BOARD OF DIRECTORS REGULAR MEETING
AGENDA
April 16, 2014 - 1:30 PM
5401 Old Redwood Highway, 1st Floor
Petaluma, CA 94954
1.
Call to Order
2.
Approval of the March 19, 2014 Board Meeting Minutes
3.
Public Comment on Non-agenda Items
4.
Board Member Announcements
5.
General Manager’s Report
6.
Consent Agenda
a.
b.
c.
d.
e.
f.
Approval of Monthly Financial Reports
Approval of Coastland Civil Engineering, Inc. Contract Amendment No. 1
Approval of LTK Engineering Services Contract Amendment No. 11
Approval of a Resolution of local support for the application for $400,000 in
Sonoma County Agricultural Preservation and Open Space District Matching Grant
Program funds for the construction of the Regional SMART Pathway – Payran
Street to South Point Boulevard Project.
Adoption of a Resolution authorizing the addition of a Safety and Compliance
Officer to SMART’s position allocation
Approval of a Resolution pertaining to the California Department of Justice to
provide background information
7.
Authorize the General Manager to exercise an Assignment of Option for Diesel Multiple
Unit Vehicle to Tri-County Metropolitan Transportation District of Oregon
8.
Review and Receipt SMART’s 2013 Annual Report
Page 1 of 62
9.
Closed Session
a.
Conference with Labor Negotiator Farhad Mansourian, General Manager
pursuant to California Government Code Section 54957.6
Agency Designated Representative: General Manager
Employees: All Employees
b.
Conference with Legal Counsel regarding initiation of an action or to
decide whether to initiate an action pursuant to California Government
Code Section 54956.9(d)(4)
10
Report Out of Closed Session
11.
Next Regular Meeting: Board of Directors, May 21, 2014 – 1:30 PM – 5401 Old
Redwood Highway, 1st Floor, Petaluma, CA 94954
12.
Adjournment
DISABLED ACCOMMODATION: if you have a disability that requires the agenda materials to be in an alternate
format or that requires an interpreter or other person to assist you while attending this meeting, please contact
SMART at least 72 hours prior to the meeting to ensure arrangements for accommodation. Please contact the Clerk
of the Board at (707) 794-3072 or dial CRS 711 for more information.
DOCUMENTS: Documents distributed by SMART for its monthly Board meeting or committee meetings, and which
are not otherwise privileged, may be inspected at SMART’s office located at 5401 Old Redwood Hwy. Ste. 200,
Petaluma, CA 94954 during regular business hours. Documents may also be viewed on SMART’s website at:
www.sonomamarintrain.org. Materials related to an item on this Agenda submitted to SMART after distribution of
the agenda packet are available for public inspection at the SMART Office.
For information about accessing SMART meetings by public transit, use the trip planner at www.511.org.
Page 2 of 62
BOARD OF DIRECTORS REGULAR MEETING
MINUTES
March 19, 2014 - 1:30 PM
5401 Old Redwood Highway, 1st Floor
Petaluma, CA 94954
1.
Call to Order
Chair Arnold called the meeting to order at 1:30 PM. Vice-chair Pahre and Directors
Eddie, Fudge, Kellner, Mackenzie, Russell and Zane present. Director Phillips absent;
Directors Moulton-Peters, Rabbitt and Sears arrived later.
2.
Approval of the February 19, 2014 Board Meeting Minutes
MOTION: Director Mackenzie moved approval of the February 19, 2014 Minutes as
presented. Director Eddie second. The motion carried 8-0-4 (Director Phillips absent;
Directors Moulton-Peters, Rabbitt and Sears arrived later).
3.
Public Comment on Non-Agenda Items
Director Sears arrived 1:32 PM.
Duane DeWitt stated that the City of Santa Rosa received funds from Sonoma County
Transportation Authority and urged SMART to contact the City of Santa Rosa to improve
transit development near SMART’s Right-of Way.
Director Rabbitt arrived 1:34 PM.
Prue Draper (Founder of Cotati Historical Society) stated that she would like the tree to
be preserved and moved to Helen Putnam Park in Cotati.
Jack Swearinger (Friends of SMART) stated that SMART prepared the best forecasted
cost of building the railroad; and at that time, a passing siding was not planned for
Cotati in the area where the rare tree is located.
Louise Santero stated she has watched the tree grow from her home across the street.
If the tree is relocated it will not survive.
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Tom Stapleton, a former Sonoma County arborist, stated that the tree is extremely
unique and would like SMART to hold off cutting it down until transplanting plans come
together. He would like the tree to be transplanted to Helen Putnam Park and find a
way to fund the project.
Director Moulton-Peters arrived 1:45 PM.
Mary Umbera stated that she would like everyone to “think outside the box” and
consider moving the tracks and leave the tree alone. Think of the positive aspects of the
tree and not a problem to be solved.
Margie Boyle stated that the cones are under developed and perhaps the seeds are not
fertile. Also, the tree could have mutated into the current location.
Paul Downing asked why the City of Santa Rosa is removing 7th and 8th Street crossings
and placing them on Jennings Avenue when the public can use Guerneville Road
crossing.
Greg Carriger stated that the tree is about 35% albino and very rare. The value of the
tree can be debated for months, however, how much public funds have been spent on
environmental studies for this particular tree. A public records request will be
submitted.
Leonard Page (Friends of Petaluma River) asked about the plans for the Mira Monte
Marina property. He would like to see a launching facility for canoes and kayaks.
Chair Arnold made an exception for the General Manager Farhad Mansourian to
respond to public comments.
Mr. Mansourian addressed the following:
 The Cotati tree removal has been suspended. Staff is gathering information from
other experts before making further decisions about the tree.
 Opinions on the tree removal have been expressed: 1) relocate the tree; 2)
relocate and transplant the tree; 3) leave the tree where it is and do not put in
the passing siding; and 4) remove the tree; 5) It was also recommended that
SMART take 1000 cuttings in the Spring and deliver to a nursery for regrowth.
 With regard to the tree, the public is urged to stay off the railroad tracks.
SMART’s right-of-way contains active track and the train conductors will not
know if pedestrians are on the track. Trespass on the right-of-way is an
endangerment to lives. Contact SMART’s Public Outreach Department if track
access is desired.
 Mr. Mansourian stated that he will continue to gather all information necessary
to make an appropriate decision regarding the Cotati tree.
Chief Engineer, Bill Gamlen, gave a brief overview of the Cotati area improvements.
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


The passing siding will be constructed west of the mainline in the vicinity of East
Cotati Avenue, and the current signal house will be relocated.
The City of Cotati and the Sonoma County Transit Authority have been
coordinating two separate projects: 1) Cotati Train Depot and 2) Bus transit.
SMART will construct the Multi-Use Pathway from Manor Drive to East Cotati
Avenue and two station platforms.
The Stacy and Wibeck/Herzog Project Manager, Keith Tarkalson, gave a brief visual of
the construction at the Cotati passing siding. The excavation required for construction
in the area of the passing siding will damage the roots of the tree because of the
proximity being approximately 4-5 feet away from a private storage facility structural
section. It will be an unsafe tree if it is left at its current location.
4.
Board Member Announcements
There were no Board Member announcements.
5.
General Manager’s Report
General Manager Farhad Mansourian provided his written report to the Board. He
reported that design and construction is in full swing with Stacy and Witbeck/Herzog, JV
continuing to construct the Initial Operating Segment (IOS-1 and 1-A), Shimmick
Construction Company, Inc. in design of Contract Package 4 (CP4) and SMART fully
engaged and working with both firms.
Chief Financial Officer, Erin McGrath, stated in April of 2012 two rating agencies (Fitch
and Standard & Poor’s) examined SMART’s financials. At that time, Fitch issued an “A”
rating and Standard & Poor’s issued an “AA” rating. Ms. McGrath mentioned that she
was contacted by Fitch early this year to conduct another review. Fitch has concluded
their rating review and issued a press release confirming SMART’s “A” rating.
6.
Consent Agenda
a.
b.
c.
d.
e.
f.
Approval of Monthly Financial Reports
Approval of ICF Jones and Stokes, Inc., Amendment No. 3
Approve and Authorize the General Manager to Ratify an Agreement with PG&E
for the relocation of two high voltage transmission line poles at SMART’s
Operations and Maintenance Facility at Airport Boulevard.
Approval of Modification No. 1 to the Agreement with the County of Marin,
Marin County Flood Control District and the Association of Bay Area
Governments to continue to fund a dedicated Staff Position to review State
Water Quality Permits
Approve a Resolution Authorizing Change Orders 14, 15 and 16 to Contract No.
VS-IS-11-001 with Midvale Electric, Inc.
Approve a Contract with Summit Signal Inc. for performance of Federally
Required Inspections of Track and Grade Crossing Signals
Page 3 of 5
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g.
Approve a Contract with Summit Signal Inc. for performance of emergency callout services, regular maintenance and repair
Chair Arnold asked for Board and Public Comment on the proposed consent agenda.
MOTION: Director Eddie moved approval of the Consent Agenda as presented. Director
Pahre second. The motion carried 11-0-1.
7.
