CITY OF WEST SACRAMENTO AGENDA REPORT MEETING DATE: June 13, 2018 ITEM# if SUBJECT:
CONSIDERATION OF THE DOWNTOWN RIVERFRONT STREETCAR GOVERNANCE DOCUMENTATION
INITIATED OR REQUESTED BY: ORDINATED OR PREPARED BY: [ ] Council [X] Staff y, Supervising Transportation Planner [ ] Other
ATTACHMENTS [X] Yes [ ] No [ ] Information [ ] Direction [X] Action
OBJECTIVE The obj ective of this report is to provide the City Council with an update on the status of the Downtown Riverfro nt Streetcar (the "Project") and present the proposed Governance framework documentation and the Project Management Plan for Council consideration.
RECOMMENDED ACTION Staff respectfully recommends that the City Council review and approve the Down Town Riverfront Streetcar Governance framework and documentation (Attachments 1 through 4).
BACKGROUND Since 2006, the City of West Sacramento and the City of Sacramento ("the Cities") have worked cooperatively with the Sacramento Area Commission of Governments ("SACOG"), the Sacramento Regional Transit ("RT") District, the California Department of Transportation ("Caltrans"), and the Yolo County Transportation District ("YCTD") to develop a streetcar system with the goal of improving transit service across the Sacramento River in support of high-density residential and commercial urban infill and waterfront development over the next 20 years.
Staff of the Streetcar Project Management Team ("PMT") continue to work with the Federal Transit Administration (the "FTA") to develop a mutually acceptable Governance structure for the Project. On September 8, 2017, the PMT provided the FTA with the required draft Governance documentation for review and consideration. SACOG and legal representation for the Cities and RT worked with the FTA and their Project Manager to answer questions and resolve their concerns pertaining to the overall Governance structure and documentation.
On December 22, 2017, staff resubmitted Governance documents in accordance with FTA requirements for final review and approval. These submitted documents consisted of a Subrecipient and lnteragency Agreement for Streetcar Funding; First Amendment to the Joint Exercise of Powers Agreement; Design, Procurement and Construction Agreement; and Operations and Maintenance Agreement. (Attachments 1 th ro ugh 4) The FTA's regional office, Region IX, responded with additional concerns and comments on the revised submittal requiring extensive coordination between members of the PMT, the FTA, their Project Manager, and legal representation for the Cities and RT to continue meeting on a bi-weekly basis to address and resolve outstanding issues related to the content and framework of the Project Governance.
ANALYS IS , Staff held a conference call with FTA Headquarters and Region IX on February 26, 2018. Topics included discussions on Governance and the status of the Capital Investment Grant (" CIG") program . The CIG program is the funding source for the Small Starts Grant Agreement (" SSGA") which remained under scrutiny from the President of the United States and members of Congress. This funding uncertainty made it challenging for the FTA to continue moving forward with project reviews resulting in staff that were reticent to take action or provide specific written comments and direction on the project.
On March 23, 2018, the House and Senate passed the FY18 omnibus bill and the President signed the measure. The spending bill funds the government for the remainder of the fiscal year - through September 30, 2018. Included in th is bill is approximately $13.5 billion for the FTA. Of this amount, $2.6 billion was reserved Downtown Riverfront Streetcar: Consideration of Governance Documentation June 13, 2018 Page 2 for the CIG program; up from $2.4 billion in FY17. The CIG program funds the Small Starts Grants, which is required to fund the Streetcar Project. While no earmarks are listed in the budget, staff expects funding for the Streetcar to be available once all FTA technical capacity reviews are complete. Approximately one week prior to the signing of the federal budget, SACOG and RT received a letter from the FTA indicating that the FTA has previously supported alternative Governance structures for streetcar projects provided the municipalities and the Riverfront JPA would be able to demonstrate technical and organizational capacity. To determine this capacity, FTA requested that the PMT submit an updated Project Management Plan ("PMP") (Attachment 5) explaining how the Project will be built and how the Governance structure would be incorporated in the process. Prior to this letter, the FTA had suggested staff hold on the PMP update until the Governance had been approved. Following discussions with FTA staff on March 16, 2018, FTA indicated their Governance review would be done through the submitted PMP. FTA would prefer to see how the Governance fits into the overall management of the plan. Staff is awaiting FTA comments on the PMP, which was initially submitted June 3, 2016 and subsequently revised four times. The last revision was submitted for approval May 18, 2018.
On May 15, 2018, the Riverfront JPA Board took action approving the overall Governance structure and recommended adoption by the individual City Councils and RT Board. The City of Sacramento is expected to take the Governance documents to their City Council in early to mid-July. Once the cities of Sacramento and West Sacramento have approved the documents, RT staff is expected to take them to the RT Board for approval at their July 23 rd meeting. The PMT will then return to the Riverfront JPA Board for formal adoption on August 21, 2018.
STREETCAR PROJECT STATUS UPDATE Engineering, Vehicle Procurement, and Maintenance Facility Design Progress The Project's 95% Civil, Systems and Stations design submittal was completed for PMT review on September 19, 2017. Engineering and Construction Management staff reviewed the engineering documents submitted and provided comments to the design team on May 31, 2018. The Vehicle Maintenance Facility (VMF) design contract was awarded December 2017 to RNL Design which was recently acquired by Stantec. A design charrette was held the last week of May with members of the PMT, City of West Sacramento and RT staff to review site design concepts, discuss operations requirements, and discuss architectural design requirements for the VMF. A report is anticipated in the coming weeks that will identify a conceptual site design and conceptual building design for the VMF.
Proposals received for streetcar vehicle procurement on November 21, 2017 are currently under technical review by RT, staff of both cities and the vehicle specifications consultant. It is anticipated that the vehicle procurement contract will be awarded following receipt of the SSGA from the FTA. Costs associated with vehicle procurement will inform the project budget.
Project Schedule On September 8, 2017 RT submitted the annual Streetcar FY19 Small Starts Grant Application ("SSGA") documentation to FT A. This documentation is required every year until execution of a SSGA. An updated Project schedule (Attachment 6) was provided to the FTA on May 4, 2018. This schedule anticipates the SSGA to be issued by the FTA September 15, 2018. At the request of FTA, the start of revenue service has been extended to April 15, 2022 to reflect anticipated FTA review cycles and more conservative construction schedule. Staff however is still pursuing a more aggressive timeline with the expectation of starting revenue service toward the end of 2021.
Streetcar Station Design and Public Outreach Staff continues to discuss amenities and design associated with each station location along the Streetcar line. A series of four internal design workshops were held with staff of the Cities and RT. The first was held on September 13, 2017 and results of that meeting were presented to the West Sacramento City Council on December 13, 2017, along with a station design framework consisting of regional, community, and local station development options and associated amenities for Council to consider and provide direction.
On April 25, 2018 and May 23, 2018, PMT staff participated in an internal workshop and visual preference survey to provide input on station aesthetics. Then on June 7, 2018, staff reviewed the station renderings that will be presented to the public at an Open House to be held on June 14, 2018 (Attachment 7) . This Public Information Open house will take place at the Sacramento City Hall Historic Hearing Room at 915 I Street in Sacramento. The PMT and design team will present an update on the final engineering progress for the Streetcar Project, will present station concepts, and will hold an online "Open House" 24 hours a day through Downtown Riverfront Streetcar: Consideration of Governance Documentation June 13, 2018 Page 3
June 29th to allow members of the public an extended opportunity to review and comment on various station concepts. It is expected that the results of the workshops and design concepts will be presented to the West Sacramento City Council on July 18th prior to adoption by the Riverfront JPA on August 21, 2018.
Environmental Consideration N/A
Commission Recommendation A special meeting of the Transportation, Mobility and Infrastructure ("TMI") Commission was held on December 4, 2017 to provide a Project update and receive input from the TMI Commission on the proposed station design framework. Comments and recommendations of the TMI Commission were presented to the City Council as part of the Council Workshop and presentation. Members of the TMI Commission were invited to attend the Open House and will receive an update on the project and results of the community outreach effort at their July 9, 2018 meeting.
Strategic Plan Integration The Downtown Riverfront Streetcar project directly addresses the guiding principle of "Riverfront: A Regional Destination." In addition, by addressing improved transportation access, it also serves the principles of a Strong Diverse Local Economy and Vibrant Neighborhoods (adequate road and transportation capacity to facilitate ease of movement). This item also advances the 2018 Strategic Plan Policy Agenda Top Priority item, "Streetcar Development." Alternatives Staff respectfully recommends that the City Council review and approve the Project Governance framework and documentation (Attachments 1 through 4). As an alternative to the recommended action, the City Council could: 1. Decline to approve the Project Governance Framework - This action is not recommended because the FTA has indicated they want to see the Streetcar Governance documentation approved by the local agencies and Riverfront JPA Board or the Project could receive a higher risk rating. This means that the FTA may assign added schedule and increase recommended funding when conducting their risk assessment. To avoid this, the Governance documents must be signed by the risk assessment or just after (i.e. early to mid-June). 2. Schedule this item to be addressed at a subsequent Council meeting - This action is not recommended for the reasons identified in alternative action #1.
Coordination and Review The City of West Sacramento as a member of the PMT continues to coordinate directly with the Project Partners on the Project. Elements of the project are coordinated internally between the City of West Sacramento Economic Development Department, Finance Division, and Public Works Department; and externally with the SACOG, RT, City of Sacramento, Caltrans, utility providers, and project consultants; as well as federal representatives and other state agencies. Budget/Cost Impact West Sacramento has allocated $35 million toward the Downtown/Riverfront Streetcar Project. This includes $10 million designated from CFO 27 and the Bridge District IFD to provide service on Riverfront Street. The remaining $25 million are sourced from Measure V (109-211), from which $5.45 million was approved by City Council to be advanced toward completing project development. Current allocated funds were expected to fund the project until the SSGA was received by the FTA. However, as issuance of the SSGA has been delayed by the FTA, staff anticipates returning to the City Council in July/August with a subsequent cost sharing agreement with the City of Sacramento in order to continue advancing previously allocated funds in an effort to move the project forward until the SSGA is secured.
ATTACHMENTS 1. Subrecipient and lnteragency Agreement for Streetcar Funding; 2. First Amendment to the Joint Exercise of Powers Agreement; 3. Design, Procurement and Construction Agreement; 4. Operations and Maintenance Agreement; 5. Downtown Riverfront Streetcar Project Management Plan 6. Streetcar Project Schedule 7. Streetcar Public Open House Invitation ATTACHMENT 1
SUBRECIPIENT AND INTERAGENCY AGREEMENT FOR STREETCAR FUNDING
THIS SUBRECIPIENT AND INTERAGENCY AGREEMENT FOR STREETCAR FUNDING ("Agreement") is made and entered into on , 2018 ("Effective Date"), by and between SACRAMENTO REGIONAL TRANSIT DISTRICT, a public corporation ("RT"), the CITY OF SACRAMENTO and the CITY OF WEST SACRAMENTO, municipal corporations (each a "City" and collectively, "Cities") and the RIVERFRONT JOINT POWERS AUTHORITY, a California joint powers authority ("Authority").
RECITALS
WHEREAS, the Cities desire to jointly acquire, plan, design, finance, construct, own, operate, and maintain a fixed-rail streetcar system that will operate within and between the two Cities as described in the FTA Grant Agreement (as that term is defined in Section 2(a)(l)) ("Project");
WHEREAS, the Cities formed the Authority to conduct the Project activities on their behalf;
WHEREAS, RT has experience in the management of and compliance with federal and state grants for the design, in the construction of fixed-rail transportation systems and desires to assist the Cities and the Authority with the Project;
WHEREAS, the Federal Transit Administration ("FTA") has approved capital grant funding for the development and implementation of the Project;
WHEREAS, under Streets and Highways Code Section 2704.095, RT is eligible to claim funds for capital improvements for intercity and commuter rail lines and urban rail systems that provide direct connectivity to the high-speed train system and its facilities and has been awarded $25 million in Proposition IA funds;
WHEREAS, RT, as an eligible recipient, has been awarded $30 million for the Project under the Transit and Intercity Rail Capital Program ("TIRCP");
WHEREAS, RT is a "Designated Recipient" in the Sacramento Metropolitan region for FTA grants;
WHEREAS, RT, the Cities and the Authority desire to enter into this Agreement to provide FTA, TIRCP, and Proposition IA grant funds to the Authority as a subrecipient for the Project;
WHEREAS, RT is responsible, as the FTA and State grantee, for ensuring that all applicable grant requirements will be met by Authority under the FTA, TIRCP and Proposition IA grants (collectively, "Grants"); and
WHEREAS, RT is further responsible for ensuring that FTA's requirements will be met by the cities and the Authority, except where RT has agreed to provide grant management services as set forth herein.
{00091104.20} NOW, THEREFORE, IT IS MUTUALLY AGREED AS FOLLOWS:
1. PURPOSE AND SCOPE. The purpose of this Agreement is to set out the terms and conditions applicable to RT's transfer of grant funds to the Authority, as the subgrantee, for the development of the Project as described in grant application(s) submitted to FTA, the California State Transportation Agency ("STA"), and California Transpmiation Commission ("CTC") (collectively, "Grantors").
2. GRANT PASS THROUGH REQUIREMENTS.
(a) Designation ofAuthority as a Subrecipient. RT hereby designates the Authority as the subrecipient on the federal and state grants set forth below in Section 2(a)(i) through 2(a)(iii) ( each a "Subrecipient Grant" and, collectively, the "Subrecipient Grants"). As a subrecipient, the Authority must comply with all terms and conditions of the Subrecipient Grants applicable to the Authority as the subrecipient and due to its ownership and operation of the Project.
(i) Federal Transit Administration Small Staiis Grant Agreement ("FTA Grant Agreement") (a copy of which together with the FTA Master Agreement will be attached hereto as Exhibit A upon its execution.) Exhibit A, the current FTA Master Agreement MA(23), is attached hereto as a placeholder and will be replaced with the FTA Grant Agreement and then current Master Agreement upon execution)
(ii) TIRCP Program Supplement for the Project (a copy of which will be attached hereto as Exhibit B upon its execution.)
(iii) Proposition IA Program Supplement for the Project (a copy of which will be attached hereto as Exhibit C upon execution.)
(b) Future Federal and State Grants. Any future federal or state grants intended for use on the Project and where RT would be the principal grantee would require an amendment to this Agreement or a new subrecipient agreement between the parties. Notwithstanding the foregoing, the Cities and the Authority (acting jointly or individually) may apply directly for any future federal or state grant without the involvement of RT if the Cities or Authority so decide.
( c) Compliance with Law. Authority must comply with all applicable Federal, State, and local laws, codes, ordinances, regulations, orders, circulars, and directives, including, without limitation, all Federal regulatory requirements associated with the funding provided to Authority under this Agreement. These regulations, orders, circulars, and directives include, without limitation, the following: FTA Master Agreement; Master Agreement State Funded Transit Projects No. 64A003 8 AO 1; 48 CFR Part 31, Federal Acquisition Regulations System; and 2 CFR, Chapters 1 and 2, Parts 200,215,220,225, and 230, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards. Further, Authority must require the appropriate debarment certification form from all contractors and Authority certifies that it will not knowingly enter into any transaction with a contractor, subcontractor, material supplier, or vendor who is debarred, suspended, declared ineligible, or voluntarily excluded from covered transactions by any Federal or State agency. If FTA, STA, or CTC any
{00091104.20} change to a Subrecipient Grant after execution, the parties agree to amend this Agreement as needed to comply with the change(s).
(d) Federal Lobbying Restrictions. Authority may not use any funds received by it under this Agreement through the FTA Grant Agreement to support activities designed to influence Congress or a Member of Congress, an employee of any federal agency, an officer or employee of Congress, an employee of a Member of Congress or a State Legislature in connection with any appropriation or legislation and must comply with the provisions of the U.S. DOT's regulations, "New Restrictions on Lobbying" at 49 C.F.R. Part 20, as modified by 31 U.S.C. Section 1352. Authority must execute the attached "Certification Regarding Lobbying" and submit a copy to RT upon execution of this Agreement.
Nothing in this Section 2 will be construed to prohibit Authority from lobbying Congress, a federal agency or the California Legislature, so long as the Authority does not use revenues received under this Agreement to do so. However, if Authority makes any contact with a federal agency, Congress, or a State Legislature with the intent to influence a decision on a federal or state action affecting RT, employing its own non-federal funds, Authority must complete the Disclosure of Lobbying Activities form, attached as Exhibit D, and submit it to RT. For the duration of this Agreement, Authority must submit the 0MB Form LLL every calendar quaiier in which Authority engages in lobbying activities as described in 49 C.F.R Part 20. All Disclosure forms must be forwarded from tier to tier up to RT, which will submit the forms to the FTA.
(e) Breach of Subrecipient Grant Obligations. Authority's failure to properly perform its obligations as a subrecipient under the Subrecipient Grants constitutes a material breach of this Agreement. RT will promptly notify Authority of any failure to perform and permit Authority a reasonable opportunity to cure the failure. If the paiiies disagree as to whether there is a material breach as claimed by RT, the parties shall handle such dispute in accordance with the provisions set forth in Section 23 (Disputes) below.
(t) FFATA Requirements. Authority must comply with the requirements of the Federal Funding Accountability and Transparency Act (FF ATA), including U.S. 0MB guidance, "Reporting Subaward and Executive Compensation Information," 2 C.F.R. Part 170, [75 Fed Reg. 55670-55671, September 14, 2010]. Subrecipient's compliance must include the repmiing, record retention, and access requirements set forth in Exhibit D, attached and incorporated by this reference.
(g) Oversight. RT may exercise against the Authority any oversight rights that the Federal or State Governments may exercise with regards to RT pursuant to the terms of the Subrecipient Grants (for purposes of illustration only, and not limiting any such rights, oversight rights shall include rights to investigate and audit), and, in addition, may exercise against the Authority any oversight rights consistent with and required by RT's obligations as the recipient of federal capital grant funds excluding right to terminate federal government assistance, which right rests with Federal Government as set forth in Section (h) immediately below.
(h) Right of Federal Government to Terminate. As more fully set forth in the Master Agreement, Section 11, the paiiies understand and agree that the Federal Government
{00091104.20} may suspend, suspend then terminate, or terminate all or any part of the federal assistance for the Project in the event of failure to make reasonable progress toward implementing the Project, a determination by the Federal Government that continued federal assistance does not adequately serve the purposes of the law authorizing the assistance, or noncompliance with the terms of the FTA Grant Agreement. In the event of termination of the federal assistance for the Project, the parties understand that the Federal Government may recover the funds that it has provided for the Project from the recipient of the funds.
(i) Federal Government's Retained Interest in Project Property. As more fully set forth in FTA Agreement, Section 19, the parties understand and agree that the Federal Government retains a federal interest in all real property, equipment and supplies acquired or improved for use in connection with the Project until the Federal Government removes its interest. In furtherance of the foregoing, the Parties are required to: (a) ensure that Project property is used continuously and without delay for its originally authorized purpose throughout its useful life or until disposition occurs; (b) ensure that associated uses of Project property are transit supp01iive; (c) notify FTA if the conditions contained in (a) or (b), above, are not being met; and ( d) seek FTA guidance regarding the requirements of this section through FTA circulars and other writings (including FTA Circular 5010.lE and the Uniform Relocation Assistance Act). With respect to Project property, the parties acknowledge and agree that: (1) wet utilities owned and relocated by the Cities to facilitate the Project will not be considered Project property and will continue to be owned by the respective City; and (2) as a condition of RT vacating its existing encroachment area on K Street to permit use by the Project, the Project must relocate RT' s existing rail service to H Street. The relocation of service is considered a relocation obligation under the Uniform Relocation Assistance Act and, consequently, the reconstructed tracks will be owned by RT and RT must be given an equivalent encroachment permit from the City of Sacramento for the tracks on H Street. Use of the H Street tracks by the Project will be subject to execution of an acceptable Shared Use Agreement with RT prior to the commencement of operations.
G) Certifications. To the extent there is the requirement under any of the Subrecipient Grants that FTA make any certifications regarding the Project's compliance with State of California and local laws, rules or regulations, a precondition to RT making this certification to the grantor shall be Authority making the same certification to RT.
3. GRANT COMPLIANCE DURING TERM OF THE AGREEMENT. As of the Effective Date, RT and the Authority also will have entered into a Design, Procurement and Construction Agreement appointing RT to provide design, construction and procurement services for the Project on behalf of the Authority ("Design Agreement") and an Operations and Maintenance Agreement appointing RT to provide operations and maintenance services for the Project on behalf of the Authority ("O&M Agreement"). The Design Agreement and the O&M Agreement include provisions providing RT will be primarily responsible for all grant compliance obligations associated with, related to or arising out of the performance of duties by RT under the Design Agreement and the O&M Agreement. During the term of this Agreement, RT will be responsible for all asset management reporting with respect to the Project including, but not limited to, submitting a compliant Transit Asset Management Plan due to FTA in 2018 pursuant to 49 CFR 625. In the event there is any disagreement between the Authority and RT as to whether a particular course of action or conduct proposed by any party is in compliance
{00091104.20} with any federal or state grants for the Project subject to this Subrecipient Agreement, any federal laws applicable to the Project, or actions relating to the delivery of a FTA Capital Improvement Grant project or State grant requirements ("Compliance Issue"), the parties shall work in good faith to resolve the Compliance Issue. If, after reasonable good faith efforts to resolve the Compliance Issue have not been successful, the decision of RT as to the Compliance Issue shall be final provided, however, that if the Authority disagrees with RT's determination it may, consistent with the provisions set forth in Section 23 of this Agreement ( excluding the meet and confer requirements set forth in Section 23(a) which shall not be applicable to such dispute), choose to pursue any available legal means to settle the Dispute including the legal means set forth in Section 23(b ). During the pendency of any legal action concerning such Dispute, the decision of RT as to the Compliance Issue shall remain in force unless a comi makes some other determination during pendency of such action. The Authority, or its assignee, may not terminate (a) the Design Agreement prior to the completion of design, procurement and construction services being completed, or (b) the O&M Agreement so long as this Agreement remains in effect unless, in each case, the Authority and RT have entered into a separate grant management agreement whereby RT will provide the grant management services set forth in this Section 3, and Authority will fully cooperate with and compensate RT for its reasonable costs for the performance of such services. In the event a grant management agreement is necessary, RT agrees it will negotiate in good faith with the Authority the separate grant management agreement and to accept in the separate grant management reasonable terms and conditions.
4. LOCAL MATCH. Authority is responsible for furnishing all local match funds (for purposes of this Agreement local match funds are funds from the City of West Sacramento, funds from the City of Sacramento and funds from the County of Sacramento at the time of this Agreement are those amounts set forth in Exhibit E). All expenditures of local match funds shall be subject to federal expenditure rules and regulations. Project costs funded by local match funds or credit for in-kind services may be considered federally funded activities for purposes of compliance with FTA requirements as set forth in the FTA Grant Agreement. In the event of a shortfall of funding for local match requirements for planning and construction of the Project, the Authority or the Cities will be solely responsible for providing the required match.
5. NO RT FUNDING OBLIGATION. This Agreement does not create any obligation for RT to be responsible for providing any separate funding for the planning, construction, rail vehicle or rolling stock acquisition, maintenance or operation of the Project other than the pass through of the Grants and previously approved agreements. Except with respect to construction or operating cost shortfalls or cost overruns that are the result of an RT default under either the Design Agreement or the O&M Agreement, the Authority and Cities are solely liable for supplying all funds to construct the Project and maintain the operations of the Project in compliance with FTA and State requirements. This obligation will lie first with the Authority and, if not satisfied by the Authority, shall be the responsibility of the Cities jointly.
6. TERM. This Agreement shall remain in effect so long as there remain outstanding obligations by RT to the Grantors under the Grants.
7. TOTAL CONSIDERATION AND PAYMENT.
{00091104.20} (a) RT Direct Draw Down of Grant Funds. During the pendency of the Design Agreement, the terms and conditions of this Section 7(a) shall apply to the draw-down of Subrecipient Grants funds. RT will directly draw down the Subrecipient Grants funds from the sources identified in this Agreement for costs incurred (including third-patiy invoices received and not yet paid) under the Design Agreement. Prior to the draw-down of any funds, RT will provide invoices to Authority for costs incurred under the Design Agreement. Authority must respond within 15 working days after receipt, by: (1) approving or disapproving the items on the invoice; and (2) notifying RT, using a form provided by RT, what portion of the invoice may be paid by drawing down the Subrecipient Grants funds and what portion, if any, will be paid with local match funds. RT may draw down funds made available under this Agreement in accordance with the form submitted by Authority to RT and any remaining undisputed amount of the invoice must be paid by Authority with local funds within 30 days after receipt of the invoice. If a dispute arises concerning the amount of any invoice issued under the Design Agreement, RT will reimburse itself under the Grants covered by this Agreement only for the undisputed portion of the invoice. The provisions of Section 1.3 of the Design Agreement shall govern handling of disputed invoice amounts. RT will reimburse itself for the disputed portion of an invoice only after the dispute has been resolved and in accordance with the resolution of that dispute.
(b) Expense Reimbursement. Reimbursement of Authority's expenses for the Project under any federal grant provided under this Agreement will be subject to the cost principles set forth in 0MB Super Circular, 2 CFR Part 200, "Uniform Administrative Requirements, Costs Principles, And Audit Requirements For Federal Awards" as well as the applicable provisions of the grant. RT will reimburse Authority for its expenditures consistent with Subrecipient Grant requirements.
(i) Payment ofAuthority Invoices. Upon receipt of Authority's properly- documented invoice and the required Progress and Financial Status Reports, RT will draw down the Subrecipient Grants funds and pay Authority the applicable federal share of the invoice within 30 days from the date ofreceipt. Authority's invoice must include, at a minimum, evidence or a statement that Authority has incurred the costs set out in its invoice and has paid its local share contribution. RT reserves the right to require Authority to submit payroll records and invoices from Authority's contractor to verify that Authority has incurred the costs set out in its invoice and that the amount of the invoice does not exceed the applicable federal share of Authority's allocation of the Subrecipient Grants funds under the applicable grant. Authority may not invoice RT more frequently than once per calendar month. Unless otherwise agreed, payment against invoice must be delivered by first class mail through the facilities of the US Post Office, postage prepaid, addressed to the applicable party in the manner set forth in Article 16, below.
(ii) Disputed Invoice. If RT disputes any items on an invoice for a reasonable cause, RT may deduct that disputed item from the payment, but may not delay payment for the undisputed portions. The amounts and reasons for such deductions will be documented to Authority.
(c) Expanded Scope of Project. Any costs associated with expansion of the Project will be borne exclusively by the Cities and Authority.
{00091104.20} ( d) Responsibility for Cost Overruns. Except as may otherwise be provided in the Design Agreement or the O&M Agreement, responsibility for cost overruns will lie exclusively with first the Authority and, if not satisfied by the Authority, shall be the responsibility of the Cities jointly.
8. MAINTENANCE OF RECORDS/AUDITS. Authority must maintain books, records, documents, and other evidence directly pertinent to work under this Agreement in accordance with generally accepted accounting principles and practices. Authority must also maintain for a period of three years from the date of each grant close-out the financial information and data used by Authority in the preparation or support of the proposed or actual costs submitted for reimbursement under this Agreement. Authority agrees to permit RT, FTA, the U.S. DOT Secretary and the U.S. Comptroller General, or their duly authorized representative, to inspect all work, materials, payrolls, and other data and records and to conduct performance and/or financial audits of Authority books, records and accounts pertaining to grant expenditures.
In addition, Authority will be responsible for meeting the audit requirements of the "Single Audit Act Amendments of 1996," 31 U.S.C. §§ 7501 et seq., in accordance with 0MB Circular A-133, "Audits of States, Local Governments, and Non-Profit Organizations," and 0MB A-133 Compliance Supplement provisions for the Department of Transportation, April 1999, and any further revision or supplement thereto. Upon RT's request, Authority must submit a copy of its audit, completed in accordance with the above-described requirements, within 30 days after completion of the audit, but no later than one year after the end of the audit period.
9. THIRD PARTY OBLIGATIONS. Authority is solely liable to third parties with whom it enters into contracts to effectuate the purposes of the Grants. Authority must pay directly such parties for all amounts due under said arrangements. Authority must ensure that all subcontracts entered into for the Project comply with the requirements of this Agreement (including FTA Circular 4220.lF, as may be amended) and that each subcontract incorporates those requirements as applicable to each tier.
10. CONTRACTS USING GRANT OR MATCHING FUNDS. Any contract or subcontract to be funded in whole or in part using funds provided under this Agreement will require the contractor and its subcontractors, if any, to do the following:
(a) Comply with applicable State and Federal law requirements that pertain to, among other things, labor standards, Non-Discrimination, the Americans with Disabilities Act, Equal Employment Opportunity, the Drug-Free Workplace Act, and "Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards," 2 CFR, Part 200.
(b) Maintain at least the minimum State-required Workers' Compensation Insurance for those employees who will perform the work or any part of it.
(c) Maintain unemployment insurance and disability insurance as required by law, along with liability insurance in an amount that is reasonable to compensate any person, firm, or corporation who may be injured or damaged Authority or any subcontractor in performing work associated with this Agreement or any part of it.
{00091104.20} ( d) Retain all books, records, accounts, documentation, and all other materials relevant to this Agreement for a period of three (3) years from the date of termination of this Agreement, or three years from the conclusion or resolution of any and all audits or litigation relevant to this Agreement and any amendments, whichever is later.
(e) Permit RT and its representatives, upon reasonable notice, unrestricted access to any or all books, records, accounts, documentation, and all other materials relevant to this Agreement for the purpose of monitoring, auditing, or otherwise examining said materials.
(f) Comply with all applicable requirements of Title 49, Part 26 of the Code of Federal Regulations.
11. INDEMNITY.
(a) Mutual Indemnity. Pursuant to California Government Code Section 895.4:
(i) each party as "Indemnitor," must defend, hold harmless and indemnify the other party, as "Indemnitee," against any claim, obligation, loss, penalty, fine, demand, damage, cost, expense or liability, including attorneys' fees, demand for return of all or a portion of the FTA Grant funds or any withholding from or denial of any future FTA Grant funds (hereafter collectively referred to as "Claim(s)") caused by (i) the breach by Indemnitor of any term or condition of this Agreement; and (ii) the negligent or wrongful act or omission of the Indemnitor (including, without limitation, Indemnitor's officers, agents or employees) arising out of or resulting from Indemnitor's performance of this Agreement. For any Claim related to any FTA action on future grant funds, the burden shall be on the Indemnitee to demonstrate, through written evidence from an authorized representative of FTA, that any damage or portion of damage was directly attributable to the Indemnitor's breach, or negligent or wrongful act or omission; and
(ii) if a party is held liable upon any judgment for damages caused by any action giving rise to an indemnification obligation as set fo1ih under Section 1 l(a)(i) and that pmiy pays in excess of its share as determined through application of principles of comparative fault, that party is entitled to a contribution from the other party to the extent of the other party's comparative fault.
Nothing in this Agreement shall constitute or be construed as a creation of a partnership, corporation, association for profit, or principal-agent, bailor-bailee, lessor-lessee, franchisor franchisee, joint venture, or employer-employee relationship between the Parties to the Agreement, or any other relationship among any of the Pmiies, such that any one Party is liable in any manner for the obligations of any other Pmiy. In all instances, none of RT's directors, officers, employees, sub-contractors, agents or representatives shall be considered employees of the Authority or either City. Furthermore, none of the Authority's or Cities' officers, employees, subcontractors, agents, or representatives shall be considered employees of RT. RT is fully responsible for all claims, wages, commissions, compensation, losses, liabilities, benefits, taxes and withholding due, and all fees, costs, penalties and other amounts in connection with, related to, or asse1ied by, any of the officers, employees, sub-contractors, agents or representatives of RT.
{00091104. 20} (b) Duty to Defend. Indemnitor must, upon Indemnitee's request, defend at its sole cost any suit asserting a Claim covered by this indemnity. The parties must cooperate in the defense of such actions brought by others with respect to the matters covered in this indemnity. In addition, Indemnitor must reimburse Indemnitee for all costs, including reasonable attorney's fees, associated with efforts to enforce this indemnification provision. In the event of a Claim where it is determined that there exists comparative fault, each party will bear its own costs, including reasonable attorney's fees.
( c) Non-Exclusivity/Standard of Care. The foregoing right to indemnity is in addition to, and not exclusive of, any other legal, equitable or statutory right(s) of indemnification or insurance to which a party may be entitled. Nothing set forth in this Agreement establishes a standard of care for, or create any legal rights in, any person not a party to this Agreement.
12. JOINT AND SEVERAL LIABILITY OF THE CITIES. Notwithstanding anything to the contrary in the Joint Exercise of Powers Agreement for the Authority, the Cities agree that they will be jointly and severally liable to RT for the duties and obligations of the Authority under this Agreement and that the dissolution of the Authority will not affect the continuing obligations of the parties to perform the Authority's obligations under this Agreement.
13. NOTICES. All notices and other communications under this Agreement must be in writing and will be deemed to have been duly given (A) on the date of delivery, if delivered personally to the party to whom notice is given, or if made by telecopy directed to the party to whom notice is to be given at the telecopy number listed below, or (B) at the earlier of actual receipt or the second business day following deposit in the United States mail, postage prepaid. Notices and other communications must be directed to the parties at the addresses shown below. A party may change its person designated to receive notice, its telecopy number, or its address from time to time by giving notice to the other party in accordance with the procedures set forth in this Article.
RT: Sacramento Regional Transit District Attn: Grants Manager P.O. Box 2110 Sacramento CA 95812-2110 Phone: Fax:
Authority: Riverfront Joint Powers Authority Phone:() Fax: ()
West Sacramento: City of West Sacramento 1110 West Capitol A venue West Sacramento, CA 95691 Phone: (916) 617-4500 Fax: (916) 372-9765
{000911 04. 20} Sacramento: Phone:() Fax: ()
14. INDEPENDENT CONTRACTOR. RT, Authority and the Cities are not responsible for providing workers' compensation insurance or any other protective insurance coverage based upon the relationship of employer and employee to any employee or independent contractor of any other party. Authority will act as an independent contractor. In accordance with that relationship, each party assumes all responsibility for federal and state income tax withholding, FICA, SDI, and any other deductions from income that each is properly required to make with respect to its own employees. Each party assumes all responsibility for payment of wages to its employees and for federal and state income tax withholding.
15. NONDISCRIMINATION. In accordance with Title VI of the Civil Rights Act of 1964, as amended, 42 U.S.C. § 2000d, Section 303 of the Age Discrimination Act of 1975, as amended, 42 U.S.C. § 6102, Section 202 of the Americans with Disabilities Act of 1990, 42 U.S.C. § 12132 federal transit law, 49 U.S.C. § 5332, and implementing regulations; Authority will not discriminate or permit discrimination against any employee, applicant for employment, or contractor hired, or any passenger provided transit service because of race, color, religion, national origin, ancestry, sex, age, or disability.
16. RELATIONSHIP BETWEEN THE PARTIES. Nothing in this Agreement is intended to create, and nothing herein will be considered as creating, any partnership, joint venture, or agency relationship between RT and Authority.
17. SUCCESSORS AND ASSIGNS. This Agreement is binding upon and the benefits and obligations inures to the successors of the parties hereto. This Agreement may not be assigned by either party. The references herein to the Federal Transit Administration or FTA include any successor agency or department of the United States Government.
18. MODIFICATION. No waiver, alteration, modification, or termination of this Agreement is valid unless made in writing and signed by the authorized parties hereof.
19. COUNTERPARTS. This Agreement may be executed in one or more counterpaiis, each of which will be deemed to be an original, but all of which together will constitute but one and the same instrument.
20. CAPTIONS. The headings or captions to the Articles of this Agreement are not a part of the Agreement and have no effect upon the construction or interpretation of any pati thereof.
21. SEVERABILITY. If any term, covenant, or condition of this Agreement is held by a comi of competent jurisdiction to be invalid, the remainder of the Agreement will remain in effect.
