BOARD OF DIRECTORS JULY 26, 2019

BOARD OF DIRECTORS

JULY 26, 2019

BOARD ROSTER SOUTHERN CALIFORNIA REGIONAL RAIL AUTHORITY

County Member Alternate Ventura: Brian Humphrey (Chair) [CURRENTLY AWAITING 1 vote Citizen Representative APPOINTMENT] VCTC Board Los Angeles: Ara Najarian (Vice-Chair) Walter Allen, III 4 votes Mayor Council Member City of Glendale City of Covina Metro Board Metro Appointee Kathryn Barger Roxana Martinez Supervisor, 5th District Metro Appointee County of Los Angeles Metro Board Paul Krekorian Pam O’Connor Councilmember, 2nd District Metro Appointee City of Los Angeles Metro Board Hilda Solis Paul Philips Supervisor, 1st District Metro Appointee County of Los Angeles Metro Board San Bernardino: Larry McCallon (2nd Vice-Chair) Javier Dutrey* 2 votes Mayor Pro Tem Mayor City of Highland City of Montclair SBCTA Board SBCTA Board Alan D. Wapner Ray Marquez* Council Member Council Member City of Ontario City of Chino Hills SBCTA Board SBCTA Board

SCRRA Board of Directors Roster Page 2

Updated: 04.18.19

Orange: Andrew Do Doug Chaffee* 2 votes Supervisor, 1st District Supervisor, 4th District County of Orange County of Orange OCTA Board OCTA Board Gregory T. Winterbottom Joseph Muller* Public Member Mayor OCTA Board City of Dana Point OCTA Board Riverside: Andrew Kotyuk Brian Berkson* 2 votes Mayor Pro Tem Mayor City of San Jacinto City of Jurupa Valley RCTC Board RCTC Board Karen Spiegel [CURRENTLY AWAITING Supervisor, 2nd District APPOINTMENT]* County of Riverside RCTC Board EX-OFFICIO MEMBERS San Diego Association of Governments: [CURRENTLY AWAITING APPOINTMENT] Contact: Linda Culp Principal Planner – Rail Southern California Association of Governments: Art Brown Mayor, City of Buena Park State of California: John Bulinski District Director, Caltrans District 7 Alternate: Paul Marquez Deputy District Director for Planning, Caltrans District 7 *Alternate represents either member

BOARD OF DIRECTORS MEETING

FRIDAY, JULY 26, 2019 – 9:00 A.M. CROWNE PLAZA VENTURA BEACH

450 E HARBOR BLVD VENTURA, CA 93001

TOP OF THE HARBOR ROOM

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. A person with a disability may contact the Board Secretary’s office at (213) 452-0255 or via email [email protected] 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 900 Wilshire Blvd., Suite 1500, Los Angeles, CA 90017, and on the Metrolink website at www.metrolinktrains.com/meetings 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 5 (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. Safety Briefing

REVISED JULY 24, 2019

ITEM NO. 7 HAS BEEN WITHDRAWN

mailto:[email protected]

http://www.metrolinktrains.com/

Board of Directors Meeting Agenda Transmittal Date: July 19, 2019 Meeting Date: July 26, 2019 Page 2

2. Call to Order

3. Pledge of Allegiance

4. Roll Call

5. Public Comment

REGULAR CALENDAR

6. Contract No. EN108-14 – On-Call Emergency Response for Fuel and Bio-

Hazard Cleanup, Environmental Compliance and Consulting Services – Increase Contract Funding Authorization – Burns & McDonnell Additional funding is necessary for on-call emergency response services to provide assistance with the cleanup and remediation of fuel spills, cleanup of biohazards as a result of trespassing-related fatalities and removal of homeless encampments along the right-of-way, and environmental compliance at Metrolink maintenance and outlying layover facilities. The current contract for these services with Burns & McDonnell will expire on September 30, 2019. It is recommended that the Board authorize the Chief Executive Officer to increase contract funding authorization for Contract No. EN108-14, with Burns & McDonnell, by $200,000, from $1,749,500 to a new not-to-exceed contract funding authorization of $1,949,500. The amounts for which contract authority is requested are included in the Adopted Operating Budget for FY2019-20 ($200,000).

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7. Contract No. QM161-19 – External Disadvantaged Business Enterprise and Labor Compliance Services – Recommendation to Award –GCAP Services, Inc., Padilla & Associates Inc., The Solis Group The Authority requires a bench of consultants to administer its Disadvantaged Business Enterprise (DBE) and Labor Compliance (LC) programs and perform ongoing enforcement to ensure that Authority’s contractors comply with all applicable state and federal laws and regulations. It is recommended that the Board authorize the Chief Executive Officer (CEO) to award bench Contract No. QM161-19 for External DBE and LC Services to the following firms: • GCAP Services, Inc.

• Padilla & Associates Inc.


• The Solis Group The contract term will be for five years with a single one-year extension option. The not-to-exceed amount for the base period of the contract is $6,000,000, plus $1,200,000 for the option year for a total contract funding authorization of $7,200,000. The amounts for which contract authority is requested are included in the Adopted Operating Budget for FY2019-20 ($1,200,000). Funding for subsequent years will be requested through the annual budget or an equivalent process. There is no financial commitment with respect to subsequent years and work will be authorized only if funding is approved.

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8. Contract No. SP510-20 – Financial Advisory Services – Recommendation to Award – PFM Financial Advisors LLC and Sperry Capital, Inc The Authority requires financial advisory services to comply with Federal Transit Administration (FTA) grant requirements and to support the Rail Operations, Maintenance, and Support Services contract. It is recommended that the Board authorize the Chief Executive Officer (CEO) to award bench Contract No. SP510-20 for Financial Advisory Services to the following firms: • PFM Financial Advisors LLC

• Sperry Capital, Inc. The contract term will be for three years. The total not-to-exceed amount is $450,000. The amount for which contract authority is requested is included in the Adopted Operating Budget for FY2019-20 ($200,000). Funding for subsequent years will be requested through the annual budget or an equivalent process ($250,000). There is no financial commitment with respect to subsequent years and work will be authorized only if funding is approved.

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9. Adoption of Revised Procurement and Contracting Policies The Authority’s procurement and contracting policies do not include recent federal regulations that provide opportunities to streamline processes. In addition, the current policies need revision to incorporate best practices in procurement as well as to allow for the submission of unsolicited proposals from the private sector. It is recommended that the Board adopt the revised Procurement and Contracting Policies (Attachment A of the staff report. There is no budgetary impact as a result of this report.

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10. Adoption of Third-Party Agreement Policies The Authority does not currently have a policy for third-party agreements. Implementation of such a policy will optimize staff time, accelerate project delivery and modernize of business practices. It is recommended that the Board adopt the attached Third-Party Agreement Policy (Attachment A of the staff report). There is no budgetary impact as a result of this report.

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11. Adoption of Revised Finance Policy

Approval is needed for revision to current Board-adopted Finance Policy 1.2, Budget Control and Reporting to streamline approvals and clarify roles and responsibilities. It is recommended that the Board approve the updates to Finance Policy 1.2. There is no budgetary impact as a result of this report.

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12. Sale of Decommissioned Legacy Locomotives Approval is required to place up to 27 decommissioned legacy locomotives up for auction. It is recommended that the Board delegate authority to the Chief Executive Officer to place up to 27 decommissioned legacy locomotives up for auction. Sales proceeds will be handled in accordance with State and Federal guidance.

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13. Board Member – Approval for Travel Director O’Connor is requesting approval from the Board for two upcoming American Public Transportation Association (APTA) conferences. It is recommended that the Board approve travel for Director O’Connor to attend: 1) APTA Sustainability and Multimodal Planning Workshop – July 28-31, 2019

2) APTA TRANSform Conference (reimagined APTA Annual Meeting) October 13-

16, 2019 The amounts for which approval is requested are included in the Adopted Operating Budget for FY2019-20.

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14. Approval of Meeting Minutes – June 28, 2019 Board of Directors Meeting It is recommended that the Board approve the Minutes of the June 28, 2019 Board of Directors Meeting.

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15. Chief Executive Officer’s Report ▪ Authority Update

16. Board Members' Comments

17. Chair’s Comments

18. ADJOURNMENT

NEXT BOARD MEETING: SEPTEMBER 13, 2019

TRANSMITTAL DATE: July 19, 2019 MEETING DATE: July 26, 2019 ITEM 6 TO: Board of Directors FROM: Stephanie Wiggins, Chief Executive Officer SUBJECT: Contract No. EN108-14 – On-Call Emergency Response

for Fuel and Bio-Hazard Cleanup, Environmental Compliance and Consulting Services – Increase Contract Funding Authorization – Burns & McDonnell

Issue Additional funding is necessary for on-call emergency response services to provide assistance with the cleanup and remediation of fuel spills, cleanup of biohazards as a result of trespassing-related fatalities and removal of homeless encampments along the right-of-way, and environmental compliance at Metrolink maintenance and outlying layover facilities. The current contract for these services with Burns & McDonnell will expire on September 30, 2019. Recommendation It is recommended that the Board authorize the Chief Executive Officer to increase contract funding authorization for Contract No. EN108-14, with Burns & McDonnell, by $200,000, from $1,749,500 to a new not-to-exceed contract funding authorization of $1,949,500. Strategic Goal Alignment This report aligns with the strategic goal to ensure a safe operating environment by ensuring cleanup of the right-of-way following incidents and ensuring compliance with environmental regulations. Background On October 11, 2013, following a competitive procurement, the Board awarded Contract No. EN108-14 for On-Call Emergency Response for Fuel and Bio-Hazard Cleanup, Environmental Compliance and Consulting Services to Burns & McDonnell for a not-to-exceed amount of $750,000 for a three-year base term, with one two-year option. In August 2016, the Authority amended the contract under the Chief Executive Officer’s

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Contract No. EN108-14 – On-Call Emergency Response for Fuel and Bio-Hazard Cleanup, Environmental Compliance and Consulting Service – Increase Contract Funding Authorization Transmittal Date: July 19, 2019 Meeting Date: July 26, 2019 Page 2

authority to increase the funding authorization by $112,500, for a new not to exceed amount of $862,500, due to increased number of emergency responses. At its December 9, 2016 meeting, the Board exercised the two-year option and increased the contract funding authorization for a new not-to-exceed amount of $1,622,500. At the October 26, 2018 Board meeting, the Board increased the contract funding authority by $127,000, for a new not-to-exceed contract funding authorization of $1,749,500. The current contract will expire on September 30, 2019. The Contract and Amendments (if applicable) can be found here.

Discussion The additional funds are needed due to the increased number of incidents that have occurred along Metrolink’s right-of-way, requiring biohazard removal services, as well as due to an increase in the need for biohazard removal services associated with the removal of homeless encampments along the right-of-way. On-call emergency response services are required for an emergency, accident or other unforeseen situation where clean-up services of spilled diesel fuel or biohazard materials may be needed, or other miscellaneous environmental cleanup activities along Metrolink’s right-of-way. In addition, environmental compliance services, such as the annual storm water monitoring program at the Central Maintenance Facility (CMF), Eastern Maintenance Facility (EMF), and South Perris as required by the California Regional Water Quality Control Board and other non-emergency environmental compliance and consulting services, is also provided for under Contract No. EN108-14. The Authority issued Request for Proposals (RFP) No. EN109-19 on June 25, 2019 to procure a new contract for On-Call Emergency Response, Environmental Compliance, and Consulting Services. Proposal were due on July 8, 2019. The Authority is currently evaluating the proposals with the goal of bring to the Board a recommendation to award on September 13, 2019. Disadvantaged Business Enterprise (DBE)/Small Business Enterprise (SBE) Requirements This project is not federally funded; therefore, the DBE/SBE program is not applicable.

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https://www.metrolinktrains.com/contract-documents

Contract No. EN108-14 – On-Call Emergency Response for Fuel and Bio-Hazard Cleanup, Environmental Compliance and Consulting Service – Increase Contract Funding Authorization Transmittal Date: July 19, 2019 Meeting Date: July 26, 2019 Page 3

Budget Impact The amounts for which contract authority is requested are included in the Adopted Operating Budget for FY2019-20 ($200,000). Prepared by: Sonny Ibrahim, Interim Director, Contracts, Procurement, and

Materials Management Don Filippi, Interim Chief, Safety, Security & Compliance Anne Louise Rice, Interim Chief Strategy Officer

Don Filippi Interim Chief, Safety, Security & Compliance

Anne Louise Rice Assistant Director, Grants

Todd McIntyre Chief Strategy Officer

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TRANSMITTAL DATE: July 19, 2019 MEETING DATE: July 26, 2019 ITEM 7 TO: Board of Directors FROM: Stephanie Wiggins, Chief Executive Officer SUBJECT: Contract No. QM161-19 – External Disadvantaged

Business Enterprise and Labor Compliance Services – Recommendation to Award –GCAP Services, Inc., Padilla & Associates Inc., The Solis Group

Issue The Authority requires a bench of consultants to administer its Disadvantaged Business Enterprise (DBE) and Labor Compliance (LC) programs and perform ongoing enforcement to ensure that Authority’s contractors comply with all applicable state and federal laws and regulations. Recommendation It is recommended that the Board authorize the Chief Executive Officer (CEO) to award bench Contract No. QM161-19 for External DBE and LC Services to the following firms:

• GCAP Services, Inc. • Padilla & Associates Inc. • The Solis Group

The contract term will be for five years with a single one-year extension option. The not-to-exceed amount for the base period of the contract is $6,000,000, plus $1,200,000 for the option year for a total contract funding authorization of $7,200,000. Strategic Goal Alignment This action aligns with the strategic goal to improve organization efficiency by ensuring compliance with statutory and regulatory DBE and Labor Compliance requirements associated with receiving state and federal grant funding.

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Contract No. QM161-19 – External Disadvantaged Business Enterprise and Labor Compliance Services – Recommendation to Award Transmittal Date: July 19, 2019 Meeting Date: July 26, 2019 Page 2

Background The Authority administers a Disadvantaged Business Enterprise (DBE) Program as a condition of financial assistance from the Department of Transportation (DOT). The Authority received DOT/Federal Transit Administration (FTA) and Board approval to re-instate race-conscious DBE Program elements, including contract-specific DBE goals, on the Authority’s FTA-assisted procurements on December 18, 2013 and April 11, 2014 respectively. The Authority uses both race-conscious and race-neutral measures to meet its 12% overall DBE goal for the three federal fiscal years (FFY) beginning October 1, 2018 and ending September 30, 2021. For procurements with an established DBE goal, prime bidders/proposers must demonstrate their commitment to meet the goal, or submit a Good Faith Effort (GFE), to be deemed responsive to DBE Program requirements. The Authority also administers a Labor Compliance Program pursuant to prevailing wage and other labor compliance requirements applicable to State and federally-assisted public works contracts. The Authority’s current contract with Padilla & Associates Inc. for DBE and LC services, Contract No. QM152-15, was awarded on February 2015 and has been amended to extend the period of performance to December 31, 2019. Procurement Approach On September 28, 2018, the Board approved the following evaluation criteria for Request for Proposals (RFP) No. QM161-19:

Criteria Weight Qualifications of Proposer 25% Work Plan 25% Past Performance 20% Interview 10% Technical Total 80% Cost 20% Total 100%

The Authority issued the RFP on May 16, 2019 and 969 vendors registered with the Authority’s vendor portal were notified electronically. Thirty firms downloaded the solicitation documents. The Authority hosted a Pre-Proposal Conference on May 23, 2019, in which seven firms participated. The Authority received, by the June 20, 2019 proposal submission deadline, six proposals from:

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A Technical Evaluation Committee evaluated the technical proposals of all six firms. Four firms met the minimum technical score of 49 points and were invited to participate in an interview on July 9, 2019. The price proposals were evaluated following the interviews of four firms that had a minimum average technical score of 56 points. The following scores are below: Firm Name Technical Score Price Score Total Score Armand Resources Group, Inc. 59.2 6.1 65.3 GCAP Services, Inc. 68.0 10.9 78.9 Padilla & Associates Inc. 69.4 20.0 89.4 The Solis Group 57.3 18.2 75.5 Based on the technical and price proposal evaluation, it is recommended that GCAP Services Inc, Padilla & Associates and The Solis Group be included in bench Contract No. QM161-19. Next Steps If the Board approves the awards to the recommended bench of firms, staff will execute contracts with the firms and issue notices to proceed soon after. Specific tasks outlined in the Contract No. QM161-19 Scope of Services will be assigned to the individual firms as either:

• Work Orders (WOs) based on an established firm fixed fees. • Task Orders (TOs) based on established hourly rates.

The Authority does not guarantee that all bench firms will receive an equal number of WOs or TOs, or any at all. The Authority also does not guarantee that the cumulative payment obligation under the resulting contract with the individual bench firms will be expended.

Firm Name Armand Resources Group, Inc. Casamar Group, LLC GCAP Services, Inc. Pacific Resources Services Padilla & Associates Inc. The Solis Group

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Disadvantaged Business Enterprise (DBE) Requirements This procurement is not federally funded and therefore not subject to DBE participation. However, all three firms are certified DBEs. Budget Impact The amounts for which contract authority is requested are included in the Adopted Operating Budget for FY2019-20 ($1,200,000). Funding for subsequent years will be requested through the annual budget or an equivalent process. There is no financial commitment with respect to subsequent years and work will be authorized only if funding is approved. Prepared by: Armine Menemshyan, Contract and Compliance Administrator

Brian Jacob, Program Manager Sonny Ibrahim, Interim Director, Contracts, Procurement, and Materials Management



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TRANSMITTAL DATE: July 19, 2019 MEETING DATE: July 26, 2019 ITEM 8 TO: Board of Directors FROM: Stephanie Wiggins, Chief Executive Officer SUBJECT: Contract No. SP510-20 – Financial Advisory Services –

Recommendation to Award – PFM Financial Advisors LLC and Sperry Capital, Inc.

Issue The Authority requires financial advisory services to comply with Federal Transit Administration (FTA) grant requirements and to support the Rail Operations, Maintenance, and Support Services contract. Recommendation It is recommended that the Board authorize the Chief Executive Officer (CEO) to award bench Contract No. SP510-20 for Financial Advisory Services to the following firms:

• PFM Financial Advisors LLC • Sperry Capital, Inc.

The contract term will be for three years. The total not-to-exceed amount is $450,000. Strategic Goal Alignment This report aligns with the strategic goal to maintain fiscal sustainability by providing financial advisory services on an as needed basis for the purpose of avoiding risk, cross-checking the work of other firms, and complementing staff resources dedicated to these tasks. Background The Authority undertook a new competitive procurement to allow the Authority to meet the requirement of the Federal Transit Administration’s Expedited Project Review Process to provide a Financial Advisor. The selected bench firms may be appointed to complete

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Contract No. SP510-20 – Financial Advisory Services – Recommendation to Award Transmittal Date: July 19, 2019 Meeting Date: July 26, 2019 Page 2

special projects such as fuel hedging advice or to serve as a financial or pricing advisor for bonds, notes, and other debt issued by the Authority or on its behalf. The Financial Advisor may: 1) establishing a working capital program to help the Authority meet short-term cash

needs while waiting for grant reimbursement; 2) aid in financing a portion of an up to $10 billion capital infrastructure expansion

program that leverages early commitments of at least $1.2 billion toward the $10 billion;

3) financing a portion of up to a $5 billion rehabilitation program that will help maintain existing assets in a state of good repair;

4) other needs, as identified during the term of the executed contract. Some examples of these Financial Advisory services include: the analytical and definitional tasks related to Grant Anticipation Notes, hedging proposals and approaches, negotiated sales (such as those included in the Rail Operations, Maintenance, and

Support Services contract (i.e. the Contract Bundle), competitive bond sales (if approved by the Board), bid solicitation for Guaranteed Investment Contracts and tax-exempt financing, new revenues and innovative finance (if approved by the Board), and other Financial Services.

The period of performance of the contracts will be for three years. Procurement Approach The Authority issued the Request for Proposal (RFP) on June 19, 2019. Eighteen firms downloaded the solicitation documents. The Authority hosted a Pre-Proposal Conference on June 24, 2019, which three firms participated. The Authority received, by the July 5, 2019 proposal submission deadline, three proposals from:

Firm Name Fieldman, Rolapp & Associates, Inc. PFM Financial Advisors LLC Sperry Capital, Inc.