Approved submittal of an application for TIGER funds to construct the San Rafael-toLarkspur Regional Rail Extension
General Manager Mansourian stated SMART will submit an application for the federal
Transportation Investment Generating Economic Recovery (TIGER) funds to help fund
the construction of Rafael-to-Larkspur Regional Rail Extension (Larkspur Extension).
SMART has applied for five TIGER grants previously for SMART’s Pathway without
success.
This year to be considered for TIGER funding, the project must have a significant impact
nationally, regionally or in a metropolitan area with near-term completion of federal
environmental clearance. The San Rafael-to-Larkspur Rail Extension project meets the
criteria for competitiveness in the TIGER grant program with recognized national
significance and the acceptance of the project into the Federal Administration’s Small
Starts Program in September 2013. The project has been recognized to have regional
importance with the Metropolitan Transportation Commission (MTC) staff.
The rail extension project cost is estimated at $40 million. The project would be funded
by Regional Measure 2 (RM2) Bridge Toll Funds in the amount of $20 million and by
federal TIGER grant funds in the amount of $20 million.
Directors’ Comments:
Director Mackenzie announced that the Metropolitan Transportation Commission
(MTC) Legislation Committee will be considering the Larkspur Extension project at their
public hearing on April 11th. He thanked the General Manager and Staff for their
excellent work.
Director Zane asked if letters of support will be submitted with the application. Mr.
Mansourian responded in the affirmative and will SMART will solicit as many support
letters as needed to advance the project.
MOTION: Director Mackenzie moved approval of submittal of the application for TIGER
funds to construct the San Rafael-to-Larkspur Regional Rail Extension. Director
Moulton-Peters second. The motion carried 11-0-1.
Chair Arnold adjourned the Board to closed session at 2:23 PM to discuss the following:
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8.
Closed Session – Conference with Legal Counsel regarding California Public Utility
Commission Application No. 13-09-020 pursuant to California Government Code
Section 54956.9(d)(1).
9.
Report Out of Closed Session
Chair Arnold reported out of closed session at 3:30 PM on the following:
Conference with Legal Counsel regarding California Public Utility Commission
Application No. 13-09-020 pursuant to
California Government Code Section
54956.9(d)(1).
Report Out: Nothing to report
11.
Next Regular Meeting: Board of Directors, April 16, 2014 – 1:30 PM – 5401 Old
Redwood Highway, 1st Floor, Petaluma, CA 94954
12.
Adjournment
Meeting adjourned 3:32 PM.
Respectfully submitted,
Leticia Rosas-Mendoza
Clerk of the Board
Approved on:
Page 5 of 5
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Page 8 of 62
SMART
Monthly Financial Report
As of March 31, 2014
Approved
FY 13-14 Budget
YTD
Actuals
Remaining
Budget
Cash Flow Report
Revenues
Sales/Use Taxes
Interest Earnings
Rent - Real Estate
State - SLPP
State-Highway 101 Project
State - Prop 116
Federal - FHWA
Other Governments
NCRA
Measure M
RM2 (MTC)
Charges For Services
Other State Grants
Federal FTA Funds
Miscellaneous Revenue
Revenue Total
31,318,952
884,738
450,000
4,577,348
68,000
3,014,258
552,000
1,468,621
26,986,625
40,000
779,963
2,500,000
1,000
20,186,820
644,752
386,824
919,574
684,952
2,118
6,153
46,574
225,625
43,148
88,012
87,406
65,519
11,132,132
239,986
63,176
3,657,774
68,000
2,329,306
549,882
1,422,047
26,761,000
72,641,505
-
23,387,477
-
49,327,849
5,567,755
7,308,556
8,956,950
5,208,400
4,123,710
18,198,463
46,000
108,037,082
300,000
2,710,306
3,388,956
1,541,916
2,580,576
985,783
466,373
121,107
43,682
19,246,644
10,000
-
2,857,449
3,919,600
7,415,034
2,627,824
3,137,927
17,732,090
2,318
88,790,438
300,000
157,746,916
31,095,343
126,782,680
691,951
2,412,594
Expenditures
Salaries & Benefits
Services & Supplies
Other Charges
Land
Buildings/Improvements
Equipment - Work in Progress
Equipment
Computer Equipment
Infrastructure
Operating Transfer
Appropriations for Contingencies
Expenditure Total
Investment Report
As of March 31, 2014
Bond Reserve Fund
Sonoma County Treasury Pool
Interest Fund
California Asset Management Program
17,072,500
705,201
Project Fund
California Asset Management Program
Sonoma County Treasury Pool
20,049,247
101,297,777
SMART Fund Balance
Sonoma County Treasury Pool
80,515,920
Page 9 of 62
Page 10 of 62
Contractor
Adobe Associates, Inc.
Alliant Insurance Services
Allied Weed Control & Agrichem Services
Ann D. Carey
Area West Environmental Aspen Environmental Group
Atira Consulting Group, Inc.
Bernadette Lambert
Bettin Investigations
Big Cat Advertising
BKF Engineers, Inc.
Coastland Civil Engineering, Inc.
Coates Field Service, Inc.
Conservation Corps North Bay
County of Marin
CSW/Struber‐Stroeh Engineering Group
David Tattersall & Co.
Denno Brothers Inc.
DowHouse
Dowling Associates
Earth Tech AECOM
GHD, Inc.
GHD, Inc.
Granicus, Inc.
Hanson Bridgett, LLP
Harry Saporta
HDR Engineering, Inc.
HDR Engineering, Inc.
ICF Jones & Stokes, Inc.
Intelligent Solutions Management Interwest Consulting Group
Irwin, Inc.
Page 1 of 2
Real Property Support Services
Insurance Brokerage & Risk Management Services
ROW Maintenance & Weed Abatement
Financial and Accounting Consulting ‐‐ Cash Flow
Environmental Compliance Support Services
Environmental Services
Project Management Support Services
Right of Way Acquisition Legal Services
Background Investigations
Public Outreach
Real Property Support Services
Pathway Design and Support Services
Real Estate Acquisition and Relocation Services
ROW Maintenance & Weed Abatement
Legal Services
Real Property Support Services
Real Estate Appraisal Services
ROW Maintenance & Weed Abatement
Graphic Design Services
Environmental/Ridership Analysis
Program Management Services
Design for Operations and Maintenance Engineering Support for CP4
Media Streaming & Internet Broadcasting Services
Legal Services
Safety and Security Technical Services
On‐Call Engineering Services
Movable Bridge Support
Environmental Permitting Management and Support
OMF Construction Management ‐‐ Frank Ashraf
Acquisition and Relocation Services
Construction Procurement Advisory Services
Scope
SMART CONTRACT SUMMARY
Current Year
FY 2013‐14 FY 2013‐14 Projected Actuals To Date $25,000
$0
$43,600
$0
$5,000
$0
$5,000
$0
$1,127,000
$275,221
$460,851
$231,709
$38,100
$38,063
$25,000
$0
$18,650
$2,375
$45,000
$17,078
$70,000
$0
$100,000
$76,922
$154,000
$69,036
$50,000
$10,004
$46,626
$46,626
$12,750
$8,984
$40,000
$7,500
$82,500
$46,399
$7,250
$567
$2,000
$0
$568,164
$234,239
$11,065
$11,064
$100,000
$57,553
$8,700
$6,550
$24,500
$0
$10,000
$0
$25,000
$2,445
$325,124
$33,166
$2,047,120
$515,548
$100,000
$31,260
$178,921
$76,833
$15,000
$10,878
Active Contracts as of March 31, 2014
Page 11 of 62
Contractor
J.L. Patterson & Associates, Inc.
James Flageollet
Jensen Landscape Company
John Zanzi
Kathy Wood & Associates
Krebs Construction Services, Inc.
Kurland Digital
LTK Engineering Services
M.L. Robertson, LC
Macias Gini & O'Connell LLP (MGO)
MGrodner, LLC
Midvale Electric, Inc.
Nathan Valles, PE
Netwoven, Inc.
Netwoven, Inc.
Nossaman LLP
PGH Wong Engineering PGH Wong Engineering
Public Financial Management, Inc.
Public Financial Management, Inc.
Rail America Operations
Semple Appraisals, Inc.
Shamsapour Consulting Group
Shimmick Construction Co, Inc.