{00091104.20} 22. NONWAIVER. Waiver of any breach or default hereunder will not constitute a continuing waiver or a waiver of any subsequent breach either of the same or of another provision of this Agreement.
23. DISPUTES.
a) Meet and Confer. In the event of any dispute, controversy, claim, or disagreement arising out of or related to this Agreement or the acts or omissions of the parties with respect to this Agreement ( each, a "Dispute"), the parties shall, as soon as reasonably practicable after one party gives written notice of a Dispute to the other party ("Dispute Notice"), meet and confer in good faith regarding such Dispute at such time and place as mutually agreed upon by the parties. If any Dispute is not resolved to the mutual satisfaction of the parties within thirty (30) days after delivery of the Dispute Notice (or such other period as may be mutually agreed upon by the parties in writing), the parties shall settle such Dispute as otherwise set forth in this Section 23.
b) Other Proceedings. In the event a Dispute is not resolved by the meet and confer provisions under Section 23(a) above, the parties may choose any other available legal means to settle the Dispute. Each party agrees that a violation or threatened violation of this Agreement may cause irreparable injury to the other party, entitling the other party to seek injunctive relief in addition to all legal remedies.
c) Forum/or Legal Action. Any and all legal action that is initiated to enforce any provision of this Agreement or arising out of or related to this Agreement must be brought or filed in either the state or federal court located in Sacramento County.
d) Reimbursement during Pendency of a Dispute. Where a dispute concerns the eligibility of Authority submitted costs for payment ("Disputed Costs"), RT will have no obligation to make payments on the Disputed Costs during the pendency of the dispute. RT shall continue to make payments on all non-disputed costs during the pendency of the dispute of Disputed Costs.
24. GOVERNING LAW. The interpretation and enforcement of the Agreement is governed by the laws of the State of California, the state in which the Agreement is signed. The parties agree to submit any disputes arising under the Agreement to a court of competent jurisdiction located in Sacramento, California.
25. AUTHORITY. Each of the signatories to this Agreement represent that he or she is authorized to sign the Agreement on behalf of such party and that all approvals, resolutions and consents which must be obtained to bind such party have been obtained that no further approvals, acts or consents are required to bind such party to this Agreement.
26. INTERPRETATION. The parties acknowledge that this Agreement is an "arm's length" agreement, entered into by the parties freely, without duress, coercion or any undue influence. The parties have each carefully reviewed this Agreement and have agreed to
{00091104.20} each term of this Agreement. No presumption will apply in favor of either party in the interpretation of this Agreement or in the resolution of any ambiguity of any provision of this Agreement.
27. INTEGRATION. This Agreement embodies the entire Agreement of the patties in relation to the scope of services herein described, and no other agreement or understanding, verbal or otherwise, exists between the parties.
IN WITNESS WHEREOF, the pmties entered into this Agreement on the day and year first hereinabove appearing.
RIVERFRONT JOINT POWERS SACRAMENTO REGIONAL AUTHORITY TRANSIT DISTRICT
By: ______By:------ HENRY LI General Manager/CEO
By: ____----'------
Approved as to Content: Approved as to Content:
By:______By:______
Chief Financial Officer
Approved as to Form: Approved as to Form:
BY: ______By: ______
Authority Attorney RT Attorney
CITY OF SACRAMENTO
By: ______
Approved as to Content:
{00091104.20} By: ______
Approved as to Form
By: ______City Attorney
CITY OF WEST SACRAMENTO
By: ______
Attest:
By: ______Kryss Rankin, City Clerk
Approved as to Form
By: ______Jeffrey Mitchell, City Attorney
{00091104.20} EXHIBIT A
FTA GRANT AGREEMENT
To be attached upon its execution.
{00091104.20} EXHIBITB
TIRCP PROGRAM SUPPLEMENT FOR PROJECT
To be attached upon its execution.
{00091104.20} EXHIBIT C
PROPOSITION lA PROGRAM SUPPLEMENT FOR PROJECT
{00091104.20} Sacrnmento Regional Transit District Program Supplement No. 03A0038-15 A I ST ATE OF CALIFORNIA DEPARTMENT OF TRANSPORTATION DIVISION OF MASS TRANSPORTATION
PROGRAM SUPPLEMENT/AMENDMENT STATE FUNDED TRANSIT PRO.JECTS MASTER AGREE~IENT NO.: 64A0038 A01 PROGRAM SUPPLEMENT NO.: 03A0038-15 A1 PROVISION SECTION This PROGRAM SUPPLEMENT hereby incorporates all of the provisions contained in MASTER AGREEMENT No. 64A0038 AO 1, entered into between STATE and RECIPIENT on September 28, 2000, and is subject to all the terms and conditions thereof. This PROGRAM SUPPLEMENT is adopted in accordance with ARTICLE I of the aforementioned MASTER AGREEMENT under authority of Resolution 10-12-0151 approved by RECIPIENT on December 13, 2010. The RECIPIENT further stipulates that, as a condition to the reimbursement of State funds obligated to this PROJECT, it accepts and will comply with the covenants, obligations, terms and conditions set forth in said MASTER AGREEMENT and on the following page(s) of this PROGRAM SUPPLEMENT. ere RESOLUTION FISCAL 3RD PARTY TERMlNA TION RESOLUTION DATE YEAR FUND AMOUNT EA PIU.SE CONTRACT DATE HSTlA-A- October 8, 13/14 HSPTBF $1,752,000 R331GA PA&ED NIA June 30, 2016 1314-01 2013 HST1A-AA- ($1,152,000) June29,2016 15/16 HSPTBF R331GA PA&IW NIA June 30, 2016 1516-01 S600,000
PROJECT TITLE: Sacramento Intermodal Facility High Speed Rail Program Project
PROJECT SUMMARY: Improvements to provide connectivity of Sacramento Regional Transit service to High Speed Rail including relocating existing light rail track, passenger platform and associated systems, and constructing a streetcar system (including track, platforms, procure cars, etc) to connect to the new Sacramento Tntennodal Facility and future- High-Speed Rail Tenninal. This amendment reflects the financial de-allocation of Sl,I 52,000 and expand the scope of work to include the construction of a streetcar system. REQUIRED SIGNATURES
STATE OF CALU'ORNIA Sacramento Regional T mnsit District Recipient: State Dept.: Department ofTnrnsportation <:--", (\ Signed By: .. ~. .J--c:~-J< ...... Signed By: j__)s"J , .. _.,,.a.,,._,_ ,.:,_~-J.>. Name: Henry Li Name Sukhvimler Takhar (Acting) Deputy Director, Division of Title: General Manngcr/CEO Title: -· Planning Date: fl//rv7;!,h Date: f--11-·t (,.,
DISTRIBUTION LIST LIST OF ATTACHMENTS INCLUDED Caltrans Headquarters Accounting (2) ~ I. Scope of Work Caltrans District (1) [2J II. CTC Resolutions Recipient (1) [2J Ill. Certification of Funds Caltrans Mass Transportation (1) D IV. 3rd Party Agreement [] V. Special Conditions
{00091104.20} Sacramento Regional Transit District Program Supplement No. 03A0038-15 Al
ATTACHMENT I
Scope of Work
(Scope of Work includes the CTC-approved Project Description, Project Schedule, Overall Funding Plan and Project Financial Plan for the total project.)
Project Description
Project Overall Funding Plan
Project Financial Plan
Project Schedule
{00091104.20} \<~s;r:,1Hh.'nh; Htgiuli::d T1aH:,it Ui\tri::i l'ro,n,m, Suppkmtn! 03i\0038-15
ATTACHMli'.NT II
CTC Reso!utiom
{00091104.20} STATE OF CALIFORNIA• OEP1\RTME, JF TRANSPORTATION PROJECT PROGRAMMING REQUEST OTP-0001 (Hevised September 2013) General Instructions GJ Amendment (Existing Project) Date:1 6/9/16 District EA I Project lD PPNO I MPOID I TCRP No. 03 I I REG17943 I Countv Route/Corridor PM Bk PM Ahd Project Sponsor/Lead A!:!ency SAC Sacramento Regional Transit District MPO Element I ·- I Project Manager/Contact Phone E-mail Address Jenny Niello (916) 321-3884 JJ'.::[email protected] Proiect Title Sacramento Valley Station Loop & Downtown/Riverfront Sac-W. Sac Streetcar-HSR Connectivity Improvement Location, Project Limits, Description, Scope of Work In the cities of Sacramento/Sacramento Co. & West Sacramento/Yolo Co. Multi-rail/corridor improvements to provide connectivity of the urban area to High Speed Rail. Project includes the relocation of existing LRT track & platforms; the construction of a Streetcar system including tracks, streetcar maintenance facility, platforms and associated systems, as well as the procurement ot 6 vehicles, For all, includes overhead catenary system, traction power system, signal system, special track work, pedestrian and bicycle connections and associated civil work. 0 Includes ADA Improvements 0 Includes Bike/Ped Improvements Component Implementing Agency PA&ED Sacramento Regional Transit District PS&E Sacramento Regional Transit District Right of Way Sacramento Regional Transit District - ,--···---;.• Construction Sacramento Regional Transit District Purpose and Need The relocation and expansion of light rail and addition of new streetcar system will provide connectivity to the Sacramento Valley Station [SVS] (also/formerly referred to/known as the Sacramento lntermodal Transportation Facility [SITF]), future High Speed Rail Terminal, East Sacramento/Midtown areas and West Sacramento. The system will serve the downtown core, provide access to jobs and benefit disadvantaged communities. Improvements will allow for operational flexibility to serve all light rail lines and add new streetcar transit mode.
Project Benefits The project provides connectivity to all modes of transportation, bus, commuter rail and high speed rail; provides operational flexibilty to serve the future Green Line, Blue Line, Northeast Corridor, and the Gold Line. The project expands rail service into West Sacramento increasing transit ridership and reducing GHG emissions. These projects are in the reqion's adopted MTP as critical AO/transit improvements. 0 Supports Sustainable Communities Strategy (SGS) Goals 0 Reduces Greenhouse Gas Emissions Project Milestone Existing Proposed Project Study Report Approved Begin Environmental (PA&ED) Phase 11/01/13 Circulate Draft Environmental Document Document Type IND 08/30/15 05/01/16 Draft Project Report End Environmental Phase (PA&ED Milestone) 08/31/16 06/30/16 Begin Design (PS&E) Phase 12/01/16 07/01/16 End Design Phase (Ready to List for Advertisement Milestone) 09/30/17 Begin Right of Wav Phase 03/01/17 End Right of Way Phase (Right of Way Certification Milestone) 12/31/17 Begin Construction Phase (Contract Award Milestone) 02/01/18 End Construction Phase (Construction Contract Acceptance Milestone) 08/31/19 Begin Closeout Phase 10/01/19 01/30/20 End Closeout Phase (Closeout Report) 04/01/20 ror 1nmv1oua1s wnn sensory r.l1sao111t1es ln1s ooeument is avai an1e m ailemote 1ormiHS. ror 1n ormatmn c.ai! (l:flUJ OM-1,•llUOr !ULJ ADA Notice (916) 654·3BEO or writ1:; Records and Forms Management, i 120 N StF.:ael. MS-BQ. Sar:mmBnt<::1, CA 95-814
{00091104.20} STATE OF CALIFORNIA• DEPARTMENT OF TRANSPORTATION PROJECT PROGRAMMING REQUEST DTP-0001 (Revised September 2013) Date: 6/9/16 Additional ll'lkirmation ·· Scope·· This programming change request will add the Downtown/Riverfront Sacramento/West Sacramento Streetcar project to the Sacramento Valley Station (SVS) Loop project. The Streetcar project is a multi-agency (RT/SACOG/City of Sacramento/City of West Sacramento/YCTD) project that has been in development for several years. The project is presently in the President's budget for a federal Small Starts funding and has also been submitted as a TIRCP candidate project in April 2016. The value this combined project provides for High Speed Rail (HSR) is that it significantly expands the catchment and disbursement area that can be efficiently served patrons of the HSR system. Through accelerated travel times by replacing walk and slower bus trips with more-direct and easily identifiable streetcar/light rail connections, users of HSR will have direct and efficient connectivity for approximately one mile east and west of the Sacramento Valley Station area, thus serving West Sacramento to the Midtown area on the east.
The scope of the services for this effort will be the development of final design for the projects including track work and platforms, signal controls and electrification, and the associated physical and operational requirements for the projects.
Funding -· Funding will be matched with a variety of local and federal sources as noted herein. This request consists of the following (requested} actions: 1. De-allocate $1,152,000 from PA&ED allocated on October 8, 2013 and reprogram those funds to CON in FY17/18; 2. Reprogram $632,000 for PS&E from FY16/17 to FY15/16; 3. Reprogram $138,000 from PS&E in FY16/17 to CON in FY17/18; and 4. Allocate $632,000 for PS&E at the June 2016 CTC meeting.
Schedule -- The schedule overall remains the same as previously submitted. The environmental process has been completed ahead of schedule and this has allowed us to advance the PS&E sooner than previously submitted. With the addition of the Streetcar project, the overall schedule still remains the same with only the closeout phase adjusted to start 4 months later. The schedule proposed for the Streetcar has been aligned with the Sacramento Valley Station Loop schedule and is identical to the schedule submitted for the TIRCP grant request in April 2016.
For individuals with sensory disabilities, this document Is available in alternate formats. For Information call (916) 654-6410 or ADA Notice TDD (916) 654-3880 or wri1e Recoltfs and Forms Management, 1120 N Street, MS-89, Sacramento, CA 95814.
{00091104.20} STA TE OF CALIFORNIA • DEPARTMENT f1ANSPORTATION PROJECT PROGRAMMING REQUEST DTP-0001 (Revised Seplember 2013) Date: 6/9/ 16 District Countv I Route I EA I Proiect ID I PPNO I TCRP No. 03 SAC I I I I I Project TIiie: Sacramento Valley Station Loop & OowntowniRivertront Sac-W. Sac Streetcar-HSH Connectivity Improvements
Existing Total Project Cost ($1,000s) Component Prior 14/15 15/16 i6/17 17i18 18/19 19/20+ Total lmplemenlin!I Agency 3,504 2.504 Sacramento Regional Transit E~P(PA&E[)) ...... PS&E 2. 108 .. ······ +---- ...... ?,.. 1~'.J Sacramento Regi?r,."l?ransil F'!!W SUP(CT) Sacramento Regional Tiansil CON SUP (CT) Sacrame,iio Regional Transit . ---- R!W 9,3-53 8j.53 "§£lcramcnto Regional Transit CON 45A02 45:402 Sacramento RegionalTrans,t .. TOTAL 3,C,04 t 1,462 45,402 60,333 Proposed Total Project Cost (S1,000s) Notes E.~~JPA&f:flL. ·-~'~'.00 1.200 PS&E [,3:'! G~j2 ...... - ...... +·-.. -· ...... -.. + ...... 1,264 R;W i3lJP (CTj ..... - . CON SUP (CT) .. RM 9 .. :353 CON 48,031 48031 TOTAL 1.23:2 9,3S3 48,021 59,MU
Fund No.1: Caltrans• Prop 1 A Existing Funding ($·1,ooos) 1--C_o_m~p_o_n_e_n_t-+ __ P_rio_r_+-_1_4_i_15_-+-_b_"l_1_6__,1---1_6/_l_7_1-_1_7_11_8_1-_t;.;8_/1"'9--+-_1_91_·2_0_+-+--T-'--ot'-a_l --1 ____ F_u_n_dlr19Agency E&P (PA&ED) 1,752 1,752 Caltrans· Prop IA -~---v~-'-'"' "••••••••••·••·----+----- PS&E 77/J 770 ·····!································ ····- RIW SUP (CT) .. c_o~ SUP_ (CT) ---+----!·· ..... , ., '"--~---· R.IW CON 22J01 22,70! TOTAL 1,752 770 22,701 25,223 Pror,osed Fundlnn ($1,000s) Notes E&P(PA&ED) 600 ... _Gij_(i De-allocate $1 .152M from PS&E ...... 632 PA&ED and reprQqrnir1 Lc1.I...... of $Uti2M \!)CON, R/WSUP(CTJ_.
i_ _ ...... _ _...... R;:iduce curren1 PS&E CON suP (CT 1 !JI'!!_ ...... _ ...... : ifJfvs,,w ,,.,,~:; anwunl to 1-c_o_N____ -1----+-----+-----+-----+---2_s'-,9_il_11----+----+--?_ .. s;.;'.;..9g'-1-1$G32K and transfer to FY 15/16 and reprogrnm $l38K baL to GOH. TOTAL 600 632 23,991 25,223
Fund No. 2: City of Sacramento Program Code Existing Funding ($1 ,OOOs) Component Prior 14115 15116 16117 17/18 18/19 19120+ Total Funding Agency E&P(PA&ED) ...... City of Sacramento PS&E --+--- ...... R.!W Slli='jCT) -· t------; C~NSUP (CT) ~- -- ·----·--····· R/W 9,353 i------. ·---- ·-·f-· ---+-- _9,~~3 CON 13,400 13,400 TOTAL 9,353 13,400 22.7t>3 Proposed ftmdln(J ($1,0DOs) Notes -~~p (PA&ED) PS&E RJW SUP (CT) CON SUP (CT) ...... - RiW CON 13,400 lJ,40(} STATE OF CALIFORNIA• DEi'AflTMENT .RANSPOF!TATlotl PROJECT PROGRAMMING REQUEST DTP-0001 (Revised Septe,11ber 2013) Date: 6i9J16 District Count Route EA Pro ect ID PPNO TCRP No. 03 SAC Projocl Title: Sacramento Valley Station Loop & Oowntowr:lf11veriront SacJN. Sac Streetcar-HSR Connectivity improvemenls
Fund No. 3: SRTD • Local/Financing Program Code Existing Funding ($1,000s) Component Prior 14115 15/16 16117 17/18 18/19 19120, Tola! Funding Agency E&P(PAc.ED) Sacramento Regional Transit- PS&E ,... 1,:339 1:i19 Locai/Financing RW suP(c:_1-'·1-+-- ... I
~ClNEiUPJCT) ..... J .. - R,W ···-·· CON 9,301 9,301 TOTA.L 1,3:19 9,301 10,640 Proposed funding ($1 ,00Cs) Notes ,., E&P (PA&ED) ,•,,:.m,;;,c S1 '.3:'l9K from PS&E PS&.£? Hlil 7 \G COH in R;Y_/ SU£j_{;_T1 FY1?1IH. CON SUP (CT) RN/ ...... ____ ,, __ CON 10,810 TOTAL 10,640 10,640
Fund No. 4: STP Program Code Existing Funding ($1 ,O0Os) Component Prior i4/l5 15!16 16i17 17/18 18/19 19120; Total Funding Agency E&P (F'A&ED) 823 ...... ,...... --.- ...... ::.8:::23~F'... TA~------I PS&E Surface Transportation Prog,am .... , ...... - ...... , ...... (f;Tf') RtWSUP \CTJ ...... CON SUP (CT) RN/ CON TOTAL 823 823 Notes ~&P(PA&EDl 803_ f'loduc?- prior by $520K PS&E R,WSUI" ~Tl_ ···l-----·-····--· CON SUP (CT) RIW CON TOTAL 303 303
Fund No. 5: STA· MSA POF Program Code Existing Funding ($1 ,000s) Component Prior 14115 15116 16117 17118 18119 19/20+ f o\a! Funding Agency E&P (PA&ED) 929 929 STA ·-·········-·-1 ...... PS&E Measure A POF
Fli\JVSUP (CT) '·--->----+-~--~i----- ~ON SUP (CT) .. , ... fi/W CON TOTAL 929 929 Propos~d Fonding {$1 ,01.}0s} Notes E&P (PA&ED) 297 , ...... 2 ..9 .. '.'.. fo:,nDfer Prior $G32I< from PS&E 632 632 PA&ED tu PG&E -I------R/WSUP(CT) ...... CClN SUP (CT) RN>/ CON TOTAL 920
{00091104.20} State of California California State Transportation Agency DEPARTMENT OF TRANSl'ORTATION Tab60 Memorandum
To: CHAIR AND COMMISSIONERS CTCMeeting: June 29-30, 2016 CALIFORNIA TRANSPORTATION COMMISSION Reference No,: 2.6f.(2) Action Item
From: NORMA ORTEGA Prepared by: Bruce Roberts, Chief Chief Financial Officer Division of Rail and Mass Transportation
Subject: FINANCIAL ALLOCATION AMENDMENT FOR LOCALLY ADMINISTERED PROPOSITION 1A HIGH-SPEED PASSENGER TRAIN BOND - URBAN/COMMUTER PROJECTS RESOLUTION HSTlA-AA-1516-01. AMENDING RESOLUTION HSTlA-A-1314-01
RECOMMENDATION:
The California Department of Transp01iation recommends the California Transportation Commission (Commission) amend Resolution HSTIA-A-1314-01 to de-allocate $1,152,000 in Proposition lA High-Speed Passenger Train Bond (Proposition lA) funds from the Sacramento Intennodal Facility High Speed Rail Program Project in Sacramento County.
BACKGROUND:
On October 8, 2013, the Commission allocated $I,752,000 in Proposition IA funds under Resolution HSTlA-A-1314-01, to the Sacramento Regional Transit District (SacRT) for the Sacramento Intermodal Facility High Speed Rail Program project. The SacRT anticipates completing Project Approval and Environmental Document under budget resulting in cost savings; the de-allocated balance will be reprogrammed to the construction Phase.
The necessary changes are reflected in strikethrough and bold on the attached revised vote list.
FINANCIAL RESOLUTION:
Be it Resolved, that the original $1,752,000 allocated from the Budget Act of20I2, Budget Act Item 2660-104-6043 described on the attached revised vote list, is hereby amended to de-allocate $1,152,000, reducing the Proposition IA High-Speed Passenger Train Bond Program amount to $600,000, in accordance with the revised vote list.
Attachment
0 Provide a sefe, sustainable, integrated and efficient transportation system to enhance California's economy and livability"
{00091104.20} . ere Financial Vote List June 29·30, 2016 2.6 Mass Transportation Flnanc[a[ Matters
1 Sacramento lntermodal Faclllty' High Speed Rall 03- 2012-13 lp1,75z!,009 Program Projects .. Improvement to provide HSR/12-13 104-6043 Sl.152,060 $600,000 connectivity of Sacramento Regional Transit services PA&ED HSPTBF $600,000 to High Speed Rall Including relocation of existing light $1,152,009 30.10.100.000 Sacfl;lmento Regional rail track, storage tracks and passenger platform and $600,000 Transit District associate systems. 0313000317 ~ s 03-Sacramento Outcome/Output: Complete final design at crossovers, R331GA turnouts, switches, slgnallzation and electrificatlon elements, and new tracks and stations.
Amend Reso1ution HSTAl·A-1314-01 to de-allocate $1,162 000 In Prop 1A,
Page 1
{00091104.20} '-;<1curnwntc" l\t.;1fJOnd] !\(i.n~;il Uiqnct Prngnim Suppkrnrnt '.0u. O3AOO38-l 5 A I
ATTACHMENT III
Certification of Funds
Name of Recipient: Sacramento Regional Transit District Name of Project: Sacramento Intermodal High Speed Rail Facility CTC Resolution Numbers: HSTIA-AA-1516-01 Date of Resolution: June 29-30, 2016 Allocation Amount: ($I, 152,000) $600,000 Fund Source: HSPTBF Date of Third Party Contract Award: NIA Period of Availability: October 8, 2013-June 30, 2016
This amendment r<.>tlccts the financial de-allocntion of $1,152,000 and expand the seop<.> of work to include the construction of a streetear system SOURCE CHARGE EXPAUTHNO. ALLOCATION ENCUMBRANCE OBJECT LED FY PPNO DIST-UNIT DIST-UNIT Project ID AMOUNT DOCUMENT NO. R331GA ($1,152,000) 03 0274 7049 6/30/16 15/16 03A0038-15 NIA 0313000317 $600,000 I hereby certify upon my own personal knowledge that budgeted funds are Signature of Accounting Officer Date available for the period and purpose of the exoenditure Stated above. ITEM CHAPTER STATUTES FISCAL YEAR §'18/ 2660-104-6043 21/29 2012 12/13 C: I&
{00091104.20} EXHIBITD
DISCLOSURE OF LOBBYING ACTIVITIES FORM FTA CERTIFICATION OF RESTRICTIONS ON LOBBYING
I, ______hereby certify on (Name and Title of Contractor) behalf of ------that: (Company Name)
The undersigned certifies, to the best of his or her knowledge and belief that:
(1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of an agency, a Member of Congress, an officer or employee of Congress, or an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement.
(2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions.
(3) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans and cooperative agreements) and that all subrecipients shall certify and disclose accordingly.
This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.
The Consultant certifies or affirms the truthfulness and accuracy of each statement of its certification and disclosure, if any. In addition, the contractor understands and agrees that the provisions of 31 U.S.C. Section 3801 et seq., apply to this certification and disclosure, if any.
Executed this _____ day of ______, 20_.
By:------Signature of Authorized Official
{00091104.20} DISCLOSURE OF LOBBYING ACTIVITIES Complete this form to disclose lobbying activities pursuant to 31 U.S.C. Section 1352 /See followina oaae for oublic burden disclosure.) 1. Type of Federal Action: 2. Status of Federal Action: 3. Report Type: a. Contract a. bid/offer/application a. initial filing b. Grant b. initial award b. material change D C. cooperative D D C. post award agreement For Material Change Only: d. loan Year Quarter e. loan guarantee Date of last report f. loan insurance
4. Name and Address of Reporting Entity: 5. If Reporting Entity in No. 4 is Subawardee, Enter Name and Address of Prime: D Prime D Subawardee Tier___ , if known:
Congressional District, if known Congressional District, if known 6. Federal Department/Agency: Federal Program Name/Description:
CFDA Number, if applicable: 8. Federal Action Number, if known 9. Award Amount, if known: $ 10. a) Name and address of Lobbying Entity b) Individuals Performing Services (including address if different from No. 1Oa) (if individual, last name, first name, Ml): (last name, first name, Ml):
/attach Continuation Sheetls) SF-LLL-A, if necessarv) 11. Amount of Payment (check al that apply): 13. Type of Payment (check all that apply):
$ o actual o planned D a. retainer D b. one-time fee D c. commission 12. Form of Payment (check all that apply): D d. contingent fee D a. cash D e. deferred D f. other; specify: b. in-kind; specify: nature value 14. Brief Description of Services Performed or to be Performed and Date)s) of Service, including officer(s), employee(s), or Member(s) contacted, for Payment Indicated in Item 11:
/attach Continuation Sheet/s) SF-LLL-A if necessarv) 15. Continuation Sheets(s) SF-LLL-A attached: Dyes D no 16. Information required through this form is authorized by title 31 U.S.C, section 1352. This disclosure of lobbying activities is a Signature: material representation offact upon which reliance was placed Print Name: by the tier above when this transaction was made or entered Title: into. This disclosure is required pursuant to 31 U.S.C. section 1352. This information will be reported to the Congress Telephone No.: Date: semiannually and will be available for public inspection. Any person who fails to file the required disclosure shall be subject to a civil penalty of not less than $10,000 and not more than $100 000 for each such failure. Federal Use Only: I Authorized for Local Reproduction Stan {00091104.20} {00091104.20} 29 INSTRUCTIONS FOR COMPLETION OF SF-LLL, DISCLOSURE OF LOBBYING ACTIVITIES This disclosure form must be completed by the reporting entity, whether subawardee or prime federal recipient, at the initiation or receipt of a covered Federal action, or a material change to a previous filing, pursuant to 21 U.S.C. Section 1352. The filing of a form is required for each payment or agreement to make payment to any lobbying entity for influencing or attempting to influence an officer of employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with a covered Federal action. Use the SF-LLL-A Continuation Sheet for additional information if the space on the form is inadequate. Complete all items that apply for both the initial filing and material change reports. Refer to the implementing guidance published by the Office of Management and Budget for additional information. 1. Identify the type of covered Federal action for which lobbying activity is and/or has been secured to influence the outcome of a covered federal action. 2. Identify the status of the covered Federal action. 3. Identify the appropriate classification of this report. If this is a follow-up report caused by a material change to the information previously reported, enter the year and quarter in which the change occurred. Enter the date of the last previously submitted report by this reporting entity for this covered Federal action. 4. Enter the full name, address, city, state and zip code of the reporting entity. Include Congressional District, if known. Check the appropriate classification of the reporting entity that designates if it is, or expects to be, a prime or subaward recipient. Identify the tier of the subawardee, e.g., the first subawardee of the prime is the 1st tier. Subawards include but are not limited to subcontracts, subgrants, and contract awards under grants. 5. If the organization filing the report in item 4 checks "Subawardee" then enter the full name, address, city, state and zip code of the prime Federal recipient. Include Congressional District, if known. 6. Enter the name of the Federal agency making the award or loan commitment. Include at least one organizational level below agency name, if known. For example, Department of Transportation, United States Coast Guard. 7. Enter the Federal program name or description for the covered Federal action (item 1). If known, enter the full Catalog of Federal Domestic Assistance (CFDA) number for grants, cooperative agreements, loans, and loan commitments. 8. Enter the most appropriate Federal identifying number available for the federal action identified in item 1 (e.g., Request for Proposal (RFP) number; Invitation for Bid (IFB) number; grant announcement number; the contract, grant, or loan award number; the application/proposal control number assigned by the Federal agency). Include prefixes, e.g., "RFP-DE-90-001". 9. For a covered Federal action where there has been an award or loan commitment by the Federal agency, enter the Federal amount of the award/loan commitment for the prime entity identified in item 4 or 5. 10. (a) Enter the full name, address, city, state and zip code of the lobbying entity engaged by the reporting entity identified in item 4 to influence the covered Federal action. (b) Enter the full names of the individual(s) performing services, and include full address if different from 10(a). Enter Last name, First Name, and Middle Initial (Ml). 11. Enter the amount of compensation paid or reasonably expected to be paid by the reporting entity (item 4) to the lobbying entity (item 10). Indicate whether the payment has been made (actual) or will be made (planned). Check all boxes that apply. If this is a material change report, enter the cumulative amount of payment made or planned to be made. 12. Check the appropriate box(es). Check all boxes that apply. If payment is made through an in-kind contribution, specify the nature and value of the in-kind payment. 13. Check the appropriate box(es). Check all boxes that apply. If other, specify nature. 14. Provide a specific and detailed description of the services that the lobbyist has performed, or will be expected to perform and the date {s) of any services rendered. Include all preparatory and related activity, not just time spent in actual contact with Federal officials. Identify the Federal official(s) or employee(s) contacted or the officer(s), employee(s), or Member(s) of Congress that were contacted. 15. Check whether or not a SF-LLL-A Continuation Sheet(s) is attached. 16. The certifying official must sign and date the form, print his/her name, title, and telephone number. Public reporting burden for this collection of information is estimated to average 30 minutes per response, including time ror reviewing Instruction, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of infonnation. Send comments regarding the burden estimate or any other aspect of this collection infonnation, including su estions for reducin this burden, to the Office of Mana ement and Bud el Pa erwork Reduction Pro·ect 0348-0046 Washin ton D.C. 20503 {00091104.20} 30 EXHIBITE LOCAL MATCH FUNDS Source Amount (Millions) Citv of West Sacramento $35 City of Sacramento $9 County of Sacramento $3 ATTACHMENT 2 FIRST AMENDMENT TO JOINT EXERCISE OF POWERS AGREEMENT FOR RIVERFRONT JOINT POWERS AUTHORITY This First Amendment to the Joint Exercise of Powers Agreement for the Riverfront Joint Powers Authority ("Amendment"), is entered as of _____ ~ 2018 ("Effective Date"), by and betwee n the City of West Sacramento ("West Sacramento") and the City of Sacram ento ("Sacramento"). West Sacramento and Sacramento are also each referred to herein as "City" and co llectively as "Cities." Any capitaliz ed t erms not defined in this Am endment shall have the meaning ascribed to such capitalized term as set forth in the Joint Exercise of Powers Agreement for the Riverfront Joint Powers Authority dated March 21, 2017 ("Agreement"). BACKGROUND W HER EAS, the Cit ies entered into the Agree ment on March 21, 2017; WHEREAS, t he Federa l Transit Ad ministration has re quested certain changes to the structure of the Authority's governance in order for the Project to be eligible for federal Small Starts Grant funding; and WHEREAS, the Cities desire to make the changes to the Agreement as set forth in this Amendment to meet these federal requirements. AGREEMENT NOW, THEREFORE, in consideration of the premises and the mutual covenants and agreements herein set forth, and for other good and valuable consideration, the receipt and sufficiency of which is by all parties duly acknowledged, the parties hereto do hereby agree as follows. 1. Amendment to Section 6(a) of the Agreement. Section 6(a) of the Agreement shall be deleted and replaced in its entirety with the following language: (a) Governing Board. The Authority shall be administered by a board of directors ("Board") consisting of five directors and their respective alternates. Each City shall appoint two (2) directors (collectively, "City Representatives") and their two (2) alternates. Sacramento shall ensure that at least one of its appointed directors also serves at the same time as a member of the Board of Directors of the Sacramento Regional Transit District {"RT Direct or"). The fifth {5th) director shall be appointed by the City Representatives. Alternates shall serve as directors in the absence of their respective di rectors. City Rep resentatives and their alternates shall serve at the pl easure of the appointing City. {00 105138.8} Draft as ofS.31.2018 1 2. Amendment to Section 6( d). Current Sections G(d)(v), 6{d)(vi) and 6(d)(vii) Voting shall be deleted and replaced in their entirety with the following language: (v) Approve the annual budget for the Advisory Body (as defined below) if a budget for such organization is necessary; (vi) Approve any amendments to, terminations of, and replacements to the DPC Agree ment (as defined below); in addition, prior to completion of the Project, any vote in favor of an amendment to or t ermination of the DPC Agreement must also include the affirmative vote of the RT Director; (vii) Approve an y amendments to, t erminations of, and rep lacements to the Operations Agreement (as defined below); in addition, during t he fi rst 5 yea rs of revenue operations of the Project, any vote in favor of an amendment to or termination of the Operations Agreement must also include the affirmative vote of t he RT Director; 3. Amendment to Section 7 of the Agreement. Section 7 of the Agreement shall be deleted and replaced in its entirety with the following language: 7. Streetcar Design and Construction. Attached hereto as Exhibit B is the proposed Design, Procurement and Construction Agreement for the Streetcar Project ("DPC Agreement") to be entered into between the Authority and Sacramento Regional Transit ("RT"). Material changes to the DPC Agreement shall be brought back to each City's City Council for review. The Authority, or its assignee, may not terminate the DPC Agreement prior to the completion of design, procurement and construction services unless, the Authority and RT have entered into a separate grant management agreement whereby RT will provide the grant management services set forth in this Section 3 of the Subrecipient and lnteragency Agreement ("Subrecipient Agreement.") RT agrees in the Subrecipient Agreement that it will negotiate in good faith with the Authority the separate grant management agreement and to accept in the separate grant management reasonable terms and conditions. 4. Amendment to Section 8 of the Agreement. Section 8 of the Agreement shall be deleted and replaced in its entirety with t he following language : 8(a) Streetcar Op eration. It is the desire of the Cities to enter into an Operations and Maintenance Agreement with the RT for an initial term of the Streetcar operations and maintenance. It is {00105138.8} Draft as ofS.31.2018 2 the further desire of the Cities that a new organization or entity (e.g. a policy committee of the Authority's Board or a new Cal ifornia public benefit corporation exempt from federal and state income tax as a 501(c)(3) public charity) ("Advisory Body") shall be formed t o serve in an advisory capacity for the Streetcar operations and maintenance. The Cities acknowledge that the Advisory Body's advice shall not impair RT's rights and obligations to ensure that the Project meets all requirements of the federal grant agreement for t he Project as set forth in the Subrecipient Agreement for Streetcar Funding to be executed by the Cities and RT. As further set forth in the Subrecipient Agreement, RT will be the final arbiter of any Compliance Issue, as defin ed in the Subrecipient Agreement. The Authority, or its assignee, may not t erminate t he Operations and M ai ntenance Agreement so long t he Subrecipient Agreement with RT remains in effect un le ss, the Au t hority and RT ha ve entered into a sepa rate grant management agreement whereby RT w ill provide t he grant manage ment se rvices set forth in Section 3 of the Subrecipient Ag reement._RT agrees in the Subrecipient Agreement that it will negotiate in good faith with the Authority the separate grant management agreement and to accept in the separate grant management agreement reasonable terms and conditions. (b) Exhibit C-2. Exhibit C-2 is deleted in its entirety. 5. Amendment to Section 16 of the Agreement. Section 16 of the Agreement shall be deleted and replaced in its entirety with the following language: 16. Ownership of Property and Disposition upon Termination. (a) All newly-acquired assets will be acquired in the name of the Authority. To the extent the Cities are contributing pre-existing assets to the construction and operation of the Project, title to those assets will continue to be he ld by the contributing City, with an appropriate agreement executed, as needed, for use of the asset by RT or the Authority. (b) In the event of t ermination of the Authority pursuant to Section 3 above and where there will be a successor public entity which will carry on the functions of the Authority and assume its assets and liabilities, the assets an d liabilit ies of the Authority shall be transferred to the successor public entity in accordance with all applicable federal and state laws. If upon termination pursuant to Section 3 above, there is no successor public entity which will carry on the functions of the Authority and assume its assets and liabilities, the assets shall be returned to the Cities as follows: (a) to the Cities as agreed upon by the {00105138.8} Draft as ofS.31.2018 3 Cities in writing; (b) unless otherwise agreed upon by the Cities in writing, all real property and any improvements thereon shall be conveyed to the City in whose jurisdiction the real property is located, and (c) all other assets shall be divided between the Cities in proportion to their respective contributions during the term of this Agreement. If upon termination pursuant to Section 3 above there is a successor public entity which will carry on some of the functions of the Authority and assume some of the assets, the Authority's Board shall allocate the assets between the successor public entity and the Cities in accordance with the provisions set forth in subsections (a) through (c) above. Notwithstanding any other term or condition set forth in this Section 16, disposition of property of the Authority upon its termination must be done in accordance with all applicable federal and state laws. (c) As more fu lly set forth in the FTA Master Grant Agreement (a s defined in the Subrecipient Agreement), Section 19, the Authority and the Cities underst and and agree that the federal government retains a federal interest in all real property, equ ipment and supplies acquired or improved for use in co nnection wit h t he Project unt il the Fede ral Government removes its interest . In furtherance of t he foregoing, t he Parties are req uired t o: (a) ensure that Project property is used continuously and without delay for its originally authorized purpose throughout its usefu l life or until disposition occurs; (b) ensure that associat ed uses of Project property are t rans it supportive; (c) notify FTA if the conditions contained in (a) or (b), above, are not being met; and (d) seek FTA guidance regarding the requirements of this section through FTA circulars and other writings (including FTA Circu lar 5010. l E and the Uniform Relocation Assista nce Act). 6. . Continuing Validity. This Amendment is being executed by the Cities in compliance with Section 19 of the Agreement. Except as expressly modified pursuant to this Amendment, all other terms and conditions of the Ag reement remain unchanged and in full force and effect. 7. Headings. The headings used in this Amendment are for convenience only and have no effect on t he content, construction, or interpretation of t he Ag reement. 