direction and approve the commencement of a fare reduction pilot program on the Antelope Valley Line, contingent upon a funding agreement with Los Angeles County Metropolitan Transportation Authority (Metro). Alternative The Board could modify or provide direction to not move forward with the Antelope Valley Line fare reduction pilot program and/or system-wide fare analysis study. Background At previous board meetings, the Board has discussed a desire to consider potential changes to fare policies and pricing as they may relate to ridership. The Authority is in the process of conducting a system-wide fare analysis study as discussed later in the report. At the May 22, 2014 Metro Board meeting, Directors Antonovich, Najarian and Krekorian introduced a motion to develop a mitigation plan for High Occupancy Vehicle (HOV) Lane construction on the I-5 Freeway which included utilization of Metrolink service as a mitigation measure. Subsequent to that action, the Authority and Metro staff have been discussing the possibility of increased service on the Antelope Valley Line, as well as a possible pilot fare project on the line. At that time, institution of a fare pilot program was hindered by concerns about fare enforcement of the Line. Since January 2015, Antelope Valley Line trains have had assistant conductors on board as part of a larger fare enforcement program for that Line. One Gateway Plaza, 12 th Floor, Los Angeles, CA

173 Antelope Valley Line Fare Reduction Pilot Program and System-wide Fare Analysis Study Transmittal Date: April 3, 2015 Meeting Date: April 10, 2015 Page 2 With the addition of assistant conductors, an opportunity arises to assess a series of fare pricing and policy changes that, if successful, could potentially be adopted system-wide. Metro is also interested in continuing to explore the possibility of adding new service on the Antelope Valley Line. All of the options shown below are for the Antelope Valley Line only. If adopted, ticket pairs that include stations outside of the Antelope Valley Line will not have discounts proposed. The Authority is allowed to have promotional fare discounts up to six months in duration without conducting a public hearing in accordance with Title VI. All options below are for a six-month period and can be extended or made permanent following a public hearing and board approval. This pilot will provide data that will be valuable in the system-wide fare analysis study discussed below. It would also provide a good indication about whether fare reductions could increase ridership. It is important to note that Options A and B are mutually exclusive, however Option C could be combined with Option A or B, if directed. Option A: Reduce all fares by 25% (except for the Weekend Day Pass) Option B: Offer an off-peak (9am 2pm) Weekday 25% off discount of all oneway/round trip fares Option C: Offer an off-peak (9am - 2pm) $2 dollar station to next station promotion There are several advantages to testing out these types of fare changes by means of a pilot program: Provide an opportunity to test the market with lower fare options on a single line prior to determining whether similar fare changes should be considered for the entire system. Potential to assess the revenue impact that would be associated with increased ridership on the line, compared to the revenue reduction that would come from the reduced fares. Provide an opportunity to introduce new riders to the system with the combination of lower fares and value added marketing. Fare rates would revert back to original prices following the six-month pilot period. A Title VI public hearing would need to be held to extend the program beyond six months. It is also possible that there will be a loss in revenue if the ridership gains do not outweigh the lower revenues resulting from the fare reductions. 162

174 Antelope Valley Line Fare Reduction Pilot Program and System-wide Fare Analysis Study Transmittal Date: April 3, 2015 Meeting Date: April 10, 2015 Page 3 Reduced Fare Revenue/Ridership Impacts: The following table represents staff s preliminary analysis in terms for the ridership and revenue implications associated with the individual fare changes being considered for the pilot program. The analysis is based on elasticity formulas which provide general guidance regarding the relationship between fare changes and impacts on ridership. REVENUE AND RIDERSHIP IMPACTS OF FARE CHANGES OPTION A 25% FARE DECREASE OPTION B OFF-PEAK OW/RT FARES OPTION C $2 FARE (2 STATIONS) Average fare (current) $8.31 $9.57 $4.77 Average fare (proposed) $6.23 $7.18 $2.00 % change -25% -25% -58% Current ridership (6-months) 586,624 57,865 8,534 Ridership change 36,532 2,552 1,189 % change 6.2% 4% 14% Current revenue (6-months) $4,873,279 $553,627 $40,735 Revenue change -$990,706 -$120,097 -$21,287 % change -20.3% -22% -52% Notes: Fares apply only to stations served by Antelope Valley Line trains. Fare options do not apply to Weekend Passes. Option A assumes a fare elasticity of based on historic fare changes. Monthly pass holder make up 48% of trips on the Antelope Valley Line. Options B & C assume an off-peak fare elasticity of based on Metro and consultant information. Option C assumes fare enforcement at each station to combat riders riding more than 1 station. **All options can be implemented by the July 1, 2015 date. Option A can be included as part of the10 th year of fare restructuring of the Ticket Vending Machine and website programming that will be taking place on July 1, 2015, at no additional cost. However, Options B and C would have costs associated with programming. Estimated costs have not yet been received. The demand effect in response to a change in price is known as the price elasticity of demand. This economic principle applies to transit fares and is known as the fare elasticity of demand. Fare elasticities are calculated based on the percent change in ridership in response to a percent increase or decrease in fares. Like many other goods and services, transit ridership is characterized as being demand inelastic. It means the percent change in demand is less than the percent change in price. For instance, Option A decreases all Antelope Valley Line fares (except Weekend Day Passes) by 25%, reducing the average fare from $8.31 to $6.23. Without increase in ridership, this reduces the expected fare revenue by $1,218,320. In order to break-even Metrolink would have to attract 195,479 (or 33%) more riders at the new $6.23 fare. But 163