SPTJ Consulting
Stacy and Witbeck/Herzog, JV
Sumitomo Corporation
Steven Shelton
URS Corporation
Utah Transit Authority
Van Scoyoc Associates
Vicki A. Hill
Page 2 of 2
Scope
On‐Call Bridge and Railroad Engineering
Legal Services
ROW Maintenance & Weed Abatement
Fire and Life Safety Advisor
Acquisition and Relocation Services
Project Management ‐‐ Construction estimation
Web Support and Design Services
Vehicle and Systems Design Services
Project Management‐‐Cost Controls and Budget
Financial Audit Services
Project Management Services‐‐ Design/Procurement
ISTEA ‐ Constructing Grade Crossings/Signal Upgrade Construction Engineering Services
SharePoint Site Maintenance
CP4 SharePoint Site Development
Legal Services ‐ Railroad Regulatory ‐‐ Construction Contracting
Civil/Track/Pathway Design Services
Construction Management Support Services
Financial Advisory Services ‐‐ Debt Management
Arbitrage Rebate Compliance Services
Railroad Construction Period Access Monitoring
Real Estate Appraisal Services
Project Management Support Services
Design/Build of IOS2, Haystack, OMF, Station Finishes and Pathway
IT Support, Migration and Setup Services
Design/Build Construction of Civil, Track & Structures for IOS‐1
Manufacture and Delivery of Vehicles
Operations Management Support Services
Project Management Services
Project Management Advice and Peer Review
Federal Legislative Advocacy Services
Environmental Review Services
FY 2013‐14 Projected $205,062
$145,000
$10,000
$40,000
$35,000
$280,494
$1,000
$2,359,999
$10,000
$40,570
$73,000
$2,014,998
$100,000
$22,000
$67,345
$25,000
$548,185
$954,302
$5,000
$4,500
$62,500
$30,000
$357,290
$15,000,000
$54,000
$55,318,199
$17,098,463
$143,000
$6,050
$10,000
$42,000
$75,000
$100,909,877
FY 2013‐14 Actuals To Date $130,516
$101,168
$6,350
$16,124
$6,625
$64,448
$0
$1,094,598
$0
$40,570
$12,173
$1,625,340
$0
$10,491
$66,587
$5,449
$429,158
$461,136
$0
$0
$41,451
$0
$223,380
$3,366,622
$30,645
$12,526,975
$0
$119,609
$6,048
$0
$24,500
$19,250
$22,239,233
Page 12 of 62
Page 13 of 62
FIRST AMENDMENT TO THE AGREEMENT FOR CONSULTANT SERVICES
BETWEEN THE SONOMA-MARIN AREA RAIL TRANSIT DISTRICT
AND COASTLAND CIVIL ENGINEERING, INC.
This First Amendment dated as of April 1, 2014 (the “First Amendment”), to the
Agreement for Consultant Services by and between Coastland Civil Engineering, Inc.
(hereinafter referred to as “CONSULTANT”) and the Sonoma-Marin Area Rail Transit District
(hereinafter referred to as “SMART”), dated as of December 1, 2013 (the “Original Agreement,”
as amended and supplemented by this First Amendment, the “Agreement”).
RECITALS
WHEREAS, CONSULTANT and SMART previously entered the Original Agreement to
provide professional engineering support for such tasks as pathway design and alignment work,
environmental clearance and permitting, funding support, and public outreach assistance for the
SMART Pathway Project; and
WHEREAS, CONSULTANT and SMART desire to amend the Agreement to increase
the not-to-exceed amount by $430,000, for a total not-to-exceed amount of $530,000.
NOW THEREFORE, for good and valuable consideration, the receipt and sufficiency of
which are hereby acknowledged, the parties hereto agree as follows:
AGREEMENT
1.
“ARTICLE 5. PAYMENT” Article 5 of the Agreement is amended as follows:
In addition to the not-to-exceed amount set forth in the Original Agreement, the
contract amount shall be increased by an amount not-to-exceed $430,000, for the
provisions of the services, for an aggregate not-to-exceed amount of $530,000, for the
Agreement.
2.
“ARTICLE 6. TERM OF AGREEMENT” is hereby deleted and replaced in its
entirety with the following:
“The term of this Agreement shall remain in effect until June 30, 2015, unless
terminated earlier in accordance with the provisions of Article 7 below.”
3.
EXHIBITS. The following exhibits are attached hereto and incorporated
herein:
(a) EXHIBIT A: SCOPE OF WORK
All references in the Original Agreement to Exhibit A shall be replaced with
Exhibit A to this First Amendment.
Contract# CV-PS-13-003
Page 1 of 3
Page 14 of 62
4.
Except to the extent the Agreement is specifically amended or supplemented hereby,
the Agreement, together with all supplements, amendments and exhibits thereto is,
and shall continue to be, in full force and effect as originally executed, and nothing
contained herein shall, or shall be construed to, modify, invalidate, or otherwise affect
any provision of the Agreement.
THIS SPACE INTENTIONALLY LEFT BLANK
Contract# CV-PS-13-003
Page 2 of 3
Page 15 of 62
IN WITNESS WHEREOF, the parties hereto have executed this First Amendment as of
the date first set forth above.
SONOMA-MARIN AREA RAIL TRANSIT
DISTRICT
Dated: _____________
By__________________________________
Farhad Mansourian, General Manager
COASTLAND CIVIL ENGINEERING, INC.
Dated: _____________
By__________________________________
Consultant
APPROVED AS TO FORM:
Dated: _______________
Contract# CV-PS-13-003
By______________________________
District Counsel
Page 3 of 3
Page 16 of 62
EXHIBIT A
SCOPE OF SERVICES
Consultant shall continue to provide civil engineering design services for the non-motorized
pathway portion of the SMART Project, as outlined below:
Task 1 - General Coordination
Provide general support for Pathway issues in the IOS and funding issues system-wide.
1. General coordination with SMART staff and other design team members.
2. Prepare and provide Pathway tables, maps plans and other information requested by
SMART or design team members.
3. Post exhibits and documents on the SMARTBUZZ or on Coastland or SMART
SharePoint sites for use by others.
4. Where the Pathway locations are to be on other public agency land, work with the local
jurisdictions on street crossing and connection and some longitudinal encroachments
(Marin County, San Rafael, Novato, Rohnert Park and Santa Rosa). Agreements and/or
permits will likely be needed with these agencies.
Task 2 - Alignment and Grade Crossing Work
Develop the pathway design and plans (Proposed Conditions) to:
1. Refine Pathway plans and alignments for various segments as needed to address
environmental, ROW, and other issues.
2. Address conflict with utilities, GX equipment and other features
3. Develop, coordinate and process GO 88Bs through the CPUC approval process.
4. Develop support plans and documents to support permit and ROW acquisition needs
5. Provide plans and documents to accuracy needed for Funding and Budget purposes.
Post exhibits and documents on SMARTBUZZ or on Coastland or SMART SharePoint sites for
use by others.
Task 3 - Environmental Permits
1. Work with the permit team to acquire the needed environmental permits and mitigation
measures for construction of CP 4 Pathway and other IOS segments.
2. Provide refined existing and proposed condition design and impact drawings, tables and
information.
Task 4 - CP4 and Other Design-Build Support
1.
2.
3.
4.
Review and comment on Design-Build submittals as they relate to the Pathway.
Support review and processing of track GX, and other civil work as assigned.
Response to inquiries and Provide information to the Design-Build team as needed.
Confirm Pathway routes to and through SMART Stations.
FIRST AMENDMENT
COASTLAND CIVIL ENGINEERING, INC.
EXHIBIT A
Page 17 of 62
5. Right-of-Way and easement acquisition support – for Rights-of-Way from private parties
and Public Agencies for construction of the CP 4 Pathway.
6. Coordination with local agencies regarding proposed design changes in the
Alignment/GX.
Task 5 - Funding Support
1. Support for funding and grant application needs.
2. Prepare Relative Order of Magnitude (ROM) cost estimates for funding.
3. Providing information for SMART Pathway budgeting.
Task 6 - Public Outreach
Provide information to, and work with, SMART Community Education and Outreach staff to
disseminate information to the public, local agencies, bicycle coalitions and other stake holders
as well as providing regular updates for the SMART Board regarding Pathway work.
Task 7 - NEPA & CEPA Process Coordination & Support
This task focuses on supporting the team in completing the Pathway NEPA process and will
include:
1. Assist in NEPA Processing and Schedule Management
2. Coordination with AECOM and Caltrans.
3. Develop Pathway alignment maps and exhibits and background information as needed to
support the NEPA process for accurately assessing impacts.
4. Coordination of CEQA clearance (EIR Addendum by others) for the Rush Creek Place to
Atherton Station segment which has no current state or federal environmental clearance.
Other Tasks:
Coastland will provide other services as assigned, budget permitting.
FIRST AMENDMENT
COASTLAND CIVIL ENGINEERING, INC.
EXHIBIT A
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Page 19 of 62
Page 20 of 62
ELEVENTH AMENDMENT TO THE AGREEMENT FOR CONSULTANT SERVICES
BETWEEN THE SONOMA-MARIN AREA RAIL TRANSIT DISTRICT
AND LTK ENGINEERING SERVICES
This Eleventh Amendment, dated as of April 1, 2014 (the “Eleventh Amendment”), is to
that certain Agreement for Consultant Services between LTK Engineering Services
(“CONSULTANT”) and the Sonoma-Marin Area Rail Transit District (“SMART”), dated as of
October 23, 2009, and further identified as Contract Number #VS-PS-09-001 (the “Original
Agreement,” and as previously amended by a First Amendment, Second Amendment, Third
Amendment, Fourth Amendment, Fifth Amendment, Sixth Amendment, Seventh Amendment,
Eighth Amendment, Ninth Amendment, and Tenth Amendment and collectively the
“Amendments”, and as amended by this Eleventh Amendment, the “Agreement”).
RECITALS
WHEREAS, SMART and CONSULTANT previously entered into the Original
Agreement dated as of October 23, 2009, for the provision of Vehicle and Systems Design
Services for SMART’s commuter rail project in Sonoma and Marin Counties; and
WHEREAS, SMART and CONSULTANT previously entered into various Amendments
to the Agreement between January 21, 2010 and March 1, 2013, to provide for additional
personnel to assist with operational support, Vehicle and Systems Design Services as needed, and
to extend the term for the agreement; and
WHEREAS, CONSULTANT and SMART desire to further amend the Agreement in
order to (i) increase the not-to-exceed amount by $4,494,464, for a total not-to-exceed amount of
$15,896,735, and (ii) extend the term of the Agreement through and including June 30, 2016.