8. Counterparts. This Amendment may be execut'ed in any number of counterparts, and by different pa rties in separate cou nterparts, each of which, when executed and delivered, shal l be deemed to be an original and all of which co unterparts taken together shall constitute but one an d the same instrum en t. {00 105138.8} Draft as ofS.31.2018 4 IN WITNESS WHEREOF, the parties have caused this Amendment to be executed by their duly authorized officers, as of the Effective Date. For the City of Sacramento For the City of West Sacramento DRAFT DRAFT [Name] Date [Name] Date [Title] [Title] {00 I 05138.8} Draft as of 5.31.2018 5 3 ATTACHMENT 3 THE DESIGN, PROCUREMENT AND CONSTRUCTION AGREEMENT FORTHESTREETCARPROJECT BY AND BETWEEN RIVERFRONT JOINT POWERS AUTHORI,TY AND SACRAMENTO REGIONAL TRANSIT , 2018 {00085139.20) ttal to FTA 825483.6 THIS DESIGN, PROCUREMENT AND CONSTRUCTION AGREEMENT FOR THE STREETCAR PROJECT ("Agreement") is entered into on ___ , 2018 ("Effective Date"), by and between Sacramento Regional Transit ("RT") and the Riverfront Joint Powers Authority, a joint power authority established by the Cities of Sacramento and West Sacramento ("Authority"). RT and the Authority shall each be referred to herein as a "Party" or collectively as "Parties." RECITALS A. The Cities of Sacramento and West Sacramento (each a "City" and collectively, "Cities") entered into the Joint Exercise of Powers Agreement for the Riverfront Joint Powers Authority ("JP A Agreement") for the purpose, in part, to acquire, plan, design, finance, construct, operate, hold and maintain a fixed-rail streetcar system that will operate within and between the two cities ("Project"). B. The Project is in the design stage and the Authority, in conjunction with the Cities, is working on securing the required funding for the Project. C. Project funding, through the Federal Transit Administration ("FTA") under a Small Starts Grant Agreement ("SSGA"), requires that the design and construction of the Project be conducted by an entity experienced in the design and construction of rail transit projects. D. RT. has extensive experience in the design, construction and procurement of regional transit projects similar to the Project. E. It is the desire of the Parties that RT continue to provide design, construction and procurement services for the Project. NOW, THEREFORE, in consideration of the mutual covenants and promises contained herein and other good and valuable consideration, the receipt and sufficiency of which is acknowledged, the Parties, intending to be legally bound hereby, agree as follows: ARTICLE I DESIGN AND CONSTRUCTION SERVICES Section 1.1 Services. The Authority appoints RT to provide design, construction and procurement services for the Project which shall include but are not limited to the services set forth in Exhibit A ("Services"). RT agrees to perform the Services in a reasonable, prudent and diligent manner consistent with good practices within the industry. RT will perform the Services in accordance with the schedule attached as Exhibit B ("Schedule") and the budget attached as Exhibit C ("Budget"). RT will have no obligation to perform Services to the extent it will incur costs in excess of $203 .5 million, unless the Budget is increased to provide compensation for such Services. Notwithstanding any other term or condition of this Agreement, the Authority shall at all times have and retain ultimate ownership and control over the Project and its management and operations. Design, Construction and Procurement Agreement Draft of May 31, 2018 (00085139.20) I Section 1.2 RT Contractors. In providing the Services, RT will obtain the services of numerous contractors (each an "RT Contractor" and collectively, "RT Contractors"). Any RT Invitation to Bid ("ITB") or Request for Proposal ("RFP") for a Contractor to provide the services set forth in Exhibit D or otherwise requested in writing by the Authority ("Key Services"), and any agreement awarded pursuant to an ITB or RFP for the Key Services ("Key Agreements"), must be approved in writing by the Authority before the ITB or RFP is advertised and before the Key Agreement is executed by RT and the RT Contractor unless such pre-approval is waived in writing by the Authority. The Authority may not condition its approval of an ITB, RFP or Key Agreement on any matter that is contrary to any term of the Subrecipient Agreement, the SSGA, or any federal or state law. Within 30 days of execution, RT shall provide the Authority with fully executed copies (including all attachments, schedules and exhibits referenced therein) of all RT Contractor agreements ("RT Contractor Agreements"). To the extent applicable based on the nature of the Services, RT Contractor Agreements entered into after the Effective Date must include the contract terms consistent with the provisions of this Section 1.2: (a) Quality Control. The RT Contractor Agreement shall require that each RT Contractor is responsible for "Quality Control" with respect to the contracted Services and include RT's standard form quality control clause that is applicable based on the nature of the RT Contractor Agreement. For purposes of the RT Contractor Agreement, Quality Control is to be performed solely by the RT Contractor and constitutes the techniques, activities, checking and verifications that sustain process and product control and measure the performance characteristics during work in-progress and final submittals. (b) Project Accounting. Upon request by the Authority, RT Contractors shall provide copies of all Project accounting and reports to the Authority that it provides to RT under the RT Contractor Agreement. Any Project accounting or reports that RT is required to also provide to FTA under the SSGA must first be provided to the Authority with sufficient time for the Authority to review and comment. (c) Ownership of Work. The Authority will have a beneficial ownership interest in all materials, work in progress, and finished goods produced by RT Contractor pursuant to the RT Contractor Agreement ("Work"), for which progress payments have been made. Such beneficial ownership must be free of all encumbrances; if not, RT may obtain a priority lien secured pursuant to appropriate sections of the Uniform Commercial Code and other applicable state laws or local ordinances to secure its title rights. Nevertheless, RT Contractor will be responsible for risk ofloss for those items of Work until Final Inspection and Acceptance (as those terms are defined in the Subcontractor Agreement). RT Contractor will be prohibited from placing any mechanics liens or any other encumbrances on any completed Work consistent with all applicable laws. ( d) Performance, Payment and Service Disruption Bonds. Performance, Payment and Service Disruption Bonds (collectively, "Bonds") will be required of all RT Contractors performing construction services each in an amount no less than one hundred percent (100%) of the project costs for that portion of the work performed by that RT Contractor. The Authority and the Cities shall be named as additional obligees in all Bonds and shall have all rights as obligees and may independently seek to enforce its rights as obligee of all Bonds. Design, Construction and Procurement Agreement Draft of May 31, 2018 (00085139.20) 2 (e) Permits. RT Contractor must, before beginning any Work that requires a permit or similar authorization ("Permit"), secure and pay for all necessary licenses, fees, bonds, charges, inspections, customs or import duties, permits, and similar authorizations from all governmental authorities required to fulfill the RT Contractor Agreement requirements and RT Contractor's obligations. Copies of all Permits must be provided to the Authority. (f) Modification to RT Contractor Agreements. RT will promptly notify Authority of any potential contract change orders or amendments to RT Contractor Agreements. Except in the event of an emergency where property or life are at risk, Authority must approve any alteration or modification of an RT Contractor Agreement prior to the execution by RT of the contract change order or amendment or prosecution of any changed work or services. In the event of an emergency, RT may issue a contract change order or amendment only to the extent necessary to eliminate the emergency condition and must provide notice to the Authority at the earliest opportunity. In addition, Authority must approve the termination of any Key Agreement. The Authority will be deemed to have approved a contract change order, amendment, or termination if the Authority does not affirmatively reject the proposed contract change order, amendment or termination within 14 days after receipt of notice from RT. (g) Standard Labor Provisions. All RT Contractor Agreements for public works, as defined by applicable state or federal law, must include RT's standard labor contract terms in force at the time the specific RT Contractor Agreement is executed and shall provide that the Authority has a right to inspect all payroll records of the RT Contractor. The standard RT labor contract terms in force as of the Effective Date are as set forth in Schedule l.2(g). (h) Commencement of Work. For all Key Agreements that include a project management plan, the Authority must approve in writing the RT Contractor's project management plan before RT may issue the notice to proceed to the RT Contractor. No material change or modification may be made to any Services, Work or any project management plan without the prior written approval the Authority. (i) Inspection and Testing of RT Contactors' Work. In RT Contractor Agreement for manufacturing and constructions, RT must include Inspection and Testing provisions that provide the Authority's designated representative has all the same rights and authority as RT to inspect all RT Contractor Work and to all RT Contractor inspection and testing reports. Notwithstanding the terms and conditions of this Section 1.2(i), while the Authority has the right to inspect all Work it does not have a duty to do so and RT shall remain responsible for the inspection and testing all RT Contractor Works. G) Final Inspection. RT must include in the final inspection provision attached hereto as Schedule 1.2(j) ("Final Inspection") in all construction agreements. RT may not issue Final Acceptance (as that term is defined in the RT Contractor Agreement), without first obtaining the Authority's written consent. (k) Project Records. RT must include in the Project Records provision attached hereto as Schedule l .2(k) in all construction agreements. RT must ensure that Authority obtains copies of all Project Records as that term is defined in Schedule 1.2(k). Design, Construction and Procurement Agreement Draft of May 31, 2018 (00085139.20) 3 (1) Insurance Requirements. RT will ensure that all RT Contractors will have appropriate insurance for their operations ( e.g. general liability, auto, professional liability, pollution, property/builders risk). RT must require that RT Contractors include the Authority and the Cities as additional insureds, with the same rights as RT, under all insurance policies required to be maintained by RT Contractor under the RT Contractor Agreements ("Contractor Insurance Policies"). RT must provide the Authority copies of all certificates and endorsements of the Contractor Insurance Policies. Each Contractor Insurance Policy must include a waiver of subrogation clause and shall be endorsed to state that RT Contractor's coverage shall not be canceled, modified, or materially changed except after thirty (30) days' prior written notice to RT, the Authority and the Cities. (m) RT Contractor Representations and Warranties. All representations and warranties made by RT Contractors under the RT Contractor Agreements must be made directly and jointly to RT, the Authority and the Cities. To the extent any warranty bonds are required under an RT Contractor Agreement, the bond must name the Authority and the Cities as additional obligees. (n) RT Contractor Indemnification. The Authority and the Cities, and their elected officials, directors, officers, employees, successors and assigns, must be named as additional indemnitees under any indemnification provision required of the RT Contractors under any RT Contractor Agreement. ( o) Authority Participation in Services and Appointment of Owners' Representative. Authority will have the right to all documentation, reports, plans, schedules, budgets prepared by RT Contractors in their providing of the Services ("Contractor Reports"). Authority and its designees also will have the right to attend any and all meetings between RT and the RT Contractors and RT must notify Authority, if so requested by Authority, of any meetings that are to be held between RT and any RT Contractor. To aid in the efficient prosecution of the Services, Authority must appoint an owner's representative to provide oversight of RT's performance of the Services ("Owner's Representative"). Any desired direction or oversight of RT Contractors by the Owner's Representative must be done in coordination with RT. The Owner's Representative may not unilaterally direct or control any RT Contractors. Any Authority request for a modification to any RT Contractor Agreement must be directed to RT and not to the RT Contractor. The Authority must provide written documentation to RT regarding the limits of authority of the Owner's Representative (e.g., which decisions may be made by the Owner's Representative as opposed to the Authority's Board). (p) Acceptance of Contractor Reports. Any acceptance by the Authority of any Contractor Reports (whether provided by RT Contractor or RT) shall not be deemed an acceptance of any Services nor shall it serve to waive any representation, warranty or claim the Authority may have under this Agreement or any RT Contractor Agreement. Section 1.3 Compensation. RT shall be compensated for providing the Services as set forth in the Budget. Prior to any compensation being paid to RT, RT shall submit to the Authority an invoice listing in detail all Services provided to RT and the corresponding compensation for such Services (including third-party invoices received and not yet paid) ("Invoice"). RT may draw down from Subrecipient Grant (as that term is defined in the Subrecipient Agreement) or the Design, Construction and Procurement Agreement Draft of May 31, 2018 (00085139.20) 4 Authority shall remit payment to RT on undisputed Invoices within thirty (30) days after the Authority has received the Invoice unless the Authority has provided written notice to RT disputing an invoiced amount. Any retention amounts required of RT Contractors under any RT Contractor Agreement will not be released to RT Contractor except upon the written consent of the Authority; RT will provide notices to Authority regarding any request for release of retention. If Authority fails to object to the retention release within fourteen (14) calendar days, Authority will be deemed to have approved the retention release. The parties will work in good faith to resolve any disputed Invoice amounts. Any disputed Invoice amounts that cannot be resolved between the parties, shall be resolved in accordance with the provisions of Article V of this Agreement. The provisions of this Section 1.3 shall apply unless different payment terms are agreed to in writing by the Authority and RT. Section 1.4 Legal Ownership in Project. The Parties shall execute all agreements and such other documents as are necessary to convey title to all assets acquired for the Project so that all right, title and interest in the Projects assets are ultimately held by the Authority or the Cities, as applicable, with the exception that assets currently owned by RT for its operations that will be used for the Project (including but not limited to tracks, overhead wires, traction power equipment and signaling) will continue to be owned by RT and will be the subject of a shared use agreement. _Upon completion of construction, the H street facilities will be conveyed to RT. All other newly acquired assets will be acquired in the name of the Authority, either through assignment of title or assignment of contracts entered into by RT under this Agreement. To the extent the Cities are contributing pre-existing assets to the construction and operation of the Project (primarily street rights of way), title to those assets will continue to be held by the contributing City, with an appropriate agreement executed, as needed, for use of the asset by RT or the Authority. Attached as Exhibit E is a schedule of assets anticipated to be obtained for the Project. ARTICLE II INTERGOVERNMENTAL AGREEMENT The intent of this Agreement is to identify the Services ( as defined in Section 1.1, above), that RT will directly provide or contract to provide as the recipient of the SSGA. The responsibility for these activities will be retained, to the extent specified in this Agreement and the Subrecipient Agreement, by RT as the recipient, rather than being delegated to the Authority as the subrecipient. ARTICLE III AUTHORITY AND RESPONSIBILITY OF THE PARTIES Section 3.1 Compliance with Laws. In performing its obligations under this Agreement, each party must comply with federal, state and local laws, ordinances, regulations, policies and orders (collectively, "Laws") applicable to each party's obligations including, without limitation, ensuring its compliance with the provisions of the SSGA and all Laws applicable to the SSGA and the Project as applicable to such party. Each party shall remedy any violation of any Law which occur and for which it is responsible. Each party shall promptly notify the other party in writing of any such material violation and such party shall transmit promptly to the other party Design, Construction and Procurement Agreement Draft of May 31, 2018 (00085139.20) 5 a copy of any citation or other communication received by such party setting forth any such violation. /) Section 3.2 Compliance with Obligations. RT must use commercially reasonable efforts to cause the Authority to comply with all terms and conditions contained in any contract, agreement, judicial, administrative or governmental order, law or ruling, lease, mortgage, deed of trust or other contractual or security instrument affecting the Authority in all material respects; provided, however, that, except as otherwise set forth herein, RT shall not be required to make any payment or incur any liability on account thereof. RT shall promptly notify the Authority in writing of any violation of any such instrument or agreement in any material respect. ARTICLE IV TERM AND TERMINATION OF AGREEMENT Section 4.1 Term. Subject to the early termination provisions set forth in this Article IV, the term of this Agreement shall commence on the Effective Date and shall expire on the earlier to occur of (a) RT and the FTA have not entered into an SSGA within two (2) years from the Effective Date; or (b) the FTA's closeout of the SSGA ("Term"). Section 4.2 · Termination by Agreement. The Parties may mutually agree in writing to terminate the Agreement, provided that the terms of Section 3 of the Subrecipient Agreement regarding terminat,on of this Agreement have been satisfied. For clarification purposes, the applicable provision of Section 3 of the Subrecipient Agreement provides, "The Authority, or its assignee, may not terminate (a) the Design Agreement prior to the completion of design, procurement and construction services being completed, or (b) the O&M Agreement so long this Agreement remains in effect unless, in each case, the Authority and RT have entered into a separate grant management agreement whereby RT will provide the grant management services set forth in this Section 3 and Authority will fully cooperate with and compensate RT its reasonable costs for the performance of such services ." RT agrees that it will negotiate in good faith with the Authority the separate grant management agreement and to accept in the separate grant management reasonable terms and conditions. Section 4.3 Termination by Default. In the event RT fails to comply with the material terms and conditions of this Agreement, or any other material breach of, or material default under this Agreement, the Authority may terminate the Agreement by providing RT with written notice of its intent to terminate this Agreement ("Default Notice") and the date of termination of the Agreement which must be at least thirty (30) days after the date upon which the Default Notice is received by RT ("Termination Date"). The Default Notice must provide an explanation of the Default. If the Default is not cured by RT prior to the Termination Date, the Agreement shall terminate provided that the terms of Section 3 of the Subrecipient Agreement regarding termination of this Agreement have been satisfied (see requirements above in Section 4.2). If, however, RT promptly and diligently, cures the Default prior to the Termination Date, then the Default Notice shall have no force or effect and the Authority shall not have the right to terminate this Agreement for the basis set forth in that particular Default Notice. Design, Construction and Procurement Agreement Draft of May 31, 2018 (00085139.20) 6 Section 4.4 Effects of Termination. Upon termination of this Agreement m accordance with the provisions of this Article IV, the following shall apply: (a) RT shall cease providing all Services as of the Termination Date. (b) RT shall immediately deliver possession to the Authority (or its designee) of all assets, books and records in its possession associated with the Project and any that are necessary to provide the Services; provided RT may keep a copy of any book or record it may need for its own business, corporate, tax or financial purpose. (c) If requested by the Authority, RT shall assign existing Project contracts including, without limitation, all Key Agreements to the Authority or its designee. (d) The Authority shall pay to RT all amounts owed to RT for Services and any other funds or expenses incurred by RT up to and including the Termination Date and reimburse RT or assume responsibility for any outstanding obligations or liabilities of RT owed to third parties as of the Termination Date as a result of providing the Services. (e) RT shall make itself available to assist in providing transition services at the request of the Authority for a period of three (3) months from the Termination Date ("Transition Services"). The Authority shall pay RT for the actual and total costs to RT in providing the Transition Services, including all administrative costs. ARTICLE V DISPUTE SETTLEMENT Section 5.1 Meet and Confer. In the event of any dispute, controversy, claim, or disagreement arising out of or related to this Agreement or the acts or omissions of the parties with respect to this Agreement ( each, a "Dispute"), the Parties shall, as soon as reasonably practicable after one Party gives written notice of a Dispute to the other Party ("Dispute Notice"), meet and confer in good faith regarding such Dispute at such time and place as mutually agreed upon by the Parties. If any Dispute is not resolved to the mutual satisfaction of the Parties within thirty (30) days after delivery of the Dispute Notice (or such other period as may be mutually agreed upon by the Parties in writing), the Parties shall settle such Dispute as otherwise set forth in this Article V. Section 5.2 Other Proceedings. In the event a Dispute is not resolved by the meet and confer provisions under Section 5.1 above, the Parties may choose any other available legal means to settle the Dispute. Each Party agrees that a violation or threatened violation of this Agreement may cause irreparable injury to the other Party, entitling the other Party to seek injunctive relief in addition to all legal remedies. Section 5.3 Forum for Legal Action. Any and all legal action that is initiated to enforce any provision of this Agreement or arising out of or related to this Agreement must be brought or filed in either the state or federal court in Sacramento County. Design, Construction and Procurement Agreement Draft of May 31, 2018 {00085139.20) 7 ARTICLE VI INDEMNITY Section 6.1 Mutual Indemnity. Pursuant to California Government Code Section 895.4: (1) each party as Indemnitor, must defend, hold harmless and indemnify the other party, as Indemnitee, against any claim, obligation, loss, penalty, fine, demand, damage, cost, expense or liability, including attorneys' fees, demand for return of all or a portion of the FTA grant funds or any withholding from or denial of any future FTA grant funds (hereafter collectively referred to as "Claim(s )") caused by (i) the breach by Indemnitor of any term or condition of this Agreement; and (ii) the negligent or wrongful act or omission of the Indemnitor (including, without limitation, Indemnitor's officers, agents or employees) arising out of or resulting from Indemnitor's performance of this Agreement. For any Claim related to any FTA action on future grant funds, the burden shall be on the Indemnitee to demonstrate, through written evidence from an authorized representative of FTA, that any damage or portion of damage was directly attributable to the Indemnitor' s breach, or negligent or wrongful act or omission; and (2) if a party is held liable upon any judgment for damages caused by any action giving rise to an indemnification obligation as set forth under Section 6.1 (1) and that party pays in excess of its share as determined through application of principles of comparative fault, that party is entitled to a contribution from the other party to the extent of the other party's comparative fault. In determining the scope of the indemnity provision above, the parties recognize that in providing the Services, RT is an independent contractor. Nothing in this Agreement shall constitute or be construed as a creation of a partnership, corporation, association for profit, or principal-agent, bailor-bailee, lessor-lessee, franchisor-franchisee, joint venture, or employer employee relationship between the Parties to the Agreement, or any other relationship among any of the Parties, such that any one Party is liable in any manner for the obligations of any other Party. In all instances, none of RT's directors, officers, employees, sub-contractors, agents or representatives shall be considered employees of the Authority or either City. Furthermore, none of the Authority's or Cities' officers, employees, subcontractors, agents, or representatives shall be considered employees of RT. RT is fully responsible for all claims, wages, commissions, compensation, losses, liabilities, benefits, taxes and withholding due, and all fees, costs, penalties and other amounts in connection with, related to, or asserted by, any of the officers, employees, sub-contractors, agents or representatives of RT. Section 6.2 Duty to Defend. Indemnitor must, upon Indemnitee's request, defend at its sole cost any suit asserting a Claim covered by this indemnity. The parties must cooperate in the defense of such actions brought by others with respect to the matters covered in this indemnity. In addition, Indemnitor must reimburse Indemnitee for all costs, including reasonable attorney's fees, associated with efforts to enforce this indemnification provision. In the event of a Claim where it is determined that there exists comparative fault, each party will bear its own costs, including reasonable attorney's fees. Design, Construction and Procurement Agreement Draft of May 31, 2018 (00085139.20) 8 Section 6.3 Non-Exclusivity/Standard of Care. The foregoing right to indemnity is in addition to, and not exclusive of, any other legal, equitable or statutory right(s) of indemnification or insurance to which a party may be entitled. Nothing set forth in this Agreement establishes a standard of care for, or create any legal rights in, any person not a party to this Agreement. ARTICLE VII MISCELLANEOUS Section 7.1 Time is of the Essence. Time is of the essence for the performance of each of the obligations under this Agreement. Section 7.2 Third Party Beneficiaries. Each City is a third party beneficiary of this Agreement. Except as provided in the preceding sentence or to the extent a third party is expressly given rights herein, any agreement to pay an amount and any assumption of liability herein contained, expressed or implied, shall be only for the benefit of the Parties and their respective legal representatives, successors and assigns, and such agreement or assumption shall not inure to the benefit of the obligors of any indebtedness of any party whomsoever. It is the intention of the Parties that no person or entity shall be deemed a third party beneficiary of this Agreement except to the extent stated in the first sentence of this Section 7.2. Section 7.3 Binding Effect. This Agreement shall be binding upon and inure to the benefit of the respective successors and assigns of the Parties hereto. Section 7.4 Notices. Any notice, demand, or communication required, permitted, or desired to be given hereunder shall be deemed effectively given when personally delivered or three (3) business days after mailed by prepaid certified mail, return receipt requested, addressed or sent to the required party via e-mail as follows: (a) if to Authority, to: Name Address Attn: ------(b) ifto RT, to: Name Address Attn: ------~---- or to such other address and to the attention of such other person or officer as either Party may designate by written notice pursuant to this Section. Failure to conform to the requirement that mailings be done by registered or certified mail shall not defeat the effectiveness of notice actually received by the addressee. Design, Construction and Procurement Agreement Draft of May 31, 2018 (00085139.20) 9 Section 7.5 Governing Law. The laws of the State of California shall govern this Agreement. Section 7.6 Assignment. This Agreement shall not, voluntarily or by operation of law, be assigned, transferred, mortgaged, licensed, or otherwise transferred or encumbered by either of the Parties. Any assignment contrary to the provisions of this Agreement shall be deemed a material breach under the Agreement, and any assignment in violation of this provision shall be null and void. Section 7.7 Cumulative Remedies. No remedy or election hereunder shall be deemed exclusive but shall, whenever possible, be cumulative with all other remedies at law or in equity. Section 7.8 Waiver of Breach. The failure of a Party to insist on strict compliance with any of the terms, covenants, or conditions of this Agreement by the other Party shall not be deemed a waiver of that term, covenant or condition, nor shall any waiver or relinquishment of any right or power at any one time or times be deemed a waiver or relinquishment or that right or power for all or any other times. Section 7.9 Attorneys' Fees; Prejudgment Interest. If the services of an attorney are required by a Party to secure the performance hereof or otherwise upon the breach or default of the other Party to this Agreement, or if any judicial remedy or arbitration is necessary to enforce or interpret any provision of this Agreement or the rights and duties of any person in relation thereto, the prevailing Party shall be entitled to reasonable attorneys' fees, costs and other expenses to resolve the dispute and to enforce the final judgment, in addition to any other relief to which such Party may be entitled. Any award of damages following judicial remedy or arbitration as a result of the breach of this Agreement or any of its provisions shall include an award of prejudgment interest from the date of the breach at the maximum amount of interest allowed by law. Section 7.10 Injunctive Relief. Because a Party's breach of this Agreement may cause the other Party irreparable harm for which money is inadequate compensation, the Parties agree that they will be entitled to injunctive relief to enforce this Agreement, in addition to damages and other available remedies. Section 7.11 Force Majeure. Neither Party shall be liable nor deemed to be in default for any delay or failure of performance under this Agreement or other interruption of service or employment resulting directly or indirectly from acts of God, civil or military authority, acts of public enemy, war, accidents, fires, explosions, earthquakes, floods, failure of transportation, strikes or other interruptions by either Party's employees or agents or any similar or dissimilar cause beyond the reasonable control of either Party. Section 7.12 Severability. In the event any provision of this Agreement is held to be unenforceable for any reason, such provision shall be severable from this Agreement if it is capable of being identified with and apportioned to reciprocal consideration or to the extent that it is a provision that is not essential and the absence of which would not have prevented the parties from entering into this Agreement. The unenforceability of a provision that has been performed shall Design, Construction and Procurement Agreement Draft of May 31,2018 (00085139.20) 10 not be grounds for invalidation of this Agreement under circumstances m which the true controversy between the parties does not involve such provision. Section 7.13 Article and Section Headings. The article and section headings contained in this Agreement are for reference purposes only and shall not effect in any way the meaning or interpretation of this Agreement. Section 7.14 Counterparts and Approvals by the Parties. This Agreement may be executed in counterparts, each of which shall be deemed an original, but all of which together shall constitute but one and the same agreement. In the event this Agreement requires the written approval of both Parties including, without limitation any amendment to this Agreement or its Exhibits as set forth in Section 7.15 below, the approvals shall be effective upon the last of the Parties to provide its approval regardless of the sequence or timing of the Parties' approvals. Section 7.15 Integration and Amendment. This Agreement, together with all Exhibits and all agreement regarding the Project reference herein, supersedes all previous contracts between the parties and constitutes the entire Agreement between the parties with respect to the subject matter of this Agreement. No oral statement or prior written material not specifically incorporated herein shall be of any force and effect. Section 7.16 Construction. Whenever the context requires, the gender of all words used herein shall include the masculine, feminine and neuter, and the number of all words shall include the singular and plural. Section 7.17 References. Unless otherwise specified, the references herein to "Sections" or "Articles" refer to the sections or articles in this Agreement, respectively. [Signatures to immediately follow.} Design, Construction and Procurement Agreement Draft of May 31, 2018 (00085139.20) 11 IN WITNESS WHEREOF, the Parties have caused this Agreement to be executed by their respective duly authorized representatives as of the Effective Date. AUTHORITY: RT: RIVERFRONT JOINT POWERS SACRAMENTO REGIONAL TRANSIT AUTHORITY By: By:------ Its: Its: Design, Construction and Procurement Agreement Draft of May 31, 2018 (00085139.20) 12 EXHIBIT A SERVICES Existing Services RT has commenced the following services or procurement of the following goods and services under the terms of: (1) the September 4, 2013 Memorandum of Understanding Between the Sacramento Area Council Of Governments and the City of Sacramento, the City of West Sacramento, the Sacramento Regional Transit District, and the Yolo County Transportation District for Planning the Downtown/Riverfront Transit ("Streetcar") Project; (2) the August 15, 2015 Memorandum of Understanding for Release, Oversight, and Contract Award of The Request(s) for Proposal(s)/Qualification(s) for Advanced Design and Vehicle Procurement for the Downtown/Riverfront Streetcar Project between RT and SACOG; (3) the November 16, 2016 Interagency Project Agreement to Support Design and Engineering of the Downtown Riverfront Streetcar Project; and (4) the July 10, 2017 Interagency and Cost Reimbursement Agreement to Support Small Starts Grant Preparation, Vehicle Maintenance Facility Design, and Specialty Consultant Services for the Downtown Riverfront Streetcar Project. RT will continue providing these services and oversee the performance of these services by third party contactors or consultants, as applicable, during the term of this Agreement: • Civil, Track and Systems Design (currently being performed by HDR, with RT oversight) • Vehicle Maintenance Facility (currently being performed by Stantec Architecture, Inc.) • Streetcar Vehicle Procurement (Proposals have been received and are being evaluated) • Environmental Support Services • Construction Management (currently being performed by PGH Wong on a Work Order basis) • Quality Control/Support Future Services The following services and procurements have not yet commenced and will be performed by RT or the RT-selected contractor or consultants, as applicable during the term of this Agreement: • Civil, Track, Systems, and Station Construction • Vehicle Maintenance Facility Construction • Fare Vending Machine Procurement • Trackwork Procurement • Non-Revenue Vehicle Procurement • Radio System Procurement • Safety Support during construction • Safety Certification • Vehicle Inspection • Project Controls Support • Risk Support • Finance support • Outreach Consultant Design, Construction and Procurement Agreement Draft of May 31, 2018 {00085139.20) 13 • Real Estate Support The following services may optionally be performed by RT or the RT-selected contractor or consultant upon issuance of a written directive from Authority to RT to perform the services or select a third party consultant to perform the services. Alternatively, Authority may directly contract for these services: • Marketing Consultant • Economic Consultant Design, Construction and Procurement Agreement Draft of May 31, 2018 (00085139.20) 14 EXHIBITB SCHEDULE Below is an overview of the anticipated completion dates for the Project and Services. These dates are provided for reference only and are subject to adjustment. Authority consent is not needed for any adjustment in any anticipated completion date unless the delay will affect the revenue service date, as identified in the SSGA, as it may be modified during the course of performance. o, 01 02 03 "' ;04-·1~-t~.P,"aj~. 1 t:::t::::t:::t:::::::t:::::---..... ---.... ---.... ---...... -----+---""'~'1 1~~... 4,i'd ,... . . ~:s,-rotOc.-s-~~a..l:~ l 1~-1D1~~h!-?~w~1~~~1.-,;u. tl.1./13/21 -----.--....- ...... - ...... -- ... ~!.~~-~6&YAt~'w.~~Wi;,;I"f'M !I (-t.'17if{.> i ~(18.!];fi!,~...Jr~IIL'tiL(~J;~;,;;li,:,!~~_;,.lt':I: l -~ii 911t~d~ ~ f!!.QJ},- '""..... ;.-.;.;.-.o}ntna;E-....- Pto,t1U .. IDR ~()7;'t,p;l_l14'-3:Q\'~t;>i_,lgll_, t05t E$t-.m.1it ; ':: I final o,$1(111 - -- - _ ;.;------.--!i17,rnll!.fn.]~9' _ Ma1Ji.-..stre.lc~rs11_w_~!!_f11!!9_o_!!!I~ .. ----, ... . ),.;.-,-i.... -i~t9'.lE.'l_fi.\ki1"°""~~~.a,S.,.,-~mf;,.ic.r~"9'.' . . . [ .. , . . \Wil(.I. ~1a1,;t4,,iuh'·-f! a~ 51~.ii~ fit:lliy g Ti-:.tlfl,.,.t Pll(I~ ~ $;i;\~t,-"f-'f~-i.i-.<-·t111Tl~&-'-tht.Ml~~·Jtlilr'Mlti~o~fllC.iit,51~Vlfr~"tl.lc,!i.,i 0 .---!..,..._.._ ...... :· 1 1 P<•J!'"YA i::o/ifatl• '°s~~G-A-,--'-:E-,o~~-.~ifi~d-~~~-~~--~-~-~~-~-~~-~~~~-..;Rev~n~8 Jrv-1r.~~~:-...~---"-< f------.---- oo;1s;1s ------~------0>111s1n .a. Pr,o&1~1 Design, Construction and Procurement Agreement Draft of May 31, 2018 (0008S139.20) 15 EXHIBIT C BUDGET The following table identifies the approximate budget for the Project. The parties anticipate that the Services being performed or to be performed by RT or the selected contractor/consultant will not exceed $203.5 million, with the remainder of the Project budget being dedicated to Authority or other third party costs. RT may shift funds between budget line items as needed to perform the Services, but will not be reimbursed under the Subrecipient Agreement for costs in excess of $203.5 million unless and until the Authority approves an amendment to this Budget Exhibit. Design, Construction and Procurement Agreement Draft of May 31, 2018 (00085139.20) 16 MAIN WORKSHEET-BUILD ALTERNATIVE {Rev,19,.June, 2017} SACOG I Regional Transit I Cities of Scramento and West Sacramento Today's Dais 512118 Downtown / Riverfront Streetcar Project Yr of Base Year S 2018 Englneenng Yr of Revenue Ops 2021 ava.-.~y 8ase Year Base Year Ba6e voar aase·vear ~~VBJ:lr ·e:,-v.a~, Y.OEDbllars OoUa.rnw/o Dollars Dollars Oolla,sUnit D 40.0S P~e.st,ia,.J bike ~-ss (000851)9.20) 1/ M A I N W O R K S H E E T - B U I L D A L T E R N A T .1 V E (:Ati-Y~l'O, Juo~. 2017) SACOG ! Re-gjon.,1 Transit/ cmeo of Scrmnento and Wes1 s.1:cramento Today's Oaie 11,'22117 01.,wntown I Riverfront Stree1cm P1-ofec1 YrofBa~eY~flr$ 2016 Et)gineering Y-r 01 Ra-venue Ops 202 1 Bil!UI Yow-- Baoo YtKlf &!KtYuilr B..l!iuVti-i.u iMr,li'"ht:.z VOE. 0,lHW$ Dnllar,r. W·Q Dn!f.a.tJ; LJc:n.am r~Unu; Llflit t)lli-':i:Ull Tot.ii Coo-ifl,q~nc;y Mocat~d TOTAL C'-"' ~"';;"flt" ~,.;'wl!r- 1)(000) {XOOO"; Ct.,;.nli,119,urn.. ')' !XOOllJ ~xooo, .'.;~~IL>Cf,.:if", 1XOOO) 10 GUIDE'l'(A'i & TRACK EL!cMENTS (rout" 1nlles) ,5.9~ 3.29-5 '3650 22% 28416 1t:to:1 Gut-oew.q,:At-gi...ufu e.a:cttru-.