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A technical evaluation committee evaluated the technical proposals of all three firms. Two firms had a minimum average technical score of 36 points on the written proposals and were invited to participate in an interview on July 16, 2019. The price proposals were evaluated of the two firms that had a minimum average technical score of 56 points including written proposal and interview. Based on the technical and price proposal evaluation, it is recommended that following firms be included in bench Contract No. SP510-20: Firm Name Technical Score Price Score Total Score PFM Financial Advisors LLC 62.3 20.0 82.3 Sperry Capital, Inc. 56.3 18.5 74.8

Disadvantaged Business Enterprise (DBE) Requirements A DBE goal of 3% was established for this federally-funded procurement. However, both firms committed to 10% DBE goal. Next Steps If the Board approves the awards to the recommended bench of firms, staff will execute contracts with the firms. Specific tasks outlined in the Contract No. SP510-20 Scope of Services will be assigned to the individual firms. The Authority does not guarantee that all bench firms will receive an equal number of Task Orders, or any at all. The Authority also does not guarantee that the cumulative payment obligation under the resulting contract with the individual bench firms will be expended. Budget Impact The amount for which contract authority is requested is included in the Adopted Operating Budget for FY2019-20 ($200,000). Funding for subsequent years will be requested through the annual budget or an equivalent process ($250,000). There is no financial commitment with respect to subsequent years and work will be authorized only if funding is approved. Prepared by: David Yale, Special Services Employee

Armine Menemshyan, Contract and Compliance Administrator

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Sonny Ibrahim, Interim Director, Contracts, Procurement, and Materials Management Anne Louise Rice, Assistant Director, Grants



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TRANSMITTAL DATE: July 19, 2019 MEETING DATE: July 26, 2019 ITEM 9 TO: Board of Directors FROM: Stephanie Wiggins, Chief Executive Officer SUBJECT: Adoption of Revised Procurement and Contracting

Policies

Issue The Authority’s procurement and contracting policies do not include recent federal regulations that provide opportunities to streamline processes. In addition, the current policies need revision to incorporate best practices in procurement as well as to allow for the submission of unsolicited proposals from the private sector. Recommendation It is recommended that the Board adopt the revised Procurement and Contracting Policies (Attachment A). Strategic Goal Alignment This report aligns with the strategic goal of improving organizational efficiency by clarifying and streamlining the Authority’s procurement and contracting policies. Background The Board adopted the Authority’s current Contracts and Procurement Policies and Procedures document (commonly referred to as the “CONs”) in 2005, and subsequently revised them in August 2009, January 2010, August 2010, August 2011, and April 2016. The CONs consist of 28 chapters covering specific procurement and contracting topics, combining policies, procedures, definitions, roles and responsibilities, and forms. With the new policies, staff has separated policies from procedures. Staff is taking this approach with the view that overarching policies should be established by the Board and memorialized in a policy document, while detailed procedures, processes, forms, definitions, etc., should evolve based on experience, industry best practices, statutory and regulatory changes, technological developments, and day-to-day needs. The

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Adoption of Revised Procurement and Contracting Policies Transmittal Date: July 19, 2019 Meeting Date: July 26, 2019 Page 2

detailed procedural requirements will be collected into one or more manuals that will be provided to staff for general use, supported by regular training. Discussion The U.S. Office of Management and Budget recently issued a memo titled “Implementing Statutory Changes to the Micro-Purchase and the Simplified Acquisition Thresholds for Financial Assistance.” Counsel has informed staff that the memo applies to the Authority. Under the memo, Federal Transit Administration (FTA)-assisted procurements are subject to a threshold of $10,000 for what is termed a micro-purchase (the current Authority threshold for micro-purchases is $3,000). Further, small purchases, referred to as simplified acquisitions by the FTA now have a threshold of $250,000 (the current Authority threshold for these small purchases is $100,000). Staff proposes revising the threshold to correspond to the federal standard. The increase in the threshold is projected to reduce the processing time for procurements by an average of three days per procurement. A summary of significant key changes proposed in the revised policies include:

• Increased micro-purchase threshold from $3,000 to the new FTA threshold of $10,000;

• Delegation of authority of the Chief Executive Officer (CEO) for small-dollar procurements from $100,000 to new FTA threshold of $250,000 for FTA-funded procurements;

• Delegation of authority of the CEO from $250,000 to $500,000. Contracts executed under the CEO’s delegated authority would be reported to the Board in a quarterly report;

• Clarified the CEO’s authority to undertake emergency procurements; • Included new provisions for the Authority to accept unsolicited proposals and

undertake prototype projects if the proposals/projects present an innovative and unique opportunity;

• Modified the protest procedures, including making the CEO the final arbiter, except when statutory rules require a Board determination;

• Permit the Authority to require a Mentor Protégé DBE Program for procurements valued at more than $25,000,000;

• Formalizing the “Blackout” period for a procurement; • Included provisions for the Authority to enter into revenue generating

contracts/concessions; and • Streamlined the disposal of surplus property.

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Adoption of Revised Procurement and Contracting Policies Transmittal Date: July 19, 2019 Meeting Date: July 26, 2019 Page 3

Next Steps The CEO will have the authority to develop, maintain, and update as necessary a Procurement and Contracting Procedures Manual that sets forth implementing procedures consistent with the revised Procurement and Contracting Policies. The CEO will ensure that there is periodic training on the revised policies and procedures is provided to all Authority staff with responsibility for procurement activities. By adopting these revised Procurement and Contracting Policies, the Board expressly rescinds all Procurement and Contracting Policies and Procedures included in the existing CONs that are in conflict with these Policies. Budget Impact There is no budgetary impact as a result of this report. Prepared by: Sonny Ibrahim, Interim Director of Contracts, Procurement, and Materials

Management Brian Jacob, Program Manager Anne Louise Rice, Assistant Director, Grants



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Procurement and Contracting Policies

Approved by the Board of Directors: XXXX

Attachment A

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Table of Contents

Section 1. Introduction ........................................................................................................ 3

Section 2. Policy Goals ......................................................................................................... 3

Section 3. CEO's Procurement Authority ........................................................................ 4

Section 4. Standards of Conduct and Conflicts of Interest ........................................... 4

Section 5. Methods of Competitive Procurement .......................................................... 5

Section 6. Non-Competitive Procurement .......................................................................... 7

Section 7. Procurement Solicitation and Award ............................................................. 8

Section 8. Protests ................................................................................................................ 9

Section 9. Execution of Contract ..................................................................................... 10

Section 10. Amendments and Modifications ...................................................................... 10

Section 11. Disadvantaged Business Enterprise Program ............................................ 10

Section 12. Public Works .................................................................................................... 10

Section 13. Revenue Generating Contracts/Concessions .................................................. 10

Section 14. Disposal of Surplus Property ........................................................................... 11

Section 15. Implementation ................................................................................................. 11

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Section 1. Introduction The Southern California Regional Rail Authority ("Authority) is a Joint Powers Authority organized pursuant to Government Code Section 6500 et seq and specifically enabled pursuant to Public Utilities Code Section 130255. Pursuant both to its Joint Powers Agreement and by statute, the Authority may acquire such property, facilities, equipment, materials, supplies, and services as may be deemed necessary to carry out its duties.

The policies governing procurements of the Authority derive from state law and federal law. By accepting state and federal funding, the Authority is also obligated to comply with certain regulations in its procurement of goods and services. More specifically, certain standards, regulations, and other requirements for grants to local governments issued by the United States Department of Transportation apply to the Authority in connection with contracts financed in whole or in part with federal funds. In the event of a conflict between the Authority's Procurement and Contracting Policies and state or federal law, such state or federal law will supersede these Procurement and Contracting Policies.

These Procurement and Contracting Policies provide a broad overview of the standards and methods which will guide the Authority in obtaining goods and services. By way of this Policy, the Board of Directors (Board) intends to delegate authority for these matters to the Chief Executive Officer (CEO) subject to the limitations contained in this Policy and under applicable law.

Section 2. Policy Goals The Authority's Procurement Policy is guided by six basic goals, all of which are equally important:

A. To foster maximum open and free competition in the expenditure of public funds

B. To promote the greatest economy and efficiency for the Authority;

C. To provide safeguards to maintain a procurement system of quality and integrity;

D. To instill public confidence in the procurement process of the Authority and adherence to proper standards of conduct by all Authority personnel;

E. To ensure fair and equitable treatment for all vendors who seek to do business with the Authority, including small businesses and Disadvantaged Business Enterprises (DBEs); and

F. To maintain procurement policies and procedures to ensure compliance with applicable state, and federal laws and regulations.

Based on these goals and general principles of public sector procurement, the following set of procurement and contracting policies have been developed.

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Section 3. CEO's Procurement Authority A. The CEO is designated as the Purchasing Agent for the Authority.

B. The CEO may award and execute agreements for small dollar purchases of equipment, supplies, materials, services or construction of up to $250,000, for FTA-funded procurements.

C. The CEO may award and execute agreements and leases for equipment, supplies, materials, services or construction when the total amount to be paid by the Authority (including all options) does not exceed $500,000.

D. The CEO may award contracts over $500,000 for inventory materials, if multiple bids are received.

E. For procurements not subject to paragraph C or D above, the Board will approve the award of all contracts and leases when the amount to be paid by the Authority exceeds $500,000.

F. The CEO is authorized to execute options included in the original contract, provided that funds for the options are included in the Authority's approved budget and contract funding authorization is available, and provided that the exercise of options does not bring the total contract value to over $500,000.

G. Other than contracts subject to paragraph D, the CEO is authorized to approve change orders or amendments to contracts within delegated procurement authority such that the total contract amount does not exceed $500,000.

H. The CEO is authorized to approve change orders or amendments to contracts awarded by the Board up to the established contract contingency. For contracts without an established contract contingency, the CEO may authorize change orders or amendments within the adopted budget cumulatively not to exceed the greater of 10% of the original contract price. All other change orders must be approved by the Board.

I. Any changes in the CEO's procurement authority may only be made by the Board.

J. The CEO is authorized to delegate to managers or other employees the responsibility and authority to approve purchases within the CEO's procurement authority, which delegation must be in writing, include defined monetary limits, and be consistent with this Procurement and Contracting Policies. Wherever in these Procurement and Contracting Policies the CEO is designated authority, such authority will be understood to include the designee of the CEO.

Section 4. Standards of Conduct and Conflicts of Interest A. General

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The Ethics Policies separately adopted by the Authority’s Board establish standards of conduct that are binding on all Authority employees who may participate in or have access to any phase of the procurement process, including contract administration activities.

B. Definition

For purposes of the sections regarding ethical standards and conflicts of interest regarding Authority procurement, the term “Employee” includes Board Members, Board Alternates, contractors, consultants, temporary staff, and all other individuals who, through their relationship with the Authority, have access to information that a bona-fide Authority employee would be prohibited from using for personal benefit or for the benefit of another individual.

C. "Black-Out" Period

While a procurement is ongoing, defined as from the time a procurement is published to the time a notice of intent to award is issued, communication with prospective vendors that relates to the procurement should be conducted only with the designated staff member of the Contracts and Procurement (C&P) Department pursuant to the procedures spelled out in a particular solicitation. Other than that designated contact person, Employees, as defined broadly in this section, should not participate in communications outside the rules spelled out in a particular solicitation with vendors and prospective vendors that relate to a particular procurement.

D. Conflict of Interest

No Employee, again defined broadly in this section, may participate in any procedure, task, or decision relative to initiation, evaluation, award, or administration of a contract if a conflict of interest, real or apparent, exists. Such a conflict of interest arises when (a) the Employee, (b) any member of his or her immediate family, (c) his or her business associate, or (d) an organization which employs, or which is about to employ, any of the above described individuals has a financial or other interest in a firm that participates in an Authority procurement process or that is selected for a contract award. The standards governing the determination as to whether such an interest exists are set forth in Sections 1090, 1091, and 1091.5 of the California Government Code and the California Political Reform Act.

Section 5. Methods of Competitive Procurement Unless otherwise set forth in this Policy, all purchases and contracts, made by any method, will be made on a competitive basis to the greatest extent practicable. Adequate outreach will be made to ensure open and free competition, and that small businesses, DBEs, and local vendors are notified of contract opportunities.

The Authority may use any method of procurement, such as informal bids or formal competitive solicitations, that is appropriate for the particular acquisition, complies with statutory and regulatory requirements, and is in the best interest of the Authority.

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A. Informal Procurement

i. Purchases for $10,000 or below, defined as “Micro Purchases,” need not be awarded competitively but the price must be determined to be fair and reasonable and should be distributed equitably among qualified suppliers. Micro Purchases do not require advertising or sealed responses.

ii. Purchases between $10,001 and $25,000, defined as “Small Dollar Purchases,” should be procured competitively through written price quotations or proposals, via e-mail, obtained from a minimum of three vendors. Small Dollar Purchases do not require advertising or sealed responses.

iii. Purchases of up to $250,000 defined under FTA’s “Simplified Acquisition Thresholds” will follow FTA procedures for FTA-funded procurements.

B. Formal Procurement

i. Supplies, Equipment, Materials, and Public Works. Unless an exception applies, a formal competitive bidding process (ordinarily an Invitation for Bids) will be used to purchase all supplies, equipment, and materials, and the construction of all facilities and other public works, when the expenditure required exceeds $25,000. Contract award will be to the lowest responsive, responsible bidder.

a. Specialized Rail Transit Equipment. Notwithstanding the foregoing, the Authority may use a "best value" approach discussed below, including all applicable statutorily required procedures, to procure specialized rail transit equipment, including railcars, locomotives, computers, and telecommunications, fare collections, microwave, and other related electronic equipment and apparatus, all in accordance with State law.

ii. Services. While the Authority may use the Invitation for Bids process set forth in subparagraph (i) above to procure services under applicable circumstances as determined by the Director of Contracts and Procurement, ordinarily, and unless an exception applies, formal competitive proposals which may consider and evaluate qualifications and other relevant criteria in addition to price to determine best overall value to the Authority (referred to as the "best value" approach), will be used to procure services when the estimated expenditure exceeds $25,000. The CEO or designee will determine the appropriate categories and weighting of evaluation criteria.

a. Architecture and Engineering Services. Specialized State and federal laws apply to the procurement of architecture and engineering, and other enumerated services regardless of the estimated expenditure. Such contracts must be awarded on the basis of demonstrated competence and qualifications for the types of services to be performed and at fair and reasonable prices to the Authority.

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C. Cooperative Procurement The Authority may participate in a procurement as the lead or as a participating party with one or more public agencies for procurement or use of goods and services. Joint procurement, state cooperative purchasing programs, “piggybacking”, and assignment of existing contract rights with other public agencies may be used when consistent with applicable federal, state, and local statutory or grant requirements.

iii. FTA Procurements: Purchases above $250,000 will follow FTA procedures for FTA- funded procurements

Section 6. Non-Competitive Procurement A. Emergency Contracts In the case of an emergency, the Authority is not required to follow competitive bidding requirements if the emergency will not permit a delay, and the procurement of equipment, services, and supplies is necessary to respond to the emergency. “Emergency” means a sudden, unexpected occurrence that poses a clear and imminent danger, requiring immediate action to prevent or mitigate the loss or impairment of life, health, property, or essential public services. The Board, pursuant to a four-fifths vote, may take any immediate procurement action required by an emergency, and may procure necessary equipment, services, and supplies without giving notice for bids to let contracts.

In adopting this Policy, the Board authorizes the CEO to take all necessary and proper measures in emergency conditions to repair or replace Authority facilities as necessary. When emergency conditions do not permit a delay resulting from a formal competitive solicitation process, the CEO is authorized to make purchases without giving notice for bids or proposals. The CEO will promptly report on the reasons and necessity for proceeding without a competitive solicitation to the Board at the next available meeting after the emergency action is taken. Board ratification is required for any contract in excess of $500,000, and must be obtained as soon as it is practicable to do so.

B. Lower Market Price Pursuant to PUC § 130233, if a competitive procurement results in all bids being rejected and the Board determines by a two-thirds vote that supplies, equipment, and materials may be purchased at a lower price in the open market, the Board may proceed to direct the purchase be made in the open market.

C. Sole Source Procurement Regardless of the estimated cost of the procurement, the Authority is not required to engage in the competitive procurement process, either formal or informal, when procuring materials, equipment, supplies or services for which there exists only a sole source of the goods or service. If more than one source of a goods or service is available, the procurement is not exempt from competitive

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requirements. A sole source decision is not permitted merely upon the grounds that the source demonstrates technical or administrative superiority, is the most convenient, or shows superior performance potential at lower costs. In all cases, the Authority must verify that the particular procurement meets the definition of a sole source and the Authority must perform a cost or price analysis to determine the reasonableness of the price of the sole source.

Alternatively, the Board may direct the purchase of any supply, equipment, or material without engaging in a competitive procurement process upon a finding by two-thirds vote of the Board that there is only a single source of procurement and that the purchase is for the sole purpose of duplicating or replacing supply, equipment, or material already in use.

D. Unsolicited Proposal The Authority may award a contract in response to an unsolicited proposal if permitted by applicable law and if the proposal presents an innovative and unique opportunity and is independently originated and developed by the offerors without Authority participation. A proposal for a known requirement that can be acquired by competitive methods or for an item or service that is commonly available in the marketplace is not considered a suitable subject for an unsolicited proposal.

E. Prototype Equipment or Modifications Upon a finding by two-thirds vote of all members of the Board that a competitive process would be inadequate or not in the Authority's best interests, the Board may direct the procurement of prototype equipment or modifications in an amount sufficient to conduct and evaluate operational testing without further observance of any competitive procurement requirements.

Section 7. Procurement Solicitation and Award A. Independent Cost Estimate Prior to commencing a procurement, the department or division requesting the procurement should prepare an independent cost estimate for purchases over $10,000.

B. Solicitation Documents Solicitations may not be drafted in a manner that limits bidding or proposing unnecessarily or intentionally to any one offeror, nor may solicitations be split to avoid the need for full and open competition or to avoid adhering to a Federal or State law or regulation, or Authority policy.

i. Formal competitive bidding requires preparation of bid documents that clearly set forth all requirements, which must be fulfilled in order for the bid to be responsive, and must be advertised in accordance with legal requirements. An award, if made, will be to the lowest responsive and responsible bidder.

ii. Formal competitive proposals, such as the "best value" approach, require issuance of Requests for Proposals, which clearly set forth all the requirements, and state the qualitative

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factors in addition to price which will be used to evaluate and rank the Proposals. An award, if made, will be to the proposer receiving the highest ranking, subject to successful negotiations with the Authority.

If a contract will be Federally-funded, all relevant Federal provisions must be included in the solicitation documents.

C. Advertising Advertising regarding a procurement must comply with applicable Federal and State requirements.

D. Bonds All public works procurements must comply with Federal, State, and local requirements concerning bonds and securities. Non-public work procurements may require bonds and securities when determined to be in the best interest of the Authority and legal counsel concurs. If bonds are required, the solicitation documents must specify the required items and their values.

E. Contingency Fund A contingency fund may, at the discretion of the Authority, be included in a contract to provide additional contract funding authorization when there is a likelihood that unknown conditions or circumstances may occur during the term of a contract which necessitates an increase in the contractor’s compensation.

F. Fair and Reasonable Determination For every procurement action, including change orders and contract amendments, the Authority must determine that prices to be paid are fair and reasonable. The C&P Department, in conjunction with Internal Audit, will have final responsibility for accepting or making such a determination. The analysis must be kept with the procurement record.

G. Contract Award Any and all bids or proposals may be rejected by the Authority if it is in the Authority's best interest to do so.

The Authority may only contract with contractors who are trustworthy and are qualified and possess the ability to perform successfully under the terms and conditions of the proposed procurement.

Section 8. Protests A protest may be filed for contracts in excess of $25,000 only by an interested party, defined as an actual or prospective bidder or proposer whose direct economic interest could be affected by the Authority’s conduct of the solicitation. Notice of the protest procedures and the applicable protest deadlines will be provided in all formal solicitations. To be considered,

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a protest must be filed in a timely manner and must satisfy all of the applicable requirements set forth in the solicitation documents.

Except pursuant to statutory rules requiring Board determination of protests of contracts for certain specialized equipment, including railcars and locomotives, the CEO is authorized to review and determine all protests, in consultation with legal counsel, and will report on the disposition of protests to the Board. All protests must be in accordance with the written procedures set forth in the Procurement and Contracting Procedures Manual.

Section 9. Execution of Contract All Authority contracts will be in writing and executed prior to beginning performance under the contract. The CEO or designee may execute all contracts on behalf of the Authority that are duly approved.

Section 10. Amendments and Modifications All contract amendments and modifications (including Change Orders) must comply with applicable laws and regulations, be within the scope of the original contract, and be appropriately documented in writing and approved before the work is performed.

Section 11. Disadvantaged Business Enterprise Program The Authority is committed to and has adopted a DBE Program for DBE participation in Authority contracting opportunities in accordance with 49 Code of Federal Regulations (CFR) Part 26, as amended. It is the policy of the Authority to ensure nondiscrimination on the basis of race, color, national origin, or sex in the award and administration of U.S. Department of Transportation assisted and Authority contracts. It is the intention of the Authority to create a level playing field on which DBEs can compete fairly for contracts and subcontracts relating to the Authority's construction, procurement and services activities. The Authority may require a Mentor Protégé Program for procurements values at more than $25,000,000.

Section 12. Public Works All public works contracts must comply with all federal and State requirements, including applicable labor compliance requirements.

Section 13. Revenue Generating Contracts/Concessions This Policy does not apply to permits or licenses to enter Authority property for the purposes of filming, photographing, or other such purposes. To the extent they are not otherwise governed by Authority policies, revenue generating agreements or concession agreements are contracts where the Authority grants permission to use Authority facilities or property to vendors to sell products or services, for which the Authority receives a percentage of the proceeds and/or a flat rate of compensation. Generally, these arrangements are at no direct cost to the Authority. Examples of

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such agreements include advertising on rolling stock and/or the sale of food or beverages on Authority facilities, including rolling stock.

Where it is determined that a number of potential vendors are available to provide similar products or services, a competitive proposal "best value" procedure should be followed, and award made to the highest ranked proposer, taking into consideration the economic return to the Authority, quality of the product, service and experience of the vendor.