175 Antelope Valley Line Fare Reduction Pilot Program and System-wide Fare Analysis Study Transmittal Date: April 3, 2015 Meeting Date: April 10, 2015 Page 4 consistent with Metrolink s fare elasticity of we expect only 36,532 (or 6.2%) new riders that will generate $227,687 in revenue, not enough to compensate for the 25% reduction in fare. The net result is a $990,706 decline in fare revenue for the Antelope Valley Line during a 6-month period. Implementing a $2 fare for trips to the next station reduces the average one-station fare of $4.77 by 58%. Although ridership increases by 14% in response to the $2 fare it does not generate enough revenue to break even. The net result is a $21,287 decline in fare revenue for the Antelope Valley line for a 6-month period. There is also the risk that riders may try to use the $2 fare to ride more than one station which makes fare inspections at each station necessary. System-wide Fare Analysis Study As the fare reduction pilot program is underway, staff will be conducting a system-wide comprehensive fare analysis study for the purpose of assessing various fare policies and pricing changes and will present potential changes to the Board for its consideration later this year. Among the fare policy issues to be analyzed, these include: Review of the Authority s current transfer policy and transfer agreements with various transit agencies. Assess the ridership and revenue implications of various system-wide fare decreases Evaluate a 25% discount for high school and college students Evaluate free or discounted fare policies utilized by other commuter rail agencies for disabled, senior, low-income and other special populations Examine the use of off-peak fares by other commuter railroads Evaluate Metrolink s current fare media options and the potential elimination of under-utilized ticket types (round-trip, 7-day pass) Summarize findings of pricing study on multi-ride tickets (10-trip, 15-trip tickets) Estimate revenue/ridership impacts of converting the round-trip ticket into a systemwide day pass Evaluate discount levels and demand for an annual pass Evaluate revenue/ridership potential of changing all monthly passes over 80 miles to a system-wide pass Develop a pricing model and make recommendations for the introduction of a Loyalty Pass based on non-linear pricing schemes 164

176 Antelope Valley Line Fare Reduction Pilot Program and System-wide Fare Analysis Study Transmittal Date: April 3, 2015 Meeting Date: April 10, 2015 Page 5 The goal is to conduct this system-wide comprehensive fare analysis study along with the results from the Antelope Valley Line fare reduction pilot program and to present the findings to the Board later this fall. Upon receiving direction from the Board on specific fare policy and/or pricing changes, the Title VI analysis and related outreach process will commence. The results of that effort will then be presented to the Board in December for a final decision, and any changes to fare pricing or policies will be instituted by January 1, Budget Impact Should the Board provide direction and approve commencement of the Antelope Valley Line fare reduction pilot program, staff will work with Metro to finalize a funding agreement which will reimburse the Authority for all marketing, programming and potential net revenue loss associated with the pilot program. The system-wide fare analysis study will be funded by the current fiscal year budget. Cost estimates are currently being developed. Prepared by: Mark Waier, Manager, Marketing and Sales Jeff Lustgarten, Director, Public Affairs Bob Turnauckas, Chief Marketing and Communications Officer Sam Joumblat Interim Chief Executive Officer 165

177 SOUTHERN CALIFORNIA REGIONAL RAIL AUTHORITY MINUTES OF THE SCRRA BOARD OF DIRECTORS REGULAR MEETING March 13, 2015 ITEM 22 BOARD MEMBERS/ALTERNATES IN ATTENDANCE: Votes OCTA: SHAWN NELSON (Chair) 1 (2 votes) GREGORY WINTERBOTTOM 1 RCTC: DARYL BUSCH (Vice-Chair) 1 (2 votes) KAREN SPIEGEL 1 Deborah Franklin VCTC: KEITH MILLHOUSE (2 nd Vice-Chair) 1 (1 vote) Brian Humphrey METRO: MICHAEL ANTONOVICH 1 1 (4 votes) DON KNABE 2 1 ARA NAJARIAN 1 Richard Katz Borja Leon 1 SANBAG: PAUL EATON 2 (2 votes) EX-OFFICIO MEMBERS State of California SCAG Ryan Chamberlain Art Brown STAFF/PRESENTERS: SAM JOUMBLAT, Interim Chief Executive Officer / Chief Financial Officer RUSSELL CASE, Director, Fare Collection Systems JENNIFER COHEN, Manager, Government and Regulatory Affairs DON O. DEL RIO, General Counsel RODERICK DIAZ, Interim Chief Planning and Project Delivery Officer GEOFFREY FORGIONE, Associate General Counsel PATRICIA FRANCISCO, Director, Human Resources FRED JACKSON, Director, System Safety and Security JEFF LUSTGARTEN, Director, Public Affairs LIA McNEIL-KAKARIS, Assistant Director, Contracts and Procurement MARGARET GONSALVES, Department Assistant, Executive Office KARI HOLMAN, Assistant to the CEO/Board Secretary 1 Director Antonovich arrived at the end of Item No Director Knabe left during the discussion of Item No. 18. One Gateway Plaza, 12 th Floor, Los Angeles, CA