-e tfuhl-of-wat (J 10.02 Gu/dEwaf: At-grade ~t.'1'ni-Exclu::l!iYEc'- (!!Uow:e. er Design, Construction and Procurement Agreement Draft of May 31, 2018 (00085139.20) 18 EXHIBITD KEY AGREEMENTS Both the solicitation documents and resulting contracts for the following activities must be reviewed and approved by the Authority prior to advertising by RT or execution of the resulting contract, as applicable: • Vehicle Procurement • Civil Track and Systems Construction • Vehicle Maintenance Facility Construction • Fare Vending Machine Procurement • Special Trackwork • Non-Revenue Vehicles • Radio System • Any other solicitation with an estimated contract value of $100,000 or above Design, Construction and Procurement Agreement Draft of May 31, 2018 (00085139.20) 19 EXHIBITE PROJECT ASSET LIST WITH IDENTIFICATION OF OWNERSHIP ASSETS BY sec 1. SCC 10 - Embedded Track/ Special Trackwork 2. SCC 20 - Station Amenities 3. SCC 30 - Vehicle Maintenance Facility (VMF) 4. SCC 30 - Yard and Yard Track 5. SCC 50 - Train Control / Signals / Crossing Protection 6. SCC 50 - Substations 7. SCC 50- Communications Equipment 8. SCC 50 - Fare Vending Machines / Equipment 9. SCC 60-Right of Way 10. SCC 70 - Vehicles / Spare Parts Design, Construction and Procurement Agreement Draft of May 3 I, 2018 (00085139.20} 20 SCHEDULE 1.2 RT CONTRACTOR AGREEMENT TERMS AND CONDITIONS Capitalized terms used but not defined in this Schedule 1.2 shall have such meaning as set forth in the Agreement to which this Schedule 1.2 is attached. Schedule 1.2(g). Prevailing Wage A. Hours of Labor/Overtime. Eight hours labor constitutes a legal day's work. Contractor will forfeit, as a penalty to RT, $25 for each worker employed in the performance of the work by Contractor or any subcontractor for each calendar day during which such worker is required or permitted to work more than 8 hours in any 1 calendar day and 40 hours in any 1 calendar week, unless compensation for all hours worked in excess of 8 hours per day and 40 hours per week is paid at not less than 1 ½ times the basic rate of pay. (Labor Code Sections 1810-1815 and Title 8, California Code of Regulations, Sections 16000-16403). If the prevailing wage determination requires a higher rate of pay for overtime work than is required under Labor Code Section 1815, the higher overtime rate must be paid as required under the implementing regulations. (Title 8, California Code of Regulations, Sections 16100(b)(8) and 16200(a)(3)). B. Prevailing Wage Rates. Contractor and its subcontractors must pay not less than the prevailing wage to all workers. (Labor Code Sections 1771 and 1774 and Title 8, California Code of Regulations, Section 16100(c)). No person, including Contractor and its subcontractors at any tier, may take or receive any portion of a workers' wage or accept a fee in connection with a public works project as proscribed under Labor Code Sections 1778 and 1779. Copies of the prevailing rate of per diem wages for each craft, classification or type of worker needed to perform the work are on file at RT's office at 2811 "O" Street, Sacramento, CA 95816. A copy will be made available to any interested Bidder upon request (Labor Code Section 1773.2). Changes in general prevailing wage determinations must apply to the Project when issued by the Director of Industrial Relations at least 10 days prior to the date of issuance of the Notice oflnvitation to Bid for this Work. (Labor Code Section 1773.6 and Title 8, California Code of Regulations, Section 16204). Contractor must post a copy of the prevailing rate of per diem wages at each Project site. (Labor Code Section 1773.2). Pursuant to Labor Code Section 1740, for federally-funded contracts, wage rates are subject to modification to comply with revisions in the federal minimum wage schedule. RT will not recognize any claim for additional compensation due to the payment by Contractor of any wage rate in excess of the prevailing wage rates applicable to this Contract. The Design, Construction and Procurement Agreement Draft of May 31, 2018 (00085139.20) 21 possibility of wage increases is one of the elements to be considered by Contractor in determining its Bid. Pursuant to Labor Section 1775, Contractor will forfeit to RT a penalty in an amount up to $200, as determined by the Labor Commissioner, for each calendar day, or portion thereof, for each worker paid less than the prevailing rates as determined by the Director of Industrial Relations for the work or craft in which the worker is employed for any public work done under this Contract by him/her or by any subcontractor under him/her. C. Payroll Records. Contractor is solely responsible for compliance with the payroll recordation requirements set out in Labor Code Section 1776. Contractor and its subcontractors at any tier must keep an accurate record showing the name of and actual hours worked each calendar day and each calendar week by each worker employed by it in connection with this Contract. (Labor Code Section 1812). Additional provisions and requirements pertaining to payroll record administration follow: Each week, Contractor and all subcontractors must submit electronic certified payroll records to the DIR in accordance with Section 3.5.1 and Section 6.8.5. Payroll records must be submitted on forms approved by the DIR that contain not less than the requirements set out in Labor Code Section 1776 and 29 C.F.R. Sec. 5.5(a)(3)(i) (Title 8, California Code of Regulations, Section 16401 ). Unless another verification form is required by the DIR, each payroll record must be verified using the verification form set out in the regulations implementing Labor Code Section 1776. (See Title 8, California Code of Regulations, Section 16401). Contractor is responsible for submission of copies of payroll records of all subcontractors. Upon reasonable written or oral notice, RT representatives must be permitted to inspect the original payroll records of Contractor and its subcontractors at any tier. (Title 8, California Code of Regulations, Section 16400(e)). Payroll records include all time cards, cancelled checks, cash receipts, trust fund forms, books, documents, schedules, forms, reports, receipts or other evidence that reflects job assignments, work schedules by days and hours, and the disbursement by way of cash, check, or in whatever form or manner, of funds to a person(s) by job classification and/or skill pursuant to a public works Project. (Title 8, California Code of Regulations, Section 16000). The penalties specified in Labor Code Section 1776(g) for noncompliance with the provisions of said Section 1776 will be withheld from progress payments due or that may become due to Contractor if the Division of Labor Standards Enforcement or the Division of Apprenticeship Standards of the Department oflndustrial Relations requests RT to withhold such penalties. Specifically, RT will withhold $100 per day if Contractor does not comply with a request to produce payroll records within 10 days. This is not a "retention," but a permanent deduction as a penalty. Contractor and each subcontractor must preserve its payroll records for a period of 3 years from the date of completion of the contract or the written acceptance of the work by RT, whichever is later. De~ign, Construction and Procurement Agreement Draft of May 31, 2018 (00085139.20) 22 D. Employment of Apprentices. Contractor is solely responsible for compliance with the apprenticeship requirements set out in Labor Code Section 1777.5. Contractor may not refuse to accept otherwise qualified employees as registered apprentices on any public works, on the ground of the race, religious creed, color, national origin, ancestry, sex or age of such employee, except as provided in Labor Code Section 3077. (Labor Code Sections 1777.5, 1777.6 and 1777.7; Title 8, California Code of Regulations, Section 200 et seq.). To ensure compliance and complete understanding of the law regarding apprentices, and specifically the required ratio thereunder, Contractor or subcontractor should, where questions exist, contact the California Apprenticeship Council prior to commencement of work on this Contract. E. Enforcement of Prevailing Wage Requirements. If this Contract provides for the maintenance of a public work within the meaning of Labor Code Section 1771, it is subject to the prevailing wage requirements contained in that Section. Contractor must comply with all prevailing wage requirements for public works contracts (Labor Code Section 1770 et seq.) notwithstanding that this Contract may not otherwise be subject to all such requirements. RT may enforce the prevailing wage requirement in the manner provided in the above Labor Code provisions. F. Workers' Compensation. Pursuant to Labor Code Section 1860, Contractor must secure the payment of workers' compensation to its employees in accordance with the provisions of Labor Code Section 3700. Prior to the commencement of work, Contractor must sign and file with RT, Director of Civil and Track Design a certification in the following form as set forth in Labor Code Section 1861: "I am aware of the provisions of Section 3 700 of the Labor Code which require every employer to be insured against liability for workers' compensation or to undertake self-insurance in accordance with the provisions of that code, and I will comply with such provisions before commencing the performance of the work of this contract." This certification is hereby incorporated in the Contract and execution of the Contract by Contractor will constitute the signing and filing of said certificate. G. Subcontracts. Contractor must insert in all of its subcontracts the clauses set forth in this Section l .2(g) "Labor Provisions" and also a clause requiring its subcontractors to include these clauses in any lower tier subcontracts. Contractor is responsible for compliance by any subcontractor or lower tier subcontractor with the clauses set forth in this Schedule 1.2(g) "Labor Provisions." Design, Construction and Procurement Agreement Draft of May 31, 2018 {00085139.20) 23 Schedule l .2(j). Final Inspection When Contractor considers that all of the Work, or any discrete portion of the Work, covered under this Contract is nearing final completion, Contractor must so inform RT and the Authority in writing and request a punchlist. If RT and the Authority concur that all of the Work, or any discrete portion of the Work is nearing completion, RT will, within 30 days after the request, prepare a punchlist identifying all non-conformities or incomplete items. If RT or the Authority does not believe that the Work, or any discrete portion thereof is nearing completion, RT or the Authority may reject the request for a punchlist. The punchlist is intended to aid Contractor in completion of the Work, but is not an exhaustive list of all non-conformities or incomplete items and does not waive RT's or the Authority's right to later assert that additional Work is required. Contractor must correct or replace unsatisfactory, incomplete or unacceptable Work and complete such Work within 30 days. For items of Work not completed by Contractor within 30 days, RT may proceed to have the items corrected or completed using RT or third-party forces. The costs of such corrections will be deducted from compensation due Contractor. I Title to such rejected Work and risk ofloss will remain with Contractor, and Contractor must correct all defects or damage at its sole cost and expense. Final Acceptance of all of the will occur after successful completion of all testing and punchlist items and the correction of a defects and damaged Work, and RT' s determination and the Authority's concurrence that the Work conforms to the Contract requirements. RT will inform Contractor of such acceptance of the Work by RT and the Authority by issuing a Letter of Final Acceptance. After RT has finally accepted the Work, Contractor will be relieved of the duty of maintaining and protecting the accepted Work. Such Final Acceptance of the Work will not relieve Contractor from responsibility for errors, improper fabrication, non-conformance to a Contract requirement, latent defects, or for deficiencies within Contractor's control. Unless otherwise stipulated, all warranties begin with the date of Final Acceptance. Coincident with such Final Acceptance, RT will record a Notice of Completion. Schedule 1.2(k). Project Records Contractor must maintain comprehensive records and documentation relating to this Project. The records must include, but are not limited to, Contract Documents, Drawings, Technical Specifications, Addenda, Working and Shop Drawings and submittals, including review comments from RT; training records (if applicable); Contract Change Orders and claims (including all related communications and dispute resolution proceedings); Project Schedule and UP.dates; Requests for Information; Quality Records and audits; communications; minutes from meetings; insurance policies and correspondence; safety, injury, damage, and incident reports; Hazardous Materials manifests; As-Built Plans with all accompanying documentation (showing all changes); cost and pricing data, reflecting all costs incurred in performing the Project; and copies of all warranties for products incorporated into the Project ( collectively, "Project Records"). All Project Records or copies thereof (excepting cost and pricing data) must be kept at the Project site. Design, Construction and Procurement Agreement Draft of May 31, 2018 (00085139.20) 24 Prior to Final Acceptance, Contractor must provide RT and the Authority with a full set (excluding cost and pricing data) of the Project Records in hard-copy format. In addition, Contractor must provide RT and the Authority with electronic copies, in their native file format, of all Project Records stored electronically by Contractor. Contractor must maintain a complete set of records relating to this Contract for a period of 7 years from final payment for this Work. All cost and price records must be complete and in sufficient detail to allow for future audits. Design, Construction and Procurement Agreement Draft of May 3 I, 2018 (00085139.20) 25 ATTACHMENT 4 THE OPERATIONS AND MAINTENANCE AGREEMENT FOR THE STREETCAR PROJECT BY AND BETWEEN RIVERFRONT JOINT POWERS AUTHORITY AND SACRAMENTO REGIONAL TRANSIT ____,2018 {00098191.14} THIS OPERATIONS AND MAINTENANCE AGREEMENT FOR THE STREETCAR PROJECT ("Agreement") is entered into effective as of this _ day of ---~ 2018 ("Effective Date"), by and between Sacramento Regional Transit ("RT") and the Riverfront Joint Powers Authority, a joint power authority established by the Cities of Sacramento and West Sacramento ("Authority"). RT and the Authority shall each be referred to herein as a "Party" or collectively as "Parties." RECITALS WHEREAS, the City of Sacramento and the City of West Sacramento ( each a "City" and collectively, "Cities") entered into the Joint Exercise of Powers Agreement for the Riverfront Joint Powers Authority ("JP A Agreement") for the purpose, in part, to acquire, plan, design, finance, construct, operate, hold and maintain a fixed-rail streetcar system that will operate within and between the two cities ("Project"); WHEREAS, the Project is nearing the completion of the design stage and the Authority, in conjunction with the Cities, is working on securing the required funding for the Project; WHEREAS, RT has extensive experience in the operations and maintenance of regional transit projects similar to the Project; WHEREAS, it is the expectation of the Authority that the Project will be operational and public ridership on the streetcars will begin in 2022; WHEREAS, Project funding through the Federal Transit Administration ("FTA") under a Small Starts Grant Agreement ("SSGA") requires that operation and maintenance for the Project be conducted by an entity experienced in the operation and maintenance of rail transit projects; and WHEREAS, it is the desire of the Parties that RT provide certain operation and maintenance services for the Project as set forth in this Agreement. NOW, THEREFORE, in consideration of the mutual covenants and promises contained herein and other good and valuable consideration, the receipt and sufficiency of which is hereby acknowledged, the Parties, intending to be legally bound hereby, agree as follows: ARTICLE I OPERATIONS AND MAINTENANCE SERVICES Section 1.1 Appointment. The Authority hereby appoints RT to provide operation and maintenance services for the Project. Exhibit A identifies the Parties' understanding of the activities and services that need to be provided for operation of the Project. Not later than thirty six (36) months prior to the planned commencement of revenue service ("Budget Methodology Due Date"), RT will provide the Authority with its proposed methodology for developing an annual budget and RT's proposed methodology for payment of the Services (as defined below) to RT by the Authority (collectively, "Budget Methodologies"). Not later than twenty-four (24) Operations and Maintenance Agreement Draft of May 31, 2018 (00098191.14) 1 months prior to the planned commencement of revenue service ("Initial Budget Due Date"), the Parties will complete development of a detailed agreement to define the roles, responsibilities and expectations regarding the operation and maintenance of the Project and the annual budget for the first twelve months of the Services ("Initial Budget"). In the event the parties cannot reach agreement on a Budget Methodology or the Initial Budget within sixty ( 60) days of the Budget Methodology Due Date or the Initial Budget Due Date, respectively, either party may seek to resolve the impasse through non-binding arbitration under the procedures set forth in Exhibit B. In developing the budget and methodology for payment, unbudgeted cost overruns that are not caused by failure of RT or its contractors to diligently perform the Services will be the responsibility of the Authority and, if not satisfied by the Authority, will be the responsibility of the Cities jointly, as specified in the Subrecipient and Interagency Agreement for Streetcar Funding ("Subrecipient Agreement".) Those activities and responsibilities ultimately assigned to RT which initially shall include, at a minimum, all services listed on Exhibit A except customer service and marketing, and shall not include the setting of fares which shall remain the responsibility of the Authority with oversight by RT, will be referred to in this Agreement as the "Services". Notwithstanding any other term or condition of this Agreement, the Authority shall at all times have and retain ultimate ownership and control over the Project and its management and operations. Section 1.2 Acceptance. RT hereby accepts the appointment and agrees to perform the Services in a reasonable, prudent and diligent manner consistent with good practices within the industry. The Authority shall reimburse RT for its commercially reasonable costs in providing the Services pursuant to terms and conditions established under Section 1.1, consistent with the SSGA and all other Laws (as that term is defined below). If RT determines, based on upon the adopted Authority budget, that insufficient funding is available for the performance of all Services for the upcoming fiscal year, the Parties will engage in the meet and confer process set out in Section 5.1 to resolve any disagreement between the Parties. If any invoice submitted hy RT consistent with the adopted annual budget remains unpaid due to unavailability of funds, and not due to a legitimate dispute regarding costs, after compliance with the process set out in Section 5 .1, RT may unilaterally reduce Services as needed to match the available funds and proceed toward a termination for default. Section 1.3 Legal Ownership in Proiect. The Parties shall execute all agreements and such other documents as is necessary to convey title to all assets acquired for the Project so that all right, title and interest in the Project assets are ultimately held by the Authority or the Cities, as applicable. All newly-acquired assets will be acquired in the name of the Authority. To the extent the Cities are contributing pre-existing assets to the construction and operation of the Project, title to those assets will continue to be held by the contributing City, with an appropriate agreement executed, as needed, for use of the asset by RT or the Authority. ARTICLE II INDEPENDENT CONTRACTOR STATUS RT will act as an independent contractor in performing this Agreement. Nothing in this Agreement shall constitute or be construed as a creation of a partnership, corporation, association for profit, or principal-agent, bailor-bailee, lessor-lessee, franchisor-franchisee, joint venture, or Operations and Maintenance Agreement Draft of May 31, 2018 (00098191.14) 2 employer-employee relationship between the Parties to the Agreement, or any other relationship among the Parties, such that any one Party is liable in any manner for the obligations of the other Party. In all instances, none ofRT's officers, employees, sub-contractors, agents or representatives shall be considered employees of the Authority or either City. Furthermore, none of the Authority's or either Cities' officers, employees, subcontractors, agents, or representatives shall be considered employees of RT. RT is fully responsible for all claims, wages, commissions, compensation, losses, liabilities, benefits, taxes and withholding due, and all fees, costs, penalties and other amounts in connection with, related to, or asserted by, any of the officers, employees, sub-contractors, agents or representatives of RT. ARTICLE III AUTHORITY AND RESPONSIBILITY OF RT Section 3.1 Compliance with Laws. RT must comply with federal, state and local laws, ordinances, regulations, policies and orders (collectively, "Laws") relative to the providing of the Services and the operation and maintenance of the Project including, without limitation, ensuring all Services comply with the provision of the SSGA and all Laws applicable to the SSGA and the Project. RT shall remedy any violation of any Law which occur and for which it is responsible. RT shall promptly notify the Authority in writing of any such material violation and RT shall transmit promptly to the Authority a copy of any citation or other communication received by RT setting forth any such violation. Section 3.2 Compliance with Obligations. RT must use commercially reasonable efforts to cause the Authority to comply with all terms and conditions contained in any contract, agreement, judicial, administrative or governmental order, law or ruling, lease, mortgage, deed of trust or other contractual or security instrument affecting the Authority in all material respects; provided, however, that, except as otherwise set forth herein, RT shall not be required to make any payment or incur any liability on account thereof. RT shall promptly notify the Authority in writing of any violation of any such instrument or agreement in any material respect. ARTICLE IV TERM AND TERMINATION OF AGREEMENT Section 4.1 Term. The term of this Agreement shall commence on the Effective Date and shall expire on the earliest to occur of (a) RT and the FTA have not entered into an SSGA within two (2) years from the Effective Date; or (b) the Agreement is terminated as provided in Sections 4.2, 4.3 or 4.4 ("Term"); provided that in all cases of termination under Sections 4.2, 4.3 or 4.4, prior to the effective date of the termination (1) RT determines, in the scope of its role of ensuring grant compliance under the Subrecipient Agreement, that a suitable replacement operator has been engaged and operations will continue seamlessly in compliance with the SSGA; and (2) the terms of Section 3 of the Subrecipient Agreement requiring that RT and the Authority enter into a separate grant management agreement have been satisfied. No termination of this Agreement will be effective or valid until RT has made the determination set forth above in subsection (b)(l) of this Section 4.1, which determination may not be unreasonably withheld, conditioned, or delayed. Operations and Maintenance Agreement Draft of May 31, 2018 (00098191.14} 3 Section 4.2 Termination by Agreement. The Parties may mutually agree in writing to terminate the Agreement Section 4.3 Termination by Default. In the event RT fails to comply with the material terms and conditions of this Agreement, or any other material breach of, or material default under, this Agreement, the Authority may terminate the Agreement by providing RT with written notice of its intent to terminate this Agreement ("Default Notice") and the date of termination of the Agreement which must be at least thirty (30) days after the date upon which the Default Notice is received by RT ("Termination Date"). The Default Notice must provide an explanation of the Default. If the Default is not cured by RT prior to the Termination Date, the Agreement shall terminate. If, however, RT promptly and diligently, cures the Default prior to the Termination Date, then the Default Notice shall have no force or effect and the Authority shall not have the right to terminate this Agreement for the basis set forth in that particular Default Notice. Section 4.4 Termination Without Cause. Notwithstanding any other provision in this Agreement, either Party may terminate this Agreement by providing the other Party no less than one hundred eighty (180) days' prior written notice of such termination ("No Cause Termination Notice"). The No Cause Termination Notice must include the date the Agreement terminates and RT is to cease providing all Services ("Termination Date.") Section 4.5 Effects of Termination. Upon termination of this Agreement m accordance with the provisions of this Article IV, the following shall apply: (a) RT shall cease providing all Services as of the Termination Date. (b) RT shall immediately deliver possession to the Authority (or its designee) of all assets, books and records in its possession associated with the Project and any that are necessary to provide the Services. (c) If requested by the Authority, RT shall assign existing Project contracts to the Authority or its designee. (d) The Authority shall pay to RT all amounts owed to RT for Services and any other funds or expenses incurred by RT up to and including the Termination Date and reimburse RT or assume responsibility for any outstanding obligations or liabilities of RT owed to third parties as of the Termination Date as a result of providing the Services. (e) RT shall make itself available to assist in providing transition services at the request of the Authority for a period of three (3) months from the Termination Date ("Transition Services"). The Authority shall pay RT for the actual and total costs to RT in providing the Transition Services, including all administrative costs. ARTICLEV DISPUTE SETTLEMENT Section 5.1 Meet and Confer. In the event of any dispute, controversy, claim, or disagreement arising out of or related to this Agreement or the acts or omissions of the parties with Operations and Maintenance Agreement Draft of May 31, 2018 (00098191.14) 4 respect to this Agreement ( each, a "Dispute"), the Parties shall, as soon as reasonably practicable after one Party gives written notice of a Dispute to the other Party ("Dispute Notice"), meet and confer in good faith regarding such Dispute at such time and place as mutually agreed upon by the Parties. If any Dispute is not resolved to the mutual satisfaction of the Parties within thirty (30) days after delivery of the Dispute Notice ( or such other period as may be mutually agreed upon by the Parties in writing), the Parties shall settle such Dispute as otherwise set forth in this Article V. Note the requirement to meet and confer as set forth in this Section 5.1 shall not apply to non binding arbitration between the parties for budget-purposes initiated under the terms set forth in Section 1.1 above. Section 5.2 Other Proceedings. In the event a Dispute is not resolved by the meet and confer provisions under Section 5 .1 above, the Parties may choose any other available legal means to settle the Dispute. Each Party agrees that a violation or threatened violation of this Agreement may cause irreparable injury to the other Party, entitling the other Party to seek injunctive relief in addition to all legal remedies. Section 5.3 Forum for Legal Action. Any and all legal action that is initiated to enforce any provision of this Agreement or arising out of or related to this Agreement must be brought or filed in either the state or federal court in Sacramento County. ARTICLE VI INDEMNITY Section 6.1 Mutual Indemnity. Pursuant to California Government Code Section 895.4: (1) each party as Indemnitor, must defend, hold harmless and indemnify the other party, as Indemnitee, against any 'claim, obUgation, loss, penalty, fine, demand, damage, cost, expense or liability, including attorneys' fees, demand for return of all or a portion of the FTA grant funds or any withholding from or denial of any future FTA grant funds (hereafter collectively referred to as "Claim(s)") caused by (i) the breach by Indemnitor of any term or condition of this Agreement; and (ii) the negligent or wrongful act or omission of the Indemnitor (including, without limitation, Indemnitor's officers, agents or employees) arising out of or resulting from Indemnitor's performance of this Agreement. For any Claim related to any FTA action on future grant funds, the burden shall be on the Indemnitee to demonstrate, through written evidence from an authorized representative of FTA, that any damage or portion of damage was directly attributable to the Indemnitor' s breach, or negligent or wrongful act or omission; and (2) if a party is held liable upon any judgment for damages caused by any action giving rise to an indemnification obligation as set forth under Section 6.1 (1) and that party pays in excess of its share as determined through application of principles of comparative fault, that party is entitled to a contribution from the other party to the extent of the other party's comparative fault. In determining the scope of the indemnity provision above, the parties recognize that in providing the Services, RT is an independent contractor. Nothing in this Agreement shall constitute or be construed as a creation of a partnership, corporation, association for profit, or Operations and Maintenance Agreement Draft of May 31, 2018 {00098191.14) 5 principal-agent, bailor-bailee, lessor-lessee, franchisor-franchisee, joint venture, or employer employee relationship between the Parties to the Agreement, or any other relationship among any of the Parties, such that any one Party is liable in any manner for the obligations of any other Party. In all instances, none of RT's directors, officers, employees, sub-contractors, agents or representatives shall be considered employees of the Authority or either City. Furthermore, none of the Authority's or Cities' officers, employees, subcontractors, agents, or representatives shall be considered employees of RT. RT is fully responsible for all claims, wages, commissions, compensation, losses, liabilities, benefits, taxes and withholding due, and all fees, costs, penalties and other amounts in connection with, related to, or asserted by, any of the officers, employees, sub-contractors, agents or representatives of RT. Section 6.2 Duty to Defend. Indemnitor must, upon Indemnitee's request, defend at its sole cost any suit asserting a Claim covered by this indemnity. The parties must cooperate in the defense of such actions brought by others with respect to the matters covered in this indemnity. In addition, Indemnitor must reimburse Indemnitee for all costs, including reasonable attorney's fees, associated with efforts to enforce this indemnification provision. In the event of a Claim where it is determined that there exists comparative fault, each party will bear its own costs, including reasonable attorney's fees. Section 6.3 Non-Exclusivity/Standard of Care. The foregoing right to indemnity is in addition to, and not exclusive of, any other legal, equitable or statutory right(s) of indemnification or insurance to which a party may be entitled. Nothing set forth in this Agreement establishes a standard of care for, or create any legal rights in, any person not a party to this Agreement. ARTICLE VII MISCELLANEOUS Section 7.1 Time is of the Essence. Time is of the essence for the performance of each of the obligations under this Agreement. Section 7.2 Third Party Beneficiaries. Each City is a third party beneficiary of this Agreement. Except as provided in the preceding sentence or to the extent a third party is expressly given rights herein, any agreement to pay an amount and any assumption of liability herein contained, expressed or implied, shall be only for the benefit of the Parties and their respective legal representatives, successors and assigns, and such agreement or assumption shall not inure to the benefit of the obligors of any indebtedness of any party whomsoever. It is the intention of the Parties that no person or entity shall be deemed a third party beneficiary of this Agreement except to the extent stated in the first sentence of this Section 7.2. Section 7 .3 Binding Effect. This Agreement shall be binding upon and inure to the benefit of the respective successors and assigns of the Parties hereto. Section 7.4 Notices. Any notice, demand, or communication required, permitted, or desired to be given hereunder shall be deemed effectively given when personally delivered or three Operations and Maintenance Agreement Draft of May 3 l, 2018 {00098191.14) 6 (3) business days after mailed by prepaid certified mail, return receipt requested, addressed as follows: (a) if to Authority, to: Name Address Attn: ------(b) ifto RT, to: Name Address Attn: ------or to such other address and to the attention of such other person or officer as either Party may designate by written notice pursuant to this Section. Failure to conform to the requirement that mailings be done by registered or certified mail shall not defeat the effectiveness of notice actually received by the addressee. Section 7.5 Governing Law. The laws of the State of California shall govern this Agreement. Section 7.6 Assignment. This Agreement shall not, voluntarily or by operation oflaw, be assigned, transferred, mortgaged, licensed, or otherwise transferred or encumbered by either of the Parties. Any assignment contrary to the provisions of this Agreement shall be deemed a material breach under the Agreement, and any assignment in violation of this provision shall be null and void. Section 7.7 Cumulative Remedies. No remedy or election hereunder shall be deemed exclusive but shall, whenever possible, be cumulative with all other remedies at law or in equity. Section 7.8 Waiver of Breach. The failure of a Party to insist on strict compliance with any of the terms, covenants, or conditions of this Agreement by the other Party shall not be deemed a waiver of that term, covenant or condition, nor shall any waiver or relinquishment of any right or power at any one time or times be deemed a waiver or relinquishment or that right or power for all or any other times. Section 7.9 Attorneys' Fees; Prejudgment Interest. If the services of an attorney are required by a Party to secure the performance hereof or otherwise upon the breach or default of the other Party to this Agreement, or if any judicial remedy or arbitration is necessary to enforce or interpret any provision of this Agreement or the rights and duties of any person in relation thereto, the prevailing Party shall be entitled to reasonable attorneys' fees, costs and other expenses to resolve the dispute and to enforce the final judgment, in addition to any other relief to which such Party may be entitled. Any award of damages following judicial remedy or arbitration as a result of the breach of this Agreement or any of its provisions shall include an award of Operations and Maintenance Agreement Draft of May 31, 2018 {00098191.14) 7 prejudgment interest from the date of the breach at the maximum amount of interest allowed by law. Section 7.10 Injunctive Relief. Because a Party's breach of this Agreement may cause the other Party irreparable harm for which money is inadequate compensation, the Parties agree that they will be entitled to injunctive relief to enforce this Agreement, in addition to damages and other available remedies. Section 7.11 Force Majeure. Neither Party shall be liable nor deemed to be in default for any delay or failure of performance under this Agreement or other interruption of service or employment resulting directly or indirectly from acts of God, civil or military authority, acts of public enemy, war, accidents, fires, explosions, earthquakes, floods, failure of transportation, strikes or other interruptions by either Party's employees or agents or any similar or dissimilar cause beyond the reasonable control of either Party. Section 7.12 Severability. In the event any provision of this Agreement is held to be unenforceable for any reason, such provision shall be severable from this Agreement if it is capable of being identified with and apportioned to reciprocal consideration or to the extent that it is a provision that is not essential and the absence of which would not have prevented the parties from entering into this Agreement. The unenforceability of a provision that has been performed shall not be grounds for invalidation of this Agreement under circumstances in which the true controversy between the parties does not involve such provision. Section 7.13 Article and Section Headings. The article and section headings contained in this Agreement are for reference purposes only and shall not effect in any way the meaning or interpretation of this Agreement. Section 7.14 Counterparts. This Agreement may be executed in counterparts, each of which shall be deemed an original, but all of which together shall constitute but one and the same agreement. Section 7.15 Integration and Amendment. This Agreement supersedes all previous contracts between the parties and constitutes the entire Agreement between the parties with respect to the subject matter of this Agreement. No oral statement or prior written material not specifically incorporated herein shall be of any force and effect. This Agreement may not be amended except by a writing duly executed by all of the Parties to this Agreement. Section 7.16 Construction. Whenever the context requires, the gender of all words used herein shall include the masculine, feminine and neuter, and the number of all words shall include the singular and plural. Section 7.17 References. Unless otherwise specified, the references herein to "Sections" or "Articles" refer to the sections or articles in this Agreement, respectively. [Signatures to immediately follow.] Operations and Maintenance Agreement Draft of May 31, 2018 (00098191.14) 8 IN WITNESS WHEREOF, the Parties have caused this Agreement to be executed by their respective duly authorized representatives as of the Effective Date. AUTHORITY: RT: RIVERFRONT JOINT POWERS SACRAMENTO REGIONAL TRANSIT AUTHORITY By:------ By: ------ Its: ------Its: Operations and Maintenance Agreement Draft of May 31, 2018 (00098191.14) 9 EXHIBIT A OPERATION AND MAINTENANCE SERVICES The following is a list of main operations and maintenance services for the Project. Operations, Supervision and Administration • Operator Staffing • Operator Check-in, Fitness-for-Duty Checks • Operator Administration & Scheduling • Streetcar Personnel (O&M) Payroll • Office Management • Operations Supervision • Control: Traction Power Control • Control: Train Movement & Direction • Scheduling and Run Cuts • Special Events & Charter Service Approval • Special Events & Charter Service Operation • Recrnitment and Training - Operations • Rules Development • Procedures Development • Rules and Procedures Compliance Checks • Track Access • Track Access Utility Markouts/Permitting Coordination • Track Access Training • Research & Analysis, Special Surveys and Analyses, etc. • Ride Checks, Passenger Counts, & Other Operating Measures • National Transit Database Reporting • Service Quality and Reporting, Service Planning • Asset Management and Reporting Maintenance • Maintenance Staffing • · Track and Track Switch Inspection and Preventive Maintenance • Track and Track Switch Repairs • Signals/Traffic: Streetcar-Specific in Right-of:. Way • Signals/Traffic: Transmission to City Box • Signals/Traffic: City Signals • Signals/Traffic: Streetcar-Specific Signals • Signals/Traffic: Streetcar-Specific, Right-of-Way, and Bike Signs • Sjgnals/Traffic: Streetcar Sensors & Transmission, Detection/Priority Equipment • Signals/Traffic: Carbome Sensors, Transmission Signal Devices • Utility Entrances, Enforcement of Maintenance Standards for Manholes Etc. • Pavement in Right-of-Way Operations and Maintenance Agreement Draft of May 31, 2018 {00098191.14) 10 • Right-of-Way Maintenance: Signs and Pavement Markings Inspection & Maintenance • Right-of-Way Maintenance: Streetcar Wayfinding Signs and Maes • Riqht-of-Way Cleaning: Street sweeping • Right-of-Way Cleaning: Switches and Drains Right-of-Way Cleaning: Emergency • Right-of-Way Cleaning: Special Events Trash & Cleanup • Right-of-Way Towing: Disabled and Double-Parked Autos • Right-of-Way Towing: Disabled Streetcars • Station, Shelter, and Stop Cleaning • Station, Shelter, and Stop Repairs • Substations Testing and Preventive Maintenance • Substations Repair OCS/Contact Visual Inspection • OCS/Contact Repair and Hands-On Inspection • OCS/Contact Poles • OCS/Contact Span/Contact, Hardware, Insulators • OCS/Contact Third-Party Fixation, Building Tieoffs • Radio System Provision • Radio System Maintenance • Fare Equipment Provision • Fare Equipment Supplies. • Fare Equipment Maintenance • Fare System Back-Office (Computer System) • Fare Revenue Handling & Accounti119 • Streetcar Vehicle Preventive Maintenance • Streetcar Vehicle Corrective Maintenance • Streetcar Vehicle Routine Cleaning • Streetcar Vehicle Heavy Cleaning • Maintenance Control, Scheduling, Records • Tools Calibration & Testing • Parts and Inventory • Maintenance Rules Development • Maintenance Procedures Development • Recruitment and Training - Maintenance • Rules and Procedures Compliance Checks • Vehicle Maintenance Facility Building maintenance Security • Security Certification • Security Overall Responsibility/Plan Signatories • Security Data, Reporting, and Tracking • Security & Emergency Preparedness Plan • Emergency/First Response • Security within Right-of-Way • Security at Vehicle/Maintenance Facility Operations and Maintenance Agreement Draft of May 31, 2018 {0009819l.14} 11 • On-Vehicle Security • In-Station/Stop Security • Crowd Control • Detours & Traffic Control • Fare Enforcement • Training for Security Personnel • Training for Other First Responders • Training for Non-Security Pers01mel • TSA, DHS, Federal Interaction • Internal Security Audits Safety • Safety Certification • Safety Overall Responsibility/Plan Signatory(ies) • Safety Data Reporting and Tracking • System Safety Program Plan • Internal Safety Audits • Hazard Management • Accident Investigation • Corrective Action Plans • City Employee and Contractor Safety Oversight • Change Management (Configuration management and ongoing safety certification) • Drills and Exercises • Training for Safety Personnel • Training for Non-Safety Personnel Customer Service and Marketing • Marketing • Public Relations • Community Outreach & Campaigns • Special Interest Groups & Committees • Safety and Security Point of Contact for Customer Use • Lost & Found • Customer Service & Information • Publications. Schedules, Notices, etc. • Electronic & Social Media Commlll1ications, Website • Advertising and Advertising Contractor Management (in vehicles. in stations) Operations and Maintenance Agreement Draft of May 31, 2018 {00098191.14) 12 EXHIBITB ARBITRATION PROVISIONS In the event the parties cannot agree on the Budget Methodologies or the Initial Budget and either party seeks non-binding arbitration under the terms set forth in Section 1.1 of the Agreement to which this Exhibit B is attached, the following non-binding arbitration procedures shall apply: (a) Arbitration may be initiated by either party making a written demand for arbitration on the other party. There shall be one arbitrator. If the parties shall fail to select a mutually acceptable arbitrator within ten (10) days after the demand for arbitration is received, then the parties stipulate to arbitration before a single arbitrator, and selected in the manner prescribed by the arbitrating body. The arbitrator must have at least ten (10) years' experience managing, operating or constructing federal transit projects including development and oversight of transit project budgeting. Except as may otherwise be set forth in this Exhibit B, the arbitration shall be administered in accordance with the Streamlined Rules of Judicial Arbitration and Mediation Service ("JAMS"). (b) The parties shall share all costs of arbitration. ( c) When necessary, the arbitrator shall apply the substantive law of the State of California. The parties shall exchange all budget documentation including all back-up documentation and budget detail such party relied upon in developing its Budget Methodologies or Initial Budget, as applicable. No other discovery will be available to the parties. (d) Arbitration shall take place in either Sacramento or West Sacramento as the parties shall agree. If the parties cannot agree on a location, the parties shall flip a coin with the winner deciding the location within one of these two jurisdictions. As soon as is reasonably practicable but in no event more than thirty (30) days after an arbitrator has been selected, the arbitrator shall conduct a one-day hearing with respect to the matter to be resolved. As soon as is reasonably practicable thereafter but in no event more than thirty (30) days after the arbitration hearing, the arbitrator shall arrive at a final decision, which shall be reduced to writing, signed by the arbitrator and mailed to each of the parties. The judgment of the arbitration tribunal will be accompanied by a written statement of the basis for such judgment. The decision of the arbitrator shall not be binding on the parties. Operations and Maintenance Agreement Draft ofMay 31, 2018 (00098191.14) 13 ATTACHMENT 5 Downtown Riverfront Streetcar PROJECT MANAGEMENT PLAN May 2018 (Rev. 4) ~ Downtown g Riverfront STREETCAR Document Revision Record and Approvals Page [rr;,i::ixiif~ro: ·r.; _._,_ ---~-:---~-"--'----·-:__=-~----- J[1uu_;_~~i:f1ITt¼1~· 11~JJ\111~_. __ :~------______] REVISION 0 June 3, 2016 REVISION 1 February 24, 2017 REVISION 2 May 22, 2017 REVISION 3 March 30, 2018 REVISION 4 Mav 18, 2018 Document Revision Policy The Project Management Plan is updated and issued as a document with references to other Downtown Riverfront Streetcar documents. Previous revisions of this document should be discarded or stamped (identified) as superseded or obsolete when a new revision is issued. The Downtown Riverfront Streetcar Project Manager will determine the distribution of this document. For additional copies, please contact RT's Director, Project Management at (916) 321-3854. · This document is available electronically on the RT internal drive: J:/DIV-ES/Streetcar/PMP/PMP Rev. 3.doc PREPARED BY RT's Director, Project Management in coordination with the Riverfront Joint Powers Authority and the Streetcar Project Management Team (PMT). Summary of Changes Summary of Changes to the Downtown Riverfront Streetcar Project Management Plan ••· -- - = ~ I ; ,~--_i_ -~~_z:=_-~;~ ' .. ~" N/A Initial Streetcar PMP utilizing the latest FTA uidance. Rev. 1 Management Changes Significant changes have happened since Rev. 0 was submitted. Rev. 2 Revised Organization Chart Finalized Project organization chart and res onsibilities. Rev. 3 Governance Update Document updated to be consistent with approved Governance documents. Rev. 4 Various Changes Responded fo FTA comments on PMP Rev. 3. Rev. 4 May 2018 Table of Contents 1 BASIS FOR THE PROJECT ...... 