Section 14. Disposal of Surplus Property The CEO, in consultation with legal counsel and the Chief Financial Officer as appropriate, may determine the manner of disposition of surplus supplies, equipment, materials, that are beyond their useful life and whose depreciated value does not exceed $500,000. The Board must approve all other disposal of surplus property.

Section 15. Implementation These Procurement and Contracting Policies set forth the standards and methods to be followed by the Authority in obtaining goods and services. The CEO or designee will have the authority to develop, maintain, and update as necessary a Procurement and Contracting Procedures Manual that sets forth implementing procedures consistent with the Board's policies. The CEO or designee will maintain and update the Procurement and Contracting Procedures Manual as necessary to give effect to these policies and may make subsequent revisions if necessary to implement changes in applicable laws and regulations and best procurement.

The CEO or designee will ensure that there will be periodic training to ensure that all Authority staff with responsibility for procurement activities are trained in, and adhere to, these policies and the Procurement and Contracting Procedures Manual.

By adopting these Policies, the Board expressly rescinds all Procurement and Contracting Policies and Procedures included in the CONs that are in conflict with these Policies.

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TRANSMITTAL DATE: July 19, 2019 MEETING DATE: July 26, 2019 ITEM 10 TO: Board of Directors FROM: Stephanie Wiggins, Chief Executive Officer SUBJECT: Adoption of Third-Party Agreement Policies Issue The Authority does not currently have a policy for third-party agreements. Implementation of such a policy will optimize staff time, accelerate project delivery and modernize of business practices. Recommendation It is recommended that the Board adopt the attached Third-Party Agreement Policy (Attachment A). Strategic Goal Alignment This report aligns with the strategic goal of improving organizational efficiency by clarifying and streamlining the Authority’s third-party agreement policies. Background Currently, agreements between the Authority and its Member Agencies, and/or governmental entities outside the Joint Powers Authority and are fully reimbursable and individually presented to the Board to request authorization for the Chief Executive Officer (CEO) to negotiate and execute at any dollar value. This proposed policy will reduce the number of individual reports submitted to the Board. It is anticipated that implementation of this new policy will reduce processing time by 30 days per agreement. Discussion A summary of the new policy is provided below:

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Adoption of Third-Party Agreement Policies Transmittal Date: July 19, 2019 Meeting Date: July 26, 2019 Page 2

• Authorizing the CEO to negotiate and execute agreements between the Authority

and Member Agencies, and/or other parties if the agreements are fully reimbursable up to a value of $500,000.

• Agreements under the CEO’s approval threshold would be reported to the board

in a quarterly report.

• Regardless of dollar value, the following agreements, which have substantial impact on the Authority’s operations, are not considered Third-Party Agreements subject to the policy and will continue to be approved by the Board:

- Shared use or railroad tenant/host agreements - Agreements between the Authority and Los Angeles-San Diego-San Luis

Obispo Rail Corridor Agency (LOSSAN) - Agreements pertaining to Authority employee benefits or supplemental

benefits - Agreements between the Authority and a grantor, if the grantor requires

board action in order to execute the grant, per Finance Policies This Policy does not apply to agreements for goods and services that are subject to the separately Board-approved Contracts and Procurement Policy. Next Steps This policy will go into effect upon approval of the Board. Budget Impact There is no budgetary impact as a result of this report. Prepared by: Jesus Garcia, Management Analyst II

Anne Louise Rice, Assistant Director, Grants



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15648479.2

ATTACHMENT A

Policy on Third Party Agreements

Section 1. Introduction

The Southern California Regional Rail Authority ("Authority) is a Joint Powers Authority organized pursuant to Government Code Section 6500 et seq and specifically enabled pursuant to Public Utilities Code Section 130255. Pursuant both to its Joint Powers Agreement and by statute, the Authority may enter into intergovernmental and/or cooperative agreements with other entities such as a State Agency, a Member Agency, or local jurisdiction as may be deemed necessary to carry out its duties. For purposes of this Policy such agreements are called "Third Party Agreements." This Policy does not apply to agreements for goods and services that are subject to the separately Board-approved Contracts and Procurement Policy. This Policy also does not apply to shared use agreements or other agreements with host/tenant railroads on right of way used by the Authority.

Third Party Agreements may be initiated by an entity(ies) for a special project such as design of a railroad crossing, which is fully funded by the other party(ies) and therefore is fully reimbursable to the Authority. Such agreements also include partnership agreements such as the Rail-2-Rail Program with the Los Angeles-San Diego-San Luis Obispo (LOSSAN) Rail Corridor Agency, or other cooperative agreements with a Member Agency, or a local or State agency. Third Party Agreements may or may not lead to a procurement. If a procurement is required following execution of such an agreement, it will follow all Procurement policies.

All Third Party Agreements will comply with all applicable State and Federal laws and regulations, as well as with all obligations applicable to any grant received by the Authority that pertains to a Third Party Agreement.

Section 2. Policy Goals

The Authority's Third Party Agreement Policy is guided by two basic goals, both of which are equally important:

1. To promote the greatest efficiency for the Authority in processing these agreements; and

2. To provide safeguards to maintain a Third Party Agreement system of quality and integrity.

Section 3. Standards of Conduct and Conflicts of Interest

The Ethics Policies separately adopted by the Authority’s Board of Directors (Board) establish standards of conduct that are binding on all Authority employees who may participate in or have access to any phase of a Third Party Agreement. The Ethics Policies will guide the Third Party Agreement process, including related administration activities.

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15648479.2

For purposes of the sections regarding ethical standards and conflicts of interest regarding Authority procurement, the term “employee” includes Board Members, Board Alternates, contractors, consultants, temporary staff, and all other individuals who, through their relationship with the Authority, have access to information that a bona-fide Authority employee would be prohibited from using for personal benefit or for the benefit of another individual.

Section 4. Methods of Administering a Third Party Agreement

Unless otherwise set forth in this Policy, all Third Party Agreements, made by any method, will comply with statutory and regulatory requirements, and be in the best interest of the Authority.

1. Third Party Agreements that are Fully Reimbursable

Fully reimbursable means funding that is provided by the other contracting party who provides for 100% cost recovery to the Authority for goods and services provided under the Agreement. The Chief Executive Officer may negotiate and execute a fully reimbursable Third Party Agreement for which the Authority will incur a cost of $500,000 or less. These agreements will be reported to the Authority’s Board on a quarterly basis as a receive and file item.

The Board will approve fully reimbursable Third Party Agreements for which the Authority will incur a cost of more than $500,000.

2. Third Party Agreements that are Not Fully Reimbursable

The Chief Executive Officer may negotiate and execute Third Party Agreements for which the Authority will incur cost of $500,000 or less. These agreements will be reported to the Authority’s Board on a quarterly basis as a receive and file item.

The Board will approve Third Party Agreements for which the Authority will incur a cost of more than $500,000.

Section 5. Implementation The CEO will develop, maintain, and update as necessary procedures to give effect to this Policy.

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TRANSMITTAL DATE: July 19, 2019 MEETING DATE: July 26, 2019 ITEM 11 TO: Board of Directors FROM: Stephanie Wiggins, Chief Executive Officer SUBJECT: Adoption of Revised Finance Policy Issue Approval is needed for revision to current Board-adopted Finance Policy 1.2, Budget Control and Reporting to streamline approvals and clarify roles and responsibilities. Recommendation It is recommended that the Board approve the updates to Finance Policy 1.2. Strategic Goal Alignment This report aligns with the strategic goal to improve organizational efficiency, improve communication to customers and stakeholders as well as modernize our business practices Staff’s recommendations for updates to the Finance Policy 1.2 will serve to streamline our approval process and clarify roles and responsibilities. Background Finance Policy 1.2 provides guidance for the control and reporting of SCRRA’s Annual Budget. The current board adopted policy addresses a combination of Policy and Procedural issues. Sections of the current policy include:

• Procedures - Budget Responsibility • Procedures - Budget Control • Procedures - Timesheet Reporting and Expense Coding • Procedures - Budget Monitoring • Procedures - Reporting • Procedures - Forecast • Procedures - Budget Amendment • Procedures - Budget Carryforward

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Adoption of Revised Finance Policy Transmittal Date: July 19, 2019 Meeting Date: July 26, 2019 Page 2

Along with Definition of Terms, Responsibilities and References. An amendment to the current policy is needed to streamline the approval process and better define roles and responsibilities. Discussion In an effort to extract the procedural portion from policy language, the revised policy contains the following sections: • Budget Control • Budget Transfer • Budget Amendment • Budget Authorization/Carryforward • Budget Reporting/Forecast • Definition of Terms

The following updates were made to Finance Policy 1.2 – Budget Control and Reporting: • Better defined possible Budget Amendment and their respective approval process in

Section 1.3. • Extracted sections that were procedural in content to include in Department

procedures which will reside within the office of the Chief Financial Officer (CFO) as a stand-alone document.

• Minor grammatical edits Next Steps This policy will go into effect upon approval of the Board. Budget Impact There is no budgetary impact as a result of this report. Prepared by: Christine Wilson, Senior Manager, Finance

Ronnie Campbell Chief Financial Officer

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Southern California Regional Rail Authority Finance Policies and Procedures Manual

TITLE: Budget Control & Reporting NO. FIN - 1.2

ORIGINATING UNIT: Finance Department

EFFECTIVE DATE: 01/15/2016-07/26/2019 REVISION: 12

PURPOSE

To define guidelines for the control and reporting of the SCRRA annual budget.

APPLICATION

This policy applies to all Chiefs, Cost Center Managers and Project Managers responsible for developing and managing a budget.

POLICY STATEMENT

Cost Center Managers are responsible for monitoring and overseeing costs and expenditures of their departments or areas of responsibility. Oversight includes monitoring actual expenditures to budgeted amounts.

1.0 PROCEDURES

Following the Board of Directors’ approval of the budget, detailed budget reports will be available on the HUB (SCRRA intranet) under the Financial Planning Department tab The following procedures should be followed in controlling the budget.

1.1 Budget Responsibility

Directors and managers are responsible to have knowledge of the budget, the appropriate coding for staff time and expenses, and managing the achievement of business objectives defined within the authorized budget.

1.0 Budget Control

SCRRA establishes budget control and appropriates funds through the formal adoption of the annual budget by the Board of Directors. This authorization is provided on an annual basis.

Attachment A

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Budget Control and Reporting Page 2 Approval is required by the Board of Directors if a change to the budget results in an increase in the overall oOperating, cCapital Program budget, or one or more Member Agency’s subsidy requirement. If a Member Agency subsidy is increased, approval of thatthat the respective Member Agency’s board should be sought will be obtained prior to seeking approval from the SCRRA Board.

The CEO delegates the authority to the Chiefs to manage the operating and capital budgets within the totals authorized for their area of responsibility and in compliance with funding requirements.

1.1.1 SCRRA establishes budget control through:

1.1.1.1 The formal adoption of the annual budget by the Board of

Directors.

1.1.1.2 Oracle controls by project by task, that are established as a function of the budget upload to Oracle. All expense project-task combinations are set to “Absolute”. When the “absolute” mode is in effect, no expenses can be processed which exceed the total project budget for capital and rehabilitation projects or the total project-task budget for operating projects.

1.1.1.3 Changes within the operating budget (Budget Transfers) or capital

budget (PBR’s) that do not affect the total. Transfers must be approved by both the Chief receiving the transfer of funds, and the Chief supplying the funds.

1.1.1.4 Transfers within the operating or capital budgets which may not

impact the subsidy requirements of one or more member agencies.

1.1.1.5 Capital budget changes must be consistent with allowable expenses in associated grant funding agreements.

1.1.2 Approval is required by the Board of Directors if a change to the budget

results in an increase in the overall operating, capital budget, or one or more member agencies subsidy requirement. If a member agency subsidy is substantially increased, approval of that member agency’s board should be sought.

The CEO delegates the authority to the Chiefs to manage the operating and capital budgets within the totals authorized for their area of responsibility.

1.1 BUDGET TRANSFER

Attachment A

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Budget Control and Reporting Page 3 Operating Budget Transfers: The Board of Directors delegates to the Chief Executive Officer the ability to process transfers within the approved Operating Budget that do not increase the Operating Subsidy of any Member Agency. Project Budget Reallocation (PBR): The Board of Directors delegates to the Chief Executive Officer the ability to process transfers within the approved Capital Program that are in compliance with funding requirements and that do not consistent with allowable expenses in associated grant funding agreements and that do not increase the funding requirements of any Member Agency, with the concurrence of the affected Member Agency(s). 1.2 BUDGET AMENDMENT

One of the goals of the Agency is fiscal sustainability. Accordingly, we work to minimize unanticipated funding requirements of Member Agencies and fulfill objectives within the authorized budget. However, once the fiscal year commences, events may occur which require budgetary reconsideration, or an amendment. Amendments can be categorized in the following scenarios:

1.2.1 An amendment that requires additional funding from one of more Member Agencies: Approval is required by the SCRRA Board if the amendment results in an increase in the Operating Budget, Capital Budget, or the subsidy requirement of one or more of the Member Agencies. Should a Member Agency’s subsidy requirement increase, approval must be obtained from the respective Member Agency’s Board prior to seeking approval from the SCRRA Board.

1.2.2 An amendment that requires additional funding provided by a Grant or Third-Party

Agreement and does not increase the Member Agency’s subsidy: The SCRRA Board may proceed with approving this amendment.

1.2.3 An amendment for specific expenditure(s) with funding provided by carryover of the same unexpended budget (i.e. fuel, marketing, etc.) and does not increase the Member Agency’s subsidy: The SCRRA Board may proceed with approving this amendment if amounts are within delegated authority of the affected Member Agency Chief Executive Officer. If the requested amount exceed that delegated authority, approval for such a request would follow Section 1.2.1 of this FIN-1.2 – Budget Control and Reporting Policy.

1.2.4 An amendment with funding provided by carryover of operating surplus and does

not increase the Member Agency’s subsidy: Tthe SCRRA Board may proceed with approving this amendment with written concurrence from each affected Member Agency if amounts are within the delegated authority of the affected Member Agency Chief Executive Officer. If the

Attachment A

34

Budget Control and Reporting Page 4

requested amount exceed that delegated authority, approval for such a request would follow Section 1.2.1 of this FIN-1.2 – Budget Control and Reporting Policy.

1.2 Timesheet Reporting and Expense Coding 1.2.1 Timesheet reporting must accurately indicate the actual hours worked by the employee for the pay period. Employees are responsible for knowing the correct project and task associated with their activities. Please see Finance Policy FIN-7.1.

1.2.2 Expenditure coding identifies the source, type, and purpose of an expense. A valid expenditure code includes: Cost Center – Object – Project – Task. Refer to Finance Policy FIN-1.3 for additional information.

1.2.3 The budget establishes the anticipated timesheet coding (labor distribution) and expense coding for the fiscal year. These codes are to be utilized for the purposes defined in the budget.

1.2.4 Labor and expenses incurred must always be charged to the correct actual project and task, regardless of the budget. Consequently, if there are changes in cost center, objects, projects, and/or tasks in actual activity as compared to the budget, the actual coding utilized must reflect the actuality.

1.3 Budget Monitoring 1.3.1 Real time Actual versus Budget Reports are available in the Oracle Discoverer system to provide Cost Center Managers with the information necessary to monitor and control their budgets.

1.3.2 Cost Center Managers are required to monitor actual expenditures to budgeted amounts and to ensure that any variances will not result in an overall overrun to their Cost Center budget. Cost Center managers are also responsible to review their Actual vs Budget Report to identify any coding errors that may have occurred. Any possible error must be reported to Budget Division staff. Reclassification journal entries will be created to correct coding errors when necessary. The Budget Division will assist Cost Center Managers in analyzing budget activity as required.

1.3.3 Cost Center Managers may request a budget transfer within their Cost Center, or from other Cost Centers. Budget transfers must not change the total operating or capital budgets of the SCRRA, and must not result in an increase in a member agency subsidy. Changes within the operating or capital budget that do not affect the total (Budget Transfers), must be approved by both the Chief receiving the transfer of funds, and the Chief supplying the funds.

1.3.4 The Budget Division staff will review all requests for budget transfers for any impact on the funding sources identified in the budget. If the transfer would negatively impact a funding source, the budget transfer will be denied.

Attachment A

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Budget Control and Reporting Page 5 1.3.5 Unexpected operating, project or administrative costs or projected costs which will result in an overrun to the budget must be identified early and brought to the attention of Budget Division staff and the responsible Chief.

1.4 Reporting 1.4.1 The books of record are scheduled to be closed monthly by the 10th working day and an Actual vs Budget report will be produced, covering both Current Month and Year-to-Date performance for the fiscal year.

1.4.2 The Actual vs Budget report will be provided to the Deputy Chief Executive Officer (DCEO), Chief Executive Officer (CEO) and the Board of Directors, with analysis of any significant variances.

1.5 Forecast 1.5.1 On a quarterly basis, Budget Division staff will provide a full year forecast for the anticipated expenditures through June 30 of the current fiscal year.

1.5.2 Budget Division staff compiles the budget forecast and provides a report to the CEO, DCEO, Chiefs, and Board of Directors. This information is vital in addressing new requirements, which may arise during the year.

1.3 BUDGET AUTHORIZATION/CARRYFORWARD

1.3.1 Budget authorization for unexpended operating budget expires at the end of each fiscal year, June 30, unless approved by our Board of Directors for carryforward as outlined in Section 1.2.

1.3.2 Budget authorization for capital projects are carried forward as part of the Board of

Directors adoption of the annual budget.

1.4 BUDGET REPORTING/FORECAST

1.4.1 The Actual vs. Budget report will be provided to the Board of Directors, with analysis of any significant variances on a quarterly basis.

1.4.2 Budget Division staff will provide a full year forecast for the anticipated expenditures through June 30 of the current fiscal year with the 3rd Quarter Actual vs. Budget Report.

1.2 Budget Amendment

The goal of the SCRRA is to minimize unanticipated funding requirements of member agencies and fulfill its objectives within the authorized budget. However, once the

Attachment A

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Budget Control and Reporting Page 6

fiscal year commences, events may occur that require budgetary reconsideration or amendment. The following steps apply to seeking a budget amendment.

1.2.4 Once a budget amendment requirement is identified, the Budget Division staff

will review the requirement to determine if there are any other sources outside the Cost Center(s) to accommodate the change within the authorized budget.

1.2.5 If the Budget Division staff does not identify an opportunity to accommodate the

budget requirement, the information will be submitted to the DCEO. With the DCEO’s/CEO’s approval a budget amendment will be pursued.

1.2.6 The process for Board consideration and approval of a budget amendment will

follow the procedures described in Finance Policies and Procedures FIN-1.1, Section 1.9.

1.3 Budget Carry Forward

1.3.4 Budget authorization for unexpended operating budget expires at the end of

the fiscal year, June 30th of each year.

1.3.5 Budget Authorization for capital projects are carried forward as part of the Board of Directors adoption of the annual budget.

2.0 DEFINITION OF TERMS Appropriation – amount Budget authorized by the Board of Directors by formal action to fund the provision of SCRRA’s annual operating and capital programplans. Budget Amendment - a Board approved modification to the budget that changes the total appropriation for the operating and/or capital program budget. Forecast – a projection of actual revenues and expenses to be incurred in the fiscal year. Budget Transfer – the movement of budget within the operating budget. Capital Program – Rehabilitation and New Capital portion of the Budget Carry Forward - budget authorization added to the subsequent fiscal year. Fiscal Year – the annual period authorized in the budget. SCRRA’s fiscal year is July 1st to June 30th. Operating Surplus – excess of actual revenue and operating subsidy over actual expenditures as compared to budgeted revenue, operating subsidy and expenditure for a fiscal year.

Attachment A

37

Budget Control and Reporting Page 7 PBR – Project Budget Reallocation, - used to reallocate budget between capital projects that are consistent with allowable expenses in associate grant funding agreements and that do not increase the funding requirements of any Member Agency. 3.0 RESPONSIBILITES Department Directors and Cost Center Managers are responsible for monitoring their annual budget to ensure that their objectives are accomplished within the authorized funding level. Should unanticipated needs arise they must manage within the budget or work with the Budget Division staff to pursue a budget transfer or amendment. The Finance Department is responsible for providing budget status reports and analytical support, posting accurate entries and for closing the books of record on a monthly basis. The Chief Financial Officer/Deputy Chief Executive Officer is responsible to review the agency-wide budget reports and provide oversight to ensure that objectives are met within the approved budget. The Chief Executive Officer is responsible for ensuring the organizational goals are achieved within the approved budget. Requirements for budget amendment must be approved by the CEO. 4.03.0 REFERENCES FIN-7.1, Payroll FIN-1.3, Account Coding None 5.04.0 ATTACHMENTS None 6.05.0 PROCEDURE HISTORY January 28, 2005 - New Policy and Procedures document approved January 15, 2016 – Revised Policy document approved July 26, 2019 – Revised Policy document approved

Attachment A

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Southern California Regional Rail AuthorityFinance Policies

TITLE: Budget Control & Reporting NO. FIN – 1.2

ORIGINATING UNIT: Finance Department

EFFECTIVE DATE: July 26, 2019 REVISION: 2

PURPOSE

To define guidelines for the control and reporting of the SCRRA annual budget.