178 SCRRA Board of Directors Meeting Minutes March 13, 2015 Transmittal Date: April 3, 2015 Page 2 Meeting minutes are prepared in a format that corresponds with the Board Meeting Agenda, which is incorporated by reference with these minutes. SCRRA Board Agendas are available online at under the Meetings and Agendas link or from the Board Secretary at (213) Call to Order The March 13, 2015 SCRRA Board of Directors Meeting was called to order by Chair Nelson at 10:02 a.m. at the Metro Board Room, One Gateway Plaza, 3 rd Floor, Los Angeles, CA Pledge of Allegiance Director Spiegel led the group in the Pledge of Allegiance. 2. Roll Call The Board Secretary called roll to confirm a quorum of the Board was present. 4. Public Comment At this time, Chair Nelson inquired if any members of the public wished to address the Board. There were no requests to speak; therefore the Public Comment period was then formally closed. Regular Calendar 5. At-Will Employment Agreement Chief Executive Officer Chair Nelson expressed his appreciation for the work the Ad Hoc Committee, comprised of Vice-Chair Busch, 2 nd Vice-Chair Millhouse and Director McCallon, on this item. Chair Nelson briefly reviewed the major points of the contract and inquired if members of the Ad Hoc Committee had additional information to relate. 2 nd Vice-Chair Millhouse stated that his employment would begin on April 20, 2015 instead of April 13, 2015 as noted on the agreement. Patricia Francisco, Director, Human Resources confirmed that the term of the contract would be April 20, 2015 to April 20, Upon a motion by Chair Nelson and seconded by 2 nd Vice-Chair Millhouse, the Board approved the Ad Hoc Committee s recommendation. There was no opposition and the motion passed unanimously. ACTION: The Board approved the At-Will Employment Agreement for the position of Chief Executive Officer. 167

179 SCRRA Board of Directors Meeting Minutes March 13, 2015 Transmittal Date: April 3, 2015 Page 3 6. Approval of Meeting Minutes February 27, 2015 Board of Directors Meeting ACTION: Upon a motion by Director Eaton and seconded by Vice-Chair Busch, the Board approved the minutes of the February 27, 2015 Board of Directors Meeting. There was no opposition and the motion passed unanimously. 7. Contract No. C Minor Site Modifications at Dispatch Operations Center Recommendation to Award El Engineering Corp Chair Nelson inquired if members of the Board had any questions regarding this item. No additional comments or questions were received. Upon a motion by Director Knabe and seconded by Director Eaton, the Board approved staff s recommendation. There was no opposition and the motion passed unanimously. ACTION: The Board approved and authorized the Interim Chief Executive Officer to award Contract No. C for Minor Site Modifications for the DOC to El Engineering Corp (El) the lowest and responsible bidder in the amount of $178,739 plus fifteen percent (15%) contingency of $26, for a total contract funding authorization not-to-exceed amount of $205, The award is subject to resolution of any protest timely filed. 8. Contract No. MS TVM Maintenance Services Xerox Non-Competitive Award Lia McNeil-Kakaris, Assistant Director, Contracts and Procurement provided a brief background on this item as detailed in the staff report and requested approval of staff s recommendation. Vice-Chair Busch expressed satisfaction that a phasing termination clause was included in the contract. Upon a motion by Vice-Chair Busch and seconded by Director Winterbottom, the Board approved staff s recommendation. There was no opposition and the motion passed unanimously. ACTION: The Board authorized the Interim Chief Executive Officer to negotiate and award non-competitive Contract No. MS for TVM maintenance services to Xerox Transport Solutions, Inc. (Xerox) for a contract funding authorization of $6,000,000 for a base period of fifteen months from April 01, 2015 to June 30, 2016, with two one year options. This amount includes funding for ordinary maintenance in the amount of $4,000,000 plus $2,000,000 for extraordinary work and incentives. Chair Nelson interrupted the meeting, to congratulate Art Leahy on his new appointment of Chief Executive Officer for the Authority. Art Leahy commented that he was honored to be appointed and was committed to the Board, the public, staff, and tax payers. He expressed his desire to build on national leadership, regional cooperation, while working with the Board 168