NOW THEREFORE, for good and valuable consideration, the receipt and sufficiency of
which are hereby acknowledged, the parties hereto agree as follows:
AGREEMENT
1.
PAYMENT. “ARTICLE 5. PAYMENT” is hereby deleted in its entirety and replaced
with the following:
“ARTICLE 5. PAYMENT. For all services and incidental costs required
hereunder, Consultant shall be paid on a cost-plus-fixed fee basis in accordance
with the budget set forth in individual task orders to be negotiated; provided,
however, that Consultant agrees to perform all services described therein for an
amount not to exceed the amount negotiated, regardless of whether it takes
Consultant more time to complete or costs more than anticipated. The not-toexceed (NTE) amount for this Agreement shall be $15,896,735.
LTK ENGINEERING SERVICES
ELEVENTH AMENDMENT
Page 1 of 3
CONTRACT NO. VS-PS-09-001
Page 21 of 62
2.
TERM OF AGREEMENT. “ARTICLE 6. TERM OF AGREEMENT” is
hereby deleted in its entirety and replaced with the following:
“ARTICLE 6. TERM OF AGREEMENT. The term of this Agreement shall
remain in effect until June 30, 2016, unless terminated earlier in accordance with
the provisions of Article 7.”
3.
EXHIBITS. The following exhibits are attached hereto and incorporated herein:
(a) EXHIBIT A: SCOPE OF WORK
(b) EXHIBIT B: BUDGET SUMMARY
(c) EXHIBIT C: RATES
All references in the Original Agreement to Exhibit A or Exhibit B, as previously
amended, shall include reference to Exhibit A, Exhibit B, respectively, to this
Eleventh Amendment. Exhibit C of this Eleventh Amendment shall replace
Exhibit C of the Original Agreement, as previously amended.
4.
Except to the extent the Agreement is specifically amended or supplemented
hereby, the Agreement, together with all exhibits thereto is, and shall continue to
be, in full force and effect, and nothing contained herein shall, or shall be
construed to, modify, invalidate, or otherwise affect any provision of the
Agreement.
LTK ENGINEERING SERVICES
ELEVENTH AMENDMENT
Page 2 of 3
CONTRACT NO. VS-PS-09-001
Page 22 of 62
IN WITNESS WHEREOF, the parties hereto have executed this Eleventh Amendment as
of the date first set forth above.
LTK ENGINEERING SERVICES
Dated: _________________
By____________________________________
SONOMA-MARIN AREA RAIL TRANSIT
DISTRICT
Dated: _________________
By____________________________________
Farhad Mansourian
General Manager, SMART
APPROVED AS TO FORM
Dated: _______________
LTK ENGINEERING SERVICES
ELEVENTH AMENDMENT
By______________________________
Tom Lyons
General Counsel, SMART
Page 3 of 3
CONTRACT NO. VS-PS-09-001
Page 23 of 62
EXHIBIT A
SCOPE OF SERVICES FOR SYSTEMS
This amendment provides additional funding for Consultant’s existing Systems Task Orders.
Below is a summary of the current systems scope. More detailed descriptions are outlined in the
individual Task Orders.
Task Order No. 11 - ISTEA Grade Crossing Signal Upgrade Design Services During
Construction








Drawing and specification revisions as approved by Resident Engineer (RE)
Review of contractor submittals as directed by RE
Responses to requests for information (RFIs), at SMART’s RE’s request
Inspection of equipment and installation. Witness of factory test, field tests and cutover
Independent cost estimates for potential changes at RE’s request
Preparation of CPUC General Order 88-B forms and CPUC Form G
Assistance to SMART’s engineer coordinating utilities
Status and coordination meetings as required
Task Order No. 12 - Operations Management and Planning
Operations Management
 Emphasize the involvement of an operations perspective in the design of the SMART
system. Assist SMART management with resolution of all operations-related issues.
 Lead the preparations for operation of the SMART Passenger Rail System
 Work to place the SMART relationship with regulatory institutions and the freight
operator on a sound, permanent basis that is consistent with the SMART service concept
and the design of SMART facilities.
 Other related duties as assigned by the General Manager
Operations and Maintenance Planning
 Revise the Operations and Maintenance (O & M) plan, plan for/specify Maintenance
Information System, and run operations simulations as requested
Task Order No. 15 - Staff Seconding Systems
Systems Engineering Manager
 Provide a single point of contact for SMART on systems and signaling matters
 Oversee and coordinate with systems design/builder and other contracts with interfaces
on systems and signaling design issues
 Mitigate risk to SMART on systems issues
 Review design proposals for compatibility and appropriateness for SMART’s long term
expansion
LTK ENGINEERING SERVICES
ELEVENTH AMENDMENT
EXHIBIT A
Page 24 of 62




Communicate regularly with design builder on systems issues and civil design as related
to systems
Provide previously completed design, estimate and specification information when
requested by various parties at SMART
Attend to any questions or coordination tasks needed by SMART with respect to Systems
Engineering such as grade crossings, maintenance facility design, etc.
Other tasks as assigned by the General Manager
Signal Consultant
 Serve as SMART’s Signal Engineer to oversee and manage all elements related to signal
and grade crossings.
 Coordinate design of Grade Crossings, including Supplemental Safety Measures and
other grade crossing design between Systems and Civil teams
 Lead interface coordination between signals and bridge controls on Haystack Bridge
 Provide support to staff on private crossing design and implementation
 Prepare and submit CPUC General Order 88B and Form G
 Review design concepts with respect to FRA compliance
 As SMART’s Signal Consultant, report to the Systems Engineering Manager
Communications Engineer
 Serve as SMART’s Communication Engineer to oversee and manage all things related to
communications.
 Oversee and coordinate with design/builder on communications, fiber network and
central control design issues
 Attend to interfaces with contracts involving communications, and their integration into
the project as a whole - for example moveable bridge, tunnel intrusion
 Communicate regularly with design builder on signals issues and civil design as related to
communications
 Provide previously completed design, estimate and specification information when
requested by various parties at SMART
 Attend to any questions or coordination tasks needed by SMART with respect to
communications engineering
 As SMART’s communications engineer, report to the Systems Engineering Manager
Specialty Support
 Allowance for specialty work or additional effort when authorized by Chief Engineer
Systems Office Engineer
 Primary engineering administration support for the Systems Amendment work, as
approved by the SMART Board of Directors in December 2012
 Tracks submittals, requests for information, change requests, and other contract
documentation
 Supports engineers responsible for submittal review by tracking review turnaround times
and offering reminders
LTK ENGINEERING SERVICES
ELEVENTH AMENDMENT
EXHIBIT A
Page 25 of 62



Conducts research as needed on site conditions, civil design and any documentation
needed for the Systems work to be conducted in a timely manner
Assists in inspections as needed by the Systems Manager
Any other tasks as directed by the Systems Manager
Systems Inspector
 Reviews field installation instructions
 Reviews drawing redlines and as-built documentation
 Advises Resident Engineer on field conditions, documents quality issues in the field, and
files daily and weekly reports
 Works with contractor and SMART staff to resolve quality issues
 Witnesses field tests
Task Order No. 19 – Contract Package 4 Support for OMF and Systems
Operations and Maintenance Facility Design Coordinator
 Tracks submittals, RFIs, change requests, and other contract documentation under the
Contract Package Four (CP-4) Operations & Maintenance Facility (OMF) segment.