APPLICATION

This policy applies to all Chiefs, Cost Center Managers and Project Managers responsible for developing and managing a budget.

POLICY STATEMENT

Cost Center Managers are responsible for monitoring and overseeing costs and expenditures of their departments or areas of responsibility. Oversight includes monitoring actual expenditures to budgeted amounts and ensuring compliance with funding requirements.

1.0 BUDGET CONTROL

SCRRA establishes budget control and appropriates funds through the formal adoption of the annual budget by the Board of Directors. This authorization is provided on an annual basis.

Approval is required by the Board of Directors if a change to the budget results in an increase in overall Operating, Capital Program budget, or one or more Member Agency’s subsidy requirement. If a Member Agency subsidy is increased, approval of the respective Member Agency’s Board will be obtained prior to seeking approval from the SCRRA Board.

The CEO delegates the authority to the Chiefs to manage the operating and capital program budgets within the totals authorized for their area of responsibility and in compliance with funding requirements.

Attachment B

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FIN-1.2 – Budget Control & Reporting Page 2

1.1 BUDGET TRANSFER

Operating Budget Transfers: The Board of Directors delegates to the Chief Executive Officer the ability to process transfers within the approved Operating Budget that do not increase the Operating Subsidy of any Member Agency.

Project Budget Reallocation (PBR): The Board of Directors delegates to the Chief Executive Officer the ability to process transfers within the approved Capital Program that are in compliance with funding requirements and that do not increase the funding requirements of any Member Agency, with the concurrence of the affected Member Agency(s).

1.2 BUDGET AMENDMENT

One of the goals of the Agency is fiscal sustainability. Accordingly, we work to minimize unanticipated funding requirements of Member Agencies and fulfill objectives within the authorized budget. However, once the fiscal year commences, events may occur which require budgetary reconsideration, or an amendment. Amendments can be categorized in the following scenarios:

1.2.1 An amendment that requires additional funding from one of more Member Agencies:

Approval is required by the SCRRA Board if the amendment results in an increase in the Operating Budget, Capital Budget, or the subsidy requirement of one or more of the Member Agencies. Should a Member Agency’s subsidy requirement increase, approval will be obtained from the respective Member Agency’s Board prior to seeking approval from the SCRRA Board.

1.2.2 An amendment that requires additional funding provided by a Grant or Third-Party Agreement and does not increase the Member Agency’s subsidy:

The SCRRA Board may proceed with approving this amendment.

1.2.3 An amendment for specific expenditure(s) with funding provided by carryover of the same unexpended budget (i.e. fuel, marketing, etc.) and does not increase the Member Agency’s subsidy:

The SCRRA Board may proceed with approving this amendment if amounts are within delegated authority of the affected Member Agency Chief Executive Officer. If the requested amount exceed that delegated authority, approval for such a request would follow Section 1.2.1 of this FIN-1.2 –Budget Control and Reporting Policy.

1.2.4 An amendment with funding provided by carryover of operating surplus and does not increase the Member Agency’s subsidy:

Attachment B

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The SCRRA Board may proceed with approving this amendment with written concurrence from each affected Member Agency if amounts are within delegated authority of the affected Member Agency Chief Executive Officer. If the requested amount exceed that delegated authority, approval for such a request would follow Section 1.2.1 of this FIN-1.2 – Budget Control and Reporting Policy.

1.3 BUDGET AUTHORIZATION/CARRYFORWARD

1.3.1 Budget authorization for unexpended operating budget expires at the end of each fiscal year, June 30, unless approved by our Board of Directors for carryforward as outlined in Section 1.2.

1.3.2 Budget authorization for capital projects are carried forward as part of the Board of Directors adoption of the annual budget.

1.4 BUDGET REPORTING/FORECAST

1.4.1 The Actual vs. Budget report will be provided to the Board of Directors, with analysis of any significant variances on a quarterly basis.

1.4.2 Budget Division staff will provide a full year forecast for the anticipated expenditures through June 30 of the current fiscal year with the 3rd Quarter Actual vs. Budget Report.

DEFINITION OF TERMS

Appropriation – amount authorized by the Board of Directors by formal action to fund SCRRA’s annual operating and capital program.

Budget Amendment – a Board approved modification to the budget that changes the total appropriation for the operating budget and/or capital program budget.

Forecast – a projection of actual revenues and expense to be incurred in the fiscal year.

Budget Transfer – the movement of budget within the operating budget.

Capital Program – Rehabilitation and New Capital portion of the Budget

Carryforward – budget authorization added to the subsequent fiscal year.

Fiscal Year – the annual period authorized in the budget. SCRRA’s fiscal year is July 1 to June 30.

Operating Surplus – excess of actual revenue and operating subsidy over actual expenditures as compared to budgeted revenue, operating subsidy and expenditure for a fiscal year.

PBR – Project Budget Reallocation – used to reallocate budget between capital projects that are consistent with allowable expenses in associated grant funding agreements and that do not increase the funding requirements of any Member Agency.

Attachment B

41


REFERENCES

None

ATTACHMENTS

None

PROCEDURE HISTORY

January 28, 2005 – New Policy and Procedures document approved January 15, 2016 – Revised Policy document approved July 26, 2019 – Revised Policy document approved

Approvals

Department Chief

Legal Counsel Chief Executive Officer

Attachment B

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TRANSMITTAL: July 19, 2019 MEETING: July 26, 2019 ITEM 12 TO: Board of Directors FROM: Stephanie Wiggins, Chief Executive Officer SUBJECT: Sale of Decommissioned Legacy Locomotives Issue Approval is required to place up to 27 decommissioned legacy locomotives up for auction. Recommendation It is recommended that the Board delegate authority to the Chief Executive Officer to place up to 27 decommissioned legacy locomotives up for auction. Strategic Goal Alignment This report aligns with the strategic goal to invest in our people and assets. As a result of the F125 Tier 4 Project, decommissioned legacy Tier 0 and Tier 2 locomotives are available for sale and will result in additional funding sources to implement Authority initiatives. Background On May 17, 2013, the Authority entered into Carl Moyer Contract 13441 with South Coast Air Quality Management District (SCAQMD) for the replacement of 20 legacy Tier 0 or Tier 2 passenger locomotives with new Tier 4 locomotives. On October 6, 2015, the Authority entered into Carl Moyer Contract 16056 with SCAQMD for the replacement of ten (10) additional legacy Tier 0 or Tier 2 passenger locomotives and purchasing up to one expansion Tier 4 locomotive. The SCAQMD grant requires that, “the existing (old) engine must be destroyed and rendered permanently unusable and irreparable. There must be no cannibalization of parts from the old engine” (Contract 13441 Section 10D). The SCAQMD contract also requires that the Authority make five of the decommissioned legacy locomotives available for demonstration of various alternative fuel technologies. On December 14, 2018, the Board approved the sale of five of the decommissioned locomotives to North Carolina Department of Transportation (NCDOT), fulfilling this contract demonstration requirement.

43

Sale of Decommissioned Legacy Locomotives Transmittal Date: July 19, 2019 Meeting Date: July 26, 2019 Page 2

Discussion Per the SCAQMD grant requirements partially funding the F125 Tier 4 Project, a total of 31 legacy locomotives will have their main drive and head-end power (HEP) engines destroyed by cutting holes in the engine blocks. As of July 3, 2019, the Authority has destroyed 12 locomotives from the legacy fleet, allowing for AQMD staff to inspect the legacy locomotives before and after the decommissioning occurred. Prior to the deployment of any F125 Tier 4 locomotives, legacy locomotive #866 experienced a catastrophic failure and was determined to be irreparable and functionally decommissioned. Because locomotive #866 became inoperable before the deployment of any F125 Tier 4 locomotives, SCAQMD would not allow #866 to be considered as one of the legacy locomotives to be replaced by a new Tier 4 unit. As a result, there will be a total of 32 legacy locomotives that will be decommissioned, five of which have already been sold to NCDOT. The Authority has received several inquiries from both public and private entities interested in purchasing the Authority’s decommissioned locomotives, so that new propulsion systems can be installed and the locomotives placed back into service. The Authority is also initiating a Fleet Modernization Study, which will determine if some of the decommissioned locomotives should be repurposed by the Authority for alternative propulsion application, that meets or exceeds Tier 4 emissions standards. Based on this market demand, the Authority is requesting authorization to auction up to 27 of the decommissioned locomotives in small batches of between two and five locomotives. This will allow the Authority to recoup funds, offsetting decommissioning costs and reserving net proceeds for rolling stock reinvestment, while also allowing for the completion of the Fleet Modernization Study to determine if and how many decommissioned locomotives should be repurposed for Authority use. Next Steps Staff will place small batches of the decommissioned locomotives up for auction and will provide updates about the status of the sale of decommissioned locomotives during the quarterly Tier 4 status updates. Staff will also report to the Board the results of the Fleet Modernization Study and the resultant potential need to retain some decommissioned locomotives to be repurposed for Authority use for alternative propulsion applications. Budget Impact Sales proceeds will be handled in accordance with State and Federal guidance. Prepared by: Luis Carrasquero, Interim Director, Maintenance of Equipment

Michelle Stewart, Senior Manager, Operations Neil Brown, Program Manager, Equipment-Maintenance

44

Sale of Decommissioned Legacy Locomotives Transmittal Date: July 19, 2019 Meeting Date: July 26, 2019 Page 3

Justin Fornelli Interim Chief Program Delivery

Darrell Maxey Interim Chief Operating Officer

45

TRANSMITTAL DATE: July 19, 2019 MEETING DATE: July 26, 2019 ITEM 13 TO: Board of Directors FROM: Stephanie Wiggins, Chief Executive Officer SUBJECT: Board Member – Approval for Travel Issue Director O’Connor is requesting approval from the Board for two upcoming American Public Transportation Association (APTA) conferences. Recommendation It is recommended that the Board approve travel for Director O’Connor to attend:

1) APTA Sustainability and Multimodal Planning Workshop – July 28-31, 2019 2) APTA TRANSform Conference (reimagined APTA Annual Meeting) October 13-

16, 2019 Strategic Goal Alignment This report aligns with the strategic goal to invest in people and assets. Background At the June 10, 2016 Board meeting, Finance policy FIN-8.4 – Travel Authorization and Business Expense Reimbursement was revised to include language specific to Board member travel. The approved policy states:

Board member Authority-related business travel must be pre-approved by the Board of Directors. Requests must be made in advance to the Board Secretary for inclusion in the next available Board meeting agenda. o The Authority will cover the business travel expenses of the Chair and

Vice-Chair; or appointed regular Board member that is representing the Authority at a meeting, conference, or other Board approved event.

46

Board Member – Approval for Travel Transmittal Date: July 19, 2019 Meeting Date: July 26, 2019 Page 2

Pre-approval is NOT required for travel to meetings of the Authority’s

Board and Committee(s). Pre-approval is NOT required by the Board, when travel is for the sole

purpose of officially representing Authority on its’ sponsored legislative advocacy trips. o For example: Legislative advocacy trips, include, but not limited to,

participation with Authority staff for meetings with State and/or Federal elected officials, Transportation Agencies, requests to testify at hearings, etc.

Following all business travel, the Board member must submit an AB1234 travel report at the next available Board meeting. o AB1234 report shall include the agenda (if applicable), a summary of

SCRRA related business matters, and the travel costs paid for by the Authority. The member shall work with the Board Secretary for report submission.

Travel for educational conferences is the responsibility of the member agency.

The Board Secretary will ensure that this information is shared with new board members as part of the onboarding process. Discussion Director O’Connor has requested the following travel and provided justification for the Board’s consideration and approval:

1) APTA Sustainability and Multimodal Planning Workshop – July 28-31, 2019 to be held in Boston, Massachusetts1 As a member of the Metrolink Board (Alternate Director) I would like to continue to participate with the American Public Transportation Association (APTA) as one of the representatives from Metrolink. I have been active with APTA for 20 years and am currently a member of its Sustainability Committee and Planning, Policy and Program Development Committee. I have served on committees including the Nominating Committee, Sustainability Commitment Signatories Subcommittee, Metropolitan Planning Subcommittee, and Intergovernmental Issues Legislative Subcommittee.

1 The program for the conference is provided as Attachment A.

47

Board Member – Approval for Travel Transmittal Date: July 19, 2019 Meeting Date: July 26, 2019 Page 3

I would like to attend the upcoming Sustainability Workshop (which has evolved into a combined workshop with Multimodal Planning) as well as the annual General meeting, rebranded as the TRANSform Conference. I have participated in every Sustainability Workshop since the APTA program began (representing both Metro and Santa Monica’s Big Blue Bus) and have participated in many of the Annual conferences. I am looking forward to now participating as a rail authority representative at APTA. In addition to continuing on with the Sustainability Committee, I would participate in the Rail Committee and attend sessions focused on commuter rail and rail issues at the conferences and in-between (online and teleconference). The Sustainability and Multimodal Workshop includes sessions on electrification, climate action planning, social and economic sustainability, and station area mobility hubs among other issues.

2) APTA TRANSform Conference (reimagined APTA Annual Meeting) October 13-16, 2019 to be held in New York, New York2 At the TRANSform annual meeting I would attend the Rail Committee meeting and the Commuter and Intercity Passenger Rail Legislative Subcommittee meetings to learn about those issues. Sessions include improving system resilience to natural disasters, transit and MPOs as partners in regional decision making, and global lessons and practices for rail among other sessions. I believe that as one of the Metrolink agency members at the conferences I can represent our agency well and strengthen partnerships with other organizations and APTA. Also by participating I will increase my knowledge of issues relevant and significant to Metrolink. I ask for your support to attend these conferences.

Next Steps If approved, the Board Secretary will ensure travel arrangements are made and AB1234 reports filed upon completion of each conference. Budget Impact The amounts for which approval is requested are included in the Adopted Operating Budget for FY2019-20. Prepared by: Kari Holman, Board Secretary / Chief, Board Relations Pam O’Connor, Board Member 2 The program for the conference is provided as Attachment B.

48

2019 Sustainability & MultimodalPlanning Workshop - ProgramThis page is a preliminary overview of the conference schedule andsubject to change.

Go to:Sunday, July 28 Monday, July 29 Tuesday, July 30 Wednesday, July31

Sunday, July 28A Multimodal Tour10 a.m. - 4:30 p.m.

Prior to the start of the APTA Sustainability & Multimodal PlanningWorkshop, maximize your training and travel dollars by joining us firstfor a Multimodal Tour in Boston. This tour will be conducted by MBTAstaff and will take you across over eight modes - BRT, commuter rail,intercity rail, light rail, heavy rail, bus, trackless trolley, and ferry - inMBTA's system. This tour is at capacity and will no longer beingaccepting registrants.

Hingham Ferry Terminal12:15 - 5:30 p.m.

My APTA

My Pro�le

My Transactions andEvents

Meeting Registration

Bookstore

Frequently AskedQuestions (FAQ)

Member Directory

Member Programs andServices

Attachment A

49

http://www.apta.com/members/MyAPTA/Pages/MyAPTA.aspx

https://www.aptagateway.com/eweb/Dynamicpage.aspx?webcode=IndivInfo&Site=MYAPTA

https://www.aptagateway.com/eWeb/DynamicPage.aspx?webCode=MT

http://www.apta.com/mc/pages/default.aspx

http://www.apta.com/resources/bookstore/Pages/Bookstore.aspx

http://www.apta.com/members/MyAPTA/Pages/faq.aspx

https://www.aptagateway.com/eweb/DynamicPage.aspx?Webcode=APTAMembershipSearch

http://www.apta.com/members/memberprogramsandservices/Pages/Default.aspx

This tour will take participants on a 40-minute trip across Boston Harborto Hingham, one of the oldest colonized communities in the US withEnglish settlers arriving nearly 400 years ago. Hingham and itsneighboring Town of Hull are served by ferry (as well as by commuterrail) to downtown Boston. At the Hingham Terminal, visitors will tour thenew Hingham Intermodal Facility, which is the launch point not only forferries to Boston but also to the Boston Harbor Islands, a 34 islandNational Park. The Hingham Intermodal Facility is a LEED Silver facilitythat includes a geothermal heat exchange system as well as a greenroof. Participants will then make the 40-minute return trip back todowntown Boston.

Advanced sign up will be required to ensure that there is sufficientinterest in the tour. Please reconfirm on site for the tour(s) of yourchoice at the MBTA information desk in the APTA registration area inthe Westin Boston Waterfront. Tours will be limited to 20 people. Pleaseemail APTA's Elizabeth Lovinggood to register [email protected].

Fare Collection Model Lab Tour1 - 4:30 p.m.

In 2007, the MBTA launched its Automatic Fare Collection System, acontactless card system (i.e., The Charlie Card) that replaced the token.The MBTA is in the process of moving to a new fare system (so called“AFC 2.0”). This new fare collection system will require passengers topurchase their fare before boarding any vehicle. Passengers will berequired to tap their fare media (either an MBTA issued card,contactless credit card, or mobile device) as they board and will be spotchecked as part of the proof of payment system. This approach shouldsignificantly speed up boarding, and allow for all door boarding. TheModel Office is a test lab which contains each device that will beinstalled as part of the new fare system. The devices are used to testand prove compliance prior to installation. These devices include fullfunction vending machines, transition and new gates, platform andvehicle validators. The tour will include a brief overview of the projectand a chance to interact with the equipment. The MBTA will also havestaff on hand to discuss how it plans to integrate the new system whilethe existing system is in place, as well as discuss issues such asimplementing a proof of payment system, Title XI ramifications,changes that operators will experience, and a series of otherconsiderations.

Attachment A

50


Given the size of the Model Office, the tour will be limited to 15participants. Please email APTA's Elizabeth Lovinggood to register [email protected].

Sustainability & Transit-Oriented DevelopmentTour1 - 4:30 p.m.

This tour will feature the sustainability elements and transit-orienteddevelopments in MBTA's system. This tour is at capacity and will nolonger be accepting registrants.

Registration2 - 5 p.m.Harbor Foyer, Conference Level, Westin Boston Waterfront

Lanyards sponsored by GIRO Inc.

Conference giveaway sponsored by Greystone Management Solutions

Tabletop Displays3 - 5 p.m.Harbor Foyer, Conference Level, Westin Boston Waterfront

Monday, July 29Networking Breakfast7 - 8 a.m.Harbor Foyer, Conference Level, Westin Boston Waterfront

Breakfast sponsored by BSC Group, Inc.

Attachment A

51

Registration7 a.m. - 5 p.m.Harbor Foyer, Conference Level, Westin Boston Waterfront

Tabletop Displays7 a.m. - 7:30 p.m.Harbor Foyer, Conference Level, Westin Boston Waterfront

Welcome and Opening Remarks8 - 8:15 a.m.Harbor Ballroom I-II, Conference Level, Westin Boston WaterfrontIntroductory Remarks

Paul P. Skoutelas, President and CEO, American PublicTransportation Association, Washington, DCJanet R. Gonzalez Tudor, LEED AP BD+C, ENV SP, STP, Member,APTA Board of Directors; Chair, Sustainability Committee;Associate Vice President, Director, Transportation ConsultingServices, HDR, Chicago, ILCyndi Harper, Chair, Multimodal Operations PlanningSubcommittee; Manager of Route Planning, Metro Transit,Minneapolis, MN

MBTA and Partners Host Forum8:15 - 9:30 a.m.Harbor Ballroom I-II, Conference Level, Westin Boston Waterfront

MBTA faces a series of challenges and opportunities as it works toaddress the 21st century transit needs in an area that hosts the oldesttransit system in the Americas. Leadership from the MBTA will bediscussing their recent accomplishments as well as plans that areunderway that are designed to maximize mobility, improve efficiency,build resiliency and integrate technology and emerging transportationoptions into its core system At the Workshop, attendees will hear fromMBTA and its partners about how it is addressing the ever increasingand changing demands on transit as well as how it is rethinking thenetwork to integrate technology so as to provide a transit network thatcontinues to meet the needs of its customers and the communities itserves.

Session sponsored by Vanasse Hangen Brustlin, Inc.

Attachment A

52

Sponsor Recognition

Michael J. Carragher, P.E., President and CEO, Vanasse HangenBrustlin, Inc. (VHB), Watertown, MA

Panelists

Katherine Fichter, Assistant Secretary for Policy Coordination,Massachusetts Department of Transportation, Boston, MAChris Osgood, Chief of the Streets, Transportation, and Sanitation,Office of the Mayor, Boston, MASteven Poftak, General Manager, Massachusetts BayTransportation Authority, Boston, MA

Connecting to the Grid: What's Ahead for OurFleets and Infrastructure?9:45 - 11:15 a.m.Lewis, Conference Level, Westin Boston Waterfront

Transit agencies and regulators are studying the rapidly evolving worldof electrification and automation, and what this will mean for fleets andinfrastructure. Considering the parking lots and decks, maintenancefacilities, and depots that are a part of transit agencies, theinfrastructure necessary for electric charging (for both customer andtransit vehicles) and the technology for power sharing and distributedgeneration are among the myriad of considerations that will need to beincorporated into long-term asset management and operations plans.This moderated panel will explore transit electrification and the resultingpower demand, demand management and grid integrationopportunities. It will examine the role of regulatory agencies, publicutility commissions, and the private sector in electrifying thetransportation network and how agencies should plan to work withthese stakeholders. Grid capacity, costs, parking spot locations,evolving technologies, ride-sharing, commuter and para-transit, andenvironmental benefits are among the topics that will be covered in thiswide-ranging discussion and audience Q&A.