1-1 1.1 PROJECT OBJECTIVES ...... 1-1 1.2 LEGAL AUTHORITY TO IMPLEMENT THE PROJECT & OTHER APPROVALS ...... 1-2 1.3 PROJECT DESCRIPTION ...... 1-3 1.4 OPERATING PLAN ...... 1-5 1.5 PROJECT FUNDING AND FINANCIAL PLAN ...... 1-6 1.6 PROJECT SCHEDULE ...... 1-8 1. 7 PROJECT MANAGEMENT PLAN (PMP) PURPOSE ...... 1-10 2 MANAGEMENT CAPACITY AND CAPABILITY (MCC) ...... 2-1 2.1 STREETCAR GOVERNANCE ...... 2-1 Governance Chart of Responslbllitles ...... 2-9 2.2 OVERSIGHT/MANAGEMENT ...... ; ...... 2-12 2.3 STREETCAR PROJECT MANAGEMENT ...... 2-16 2.4 PROJECT TEAMS ...... : ••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••.••••••...••••••••••••••••.•.•••••••.••••••••••••• 2-27 2.5 CONSTRUCTION MANAGEMENT TEAM •••••••••••••••••••.•.•.••••••• ·•••••• ...... 2-31 2.6 OPERATIONS MANAGEMENT TEAM ...... 2-38 2.7 ADDITIONAL SUPPORT ••••••••••••••.•••••••••••• ·•••••••••••.••••••••••••••••••••••••••••••••.••.• _ ...... 2-40 2.8 COMMITTEES ...... 2-42 2.9 FTA OVERSIGHT AND COORDINATION ...... 2-43 3 DESIGN CONTROL PLAN ...... 3-1 3.1 DESIGN ORGANIZATION AND SUPERVISION ...... 3-1 3.2 PROJECT DESIGN REQUIREMENTS ...... 3-4 3.3 DESIGN REVIEWS ...... 3-6 3.4 REQUIREMENTS FOR INTERAGENCY AGREEMENTS, APPROVALS, PERMITS ...... 3-11 3.5 PLAN FOR INVESTIGATION AND TESTING ...... 3-15 4 PROJECT CONTROLS ...... 4-1 4.1 PROJECT CONTROLS SOFTWARE TOOLS ...... 4-1 4.2 PROGRESS MONITORING AND REPORTING ••••.••••••••.. , ...... 4-2 4.3 DOCUMENT AND RECORDS CONTROL ...... , ...... 4-2 4.4 COST CONTROL ...... 4-3 4.5 SCHEDULE CONTROL...... 4-8 4.6 CHANGE CONTROL ...... 4-11 4. 7 RISK MANAGEMENT ...... 4-16 4.8 CONTINGENCY MANAGEMENT •••..••..•••••••••.••••••••.•••..••.••••••..••••••••••••••••••••••••••••••••••••.••••••••..••••••..••••. 4-18 4.9 DISPUTl:/CONFLICT RESOLUTION ...... 4-18 4.10 INSURANCE ...... -•• 4-19 5 PROJECT DELIVERY AND PROCUREMENT PLAN ...... 5-1 5.1 PROCUREMENT PROCEDURES ...... 5-1 5.2 CONTRACTING STRATEGIES ...... 5-4 5.3 IDENTIFICATION OF DBE OPPORTUNITIES AND GOALS ...... 5-5 6 LABOR RELATIONS AND POLICIES ...... 6-1 6.1 GENERAL RULES AND REGULATIONS ...... 6-1 6.2 WAGE RATES AND CLASSIFICATIONS ...... 6-3 6.3 STATE AND LOCAL REGULATIONS ...... 6-4 6.4 No-STRIKE AGREEMENTS ...... 6-4 Rev. 4 May 2018 6.5 OFF-SITE MANUFACTURE/ASSEMBLY ...... 6-4 7 CONSTRUCTION OF FIXED INFRASTRUCTURE - PROCEDURES ...... 7-1 7.1 CONSTRUCTION MANAGEMENT AND ADMINISTRATION - GENERAL ...... 7-1 7.2 ORGANIZATION, ROLES, AND RESPONSIBILITIES ...... 7-2 7 .3 CONSTRUCTION SAFETY AND SECURITY ...... 7-2 7 .4 PRE~CONSTRUCTION ACTIVITIES ...... 7-6 7.5 CONSTRUCTION PHASE ACTIVITIES ...... 7-9 8 ENVIRONMENTAL ASSESSMENT/ MITIGATION PLAN ...... 8-1 8.1 DELINEATION OF NEPA ANALYSIS REQUIREMENTS/ PROJECT IMPACT ANALYSIS ...... 8-1 8.2 DESCRIPTION OF MITIGATION PRINCIPLES ...... 8-8 8.3 PLAN FOR MANAGEMENT AND IMPLEMENTATION OF MITIGATION ACTIONS ...... 8-9 9 INTEGRATED TESTING PLAN ...... 9-1 9.1 SCOPE ...... ,9-2 9.2 RELATIONSHIP TO THE SAFETY CERTIFICATION PROGRAM ...... , ...... 9-3 9.3 TESTING ORGANIZATION ...... 9-3 10 QUALITY ASSURANCE/ QUALITY CONTROL PROGRAM PLAN ...... 10-1 10.1 FTA QUALITY ASSURANCE / QUALITY CONTROL GUIDELINES ...... 10-1 10.2 ORGANIZATION AND RESPONSIBILITIES ...... 10-1 10.3 QUALITY OF DESIGN ...... , ...... 10-2 10.4 CONFIGURATION MANAGEMENT ...... 10-3 10.5 QUALITY OF PROCURED MATERIAL AND EQUIPMENT ...... , ...... 10-3 10.6 QUALITY OF CONSTRUCTION ...... 10-4 10. 7 CONSTRUCTION QUALITY ASSURANCE ...... 10-4 10.8 FINAL INSPECTIONS (SYSTEMS TESTING/STARTUP) ...... , ...... 10-5 11 SAFETY AND SECURITY ...... 11-1 11.1 SAFETY AND SECURITY PROGRAM ...... 11-1 11.2 REGULATORY OVERSIGHT ...... 11-2 11.3 SPECIAL CONSIDERATIONS ...... , ...... , ...... 11-4 11.4 CONSTRUCTION SAFETY AND SECURITY RESPONSIBILITIES ...... 11-5 11.5 ADMINISTRATION ...... 11-6 11.6 SITE SPECIFIC CONTRACTOR REQUIREMENTS ...... 11-6 11. 7 CONTRACTOR WRITTEN SAFETY PLAN ...... 11-8 12 REAL ESTATE ACQUISITION AND MANAGEMENT PLAN ...... 12-10 12.1 PROPERTY ACQUISITION PROCESS ...... 12-10 13 RAIL FLEET MANAGEMENT PLAN ...... 13-1 13.1 INTRODUCTION ...... 13-1 13.2 EXISTING SERVICE ...... 13-1 14 COMMUNITY RELATIONS ...... 14-1 14.1 PURPOSE ...... 14-1 14.2 ORGANIZATION AND APPROACH ...... 14-1 14.3 COMMUNITY MEETINGS AND CONSTRUCTION NOTIFICATION ...... 14-2 14.4 INTERFACE WITH STATE AND LOCAL GOVERNMENT AGENCIES ...... 14-2 14.5 PUBLIC HEARINGS ...... 14-3 14.6 MEDIA INTERFACE ...... 14-3 14.7 MARKETING ...... 14-3 APPENDICES ...... 1 Rev. 4 May 2018 LIST OF ACRONYMS ADA-ABA Americans with Disabilities Act - Architectural Barriers Act CALEPA California Environmental Protection Agency CALOSHA California Occupational Safety and Health Administration Caltrans California Department of Transportation CAR Corrective Action Report CCB Change Control Board CEQA California Environmental Quality Act CFO Community Facilities District CM Construction Management CMAQ Congestion Mitigation and Air Quality Improvement CPC Capital Program Committee CPM Critical Path Method CPUC California Public Utilities Commission CSI Construction Specifications Institute CTC California Transportation Commission DBE Disadvantaged Business Enterprise EEO Equal Employment Opportunity FAI/T First Article Inspections/Tests FRA Federal Railroad Administration FTA Federal Transit Administration GESS General Environmental Support Services GM/CEO General Manager/Chief Executive Officer IIPP Injury and Illness Prevention Program IS/EA Initial Study/Environmental Assessment 1TB Invitation to Bid LOS Letter of Solicitation LPA Locally Preferred Alternative LRT Light Rail Transit LTD Life to Date MCC Management Capacity and Capability MMP Mitigation Monitoring Plan MPO Metropolitan Planning Organization MTP Metropolitan Transportation Plan NCR Non-Conformance Report NEPA National Environmental Policy Act NTP Notice to Proceed ocs Overhead Contact System OR JPA Owner's Representative OSHA Occupational Safety and Health Administration (Federal) PG&E Pacific Gas & Electric Company PMOC Project Management Oversight Consultant Rev. 4 May 2018 LIST OF ACRONYMS PMP Project Management Plan PMT Streetcar Project Management T earn PS&E Plans, Specifications and Estimate (of cost) PTMISEA Public Transportation Modernization, Improvement, and Service Enhancement Account QA Quality Assurance QC Quality Control QCM Quality Control Manager RAC Rail Activation Committee RAMP Real Estate Acquisition Management Plan RE Resident Engineer RFI Request for Information RFP Request for Proposals RFQ Request for Qualifications RIP Regional Improvement Program ROW Right-of-Way RT Sacramento Regional Transit District RTIP Regional Transportation Improvement Program SACOG Sacramento Area Council of Governments SAP Systems Applications and Products SCADA Supervisory Control and Data Acquisition SMUD Sacramento Municipal Utility District SOP Standard Operating Procedure SSPP System Safety Program Plan STA Sacramento Transportation Authority STIP State Transportation Improvement Program TPSS Traction Power Substation USACE United States Army Corps of Engineers USEPA United States Environmental Protection Agency USPAP Uniform Standards of Professional Appraisal Practice YOE Year of Expenditure Rev. 4 May 2018 1 BASIS FOR THE PROJECT This section describes the Basis for the Downtown Riverfront Streetcar Project (Project). The section is organized as follows: • Objectives of the Project • Legal Authority to Implement the Project & Other Approvals • Project Description • Operating Plan • Project Funding and Financial Plan • Project Schedule • Project Management Plan Purpose 1.1 Project Objectives The proposed 4.4-mile Streetcar Project would extend from the West Sacramento Civic Center and Riverfront Street to the Midtown entertainment, retail, and residential district in the City of Sacramento. The 'operating plan will be developed and approved by the Riverfront Joint Powers Authority, which was established in 2017. Also included in the Project is the relocation of existing light rail service from K Street to H Street between 7th and 12th Streets, which will allow the streetcar to avoid conflicts with light-rail vehicles and associated infrastructure along K Street. Mixed-use neighborhoods in the Washington Neighborhood (designated as a Transit Priority Area), the Bridge District, and the Railyards have been planned around a future high-quality transit system intended to serve these new and emerging employment and residential districts. 1.1.1 Project Overview The purpose of the Streetcar Project is to improve transit service and local circulation, specifically for shorter trips, by connecting the urban cores of Sacramento and West Sacramento with an alternative (non-auto) mode and supporting existing and future development on both sides of the Sacramento River. The Sacramento Region Blueprint envisions significant levels of growth in the two urban cores through new development and redevelopment that encourages the use of alternative modes of transportation. This Project would support that plan. Significant levels of growth are projected to occur in the urban core of Sacramento and West Sacramento during the next 20 years with urban infill projects being the key component. As such, transit circulation within the urban core is conducive to fulfilling land development policies related to infill, environmental protection, and economic growth. The projected growth will generate greater travel demand for local transit and roadway capacity than is currently available. Currently, limited transit options within and between the urban cores of Sacramento and West Sacramento create greater reliance on automobiles, which emit air pollutants and greenhouse gases (GHGs). Reliance on automobiles also increases consumption of valuable land area for parking, which is antithetical to the urban development goals of the sponsoring agencies. Therefore, Rev 4 May 2018 1-1 because projected growth is concentrated in the urban cores, the Streetcar is needed to provide enhanced transit service for shorter, local trips within the urban cores as well as across the Sacramento River that connect residents, employment centers, and retail service~. 1.2 Legal Authority to Implement the Project & Other Approvals RT's enabling legislation '(State of California Public Utilities Code Section 102000 et seq.) provides the requisite legal authority to undertake capital improvements, including light rail and streetcar development. Additionally, in March 2017, the City Councils of Sacramento and West Sacramento approved a Joint Exercise of Powers Agreement with each other. The Joint Exercise of Powers (JEP) Agreement is made pursuant to Chapter 5 of Division 7 of Title I of the California Government Code (commencing with section 6500) ("Joint Powers Act") for the joint exercise of powers common to the cities and as otherwise granted by the Joint Powers Act. Approval of a JEP Agreement allows the City of Sacramento and the City of West Sacramento to jointly conduct planning, design, financing, regulation, permitting, environmental valuation, public outreach, construction, ownership, operation and maintenance of the planned Downtown Riverfront Streetcar Project between the two cities through the establishment of a separate legal entity, the Riverfront Joint Power Authority (JPA). Approval of the JEP was necessary for the formation of the JPA. Establishing the JPA allows for more efficient management, oversight, and decision-making system that spans two jurisdictions and would otherwise require duplicative action from two City Councils. The JPA works closely with RT on all aspects of planning, design, construction, commissioning and operations and maintenance. 1.2.1 Evidence of LPA Adoption into MPO Long Range Plan The Streetcar Project has been adopted into SACOG's Long-Range Plan. 1.2.2 Evidence of Project in Transportation Improvement Program (TIP) and State Transportation Improvement Program (STIP) SACOG lists the Downtown Riverfront Streetcar Project in the Transportation Improvement Program (TIP). The federally-required TIP is known as the Metropolitan Transportation Improvement Program {MTIP) in the Sacramento Region. The MTIP is a short-term listing of surface transportation projects that receive federal funds, are , subject to a federally required action, or are regionally significant. SACOG, as the federally designated Metropolitan Planning Organization (MPO) for the six-county Sacramento Region, prepares and adopts the MTIP every two years. The Project is currently included in the current SACOG MTIP with a Project total of $208 million. Rev 4 May 2018 1-2 1.3 Project Description The proposed 4.4-mile Downtown Riverfront Streetcar Project would extend from the West Sacramento Civic Center to the Midtown entertainment, retail and residential district in the City of Sacramento. Downtown Riverfront Streetcar I I RAILYARDS $lllW,IEIITO \IAUY$WION WASHINGTON DISTRICT _ .MIDTOWN ,i - \ : *CANOI0,\1HT01'lOC,11101! • IXISTTNGUGHTRAII.StlllOH fl ldWUGHTRAJI.STAllOH • PROPOSIDSOOTCARAIJGNMIIIT •'-' IXJ5ffiGUGHTRAJI.IIOU1£ • HSlllmUl!AI.J(;NMOO ' ' ~HAOUTYACrus ,-- : l'OTOOW.MNNTUWKEfACJJ1Y 1.3.1 Alignment The alignment, which was approved by SACOG as part of the environmental process, would follow portions of West Capitol Avenue and Tower Bridge Gateway, as well as Riverfront Street in the Bridge District, in West Sacramento before crossing Tower Bridge and following portions of Capitol Mall, 3rd, 7th, 8th, 12th, 19th, H, J, K, and L Streets in Sacramento. Streetcar stops (stations) would be spaced every few blocks along the alignment. Also, the Project includes relocation of light rail from K Street to H Street for four blocks. The streetcars would operate in mixed flow traffic without any physical lane separation with the exception of the alignment on the Tower Bridge and - Rev 4 May 2018 1-3 Capitol Mall. The Project would be designed to minimize the acquisition of new right-of way. 1.3.2 Structures No "flyover" bridges are currently planned as part of this Project. 1.3.3 Passenger Stations There are 27 streetcar stops (stations) spaced every few blocks along the alignment. Additionally, one new light rail station will be built as part of the relocation of light rail service from K Street to H Street. Each streetcar station will have low platforms/curbs for street level boarding from the curb or a slightly elevated curb. All platforms will accommodate disabled access to the streetcars. Station platforms will consist of existing light rail stations or will be built to accommodate one streetcar. Platform widths will vary with the public side walk widths form 8 feet to 16 feet, depending on location and configuration. Streetcar platforms primarily utilize the existing public sidewalk right-of-way and are minimalistic in nature. Typical passenger amenities at stations will include: 1. Landscaping 2. Lighting 3. Information displays 4. Easy access for elderly and disabled passengers 1.3.4 Systems The Systems infrastructure will include the following elements: • Signaling and Grade Crossings Streetcars will operate in the public right-of-way adjacent to motor vehicles. Streetcars will obey all traffic control and automobile regulations. In limited locations, special priority detection and implementation may be required. Streetcars operating adjacent to traffic will obey all traffic controls unless special priority is provided. No grade crossing controls (warning bells, gates, etc.) are required for streetcar operations. • Communications The streetcar communications system is a radio based system. Some level of train location/identification (VETAG or similar system) may be provided. Rev 4 May 2018 1-4 • Traction Power System The streetcar traction power system will be compatible to the existing RT light rail system for voltage and current capacity so that streetcars can operate on the existing RT light rail system. The traction power system consists of: o Two new prefabricated (packaged) traction power substations (TPSS). o Positive and negative distribution cables. o Overhead Contact System. o Negative return system (running rails). o Corrosion control system directing stray current back to the appropriate substation. Traction power substations will feed electricity to the TPSS from the SMUD and PG&E power grid. 1.4 Operating Plan This section describes the existing light rail system operations and the proposed streetcar operations plan. • Existing Light Rail Service The light rail system is 43 miles in length with 52 stations. The Northeast Corridor operates from the Watt/I-80 Station to Downtown Sacramento. The South Sacramento Corridor operates from Downtown Sacramento to Cosumnes River College. Both of these corridors operate as the Blue Line. The Folsom Corridor operates from Folsom through Downtown Sacramento to the Sacramento Valley Station (Amtrak). This corridor is operated as the Gold Line. The Green Line is a 2.2-mile route from the 13th Street Station on the south side of downtown to 7th and Richards on the north side of downtown. This extension opened in June 2012. All three lines operate in central Sacramento from the 13th Street Station to the 7th/8th & K Stations. Light Rail service is provided 365 days a year, seven days a week, from approximately 5 am to 10:30 pm. The normal peak train, consisting of four cars, is the maximum that can operate on the system, and is determined by the length of the stations and the city blocks in Downtown Sacramento. While light rail operates on streets and along transiUpedestrian malls in the downtown area, primary operations occur at-grade on exclusive rights of way with some grade separations. Average operating speed on the South Sacramento Corridor (Blue Line) is 20 mph through the downtown area. Weekday ridership was at 36,550 unlinked passenger trips for the entire system in April 2018. • Proposed Streetcar Service Streetcar services are proposed to operate in the same operating window as light rail (from about 5 am to about midnight on weekdays and weekends). The initial Rev 4 May 2018 1-5 headway for the streetcars will be 15 minutes during peak service and 20 minutes during off-peak periods. West Sacramento headways will consist of 30- minute service due to the fact that every other train, instead of traveling to City Hall, will travel along Riverfront Street. 1.5 Project Funding and Financial Plan The Project is owned by the cities of Sacramento and West Sacramento through the JPA. RT, under contract with the cities, will be responsible for designing and constructing the Project. Small Starts matching funds will be secured by RT as the grantee and provided to the JPA through a subrecipient agreement. The following subsections discuss Downtown Riverfront Streetcar funding for construction. The Project Funding and Financial Plan contain the Financing Plan for Capital Costs and the Financing Plan for Operating and Maintenance. The total capital cost of the Project is currently estimated at $208.57 million in year of expenditure (escalated) dollars. 1.5.1 Project Capital Costs Summary (FTA Standard Cost Categories) This section presents a summary of capital costs estimated for the Project. Cost estimates were based on the latest local unit cost information available for the types of construction and procurement items. Table 1.5-1 presents the total base year (Federal Fiscal Year 2017) costs, escalated to the year of expenditure. Table 1.5-1 Project Cost Summary SCC Cost Element 1O Guidewa and Track Elements $22,101,000 20 Stations, Sto s, Terminals and lntermodal $7,103,ooo 30 Su ort Facilities: Yards, Sho s, Admin. Bid s $10,150,000 40 Site Work and S ecial Conditions $38,995,000 50 S stems $44,388,ooo 60 ROW, Land Existin Im rovements $5,500,000 70 Vehicles $34,500,000 80 Professional Services* $40,279,000 90 Unallocated Cantin enc $4,837,000 100 Finance Char es o Total FFY 2018 Cost Summa $208,459,000 *Professional Services includes $8.57m in Project Development costs not initially included in the overall budget. 1.5.2 Project Financing This section presents an overview on financing the Downtown Riverfront Streetcar. Rev 4 May 2018 1-6 • Funding for Construction Costs The Project cost is estimated to be $208,570,000. The full funding plan for the Project has been identified from a variety of sources. The Project is included in the SACOG Metropolitan Transportation Plan (MTP). Table 1.5-2 provides a summary of the anticipated funds to be used for the Project. Also included in this table are the current levels of planned and committed funds. The Cities and JPA are responsible for any additional Project costs necessary for the Project. Table 1.5-2 Project Grants. Status Planned (PL) vs. Funding Status Amount Budgeted/Committed Source 8/C Funds approved in 2016. RT is the TIRCP $30,000,000 (B/C) official recipient. SSGA is required before accessing funds. Regional Transit (Proposition 1A $25,000,000 (B/C) Contingent upon SSGA. Connectivity) City of West $35,000,000 (B/C) City Council approved. Sacramento City of City Council approved. Includes $2m $9,000,000 (B/C) Sacramento in early Project Development funds. I Initially funded as Congestion Sacramento Area Mitigation and Air Quality (CMAQ) Council of $5,000,000 (B/C) funds. Dollars were later flexed to Governments Federal 5307 funds. Sacramento $3,000,000 (PL) Need Board of Supervisors approval. County State Proposition 1B (PTMISEA) Regional Transit $1,570,000 (B/C) funds received in March 2014. Rev 4 May 2018 1-7 $50m in FY17. Additional $50m 5309 Small Starts $100,000,000 (PL) requested in FY18 budget. *Planned total includes $100m in Small Starts funding. 1.5.3 Grant Status See Funding for Construction Costs (section 1.5.2) for grants information. 1.5.4 Financing Plan for Operating and Maintenance The cities of Sacramento and West Sacramento are the uftimate owners of the Downtown Riverfront Streetcar Project through the JPA. Both cities will be responsible for funding these ongoing costs. In June 2017, the City of Sacramento Streetcar Special Funding District was approved by the business owners. The funding, which amounts to approximately $50 million over the next 25 years, or $2 million annually, will go directly to streetcar operations and maintenance (O&M). West Sacramento has established bond funding to pay $1 million annually toward the O&M costs. The additional O&M funding is expected to be covered through fares and vehicle advertising. If additional operating funds are needed, the cities and JPA are responsible for securing the necessary annual funds. Daily operations of the Project will be overseen by the JPA Board of Directors. This Board was established in 2017 and meets monthly. Operations and maintenance of the Project will initially be handled by Sacramento Regional Transit District under contract with the JPA Board. As part of the overall governance structure, the JPA will work closely with Sacramento Regional Transit District to develop and execute a Streetcar Operations and Maintenance Agreement (latest draft listed as a Companion Document). This will ensure the necessary technical expertise is in place to operate the Downtown Riverfront Streetcar. 1.6 Project Schedule The following summary schedule is provided as of May 2018 and outlines major activities for the remainder of the Project.·· A more detailed schedule is available. Rev 4 May 2018 1-8 0) Q4 Qt QJ ·;·+~~4tti~··i· f··/··H"l rH.TtF~ lo!-!--... tt,,jn~"it'\"""1'4-4+•:"'i'¥i~ : 1 ·°"'"'""'1 ...~ ../1'<1~ .... ,:; TfH·'· ! .._,,.,,...... ,...,(V/:00,l'!oj,Klhdrl""!'d°'!'W"td.~ ' .itfi~rrt·n··1r11·tt·1+: ' ··!f n1 1 !: li,, ': fGcm~~tj_~~~~o~~I~~ 1 EucUl•UdlfRelocllon MIi ' ' :,"'!"Ef1t!J1TI Ii j ! j ii ! ! : : ! : ' ' I I ' ' '. ; ' : i ; --;;;.;;~~~~~~-_--r_· ~~~~-~ 1~-· -· --=~~~ll(Aulill"ltr.._lnld.,.~ -- -1---- ·~~MffiA-4~,-- 11iFi!j~~~R/1i:iill1::;:1::Wi;j!:u(tJ :··rrrrr,.. ··nrrrr,· ..cf ·.i,·:L.·.r!.·.·--r.1,....:.: .. r.··-J--t- f++ :---i +++ rt +1 ·l· --! .. ____ _, ; ; ! iii\ ii; l l ? I j i ...,...... , ...... , ...... ,..,....,..;..._..,...._...., .. 1..., ...... ojo,i,1J,.;..4-iw,i,,j,~(tVM,i 1 l i t; l i j l [ \ 1 i:; i: ! ! : : ! ; : ! : : i ·~--~~--~~.~t-~·1-.~~----~~~~1-~-!-.~~--~~~~~rtMt~iitt·!rl· i i j ..J.. !., .... ! ...... , ,;,' ... ~ pvj~~' j: Li ;; 11tt~,~~f:"9 Revenue Serv 04/15122 P,geldl TASKlilleir.nocosilti'4es Rev 4 May 2018 1-9 1. 7 Project Management Plan {PMP) Purpose In 1989, the Urban Mass Transportation Administration (now FTA) issued the Final Rule (49 CFR, Part 633) for Project Management Oversight which requires that recipients of federal transit funds undertaking a major capital project submit a Project Management Plan (PMP) for FTA approval. The PMP is designed to enhance the recipient's planning and implementation efforts and to assist FTA's grant application analysis efforts. The Downtown Riverfront Streetcar PMP has been prepared to assist RT and the cities of Sacramento and West Sacramento in effectively and efficiently managing and controlling this complex Project. The framework for administration of this Project has been established in accordance with the requirements of 49 CFR 633, the FT A and the State of California. Accordingly, the PMP includes: a. A description of recipient staff organization, complete with well-defined reporting relationships, statements of functional responsibilities, job descriptions, and qualifications; b. Overviews on the governance structure and how it will ensure the necessary management structure is in place to successfully design, construct and operate the Streetcar Project.. c. A budget covering the Project management organization, appropriate consultants, property acquisition, utility relocation, audits, and such miscellaneous costs as the recipient may be prepared to justify; d. ·A description of organizational structures, management skills, and staffing levels required throughout the construction phase; e. A design management process encompassing Project Development; f. A construction schedule; g. A plan for internal reporting requirements including cost and schedule control procedures; h. A document control procedure and recordkeeping system; i. Quality control and quality assurance programs which define functions, procedures, and responsibilities for construction and for system installation and integration of system components; j. Periodic updates of the Plan, especially related to Project budget and schedule, financing, ridership estimates, and the status of local efforts to enhance ridership where ridership estimates partly depend on the success of those efforts; k. A change order procedure which includes a documented, systematic approach to the handling of construction change orders; I. Materials testing policies and procedures; and m. Criteria and procedures to be used for testing the operational system or its major components. This Plan, which is necessary to successfully design and construct the Streetcar Project, identifies the key activities and the need to assign responsibility for each such activity in an organized manner. The PMP is intended to provide the general framework Rev 4 May 2018 1-10 for management of the Project and not intended to be a detailed procedures manual. Specific and detailed Project procedures conforming to the parameters outlined in the PMP are developed and implemented by the various functional managers. The PMP addresses elements necessary for the execution of the Project as it progresses through its development and implementation phases, including: Project Development, Safety, Construction, Testing, Best Practices, FTA Guidelines, Start-up, and, ultimately, Revenue Service. Therefore, it should be recognized that this plan is subject to change and refinement as the Project evolves. 1.7.1 Maintenance and Update of the Project Management Plan This plan is updated each calendar year, or when significant Project changes warrant an update, by RT's Director, Project Management in coordination with the JPA and the PMT. RT may initiate revisions to the PMP at any time. Updates are documented and monitored by a numbering system. The PMP was initially issued as Revision "O" identifying it as the base document for control purposes. Later revision numbers will reflect the current status of the Project, and incorporate all changes to the Project plan up to the date of issue. These revisions help the management of subsequent activities of the Streetcar Project well in advance of the occurrence of those activities. The following events may trigger the revision and re-issuance of the PMP: • Significant modifications requested by the FTA. • Project is considering the next phase, e.g., Project Development or Construction. • Major change in Project approach, e.g., contract packaging and delivery methods. • Significant change in funding scenarios. • Major changes to the Project budget and Project schedule. • Major changes in ridership estimates or other critical elements of the Project. • FTA requires a PMP update every two years. • Governance mandated changes to the PMP The need for any such revisions is discussed at the regularly scheduled meetings between RT, the JPA, and the FTA. After agreement on the intent and scope of the revisions by all -parties, RT's Director, Project Management will direct staff to revise and update the PMP. Following approval of revisions, revised pages will be distributed to all holders of the PMP for incorporation into their copies. 1.7.2 PMP Training All key staff and consultants affiliated with the Project will receive a copy of the latest PMP and will be required to become familiar with the document's contents. An e-mail sent out by the Project Manager will provide key points to the document and the expectations for each staff members to understand the purpose of the PMP. Rev 4 May 2018 1-11 A PMP distribution list will be maintained that tracks key staff and consultants that receive the PMP. Each time the PMP is updated, staff is informed of the update and its location on the network drive. All consultants, subconsultants and contractors will have full and complete copies, or applicable portions, of the PMP, the Quality Assurance/Quality Control (QA/QC) Plan, Safety Plan, and other RT plans as necessary, as well as budgets and schedules to support the Project. Rev 4 May 2018 1-12 2 MANAGEMENT CAPACITY AND CAPABILITY (MCC) To successfully manage the design and construction of the Project, an integrated team of RT, JPA and consultant staff has been propose_d. As implementation of the Project proceeds through Project Deve.lopment, and through construction and start-up, staff will evolve to maximize the efficient use of personnel and adjust to the changing workload. The PMP will be updated prior to each of those phases to reflect all changes to the Streetcar Project team. As mentioned earlier, the cities of Sacramento and West Sacramento are the owners of this Project through the JPA. RT, with assistance from SACOG, the JPA and the cities, will be responsible for design and construction of the Streetcar Project. Since RT's Engineering and Facilities staff is principally oriented towards management of consultant teams, they will be augmented as required by certain pre-determined and pre-contracted experts to furnish skills otherwise not available from RT staff. This approach will be used to ramp up staffing through Project Development, as well as when a Small Starts Grant Agreement is approved and construction begins. RT expects to ramp up staffing within the Construction Management team as the Streetcar Project nears the start of construction. Otherwise, additional support will be added as necessary. In this chapter, the key Streetcar Project participants and their general functional/disciplinary roles are identified. The relationship to RT's other support functions for the Streetcar Project is also described. Specific duties, requirements and responsibilities are described herein. The section is organized as follows: • Streetcar Governance • RT Organization Overview • Streetcar Organization During Project Development • Project Teams • Functional Interfaces • Staffing Plan • Committees • FT A Oversight and Coordination • Project Roles and Responsibilities Training 2.1 Streetcar Governance The Downtown Riverfront Streetcar Project will be jointly owned by the City of Sacramento and the City of West Sacramento through the JPA. However, RT, as the FTA Small Starts grantee, will be directly responsible for all FTA-related responsibilities and SSGA requirements. RT will work closely with all partner agencies to ensure the Project is successfully built, operated and maintained. In March 2017, the City Councils of Sacramento and West Sacramento approved a Joint Exercise of Powers (JEP) Agreement. Approval of a JEP Agreement allows the City of Sacramento and the City of West Sacramento to jointly conduct planning, design, financing, regulation, permitting, environmental evaluation, public outreach, construction, set fares, secure all Rev 4 May 2018 2-1 operating funds, ownership, operation and maintenance of the planned Downtown Riverfront Streetcar Project between the two cities through the establishment of a separate legal entity, the Riverfront Joint Power Authority (JPA). Approval of the JEP was necessary for the formation of the Riverfront JPA. The JPA has been formed and the JPA Board began meeting in November 2017. The current JPA structure allows for more efficient management, oversight and decision-making system that spans two jurisdictions and would otherwise require duplicative action from two City Councils. The JPA will work closely with RT on all aspects of planning, design, construction, commissioning and operations and maintenance. The development of the governance structure for the Streetcar Project takes into consideration a number of factors including the fact that all Project assets will be jointly owned by the City of West Sacramento and the City of Sacramento. Certain exceptions to this general rule include: a. Rights of way for track, which each city shall continue to own within its respective jurisdiction; b. Real property owned by a city to be used by the JPA with approval; and c. Regional Transit light rail track, stations, and traction power substations and poles that may also service the streetcar system will continue to be owned by Regional Transit. 2.1.1 JPA Overview Creation of the JPA to own and oversee the operation of the Project on behalf of the two cities is believed to be the best vehicle for managing this new transit project. The current JPA structure allows for the greater efficiency in design, construction, operation and management of the Project based on the authority of a single governing body versus two independent jurisdictions. As described in the draft First Amendment to Joint Exercise of Powers Agreement for the Riverfront Joint Powers Authority, the JPA Board consists of five directors and their respective alternates. Each City shall appoint two directors and their two alternates. Sacramento shall ensure that at least one of its appointed directors also serves at the same time as a member of the RT Board of Directors. The fifth director shall be appointed by the four city representatives. The JPA Board shall have all powers necessary or reasonable to further the Streetcar Project. Specific JPA responsibilities include: 1. Secure administrative office space and furnishing; 2. Make and enter into contracts; 3. Contract for, or employ, administrative, technical and support staff, and consultants (including a federal grants compliance consultant) and contractors of any kind; 4. Acquire and maintain insurance of all types; 5. Lease or sublease real property; Rev 4 May 2018 2-2 6. Acquire, hold, or dispose of real property by negotiation, dedication, or eminent domain; 7. Lease, sublease, acquire, operate, maintain and dispose of materials, supplies, and equipment of all types; 8. Plan and conduct environmental and other analyses, and design buildings, facilities or transportation improvements of any kind; 9. Construct, operate, and maintain buildings, facilities or transportation improvements of any kind; 10. Accept, hold, invest, manage, and expend monies; 11. Obtain and secure funding from all available public and private sources including local, state, and federal government, including but not limited to, bond issuances, lease purchase agreements, public grants, private contributions, public and private loans, and other funds; 12. Form a special assessment district under any legal authority that exists now or in the future; 13. Form a special tax district under the Mello-Roos Community Facilities District Act or any other authority that may exist now or in the future, and if authorized by the Cities; 14. Negotiate and enter into reimbursement agreements when monies to construct Project improvements are advanced; and 15. Establish and collect rates, fees and charges for streetcar ridership. RT participation will ensure the technical expertise and the region's current train operator has a voice in all major decisions. An affirmative vote of a majority of the Board is required for most Board actions. However, the following actions require that the four affirmative votes include at least one city-appointed director from each city: 1. Approve the annual budget for the JPA; 2. Approve all amendments to the initial funding plan for the Project; 3. Approve the annual budget for the Project; 4. Approval of Project budgets for construction including establishment of limits of authority for changes orders and change order processing procedures; 5. Approve any agreement to retain the services of a consultant to oversee and advise the cities on the design and construction of the Project; 6. Obtain and secure funding from all available public and private sources including local, state, and federal government including but not limited to, bond issuances, lease purchase agreements, public grants, private contributions, and public and private loans; 7. Negotiate and enter into reimbursement agreements when monies to construct Project improvements are advanced; 8. Secure additional Project funding if needed; and 9. Issue bonds. The following actions require four affirmative votes, including at least one city-appointed member from each city AND approval of the City Council of the City where the action is to be taken or both City Councils for system wide actions: Rev 4 May 2018 2-3 1. Add additional projects to the authority and purpose of the JPA provided it is within its current jurisdiction; 2. Form a special tax district under the Mello-Roos Community Facilities District Act or any other authority that may exist now or in the future; 3. Form special assessment district; and 4. Initiate an eminent domain action. In an effort to ensure that RT, as the Project grantee, has an influence on key JPA Board decisions, the following processes have been established. 1. Prior to completion of the Project, any vote in favor of an amendment to or termination of the Design, Procurement, and Construction Agreement must include the affirmative vote of the RT Director. 