 Coordinates responses to Contractor on design RFIs
 Conducts design review and design review coordination including stakeholder, for the
SMART OMF
 Conducts research as needed on site conditions, civil design and any documentation
needed for the OMF work to be conducted in a timely manner
 Assists in inspections of functional features of the OMF as needed
Utilities Coordination and Systems Support
 Coordinate CP-4 power provisions with the systems power needs
LTK ENGINEERING SERVICES
ELEVENTH AMENDMENT
EXHIBIT A
Page 26 of 62
EXHIBIT B
BUDGET SUMMARY
Task
Order
11
12
15
19
Budget
Requested
$56,065
Description
ISTEA Grade Crossing Signal Upgrade Design During
Construction
Operations Management and Planning
Staff Seconding Systems
Contract Package 4 Support for OMF and Systems
LTK ENGINEERING SERVICES
ELEVENTH AMENDMENT
TOTAL
$952,698
$2,867,440
$618,261
$4,494,464
EXHIBIT B
Page 27 of 62
EXHIBIT C
RATES FOR SYSTEMS STAFF
Name
Position
Cobb, Lisa
Crowley, Bryan
Golucki, Mark
Fitzgerald, Thomas
Matoff, Tom
Parkes, Aaron
Spanton, Bill
Support - Staff Seconds
Field Rate
Support - Expertise
Office Rate
Systems and Vehicle Manager
Systems Office Engineer
Communications - Lead Engineer
Vehicle and OMF Engineer
Operations Management
Signals - Lead Engineer
Systems Inspector
Aggregate Rate
Simulations and Planning Aggregate Rate
LTK ENGINEERING SERVICES
ELEVENTH AMENDMENT
Direct
Hourly
Overhead
Rate
$75.70
116%
$41.30
116%
$71.84
116%
$45.54
116%
$55.41
116%
$54.26 152.6%
10%
10%
10%
10%
10%
10%
Fully
Burdened
Rate
$179.86
$98.13
$170.69
$108.20
$192.00
$131.65
$150.77
Fee
$70.00
116.0%
10%
$166.32
$70.00
152.6%
10%
$194.50
EXHIBIT C
Page 28 of 62
Page 29 of 62
Page 30 of 62
Resolution No. 2014-03
Sonoma-Marin Area Rail Transit District
April 16, 2014
RESOLUTION OF THE BOARD OF DIRECTORS OF THE SONOMA-MARIN AREA RAIL
TRANSIT DISTRICT AUTHORIZING THE APPLICATION FOR GRANT FUNDS FOR THE
SONOMA COUNTY AGRICULTURAL PRESERVATION AND OPEN SPACE DISTRICT
MATCHING GRANT PROGRAM FOR THE REGIONAL SMART PATHWAY – SONOMA
COUNTY PAYRAN STREET TO SOUTH POINT BOULEVARD PROJECT
WHEREAS, the Sonoma County Agricultural Preservation and Open Space District
(Open Space District) has provided funding to public and non-profit agencies since 1990
for open space, community recreation, and public access projects through its Matching
Grant Program; and
WHEREAS, the Open Space District has established the procedures and criteria
for reviewing grant proposals and has issued a request for applications for its 2014
Matching Grant Program; and
WHEREAS, said procedures and criteria established by the Open Space District
require a resolution certifying the approval of the application by the Sonoma-Marin
Area Rail Transit District (SMART District) Board before submission of said application to
the Open Space District; and
WHEREAS, this resolution contains assurances that the SMART District must
comply with; and
WHEREAS, the SMART District, if selected, will enter into an agreement with the
Open Space District to implement the funded project.
NOW, THEREFORE, BE IT RESOLVED THAT THE Board of Directors of the
Sonoma-Marin Area Rail Transit District:
1. Approves the filing of applications for the Sonoma County Agricultural
Preservation and Open Space District Matching Grant Program for grant
assistance.
2. Determines that the Regional SMART Pathway – Sonoma County Payran
Street to South Point Boulevard Project is consistent with the SMART Final
Environmental Impact Report, certified by the Board in July 2008.
3. Certifies that the SMART District will make adequate provisions for
operations and maintenance of the project.
Page 1 of 2
Page 31 of 62
4. Certifies that the SMART District will provide for the full funding of the
project as described in the project budget and that any cost increases are the
responsibility of the SMART District.
5. Acknowledges that the SMART District agrees to the provisions contained in
the Matching Grant Program guidelines and agrees to comply with all
applicable federal, state and local laws, ordinances, rules, regulations and
guidelines for this project.
6. Appoints the General Manager of SMART, or designee, to conduct all
negotiations, execute and submit all documents, including, but not limited to
applications, agreements, amendments, payment requests, negotiation of
the required conservation easement, and so on, which may be necessary for
the completion of the aforementioned project.
PASSED AND ADOPTED at a regular meeting of the Board of Directors of the SonomaMarin Area Rail Transit District held on the 16th day of April, 2014, by the following vote:
DIRECTORS:
AYES:
NOES:
ABSENT:
ABSTAIN:
___________________________
Chair, Board of Directors
Sonoma-Marin Area Rail Transit District
ATTEST:
_________________________________________
Leticia Rosas-Mendoza, Clerk of Board of Directors
Sonoma-Marin Area Rail Transit District
Page 2 of 2
Page 32 of 62
Page 33 of 62
Page 34 of 62
Resolution No. 2014-04
Sonoma-Marin Area Rail Transit District
April 16, 2014
RESOLUTION OF THE BOARD OF DIRECTORS OF THE SONOMA-MARIN AREA RAIL TRANSIT
DISTRICT, STATE OF CALIFORNIA, AMENDING RESOLUTION NO. 2013-15 TO REVISE THE
ANNUAL BUDGET FOR FISCAL YEAR 2013-14, TO PROVIDE FOR INCREASED POSITION
AUTHORITY
WHEREAS, as part of its approval of the Annual Budget for Fiscal Year 2013-14, the
Board duly considered the annual expenditures necessary for the Sonoma-Marin Area Rail
Transit District; and
WHEREAS, on June 19, 2013, the Board adopted Resolution No. 2013-15 approving the
Annual Budget for Fiscal Year 2013-14; and
WHEREAS, Resolution No. 2013-15 considered the creation of employee positions and
fixed the compensation and salary for those positions; and
WHEREAS, the Board desires to amend the Annual Budget to provide increased position
authority.
NOW, THEREFORE, BE IT RESOLVED that the Fiscal Year 2013-14 Budget for the
Sonoma-Marin Area Rail Transit District attached as Exhibit B to Resolution No. 2013-15 is
hereby amended to include the following new full-time equivalent (FTE) positions:
Safety and Compliance Officer
1 FTE
BE IT FURTHER RESOLVED that except as specifically amended or supplemented by this
Resolution, Resolution No. 2013-15, together with all supplements, amendments and exhibits
thereto is, and shall continue to be, in full force and effect as originally adopted, and nothing
contained herein shall, or shall be construed to, modify, invalidate, or otherwise affect any
provision of Resolution No. 2013-15.
PASSED AND ADOPTED at a regular meeting of the Board of Directors of the SonomaMarin Area Rail Transit District held on the 16th day of April, 2014, by the following vote:
DIRECTORS:
AYES:
NOES:
ABSENT:
ABSTAIN:
Page 1 of 2
Page 35 of 62
________________________________
Chair, Board of Directors
Sonoma-Marin Area Rail Transit District
ATTEST:
Leticia Rosas-Mendoza, Clerk of Board of Directors
Sonoma-Marin Area Rail Transit District
Page 2 of 2
Page 36 of 62
Safety and Compliance Officer
Purpose
The Safety and Compliance Officer is responsible for the planning, directing, managing,
development and implementation of Sonoma-Marin Area Rail Transit’s (SMART) overall
safety plans, programs and practices as it relates to operations, transportation and
maintenance of SMART’s train sets. Reporting directly to the Manager of Operations, the
Safety and Compliance Officer will take a leadership role in the development and
implementation of safety and compliance programs that meet and exceed all federal, state
and regional requirements including Federal Railway Administration (FRA), California Public
Utility Commission (CPUC), American Public Transportation Association (APTA), and
Occupational Health and Safety Administriaon (OSHA) programs and health and safety
laws. This position will be responsible for the successful delivery of all SMART and FRA
training requirements/programs and certification programs as well as for revenue service.
This position will oversee the installation, maintenance and modification of a system to track
all compliance and training components including all reporting requirements. Together with
the Manager of Operations, and Superintendents of Transportation and Signals and Way,
this position forms part of the senior management team of the SMART Operations
Department.
Description
Under general direction of the Manager of Operations, this position is responsible for all
FRA and SMART compliance, certification and training activities of the Operations
Department and applicable SMART personnel. This is accomplished by evaluating the
effectiveness of safety and security programs to ensure they are relevant to the operations,
monitoring compliance with safety and security policies and being proactive in the
addressing of safety or security concerns, establishing goals and performance objectives for
training and certification programs, establishing benchmarks, implementing modifications
and improvements, ensuring compliance with all federal, state, local and SMART
requirements, allocating available resources, establishing policies and procedures within
SMART guidelines, directing actions of staff members, and developing staff. The Safety
and Compliance Officer will take the lead role in accident and incident investigations
developing an After Incident Report with recommendations to ensure prevention of similar
incidents. The Safety and Compliance Officer advises and consults with SMART managers
and contractors to identify and resolve problems or conflicts, define areas for
enhancements, cross-functional efficiencies and improvement, and identify approaches and
plans to meet/exceed objectives. Serves as liaison for the Manager of Operations as
required, to coordinate with, support, and provide information to management staff,
City/County staff and officials, outside agencies, consultants and vendors, and special
interest groups; prepares correspondence and supporting documentation (reports, issue
papers, presentations, etc.) as required and performs related duties as assigned.
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Duties and Responsibilities include, but are not limited to the following:
Class specifications are intended to present a descriptive list of the range of duties performed by,
and minimum requirements required of, employees in the class. Specifications are not intended
to reflect all duties performed within the job. SMART reserves the right to determine and amend
job responsibilities.