Moderator

Steven H. Santoro, Director of Rail and Transit, Dewberry,Bloomfield, NJ

Panelists

Adam Zellner, President, Greener By Design; Member, Board ofTrustees, New Jersey Clean Cities Coalition (NJCCC), NewBrunswick, NJ

Attachment A

53

Richard S. Mroz, Esq., Managing Director, Resolute Strategies,Haddonfield, NJMark Smith, Technology Integration Program Manager, VehicleTechnologies Office, U.S. Department of Energy, Washington, DCPhilip Jones, President, Phil Jones Consulting; Executive Director,Alliance for Transportation Electrification , Seattle, WA

Equity and Low-Income Fares9:45 - 11:15 a.m.Burroughs, Conference Level, Westin Boston Waterfront

Transit agencies are transitioning from paper-based to electronic faresystems. This transition presents both opportunities (such as enablingfare capping, facilitating a low-income fare) and concerns (cost andavailability of fare cards, unbanked customers) with regard to equity.Hear how three of the leading transit systems analyzed impacts,engaged the public to understand, and addressed equity issues. Discusshow aspects of their approach could be applicable to your system.

Moderator

Sally Goodman, Co-Chair, Environmental Justice/Title VISubcommittee; Title VI Program Administrator, AC Transit(Alameda Contra-Costa Transit District), Oakland, CA

Panelists

Diana Hammons, Senior Manager, Revenue Collection & Sales,San Francisco Municipal Transportation Agency, San Francisco,CAChris Arkills, Government Relations Officer, King County Metro ,Seattle, WAMary B Capistrant, Metro Transit, Minneapolis, MN

Making the Most of a Moment9:45 - 11:15 a.m.Harbor Ballroom III, Conference Level, Westin Boston Waterfront

Sometimes an unplanned event allows us to try out new ideas and think“outside the box.” Situations such as losing a main highway or arterialinto downtown, special events and the unexpected closure of a keyfacility or part of infrastructure can be an opportunity to be creative andtake a chance. Sometimes projects that we dread the most can result innew opportunities and ways of doing business. Hear how your peershave planned effectively, coordinated with others under extenuating

Attachment A

54

circumstances and have been flexible to weather the disruption andcome out stronger in the end.

Moderator

Peter G. Cafiero, Managing Director, Inter-Modal Planning,Washington Metropolitan Area Transit Authority, Washington, DC

Leveraging Interagency Cooperation to Reduce Transit Impacts duringSpecial Events, Filming and Cons

Jonathan Kibrick, Transportation Planner and Film Coordinator,San Francisco Municipal Transportation Agency (Muni), SanFrancisco, CA

Lessons Learned with the Opening (and Abrupt Closure) of a Multi-Agency Transit Hub

Linda Morris, Senior Transportation Planner, AC Transit (AlamedaContra-Costa Transit District), Oakland, CA

“Juicing the ‘Seattle Squeeze’: Lessons Learned from Seattle’s SR-99Closure”

Benjamin Smith, Senior Transportation Planner, City of SeattleDepartment of Transportation, Seattle, WA

Disrupting Delays: How to Survive and Thrive in Major FreewayConstruction Using Transit

Benjamin Surma, Data Management Analyst, Metro Transit,Minneapolis, MN

Speaker Luncheon11:30 a.m. - 1 p.m.Marina Ballroom I-III, Lobby Level, Westin Boston Waterfront

Lunch sponsored by HNTB Corporation

Guest Speaker: Service Planning and Sustainability- Using Data to PullBack the Curtain

Kevin B. Quinn, Jr., Member, APTA Board of Directors;Administrator, Maryland Transit Administration, Baltimore, MD

Bus Rapid Transit

Attachment A

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1:30 - 3 p.m.Harbor Ballroom III, Conference Level, Westin Boston Waterfront

Now that BRT is a well-established mode in North America, how has itchanged the transit landscape in our cities? Join this session to hearbest practices and lessons learned from BRT projects and servicesacross the county. Specifically, this session will focus on issues relatedto scheduling and operations that are critical to consider when planningfor a new BRT line. This will include the interaction of BRT service withlocal and other services operating along shared corridors. Successfulstrategies that result in increased ridership will be addressed as well asexamples of how transit priority measures have best been used toensure the speed and reliability required for BRT.

Moderator

Lacy Bell, Corridor Operations Director (BRT), Sound Transit,Seattle, WA

Finding the Right Mix: Evolving Approaches to Balancing BRT andLocal Underlay Bus Service

Adam N Smith, Senior Planner, Metro Transit, Minneapolis, MN

Is this Real BRT? Is this Just Fantasy?

William Chow, Service Planner, Sound Transit, Seattle, WA

Piloting Bus Rapid Transit Elements on Massachusetts Avenue

Matthew Duranleau, Transportation Consultant, Vanasse HangenBrustlin, Inc. (VHB), Watertown, MAJenny Raitt, Director, Planning and Community Development,Town of Arlington, Arlington, MA

Environmental Management Systems1:30 - 3 p.m.Burroughs, Conference Level, Westin Boston Waterfront

The transit industry has widely implemented EnvironmentalManagement Systems (EMSs) based upon the ISO 14001 Standard. FTAhas been instrumental in this adoption, through its EMS Training andAssistance Program. With over a decade of experience with 43 agencies(including 14 that have achieved ISO 14001 certification) this programhas a wealth of experience in the implementation of EMS at transitagencies. While the success of EMS depends on how the agencycapitalizes on the use of the program to suit their agency profile, thereare underlying challenges and corresponding solutions unique to each

Attachment A

56

agency’s EMS goals. This panel session will provide an opportunity todiscuss these challenges, best practices and lesson learned with EMStransit practitioners from the two largest transit agencies in the UnitedStates.

Moderator

Steven Eget, Environmental Group Manager, Dewberry,Parsippany, NJ

Panelists

Antoinette Quagliata, LEED AP, Environmental ProtectionSpecialist, Federal Transit Administration, Washington, DCThomas Abdallah, Chief Engineer, Capital Program Management,MTA New York City Transit, New York, NYDr. Emmanuel "Cris" Battad Liban, PE. ENV SP, Co-Chair,Sustainability Commitment Signatories Subcommittee; ExecutiveOfficer, Environmental Compliance and Sustainability, LosAngeles County Metropolitan Transportation Authority, LosAngeles, CA

The Future of Sustainable Transit OrientedDevelopment1:30 - 3 p.m.Lewis, Conference Level, Westin Boston Waterfront

In a time when cities are committing to lead the fight against climatechange, transit oriented development can be a powerful tool for positiveimpact. TODs have high potential to bring more density to a community,to mitigate a city’s environmental footprint, to decrease private car use,and to boost transit ridership. As the backbone of TOD, publictransportation is a critical component of TOD and land use planning.Planning for TOD can yield countless benefits for public transportation,sustainable communities, and efficient land use. New trends in mobility,such as autonomous and connected vehicles and micro mobility, willimpact parking policies and equity concerns. Join this session to hearfrom experts in the field that are making great strides in advancingsustainable TOD.

Session sponsored by Greystone Management Solutions

Moderator

John J. Loughran, AIA, AICP, PP, LEED, Senior Urban Strategist,WSP USA, New York, NY

Attachment A

57

May You Live in Interesting Times

David D. Dixon, FAIA, Vice President, Planning and Urban DesignLeader, Urban Places, Stantec, Boston, MA

Closing the Sustainability Loop with Equitable Transit-OrientedDevelopment

John Hersey, Senior Associate for Transit-Oriented Development,Regional Transportation District, Denver, CO

Case Study: Incorporating a Battery Bus Maintenance Facility into aMixed Use Development

Marc DeSchamp, Project Manager - Bus Practice Lead, Jacobs,Boston, MA

Climate Action Planning3:15 - 5 p.m.Burroughs, Conference Level, Westin Boston Waterfront

The changing climate undermines the system’s ability to performreliably, safely, and efficiently. Heavy precipitation, coastal flooding,heat, and changes in average precipitation and temperature threaten theperformance of the entire network, with critical ramifications for safety,environmental sustainability, economic vitality and mobility, congestion,and system reliability, particularly for vulnerable populations and urbaninfrastructure. Hear how agencies are collaborating and partnering withcities, states, universities, and nonprofits in developing climate actionplans and leading the way towards a healthier and more sustainablefuture.

Moderator

Kara Angotti, Senior Sustainability Manager, AMTRAK,Philadelphia, PA

CLIMATE CHANGE PROGRAMS IN A CHALLENGING PUBLIC TRANSITCLIMATE

Becky Collins, LEED AP O+M, Corporate Initiatives Manager -Sustainability, Office of Innovation, Southeastern PennsylvaniaTransportation Authority (SEPTA), Philadelphia, PA

Transit Contribution to a Resilient Region

Amna Parson, Transit Planner, Pinellas Suncoast TransitAuthority, St. Petersburg, FL

Path to Carbon Neutral: King County Metro's efforts to strengthenoperational GHG emission targets

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Chester Knapp, Transportation Planner III, King County Metro ,Seattle, WA

BART Climate Resiliency from Policy to Practices

Tian A. Feng, FAIA, FCSI, District Architect, San Francisco BayArea Rapid Transit District (BART), Oakland, CA

Recent Topics in Scheduling3:15 - 5 p.m. Harbor Ballroom III, Conference Level, Westin Boston Waterfront

Scheduling is a backbone element of transit service, but it is oftenunder-appreciated and its elements are not well understood by manywithin the transit industry. In this session presentations will cover recentscheduling challenges and issues tied to data and technology changes,as well as old standards of cost and staffing issues involved with use ofpart-time bus operators and obtaining customer feedback once newschedules have been implemented. The information should be useful toall multimodal operations and sustainability attendees who can learnlessons on some key points they may not be exposed to elsewhere.

Moderator

Michael Abegg, 2nd Vice Chair, Multimodal Operations PlanningSubcommittee; Principal, Minuteman West Consulting Group,Benicia, CA

Part-time Bus Operators: Worth Another Look?

Daniel Boyle, 1st Vice Chair, Multimodal Operations PlanningSubcommittee; President, Dan Boyle & Associates, Inc., SanDiego, CA

"That's Easy For You To Say": Delivering on Consultant SchedulingPromises For System Reimagining

Imad Haj-Ismail, Manager of Scheduling, Metropolitan TransitAuthority of Harris County, Houston, TX

Signups in Pajamas: How SF Muni Got Its Operators to Bid Online

Leslie Bienenfeld, Senior IT System Engineer & TransportationPlanner, San Francisco Municipal Transportation Agency, SanFrancisco, CA

A New Approach to Customer Feedback

Trey Blaise, [email protected], Schedule & Service DesignAnalyst, Metra, Chicago, IL

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Successful Outreach and Engagement3:15 - 5 p.m.Lewis, Conference Level, Westin Boston Waterfront

Most of us think of outreach in terms of engaging the general public andelected officials, and that is important. Reviewing customer complaintscan also lead to a better understanding the customer experience andinfluence changes to policies and practices that ensure equitableaccess for all, including customers with disabilities. Meaningfulcommunity engagement with disadvantaged communities can affectpositive change. Having a deliberate and consistent approach to publicparticipation on all projects provides staff with the support needed tomeet high standards of practice, such as agency-wide requirements,staff resources and training and on-going relationship building.Successful inter-agency coordination, especially with other providers inyour region, can improve the customer experience while also respectingeach organization. Join this session to hear how agencies are workingwith others most successfully.

Moderator

Nathan Higgins, Principal, Cambridge Systematics, Inc., Medford,MA

Public Outreach & Engagement Team Strategy Program (POETS)

Deanna J. DeSedas, Public Outreach & Engagement Manager, SanFrancisco Municipal Transportation Agency, San Francisco, CA

Using the Customer Experience to Influence Policy Change andPractice

Jeffrey Michael Jackson, Management Analyst - OperationsAdministration, Santa Clara Valley Transportation Authority, SanJose, CAMehakmeet Saini, Human Resources Analyst-Office of CivilRights, Santa Clara Valley Transportation Authority, San Jose, CA

Inter-Agency Fare Coordination and Joint Implementation -- How to beSuccessful

Mary Kate Morookian, Transit Planner, Kimley-Horn andAssociates, Inc., Raleigh, NC

Multimodal Operations PlanningSubcommittee Meeting5:30 - 6:30 p.m.Harbor Ballroom III, Conference Level, Westin Boston Waterfront

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The Multimodal Operations Planning Subcommittee's mission isto serve as an industry focal point for the dissemination anddevelopment of best practices, standards, and technical production ofpassenger transport operating schedules, plans, policies, andprocedures, intended to enhance the effectiveness of route and servicescheduling, planning, intermodal transfers, and training in the practice ofpassenger transport operating scheduling, service planning, intermodaltransfers, and facility design. This meeting is open to anyone interested;subcommittee membership is limited to any APTA member. There is noneed to RSVP in advance.

Sustainability Commitment SignatoriesSubcommittee Meeting5:30 - 6:30 p.m.Carlton, Conference Level, Westin Boston Waterfront

The Sustainability Commitment Signatories Subcommittee directlyoversees the development of the APTA Sustainability Commitmentprogram. This meeting is open to anyone interested; committeemembership is limited to Commitment signatories.

Evening Reception6:30 - 7:30 p.m.Harbor Foyer, Conference Level, Westin Boston Waterfront

Reception sponsored by Jacobs

Tuesday, July 30Battery Electric Bus Subcommittee Meeting7 - 8 a.m.Carlton, Conference Level, Westin Boston WaterfrontThe newly-formed Battery Electric Subcommittee will meet for the firsttime to introduce the purpose of the subcommittee and invite input fromAPTA members on focus areas and activities for the group. Thesubcommittee’s mission is to facilitate discussion and sharing ofinformation and best practices around battery electric bus andcharger deployment. APTA staff will invite attendees to provide input

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that can be used in developing the subcommittee’s work plan for thecoming year. This meeting is open to anyone interested; subcommitteemembership is limited to any APTA member. There is no need to RSVPin advance.

Envioronmental Justice/Title VI SubcommitteeMeeting7 - 8 a.m.Harbor Ballroom I, Conference Level, Westin Boston WaterfrontThe Environmental Justice/Title VI Subcommittee will meet for the firsttime at this year's workshop. Its mission is to raise awareness ofenvironmental justice, Title VI, and equity issues in transportation plans,programs, project development and transit services. This meeting isopen to anyone interested; subcommittee membership is limited to anyAPTA member. There is no need to RSVP in advance.

Networking Breakfast7 - 8 a.m.Harbor Foyer, Conference Level, Westin Boston Waterfront

Sponsored by AECOM

Registration7 a.m. - 5 p.m.Harbor Foyer, Conference Level, Westin Boston Waterfront

Tabletop Displays7 a.m. - 5 p.m.Harbor Foyer, Conference Level, Westin Boston Waterfront

Data and Technology8 - 9:30 a.m.Harbor Ballroom III, Conference Level, Westin Boston Waterfront

With some many recent advances in technology, many transit agenciesnow find themselves inundated with data and looking for ways totranslate this information into improved performance and service. Weoften struggle to present all this data to decision-makers in a compelling

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way but data visualizations and dimensions can help make the case.High resolution AVL data can be used to prioritize transit prioritytreatments and evaluate their effectiveness. Accurate data fromimproved technology can also enhance internal operations and helpdiagnose performance issues and prescribe appropriate actions.Analyzing the data allows agencies make meaningful serviceadjustments that improve the customer experience.

Moderator

Stephen Newhouse, Project Manager, Bus Speed and Reliability,South Coast British Columbia Transportation Authority(TransLink), New Westminster, BC

Planning Priority with Pings

Tal Green, P.E., San Francisco Municipal Transportation Agency(Muni), San Francisco, CA

A picture is worth a thousand words: Telling a better story with datavisualizations

Parveen Kaur Sarana, Transportation Planner, South Coast BritishColumbia Transportation Authority (TransLink)

Schedule Adherence Playbook

Michael O. Helta, Chief Innovation Officer, Maryland TransitAdministration, Baltimore, MD

Using Data (and lots of it) to Improve the Customer Experience

Lawrence Deeter, Principal Planner, Capital MetropolitanTransportation Authority, Austin, TX

Social and Economic Sustainability8 - 9:30 a.m.Lewis, Conference Level, Westin Boston Waterfront

How and why are economic, social, and health assessments used insustainability? When and how are they implemented? How can it helpmy organization? Applying these key processes within the over-archingsustainability framework can assist organizations in thinking,communicating, planning, and designing creatively to help leadershiprealize a more effective feature. Thinking through a sustainabilitycontext to identify and evaluate opportunities associated with economicand social impacts is increasingly being used to prioritize whichinitiatives, programs, and processes best meet the triple bottom line.Hear from these speakers as they discuss initiatives from transitagencies to create more opportunities for workforce development,

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social justice, health assessment, community building and engagement,and economic development within their agency and in transportationprojects.

Moderator

Sarah Buckle, Director, Enterprise Risk and Sustainability, SouthCoast British Columbia Transportation Authority (TransLink), NewWestminster, BC

Economic and Social Sustainability of Emerging TransportationOptions

Pamela Yonkin, ENV SP, Sustainability & Resiliency Director ofTransportation, HDR, Boston, MA

Social and Economic Sustainability Performance Measures for PublicTransportation

Heather Unger, LEED AP, ENV SP, Corporate SustainabilityManager, Louis Berger, Morristown, NJ

Beyond "Green": Enhancing the social aspect of data-drivensustainability programs

Ryan McAlpine, MDOT MTA Sustainability Program Coordinator,WSP USA, Baltimore, MD

Transit and Emerging Mobility8 - 9:30 a.m.Burroughs, Conference Level, Westin Boston Waterfront

The emergence of shared mobility services in recent years hasencouraged a rethinking of how transit agencies can best meet theircustomers’ mobility needs. It is important to create partnerships anddetermine how these new players can complement traditional transitservice. The presentations will include solutions to first and last mileissues, establishment of partnerships between transit agencies andother mobility providers, integration of TNCs into traditional transitservice operations, developing apps for a seamless customerexperience and initializing a plan for a mobility strategy of tomorrow.The topics covered in this session should be of equal interest toattendees with a transit focus and those with a sustainability focus,because these issues are at the core of future transportation planning.

Moderator

Regina Clewlow, Ph.D., CEO & Co-Founder, Populus, SanFrancisco, CA

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Providing Mobility as a Service in San Joaquin Regional TransportationDistrict

Ryan J. Larsen, Senior Vice President, Ecolane USA, Inc., Elk Horn,IA

One Size Never Fits All - Building an Integrated Mobility Network of theFuture

Corey Holder, King County Metro , Seattle, WA

Using TNCs to Complement Fixed Route Service

Nicole Dufva, Public Engagement Planner, Pinellas SuncoastTransit Authority, St. Petersburg, FL

Stuck in the Middle with You – Addressing Denver’s First and Last MileProblem

Paul DesRocher, Manager, Planning Coordination, RegionalTransportation District, Denver, CO

A Multimodal Potpourri9:45 - 11:15 a.m.Harbor Ballroom III, Conference Level, Westin Boston Waterfront

Come learn a little about a lot. This potpourri features sessionsthatdidn’t fit neatly into one of the designated topic areas but are toogood topass up!

Moderator

John FitzGibbon, Director-Planning & Scheduling, City ofEdmonton, Edmonton, AB

A comparison of contracting approaches in the Twin Cities region

John Harper, Manager, Contracted Transit Service, MetropolitanCouncil, St. Paul, MN

Inreach – Tapping into Bus Operator feedback and closing thefeedback loop

Keisha Farrell, Transit Planner - Inreach Coordinator, MDOT MTA,Batimore, MDKenneth Good, Maryland Transit Administration, Baltimore, MD

Designing a Transit Network for the People

Scott Hamwey, Manager of Long-Range Planning, MassachusettsDepartment of Transportation, Boston, MA

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Integrating Health and Wellness for LivableCommunities9:45 - 11:15 a.m.Burroughs, Conference Level, Westin Boston Waterfront

Creating safe, accessible streets and improving access to healthcareservices and providers and healthful amenities go far in building andpromoting healthy, livable communities. Frameworks such as the CDC’sSocial determinants of Health and the HUD Promise Zone prioritiesinvite the participation of transit and mobility professionals to developintegrated livable communities. What are the politics, processes andmechanics of integrating health, active transportation, and equity issuesinto the planning and design of livable communities especiallycapitalizing on diverse Federal initiatives? What is the link between howwe build our cities and transportation networks, and the physical, social,mental and economic wellness of our communities? Hear your peers'techniques and perspectives in tapping into diverse Federal programs,integrating health impact in decision-making and active transportationin service planning, community design, and planning for healthycorridors.