180 SCRRA Board of Directors Meeting Minutes March 13, 2015 Transmittal Date: April 3, 2015 Page 4 to enhance this system that was essential for Southern California. Chair Nelson remarked that each agency vary in their needs, and believed that Art Leahy was the right person for the Authority at this time. He added that exciting times were coming for the Authority, including implementation of online and mobile ticketing and the Board looked forward to working with him on avenues to increase ridership and aid in its overall success. 9. Contract No. SP Consultant Services Agreement to perform a Health Risk Assessment of the Central Maintenance Facility - Increase Contract Funding Authorization - Castle Environmental Consulting, LLC Chair Nelson inquired if members of the Board had any questions regarding this item. No additional comments or questions were received. Upon a motion by Director Knabe and seconded by Director Eaton, the Board approved staff s recommendation. There was no opposition and the motion passed unanimously. ACTION: The Board authorized the Interim Chief Executive Officer to amend Contract No. SP with Castle Environmental Consulting, LLC, (Consultant) to increase contract funding authorization by an amount of $50,000 for a not-to-exceed contracting funding authorization of $160,000. The current contract expires June 30, Approval of Evaluation Criteria Request for Proposal No. L Federal Legislative Representation Services; and Request for Proposal No. L State Legislative Representation Services Chair Nelson announced the item and asked if the Authority had noticed and adapted to the Republican majority changes in the Senate. Jennifer Cohen, Manager, Government and Regulatory Affairs, responded that the evaluation criteria in the item would provide someone that would cover all of the needs of the Authority, regardless of what might happen with the 2016 Presidential election and Congressional elections going forward. She noted that although congressional control could change, it was important to ensure that representation reflected the current needs of the Authority, as they had changed slightly since the current contracts for these services were awarded. Upon a motion by Director Knabe and seconded by Director Spiegel, the Board approved staff s recommendation. There was no opposition and the motion passed unanimously. ACTION: The Board approved the proposed evaluation criteria, detailed in Attachments 1 and 2, specifying a weighting of eighty percent (80%) for technical qualifications and twenty percent (20%) for the cost to retain firm(s) to provide Federal and State Legislative Representation and regulatory support. The proposed evaluation criteria summarized below and detailed in Attachments 1 and 2 are consistent with the format and guidelines in the Board-adopted Contract Administration and Procurement Policies and Procedures, CON-7, Technical and Cost Criteria and Weights. 169

181 SCRRA Board of Directors Meeting Minutes March 13, 2015 Transmittal Date: April 3, 2015 Page 5 Chair Nelson noted that the agenda would be taken out of order. 17. Contract No. H Installation of a Mobile Online Ticketing and Maintenance System Recommendation to Award Masabi, LLC Lia McNeil-Kakaris, Assistant Director, Contracts and Procurement provided a brief background on this item as detailed in the staff report and requested approval of staff s recommendation. Director Knabe asked if this mobile application would have the ability to handle transfers. Russell Case, Director, Fare Collection Services, stated that a parallel development effort would be needed between Los Angeles County Metropolitan Transportation Authority (Metro), the Authority, and the ticket vendors in order to allow passengers to pass through the Metro gates. Lia McNeil-Kakaris stated that Masabi, LLC provided an option for interoperability in their proposal. Director Knabe expressed his concerns and noted that he believed a transfer option via mobile/online would be critical. Sam Joumblat, Interim Chief Executive Officer, stated that the Metro gates were not equipped with optical readers to allow passengers to pass through the gates. Director Knabe questioned if it was a hardware or software issue. Sam Joumblat replied that hardware was needed to read the Quick Response (QR) code on the ticket or mobile device. Chair Nelson stated that Metro s system currently required a Transit Access Pass (TAP) card to pass through the gates and an upgrade to their system would be needed to include mobile application functionality. Sam Joumblat stated that the Authority would continue to research ways to allow passengers using the online / mobile application to transfer to the Metro system. He added that passengers would continue to have the option of purchasing a TAP-enabled paper ticket. Russell Case commented that the vendors who proposed were also required to offer ideas of how they would handle the transfers to the Metro system. Chair Nelson asked what Masabi, LLC had added as their option in this case. Russell Case replied that Masabi had used a Bluetooth devise on a previous procurement that proved successful with a gate system at other agencies who used the same system as Metro. Chair Nelson inquired as to what Metro s response had been thus far regarding their system. Russell Case explained that over the past few weeks he had learned that Metro was willing to work with the Authority and share technologies. He added that Metro was also in the process of evaluating their mobile application request for proposal (RFP) responses and could work with the respective vendors to resolve. Director Leon stated that he was in support of this item and requested staff to report back on a development effort and the related detailed costs for the Board to review. Chair Nelson believed it was critical to move this item forward. Director Spiegel wanted to reconfirm that Metro was the only member agency that would have problems with transfers. Russell Case confirmed that all other transfers throughout the system would work with this online / mobile application. Director Spiegel asked if a passenger was on board the train without a ticket, would they be able to purchase a ticket from the conductor. Russell Case replied that they would be able to do so. Director Spiegel inquired as to the implementation timeline. Russell 170