•
•
•
•
•
•
•
•
•
•
•
Responsible for the day-to-day oversight and implementation, management
leadership of SMART’s safety policies and practices in both operations and
mechanical functions
Develops training and certification programs, including documentation and
classroom training
Ensures compliance with all inspection and servicing requirements of the FRA and
CPUC; and maintains records of all mandated actions available for inspection by
FRA and CPUC staff and SMART management
Responsible for FRA Codes 213, 214, 217, 218, 219, 220, 225, 227, 228, 229, 238,
239, 240, 242
Participates as SMART’s representative in Railroad Safety Advisory Committee
(RSAC) and APTA committees as required
Deliver effective and comprehensive training to management and craft personnel in
all aspects of safety and security including railroad operating rules, safety rules
Ensures proper documentation and recordkeeping is maintained
Assesses and monitors workload, administrative and technical support systems;
allocates resources as applicable
Directs, monitors and participates in the preparation of periodic and special reports
including daily failure and production rates
Will provide back-up DMU vehicle movement assistance as applicable
Performs related work as required
Qualifications, Skills, Knowledge and Abilities
Qualifications:
• Requires in-depth knowledge of the operations and activity of a comprehensive rail
or transit operations (commuter, freight or passenger)
• A bachelor’s degree in business administration, management, engineering or related
field from an accredited college or university
• Additional related experience above the minimum may be substituted for college on
a year for year basis
• A minimum of six (6) years of full-time verifiable management (of staff or programs)
and supervisorial experience in a passenger railroad or public transportation rail
maintenance environment
• In accordance with the U.S. Department of Transportation (DOT) requirements, the
applicant selected for appointment to this Safety Sensitive position are subject to
DOT pre-employment testing and background requirements
• Must be able to successfully pass a pre-employment medical exam that uses the
standards of the California Commercial Driver’s License.
• Must possess a valid driver’s license or be able to acquire and maintain a valid
California driver’s license, and must have a satisfactory driving record.
Page 2 of 4
Page 38 of 62
•
Must have previously been certified and or must be able to meet the general criteria
for eligibility for certification as a locomotive engineer within 6 months of employment
by SMART.
Skills:
• Strong leadership and supervisory skills
• Proven track record in the ability to incorporate safety into everyday activities
• Preparing and administering public agency budgets
• Strong administrative skills
• Strong management skills in a highly regulated setting
• Strong computer skills (basic word processing, spreadsheet, presentation, database
software)
• Analyzing problems, identifying alternative solutions, recommend ideas in support of
departmental goals
• Interpreting and applying Federal, State, local and SMART policies, laws and
regulations
• Communicating clearly and concisely, both orally and in writing
• Working independently and as a member of a highly collaborative team and
exercising sound judgment in a variety of situations
• Tactfully and professionally providing guidance and counseling on performance
related matters
• Interpreting and applying oral and written instructions in a consistent manner
• Sound supervisory techniques and methodologies
• The use of basic office equipment such as phone, computer, keyboard, printer
Knowledge:
• Requires in-depth knowledge of the operations and activity of a comprehensive rail
or transit operations (commuter, freight or passenger)
• Knowledge of FRA Regulations
• Knowledge of FRA submission process for start-up rail organization
Abilities:
• Ability to communicate and work effectively in a team environment with departments
and individuals throughout the organization
• Ability to work hours that vary including early morning and late evenings
• Ability to analyze complex operations situations and prioritize multiple and interactive
tasks
• Supervise, train, evaluate, and motivate in a labor union environment
• Prepare, read, interpret and effectively utilize management reports
• Ensure compliance with policies, rules and regulations
• Ability to supervise in a multi-union work environment
• Ability to foster a climate of communication, cooperation and respect
• Comply with the random drug testing provisions for safety sensitive classifications as
required by the DOT
• Ability to work off-hour shifts, weekends and holidays when required
• Ability to perform the physical requirements of the job
Physical Working Conditions
The physical demands and work environment are characteristic of a railroad transportation
environment including working in indoor and outdoor as well as a typical office and field
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environment. Exposure to computer screens, noise, dust, shop environment, heat and cold
weather and moving vehicles. These conditions are representative of those an employee
encounters while performing the essential duties and responsibilities of this job.
Physical Requirements
Will require maintaining physical condition necessary for carrying out the duties and
responsibilities of the position and as necessary to provide applicable training; Examples of
physical requirements include light to medium lifting, bending, stooping and kneeling.
Position Details:
• Hourly Range: $40.87 - $60.10; Bi-Weekly
• FLSA Status: Exempt.
• Safety Sensitive subject to DOT and FRA Drug and Alcohol Testing Regulations.
• At Will-Employment.
• Regular, Full-Time.
• Based in Petaluma, CA
• A thorough background check will be required including, but not limited to: current and
past employers, personal contacts, education verification. (A complete list of
background check documents will be provided upon request).
• A pre-employment physical will be required.
• A pre-employment psychological screening, administered by a licensed
psychologist, will be required.
• This position is Cal PERS Retirement eligible: 2% at 62.
• This position is benefit eligible including medical, dental, vision, life, deferred
compensation, vacation and sick leave accrual, paid holidays and long term disability.
• Please note that SMART does not contribute to Social Security or to U.S. Railroad
Retirement.
The Sonoma-Marin Area Rail Transit District is an Equal Opportunity Employer
Established: April 2014
Approved: ________________________
Page 4 of 4
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AGENDA ITEM 6f
April 16, 2014
Judy Arnold, Chair
Marin County Board of Supervisors
Barbara Pahre, Vice Chair
Golden Gate Bridge,
Highway/Transportation District
Jim Eddie
Golden Gate Bridge,
Highway/Transportation District
Debora Fudge
Sonoma County Mayors and
Councilmembers Association
Madeline Kellner
Transportation Authority of Marin
Jake Mackenzie
Sonoma Mayors and Councilmembers
Association
Stephanie Moulton-Peters
Marin Council of Mayors and
Councilmembers
Gary Phillips
Transportation Authority of Marin
David Rabbitt
Sonoma County Board of Supervisors
Carol Russell
Sonoma Mayors and Councilmembers
Association
Kathrin Sears
Marin County Board of Supervisors
Shirlee Zane
Sonoma County Board of Supervisors
Farhad Mansourian
General Manager
5401 Old Redwood Highway
Suite 200
Petaluma, CA 94954
Phone: 707-794-3330
Fax: 707-794-3037
www.sonomamarintrain.org
Sonoma-Marin Area Rail Transit Board of Directors
5401 Old Redwood Highway, Suite 200
Petaluma, CA 94954
SUBJECT: Approve Resolutions pertaining to the California Department of
Justice to access criminal history information
Dear Board Members:
RECOMMENDATION:
Adopt Resolution Numbers 2014-05 and 2014-06 to obtain access to
criminal history information.
SUMMARY:
Employers and organizations can be subject to potential liability under
negligent hiring doctrines if they fail to exercise due diligence by
determining whether an applicant has a criminal history relevant to the
responsibilities of a job or if the employer fails to evaluate whether
placement of an individual in a certain position would create an
unreasonable risk to other employees or the public. In addition to
litigation risk, public employers have a need to assess the risks to their
assets and reputations posed by placing persons with criminal histories in
certain positions. To meet these business needs, employers can and
frequently do ask applicants whether they have criminal histories.
However, the background process success was always dependent on the
thoroughness of the investigator and the complete and truthfulness of the
prospective applicant’s disclosures.
Accessing good and reliable state and local criminal history information is
the most cost effective and practical way to perform due diligence to
protect the District, employees, assets, and the public. The California
Department of Justice and the Federal Bureau of Investigation currently
provide a service utilizing the “Live Scan” process whereby fingerprints are
scanned electronically and criminal history information is reported directly
to the employer. In order to take advantage of these services, Public
agencies must adopt a Resolution authorizing access to the summary
criminal service.
Page 41 of 62
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Resolution No. 2014-05
Sonoma-Marin Area Rail Transit District
April 16, 2014
RESOLUTION OF THE BOARD OF DIRECTORS OF THE SONOMA-MARIN AREA RAIL TRANSIT
DISTRICT, STATE OF CALIFORNIA, PERTAINING TO OBTAINING ACCESS SUMMARY CRIMINAL
HISTORY INFORMATION
WHEREAS, Penal Code Sections 11105(b)(11) and 13300(b)(11) authorize cities,
counties, districts and joint powers authorities to access state and local summary criminal
history information for employment, licensing or certification purposes; and
WHEREAS, Penal Code Sections 11105(b)(11) and 13300(b)(11) require that there be a
requirement or exclusion from employment, licensing, or certification based on specific criminal
conduct on the part of the subject of the record; and
WHEREAS, Penal Code Sections 11105(b)(11) and 13300(b)(11) require the city council,
board of supervisors, governing body of a city, county or district or joint powers authority to
specifically authorize access to summary criminal history information for employment,
licensing, or certification purposes.
NOW THEREFORE, BE IT RESOLVED, that the Sonoma-Marin Area Rail Transit District are
hereby authorized to access state and federal level summary criminal history information for
employment including volunteers and contract employees, licensing of engineers and
conductors, or certification for licensing of engineers and conductors purposes and may not
disseminate the information to a private entity.