Moderator

Peter Varga, INIT Innovations in Transportation Inc., Chesapeake,VA

Transit's Multipronged Approach to Improving Health & Wellness

Jacob Labutka, Transit Planner, Pinellas Suncoast TransitAuthority, St. Petersburg, FL

Integrating Transit in Federal Health & Housing Frameworks to CreateLivable Communities

Judy L. Shanley, Ph.D., Co-Director, National Center for MobilityManagement; Assistant Vice President, Education & YouthTransition, Easterseals, Chicago, IL

Riverside Greenway - Closing Network Gaps

Dieckmann Jane Cogill, Transportation Planning Manager,Jacobs, Boston, MA

Sustainable Projects and Programs9:45 - 11:15 a.m.Lewis, Conference Level, Westin Boston Waterfront

Transit capital projects can save energy, increase the comfort, health

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and safety of users, and help steward valuable environmentalresources. Join this session to hear agency experiencesin incorporating energy and environment measures into the planning,design, finance, construction, and maintenance of transit facilities andinfrastructure.

Moderator

Margaret Cederoth, AICP, LEED AP, Sustainability Director, WSPUSA, Sacramento, CA

Walk Bridge Replacement Project: A Sustainable Project for Norwalk &the Northeast Corridor

Sarah N Walker, Senior Planner, HNTB Corporation, Boston, MA

Moving Metro Towards Energy Efficiency

Emma West, Sustainability Analyst, Washington Metropolitan AreaTransit Authority, Washington, DC

In the Balance – Trees and Transit

Julie Montgomery, Director of Architecture and Art, SoundTransit, Seattle, WAIman Rejaie, Practice Lead, HNTB Corporation, Bellevue, WA

Aligning Sustainability and Asset Management

Ryan McAlpine, MDOT MTA Sustainability Program Coordinator,WSP USA, Baltimore, MD

Speaker Luncheon11:30 a.m. - 1 p.m.Marina Ballroom I-III, Lobby Level, Westin Boston Waterfront

Lunch sponsored by WSP USA

Guest Speaker

Gina McCarthy, Director of the Center for Climate, Health and theGlobal Environment (C-CHANGE), Harvard University, Boston, MA

Consistently Getting There Faster

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1:30 - 3 p.m.Harbor Ballroom III, Conference Level, Westin Boston Waterfront

Transit agencies are faced with declining operating speeds inincreasingly congested environments. There are many tools to improvespeed and reliability. Stop spacing can be a controversial balancing act-trying to find the right relationship between service access and travelspeeds is difficult. Bus stop inventory and GIS spatial data can be usedto design an analytical scoring process and create a custom stop-spacing analysis model. Bus stop optimization projects can create anefficient network of stops spaced according to industry best practicesand reflecting ridership and land use. Using your data to identify andprioritize the stops in need of accessibility and geometric improvementsallows passengers to board and alight in a safe, accessible manner.Understanding transit operations and traffic engineering can helpaddress the challenges that impact route performance and servicequality. Creating environments where transit is the priority and applyingrapid transit design principles to “regular” bus routes can help maintain& grow ridership in a challenging marketplace.

Moderator

Paul Bignardi, AICP, Immediate Past Chair, MultimodalOperations Planning Subcommittee; Principal TransportationPlanner, San Francisco Municipal Transportation Agency, SanFrancisco, CA

Increasing Ridership with Transit-Priority Streets in San Francisco

Steve Boland, San Francisco Municipal Transportation Agency(Muni), San Francisco, CA

Mitigating Traffic to Improve Bus Operations: Lessons from NYC

Elad Mokady, AICP, Senior Transit Planner, Sam SchwartzEngineering, New York, NY

Building a Case for Data-Driven Bus Stop Accessibility andStandardization

Thomas Hewitt, Jr., Director, Office of Service Development,Maryland Transit Administration, Baltimore, MD

Bus Stop Spacing and Reliability

Jimi Mitchell, Senior Associate, Nelson\Nygaard ConsultingAssociates, Inc., Los Angeles, CA

Station Area Planning for Mobility Hubs

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1:30 - 3 p.m.Burroughs, Conference Level, Westin Boston Waterfront

Many transit agencies are planning for or transitioning their transit hubsinto integrated mobility hubs and tying in broader long-term goals fortransit corridors, shared mobility, and mobility-as-a-service. MobilityHubs provide a focal point in the transportation network that seamlesslyintegrates different modes of transportation, multi-modal supportiveinfrastructure, and place–making strategies to create activity centersthat maximize first–mile last mile connectivity. Join this session to hearhow agencies are investing in technology and shared mobility forenhanced customer experience and regional mobility outcomes.

Moderator

Joseph T. Iacobucci, Director of Transit, Sam SchwartzEngineering, New York, NY

Smart Stations: How Smart Tech is Being Used to Alleviate CustomerPain Points

Sasha Pejcic, Managing Principal, Transit Advisory Lead, Stantec ,Dallas, TX

Mobility Hubs

Chris Arkills, Government Relations Officer, King County Metro ,Seattle, WA

Sustainable Business Practices1:30 - 3 p.m.Marina Ballroom I-III, Lobby Level, Westin Boston Waterfront

Incorporating sustainability into business practices involves theexamination of long-term practices that establish new ways ofconducting business, from the sustainable construction andmaintenance of infrastructure to green procurement. Hear from thesepresenters on practices that achieve these goals, including bestmanagement practices for energy efficiency, wastemanagement, and establishing targets and measuring performance.

Moderator

Kari Hewitt, Director of Sustainability, Vanasse Hangen Brustlin,Inc. (VHB), Watertown, MA

Aspirational to Bona Fide Sustainable Waste Management

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Jeffrey A. Freeman, Sr. Project Coordinator, Metro Transit,Minneapolis, MN

Role of Sustainability in Accelerating Transit Electrification

Christina Jaworski, Senior Environmental Planner, Santa ClaraValley Transportation Authority, San Jose, CA

An À La Carte Approach to Incorporate Sustainable Processes andProjects at JTA

Alexander Traversa, Planner II/ GIS Analyst, JacksonvilleTransportation Authority, Jacksonville, FL

Lighting the way to energy efficiency and improved rider experience

Serena Mau, Sustainability Project Manager, San Francisco BayArea Rapid Transit District (BART), Oakland, CA

Roundtable Idea Exchanges3:15 - 5 p.m.Marina Ballroom I-III, Lobby Level, Westin Boston Waterfront

Join us for an interactive roundtable conversation focused on differentpublic transport trending topics. With over two dozen selected currenttopics, attendees will have the option of picking up to two topics to “sitin” for and contribute to a discussion facilitated by an industry expert.Each roundtable will begin with a short introduction to the topic from thefacilitator, and then he or she will open it up for broader discussion withthe whole table. Be part of the movement and what is slated to be anenthusiastic discussion over coffee with your peers!

ADRESSING SCHEDULING CHALLENGES WHEN TRANSITIONING TO E-BUSES

Houari Cheikhi, Business Development Director, GIRO Inc.,Montreal, QC

Beyond Checking The Box: impact mitigation driven by communitypartnerships and Hawaiian values

Dr. Ryan Tam, Assistant Deputy Director of Planning, HonoluluAuthority for Rapid Transportation, Honolulu, HI

Designing a Transit Network for the People

Scott Hamwey, Manager of Long-Range Planning, MassachusettsDepartment of Transportation, Boston, MA

Battery Electric Buses: The Story of Phase I and Beyond

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Jacob Labutka, Transit Planner, Pinellas Suncoast TransitAuthority, St. Petersburg, FL

Scaling Up a Successful Environmental Management System

Meghan Schulz, Environmental Safety Planner, SoutheasternPennsylvania Transportation Authority (SEPTA), Philadelphia, PA

“Oh, The Shuttle and the Bus, They Can Be Friends: Seattle’s EmployerShared Transit Stop Program”

Benjamin Smith, Senior Transportation Planner, City of SeattleDepartment of Transportation, Seattle, WA

Making Headways: Managing the Transit Scheduling Workforce in aTime of Change

Michael J. Walk, Research Scientist & Program Manager, TexasA&M Transportation Institute, Austin, TX

Where the Rubber Meets the Road: Strategies and Tools for IntegratingTransit into Curb Management

Daniela Waltersdorfer, Cambridge Systematics, Inc., Medford, MA

First/Last Mile (Km)

John FitzGibbon, Director-Planning & Scheduling, City ofEdmonton, Edmonton, AB

Guidelines for Climate Action Planning

Deborah W. Matherly, Principal Planner, Louis Berger, Columbia,SC

Advancing the LEED Green Building Rating System for Transit Stations:Lessons Learned and the Route Forward

Lidia Berger, MEM, LEED Fellow, LEED AP BD+C, LEED AP O+M,ENV S, Director, Technical Core, U.S. Green Building Council,Washington, DCKurt William Steiner, LEED Specialist, U.S. Green Building Council,Washington, DC

Universal Design and New Mobility

Tian A. Feng, FAIA, FCSI, District Architect, San Francisco BayArea Rapid Transit District (BART), Oakland, CA

Multi-Modal Trip Planning with Shared Use Mobility

Jon Campbell, Transit Data Specialist, IBI Group, Seattle, WA

Large Scale Zero-Emission Bus Fleet Infrastructure and OperationalCosts

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ALISON SMYTH, ENGINEERING CONSULTANT, Center forTransportation and the Environment, Atlanta, GA

The strategy for energy and environment of the Railway Company inJapan

Satomi Suzuki, Assistant Manager, Environmental ManagementPlanning Office, East Japan Railway Company, Tokyo, Japan

Sustainability Committee Meeting5:30 - 6:30 p.m.Carlton, Conference Level, Westin Boston Waterfront

The Sustainability Committee's mission is to support the adoption ofsustainable principles (economic, environmental, and social) in thepublic transportation industry and to articulate public transportation’scontribution to local, regional, state, and North American sustainabilityand livability objectives. This meeting is open to anyone interested;committee membership is limited to any APTA member.

Wednesday, July 31Networking Breakfast7 - 8 a.m.Harbor Foyer, Conference Level, Westin Boston Waterfront

Registration7 - 10 a.m.Harbor Foyer, Conference Level, Westin Boston Waterfront

Tabletop Displays7 - 10 a.m.Harbor Foyer, Conference Level, Westin Boston Waterfront

Life Without Diesel: Planning for EmergingVehicle Technologies8 - 9:30 a.m.Burroughs, Conference Level, Westin Boston Waterfront

With so many transit agencies moving toward zero emission buses, it iscritical for agencies to share their experiences and lessons learned withtheir peers. The issues go far beyond the vehicles. Successfuldeployment requires bringing together aspects of planning,procurement, operations, maintenance and training. For example,

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careful route planning and operational adjustments such as drivertraining or charging opportunities can have a major impact on howsuccessfully zero emissions buses will work in your service. At thispanel, you will hear from three agencies who have deployed zeroemission buses and learn from their experiences. You will hear aboutwhat to consider when planning ZEB routes, how to coordinate withdepartments throughout your agency, operational adjustments that willhelp the buses meet revenue service demands, and a comparison of lifecycle costs for various fuel types in achieving reduced emissions.

Moderator

Bridgette Holzapfel, Director, Business Development, INITInnovations in Transportation Inc., Chesapeake, VA

Analyzing Clean Fuel Alternatives to a Battery Electric Fleet

Kate Lyman, Senior Planner, Tri-County MetropolitanTransportation District of Oregon (TriMet), Portland, OR

Lessons Learned from Operating Battery Electric Buses in the RealWorld

Tina H.T. Wu, AICP, Senior Technical Transit Planner, RegionalTransportation Commission of Washoe County, Reno, NV

Electrifying Denver's Downtown Circulator – Lessons Learned and thePath Forward

Carly Macias, Senior Transportation Planner, RegionalTransportation District, Denver, CO

Response to Declining Ridership8 - 9:30 a.m.Harbor Ballroom III, Conference Level, Westin Boston Waterfront

Ridership, particularly on bus routes, continues to decline nationally.There are a lot of theories why this is happening, but what actions arebeing taken to reverse the trend and adapt to a new marketplace?Appropriate solutions vary from place to place depending on specificconditions and there is not a “one size fits all” answer. Does the answerinclude bikes and scooters, free or reduced fares, or improved stopamenities? How does a dependable methodology grounded in ridershippropensity using GIS demographic data help rebuild perceptions ofreliability and confidence in the network? Can agencies decide whichactions have the best chance of helping us meet ridership and servicequality goals? Join this session to hear about recent initiatives, both

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traditional and non-traditional, that your agency is trying to reverse theridership decline.

Moderator

Ronald Downing, Director of Planning, Golden Gate Bridge,Highway & Transportation District, San Rafael, CA

Refining Corridor Ridership Propensity Estimates for Targeted ServiceInvestment

Aaron Xaevier, Transit Planner, Valley Metro, Phoenix, AZ

Making transit appear free to the customer is the best and mosteffective way to increase ridership

Lisa Rheinheimer, Director of Planning & Marketing, Monterey-Salinas Transit, Monterey, CA

Gimme Shelter: Universal Accessibility and Passenger Shelters

Mary Lawrence, Manager, Ridership Analysis and ServiceEvaluation, Metropolitan Transit Authority of Harris County,Houston, TX

Analyzing Changing Ridership: Taking a Local Approach

Ian Thistle, Senior Policy Analyst, Massachusetts BayTransportation Authority, Boston, MA

Partnerships for Sustainability9:45 - 11:15 a.m.Burroughs, Conference Level, Westin Boston Waterfront

Transit projects often involve a wide range of stakeholders, includinggovernment entities, transit agencies, MPOs, consultants, contractors,vendors, and suppliers, among others. How can these entities partnertogether to find innovative solutions to solve problems? Hear bestpractices for collaborating and working together to successfullyadvance sustainability objectives and implement multimodal projects.

Moderator

Lawrence J. Murphy, P.E., Co-Chair, Sustainability CommitmentSignatories Subcommittee; Senior Director | Buildings,Infrastructure & Advance Facilities, Jacobs, Wethersfield, CT

Sustainable Infrastructure through Community Partnerships

Chelsey Hohensee, Operations Manager, Rock Island CountyMetropolitan Mass Transit District (MetroLink), Moline, IL

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On Moving Sustainability: It’s Really About the People

Dr. Emmanuel "Cris" Battad Liban, PE. ENV SP, Co-Chair,Sustainability Commitment Signatories Subcommittee; ExecutiveOfficer, Environmental Compliance and Sustainability, LosAngeles County Metropolitan Transportation Authority, LosAngeles, CA

Envision: The Value of Shared Sustainability Frameworks

Anthony Owen Kane, President & CEO, Institute for SustainableInfrastructure, Washington, DC

Reimagining the Transit Network9:45 - 11:15 a.m.Harbor Ballroom III, Conference Level, Westin Boston Waterfront

Public transit agencies are updating their service networks to reflectshifting ridership patterns, changing demographics, new employmentcenters and other opportunities and challenges. Some agencies havestarted over with a clean slate, while others are making incrementaladjustments at a sub-regional scale that are still significant. Thissession will share best practices and lessons learned from industryleaders reshaping the future of their transit systems.

Moderator

Gordon Robinson, PMP, Director of Planning, Corpus ChristiRegional Transportation Authority, Corpus Christi, TX

Rapid Regional Growth - Embrace the Challenge

Linda Morris, Senior Transportation Planner, AC Transit (AlamedaContra-Costa Transit District), Oakland, CA

Cap Remap: The First Year of a New Network

Lawrence Deeter, Principal Planner, Capital MetropolitanTransportation Authority, Austin, TX

LA Metro NExtGen Bus Study: Innovating to Advance NetworkRedesign

Flavie Gagnon-Pontbriand, GIRO Inc., Montreal, QCStephen Tu, Senior Manager, Transportation Planning, LosAngeles County Metropolitan Transportation Authority, LosAngeles, CA

Blank Slate: SacRT Forward Route Optimization

James Drake, Principal Planner, Sacramento Regional TransitDistrict, Sacramento, CA

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Closing Session11:45 a.m. - 12 p.m.Harbor Ballroom I-II, Conference Level, Westin Boston WaterfrontClosing Remarks

Cyndi Harper, Chair, Multimodal Operations PlanningSubcommittee; Manager of Route Planning, Metro Transit,Minneapolis, MNJanet R. Gonzalez Tudor, LEED AP BD+C, ENV SP, STP, Member,APTA Board of Directors; Chair, Sustainability Committee;Associate Vice President, Director, Transportation ConsultingServices, HDR, Chicago, IL

Technical Tours1 - 4 p.m.

Our host, MBTA, has arranged three informative technical tours onWednesday, July 31. Advanced sign up will be required to ensure thatthere is sufficient interest in the tour. Please reconfirm on site for thetour(s) of your choice at the MBTA information desk in the APTAregistration area in the Westin Boston Waterfront. Tours will be limitedto 20 people. Please email APTA's Elizabeth Lovinggood to register [email protected].

Hingham Ferry Terminal – This tour is the same tour as the onebeing given on Sunday. See the description above for informationon this tour.The Mattapan Trolley (also called the Ashmont–Mattapan High-Speed Line) - This 2.6-mile light rail line is within the City ofBoston and neighboring town of Milton and connects to the RedLine. The line exclusively uses historic circa 1937 PCC streetcarsfor rolling stock. Unlike most rail lines running PCC cars, the line isan integral art of the transit system rather than aheritage/streetcar tourist attraction. Given the age and difficulty inmaintaining these 80+ year old vehicles, the MBTA is exploringhow the line can be adapted to meet the current and future needsof the communities. In addition to riding these vintage vehicles,participants will hear from the MBTA about its plans for thecorridor and how it is working with the communities and otherstakeholders who are eager to see the character of the line remainunchanged.Wellington Car House – This tour will take people to theWellington Carhouse, which is the maintenance facility for theOrange Line on the heavy rail system. Wellington is being

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completely overhauled to accommodate the new Orange Linevehicles. Participants will see some of the new vehicles which willbe going through testing and inspection prior to being put intoservice later in 2019. The tour will focus on the challenges facedby the MBTA to perform a complete overhaul of the Orange Linefleet and its ramifications on operations, infrastructure andsystems.

Note: Each tour will begin at approximately 1 PM and return to the hotelbetween 4:00 and 4:30 PM. All tours will involve a significant amount ofwalking and accessing transit vehicles. While not all MBTA vehicles andstations are fully accessible, the ones on the tours will are accessible.Where appropriate, the MBTA will provide Personal ProtectionEquipment (hard hats, safety vests, protective eyewear, etc.).Participants should be sure to wear footwear appropriate for amaintenance facility or construction site.

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2019 TRANSform Conference - ProgramThis page is a preliminary overview of the conference schedule andsubject to change.

Go to:Saturday, October 12 Sunday, October 13 Monday, October14 Tuesday, October 15 Wednesday, October 16

Saturday, October 12Public Agency Safety Plans Workshop8 a.m. - 12 p.m.

Commuter & Intercity Passenger RailLegislative Subcommittee10 - 11:30 a.m.Co-Chairs, Sam Smith & Karen J. Hedlund

Conference Registration Desk10 a.m. - 5 p.m.

Lanyards sponsored by Greystone Management Solutions

My APTA

My Pro�le

My Transactions andEvents

Meeting Registration

Bookstore

Frequently AskedQuestions (FAQ)

Member Directory

Member Programs andServices

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http://www.apta.com/members/MyAPTA/Pages/MyAPTA.aspx

https://www.aptagateway.com/eweb/Dynamicpage.aspx?webcode=IndivInfo&Site=MYAPTA

https://www.aptagateway.com/eWeb/DynamicPage.aspx?webCode=MT

http://www.apta.com/mc/pages/default.aspx

http://www.apta.com/resources/bookstore/Pages/Bookstore.aspx

http://www.apta.com/members/MyAPTA/Pages/faq.aspx

https://www.aptagateway.com/eweb/DynamicPage.aspx?Webcode=APTAMembershipSearch

http://www.apta.com/members/memberprogramsandservices/Pages/Default.aspx

Host Information Desk10 a.m. - 5 p.m.

APTA Board of Directors with BusinessMeeting of the Membership from 12 - 12:15p.m.12 - 5 p.m.Chair, APTA, David M. Stackrow, Sr., CPA

Sunday, October 13Membership Committee7:30 - 9 a.m.Chair, Todd Horsley

Commuter Rail CEOs Subcommittee7:30 - 10 a.m.Chair, Jeffrey D. Knueppel, P.E.

High-Speed & Intercity Passenger RailCommittee7:30 - 10 a.m.Chair, Albrecht P. Engel, P.E.

Business Member Legislative ANDProcurement Committees8 - 9 a.m.Chairs, Raymond J. Melleady & Natalie E. Cornell

Rail Standards Policy & Planning Committee8 - 9 a.m.Chair, Allen C. Smith, III

Diversity and Inclusion Council8 - 9:15 a.m.Chair, Nathaniel P. Ford, Sr.

Federal Procedures & Regulations AND TaxPolicy Legislative Subcommittees8 - 9:30 a.m.Chairs, Christopher P. Boylan & Ronald L. Epstein

Mid-Size Operations Committee

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8 - 9:30 a.m.Chair, Donna DeMartino

Conference Registration Desk8 a.m. - 6 p.m.


Moderators/Speakers & AV Preview Room8 a.m. - 6 p.m.

Education and Career AwarenessSubcommittee8:30 - 9:30 a.m.Chair, Prof. Jesus (Jess) Guerra, Jr.

American Public Transportation Foundation(APTF) Board of Directors9 - 10 a.m.Chair, Hugh A. Mose, P.E.