2. The JPA Board may not terminate the Design, Procurement and Construction Agreement prior to completion of the design, procurement and construction services unless the JPA Board and RT have entered into a separate grant management agreement whereby RT will provide the grant management services as set forth in the Subrecipient Agreement between the cities, the JPA, and RT. 3. During the first five years of revenue operations, any vote in favor of an amendment to, or termination of, the Operations and Maintenance Agreement must include the affirmative vote of the RT Director. 4. As defined in the Subrecipient Agreement, RT is the final arbiter of any compliance issue. In general, the JPA Board sets the broad policy and has delegated authority to the Executive to handle day-to-day activities. The Advisory Body's role is described below. 2.1.2 Streetcar Advisory Body An integral component of the governance of the Project will be the formation of a Streetcar Advisory Body (Advisory Body). The Advisory Body's advice shall not impair RT's rights and obligations to ensure that the Project meets all requirements of the federal grant agreement for the Project as set forth in the Subrecipient and lnteragency Agreement for Streetcar Funding to be executed by the Cities and RT. The purpose of the Advisory Body is to serve in an advisory capacity for the Streetcar operations and maintenance. This Advisory Body will be formed to ensure that those whose investments fund the Project, such as the Sacramento business owners, will have input on the operations and maintenance of the Project. While the JPA will retain ultimate ownership and control of the Project, the Advisory Body will provide input on the following Project services: a. Daily operations of the streetcar system; b. All advertising, marketing, public outreach and sponsorship opportunities for the Project; Rev 4 May 2018 2-4 c. Operations and maintenance of the Project infrastructure, including all cars, tracks, facilities and stops within the streetcar system; d. Project fares and other Project income; e. Input on the hiring of the JPA Executive and such other administrative, technical, support and operational staff as necessary to carry out the management services; f. Right of way issues, such as lease, sublease, acquisitions and other real property necessary for the operation or maintenance of the streetcar system; g. Contracts with public and private sector entities as may be necessary to provide the management services; and h. Discussions regarding expansion of streetcar system, route adjustments or other changes to the streetcar system. While the Advisory Body will provide recommendations to the JPA Board and staff, it is the JPA's responsibility to approve any of the above recommendations prior to implementation. The Advisory Body will elect a Chair to lead all meeting discussions and will be responsible for relaying recommendations, concerns or other issues to the JPA Board of Directors. In no instance will the Advisory Body be responsible for directing RT or any future agency in charge of operating or maintaining the Streetcar system. 2.1.3 Streetcar Subrecipient and lnteragency Agreement As Sacramento's rail operator and current recipient of New Starts grant funding, RT has experience in the management of, and compliance with, federal and state grants for the design, construction and operations of rail systems. This expertise is the reason RT is the FTA grantee for this Project and will be responsible for ensuring all applicable grant requirements are met by RT, the JPA and cities. Because the Project will ultimately be owned by the cities through the JPA, it's necessary to execute a Subrecipient and lnteragency Agreement to set out the terms and conditions applicable to RT's transfer of grant funds to the JPA, as the subgrantee, for the development of the Project. The Subrecipient and lnteragency Agreement designates the JPA as the subrecipient of federal and state grants. As a subrecipient, the JPA must comply with all terms and conditions of all Project grants, including the SSGA. RT will exercise oversight rights, such as to investigate or audit, with regards to the terms and conditions of all applicable grants. JPA's failure to properly perform its obligations as the subrecipient will be considered a breach of the Subrecipient and lnteragency agreement. RT will promptly notify the JPA of any failure and provide an opportunity to resolve the issue. A dispute section has been established in the Subrecipient and lnteragency agreement to provide the necessary steps to resolve all disputes. Further, the JPA and the cities understand that the federal government retains a federal interest in all real property, equipment and supplies acquired or improved for use in connection with the Project until the Federal Government removes its interest. The First Amendment to the JEP Agreement inserted language requiring the JPA and/or both cities to do the following: Rev 4 May 2018 2-5 1. Ensure that Project property is used continuously and without delay for its originally authorized purpose throughout its useful life or until disposition occurs; 2. Ensure that associated uses of Project property are transit supportive; 3. Notify FTA if the conditions contained in 1 or 2 above are not being met; and 4. Seek FT A guidance regarding the requirements of this section through FTA circulars and other writings (including FTA Circular 5010.1E and the Uniform Relocation Assistance Act). The Subrecipient and lnteragency agreement will enable RT, as the FTA grantee, to draw down the SSGA funds. However, prior to drawing down any funds, RT must provide the JPA invoices of costs incurred. The JPA must respond within 15 working days by approving or disapproving the invoice. If there is a dispute with the invoice, RT may draw down funds only on the undisputed items. The agreement has a process for dispute resolution. 2.1.4 Operations and Maintenance Agreement Another key governance agreement necessary for this Project is the Operations and Maintenance agreement. Due to RT's extensive experience in the operations and maintenance of regional transit projects similar to this Project and the fact that the SSGA requires that operation and maintenance for the Project be conducted by an entity experienced in the operation and maintenance of rail transit projects, this agreement is necessary. The Operations and Maintenance agreement appoints RT to provide operation and maintenance services for the Project. This agreement, once executed, defines the roles, responsibilities and expectations regarding the operation and maintenance of the Project. Through this agreement, RT is responsible for operating and maintaining the system, as well as compliance with all applicable federal, state and local laws and requirements. This responsibility also extends to compliance with SSGA and FTA requirements. Similar to the Subrecipient and lnteragency Agreement, once the SSGA and the Operations and Maintenance agreement is executed, this agreement cannot subsequently be terminated unless a suitable replacement operator has been engaged and operations will continue seamlessly in compliance with the SSGA. Also, termination of this agreement requires that RT and the JPA enter into a separate grant management agreement to ensure continued SSGA and FTA compliance. 2.1.5 Design, Procurement and Construction Agreement Following the establishment of the Joint Exercise of Powers Agreement, the cities, through the Riverfront JPA, will enter into a Design, Procurement and Construction agreement with RT. This agreement appoints RT to provide design, construction and procurement services for the Project. RT agrees to perform the Services in a reasonable, prudent and diligent manner consistent with good practices within the industry, as well to as comply with all FTA grant requirements. Notwithstanding this Agreement, the Authority shall at all times have and retain ultimate ownership and control over the Project and its management and operations. Rev4 May 2018 2-6 The Design, Procurement and Construction agreement recognizes the need for RT to manage the design, procurement and construction of the Project. In addition to being responsible for all applicable grant requirements, this agreement will ensure compliance with TIRCP, Proposition 1A and any other local and state funding grant requirements. While the Design, Construction and Procurement Agreement appoints RT to provide technical and management services for the Project, the agreement also sets forth the responsibilities and obligations of RT with respect to the services provided, a Project budget, Project deliverables, schedules for both the design and construction phases of the Project and any design specifications or guidelines. Once the Design, Procurement and Construction Agreement is executed, the JPA may not terminate it prior to the completion of design, procurement and construction services unless the JPA and RT have entered into a separate grant management agreement whereby RT will provide the grant management services and the JPA will fully cooperate with and compensate RT its reasonable costs for the performance of such services. 2.1.5.1 Early Termination/Dispute Resolution The Design, Procurement and Construction Agreement provides steps for all parties if there's a need for early termination of the agreement. As currently written, the term of the Design, Procurement and Construction Agreement, assuming a SSGA is executed, expires with FTA's closeout of the SSGA. If there's a need for early termination, the following steps are detailed in Design, Procurement and Construction Agreement. 1. Termination by Agreement. The Parties may mutually agree in writing to terminate the Agreement, provided that the terms of Section 3 of the Subrecipient Agreement regarding termination of this Agreement have been satisfied. Section 3 of the Subrecipient Agreement says "The Authority, or its assignee, may not terminate (a) the Design Agreement prior to the completion of design, procurement and construction services being completed, or (b) the O&M Agreement so long this Agreement remains in effect unless, in each case, the Authority and RT have entered into a separate grant management agreement whereby RT will provide the grant management services set forth in this Section 3 and Authority will fully cooperate with and compensate RT its reasonable costs for the performance of such services." 2. Termination by Default. In the event RT fails to comply with the terms and conditions of this Agreement, or any other material breach of, or material default under this Agreement, the JPA may terminate the Agreement by providing RT with written notice of its intent to terminate this Agreement and the date of termination of the Agreement which must be at least thirty (30) days after the date upon which the Default Notice is received by RT. The Default Notice must provide an explanation of the Default. If the Default is not cured by RT prior to the Termination Date, the Agreement shall terminate provided that the terms of Section 3 of the Subrecipient Agreement regarding termination of this Agreement have been satisfied (see Section 3 description in previous Rev 4 May 2018 2-7 paragraph). If, however, RT promptly and diligently, cures the Default prior to the Termination Date, then the Default Notice shall have no force or effect and the Authority shall not have the right to terminate this Agreement for the basis set forth in that particular Default Notice. 3. Effects of Termination. If the Design, Procurement and Construction agreement is terminated, the following shall apply: (a) RT shall cease providing all Services as of the Termination Date. (b) RT shall immediately deliver possession to the JPA all assets, books and records in its possession associated with the Project and any that are necessary to provide the Services. (c) If requested by the JPA, RT shall assign existing Project contracts including, without limitation, all Key Agreements to the Authority or its designee. (d) The Authority shall pay to RT all amounts owed to RT for Services and any other funds or expenses incurred by RT up to and including the Termination Date and reimburse RT or assume responsibility for any outstanding obligations or liabilities of RT owed to third parties as of the Termination Date as a result of providing the Services. (e) RT shall make itself available to assist in providing transition services at the request of the Authority for a period of three (3) months from the Termination Date. Rev 4 May 2018 2-8 2.1.6 Governance Chart of Responsibilities The following graphic shows the key responsible parties involved in the Streetcar Project, as well as their roles and responsibilities for specific item of work. This chart will be utilized to ensure all roles are being followed as expected through the operation of this Project. Governance Chart of Responsibilities Definitions: 0 = Oversee & Audit (Monitors the performance of the work/activity to ensure compliance with applicable laws/regulations/agreements and, as applicable, audits the work/activity to ensure compliance). P = Perform (Entity has some or all of the responsibility to carry out the work/activity, or contract for the performance of the work/activity and ensure its completion). AP = Approve (Between the identified entities, has ultimate authority to direct and control the action/activity; no action can be taken without involvement of the approving entity). A = Advise (Will provide advice, input, or suggestions, but has no authority to direct or control work). Primary Resp. City of City of West Advisory PMP Governance Task JPA RT Individual/ Sacramento Sacramento Body Reference Reference Entity JPA/ Future Section JEP Agreement 1 Manage future grants (non-FTA) - - p - - Staff or 2.1.1 (Sec. 4k) Contractor Design Streetcar system (including Section 3 / Darryl Abansado 2 design standards for capital -- AP - p DPC (Section 1.1) Numerous /RT improvements) Section 7 / Greg Gamble/ 3 Construct Initial Streetcar System - - AP - p DPC (Section 1.1) Numerous RT Section O&M (Section Mark Lonergan / 4 Operate Streetcars - - AP A p 1.5.4 1.1) RT Develop annual budget for operations and maintenance of Section JEP Agreement Coordinated by 5 p p p A p streetcar (including capital 2.1.1 (Section 6d) Kirk Trost/ JPA reinvestment or reserve fund) Approve annual budget for operations and maintenance of Section JEP Agreement 6 - - AP A - JPA Board/ JPA streetcar (including capital 2.1.1 (Section 6d) reinvestment or reserve fund) JEP Agreement (Section 6d, IX) Sections Secure additional construction *Does not call Coordinated by 7 p p p - - 1.5.2*, funding, if necessary out coristruction Kirk Trost/ JPA 2.1.1 funding specifically. Secure additional operating funds, Section Coordinated by 8 p p p -- O&M Section 1.1 if necessary 1.5.4 * Kirk Trost/ JPA JEP Agreement (Section 4o) / Section 9 Set/change fares - - p A 0 Subrecipient JPA Board 2.1* Agreement (Section 3) Rev 4 May 2018 2-9 Governance Chart of Responsibilities - (Continued) Primary Resp. City of City of West Advisory PMP Governance Task JPA RT Individual/ Sacramento Sacramento Body Reference Reference Entity JEP Agreement/ Section Sub recipient 10 Approve route alignment - - AP A 0 JPA Board 1.3.1 * Agreement (Section 3) JEP Agreement (Section 6e(i) / Section 11 Approve route expansion/changes - - AP A 0 Subrecipient JPA Board 2.1.2 Agreement (Section 3) JEP Agreement (Section 4a) / Secure administrative office space Section 12 - - AP - - Subrecipient Kirk Trost/ JPA and furnishings 2.1.1 Agreement (Section 3) Maintain city landscaping which Section O&M (Section Respective City 13 encroaches onto or over Streetcar p p 0 - - 12.1* 1.3) Staff Right of Way, or vice versa Section Mark Lonergan/ 14 Maintain streetcar vehicles - - 0 A p O&M (Exhibit A) 13.1 * RT Section JEP Agreement 15 Pay streetcar electrification costs - - p - - Kirk Trost/ JPA 2.1.1 * (Section 4i) Section Mark Lonergan/ 16 Maintain Streetcar infrastructure - - AP A p O&M (Exhibit A) 13.1 * RT Responsible for official interaction Darryl Abansado 17 - - p - p Section 9 O&M Ex.A with the CPUC /RT Responsible for official interaction O&M and DPC 18 - - p - p Section 2.9 Ed Scofield / RT with the FTA Recital Enter into cooperative agreement (between JPA & Caltrans) for March JPA Board Section 19 planning, design, construction, and - - p - - Meeting (Agenda Kirk Trost/ JPA 12.1* maintenance of vehicle Item #7) maintenance and storage facility Make and enter into contracts for JEP Agreement Ed Scofield / RT 20 project planning and - - AP - p Section 1.2 (Section 4h) / & Kirk Trost/ environmental clearance* Existing MOU JPA O&M (Section Employ or contract for operation 1.1) / and maintenance of the Streetcar Section 21 - - AP - P,O Subrecipient JPA Board including, administrative, technical 2.1.4 Agreement and support staff (Section 3) Acquire and maintain insurance of Section JEP Agreement 22 p - p p p Each Agency all types 4.10.1* (Section 4d) JEP Agreement Acquire, hold, or dispose of real (Section 4f) / Section 23 property by negotiation, - - p - 0 Subrecipient JPA 2.1.1 dedication, or eminent domain Agreement (Section 3) Rev 4 May 2018 2-10 Governance Chart of Responsibilities - (Continued) Primary Resp. City of City of West Advisory PMP Governance Task JPA RT Individual/ Sacramento Sacramento Body Reference Reference Entity JEP Agreement {Section 4g) / Lease, sublease, acquire, operate, O&M (Section maintain and dispose of materials, Section Mark Lonergan / 24 - - AP A P,O 1.1) / supplies, and equipment of all 2.1.1 (#6) RT Subrecipient types* Agreement (Section 3) JEP Agreement Operate, and maintain (Section 4i) transportation and non- /O&M {Section Section Mark Lonergan/ 25 transportation related buildings - - AP - P,0 1.1) / 2.1.1 RT and facilities for the operation of Subrecipient the Streetcar Agreement {Section 3) Subrecipient Manage, Oversight, and Audit FTA Section Brent 26 - - AP - p Agreement grant(s) 2.1.3 Bernegger / RT (Section 2g) Note: JPA will own newly acquired real property and infrastructure, except for track and equipment shared with RT. Ownership of existing assets will depend on where infrastructure is located, except for track and equipment shared with RT. *Very broad category. Specifics and types of contracts may change responsibilities. Rev 4 May 2018 2-11 2.1.7 Dispute Resolution In the event of any dispute, controversy, claim, or disagreement between RT and the JPA, language has been included in the Operations and Maintenance Agreement, Subrecipient Agreement and the Design, Procurement and Construction Agreement to ensure there are clear steps identified to ensure a resolution. As stated earlier, RT has the final say on all issues related to compliance. For all three agreements, the first step is to meet and confer. As soon as reasonably practicable after the JPA or RT gives written notice of a dispute to the other Party, the parties will meet and confer in good faith regarding the dispute. If any Dispute is not resolved to the mutual satisfaction of both RT and the JPA within 30 days after delivery of the written notice, the Parties may choose any other available legal means to settle the Dispute. Each Party agrees that a violation or threatened violation of this Agreement may cause irreparable injury to the other Party, entitling the other Party to seek injunctive relief in addition to all legal remedies. Any legal action that is initiated to enforce any provision of this Agreement or arising out of or related to this Agreement must be brought or filed in either the state or federal court in Sacramento County. 2.2 Oversight/Management RT will develop strategic design and construction teams to ensure the success of the Project. However, the day-to-day management of the Project will consist of the same team for all phases. This team, as well as the overall management reporting structure, is shown on Figure 2.0, next page. This Figure shows the unique relationship between RT, the cities and the JPA, and how all parties expect to successfully deliver the Project. It is expected that the day to day management will be led by the RT Project Manager, working closely with the JPA Owner's Representative (OR), and with oversight and assistance as needed from the JPA Executive and RT Project Executive. The JPA Executive Kirk Trost and Owner's Representative John Valsecchi were established at the November 2017 JPA Board meeting. The JPA Board provides policy direction to the JPA Executive and OR. Details on job descriptions and responsibilities are as follows. o Joint Powers Authority (JPA): The role of the JPA is to approve goals, objectives, scope of work, milestones and a Project schedule. The JPA will provide policy direction regarding planning work, environmental analysis, financial analysis, procurement strategies and the governing structure of the Project. The JPA will also participate and assist in communicating the goals and objectives of the Project and in gaining support among interest groups and the public. The JPA Board meets monthly. The City of Sacramento and City of West Sacramento will each appoint two representatives and alternatives. Sacramento Rev 4 May 2018 2-12 shall ensure that at least one of its appointed directors also serves at the same time as a member of the RT Board of Directors. The fifth director shall be appointed by the four city representatives. o Project Management Team (PMT): the PMT has existed through an 2012 Project MOU. With the creation of the JPA, no official role of the PMT has been identified in the governance documents. However, the JPA Executive intends to retain the PMT to continue to meet with the PMT in a broad advisory capacity to collaborate on the Project, obtain input on all aspects of the Project, ensure that the Project reflects the communities' needs, obtain input on all issues decided by the JPA Board, continue to identify issues and/or challenges on the Project and find solutions thereto, etc . This support committee will assist RT and other Project members in identifying issues and/or challenges and finding ways to solve each problem. Each participating agency will identify staff members to meet every other week to assist the JPA, JPA Executive, OR, RT Project Executive and RT Project Manager in the successful advancement of the Project. Members of the PMT can change as the Project progresses into different phases of the Project. Rev 4 May 2018 2-13 FIGURE2.0 fuhibil2 UOAL Tim Spangler CM\JSYITElltlSTATIONS/DESfON MNWIER EliGINEEA; OF RE.CORD 0.rry!Abans'!'fo,P.E. RIIK MANAGEIIENT QA/QC AlaoBeltramo Ertc()part«> IT MAHAGEMENT SECURITY Roger Thoen LlsaHm [ SAFETY PROJECT COHTROU MANAGER Rob- CONSULTANT DBE/ PROCUREIIEHT CONTltAcT OIM!rallona•nd CHANGE MANAGEMENT Maintenance CONTROL80ARD Femandollan:Ma CommlttH Rev 4 May 2018 2-14 o JPA Executive: The JPA Executive has been appointed by the JPA Board and is tasked with ensuring the Project goals and objectives match those defined by the JPA and cities. The JPA Executive solicits the input and participation of other Participating Agencies to achieve consensus on the Project Work. The JPA Executive works closely with the RT Project Executive to assist in balancing the Project needs with other RT projects. The JPA Executive staffs the JPA Board meetings and will work closely with the OR and RT Project Manager throughout the Project to ensure their ability to successfully deliver the Streetcar Project. o RT Project Executive: This position is responsible for design and construction of RT's capital improvement program, reports directly to RT's General Manager and oversees the RT Project Manager. The RT Project Executive provides regular updates to the RT Board and provides oversight to the RT Project Manager's activities to ensure that Project design and construction are coordinated and managed to meet established budgets, schedules, scopes and quality levels. The RT Project Executive will review staffing requirements on an ongoing basis and will be responsible for balancing the Streetcar Project staffing needs with RT's other staffing needs. It is the RT Project Executive's responsibility to assure that the Project remains effectively and adequately staffed. o RT Project Manager: The RT Project Manager has responsibility for management of all activities needed for successful completion of the Streetcar Project including civil, track and structures, systems and station engineering, program control, construction management, property acquisition, and other· Project support activities. The RT Project Manager will work closely with the OR to oversee the day to day management of the Project. The RT Project Manager operates as FTA's main point of contact for all Project-related issues. The RT Project Manager also coordinates other Project support activities with other RT department heads. Additional responsibilities include maintenance of the Project's PMP, management of Project Controls activities, document controls, budget oversight and management, maintenance of the Project management documents, as well as oversight of cost and schedule control. o JPA Owner's Representative (OR): Hired by SACOG and reporting directly to the JPA Executive, the OR provides input utilizing an extensive background in successfully managing rail projects from conception, planning, development, design, construction and startup. The OR will work closely with the RT Project Manager to assist in the technical aspects of the day to day management of the Project and will be part of the Design and Construction Management Team. This position will assist the RT Project Manager in the management of all activities needed for successful completion of the Streetcar Project including civil, track and structures, systems and station engineering, program control, construction management, property acquisition, and other Project support activities. The OR Rev 4 May 2018 2-15 will be the technical lead for items such as utilities, encroachment permits and systems development. Because this position is technical in nature, the OR will be expected to provide technical advice to the JPA Board as needed, and will provide oversight to RT's efforts on behalf of the JPA and the cities of Sacramento and West Sacramento. The individual will provide comprehensive input on the management, design, and construction of the Project's track work and systems design. This individual will act as a resource on key technical meetings and committees, and will incorporate wide-ranging experience in managing and implementing passenger transportation projects from program management, conception, planning, development, preliminary and final engineering design, construction and start-up for systems, track work and civil work. 2.3 Streetcar Project Management With oversight from the JPA detailed in Section 2.2., RT is expected to do the actual planning, design and construction of the Streetcar Project. RT will be responsible for ensuring that Project Development, construction, testing, startup and operations phases of the Streetcar Project are executed in accordance with established schedules, budgets, and conforms with design criteria and other provisions of a Small Starts Grant Agreement with the FTA. The following is an overview of RT. 2.3.1 Sacramento Regional Transit District Sacramento Regional Transit District serves a metropolitan area within Sacramento County encompassing 418 square miles and 1.4 million people. RT operates 69 bus routes and 43 miles of light rail service. FY16 Annual ridership was approximately 25.5 million. The transit system includes 53 light rail stations, 32 bus and light rail transfer centers, 23 park-and-ride lots and 2,765 bus stops throughout Sacramento County. RT Board of Directors The Sacramento Regional Transit District (RT) is governed by an 11-member appointed Board of Directors. Members serve staggered four-year terms. Three are appointed by the Sacramento County Board of Supervisors, four by the Sacramento City Council, and one each from the cities of Rancho Cordova, Citrus Heights, Elk Grove and Folsom. RT's Board of Directors has the responsibility for establishing policy, setting goals and objectives, approving budgets, and providing direction to management and staff with respect to the overall operation of RT. The RT Board will oversee the implementation of the Streetcar Project to completion. The Board would typically certify the environmental document, adopt all findings, approve the Project, and direct the filing of the Notice of Determination for the Project. However, for the Downtown Riverfront Streetcar Project, SACOG assumed the role of Rev 4 May 2018 2-16 adopting the Streetcar Mitigated Negative Declaration. The RT Board will work closely with the JPA Board to ensure contracts, change orders and other Project-related items are handled in an efficient manner. 2.3.2 RT Staffing Plan RT will be the SSGA grantee. The JPA contracts with RT for design, construction, procurement, operating and maintenance services. RT is responsible for FTA compliance. As part of this effort, RT provides staff that is part of the management and support necessary to design, construct and operate the Project. RT staff and the OR will manage various aspects of the Project on a daily basis. As the Project moves forward, more RT staff support is anticipated for the duration of design and construction. RT's Division of Engineering and Facilities may be required to augment staff over the length of the Project. In an effort to determine the level of RT staffing necessary to successfully deliver the Project, staff is in the process of finalizing a Project Staffing Plan. This plan provides a list of RT staff needed to support the Project and percentages of their time needed. Although not final, the staffing plan indicates the necessary RT support equates to approximately 46 Full-Time Equivalents (FTEs). The estimated reimbursement to RT for all RT support equates to approximately $1 OM in staffing costs. The Project also contains approximately 5% contingency on staffing costs within the estimate $1 OM. Key RT Staff for Support Within RT, the Division of Engineering and Facilities contain the majority of the staff required to support the Project: Those staff are required to provide; • Management of the Project • Management of the consultants for design, construction management, and other services • Management of construction • Oversight of procurements • Project controls and financial services • Quality support • Inspection services A summary of the Project staffing needs are listed below. This chart includes estimates of the staffing needs for other agencies, as well as RT staff. Rev 4 May 2018 2-17 - ' Utilization I ------_ FTE _ 75 l!l_o_nJ_h~ __p~p~rtment_l_N_alJle ______Jitle RTEngineerjng 0.3 15% Neil Nance Project Executive 0.9 25% Eric Oparko Clu~i!yAssuran_c:<3 _1\/lfl_nager 4.4 71% Edward Scofield ----- . -- --- _project Mam~ger 0.2 3% Camille Tyler Executive Assistant 4.3 68% Q9rry!fban~a_g_Q Qi!ector 9f Q<3_~ign 1.2 19% Desi b()pe2: CADD 4.4 70% Jenny Niello Desigr, QC>11tract [\Ac311i:iger 1.1 18% David Solomon ------Dl:!~gn Contr13c:t_l\A13nager 5.2 83% Craig Norman Design G()ntract Manager 1.5 24% ------_ ,Sangita Arya __ Systems Engineer 1.7 27% ' Anastasio Osmando ------lnspectQr 1.5 24% ----- Shawnfl_ 13j~hop Projec! Qontrols §LJPpo.rt 4.7 75% Gre Gamble Director, Construction ' RT Finance 0.1 2% Financial Staff _}\clelman, Jamie ------0.1 2% 'l_oJk, 1..,ynd_a Financial Staff 0.8 13% Paglier9ni, Joe Financial Staff 0.6 10% ; .R_lng, MaLJree_n Financial Staff ------0.6 10% Won , Jud Financial Staff .RT L~gal -- 0.4 I 7% Tlr11 §pangl<3_r _, Chief Legal Counsel 0.6 I 10% Melissa Noble Le al Counsel ___ JU Procurement 0.2 4% Fernando Barcena Manager of Contracts 0.4 6% Susan Glass Procurement Staff _RT Safety I 2.0 ! 32% Robert Haslett Chief of Env. Health & Safety 2.0 32% Alan Beltramo Sr. Risk Anal st RT; Operatio11s 0.4 6% - Police Services Lt. 0.2 3% Senior Officers TBD 1.5 24% TBD - ---- . -- . -- 0.5 7% _____ I::l_i_rec:tor, bifJ_h_tB_~I 0.5 7% VP Transit Services / CEO 0.8 13% TBD 1.5 24% Supervisors TBD 1.5 24% Operators TBD Rev 4 May 2018 2-18 JPAStaff 1.3 21% Kirk Trost JPA Executive 5.2 I 83% John Valsecchi . City of Sacramento·Staff 0.8 13% Planner 1.5 24% . EnginEH3r 0.8 13% Ec::onomic DevEilopl'llent 1.5 24% . Misc · City of West Sacramento Staff Denix Anbiah Public Works 0.8 13% ------1.5 24% ~~~o.n M_cC()y. Public Works 0.8 13% ...... Katy Jacobson Community Investment···~ 1.5 24% : Other Cit Staff Misc To better determine the availability of RT's of Engineering and Facilities staff, a survey of the key staff members within the department was developed. The survey asked staff to list projects (current and projected) availability. The surveys also allowed for an assessment of the current staff and proposed actions necessary to support the Project. Staff will continue to refine the estimates prior to receiving a SSGA. 2:3.3 Participating Federal, State and Local Agencies RT will interface with all local agencies such as the City of Sacramento, County of Sacramento, City of West Sacramento, utility companies and all other affected agencies and jurisdictions to address various Project issues, seek consensus on all Project activities/schedules, and obtain necessary permits and agreements. As the Streetcar Project owners, the cities of Sacramento and West Sacramento will be consulted more frequently for this Project than in past light rail projects. The following is a list of participating agencies. Federal Transit Administration (FTA). The FTA is an agency of the United States Department of Transportation. The FTA provides financial and technical assistance to support urban areas in planning, developing, and improving comprehensive 'mass transportation systems. The FT A administers the allocation and use of federal funds for mass transit projects and assigns a Project Management Oversight Consultant (PMOC) to monitor the Project as an extension of FTA staff. RT will be applying for a grant with the FTA for federal assistance to fund the final design and construction of the Project. The FTA will evaluate the Project for continued eligibility at several milestones. City of Sacramento. Founded in 1849, the City of Sacramento is the oldest incorporated city in California. The City Council consists of a Mayor, elected by all City voters, and eight Council members, elected to represent separate districts in the City. Each Council member is required to live in the district they represent. The Mayor and Rev 4 May 2018 2-19 Council members serve fc;,ur-year terms. The City of Sacramento, along with the City of West Sacramento, will be the ultimate owners of the Downtown Riverfront Streetcar Project. City of West Sacramento. West Sacramento has a Council/Manager form of government. Citizens elect four City Council Members at large who serve four-year terms and directly elect the mayor who serves a 2-year term. The City currently holds elections on the first Tuesday of November in even numbered years. West Sacramento, along with the City of Sacramento, will be the ultimate owners of the Downtown Riverfront Streetcar Project, through the JPA. California Transportation Commission (CTC). The CTC is responsible for the programming and allocating of funds for the construction of highway, passenger rail and transit improvements throughout California. In October 1997, the Governor signed Senate Bill 45 (SB 45, Kopp) to reform the state programming process. Under SB 45 the regional transportation planning agencies are responsible for programming projects in their areas of jurisdiction. Once the program of expenditure is developed, the CTC will review and either accept or reject the entire regional program. RT works closely with the CTC to access TIRCP and Proposition 1A funds, which will be used on this Project. California Department of Transportation (Caltrans). Caltrans is responsible for the operation, maintenance, and rehabilitation of the state transportation system. Caltrans will be responsible for programming improvement projects funded through the Interregional Transportation Improvement Program (ITIP) via State Transportation Improvement Program (STIP). For projects funded with Regional Improvement Program (RIP) funds, Caltrans can only promote and recommend improvement projects to SACOG for inclusion in the Regional Transportation Improvement Program (RTIP). The Streetcar Project has worked closely with Caltrans to secure the necessary encroachment permits. Also, Caltrans is a member of the Streetcar PMT. Sacramento Area Council of Governments (SACOG). SACOG is a joint-powers agency composed of 28 local governments. SACOG is the state-designated regional transportation planning agency for Sacramento, Sutter, Yolo, Yuba, Eldorado and Placer counties and is responsible for the preparation and adoption of the RTIP. The 1997 STIP Reform Act (SB 45) granted SACOG greater responsibilities in STIP project selection, and included in these responsibilities are the planning, programming and monitoring of all state-funded transportation projects (for example, the RIP funds). For the Downtown Riverfront Streetcar Project, SACOG was appointed by the PSC through a Memorandum of Understanding between all Project partners to act as the Project manager through the environmental phase and beyond that until the committee officially makes a change in management responsibilities. The JPA Executive and JPA Owner's Representative are SACOG employees on loan to the JPA for this Project. Rev 4 May 2018 2-20 Joint Powers Authority The JPA was created by the cities to own and operate the Project on behalf of the two cities. The JPA structure allows for the greater efficiency in design, construction, operation and management of the Project based on the authority of a single governing body versus two independent jurisdictions. Currently, Sacramento and West Sacramento are the sole members of the JPA. The Board of Directors for the JPA will consist of five members. Each city has appointed two members from their respective City Councils and two alternates also from their respective City Councils. The four city appointed directors will appoint a fifth director. Sacramento shall ensure that at least one of its appointed directors also serves at the same time as a member of the RT Board of Directors. Streetcar Advisory Body A component of the governance of the Project will be the formation of the Streetcar Advisory Body. See section 2.1.2 for more details on committee responsibilities. The purpose of the Advisory Body is to serve in an advisory capacity for the Streetcar operations and maintenance. This Committee will be formed to ensure that those whose investments fund the Project, such as the Sacramento business owners, will then have a say in the operations and maintenance of the Project. The Advisory Body's advice shall not impair RT's rights and obligations to ensure that the Project meets all requirements of the federal grant agreement for the Project as set forth in the Subrecipient and lnteragency Agreement for Streetcar Funding to be executed by the Cities and RT. 2.3.4 Regional Transit Project Development and Construction To successfully manage the planning, design and construction of the Streetcar Project, an integrated team of RT professionals and consultant staff have been established. The Streetcar management team works directly with the RT's Project Manager and JPA OR in managing and providing day-to-day functional support throughout the Project's implementation phases from inception to revenue operations and closeout. This section provides an overview of RT's organization, as well as the Project team during Project Development and Construction Phases. The following organization charts are provided for reference: • Figure 2.1 shows the RT Organization chart highlighting the relationships between the Executive Management Team and the Engineering and Facilities Division where the Streetcar Project is directly managed. This shows the RT Project Team's relationships between the various functional units, teams and consultants assigned to the Project, from the Board of Directors level to the Project team level. Rev 4 May 2018 2-21 Figure 2.1 shows RT's functional organization relationships from the Board of Directors level to the manager and/or functional administrator levels. RT will be exercising a high level of cooperation between the Operations, Engineering and Facilities, Administration, Financial, Marketing and Communication, Facilities, and Planning and Transit System Development divisions to ensure successful completion and operation of this Project. Figure 2.1 shows that the General Manager/CEO is responsible for the successful implementation of RT's policy goals and directives. RT's Project Executive and the RT Project Manager work through the GM/CEO for consistency with RT's Board of Directors' overall Project policy goals and directives. Under the RT General Manager/CEO, the VP, Engineering and Facilities and the RT Project Manager have responsibilities that cover procurement-related activities, all interagency agreements, and any contract relating to de~ign consultants, procurements, equipment, services, and construction. • Figure 2.2 shows the RT Project Team as planned for Project Development. • Figure 2.3 shows the RT Project Team as planned for the Construction Phase. For all stages of the Project from Design to Startup and testing, the RT Project Manager will direct teams of both internal and external staff for the Project. The RT Project Manager reports to the VP, Engineering and Facilities, who in turn, reports to the Deputy General Manager. The Deputy General Manager reports to the General Manager/CEO, who reports to the RT Board of Directors. The RT Project Manager and VP, Engineering and Facilities will receive regular input and direction from the JPA Executive and OR via the reporting formats shown below. Rev 4 May 2018 2-22 Speaal ...... OfficecftheGel"IOf'alCh!s- -/CEO KimHolmon, Admini&trator EEO" Sacramento Regional Transit District 1/112018 • Direct Access lo !he General Manager/CEO FIGURE 2.1 - RT Organizational Structure Rev 4 May 2018 2-23 Figure 2.2 RT Streetcar Project Management Team (FTA Project Development) ""Time on Project for RT Employees In (parenlhesls) l=,=,==,=(JPA)=====l1 RT Project ExecuUve (20%) RT (RT VP, Engineering & Faclli!es) Quality Assurance Manager Chief of Environmental Neil Nance, P.E. (RT QA Administrator to HeallhandSafety L-----~_jL~_~:___~'~;i====';=!!