PASSED AND ADOPTED at a regular meeting of the Board of Directors of the SonomaMarin Area Rail Transit District held on the 16th day of April, 2014, by the following vote:
DIRECTORS:
AYES:
NOES:
ABSENT:
ABSTAIN:
Page 1 of 2
Page 43 of 62
________________________________
Chair, Board of Directors
Sonoma-Marin Area Rail Transit District
ATTEST:
Leticia Rosas-Mendoza, Clerk of Board of Directors
Sonoma-Marin Area Rail Transit District
Page 2 of 2
Page 44 of 62
Resolution No. 2014-06
Sonoma-Marin Area Rail Transit District
April 16, 2014
RESOLUTION OF THE BOARD OF DIRECTORS OF THE SONOMA-MARIN AREA RAIL TRANSIT
DISTRICT, STATE OF CALIFORNIA, PERTAINING TO OBTAINING ACCESS SUMMARY CRIMINAL
HISTORY INFORMATION
WHEREAS, Penal Code Sections 11105(b)(11) and 13300(b)(11) authorize cities,
counties, districts and joint powers authorities to access state and local summary criminal
history information for employment, licensing or certification purposes; and
WHEREAS, Penal Code Section 11105(b)(11) authorizes cities, counties, districts and
joint powers authorities to access federal level criminal history information by transmitting
fingerprint images and related information to the Department of Justice to be transmitted to
the Federal Bureau of Investigation; and
WHEREAS, Penal Code Sections 11105(b)(11) and 13300(b)(11) require that there be a
requirement or exclusion from employment, licensing, or certification based on specific criminal
conduct on the part of the subject of the record; and
WHEREAS, Penal Code Sections 11105(b)(11) and 13300(b)(11) require the city council,
board of supervisors, governing body of a city, county or district or joint powers authority to
specifically authorize access to summary criminal history information for employment,
licensing, or certification purposes.
NOW THEREFORE, BE IT RESOLVED, that the Sonoma-Marin Area Rail Transit District are
hereby authorized to access state and federal level summary criminal history information for
employment including volunteers and contract employees, licensing of engineers and
conductors, or certification for licensing of engineers and conductors purposes and may not
disseminate the information to a private entity.
PASSED AND ADOPTED at a regular meeting of the Board of Directors of the SonomaMarin Area Rail Transit District held on the 16th day of April, 2014, by the following vote:
DIRECTORS:
AYES:
NOES:
ABSENT:
ABSTAIN:
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________________________________
Chair, Board of Directors
Sonoma-Marin Area Rail Transit District
ATTEST:
Leticia Rosas-Mendoza, Clerk of Board of Directors
Sonoma-Marin Area Rail Transit District
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Sonoma-Marin Area Rail Transit District
Annual Report - Measure Q Program
2013
5401 Old Redwood Highway, Suite 200
Petaluma, CA 94954
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About Sonoma-Marin Area Rail Transit (SMART)
SMART is a transit district created by the State of California in 2003 to oversee the development,
implementation and operation of a passenger rail system in Marin and Sonoma counties.
SMART is currently implementing a passenger rail and bicycle-pedestrian pathway project
approved by voters in 2008. It will serve a 70-mile corridor from Larkspur to Cloverdale, with a
first phase from Downtown San Rafael to Sonoma County Airport Boulevard anticipated to begin
operations near the end of 2016.
For more information about SMART and its projects and programs, please visit
www.sonomamarintrain.org.
2013 Board of Directors
Judy Arnold, Chair
Marin County Board of Supervisors
Jake Mackenzie
Sonoma County Mayors and Councilmembers
Association
Barbara Pahre, Vice Chair
Golden Gate Bridge, Highway and
Transportation District
Kathrin Sears
Marin County Board of Supervisors
Jim Eddie
Golden Gate Bridge, Highway and
Transportation District
Eric Lucan
Transportation Authority of Marin
Shirlee Zane
Sonoma County Board of Supervisors
Gary Phillips
Transportation Authority of Marin
Debora Fudge
Sonoma County Mayors and
Councilmembers Association
Carol Russell
Sonoma County Mayors and Councilmembers
Association
Stephanie Moulton-Peters
Marin Council of Mayors and
Councilmembers
David Rabbitt
Sonoma County Board of Supervisors
District Management
Farhad Mansourian
General Manager
Erin McGrath
Chief Financial Officer
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Table of Contents
Message From The Chair, Board of Directors ............................................................................................... 1
Trackway & Bridges, Signal & Train Systems ................................................................................................ 2
Grade Crossings Improvement Project ......................................................................................................... 3
Environmental Mitigation Program .............................................................................................................. 4
Passenger Rail Cars ....................................................................................................................................... 4
Stations ......................................................................................................................................................... 5
Bicycle & Pedestrian Pathway....................................................................................................................... 5
Operations .................................................................................................................................................... 6
Outreach and Education ............................................................................................................................... 7
Financial Information .................................................................................................................................... 9
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Message From The Chair, Board of Directors
SMART reports annually on the implementation status of the rail and pathway project passed by
voters in 2008 through Measure Q, a 20-year ¼ cent sales tax. This report sets forth information
on funds collected and expended, the status of the capital program, and other notable
achievements.
On behalf of the SMART Board of Directors, I am pleased to provide a progress update on this
ambitious and complex project, including an overview of major project elements, our current
progress to date, and a look at activities underway to prepare for the launch of operations in late
2016.
The year 2013 was one of tremendous progress on several key milestones. These include:
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The award of the fifth and final major construction contract for Phase 1
Completion of track, crossing, bridge and signal improvements along more than 17
miles of the project corridor
Opening of a new segment of the SMART Pathway in Santa Rosa
Design and commencement of manufacture of passenger rail vehicles
Improved sales tax revenue receipts as the economy has steadily recovered
Identification and successful pursuit of more than $40 million in additional funding for
both rail and pathway project components from regional, state and federal grant
sources
Expansion of Phase 1 to include a new station near the Sonoma County Airport, bringing
the Phase 1 service area to 43 miles and 10 stations
Advancement through the regulatory permit process and environmental mitigation
This report provides more detail on specific project elements and achievements.
On behalf of SMART, I’d like to thank our many community partners for their time and effort in
helping SMART achieve the goals set forth by the voters of the SMART District. We look forward
to continued progress on the SMART rail and pathway project in the coming year.
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Trackway & Bridges, Signal & Train Systems
Construction of the SMART rail infrastructure involves rebuilding of track, bridges, and other
structures along the 43 miles of the first phase of the project. It also involves the creation of a new
signal system to control train movements and safety
measures for the entire rail right-of-way. In 2013,
SMART contractors Stacy & Witbeck/Herzog,
completed over 17 miles of track reconstruction
between Guerneville Road in Santa Rosa and “D”
Street in Petaluma. Project materials are made in
the U.S., with steel rail manufactured in Colorado,
ties in Spokane, and 100% of ballast coming from
local suppliers.
An estimated 63% of subcontractors on this contract
are local, accounting for more than half of
construction hours to date, and the contractor has
also spent more than $11 million directly with local
businesses.
The following specific components were part of this work:
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Reconstruction of Cinnabar Bridge in Petaluma
Installation of train systems ductbank from Santa Rosa to D Street in Petaluma
Adobe spur rail rehabilitation constructed in Petaluma
Mainline track built from Guerneville Road, Santa Rosa to “D” Street, Petaluma
All 25 grade crossings rebuilt between Guerneville Road in Santa Rosa and “D” Street in
Petaluma
Gauntlet tracks constructed at Petaluma Station, Cotati Station, Rohnert Park Station
and Guerneville Road Station
Santa Rosa siding constructed between 3rd Street and Guerneville Road
Bridge repairs or replacements complete at Laguna de Santa Rosa, Hinebaugh Creek,
Copeland Creek, and Lichau Creek, Colgan Creek and Willow Brook Creek
Station platform footings/walls completed at Petaluma, Cotati, Rohnert Park, and
Railroad Square and Guerneville Road in Santa Rosa.
In addition to this progress, SMART completed the year-long process of awarding our final major
construction contract in November. This $68.7 million design-build contract was awarded to
Oakland-based Shimmick Construction in November 2013 and includes several key elements of
the continuing work on Phase 1 of the rail and pathway project:
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Design and construction of track from Civic Center Drive to the downtown station in San
Rafael
Strengthening of the Puerto Suello Tunnel in San Rafael
Integration of the vehicular traffic control system in downtown San Rafael
Installation of the rolling leaf bascule bridge to replace the existing Haystack Bridge
over the Petaluma river
Construction of seven segments of the SMART Pathway in Sonoma and Marin
Construction of the Operations & Maintenance Facility which will house operations and
rail vehicles as well as provide for maintenance, dispatch and train operations and
systems
Rail Station platform finishes – platform tops, access ramps and stairs, shelters, lighting,
seating, etc.
Work on SMART train systems made significant progress in 2013. Train systems include various
mechanisms for communication and electrical integration for the railway, including Positive Train
Control which will allow SMART
to control trains remotely. Notice
to Proceed for systems design
and construction was issued to
Stacy & Witbeck/Herzog in 2013
and by the end of the year the
design was 60% complete.
Systems work will be integrated
with the civil construction, an
approach that ensures
efficiencies for both the
construction crews and the
public, because it minimizes
street or crossing closures and
coordinates trenching and
installation of in-ground
elements with the overall civil
construction schedule.
Grade Crossings Improvement Project
Progress continued in 2013 on the 41 new at-grade railroad crossings in Marin and Sonoma funded
by the federal Intermodal Surface Transportation Efficiency Act (ISTEA). This project, which
provides replacement and upgrade of signal systems as well as the roadway surface, will make
those local roadway connections smoother and safer for the walking, biking and driving public.
Crossings are located between Novato and Cloverdale, with 14 located north of Santa Rosa.
The project is currently 95% complete, including gates, cantilevers, and electrical house
installations. Pre-testing has taken place at 16 crossings. The final crossings and testing will be
completed in Fall 2014.