Business Member Business DevelopmentCommittee9 - 10 a.m.Chair, Francis "Buddy" Coleman

Transit Board Administrators Subcommittee9 - 10 a.m.Chair, Roberta Boomer

Light Rail Technical Forum9:30 - 11 a.m.Chair, Thomas B. Furmaniak, P.E.

Legal Affairs Committee9:45 - 10:45 a.m.Chair, Anthony A. Anderson

Labor and Employee Relations Subcommittee10 - 11 a.m.Chair, LaShanda Dawkins, Esq.

Transit Board Members ADA Subcommittee

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10 - 11 a.m.Chair, Douglas Lecato

Systems Engineering Subcommittee10 - 11:30 a.m.Chair, David M. Springstead

Legislative Committee10 a.m. - 12 p.m.Chair, Diana C. Mendes, AICP

Commuter Rail Committee10:30 - 11:45 a.m.Chair, Jeffrey D. Knueppel, P.E.

Bus Operations Committee10:30 a.m. - 12 p.m.Chair, Shawn M. Donaghy

P3 Real Estate Subcommittee11:30 a.m. - 12:30 p.m.Chair, Charles Di Maggio

EXPO Advisory Committee12 - 1:30 p.m.Chair, Ann Derby, CTSM

Intergovernmental Issues LegislativeSubcommittee12 - 1:30 p.m.Co-Chairs, Marlene B. Connor & Stephen E. Schlickman, JD

Rail Transit CEOs Committee12 - 1:30 p.m.Chair, Nuria I. Fernandez

Research & Technology Committee12 - 2 p.m.Chair, Jonathan H. McDonald, P.E.

Innovative Funding, Finance and P3 Committee12:30 - 2 p.m.Chair, Sharon Greene

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Leadership APTA Committee - RoundtableSession1 - 2:30 p.m.Chair, Doran J. Barnes

Marketing & Communications Committee1 - 3 p.m.Chair, JC Vannatta

Safety Coordinating Council1 - 5 p.m.Chair, Louis J. Brown, Jr., P.E.

State Affairs Committee1:30 - 3 p.m.Chair, Don Chartock

Rail Transit Committee1:45 - 3:15 p.m.Chair, Nuria I. Fernandez

This is APTA3:30 - 4:30 p.m.

How to make the most of your membership

New to APTA and feeling a bit overwhelmed? Wondering how to makethe most of APTA’s programs, research, committees and conferences?This session will get you started! Meet APTA leaders and industrycolleagues in a relaxed atmosphere designed to facilitate discussionand make connections. Following a brief presentation, you willparticipate in an open conversation with members about how you cantake full advantage of your APTA membership, and how the industry canbenefit from your engagement.

OPENING EVENT: TRANSformationalLeadership5 - 6 p.m.

Kick off 2019 APTA's TRANSform Conference with a high-profile andhigh-energy event that showcases the latest achievements and prioritiesof APTA and the industry.

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General Session sponsored by AECOM

Speakers

Paul P. Skoutelas, President and CEO, American PublicTransportation Association, Washington, DCDavid M. Stackrow, Sr., CPA, Chair, APTA; Immediate Past Chair,Capital District Transportation Authority, Albany, NYNuria I. Fernandez, Vice Chair, APTA; Chair, Conference PlanningCommittee; Chair, Rail Transit CEOs Committee; Chair, Rail TransitCommittee; Vice Chair, Diversity and Inclusion Council; GeneralManager/CEO, Santa Clara Valley Transportation Authority, SanJose, CA

Welcome to New York Reception6 - 8 p.m.

(tickets required)

Photobooth sponsored by TransLoc Inc.

Monday, October 14Conference Registration Desk7 a.m. - 4 p.m.


Moderators/Speakers & AV Preview Room7 a.m. - 4 p.m.

GENERAL SESSION: TRANSformationalTechnology8 - 9:30 a.m.

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The public transportation landscape is transforming rapidly, and beingin the city with the largest public transit network is very timely. Ourhosts, MTA and NYDOT, will welcome us to their amazing city and sharesome insights into ways they are transforming public transit in theregion.

These remarks will be followed by a thought-provoking and timelykeynote address from Randi Zuckerberg, Founder & CEO of ZuckerbergMedia. She is an entrepreneur, investor, bestselling author, and techmedia personality.

Randi will discuss her own personal relationship with transformativetechnology -- the importance of staying connected to technology, thevalue of innovation, and strategies to transform your business.

General Session sponsored by Nova Bus and Prevost

APTA/COMTO Assembly: Envisioning theWorkforce in the Mobility Landscape10 - 11:30 a.m.

Strategies for attracting, recruiting, and developing the next generationof public transportation’s workforce

The public transportation industry is rapidly transforming fromtraditional modal systems of the past to one that is focused on anoverall integrated mobility approach for the future. As the industryevolves, we must rethink how we approach and assess our workforceneeds and prepare differently as our workforce adapts to this newreality. Join APTA, COMTO, and industry leaders as we consider howadvancing technology, culture change, and a focus on overall mobilitymanagement will impact how we recruit, train, and develop publictransit’s future workforce.

Cities and Mobility: Public Transit, NewMobility, and Managing the Curb10 - 11:30 a.m.

Bolstering Opportunity, Equity, and Sustainability

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Carshare, bikeshare, rideshare, and other forms of new mobilitypromised a transformation in urban transportation - but the actualrecord is mixed. Many partnerships have improved efficiency of theoverall mobility system, while providing the public with travel options. Inother instances, TNC may have added to traffic congestion and drawnaway public transit riders. Impacts could easily be magnified ifautonomous vehicles accelerate the growth of ride-hail trips.

Transit agencies need to respond to new mobility (ride-hail, bikes, andscooters) with a clear vision of how they fit in cities and how theyshould complement and strengthen public transit. This vision should bedriven by what kind of city we want to live in, addressing not justmobility, but also core values related to opportunity and inequality injobs, housing, and transportation.

This panel of policy leaders will discuss a policy framework for the newmobility, delving into topics such curb management, wages, productivity,and housing affordability.

Creative Funding Opportunities at the Stateand Local Level10 - 11:30 a.m.

Ideas and approaches your community might consider

Demand for quality public transportation services continues to grow, asdoes the need to find creative ways to pay for them. Congestion pricingand transit ballot measures are two approaches for raising capital thathave made big news in New York and around the country. Our panel willprovide fresh insight into the dynamics of revenue initiatives in a probingdiscussion of funding and finance options in full.

Future of the Northeast Corridor – SustainingEconomic Growth in the Region10 - 11:30 a.m.

In 2018, the FRA completed the NEC FUTURE Tier 1 EnvironmentalImpact Statement, establishing a long-term vision for upgrade andexpansion of the Northeast Corridor to accommodate the region’ssignificant projected population and jobs growth. The NEC is used byeight commuter rail authorities, Amtrak and five freight railroads, and

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supports over 250 million annual train trips. The region depends on railcorridor and, without it, the regional economy would fail. However, tryingto bring the corridor to a state of good repair, and expanding it toaccommodate the region's growing demand for expanded services,including high-speed rail, will be daunting and expensive. But not doingthis is simply not an option. This session will explore the vision for theNEC, next steps by the Northeast Corridor Commission to prepare aStrategic Development Plan for the NEC, and steps Amtrak and thecommuter rail authorities are taking to plan and implement work.

Procurement Summit - Session 110 - 11:30 a.m.

The fast changing world of technologies and innovations influencesprocurement significantly. Transit procurement professionals should beprepared to adjust to these changes and implement latest ideas andsolutions. The Procurement Summit, with its four sessions throughoutthe conference, provides an excellent opportunity for procurementprofessionals to network and hear from procurement experts regardingcyber security threats to procurement, delegated procurement authority,and the latest in Buy America best practices. This is a hands-on andinteractive summit designed to expose you to the latest trends and toolsimpacting the transit procurement industry.

Transit’s Link to Health, Wellness, and LivableCommunities10 - 11:30 a.m.

Transit directly impacts an individual’s ability to access services thatimprove health and well-being. These include access to hospitals, caremanagement, food nutrition, social services, and housing. In addition,creating safe, accessible streets and improving healthful amenities cango far into building healthy livable communities. Frameworks such asCenter for Disease Controls social determinants of health and HUDPromise Zone priorities invite the participation of transit and mobilitymanagement professionals to develop integrated livable communities.Hear policies and practices on collaborations that integrate health,active transportation and equity issues into planning and designinglivable communities.

PRODUCTS & SERVICES SHOWCASE12 - 5 p.m.

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(Lunch provided 12 - 1:30 p.m.; tickets required)

Many business members’ products and services are showcased at the2019 TRANSform Products & Services Showcase. Registrants can viewthe products and obtain information relating to the products andservices on display. Expert personnel are on hand to answer yourquestions as you inspect what’s new and innovative in the world ofpublic transit equipment and services.

New extended hours:• Monday, Oct. 14, 12 - 5 p.m. (includes lunch 12 - 1:30 p.m.; ticketsrequired)• Tuesday, Oct. 15, 8 a.m. - 5 p.m.• Wednesday, Oct. 16, 8 a.m. - 12 p.m.

see Exhibitor Information/Showcase Floor Access Registration fordetails and to register

21st Century Cybersecurity in Transit2 - 3:30 p.m.

What are the cybersecurity threats that are, or should be, keeping transitGMs and CIOs up at night? Transit agencies need to protect not onlytheir system’s physical infrastructure from possible attacks, but alsosensitive agency and customer data. This requires that employeesunderstand cybersecurity risks and how they should handle it. What arethe biggest threats and how should public transit agencies respond?Attend the session to learn the answers to these questions and more.

This session will showcase the Leadership APTA Cybersecurity ProjectTeam’s analysis of the current state of cybersecurity in transit andintroduce the brand new cyber e-Learning course that APTA hasdeveloped on cybersecurity awareness.

Advancing TAM for Better Performance andDecision Making2 - 3:30 p.m.

The Federal Transit Administration (FTA) mandated the requirementsfor managing transit assets in agency Transit Asset Management (TAM)plans. These plans identify and analyze processes needed for decision-making where the use of limited funding can be applied for the most

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https://www.apta.com/conferences-events/transform/exhibitor-information/

critical State of Good Repair (SGR) projects. Transit agencies are usingtheir TAM plans to improve their stewardship over physical assets,identify conditions and risks, and reduce maintenance and life-cyclecosts. The TAM plans can be used to inform capital and operationsplanning efforts and demonstrate the benefits and costs associatedwith investment decisions. Join this session to hear how agencies aremaking better informed capital investment decisions and enhancingtheir quality of service by implementing the procedures and toolsidentified in their asset management plans.

Congress and the Year Ahead in Transportation2 - 3:30 p.m.

With Congress moving forward on the FAST Act reauthorization andannual transportation funding legislation, this session features adiscussion of the critical steps necessary for Congress to enact majorinfrastructure proposals and funding bills. It will feature the keyCongressional staff representing House and Senate committeesresponsible for public transportation funding, formulas, and policies.

Making Transportation Projects Happenthrough Private Investment2 - 3:30 p.m.

Understanding the relationship with private equity investors

Private capital is available for investment in infrastructure, and thatprivate equity firms are looking for projects to invest in. The trick tomakings deals real is creating revenue streams that will provide returnsto investors. In New York, the financial capital of the world, holders ofprivate equity and big financiers will give their perspectives on projectsthat will be the best candidates for private capital and attractive toinvestors.

Procurement Summit - Session 22 - 3:30 p.m.

The fast changing world of technologies and innovations influencesprocurement significantly. Transit procurement professionals should beprepared to adjust to these changes and implement latest ideas andsolutions. The Procurement Summit, with its four sessions throughout

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the conference, provides an excellent opportunity for procurementprofessionals to network and hear from procurement experts regardingcyber security threats to procurement, delegated procurement authority,and the latest in Buy America best practices. This is a hands-on andinteractive summit designed to expose you to the latest trends and toolsimpacting the transit procurement industry.

Transit as the Backbone of Micromobility2 - 3:30 p.m.

Integrating the partners in the mobility ecosystem

Bikes, scooters, ride-hailing, and car-sharing are all partners in the newmobility. How can partnerships be nurtured? How can we share thealready congested roads and sideways of our communities? How canwe all operate in a complementary way to support the existing publictransportation system?

Our panel will search for solutions that can be applicable in yourcommunity, and will identify the alternative visions of how we worktogether in the interests of the traveling public.

GENERAL SESSION: USDOT Update4 - 5 p.m.

Tuesday, October 15APTA AWARDS CEREMONY & BREAKFAST8 - 10 a.m.

(tickets required)

Awards breakfast sponsored by Genfare

Conference Registration Desk8 a.m. - 4:30 p.m.

Host Information Desk

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8 a.m. - 4:30 p.m.

Moderators/Speakers & AV Preview Room8 a.m. - 4:30 p.m.

PRODUCTS & SERVICES SHOWCASE8 a.m. - 5 p.m.




Building an Inclusive Transit Culture:Promoting Diversity and Inclusion for TransitEmployees and Customers10:30 - 11:30 a.m.

How do you create and sustain an environment where all employees feelinspired and empowered to engage and the transit system is a safe andwelcoming place for all members of the community it serves. Hear fromtransit agencies and businesses across the country about the diversityand inclusion.

Improving Transit Resilience to NaturalDisasters10:30 - 11:30 a.m.

Extreme weather events and other natural disasters threaten theoperations and the capital assets of transit systems across the UnitedStates. Billions of dollars of transit assets have been damaged or

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destroyed by climate-related disasters in past decades, and millions ofpassengers have been deprived of reliable transit service for short orlong periods of time. Many transit agencies are fighting back againstweather-related waste of agency resources and taxpayer dollars - andcustomers’ loss of service - by becoming more resilient. Adaptation toclimate change can include adjusting how transportation infrastructureis planned for, designed, built, maintained and operated. Makingresilience to extreme weather and natural disasters a standard part ofagency planning can ensure that resources are invested wisely and thatservices and operations remain effective. This session will explore howtransit agencies are improving resiliency to climate events to protectfuture and current investments and maintain safe operationalcapabilities of current systems.

New Dynamics in Transit Ridership: What Havewe Learned?10:30 - 11:30 a.m.

Success in the Changing Mobility Landscape

Continuing changes in travel behavior present both challenges andopportunities. Many transit agencies have found success in bolsteringservice in key corridors with trip speed, frequency, and rider amenities.As this occurs, traditional transit services are integrating with othermobility providers in serving the public’s full range of trip needs.

This interactive conversation will highlight new, impactful models forservice delivery, while also discussing additional metrics that can beused to measure transit’s value in the new multi-transit ecosystem.Access to jobs and opportunity; vibrant and economically strongcommunities; alternatives to congested roads; and providing thebackbone to a mobility ecosystem with multiple options are among theultimate outcomes those metrics should target.

Procurement Summit - Session 310:30 - 11:30 a.m.

The fast changing world of technologies and innovations influencesprocurement significantly. Transit procurement professionals should beprepared to adjust to these changes and implement latest ideas andsolutions. The Procurement Summit, with its four sessions throughoutthe conference, provides an excellent opportunity for procurement

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professionals to network and hear from procurement experts regardingcyber security threats to procurement, delegated procurement authority,and the latest in Buy America best practices. This is a hands-on andinteractive summit designed to expose you to the latest trends and toolsimpacting the transit procurement industry.

Transit and Metropolitan PlanningOrganizations ( MPOS): Partners in RegionalDecision Making10:30 - 11:30 a.m.

MPOs and transit agencies play a major role in collaborating on regionalmultimodal transportation decision making. Performance managementis a strategic approach that uses performance data to inform decision-making and outcomes. New federal requirements mandate metropolitanplanning organizations (MPOs) to coordinate with transit providers, setperformance targets, and integrate those performance targets andperformance plans into their planning documents. MPOs and transitagencies must cooperatively develop and share information related totransportation performance data. Additionally, transit can play a majorrole in regional planning through contributing to land use and economicdevelopment.

Join this session to hear effective strategies for addressing challengesin decision-making partnerships and the rewards of successfulpartnerships between transit agencies and MPOs.

Marketing and Communications Grand AwardWinners Share Their Winning Strategies andStories10:30 a.m. - 12 p.m.

How can marketing and communications increase public transportationridership, boost transit funding, or educate the public on an importantinitiative? Join us as our 2019 AdWheel Grand Award winners showcasetheir success stories in all of these areas. Our 11 winners will berecognized on-stage at Tuesday’s Awards Ceremony & Breakfast, butthis session will feature video storytelling and three distinct paneldiscussions that will delve deep into the strategies and tactics thathelped winners achieve their goals.

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GENERAL SESSION: The Next Five Years1 - 2:30 p.m.

Advancing Mobility as a Service (MaaS)3 - 4:30 p.m.

Real-Time Info / Trip Planning / Integrated Service & Payment =Customer Experience

How can the growing range of mobility options be integrated into asystem the public finds easy to understand and easy to use? How arenew technologies facilitating multi-modal trip-planning, booking, andpayment? How are services being integrated and what platforms arebeing used? Who is taking the lead, and how should the new mobilityenvironment be governed to ensure the public good?

Panelists in this facilitated discussion will discuss these and otherquestions as they consider experiences from APTA’s International StudyMission on MaaS to Vienna, Hamburg, and Helsinki, and highlights fromAPTA's recent APTAtech conference.

Best Practices in Safety: A NYC RegionalPerspective3 - 4:30 p.m.

Join this session to learn more about safety issues in New York City(NYC) and how local transit agencies have been improving safetythroughout the NYC region. Hear from the New York MTA about theircutting-edge Fitness for Duty program, including the sleep apnea testingprogram that has been implemented. Further, hear from New JerseyTransit regarding the various safety programs that the country’s largeststatewide transit agency has implemented, in order to improve safetyand decrease fatalities and injuries. Finally, the Port Authority of NewYork and New Jersey will speak about the operations of the agency andhow they have put in place a very successful risk management program.

FTA’s Associate Administrator for Safety & Oversight will moderate thissession and talk about the regulations and programs the FTA has put inplace in order to improve safety nationwide, including in NYC. This is agreat opportunity to hear about transit safety in the largest city in theU.S., and the various cutting-edge programs that are being applied, sodon’t miss out!

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Leadership APTA Class of 2019 ProjectPresentations: Critical Challenges FacingToday’s Executive3 - 4:30 p.m.

Leaders informing leaders

Engage with Leadership APTA Class of 2019 graduates as they presenttheir Capstone executive leadership projects on critical challengesfacing our industry. Class teams will share their key findings andrecommendations based on extensive research and interviews withdozens of top level transit executives and non-transit leaders. Bring yourquestions. Learn from their findings.

• Team One: Climate Resiliency• Team Two: Emerging Financial Models• Team Three: Cyber Security• Team Four: Quality of Life• Team Five: Mobility Management

Procurement Summit - Session 43 - 4:30 p.m.

The fast changing world of technologies and innovations influencesprocurement significantly. Transit procurement professionals should beprepared to adjust to these changes and implement latest ideas andsolutions. The Procurement Summit, with its four sessions throughoutthe conference, provides an excellent opportunity for procurementprofessionals to network and hear from procurement experts regardingcyber security threats to procurement, delegated procurement authority,and the latest in Buy America best practices. This is a hands-on andinteractive summit designed to expose you to the latest trends and toolsimpacting the transit procurement industry.

The Role of the Modern Transit Agency in RealEstate3 - 4:30 p.m.

New ideas for asset monetization

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Traditionally outside the primary mission of most transit agencies,today’s transit real estate department has a front seat in planning,service and revenue development. Real estate assets are nowrecognized for their potential as significant sources of non-fare boxrevenues, adding stability to budgets.

The panel will discuss the broadening role of today’s transit real estatedepartment. Discussion will cover innovative strategies for acquiringand managing rights of way; transit-oriented development; valuecapture; repositioning properties; economic development; parking assetmonetization; leasing; utility licensure; and advertising.

Zero Emission Buses: You'll Never Walk Alone3 - 4:30 p.m.

Integrating zero emission buses into your fleets can be a significantundertaking, especially at scale. It requires working closely with manystakeholders, some of whom are relatively new to the bus operationsside of transit, such as electric utilities, and hydrogen suppliers. But thistransition to zero emissions also presents opportunities for agencies towork with their partners - both old and new - in different and innovativeways that can help transit agencies successfully finance, deploy, andoperate battery electric buses. This session will explore some examplesfrom transit agencies and offer guidance and lessons learned from theirexperiences.

Unconference3 - 5 p.m.

Leadership APTA Alumni Reception5:15 - 6:15 p.m.

(tickets required)

Please join us for our annual Leadership APTA Alumni Reception.Welcome our Class of 2019 graduates. Reconnect with fellowclassmates, alumni, and industry colleagues.

Tickets are required to attend the reception.

FEE: $125 per personHOW TO PURCHASE: stay tuned for details

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QUESTIONS? Contact APTA's Joe Niegoski at 202-496-4870 [email protected]

Wednesday, October 16WEDNESDAY WAKE UP BREAKFAST:TRANSformational Influence - Women andPower7 - 9:15 a.m.

(tickets required)

Breakfast sponsored by Proterra Inc.

Conference Registration Desk7 - 10 a.m.

Host Information Desk7 - 10 a.m.

Moderators/Speakers & AV Preview Room7 - 10 a.m.

PRODUCTS & SERVICES SHOWCASE8 a.m. - 12 p.m.