182 SCRRA Board of Directors Meeting Minutes March 13, 2015 Transmittal Date: April 3, 2015 Page 6 Case responded that the timeline would be six months from notice-to-proceed, and would be rolled out in a staged implementation. 2 nd Vice-Chair Millhouse asked if a passenger was able to purchase a ticket on the train, what would stop them from not purchasing a ticket until they were checked by a conductor, in an attempt to beat the system. Russell Case stated that there would be parameters in the mobile application to configure around people gaming the system and noted that on-board ticket purchases from a conductor would be at a premium price. Director Knabe introduced an amendment to the motion asking the Interim Chief Executive Officer to: 1. ensure that the mobile ticketing application allows the option for passengers to purchase a form of fare that includes a built-in transfer to Metro and; 2. to work with Metro to determine what steps Metro can take to upgrade its current TAP system to be compatible with the planned Metrolink mobile ticketing application. Art Leahy, Metro s Chief Executive Officer, noted that Metro had been working with the Authority and other area transit facilities to come up with a fare collection system that allows for transferability. Upon a motion by 2 nd Vice-Chair Millhouse and seconded by Director Spiegel, the Board approved staff s recommendation as amended. There was an amendment motioned by Director Knabe, and there was no opposition and the motion passed unanimously. ACTION: The Board approved and authorized the Interim Chief Executive Officer to award Contract No. H Procurement of a Mobile/Online Ticketing Platform & System Maintenance and, to ensure that the mobile ticketing application allows the option for passengers to purchase a form of fare that includes a built-in transfer to Metro and, to work with Metro to determine what steps Metro can take to upgrade its current TAP system to be compatible with the planned Metrolink mobile ticketing application. 11. State and Federal Legislative Update Jennifer Cohen, Government & Regulatory Affairs Manager, provided an update on current state and federal legislative affairs. She recounted her recent trip to Washington DC for the APTA Legislative Summit and provided updates on the expiration of Moving Ahead for Progress in the 21st Century Act (MAP-21) at the end of May 2015, The Passenger Rail Reform and Investment Act of 2015 (PRRIA), the Highway-Rail Grade Crossing Safety Act of 2015, Positive Train Control related legislation and lawsuits pertaining to Public Employees Pension Reform Act (PEPRA) and public transportation employees. 171

183 SCRRA Board of Directors Meeting Minutes March 13, 2015 Transmittal Date: April 3, 2015 Page 7 Jennifer Cohen also noted that February 27, 2015 was the state legislature s last day to introduce bills. She stated that there were over twenty-two bills related to Cap and Trade introduced this session and that she would be attending a hearing on cap and trade scheduled for March 26, Subsequent updates will be provided to the Board. ACTION: The Board received and filed this report. 12. Railroad Safety and Positive Train Control Extension Act Work with Author Jennifer Cohen, Government & Regulatory Affairs Manager, provided a brief background on this item as detailed in the staff report and requested approval of staff s recommendation. 2 nd Vice-Chair Millhouse commented that he would request that language be included that freight railroads seek early implementation on areas where commuter rail has Positive Train Control (PTC) operational. Chair Nelson agreed that although it is important to have PTC across the country, the crux of the issue was to ensure PTC interoperability throughout Southern California to cover the areas that Metrolink serves. Upon a motion by Director Knabe and seconded by 2 nd Vice-Chair Millhouse, the Board approved staff s recommendation as amended. There was an amendment motioned by 2 nd Vice-Chair Millhouse, and there was no opposition and the motion passed unanimously. ACTION: The Board took a WORK WITH AUTHOR position considering a shorter extension for freight railroads to have Positive Train Control (PTC) interoperability with commuter railroads already operating a PTC system. 13. Compensation Report FY Third Quarter (Second Partial) February 15, 2015 through March 16, 2015 Chair Nelson inquired if members of the Board had any questions regarding this item. No additional comments or questions were received. ACTION: The Board received and filed this report. 14. Antelope Valley Line Fare Enforcement Update Jeff Lustgarten, Director, Public Affairs, provided a brief background on this item as detailed in the staff report. Director Antonovich commended staff for their efforts of this fare enforcement pilot program and noted that passengers also expressed that they were pleased with this program. Jeff Lustgarten replied that he too had received positive feedback from riders. 172