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Environmental Mitigation Program
Although the rail construction work is
primarily comprised of rehabilitation and
replacement of existing infrastructure,
there are still multiple requirements for
environmental mitigation as a result of the
California Environmental Quality Act
(CEQA) and our federal and state permits.
Normally it is very difficult and expensive
to provide mitigation of environmental
impacts in the same location as a project
area. However, in 2013, SMART was able to
negotiate and complete the purchase of the
60-acre Mira Monte Marina property along
the Marin/Sonoma border with the purpose
of providing permanent preservation and
enhancement for wetlands and habitat. This achievement of locally provided prime wetland
environmental mitigation is a major accomplishment for the project.
Passenger Rail Cars
Train service in Sonoma and Marin will be provided in state-of-the art Diesel Multiple Unit vehicles
which will be the least polluting and safest passenger rail cars available. The manufacturing/
assembly of the new cars is well
underway. The first, or “pilot”
two-car train set is currently
being manufactured and is
undergoing a series of rigorous
component tests prior to final
assembly in Illinois. Initial ontrack testing will take place at a
renowned testing facility in
Pueblo, Colorado prior to
extensive static and dynamic
testing on the SMART
alignment during 2015.
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Stations
The award of the final Phase 1 construction contract in 2013 included funding to complete the
station finishes at 9 stations between San Rafael and Santa Rosa. However, in the final month of the
year, SMART received funding from the Metropolitan Transportation Commission to extend the
Phase 1 scope of the rail project to include a new station at the Sonoma County Airport. The newly
added 10th station at Airport Blvd. station will not only serve the Sonoma County Airport, but will
bring commuters to businesses that currently employ more than 5,000 people within ½ mile of the
station, a figure projected to triple over the next 20 years.
Further work on stations in 2013 included planning work for station area access, including bus
transit connections and employer shuttles. Also in 2013 staff completed numerous property
transactions that were needed in preparation for other stations along the corridor. That work
included:
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A property exchange to provide land for the Atherton Station in Novato
Transfer of property for the Hamilton Station site from City of Novato to SMART
Completion of the Rohnert Park Station station property acquisition
Purchase of property for sidewalk needs in conjunction with new crossings in
Petaluma.
SMART staff also focused on completion of work in connection with Federal Transit Administration
(FTA) grants to study the San Rafael to Larkspur rail extension. Federally required Alternatives
Analysis for the SMART corridor from San Rafael to the Larkspur station was completed in 2013. In
September 2013, SMART was approved by the FTA to move the Larkspur extension project into the
Project Development phase of the FTA’s Small Starts program. This acceptance into the Small Starts
program will allow SMART to secure access to an additional $2.5 million grant which will fund
preliminary engineering and design work for that extension once federal environmental review
under the National Environmental Policy Act (NEPA) is
complete.
Bicycle & Pedestrian Pathway
The final construction contract awarded in late 2013
included construction of seven segments of the SMART
Pathway in Sonoma and Marin that have completed
environmental clearances. These segments, which will
provide approximately 3 ¼ miles of pathway, were
also chosen because they will enhance station access.
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Those segments are outlined in the chart below:
PATHWAY SEGMENT CONSTRUCTION AWARDED IN 2013
Jurisdiction
Start
End
San Rafael
Novato
Novato
North San Pedro Road
Main Gate Road
Manuel Pedestrian Crossing
Civic Center Drive
Pacheco Circle
Grant Avenue
Cotati
Santa Rosa
Santa Rosa
Manor Drive
Bellevue Avenue
Prince Greenway
Novato
Rush Creek Place
San Marin/Atherton Station
East Cotati Avenue
Hearn Avenue
3rd Street
In addition to this construction, SMART worked with the City of Santa Rosa by providing funding
and land for an important segment of the pathway from West College Avenue to Eighth Street north
of Railroad Square in Santa Rosa. This pathway was completed in November 2013 and is currently
in use by the public.
The funding provided by Measure Q provides the structure and matching funds needed to leverage
regional, state and federal funding to construct segments of the SMART pathway. In 2013, SMART
was successful at competing for a number of grants, including $1.043 million from the One Bay Area
Grant program for Pathway construction between East Cotati Avenue and Southwest Boulevard
in Rohnert Park. SMART was also awarded $160,000 from the California State Enhanced
Environmental Mitigation Program (EEMP) for Pathway construction from Golf Course Drive to
Southwest Boulevard in Rohnert Park.
Operations
As planning continues for passenger
service in 2016, staff and expert
consultants are working daily on the
hundreds of planning and coordination
steps required in advance of train
operations. SMART operations, and in
some areas its design as well, come
primarily under the safety regulatory
structure of the Federal Railroad
Administration (FRA). In addition,
certain safety regulations, particularly those
involving grade crossings and clearances, fall under the jurisdiction of the California Public Utilities
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Commission, (CPUC). In 2013, work on these regulatory submittals was ongoing. Last year
operations staffing became a key focus with a number of position descriptions and duties being
developed and presented to both regulatory agencies and the Board of Directors in advance of
hiring a number of operations staff in 2014. Operations also began work with our contractor,
Shimmick Construction, on the design phase of the Operations and Maintenance Facility on Airport
Boulevard in Sonoma. SMART staff also worked throughout all of 2013 on the development of
SMART’s fare collection options, including potential integration into the regional Clipper program.
In 2013, operations worked with our freight partners, the North Coast Railroad Authority (NCRA)
on coordination of dispatch and safety requirements, coordination on construction of freight
turnouts, and other daily operational issues. SMART and NCRA collaborated in the Spring of 2013
to provide operations, safety support and staffing for the first excursion train over SMART’s tracks
bringing 500 passengers to the Sonoma Raceway’s NASCAR race in June.
Also in 2013, SMART operations and safety staff successfully worked with the County of Sonoma to
receive a $10,000 Homeland Security Grant for the purchase of Automatic Vehicle Location (AVL)
equipment for our train set vehicles. This will provide public safety agencies the ability to track our
train locations wherever they are on the rail corridor. This is an important capability to provide
quick response during any sort of event where law enforcement or other response is needed. AVL
will also allow for the ability in the future to track train arrival and wait times for trains at specific
station locations.
Outreach and Education
In 2013, SMART focused its outreach and education
efforts in two areas: notification to our neighbors on
construction activities and progress, and continued
education about safety near an active railroad.
Construction outreach to businesses and residents was
completed for 30 grade crossing replacements, which
included door-to-door canvassing distribution of, bilingual flyers, electronic display boards and news
advisories on dates and hours of road closures. In
addition to this specific outreach, SMART staff made 54
different presentations to a variety of audiences in cities
and towns throughout the SMART District. Staff also
provided information to the public in information booths and tables at 27 fairs and public events
attended by thousands of members of the public in 2013.
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Safety outreach and education was helped in 2013 through a $25,000 federal rail safety education
grant from the National Operation Lifesaver to create safety campaign in advance of test train
activities. Also working with the Operation Lifesaver program, staff was able to certify 4 SMART
employees as Operation Lifesaver presenters. This meant that in 2013, staff presented Operation
Lifesaver-compliant safety presentations directly to more than 550 students in Marin and Sonoma.
SMART also partnered with Sonoma Safety PALS (Prevention and Life Safety) to include Rail Safety
in their bi-lingual educational theatrical performances for elementary schools. More than 1,600
elementary school students attended the safety plays. In 2013, SMART outreach efforts included
distribution of bi-lingual Rail Safety Reminders flyer to all public and most private school districts.
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Financial Information
In Fiscal Year 2012-13 SMART received total revenues of $73,542,907.
Revenues include:
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Sales Tax Revenues of $30,435,753
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Grant Funding From the State of California of $24,130,597
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Sales tax funding from Sonoma County’s Measure M of $5,591,583
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Bridge Toll grant funds through the Metropolitan Transportation Commission of
$4,541,421
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Federal Highway Administration Funds of $5,815,732
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Investment earnings of $1,495,066
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Miscellaneous revenus of $1,532,756
Sales Tax revenues continue to grow with the improving economy. Tax revenue for the year
represented an increase of 7.5% over FY 2011-12.
At the end of the Fiscal Year, SMART had a fund balance of $229,780,751 which included
$159,489,022 in bond funds. Bond funds are controlled by SMART’s bond trustee and are invested
in the Sonoma County Treasury Pool and the California Asset Management Program.
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Total Expenditures for Fiscal Year 2012-13 were $95,162,414. Included in that total were
$2,558,849 in non-capitalized salaries and benefits. SMART also incurred $9,866,442 in debt
service costs related to the 2012 Bond sale.
The vast majority of expenses were in capital outlays of $77,629,877. Capital outlays are direct
capital costs related to the SMART Rail and Pathway Project. Over $62.8 million in design,
permitting and construction expenses went into the track, systems, platforms and rail related
investments. Over $8 million was invested in railroad at-grade crossings of local streets and roads
through the federal ISTEA program. Payments for design and construction of rail vehicles totaled
$1.5 million. SMART pathway expenses related to federal environmental clearance, design, and
construction were $590,557. Miscellaneous project expenses, including legal costs, totaled
$394,741.
Expenditures FY 2012-2013
Salaries and employee benefits
Services and supplies
Capital outlay
Other Charges
Interest and related fees
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