+------i Asset Management and Quality Assurance) Consultant Rob Haslett (25%) Services Eric Oparko (35%) Rear Estala Project Manager Project Controls entices Consultano------,1(RTDrec~/=:;a9erneiitJt------j Manager (100%) (Consultant) Director of Design Director or ConstrucUon (RT Director, CMI and Management (70%) Track Design) (70%) (RTD.reetor, CooslnJCtlon Darryl Abansado, P.E. 1Janagemen1) Greg Gamble Design Contract Destgn Contract Mgr. (70%) It--~------Mgr. (75%) Systems Design Civil/Track Design Assistant Resident Construction Inspectors Engineers Manager (12.5%) (25%) RT Engineering Engineering Slaff Consullant (30%) (FD PHASE) Consultant Design Engineering Manager Consultant Engineering FD PHASE Consultant RT Engineering Consullanl Design Staff Manager (65%) Rev 4 May 2018 2-24 2.3.5 Project Management Organization - Project Development Phase The Project organization for FTA's Project Development Phase, as shown in Figure 2.2, is under the functional direction of the VP of Engineering and Facilities. The VP, Engineering and Facilities is responsible for ensuring the necessary staff is assigned to the Streetcar Project, while continuing to balance RT's overall needs. Design and construction of the Project will necessitate the establishment of a Project level organization within RT. Although the organization depicted in Figure 2 .2 shows the organizational Project structure and relationships, the timeframe to implement each relational component will vary as the Project evolves through its life cycle phases. As the Project Development phase advances, RT will enlist the support of additional Systems Design Engineering Consultants to augment the Design Contract Manager, Systems Design. During Project Development, the RT Project Manager will manage advance procurements, if any, that are necessary to keep the Project on schedule. In some cases, the Project Manager will utilize FT A pre-award authority to purchase long lead items, such as special trackwork. Only items determined by RT and the PMT to be critical to advance the schedule and FTA pre-award authority will be considered for advance procurement. 2.3.6 Project Management Organization - Construction Phase The Construction Management Team consists of RT staff, a professional construction management services consultant, and contractors. Figure 2.3 shows the construction phase relationship between the construction management team an9 the JPA(where used in this document "Construction Management Team" refers to the broad group of individuals involved in construction management, while "CM Team" refers more narrowly to the CM Consultant team). Specific duties include: conducting routine field reviews of construction work to ensure conformance to specifications and contract compliance; reviewing construction change order requests with contractors; inspecting construction work to verify that procedures and materials-comply with plans and specifications; monitoring contractor construction schedules for reasonableness and GOmpatibility with contract requirements; auditing contractor performance to ensure all technical obligations are satisfied and that all corrections are completed in a timely manner; and preparing status reports. Throughout Project Development and leading up to the award of all construction contracts, the Construction Management Team will conduct design and constructability reviews, construction schedule reviews, review of special provisions to contract documents, and participate in internal value engineering decisions. Rev 4 May 2018 2-25 Figure 2.3 RT Streetcar Project Management Team (FTA Construction Phase) -*Timo on Project for RT Employees In (parenthesis}- RT Consullant Services Rob Hoslelt (25%) Real Estate ervices Consultan Director of Design Director or Construction (RT Director, Civil and Track (RT DQctor, Conslruction Design) J.lanag,emenl) Darryl Abansado, P.E. (90%) Greg Gamble (90%) Assistant Resident Ouallty Assurance Inspectors Engineers Officer (90%) Construction (75%) Safety Officer Manager Conslruction Office Engineers Resident Engineer lnspeclors Structures Resident Engineer Resident Engineer ivil/Track/Systems Stalions Rev 4 May 2018 2-26 2.4 Project Teams To successfully manage the planning, design, and construction of the Streetcar Project, an integrated team of RT and consultant staff will be established. This section describes the organization and its structure. It provides a description of the functions, major responsibilities, and qualifications of the staff and managers involved. Brief job descriptions for key RT personnel on the Project are presented below. The following system of organization was initiated in the Project planning and development phase and will continue through construction, testing and startup of the Project. Note that Project titles are provided with RT administrative titles in parenthesis. 2.4.1 RT Project Team To successfully manage the day-to-day planning, design and construction of the Streetcar Project, an integrated team of three RT has been established. The RT Project Team works directly with both the JPA Executive and OR in managing and providing day-to-day functional support throughout the Project's implementation phases from inception to revenue operations and closeout. The following positions are identified with administrative titles in parenthesis: o RT Project Manager: As discussed in Section 2.2, the RT Project Manager has responsibility for management of all activities needed for successful completion of the Streetcar Project including civil, track and structures, systems and station engineering, program control, construction management, property acquisition, and other Project support activities. The RT Project Manager will work closely with the OR to oversee the day to day management of the Project. The RT Project Manager operates as FTA's main point of contact for all streetcar related issues. The RT Project Manager also coordinates other Project support activities with other RT department heads. Additional responsibilities include maintenance of the Project's PMP, management of Project Controls activities, document controls, budget oversight and management, maintenance of the Project management documents, as well as oversight of cost and schedule control. o Director, Design (Director, Civil and Track Design): The Director of Design coordinates with the RT Project Manager and is responsible for the interface with public agencies, utility companies and consultants on matters such as civil, facilities and track design, structure design, traffic signals and utilities through all design phases. The Director, Design is also the Engineer of Record for this Project. For additional responsibilities, see section 2.4.3. Rev 4 May 2018 2-27 o Construction Manager (Director, Construction Management): The Director, Construction Manager coordinates with the RT Project Manager and provides independent oversight and monitoring of the Construction Management Services team. The RT Director, Construction Management is the focal point for all on-site construction activities. For additional responsibilities, see section 2.5.1. o Operations and Maintenance Committee: The O&M Committee will be made up of the Streetcar Project Management Team, and RT Operations, Design and Construction staff. The O&M Committee coordinates with the Change Control Board and is used when potential scope changes impact O&M. Any changes to O&M will require a thorough safety, QA and design review. Additionally, all changes will be evaluated against RT's existing Light Rail Design criteria, as well as the Streetcar design criteria (once developed). This Committee will meet as needed, but will be expected to meet monthly during construction of the Project. o Change Control Board: The CCB will be responsible for ensuring that any changes to the original design are necessary and meet all necessary safety, QA and operating requirements. It will be RT's responsibility, as the technical lead, to make sure no changes are made that negatively impact the Project. The CCB will lead all related contract change order discussions. See Section 3.5.4 for more details on this committee. 2.4.2 Design Management Team The Streetcar design phase will be undertaken with multidisciplinary teams and provide designs that meet the Project objectives and the various targets of quality, cost, and time. Design management and planning is accomplished through the Project management control elements as described herein. This section is organized as follows: • Design Organization and Supervision • Design Requirements • Design Reviews • Requirements for lnteragency Agreements, Approvals, Permits • Change Control and Configuration Control • Plan for Investigation and Testing RT staff and design consultants provide professional and technical engineering services, including the preparation of plans, specifications, and capital cost estimates to be used for construction of facilities and systems for the Project. The Project Design Team is headed by RT's Director, Civil and Track Design and is referred to herein as the Director of Design. All design activities are performed under the direct supervision of the Director of Design, who, for purposes of the Streetcar Project, reports to the RT Project Manager. Rev 4 May 2018 2-28 2.4.3 Director of Design The Director of Design is the Engineer of Record for the overall Project. The Civil and Track Design Team and the Systems Design Team are headed by the Director of Design, and are assisted by the Engineering and Facilities Division, the Operations Division, other internal stakeholders, and selected design consultants. The Civil and Track Design Team oversees the preliminary engineering and final design of civil, track and structures; stations; surveying, mapping, potholing; ROW engineering; utilities, permits, agreements; and artwork coordination. The Systems Design Team oversees the preliminary and final design of railroad signaling, traffic signaling, traction power substations, overhead contact systems, fare vending machines, station and system-wide communications, fiber optics cable, Streetcar/light rail control center equipment and other system functions. With the close assistance of the managers and staff of these departments, the Director of Design performs the following general roles: o Technical oversight of the consultant-designed Project systems and facilities elements. o Technical oversight of all in-house designed elements. o Review of systems and facilities design with respect to constructability, maintenance, safety and operations. o Technical management of the utilities relocation and coordination program. o Internal and External coordination of issues, design review comments, and design requirements. o Development and enforcement of design criteria and standard details. o Review of all design products. o Participation in design focus groups, held jointly with the various design consultants and subconsultants, to resolve technical issues, systems integration conflicts that arise from the ongoing design coordination meetings. o Monitoring of the individual design consultants performance relative to design development milestones established based on the requirements of the Master Project Schedule. o Management of the individual design consultant's contract cost relative to estimated and budgeted cost for the respective scope of services. 2.4.4 Design Contract Managers Design Contract Managers are RT disciplinary managers assigned as technical leads in the areas of Civil, Track, Structures, Systems and Passenger Stations. These individuals hold highly-experienced engineering positions with RT. They oversee lower level RT engineering staff and external consulting staff to complete the design requirements for the Project in their respective specialized discipline area. Rev 4 May 2018 2-29 2.4.5 Quality Assurance Manager The Project Quality Assurance Manager reports directly to the VP, Engineering and Facilities. The QA Manager is charged with the authority and responsibility to administer the QA/QC Plan and perform proactive QA activities as deemed necessary. The QA Manager will perform oversight, implement, and initiate resolution activities within the Quality Elements of the Project. The QA Manager is delegated the authority and organizational freedom to provide oversight and support to Engineering and Construction Division activities and independently identify, evaluate, and observe remediation of quality problems. The QA Manager will initiate and independently issue NCRs and review Corrective Actions, when appropriate to resolve and/or prevent the reoccurrence of nonconforming conditions. A Project related QNQC plan has been developed that covers both design and construction requirements. The QA Manager will recommend or provide solutions to Engineering and Project Management to minimize nonconformance and ensure that corrective and preventative actions are effective. Throughout the Quality process, the QA Manager responsibilities focus on Project QA/QC management as follows: Administering and coordinating implementation of the overall QA/QC program and to recommend and implement policy and procedural improvements o Developing the Project QA/QC Plan o Provide QA/QC oversight to engineering activities for compliance to approved design criteria and standards o Defining and interpreting all QA/QC standards of performance and providing the final authority on approval of QA/QC requirements o Providing QA/QC specifications for all RFPs and consultant, procurement, and construction contracts o Providing continuous improvement activities o Providing guidance and assistance in implementation of quality requirements to QA/QC and line personnel o Making sure that those responsible for ensuring quality report one level higher than the activity with which they have oversight responsibility o Providing assessments on implementation of the QA/QC program, and informing senior management of its adequacy and effectiveness o Assisting the Engineers, Director, ,Project Management, Construction Management, QC managers, and inspection/test personnel in determining Project deficiencies and preparing the non-conformance reports and corrective action plans o Serving as the focal point of communications regarding Project quality, and participating in quality related policy decisions o Chair and oversee RT's configuration management program o Managing QC inspection and testing activities Rev 4 May 2018 2-30 2.4.6 Consultant Design Manager (HDR, Inc.) HOR, Inc. has been hired under a separate professional services contract and is monitored and managed by the RT Design Contract Manager for each discipline. Each of the design teams shares joint responsibilities for the overall integration of their respective designs with each other as well as with Streetcar and existing light rail system. Each design consultant has a Design Quality Control Plan that addresses design control procedures per the Project QA/QC Plan. Design consultants perform engineering services to provide preliminary and final design of the following: Civil, Track, Systems and Stations. The major components of the design for the Project with corresponding lead design consultants are: o Civil, Track, and ,structures Design The Civil, Track, and Structures Design consultant is responsible for civil, track, and structures design including right of way engineering, earthwork, trackwork, roadways, utility relocation, drainage, pedestrian bridges, retaining walls, and foundations. o Systems Design The Systems Design subconsultant is responsible for providing preliminary engineering and final design services for Systems include traction power/overhead contact system, railroad signaling, street traffic signaling and railroad pre-emption, stray curre_nts and corrosion control, passenger information systems (which may include visual, real time, message signs and audio broadcasts along with security cameras), communications engineering (which may include fiber optic cable design and placement strategies), data transmission engineering and SCADA (supervisory control and data acquisition), line and radio communications equipment, and fare vending machines with SMART card technology. o Passenger Stations Design The Streetcar Passenger Station Design subconsultant is responsible for providing Project Development design services, which entails all required aspects of architecture, landscaping, lighting and engineering - civil, structural, electrical, and mechanical - associated with the station sites. This effort may also include input on utility relocation or considerations to avoid relocation. A separate design contract has been awarded and is in progress with Stantec Architecture, Inc. for the Streetcar Vehicle Maintenance and Service Facility (VMSF). 2.5 Construction Management Team Led by the Director, Construction Management, the construction management team includes the following leads who work directly with the RT Project Manager in managing and providing day-to-day functional support throughout the Project's implementation phases from inception to revenue operations. Rev 4 May 2018 2-31 2.5.1 Director, Construction Management. For the Streetcar Project, the Director, , Construction Management reports directly to the RT Project Manager, and provides independent oversight and monitoring of the Construction Management Services consultant team. The Director, , Construction Management is the focal point for all on-site construction activities and relies upon the support of other teams (i.e., Civil and Track Design Team, System Design Team, CM Team, Project Controls Team, Quality Assurance Team and the Project Support Team) for the delivery of the Project. Additional Project responsibilities of RT's Director, Construction Management are: • Administration and management of CM consultant contract • Review and monitor CM Consultant's Weekly Status Report • Review, monitor and assure required coordination between CM Consultant and RT Project support groups. • Review and monitor implementation and utilization of Project Document Control System • Review and verification of applications and certificates for payment • Review and monitor Contract Change Order procedure, approvals and processing • Review and monitor Contract Claims and Claims Issues • Review and verify Contract Close-out and Final Acceptance 2.5.2 Quality Assurance Manager The Quality Assurance Manager promotes the development of quality management systems consistent with contemporary FTA practices to affect successful implementation; ensures that RT is in compliance with the FTA QA/QC guidelines; develops QA/QC policies, procedures, processes, specifications, practices and guidelines; conducts audits, performs oversight, reviews and monitors procedures and processes, checks RT staff, consultants and contractors for compliance. 2.5.3 Construction Management (CM) Team - PGH Wong RT has contracted with PGH Wong to provide construction management services on a Work Order basis. PGH Wong has extensive experience in managing large scale construction projects. As the CM for this Project, PGH Wong provides RT with the following staff: • Construction Manager • Project Controls Manager for Construction • Safety Officer • Quality Assurance Officer I Support • Resident Engineers (RE) • Construction Inspectors • Office Engineers Rev 4 May 2018 2-32 These team members are responsible for managing the construction of Streetcar facilities, civil, track and structures work, systems, minor construction, and stations. The RE team consists of the RE, construction inspectors, office engineers, and other support staff as required, including material verification testing services. The Construction Manager is responsible for the coordination, administration, and supervision of the REs and inspectors, as well as the management oversight of all construction contractors. The CM Team's primary responsibility is to ensure all construction contractors comply with the plans and specifications of the contract and meet established standards of quality. Job responsibilities are listed below. However, it is possible that these duties could be handled by fewer individuals than what's listed below (i.e. the OE could do independent cost estimates and schedule reviews). o Construction Manager The Streetcar Construction Manager reports to RT's Director, Construction Management and is responsible for all efforts of the construction management consultant team. It is through this position that formal information transmits from the field to RT, and from RT to the Construction Management effort. Informal communications between various entities are anticipated for efficiency, i.e. between RT and the Resident Engineers. The Construction Manager will direct the CM Consultant resources towards critical issues of cost, schedule, and quality. The Construction Manager will assure that the CM Team is aligned with RT's goals and objectives for the Project. Specific duties of the Construction Manager include: 1. Cost Control. Monitor all Project costs and verify that cost control procedures are in-place and properly executed. 2. Schedule Control. Oversee the Master Project Schedule and work with the Resident Engineers to conform the various Contract Construction Schedules to the goals established in the Master Project Schedule. 3. Quality. Assure that the CM Team provides a high level of quality in the performance of Construction Management Services throughout the Project. 4. Project Reports and Updates. Assure Project updates and budgetary reports including the cost to complete contain relevant information for RT's use. 5. RT Objectives. Assure that RT's interests and goals are protected and enacted by the CM Team. 6. Agency Coordination. Work with the CM Team in the coordination with outside agencies including providing presentations and information. 7. Roles and Responsibilities. Monitor work provided by the CM staff and assure that roles and responsibilities are carried out in accordance with the Construction Procedures Manual. 8. Project Documentation. Assure that Project documentation procedures are in place and properly executed. Verify records kept by Construction Management staff for completeness and accuracy. o Safety Officer The Safety Officer is responsible for the review of the contractors' safety plans, monitoring contractor compliance with the Streetcar safety plan, and attending Rev 4 May 2018 2-33 contractor safety meetings. The Safety Officer will also maintain independent construction safety records and report on safety records and issues on a regular basis to both the Contractor and RT. The Safety Officer will also provide construction safety and railroad safety training to the staff including Resident Engineers, Assistant Resident Engineers, Office Engineers, and Inspectors. The Safety Officer will prepare monthly safety reports and Quarterly FTA safety progress update reports. In addition, the Safety Officer will oversee injury/accident investigations. A Safety and Security Management Plan (SSMP) has been developed for this Project that provides more details on safety requirements. o Quality Assurance Officer The Quality Assurance Officer reports directly to RT's Quality Assurance Administrator and will be independent from the Construction Manager. The Quality Assurance Officer will implement the CM Team Quality Assurance Program in accordance with the Project QA/QC Plan and the FTA-IT-90-5001-02.1 Quality Assurance and Quality Control Guidelines; establish and maintain the quality control procedures and instructions; and monitor and control quality control activities. The QA Officer will issue and track NCRs to the respective contractors. The QA Officer will assure that the CM document control procedures are established and maintained, and that daily and periodic inspection procedures and checklists are being followed. In addition, the Quality Assurance Officer will assist the QA Administrator and/or Project QA Manager in performing quality control observations, reviews a'nd audits of the contracts. A QA/QC plan has been develop for this Project that provides more details on the design and construction requirements. o Resident Engineers A qualified RE will be assigned to each construction contract. The RE will assume responsibility for administration of the contract from the Engineer of Record after the design process is complete. The RE is RT's primary field representative\. The RE receives all submittals, requests for information (RFI), field memos, and change order requests. The RE ensures that the work is constructed in accordance with the requirements of the drawings and specifications through inspection and testing. Work to be done under any contract will not be considered complete until it has passed final inspection by the RE .. The RE has the authority to direct that unacceptable work be removed at the contractor's expense. Approval by the RE signifies favorable opinion and qualified consent. It does not carry with it certification, assurance of completeness or quality, or accuracy concerning details, dimensions, or quantities. The RE's approval will not relieve the contractor from responsibilities for error, improper fabrication, and non-compliar:ice to a requirement, or for deficiencies within the contractor's control. Specific duties of the RE includes: • Contractual Documents Review. Review of contractual documents, including submittals, RFls, change orders and pay requests. • Coordination. Coordinate and meet with RT staff, designers and other entities. • Weekly Progress Meetings. Chair and facilitate weekly progress meetings. Rev 4 May 2018 2-34 • Construction Schedule. Review and monitor the construction schedule. • RE Weekly Report. Develop a RE Weekly Report and statement of working days. • QA/QC. Work closely with the QA Officer and RT QA Administrator and/or Project QA Manager in the administration of the QA/QC Program. • Contract Compliance. Guide the inspectors in the review of contract compliance; continually update the forecast cost at completion. • Reporting. Provide periodic and monthly reporting. o Construction Inspectors Inspectors are the designated field representatives of the RE for Quality Assurance. Field inspection personnel will monitor and review the quality and quantity of construction with the objective of protecting the interest of RT, Sacramento and West Sacramento. Inspection personnel will not issue direction to a construction contractor as to methods and means of construction. Inspection personnel will cooperate with construction contractors in every way consistent with RT's interests. They will provide inspections promptly when requested by the RE and QA Officer. The Inspectors' duties will include the following: • Field Inspection. Identify conditions, including materials and installation methods, which could potentially lead to unsatisfactory work. In cases where the unsatisfactory work has not been resolved, the Inspector will inform the RE and QA Officer, and then the QA Officer will issue an NCR to the Contractor. • Quality Assurance. The primary responsibility for quality control is placed on the contractor. Inspectors will monitor the contractor's conformance to the contractor's Quality Control requirements of the respective contract and report any discrepancies to the RE and QA Officer. • Inspector's Daily Reports. Prepare an Inspector's Daily Report (IDR) of construction completion each day and submit it to the RE. • Quantity Verification. Prepare Quantity Verification Report and submit it to the RE based on quantities installed in the field. • Contract Drawings. Perform inspections in compliance with the construction contract documents. Inspectors may not authorize deviations from the documents. • RFls and Submittals. Review field conditions as they relate to contractor RFls and the conformance of accepted contractor submittals. • Payment. Assist the RE and Office Engineer (OE) in verifying the percentage and progress of work complete related to Contractor payment. • Force Account Work. Monitor and document the force account work performed by the contractor on a daily basis. • Surveying. Monitor the contractor's surveying task. o Office Engineers The Office Engineer will assist the Resident Engineer in all administrative functions of the Project. Office Engineers also may serve as Assistant Resident Engineers based on their experience and ability to act in the capacity of Resident Engineer. The Office Rev 4 May 2018 2-35 Engineer performs duties at the RE's direction. These functions will be assigned by the Resident Engineer on a periodic and daily basis and include: • Maintenance of Contract Documents. Maintain an organized and updated set of the latest Contract Documents and Contract Drawings. • RFls and Submittals. Maintain and update the RFI and Submittal logs. Assist the RE in response and/or review of designer responses. • Material Sampling, Testing, and Documentation. Maintain records of materials testing and acceptance activities. • Construction Progress Meetings. Assist the RE in preparing for and documenting minutes for weekly meetings. • Payment. Lead in reviewing the monthly pay requests. Review quantities with the Inspectors. • Force Account Work. Follow-up with the Inspectors and the contractor to assure that daily force account sheets are submitted and filed the day following performance of work. • Change Notices/Change Orders. Assist the RE as necessary to develop field and administrative change notices and change orders. Process all change documents and facilitate the change process amongst all parties. • Correspondence. Assist the RE as necessary in reviewing incoming correspondence on a daily basis to assure that appropriate actions are taken. • Contract Filing System. Verify that documents are appropriately indexed and filed in accordance with the contract filing system. • Project Record Documents. Maintain the Project Record Documents. • Insurance. Maintain a log of the contractor's insurance certificates. • Surveying. Order independent survey checks as requested by the RE. Maintain a copy of surveyor's records and survey logs. o Scheduler The Scheduler will review the contractors' schedules including the preliminary 90-day, contract baseline, update schedules, recovery schedules, time impact evaluations, and schedule revisions. o Cost Estimator The Cost Estimator will perform independent cost estimating for potential change orders as necessary to support the RE. The Cost Estimator will also establish standards for all pricing and labor data used to develop construction estimates, which will provide input to price changes, claims, and value engineering analyses. o Dispute Resolution/Claims Avoidance Specialist The Claims Analyst provides claims analysis support for construction dispute and claims. The Claims Analyst will assist RT's Project Controls consultant when Rev 4 May 2018 2-36 performing reviews and analysis of contractor claims and provide recommendation for resolution of claims. o Environmental Monitor The Environmental Monitor, hired as part of the CM Team, will monitor the contractor's work to assure the compliance with environmental mitigation commitments and environmental permits such as discharge permits and erosion and sedimentation control requirements. Daily environmental monitoring and inspection will be provided at critical stages, and as required throughout the construction of the Project. The Environmental Monitor will coordinate with the contractor weekly and with resource agencies as needed. The work will include preparation and submittal of compliance reports to RT. The environmental monitor will meet with the CM Team and the contractors on a regular basis to discuss environmental compliance issues. o Integrated Testing and Startup Manager The Systems Integration Testing and Startup Manager will be responsible for the development, management, and implementation of the Integrated Testing and Startup Plan. The QA Officer and QA Manager will verify all testing. The Systems Integration Testing and Startup Manager will assist RT in performing, coordinating and administering rail system start-up and activation activities. A significant amount of coordination with RT operations and maintenance staff is required during the testing and startup phase. 2.5.4 Project Controls Manager The Project Controls Manager is a consultant hired by RT during Project Development. The Project Controls Manager reports directly to the RT Project Manager. The reporting structure for this position is identical to the process used on RT's recent New Starts Project. This individual works closely with the RT Project Team and RT's Senior Engineering Analyst on day-to-day issues. RT's Senior Engineering Analyst works part time on the Streetcar Project and provides support to the Project Controls Manager as needed. The Project Controls Manager has authority to report up to the JPA Executive and/or RT Project Executive in any instance when that individual deems it necessary to address any Project Controls-related issues. This process ensures transparency and provides this consultant the ability to elevate issues as necessary. The Project Controls Team provides the following functions: work breakdown structure and cost control administration, scheduling administration, final design phase estimating administration, progress, and status reporting, and clerical/document control personnel. Responsibilities of the Project Controls Team include the maintenance of the Project's PMP, coordination, update and maintenance of the Contract Implementation Plan, budgeting, cost and schedule control and document control. Rev 4 May 2018 2-37 Cost activities include the management of RT's Work Breakdown Structure (WBS). The WBS is a cost tracking mechanism implemented in accordance with generally accepted guidelines for projects of this magnitude and complexity. Costs are tracked against the Project's baseline budget and monitored throughout the design and construction phases. Upon completion of Project Development, the Project's cost estimates will be updated and refined. Due to further definition given to the Project during Project Development and resulting from actual versus estimated cost adjustments, allocation of costs within WBS line items is expected to change as the Project evolves. _ These changes will be made by adjustments within the Project's contingencies. The Project Controls Team is also responsible for reviewing all consultant and contractor budgets and for developing and maintaining a detailed cost reporting system that outlines the status of all professional service contracts, RT labor costs (including Project administration), construction contract costs, and other direct Project costs. Scheduling activities include the development, review, and updating of Project schedules. The Project Controls Team maintains ano updates the master Project schedule, incorporating activities necessary to achieve Project goals and their respective interrelationships and provide regular progress and status reports. Cost and schedule trends are also reported and monitored for action. Schedules submitted by contractors and consultants are reviewed. The Team also coordinates and/or develops separate detailed schedules as necessary. 2.5.5 Environmental Management Director, During Project Development, the RT Project Manager will ensure the Mitigation Monitoring Program, which is developed and/or amended with each environmental document, is incorporated into the appropriate plans. Once in construction, the Project Manager will be responsible for ensuring that the CM Team properly administers the environmental mitigation monitoring activities. 2.5.6 Real Estate Administration Team The Real Estate Administration Team is managed by the RT Project Manager. For the Streetcar Project, the real estate effort, which is expected to be minimal due to the- fact that the Streetcar will ·use city streets and sidewalks controlled by the cities of Sacramento and West Sacramento, will be handled either by RT staff or by a consultant that will report directly to the RT Project Manager. Although many of these activities are not expected to be needed for the Streetcar Project, the real estate consultant is responsible for appraisals, acquisitions, relocations, property management, and other real estate related activities, and serves as the focal point for all contracts regarding property acquisition and tenant relocation issues (if any), ensuring compliance with federal and state requirements. The consultant team will meet regularly with the Project Manager to provide progress reports. 2.6 Operations Management Team Streetcar services are proposed to operate in the same operating window as light rail (from about 5 am to about midnight on weekdays and weekends). The initial headway for the streetcars will be 15 minutes during peak service and 20 minutes during off-peak Rev 4 May 2018 2-38 periods. West Sacramento service will consist of 30-minute frequency due to the fact that every other train will travel down Riverfront Street instead of to City Hall. RT, working closely with JPA, will be responsible for the delivery of reliable, safe, and efficient streetcar service in Sacramento and West Sacramento. Streetcar operations will be closely coordinated with RT's existing light rail service. Similar to the existing light rail service, tail tracks will be used to store streetcars between peak running times when the operation goes from 15-minute service to 20-minute service in the evenings. This strategy is similar to RT's existing practice of switching between four and two car trains during off-peak service hours. Light rail train consists are changed on the Gold Line at Sunrise Station, Sacramento Valley Station and the 13th Street Station by adding or removing cars when the train stops. On the Blue Line, rail cars are added or subtracted at Watt/1-80, the Academy Way Maintenance Facility, the 13th Street Station and Cosumnes River College. Cosumnes River College is can also be used for overnight storage. Off-peak streetcar vehicles will be stored at the Streetcar vehicle maintenance facility located in West Sacramento. Management of streetcar operations will be led by the JPA, with input from the Streetcar Advisory Body. RT, under an executed Operations and Maintenance agreement with the JPA, is expected to manage the operations and maintenance. Transit Services / Chief Operating Officer Division RT's Deputy Chief Operating Officer Division includes Light Rail/Bus Transportation and Maintenance, Community Bus Services and Scheduling. o Deputy Chief Operating Officer. The Deputy Chief Operating Officer reports to the Deputy General Manager and oversees all aspects of bus and light rail operations, bus maintenance, and RT's Safety Department. The Deputy Chief Operating Officer coordinates with the RT Project Executive for all Project related activities related to this division. • Director, , Light Rail. The Director, Light Rail reports organizationally to the Deputy Chief Operating Officer and is responsible for operations and maintenance of the light rail system. For the Streetcar Project, RT's Director, Light Rail ensures a close interface between the Light Rail staff and Project staff. To ensure Streetcar compatibility and integration with the existing light rail system and also due to the K Street light rail relocation to H Street, an ongoing partnership between RT Operations and RT Engineering began early in Project Development and will continue through the completion of the Streetcar Project and light rail relocation. This partnership is essential with respect to rail operations and maintenance, transportation staffing, training, and systems testing and startup integration. • Light Rail Superintendents are assigned by the Director, Light Rail, as needed, to contribute their expertise. Since the Operations Division is expected to ultimately operate and maintain the Streetcar Project, its involvement is essential Rev 4 May 2018 2-39 during the all phases of design, construction, and startup/integration testing phases of the Project. • Director, Chief, Environmental Health and System Safety. This position has a day-to-day line of communication with the RT Project Manager for Project related issues. 2.7 Additional Support The following RT team members will provide additional design and/or construction streetcar expertise as needed. 2.7.1 Business Services/Chief Financial Officer Division o VP of Finance/Chief Financial Officer (CFO). This position reports directly to the General Manager/CEO and is responsible for all aspects of accounting, budgeting, business analysis and reporting, grants and revenue. This individual also oversees RT's Human Resources and real estate divisions. • Director, Office of Management & Budget. Reporting directly to the Chief Administrative Officer, this position is responsible for Grants, Budgeting, Business Analysis and Reporting, Revenue related support and Scheduling related support. The Director, 0MB also works closely with the Project Manager on the financial plan for the Project. • Director, Finance/Treasury. Reporting to the Chief Administrative Officer, the Director, Finance/Treasury manages RT's Finance Department. This department will work closely with Project Controls Team on all financial aspects of the Project, specifically related to processing of invoice payments. • Grants Manager. The Grants Manager is responsible for administering local, state and federal funding programs. Supporting the Project through the Director, Office of Management and Budget, the Grants Manager's responsibilities include: preparation and coordination of grant applications and amendments; and coordinating efforts to satisfy state and federal Project reporting requirements which include the preparation of the FTA quarterly reports. 2. 