184 SCRRA Board of Directors Meeting Minutes March 13, 2015 Transmittal Date: April 3, 2015 Page 8 Director Eaton asked staff had an amount of lost revenue. Jeff Lustgarten explained that it was too early in the program to determine the lost revenue, adding that another factor that had impacted their obtaining accurate data was due to the broken ticket vending machines. Chair Nelson stated that the Authority had some other issues to resolve prior to fully understanding the benefits of the fare enforcement pilot program. 2 nd Vice-Chair Millhouse believed that staff could have provided a ballpark estimate based on the information provided. Director Spiegel inquired if this program affected any existing contracts in place. Jeff Lustgarten responded that the pilot program was funded in whole by Metro, and therefore, any additional staff would be paid separately, not effecting existing contracts in place. He also added that having the assistant conductor on the train was an added benefit to the Authority allowing the conductor to focus on his duties which first and foremost was safety. He explained that the Authority used a one conductor per train set model which was at the low end for a commuter rail. Director Spiegel asked when this item would be brought back to the Board for additional updates. Jeff Lustgarten replied that staff would provide additional updates prior to adoption of the FY budget and would include some additional information and alternatives to the system wide assistant conductor approach. Sam Joumblat, Interim Chief Executive Officer, thought that the benefits of this program could expand beyond the 1% evasion rate captured thus far, and hopefully would change behavior of previous fare evaders. Director Eaton asked if, under the current contract, Amtrak was performing all checks required. Sam Joumblat answered that the conductors were complying with the terms of the contract, however, the Authority was considering amending the contract to increase the number of required fare checks. ACTION: The Board received and filed this report. 15. American Public Transportation Association Peer Review Panel Security Manpower Analysis Fred Jackson, Director, System Safety and Security, provided a brief background on this item as detailed in the staff report. Director Knabe asked if security staff fluctuated with peak hours. Fred Jackson replied that depending on what events or incidents were happening throughout the Authority, staff would be moved to accommodate the needs. ACTION: The Board received and filed this report. 173

185 SCRRA Board of Directors Meeting Minutes March 13, 2015 Transmittal Date: April 3, 2015 Page Strategic Plan Update Roderick Diaz, Chief Planning and Project Delivery Officer, provided a brief background on this item as detailed in the staff report. Chair Nelson asked when the item would be brought back to the Board. Roderick Diaz replied that the Strategic Plan would be brought back to the Board in June or July of ACTION: The Board received and filed this report. 18. Interim Chief Executive Officer s Authority Update Sam Joumblat, Interim Chief Executive Officer / Chief Financial Officer discussed the following: Board communication during incidents had been improved. The Board would be notified of level 1 and 2 incidents via . Level 3 incidents would possibly be communicated through a virtual chat room or Board conference call. Stations were re-named on the Authority s website to make them easier to find. Staff researched having Wi-Fi on trains and would return to the Board in April 2015 to report findings. Staff researched adding electrical outlets to railcars and noted that the cost would be roughly $20,000-$25,000 per car to have outlets at every seat set and pending Board approval could be added during the cars scheduled rehabilitation. The Authority would be installing an Automatic Passenger Counter (APC) to a single train set in March 2015 and would start their pilot project in April Staff finished the Oracle Enhancement Project, staying within budget. Human Resources implemented electronic pay stub delivery and had a 40% acceptance from staff. The Authority was in the process of having the front seats in cab cars removed of which 18 of the 57 cab cars had been completed. He noted that first aid kits were on all trains behind a plexi-glass cover which required the crew to open with a key. These covers could be replaced with a breakable cover for under $10,000. Staff was designing decals for train cars providing a number to call to report problems onboard the trains. The Authority was working with CicLAvia organizers to undertake a joint marketing effort for the upcoming March 22, 2015 event. The Authority was exploring the possibility of competing for a highly competitive Federal Emergency Management Agency (FEMA) transit security grant. 174

186 SCRRA Board of Directors Meeting Minutes March 13, 2015 Transmittal Date: April 3, 2015 Page Chair s Comments Chair Nelson had no comments and referred to the Board members for their comments. 20. Board Members' Comments Director Spiegel asked if replacing the plexi-glass on the first aid kits would cost $10,000 per car or for entire fleet. Sam Joumblat replied that the $10,000 would be to the cost for the entire fleet.. Director Spiegel then asked if the electrical outlets would be in every row. Sam Joumblat stated that they would be at every seat set. 2 nd Vice-Chair Millhouse stated that the Board had asked about the plugs because there were so few on the train and there was no signage to alert passengers as to where electrical outlets were located. He noted that the first aid kits on the Rotem cars were very hard to find. 2 nd Vice-Chair Millhouse thanked Gary Lettengarver, Chief Operations Officer, for removing the seats behind the cab cars, which also pleased the engineers.. 2 nd Vice-Chair Millhouse asked Jennifer Cohen, Manager, Government and Regulatory Affairs, if she could provide the Board with information for the American Passenger Transportation Authority (APTA) Rail Conference coming up in June. He also suggested staff become more engaged with APTA conferences in terms of providing presentations, as the Authority had implemented Positive Train Control (PTC) and many who speak on this topic are currently in the initial/design stages. 2 nd Vice- Chair Millhouse asked that the Authority change the number for train 666. Sam Joumblat noted that the locomotive number was in the process of being changed. Director Leon requested staff provide a report on the Authority s interaction with crude oil as there had been some recent accidents in the news with crude oil rail. He asked for safety measures taken as well as communication and coordination efforts to be included. Art Brown asked that the meeting be closed in the memory of Ken Ruben, a long time attendee of Metrolink Board meetings and supporter of the Authority. Director Katz asked staff to reach out to Metro and other Member Agencies to partner with to obtain a larger passenger reach to implement Wi-Fi. He also noted that on Sunday at 11:00am there would be a memorial held at the ticket booth room in Los Angeles Union Station for the Authority s recently deceased engineer, Glenn Steele. Chair Nelson stated that today s meeting would be adjourned in the memory of Glenn Steele, the Authority s train engineer of Train 102. CLOSED SESSION The Board convened into Closed Session at 11:20 a.m. to discuss Item No. 15 a., and b., and reconvened in Open Session at 11:29 a.m., at which time Counsel indicated there were no reportable actions from Closed Session. 175