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Contactless Fare Systems and Fare Technology9:30 - 10:30 a.m.

Executive Workforce Roundtable: Today’sChallenges, Tomorrow’s Solutions9:30 - 10:30 a.m.

A conversation with industry visionaries

Join industry leaders for a peer exchange on how to leverage new publicand private sector models and approaches as we build and enable ourfuture workforce. The discussion will feature innovative approacheswhen building talent pipelines, success stories in promoting transit as acareer, new technologies and shifting workforce demands, provenpartnership programs with educational institutions, and best practicesfrom other industries. Engage in conversation with our expert panel asthey share their visions for the workforce of the future and discussattempted solutions and lessons learned.

Global Lessons and Practices for High-Speedand Intercity Passenger Rail9:30 - 10:30 a.m.

Rail is on a roll!

Around the world, business models for high-speed and intercitypassenger rail have found success in building and operating sustainablesystems. China has constructed, and is operating, over 5,000 miles ofhigh-speed rail in less than a decade. The passenger rail network in theUnited Kingdom is one of the largest in the world. Japan was the firstcountry to invest and build a high-speed rail system (in the 1960s) andcontinues to invest in new trains and new technologies. And the Swisssystem, with mountainous terrain and relatively short distances betweencities, has build one of the most convenient and efficient systems in theworld.

How did they do it? What can we learn from their experiences?

Microtransit: On-demand and Open to All

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9:30 - 10:30 a.m.

Microtransit is on-demand transit service available to the general public.Transit agencies are embracing microtransit as part of their mobilitymanagement strategies that are designed and delivered to enhancecustomer service. Microtransit programs provide more transportationoptions to customers, expand service coverage, and leverage rapidlyevolving technology in the transportation industry. Transit agencies aredeveloping microtransit programs with an emphasis on accessibility,prioritizing customers with disabilities in a disruptive mobility field. Jointhis session to hear how transit agencies have leveraged microtransit toexpand mobility options for all users.

Systems Engineering9:30 - 10:30 a.m.

TRANSformative Capital Projects9:30 - 10:30 a.m.

CLOSING EVENT: TRANSformationalConnections10:45 a.m. - 12 p.m.

The Medicine of Music: How a World-Class Violinist and Social ActivistReaches Homeless People with Music and What Transit Can Learn

Please join us at this informative session led by Vijay Gupta, a world-acclaimed violinist, a MacArthur Fellow, and a social activist who hasmade a second career of using music to connect with people in need,including people who are homeless. He will highlight why a greaterawareness of innovative approaches to connecting with homelesspeople who occupy transit facilities is so important. Also, showcasing afresh foundation for developing new practices to improve interactionsbetween homeless people and transit leaders, front-line and stationemployees, and riders.

POST-CONFERENCE WORKSHOP: Comfort,Compassion, and Community: How TransitAgencies are Changing their Approach toHomeless People1 - 3 p.m.

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MINUTES OF THE BOARD OF DIRECTORS REGULAR MEETING

June 28, 2019 ITEM 14 BOARD MEMBERS/ALTERNATES IN ATTENDANCE: Votes VCTC: BRIAN HUMPHREY (Chair) 1 (1 vote) METRO: (4 votes) KATHRYN BARGER1 3 Paul Philips 1 SBCTA: LARRY McCALLON (2nd Vice-Chair) 1 (2 votes) John Dutrey 1 OCTA: ANDREW DO 1 (2 votes) GREGORY WINTERBOTTOM 1 RCTC: KAREN SPIEGEL 2 (2 votes) EX-OFFICIO MEMBERS SCAG -- State of California Paul Marquez, Alternate STAFF/PRESENTERS: STEPHANIE N. WIGGINS, Chief Executive Officer THELMA BLOES, Senior Manager, Finance RONNIE CAMPBELL, Chief Financial Officer SHERITA COFFELT, Interim Chief, Marketing and Communications SABRINA DAVIS, Senior Manager, Marketing & Digital Programs DON O. DEL RIO, General Counsel DON FILIPPI, Interim Chief, Safety, Security & Compliance GEOFFREY FORGIONE, Associate General Counsel JUSTIN FORNELLI, Interim Chief, Program Delivery ANGELOS KASTRISIANAKIS, Principal Contract and Compliance Administrator 1 Director Barger arrived during the discussion of Item No. 5.

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Board of Directors Meeting Minutes – June 28, 2019 Transmittal Date: July 19, 2019 Page 2

ELISABETH LAZUARDI, Senior Manager, Audit KATHERINE MAKOHON, Executive Assistant ROXANNE RANDOLPH, Senior Human Resources Analyst ANNE LOUISE RICE, Interim Chief Strategy Officer MATT SCHUPBACH, Manager II MARY LOU WILLIAMS, Assistant Director, Project Management Office KARI HOLMAN, Board Secretary / Chief, Board Relations Meeting minutes are prepared in a format that corresponds with the Board Meeting Agenda, which is incorporated by reference with these minutes. Board Agendas are available online at www.metrolinktrains.com under the Meetings and Agendas link or from the Board Secretary at (213) 452-0255. 1. Call to Order

The June 28, 2019 Board of Directors Meeting was called to order by Chair Humphrey who presided over the meeting at 10:01 a.m. at the at the Metro Board Room, One Gateway Plaza, 3rd Floor, Los Angeles, CA 90012.

2. Safety Briefing Don Filippi, Interim Chief, System Safety, Security and Compliance conducted a safety briefing.

3. Pledge of Allegiance Director Do led the group in the pledge of allegiance.

4. Roll Call Katherine Makohon, Executive Assistant called roll to confirm a quorum of the Board was present.

5. Public Comment Chair Humphrey called on members of the public who requested to speak on this item. Eric Reese – suggested customized rider alerts in notifications to use the type of alerts they request to receive and in a requested format, for example, text, email. With no additional requests to speak, the public comment period was then closed.

Chair Humphrey reminded the Board that the meetings would now be broadcast live and requested that when members would make or second a motion to please state last name

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for the record. Stephanie Wiggins, Chief Executive Officer thanked Director Do for the recommendation to live stream the Board meetings and thus help modernize the Authority’s business practices. PUBLIC HEARING 6. Public Hearing: Authority Proposed Fiscal Year 2019-20 Budget – Adoption

Chair Humphrey called the Public Hearing to order at 10:08 a.m. to receive public comment on this item. Ronnie Campbell, Chief Financial Officer provided a brief background on this item as detailed in the staff report and requested approval of staff’s recommendation. There were no requests to speak on this item. The public hearing was then closed at 10:15 a.m. Upon a motion by Director Barger and seconded by Director Spiegel the Board approved the recommendation. There was no opposition and the motion passed unanimously. ACTION: The Board: 1) Conducted a public hearing on the Authority’s Proposed FY20 Budget; 2) Upon the conclusion of the public hearing, adopted the Proposed FY20 Budget

including: a) the FY20 Operating Budget, b) the FY20 Capital Program (Rehabilitation and New Capital) and Carryover

3) Approved the proposed forecasts for Operating and Capital for the fiscal years 2021 through 2024;

4) Approved the FY20 salary resolution

A copy of the PowerPoint presentation is available upon request from the Board Secretary.

REGULAR CALENDAR

7. FY2018-19 Marketing Update

Sabrina Davis, Senior Manager, Marketing & Digital Programs provided a brief background on this item as detailed in the staff report and requested approval of staff’s recommendation.

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Director Spiegel questioned what staff was doing to aid in the loss of ridership on two of the lines. Sabrina Davis stated that staff had been addressing the on-time performance issues by working with the freight partners to reduce delays. She also noted that enhancements would be made to the train schedules and those would take effect in October. She acknowledged that the marketing effort would be a challenge to encourage those lost riders to again ride Metrolink. Director Barger asked what contributed to the delays. Sabrina Davis noted that in anticipation of the upcoming holiday period which typically sees an increase in freight traffic, staff would be proactive and address ways to reduce impacts while maintain ridership – such as to offer discounts or incentives – along with thorough communication. Director Barger stated that the Board approved a $3.9 million marketing budget for FY2018-19 and about $5.1 million in revenue was projected and wanted to understand the return on investment (ROI). Sabrina Davis responded that staff expected to continue retention of new riders and estimated approximately $1.1 million in revenue but noted that it was difficult to fully measure ROI when all the various marketing tactics were applied together. Director Barger commented that she did not view branding confusion with Metro and Metrolink to be a negative experience and wanted to know why a seamless transfer to both systems with the use of a TAP card, for example. She encouraged staff to listen to the suggestions made by Eric Reese at the Board meetings for his ideas and experiences as a rider. 2nd Vice-Chair McCallon commented that San Bernardino County Transportation Authority (SBCTA) and Los Angeles County Metropolitan Transportation Authority (Metro) invested a reduction in fares on the San Bernardino line which was separate from the marketing investment. He stated that it would be interesting to know how much of the increased ridership on that line was due to the fare reduction versus the marketing investment. Sabrina Davis stated that she would provide that information in a future report. Director Spiegel commented that there was a correlation between rise in gas prices, economic difficulties, and increase in ridership. Chair Humphrey called on members of the public who requested to speak on this item. Eric Reese – thanked staff for the loyalty program and looked forward to the implementation of that program. He commented that if the program had a tier point system that it could encourage ridership behaviors and noted for example, issuing additional points when taking the train to an event or for tagging Metrolink on their personal social media accounts to aid in promoting the service.

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Upon a motion by Director Spiegel and seconded by Director Barger the Board approved the recommendation. There was no opposition and the motion passed unanimously. ACTION: The Board: 1) Received and filed the Update on the FY19 Marketing Plan and 2) Approved the Carry Forward of the Unused Portion of the $3.9 million in special

marketing funds to the FY20 Operating Budget for the Loyalty Program. The unused portion is estimated at $300,000.

3) Amended the FY2019-20 Budget by $300,000.

A copy of the PowerPoint presentation is available upon request from the Board Secretary.

Chair Humphrey announced that the agenda would be taken out of order.

19. Update on Forecasted Comparative Operating Statement for Fiscal Year

Ending June 30, 2019 Ronnie Campbell, Chief Financial Officer provided a brief background on this item as detailed in the staff report and requested approval of staff’s recommendation. 2nd Vice-Chair McCallon commented that the item was received late and the Board did not have time to review this item prior and expressed his concern about the process and felt it was premature to bring forward and requested that the item be deferred. Director Philips asked if the funds remained a surplus would they revert to a cost center. Ronnie Campbell stated that any end of year surplus would be accounted for and captured with the completion of the Comprehensive Annual Financial Report (CAFR) and member agencies directed use of the surplus to be used in the next fiscal year budget. Director Winterbottom wanted to know when this information would be reported to the Board. Stephanie Wiggins replied that as practice the operating budget was provided to the Board on a quarterly basis. She added some of the surplus funds would be used to update the strategic plan to include the Southern California Optimized Rail Expansion (SCORE) program, SBCTA new technologies, and the bundled contract. Stephanie Wiggins also noted that she had established a program called OpEx in which staff would be given time with the Chief Executive Officer to present ideas to promote ways of fiscal sustainability and those funds would help to pay for necessary technologies.

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2nd Vice-Chair McCallon commented that he agreed with the use of the surplus funds but since there was no policy for reuse of surplus funds and this had never been done in prior years was hesitant to move forward. Director Spiegel expressed that she would have a greater comfort level if she knew that the member agency CEOs were in support of this process. Director Barger asked when the Board approved the budget if it included language that any surplus funds are returned to the member agency or able to use for purposes other than originally specified. Stephanie Wiggins stated that with her prior experience at Metro was that only should an increase to the budget be requested, then it would require approval, but noted that was not the ask rather, due to a cost underrun staff was seeking approval to use those unused approved funds for a different purpose. Don Del Rio, General Counsel commented that the Joint Powers Agreement (JPA) reserves for the member agency boards the exclusive authority to adopt their budget with respect to Metrolink. Don Del Rio went on to say that while the JPA specifically addresses budget adoption, it was silent as to budget amendment and/or surplus. Director Barger inquired if the Metrolink Board could approve this requested action or if it needed to be approved by the member agency boards. Don Del Rio responded that there was no clear answer under the JPA and therefore there may be uncertainty in the event a member agency subsequently challenges this Board’s action. Director Barger cautioned her colleagues that if one of the member agencies questioned this action, this Board’s action could be undermined. Chair Humphrey stated that policy and protocol on this would be addressed in the future. Upon a motion by Director Philips and seconded by Director Do the Board approved the recommendation. A roll call vote was taken. Aye Votes were cast by Directors Barger, Philips, Do, Winterbottom, and Spiegel. No Votes were cast by Chair Humphrey, 2nd Vice-Chair McCallon, and Director Dutrey. The motion passed with a vote of 8 to 3. ACTION: The Board: 1) Received and Filed the Update on the Forecasted Comparative Operating

Statement; 2) Approved 50% or $3.75 Million of the Forecasted FY19 Year-End Surplus be

Reprogrammed and Carried Forward into the FY20 Operating Budget; and 3) Amended the FY20 Operating Budget by $3.75 Million

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14. Internal Audit – Fiscal Year 2019-20 Proposed Annual Internal Audit Plan

Elisabeth Lazuardi, Senior Manager, Audit provided a brief background on this item as detailed in the staff report and requested approval of staff’s recommendation. Upon a motion by Director Do and seconded by Director Barger the Board approved the recommendation. There was no opposition and the motion passed unanimously. ACTION: The Board approved the Fiscal Year 2020 Proposed Annual Internal Audit Plan (Attachment A of the staff report).

20. Chief Executive Officer’s Report – Stephanie Wiggins reported on the following

items: Service Disruptions:

o Trespasser Strikes – part of the effort report on technology improvements, improve relationships with responding agencies and the ability to train crews. She noted that on May 27, a train crew became aware of a possible trespasser near Tunnel 25 on the Antelope Valley line and the train proceeded at a reduced speed. The conductor safely removed the passenger from the tracks and had expressed appreciation for the assistance that was provided. The conductor also allowed the person to board the train and detrain at the next station stop where authorities were waiting. All this was done while passengers were on the train. She stated that this was not the first time this type of incident had occurred. Crews play a key role in the reduction of trespasser strikes.

o Mechancial Delays – staff had seen a 50% increase of equipment delays for the month combined with the legacy and Tier 4 locomotives. The common thread on legacy was engine component failures. Some of the engines were from 1992 and had never received a mid-life overhaul. Tier 4 locomotives delays were with the simulated service are working to improve the maintenance process.

Community Link Award – communities had proven to play a integral role in providing customer focused service. This award would serve as a way for the Authority to recognize its partners that help deliver transportation alternatives in their respective cities. The cities of Irvine, Orange, and Pomona have been identified as they have contributed towards the Authority’s success by implementing first / last mile connections, funding a parking structure and improving the look and feel of the station. Staff would be attending their city council meetings in the month of July to personally thank them for their contributions.

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8. Authorization of Resolution and Amendment to the FY2019-20 Budget for Caltrans Adaptation Planning Grant Anne Louise Rice, Interim Chief Strategy Officer provided a brief background on this item as detailed in the staff report and requested approval of staff’s recommendation. Upon a motion by 2nd Vice-Chair McCallon and seconded by Director Do the Board approved the recommendation. There was no opposition and the motion passed unanimously. ACTION: The Board: 1) Adopted Resolution #19-107 authorizing the Chief Executive Officer to execute

a Grant Agreement with the California Department of Transportation; and 2) Approved an increase of $520,000 to the Capital Program in the FY2019-20

Budget to accommodate this project.

9. Updates to the Human Resources Policies and Procedures Manual

Roxanne Randolph, Senior Human Resources Analyst provided a brief background on this item as detailed in the staff report and requested approval of staff’s recommendation. Upon a motion by Director Barger and seconded by Director Winterbottom the Board approved the recommendation. There was no opposition and the motion passed unanimously. ACTION: The Board approved the updates to HR Policy No. 2.1, Wage and Salary Administration – Salary Program Administration.

10. Adoption of Revised Finance Policies

Thelma Bloes, Senior Manager, Finance provided a brief background on this item as detailed in the staff report and requested approval of staff’s recommendation. Upon a motion by 2nd Vice-Chair McCallon and seconded by Director Spiegel the Board approved the recommendation. There was no opposition and the motion passed unanimously. ACTION: The Board approved updates to the following Finance Policies: 1) FIN-8.1 Invoice Payment and Expense Reimbursement Administration

(Attachment A)

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2) FIN-8.2 Delegation of Approval Limits (Attachment C)

11. Renewal of Agreements for Supplemental Benefits for Authority Employees

Roxanne Randolph, Senior Human Resources Analyst provided a brief background on this item as detailed in the staff report and requested approval of staff’s recommendation. Upon a motion by Director Spiegel and seconded by Director Do the Board approved the recommendation. There was no opposition and the motion passed unanimously. ACTION: The Board authorized the Chief Executive Officer to renew the agreements with Delta Dental, Health Advocate and Aflac under the terms outlined in Attachment A (of the staff report).

12. Contract No. SP445-16 – IT Technical Support Services – Exercise One-Year

Option – Argus Associates, Inc.; Auriga Corporation; Intratek Computer, Inc.; and Jade Global, Inc. Angelos Kastrisianakis, Principal Contract and Compliance Administrator provided a brief background on this item as detailed in the staff report and requested approval of staff’s recommendation. Upon a motion by Director Winterbottom and seconded by Director Dutrey the Board approved the recommendation. There was no opposition and the motion passed unanimously. ACTION: The Board authorized the Chief Executive Officer to exercise the first of two one-year time extension options for bench Contract No. SP445-16 for IT Technical Support Services from June 30, 2019 to June 30, 2020 and approve the Contract Authority of $2,084,000 for Fiscal Year 2019-20. Contract No. SP445-16 currently has a cumulative contract authority of $2,084,000 per fiscal year distributed across a bench of four contractors listed below: • SP445-16A - Argus Associates, Inc. • SP445-16B - Auriga Corporation • SP445-16C - Intratek Computer, Inc. and • SP445-16C - Jade Global, Inc The authorized annual contract amount remains unchanged at $2,084,000 per year. Note that the contract is set up with contract authority that expires annually and any unused amount does not rollover to the next year, hence the entire annual contract authority is being requested for approval.

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13. Agreement No. H1667-20 – Interoperable Train Control Messaging –

Recommendation to Award Non-Competitive Agreement with Additional Scope – Meteorcomm, LLC Angelos Kastrisianakis, Principal Contract and Compliance Administrator provided a brief background on this item as detailed in the staff report and requested approval of staff’s recommendation. Upon a motion by Director Do and seconded by Director Spiegel the Board approved the recommendation. There was no opposition and the motion passed unanimously. ACTION: The Board authorized the Chief Executive Officer to award a Master Product Purchase and License Agreement (MPPLA) No. H1667-20 with Meteorcomm, LLC, in a new amount of $2,248,640 for a period of five years. This amount includes annual fees of $200,000 for the software license, $225,000 for support services, and $24,728 for tools.

15. Approval of Meeting Minutes – June 14, 2019 Board of Directors Meeting Upon a motion by 2nd Vice-Chair McCallon and seconded by Director Do the Board approved the recommendation. There was no opposition and the motion passed unanimously. ACTION: The Board approved the minutes of the June 14, 2019 Board of Directors meeting.

16. Fuel Management – Corrective Action Plan Update Matt Schupbach, Manager II provided a brief background on this item as detailed in the staff report. 2nd Vice-Chair McCallon inquired if the five items listed to be due on June 30 would make that deadline. Matt Schupbach confirmed that three of the five items are included in the standard operating procedures (SOP) and had been completed. The fourth item was the industry review and the fifth item would be completed following later that day following a meeting with the finance department to discuss fuel hedging efforts. 2nd Vice-Chair McCallon thanked staff for taking this matter serious. ACTION: The Board received and filed this report.

17. Capital Program Status Report – Quarter Ended March 31, 2019 Mary Lou Williams, Assistant Director, Program Management Office provided a brief background on this item as detailed in the staff report.

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ACTION: The Board received and filed this report. A copy of the PowerPoint presentation is available upon request from the Board Secretary.

18. Tier 4 Locomotive Update and Delivery Status Justin Fornelli, Interim Chief, Program Delivery provided a brief background on this item as detailed in the staff report. Director Barger inquired on the status of the Air Quality Management District (AQMD) grant. Justin Fornelli stated that a grant extension was received. Director Spiegel expressed her pleasure to understand that the delivery of the locomotives was expected to be completed by Summer 2020. ACTION: The Board received and filed this report.

21. Board Members' Comments Director Winterbottom stated that the marketing department had created a new daycation campaign and worked with Orange County Transportation Authority (OCTA) and recommended that staff work with the other member agencies to promote areas to visit in each county. Director Spiegel mentioned a freeway closure on Interstate 15 over the coming weekend. Director Dutrey thanked staff for the work conducted on the FY20 budget.

22. Chair’s Comments – Chair Humphrey provided the following comments:

Submit attendance confirmations for the upcoming Board workshop to the Board Secretary by July 1. He also encouraged Board members to ride the Metrolink system prior to the workshop.

Submit order for Metrolink attire – an email would follow. 23. ADJOURNMENT

There being no further business for consideration by the Board, the meeting was adjourned at 11:25 a.m.

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Respectfully Submitted,

Kari Holman Board Secretary / Chief, Board Relations

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