187 SCRRA Board of Directors Meeting Minutes March 13, 2015 Transmittal Date: April 3, 2015 Page Closed Session a. CONFERENCE WITH LEGAL COUNSEL EXISTING LITIGATION Pursuant to Government Code Section (d)(1) - The Estate of Alana Kerr, et al. v. Southern California Regional Rail Authority, et al.; Riverside County Superior Court case no. RIC b. CONFERENCE WITH LEGAL COUNSEL Anticipated Litigation Pursuant to Government Code Section (d)(2) (1 potential case) 22. ADJOURNMENT The meeting was adjourned in the memory of Glenn Steele, the Authority s train engineer of Train 102. There being no further business for consideration by the Board, the meeting was adjourned at 11:30 a.m. Respectfully Submitted, Kari Holman, Assistant to the CEO/Board Secretary 176

188 SOUTHERN CALIFORNIA REGIONAL RAIL AUTHORITY TRANSMITTAL DATE: April 3, 2015 MEETING DATE: April 10, 2015 ITEM 23 TO: FROM: SUBJECT: Issue Board of Directors Interim Chief Executive Officer Approval to Perform Chief Executive Officer Non-Audit Advisory Services Internal Audit would like to accommodate Chief Executive Officer (CEO) requested nonaudit related advisory services without formal Executive Management and Audit Committee (EMAC) approval. Recommendation The Executive Management and Audit Committee recommends the Board provide Internal Audit the authority to accommodate CEO requested non-audit services without formal approval from the EMAC/Board each time a CEO request is made. Initiation of CEO requests will be communicated to the Committee at subsequent EMAC meetings. Committee Review The Executive Management and Audit Committee reviewed and approved this item at its meeting held on March 13, Alternatives The Board may direct staff to seek approval from the Committee prior to initiating non-audit services requested by the CEO. Background Internal Audit has the ability to serve as a resource to Metrolink by providing non-audit related advisory services to management. Internal Audit would like to establish a process to perform advisory services that are requested by the CEO. Examples of potential advisory services could be as follows: 1. Providing input on the design of a new process. 2. Reviewing the design of controls and providing suggestions for improvement. Consulting services are defined as advisory and related client service activities, the nature and scope of which are agreed with the client, intended to add value and improve an One Gateway Plaza, 12 th Floor, Los Angeles, CA

189 Approval to Perform Chief Executive Officer Non-Audit Advisory Services Transmittal Date: April 3, 2015 Meeting Date: April 10, 2015 Page 2 organization s governance, risk management, and control processes without the internal auditor assuming management responsibility. As a consultant, the internal auditor would give advice and suggest changes to improve the department. Management would need to make the final decision as to which suggestions made by the Internal Audit Department are implemented. Budget Impact There is no immediate budget impact as a result of this status report. Prepared by: David Rogers, Senior Auditor Elisabeth Lazuardi, Senior Auditor Sam Joumblat Interim Chief Executive Officer 178

190 SOUTHERN CALIFORNIA REGIONAL RAIL AUTHORITY TRANSMITTAL DATE: April 3, 2015 MEETING DATE: April 10, 2015 ITEM 24 TO: FROM: SUBJECT: Board of Directors Interim Chief Executive Officer Continuation of Audit #2014_03 Audit of Fare Revenue Reconciliation Process and Data Integrity Issue The Internal Audit Department is requesting Executive Management and Audit Committee s concurrence to continue with Audit #2014_03 Audit of Fare Revenue Reconciliation Processes and Data Integrity. Recommendation The Executive Management and Audit Committee recommends the Board concur with the continuation of this audit. Committee Review The Executive Management and Audit Committee reviewed and approved this item at its meeting held on March 13, Alternatives The Board may defer continuation of this audit until the approval of the Audit Plan. Background Internal Audit had already initiated the performance audit #2014_03 Audit of Fare Revenue Reconciliation Processes and Data Integrity during the 2014 calendar year, however the audit was placed on hold in November The audit was broad in nature and examined 5 primary items of the Fare Revenue Process: 1. Review of Ticket Vending Machine cash collection processes by third party contractor and how those processes are monitored internally. 2. Review of Credit Card collection process (from the point in time where a customer pays for a ticket with their credit card at the Ticket Vending Machine (TVM) to the actual deposit of cash into the bank). 3. Review of Data Integrity of Ticket Vending Machine sales transactions. 4. Review of controls over ticket inventory located at third party contractor location. One Gateway Plaza, 12 th Floor, Los Angeles, CA

191 Continuation of Audit #2014_03 Audit of Fare Revenue Reconciliation Process and Data Integrity Transmittal Date: March 6, 2015 Meeting Date: March 13, 2015 Page 2 5. Review of Fare Revenue Reconciliation Processes (Reconciliation of ticket sales to cash received in bank to the general ledger). Internal Audit was in the fieldwork stage prior to November 2014 when the audit was placed on hold. At the current time, Internal Audit would like to continue performing testing on items 1-4. Item 4 would require the Internal Audit Department to conduct inventory testing of ticket stock at the third party contractor location. Internal Audit would like to continue item 5 above at a subsequent date after the completion of the Comprehensive Annual Financial Report (CAFR). Budget Impact There is no immediate budget impact as a result of this status report. Prepared by: David Rogers, Senior Auditor Elisabeth Lazuardi, Senior Auditor Sam Joumblat Interim Chief Executive Officer 180

192 SOUTHERN CALIFORNIA REGIONAL RAIL AUTHORITY TRANSMITTAL DATE: April 3, 2015 MEETING DATE: April 10, 2015 ITEM 25 TO: FROM: SUBJECT: Board of Directors Interim Chief Executive Officer Internal Audit Department Update Issue The following status of audit activities of the Audit Department at Southern California Regional Rail Authority (Authority) is provided for informational purposes. Recommendation The Board may receive and file this report. Committee Review The Executive Management and Audit Committee received and filed this report at its meeting held on March 13, Background I. Internal Audit Activities: A. Continuing Professional Education (CPE) Internal Audit Staff have recently completed staff training provided by the Institute of Internal Auditors related to Auditing Fraud/IT Auditing on February 23-24, B. Pre-award contract audits for Contract No. E On-Call Professional Engineering Design Services Bench for three prime contractors are in the final stage. Internal Audit has issued audit reports for two prime contractors and submitted a draft report for the one remaining prime contractor to the Contracts and Procurement department for review and negotiations. C. Pre-award contract audits for Contract No. E Project Management, Construction Management and Staff Assistance Services Bench for four prime contractors is anticipated to commence in March On January 23, 2015, the Board approved and authorized the Interim Chief Executive Officer to award contracts with four firms and enter into the negotiation process. The contract amount is $10,000,000 for the three-year base term with a single two-year option for each of the four contracts. One Gateway Plaza, 12 th Floor, Los Angeles, CA

193 Internal Audit Department Update Transmittal Date: April 3, 2015 Meeting Date: April 10, 2015 Page 2 II. External Audits Financial and Governmental Audit Updates A. Federal and State Required Audit Comprehensive Annual Financial Report (CAFR) and Single Audit are currently in progress. External auditors Moss Adams have been working directly with the Finance Department in connection with fieldwork. Internal Audit has been monitoring the progress of the audit. B. State Controller s Office (SCO) Audits Three audits are in progress with the SCO as follows: Budget Impact 1. Trade Corridor Improvement Fund (TCIF), New Siding on the Antelope Valley Line project, Project Agreement No. 75A0337. The State Controller s Office (SCO) completed their audit, submitted a draft report of findings, and Authority management issued a written response to the State Controller s Office to those draft findings on February 6, 2015 and are currently awaiting the final audit report. The Authority s representatives are working with Caltrans to address any issues raised by the audit. 2. Audit of the Highway Railroad Crossing Safety Account Dana Point and San Clemente Crossing Safety Enhancements is in the final stage. The exit conference with the Orange County Transportation Authority (OCTA) (the implementing agency) is anticipated to occur in mid to late March with OCTA in accordance with discussions with the State Controller Auditor. The Authority was the third party contractor engaged by OCTA to manage the project. 3. Audit of Intercity Rail Improvement (IRI) Sealed Corridor Project Agreement 75A0253, A/2 and A/3 is in the report writing stage. The exit conference is anticipated to occur at the end of March There is no immediate budget impact as a result of this status report. Prepared by: David Rogers, Senior Auditor Elisabeth Lazuardi, Senior Auditor Sam Joumblat Interim Chief Executive Officer 182

194 Item No. 26 Ticket Vending Machine Availability and Performance TVM Status Update Operational improvements have been seen with significant corrective action still ahead Central Processing Unit (CPUs) updated o Initial software glitches have been resolved New ticket stock was delivered in January o Stock installed to the most utilized TVMs in mid-january o Will continue to replace new stock across the system 2 teams of employees dispatched to assist customers during monthly pass sales period at LAUS to support Vendor technical support hours have been expanded o Start onsite at 6:00am o Evaluating an earlier start time of 5:00am 2 183

195 Item No. 26 Ticket Vending Machine Number of Reported Issues JUL 14 AUG 14 SEP 14 OCT 14 NOV 14 DEC 14 JAN 15 3 Ticket Vending Machine Availability** 100% 88.91% 89.25% 91.98% 90% 80% 76.27% 70.19% 71.78% 69.38% 70% 60% 50% 40% 30% 20% 10% 0% Jul 76.27% Aug 70.19% Sep 71.78% Oct 69.38% Nov 88.91% Dec 89.25% Jan 91.98% **These figures exclude TVMs that have been vandalized and remain out of service

196 Item No