7 .2 Administration Department o Vice President of Administration. The VP of Administration provides executive direction and management over the areas of Information Technology, Labor Relations, and Procurement. This individual will work closely with the VP of Engineering and Facilities to provide the necessary staff support for the Project. • Director, Information Technology. The Director, Information Technology is also responsible for managing RT's computer network and providing/maintaining Rev 4 May 2018 2-40 standard office/workstation software. Interfaces related to passenger information signs and security camera infrastructure is typically provided for the Project by Information Technology staff. The Director, IT reports to the VP of Administration. • Manager, Contracts and DBE. Reporting to the Director, VP, Administration, the Manager, Contracts and DBE provides an independent function to oversee and administer public bidding activities, ensuring strict adherence to public contract code and federal third party contracting regulatory requirements. This position reports to the VP of Administration. • Director, Labor Relations. Reporting to the VP, Administration, the Director, Labor Relations is responsible for managing, administering, and negotiating employment agreements with various bargaining units, including IBEW, ATU and AEA. 2. 7 .3 Marketing and Communications Division o Vice President of Communications and Partnerships. The VP of Communications and Partnerships handles all media relations, and, with respect to providing Project support, has oversight responsibilities for the following functions: marketing, customer services, public information and community outreach. Coordination with Sacramento and West Sacramento will take place for key media and outreach events. Responsible positions for these functions are described below. • Director, Marketing. The Director, Marketing directs the activities of the Senior Community and Government Affairs Officer to ensure that all community relations activities are coordinated and managed to meet established goals, budgets, schedules, and quality levels. This individual also coordinate all RT media efforts. • Senior Community and Government Affairs Officer. The Senior Community and Government Affairs Officer works closely with both the Project Manager and JPA OR to administer a community relations and outreach program for the Project throughout the design and construction phases. This individual will serve as the day-to-day outreach contact for the Streetcar Project. 2.7.4 Legal Division o Chief Counsel. RT's Chief Counsel reports directly to RT's Board of Directors and advises the General Manager/CEO, RT Project Executive, and the RT Project Manager on all legal matters. 2.7.5 Safety and Security Division Rev 4 May 2018 2-41 o Lieutenant, Police Operations. RT's head of Police Operations reports directly to the General Manager/CEO and manages the operations of Police Services, Security Operations Center and contracted security services. This individual advises the General Manager/CEO, VP of Engineering and Facilities and RT Project Manager on all safety and security related issues. 2.8 Committees The Project receives support, approval and input from various RT advisory committees. The General Manager/CEO, RT Project Executive, and/or Project Manager will develop a process for selecting members for the various committees not already established. The committees identified include: o Capital Program Committee o Change Review Committee o Rail Activation Committee A summary description and organization of each committee are described below. 2.8.1 Capital Program Committee The Capital Program Committee (CPC) is responsible for developing RT's capital improvement program and for monitoring of its multiyear ongoing District wide capital program. A key objective of the CPC is to ensure RT's capital improvement program is managed in a responsible, consistent, and cost effective manner. Voting members include the Chief Financial Officer, who is the chairperson of the CPC; the VP of Engineering and Facilities, VP of Communications and Partnerships, VP of Accountability and Performance, and the Deputy General Manager. 2.8.2 Change Review Committee This Project committee is responsible for the control of Streetcar Project changes as they relate to RT's light rail system and its interface with streetcar. A process has been established that describes the method of requesting, evaluating, implementing and recording configuration changes to Streetcar Project and light rail relocation that may become evident and/or necessary during the design, construction, operations and maintenance of these projects. In some cases, the cities of Sacramento and West Sacramento, as the ultimate owners of the Streetcar Project, will be consulted on changes for input. The changes may include facilities, equipment, hardware, software and firmware. The intent of this procedure is to provide for a systematic process to review proposed modifications to the streetcar and light rail systems; it is not the intent to substitute these processes for those that have been defined for a Project which have a review and comment process. Standing members of the Change Review Committee are the following RT staff members: o Quality Assurance Administrator - Chair Person Rev 4 May 2018 2-42 o Light Rail Vehicle Maintenance Superintendent o Maintenance Superintendent - Wayside o Director, Systems Design o Director, Civil & Track Design o Director, Facilities Management o Director, Safety o Director, Bus Maintenance 2.8.3 Rail Activation Committee The Rail Activation Committee (RAC) is responsible for transition of the Streetcar's construction phase to the operations phase, per the Systems Testing and Startup Program outlined in Chapter 10. A key objective is to assure that all operating issues have been adequately addressed during completion of the construction phase, including successful testing of all systems and components, and turnover of all maintenance manuals, warranty documentation, and keys. Membership is comprised of key staff from various RT divisions including, but not limited to, Engineering and Facilities, Operations, Communications and Partnerships, and RT Facilities. Other members include participants from Project consultants and contractors, including, but not limited to Outreach consultants, Integrated Testing Services, and Project Control Services. 2.9 FTA Oversight and Coordination To protect the federal interest in the Project, FTA has certain responsibilities and obligations and has guidelines for administering the projects. To ensure that the Project meets the FTA requirements, RT communicates frequently with FTA Headquarters in Washington, D.C., FTA Regional IX Office in San Francisco and FTA's PMOC. The following discussions briefly outline the most important procedures and requirements identifying the key relationships the FTA and RT during various stages of planning, Project development, and Project implementation. 2.9.1 Grants Administration RT's prior experience in handling Federal Section 5307 and 5309 capital grants provides the basis for grant administration for the Streetcar Project. RT carefully follows all procedural requirements for grants application submission and approvals. Once grants have been awarded, such as a Small Starts Grant Agreement, regular reporting takes place and any conditions attached to the grants are met. This function is performed by RT's Grants Manager through the Chief Financial Officer. Grants Administration is responsible for coordinating and administering RT's Capital Improvement Program from the perspective of funding. The Grants Manager monitors Project funding for each grant and for the Capital Improvement Program of Projects. Rev 4 May 2018 2-43 2.9.2 Project Management Oversight Consultant (PMOC) A PMOC has been assigned by FTA as an independent contractor to provide Streetcar Project oversight, to monitor the Project's development and progress, and to determine efficient and effective implementation of Project management and construction . practices. For the Project, the PMOC is included as part of RT's Project team and is provided with and/or has access to ongoing Project correspondence and routine documentation. The PMOC will have an open invitation to attend routine Project meetings except where "executive sessions" are identified by RT. RT will ensure that the PMOC is given the opportunity to participate in joint QA/QC audits. The PMOC reviews RT policies and procedures and the PMP. The PMOC also reviews design documents, the construction program including QA/QC, and the testing and startup plan to assure adherence to federal guidelines and industry standards. The PMOC reports directly to the FTA on Project management issues including, but not limited to, progress, cost, schedule, and quality. Rev 4 May 2018 2-44 3 DESIGN CONTROL PLAN The Streetcar design phase has been undertaken with multidisciplinary teams and provides designs that meet the Project objectives and the various targets of quality, cost and time. Design management and planning is accomplished through the Project management control elements as described herein. This section is organized as follows: • Design Organization and Supervision • Design Requirements • Design Reviews • Requirements for lnteragency Agreements, Approvals, Permits • Change Control and Configuration Control • Plan for Investigation and Testing 3.1 Design Organization and Supervision Under agreement from the cities of Sacramento and West Sacramento, RT staff and design consultants provide professional and technical engineering services, including the preparation of plans, specifications and capital cost estimates to be used for construction of facilities and systems for the Project. The Project Design Team, shown in Figure 2.2, is headed by RT's Director, Civil and Track Design and is referred to herein as the Director of Design. All design activities are performed under the direct supervision of the Director of Design, who, for purposes of the Streetcar Project, reports to the Director, RT Project Manager. As Project Development advances, RT may augment Systems Design Staff with existing General Engineering Support Services contract(s) on an as-needed basis. RT Design Contract Managers report directly to the Director of Design. Specialized consultant teams are led by Consultant Design Managers who direct the work of engineers and architects and report to the RT Design Contract Managers. These individuals are in responsible charge of the work performed in each discipline area. 3.1.1 Director of Design The Director of Design is the Engineer in charge of the Project design. The Civil and Track Design Team and the Systems Design Team are headed by the Director of Design, and are assisted by the Engineering and Facilities Division, the Operations Division, other internal stakeholders, and selected design consultants. The Civil and Track Design Team oversees the preliminary engineering and final design of civil, track and structures; stations; surveying, mapping, potholing; ROW engineering; utilities, permits, agreements; and artwork coordination. Rev 4 May 2018 3-1 The Systems Design Team oversees the preliminary and final design of railroad signaling, traffic signaling, traction power substations, overhead contact systems, fare vending machines, station and system-wide communications, fiber optics cable, Streetcar/light rail control center equipment and other system functions. With the close assistance of the managers and staff of these departments, the Director of Design performs the following general roles: o Technical oversight of the consultant-designed Project systems and facilities elements. o Technical oversight of all in-house designed elements. o Review of systems and facilities design with respect to constructability, maintenance, safety and operations. o Technical management of the utilities relocation and coordination program. o Internal and External coordination of issues, design review comments, and design requirements. o Development and enforcement of design criteria and standard details. o Review of all design products. o Participation in design focus groups, held jointly with the various design consultants and subconsultants, to resolve technical issues, systems integration conflicts that arise from the ongoing design coordination meetings. o Monitoring of the individual design consultants performance relative to design development milestones established based on the requirements of the Master Project Schedule. · o Management of the individual design consultant's contract cost relative to estimated and budgeted cost for the respective scope of services. 3.1.2 Design Contract Managers Design Contract Managers are RT disciplinary managers assigned as technical leads in the areas of Civil, Track, Structures, Systems and Passenger Stations. These individuals hold highly-experienced engineering positions in the organization. They oversee lower-level RT engineering staff and external consulting staff to complete the design requirements for the Project in their respective specialized discipline area. 3.1.3 Quality Assurance Manager The Project QA Manager reports directly to the RT Project Executive. The Project QA Manager is charged with the authority and responsibility to administer the QA/QC Plan and perform proactive QA activities as deemed necessary. The QA Manager will perform oversight, implement, and initiate resolution activities within the Quality Elements of the Project. The QA Manager is delegated the authority and organizational freedom to provide oversight and support to Engineering and Construction Division activities and independently identify, evaluate, and observe remediation of quality problems. The QA Manager will initiate and independently issue NCRs and review Corrective Actions, when appropriate to resolve and/or prevent the reoccurrence of nonconforming conditions. Rev 4 May 2018 3-2 The Project QA Manager will recommend or provide solutions to Engineering and Project Management to minimize nonconformance and ensure that corrective and preventative actions are effective. Throughout the Quality process, the QA Manager responsibilities focus on Project QA/QC management as follows: o Administering and coordinating implementation of the overall QA/QC program and to recommend and implement policy and procedural improvements o Developing the Project QA/QC Plan o Provide QA/QC oversight to engineering activities for compliance to approved design criteria and standards o Defining and interpreting all QA/QC standards of performance and providing the final authority on approval of QA/QC requirements o Providing QA/QC specifications for all RFPs and consultant, procurement, and construction contracts o Providing continuous improvement activities o Providing guidance and assistance in implementation of quality requirements to QA/QC and line personnel o Making sure that those responsible for ensuring quality report one level higher than the activity with which they have oversight responsibility o Providing assessments on implementation of the QA/QC program, and informing senior management of its adequacy and effectiveness o Assisting the Engineers, Director, Project Management, Construction Management, QC managers, and inspection/test personnel in determining Project deficiencies and preparing the non-conformance reports and corrective action plans o Serving as the focal point of communications regarding Project quality, and participating in quality related policy decisions o Chair and oversee RT's configuration management program o Managing QC inspection and testing activities 3.1.4 Consultant Design Managers Design consultants will be monitored and managed by their respective design contract managers within the respective design departments. Each of the Design Teams shares joint responsibilities for the overall integration of their respective designs with each other as well as with Streetcar and existing light rail system. Each design consultant has prepared a Design Quality Control Plan that addresses design control procedures per the Project QA/QC Plan. Design consultants perform engineering services to provide preliminary and final design of the following: Civil, Track, Systems and Stations. The major components of the design for the Project with corresponding lead design consultants are: Rev 4 May 2018 3-3 o Civil, Track, and Structures Design The Civil, Track, and Structures Design Consultant is responsible for civil, track, and structures design including right of way engineering, earthwork, trackwork, roadways, utility relocation, drainage, pedestrian bridges, retaining walls, and foundations. o Systems Design The Systems Design subconsultant is responsible for providing preliminary engineering and final design services for Systems, including traction power/overhead contact system, railroad signaling, street traffic signaling and railroad pre-emption, stray currents and corrosion control, passenger information systems (which may include visual, real time, message signs and audio broadcasts along with security cameras), communications engineering (which may include fiber optic cable design and placement strategies), data transmission engineering and SCADA (supervisory control and data acquisition), line and radio communications equipment, and fare vending machines with SMART card technology. o Passenger Stations Design The Streetcar Passenger Station Design subconsultant is responsible for providing Project Development design services, which entail all required aspects of architecture, landscaping, lighting and engineering - civil, structural, electrical, and mechanical - associated with the station sites. This effort may also include input on utility relocation or considerations to avoid relocation. o Vehicle Maintenance and Service Facility Design The Streetcar Vehicle Maintenance and Service Facility Design consultant is responsible for design of the maintenance and service facility. The design contract was awarded to Stantec in April 2018. The consultant continues to work with the JPA and each city to design the facility to meet Project expectations. 3.2 Project Design Requirements 3.2.1 Design Criteria and Guidelines The following are design criteria and guidelines that establish the technical parameters that govern the Project design: o The RT Light Rail Design Criteria (revised June 1, 2009) o Design Guidelines for Bus and Light Rail Facilities (2005) o American Railway Engineering and Maintenance-of-Way Association (AREMA) Standards, updated annually o California Public Utilities Commission (CPUC) General Orders o California Building Code (CBC) Rev 4 May 2018 3-4 o American with Disabilities Act - Architectural Barriers Act (ADA-ABA) Accessibility Guidelines o Federal, state, and local laws and regulations The Project must comply with these design criteria and standards to ensure that the Streetcar Project, along with the K Street relocation of light rail, meets overall system requirements related to system reliability,· maintainability, accessibility, safety, and security. 3.2.2 Environmental Mitigation Monitoring and Reporting The mitigation measures that were included in the Mitigated Negative Declaration and adopted by the SACOG Board of Directors will be incorporated in the design plans as necessary. Some of the mitigation measures may apply specifically to the design phase. The consultants must review the Streetcar's Environmental Mitigation Monitoring and Reporting Program and identify all elements for which the consultants are responsible. 3.2.3 Plans, Specifications, and Estimates Standards o Plans Plans will be prepared in accordance with RT's Drafting CAD Standards and will reference State of California Department of Transportation (Caltrans) Standard Plans (Standard Plans) and Standard Specifications (Standard Specifications). Plans produced by the Civil and Track and Systems design teams are drawn using engineering scales. Plans produced by the Stations design teams will be drawn using both engineering and architectural scales. o Specifications The specifications for the various contracts will be written using either Caltrans format or Construction Specifications Institute (CSI) format. The design consultants will write special provisions and use sections from RT's standard technical specifications to write the final specifications. The specifications for the Civil, Track and Structures, and Systems Contracts will be written using a modified Caltrans specifications formatting. The specifications for the Station Design Contract will use a modified CSI format. o Estimates The plans, specifications, and capital cost estimates for this Project will use U.S. standard measurement units. All cost estimates are prepared by determining construction units, quantities, and unit costs. Unit costs are based upon costs of similar projects by RT or other comparable transit agencies, modified by the estimators' experience to suit local conditions, and escalation where necessary. Contingency Rev 4 May 2018 3-5 values are based upon the estimated construction or procurement costs. Cost estimates for the Progress, Final and Issue for Bid submittals will include appropriate contingencies. 3.3 Design Reviews 3.3.1 Design Submittal Reviews The Director of Design, through the respective design consultants, will perform design reviews at each of the following milestones. The timing of these reviews will be established from the requirements of the Master Project Schedule.· The following submittal stages are expected in the design process along with the corresponding levels of completion and minimum attributes: o Design Progress Submittal #1 and Cost Estimate. This submittal, which was completed in 2015, included Streetcar plans, construction and procurement cost estimates at the 30% design level that identified specific design scope, design issues and potential resolution for Project design review. Drawings were of sufficient completion to illustrate the scope of the work being detailed, and to identify potential design issues or conflicts. o Design Progress Submittal #2 and Cost Estimate. Submittal included Streetcar drawings, special provisions, and construction and procurement cost estimates at the 50% design level. Drawings incorporated and resolved most comments made during the Progress Submittal #1 Design review, and other informal reviews. o Design Progress Submittal 2A and Cost Estimate. Submittal included Streetcar drawings, special provisions, and construction and procurement cost estimates at the 70% design level. Drawings are advanced far enough along for the FTA Risk Assessment, Project Readiness Reviews, identification of utility conflicts, and have incorporated or resolved most comments made during the Progress Submittal #2 Design review, and other informal reviews. o Design Progress Submittal #3 and Cost Estimate. Submittal included drawings and special provisions, technical specifications at the 85% completion level, which are, in the consultant's opinion, almost ready to bid. This review allows RT and Streetcar partners to perform a review to verify all previous comments have been incorporated or resolved, and to ensure there are very few remaining issues resulting from the incorporation of previous comments. o Design Progress Submittal #3A and Cost Estimate. Submittal was provided in April 2018 and included drawings and special provisions, technical specifications at the 95% completion level. This review allows RT and Streetcar partners to perform a final review to verify all 85% comments have been incorporated or resolved, and to ensure there are no remaining issues resulting from the incorporation of previous comments. Safety Certification is complete in Rev 4 May 2018 3-6 accordance with CPUC General Order 164D. Reports and studies will be submitted as final, unless otherwise agreed following review of the 95% submittal. Consultant's preliminary list of proposed contract bid items and quantities are almost ready to be submitted. Alignment calculations will be provided for horizontal and vertical track design. o Issue for Bid/Issue for Construction Submittal and Cost Estimate. Submittal will include complete drawings, special provisions, technical specifications, bid item list, and a 100% design estimate ready for bidding of the work. Mylar drawings will be stamped and signed by the appropriate California licensed professional engineer(s). Cross-sections at 50-foot intervals are provided to verify earthwork quantities. Quantity calculation back-up sheets will be provided to verify calculation of bid item quantities. Each bid item will have separate calculation sheets with reference to the drawing number made for each calculation shown. Alignment calculations will be provided for horizontal and vertical track design. o Construction Support (Optional). At RT's option, the design consultant will provide construction support as needed to help resolve issues that come up during construction of the Streetcar Project. At the Issue for Bid/Issue for Construction submittal level, all changes and final comments will be resolved and/or incorporated and the _updated package will be distributed for a final RT and PMT QC review. Design consultants will be required to submit a Project schedule identifying the specific design elements and milestones to RT that reflect compliance with the requirements of the Master Project Schedule. Incomplete milestones will trigger an evaluation of each Project schedule relative to the requirements of the Master Project Schedule and determine what adjustments need to be made by the specific design consultant. The design consultant will be held financially accountable for incomplete work under its control. RT will withhold progress payments until the work is completed to RT's satisfaction. Design submittals will be prepared by HOR, Inc. for Civil, Track, Systems, and Stations and by Stantec Architecture, Inc. for the Vehicle Maintenance and Service Facility. RT personnel from Civil and Track Design, Systems Design, Project Management, Construction Management, Accessible Services, Facilities, Police Services, Safety, Light Rail, Bus Operations, Transportation (bus operations), and Customer Relations and all appropriate RT departments review the submittals for conformance to RT standards. As needed, members of the Streetcar PMT will also review submittals. In addition to conformance to established standards, impacts of the proposed Streetcar design the existing light rail system and on long-term maintenance and operations will also be evaluated. Personnel from Civil and Track Design and Systems Design, in coordination with the Project Controls Team, will evaluate the progress of the design relative to the requirements of the Master Project Schedule and the actual costs relative to baseline estimated cost for design services. Rev 4 May 2018 3-7 Each designated RT Design Contract Manager responsible for overseeing the design activities and progress distributes copies of the submittals for review. Along with the submittal package, instructions are given to the reviewers, who return comments, using Buzzsaw®. A deadline for return of comments is typically set three weeks from the distribution date. Also, a date is set for the design review meeting. The design review meetings will be scheduled to summarize all actions, discuss major issues, and establish further actions as necessary to bring the design review to a conclusion. Following the design review meeting, review comments will be compiled and forwarded to the designer. The designers then take appropriate action on each review comment. Generally, the designers have a specified period of time from receipt of the comments to incorporate the comments. RT direction is provided to the designers at this time to accomplish the effort necessary to resolve comments. Each review, after completion, becomes a part of the historical record of the Project. Additional information concerning design reviews can be found under the Design Control section the Project's QA/QC Manual. 3.3.2 Value Engineering Review / Life Cycle Review Value Engineering (VE) is an organized effort to analyze the function of systems, equipment, facilities, procedures and supplies by a multi-disciplined group for the purpose of achieving the required function at the lowest total cost. Considerations are given to effective ownership consistent with requirements for performance, reliability, quality, maintainability and safety. FTA guidelines endorse the use of value engineering in analyzing the design and cost effectiveness of federally funded projects. In keeping with the FTA guidelines, the Downtown Riverfront Streetcar will host a VE workshop prior to construction. The CM consultant, PGH Wong, will lead this effort. 3.3.3 Third Party Stakeholders The Project requires coordination of the design efforts with: o City of Sacramento o City of West Sacramento o Sacramento Area Council of Governments (SACOG) o Yolo Transit District o Caltrans Typically, Design submittal packages will be distributed to each of these agencies for review. As the ultimate owner of the Downtown Riverfront Streetcar, the cities of Sacramento and West Sacramento will likely provide additional reviews. Typically, each agency will be given approximately 3 weeks to review each submittal and provide comments. Comments made by the agencies will be reviewed by RT staff and applicable comments will be passed onto the design consultant to be addressed. Rev 4 May 2018 3-8 Separate design review meetings with each of the above entities are also anticipated to address their specific concerns. 3.3.4 Buzzsaw ® The Project is utilizing an externally-hosted web based software program by Autodesk® called Buzzsaw® to function as a centralized repository for the uploading of drawings by the Design Consultants. This site is accessible to RT and other stakeholders to review Design submittals and post review comments. It will also collate these comments for review and final disposition. The system also maintains version controls and history of changes. Files containing review comments and design drawings will be downloaded to Application Extender for storage in RT Document Control. The use of Buzzsaw® will be limited to design collaboration, design drawing review and design mark-up. Required submittal packages and other forms of correspondences must be submitted through P6 Contract Manager, which has been chosen as the document control system for the Project. Refer to Section 4, Project Controls, for further details. 3.3.5 Project Interface Integration Project design interface integration activities ensure compatibility and continuity among the various elements of the Project as well as compatibility and continuity with RT's current bus and light rail systems. The Project design interface integration function is the responsibility of each design team. Activities include verification that: o Design documents are in compliance with the design criteria and consistent with RT's operating plans and procedures. o The streetcar signals, traffic signaling, fare vending, communications, traction power, and streetcars are mutually compatible. o The right of way, trackwork, streetcar stations, and other permanent facilities will accommodate the system elements. o All interfaces between contract packages are identified and controlled in each contract package. o All participants in an interface are identified and all responsibilities are assigned o Any proposed change to an interface is assessed by all participants in that interface prior to approval and implementation of that change. o All interface resolutions are reviewed, monitored, documented and performed as a Quality Control Task (see PMP Section 10.3 and associated Downtown Riverfront Streetcar QA/QC plan) by each design team. During Final Design, the Civil, Track and Structures Design Team reviews and assembles all design packages for interface integration (this effort is a line item in RT's Master Schedule), as described above and to the extent necessary, to ensure compatibility of the various design components as one fully integrated construction Rev 4 May 2018 3-9 contract. The comments generated from these reviews are forwarded to the design consultants for inclusion in the 100% PS&E with distribution to the Project Manager. Additional information concerning Project interface integration can be found in the Design Control section of the Project's QA/QC Manual. 3.3.6 Constructability and Bidability Reviews The constructability of the Project is a matter of continual evaluation during the design process. Near the completion of the Streetcar Project Development phase, formal constructability reviews for each major civil and systems contract will be conducted by RT and CM firm PGH Wong. The plans and specifications for the contract package will be reviewed prior to advertisement for bid, with particular attention to completeness of scope, phasing, elimination of ambiguous terms, clarification of plans with respect to clear details, cross references from drawing to drawing, conflict in notes on drawings, and agreement of intent between general conditions, special provisions, and technical sections of the specifications. PGH Wong will provide independent constructability reviews of the design documents for constructability and bidability of the Civil/Track/Systems/Stations contract and the VMSF contract for the Project. The constructability reviews will include analysis of the technical, schedule and commercial bid documents from the perspective of a construction contractor preparing bids for the work. The review will report any apparent omissions, conflicts or needs for clarification in the bid documents and between the different sets of bid documents. The Design Contract Manager assigned to each design effort will be responsible for conducting the constructability review and each member of the design team, the construction management team, or outside professional consultants will be consulted as necessary depending on expertise required. The review team will also perform the constructability review to provide an independent assessment of methods, sequence and phasing, contractor interface with other Project work, and general conditions language specific to each contract. The review team will look at the documents and drawings with sensitivity to construction problems and any issues that would be potential causes for delays to the work once the field crews are mobilized. Review comments will be coordinated and assembled by the CM T earn for action or response by the design team. The noted action or response will be audited by RT's QA Manager to ensure compliance with the final set of contract documents. The Streetcar constructability review will place emphasis on the following issues: o Construction requirements are practical and possible to build o Availability and suitability of materials and the capability of labor resources o Adaptation of structures and features to site conditions and constraints o Construction durations and milestones o Requirements for QA/QC o Methods, materials, and equipment common to the construction industry Rev 4 May 2018 3-10 o Coordination with operating elements of the existing transit system o Coordination between contracts and disciplines o Traffic control during construction o Water drainage during construction o Right-of-way identification o Coordination of new utilities o Work around existing utilities o Geotechnical issues o Environmental mitigation o Site and construction access 3.3.7 Operability and Maintainability Review Streetcar Operability and Maintainability Reviews are conducted as follows: o Design Submittals. At each of the design submittal stages, the design documents will be distributed to the Operations and Maintenance staff for review. O&M staff provides review comments on Buzzsaw®. o Resolution Meetings. The Design Contract Managers will conduct follow-up meetings with the operations and maintenance staff on a one-on-one basis throughout the design process to resolve issues identified during the design submittal reviews. o Final Review. A final review by O&M will be conducted at the 95% phase of the design to close any outstanding issues. 3.4 Requirements for lnteragency Agreements, Approvals, Permits 3.4.1 General The construction of the Project requires the relocation, adjustment, or modification of various utilities, as well as other infrastructure, (e.g. roads and rail line). These utilities and other improvements will be identified and located and must be either relocated prior to construction or protected during construction. Because the Project will occupy public right of way, any existing and conflicting utiliti.es are present by franchise rights granted by the respective cities. As the owners of the Downtown Riverfront Streetcar, the cities of Sacramento and West Sacramento will execute agreements with the utility to relocate their facilities at the utility's expense. The JPA will be a party to those agreements as they relate to ongoing operation and maintenance of utilities in the vicinity of the project. RT's Construction Manager and the OR will responsible for the day-to-day coordination of the utility relocation effort during construction. Negotiations with the other agencies to allow this Project to proceed to construction will take place during Project Development. RT's Director of Design and JPA OR will each assume the role of Utility Coordinator to assist RT's Director, Project Management and Director, Construction Management through design and construction phases. A master Rev 4 May 2018 3-11 utility/3rd party matrix will be developed by staff to track the status of all necessary utility items. This matrix is updated twice a month by RT's Design Consultant, shared with the PMT and is managed by RT's Director, Project Manager. 3.4.2 Utility Relocations Because the Project will occupy public right of way, any existing and conflicting utilities are present by franchise rights granted by the respective cities. As the owners of the Downtown Riverfront Streetcar, the cities of Sacramento and West Sacramento, as applicable, will execute agreements with the affected utility to relocate their facilities at the utility's expense. The JPA will be a party to those agreements as they relate to ongoing operation and maintenance of utilities in the vicinity of the project. During early Project Development, discussions with appropriate utility agencies, review of as-builts and Streetcar preliminary designs wi.11 determine what utilities occupy portions of the Project's ROW and which of these will require full or partial relocation. Examples include electrical power distribution lines and equipment, telephone lines and equipment, sewer interceptor and local conveyance lines, water lines, gas lines, storm drains and flood control facilities/improvements, fiber optics cable, cable television lines, company and government agencies and both rail and roadway facilities. The agreements with utilities will address a wide range of important issues that require pre-construction resolution. They will include the need for, and responsibility for utility relocation work; liability for costs; settlement of disputes; performance of the work; delineation of any betterment; indemnification and hold harmless provisions; billings; wasted work; compliance with federal grant conditions; and force major conditions. The agreements are being developed by the OR and City Staff. Rev 4 May 2018 3-12 Table 3.4.2: Sacramento Riverfront Streetcar Project 3rd Party Agreements Status as of .\lay 11, 2018 Initial Current Planned Critical Initial Adual Estim.1ted Eslim.1led Agreement lor Refoealion Relocation No. COfll)any Description Location Contact Emeuled BIC CoJM1enls I Status Relocallon Relocation Execution SSGA? Start Date Finish Dale Date Agreement Cost Cost Date (YIN) Critical Utlllty Agreements (under Franchise Rights - no project costs) Agreement signed by SJ.IUD. Must gob Saaamenb CiljCounli b exerue. Gey exped; b go !D Council 1 SMLXl Elecml Saaamenb $ 40,000,000 7,000,000 10/03N6 06/'J0/18 y 10.01/18 02/01119 JV s one imeY.ltl SMUO, PG&E and AT&T agreements. Execej approval date is June or Juty2018 Agreement signed by AT&T. Mann~nancelssues reSOM!d. Necessarybr J Steetgu.!dev,,ay. Mustgo AT&T CommunlcaOOlls SacramenD I 6,000,000 s 1,500,000 10/03!16 06/30118 y 10,01118 02/01/19 AT&T b Sacramenb Cily Counll b exeaA!. Cilyexpect; b go ID Counci one fme w"tl SMUD, PG&E and AT&T ' aoteemenls. Exectedannrovalda~lsJuneorJulv2018. Agreement under re'dl!Wby PG&E. Al relocaioos addressed. No major relocaions. ned b PG&E gas PG&E· Bemcal WestSaaamenb I - s 10/03/16 06!30/18 y 10.'01/18 02Al1/19 PG&E ' anreemenlbelow M::1\/notberenuired noeteaic.al-~mslOrelocate. Agreement under review by PG&E. M relocaions addressed. Necessary bl 3rd Steetreloc.a'°'1s and J -· Saaamenb& 6 PG&E-Gas Gas 2,000,000 1Ml3116 06!30/18 y 10/01118 02/01119 PG&E Sreetreloeations. Must go ti Saaamenb at, Counil 10 exeore. Ci¥ expects D gob Co1.H10l one kne Wes!SacramenlO I - s 'Nf1 SMUD, PG&EaodAT&Tag.-eemenrs.. Exededapprovaldate isJuneorJuly2018. Critical Utllitv Aaretmenls Total: S 46000.000 I 10500000 ...... Minor Utility Agreements (under Franchise Rights - no proJect costs) Saaamenb& 3 Verizon/MCI Te!ephone $ 25,000 10/03/16 06TJ0/18 N 06A11/18 12J02/19 Agreementunderre'o1eW. Relocations addressed and begun. Utilty relocafflg alllei'OM risk. WestSacramenb I u•o,, Consolidated Commurkaions SaaamenD& Agreement under review. Relocations addressed. Relocablsbegan '1Augus12017. Uality relocaing at 4 Commun!catioos $ - $ 10,000 f0..00116 06/30/18 N 06.01118 12,{12119 u~., bmierlvSUreWesll Wt!stSaaamenti flelrOY.tirisk. Saaamenb& 7 Le~l 3 Commurvcaoons Communications $ 25,000 10Al3/16 06!30/18 N 06/01118 12Al2119 llliO,, Agreemen\under re\o'iew. Reloca'ions addressed WestSacramenb - s 8 XOCommun~lions Communica!ions Saaamenb I - s 10J03f16 NA NIA N 06Al1/18 12/02/19 NA Norelocaionsreooi'ed. 9 ComeastCommunicaions cable SaaamenD I 11.000 $ 11,000 10/03/16 08112/17 08/12117 N OOA}l/18 12A'.12119 NA INJreementexeoted. 10 KilderMorganEnergyPamers Communlc.a6ons West Sacrament, $ - s 10!03f16 NA NA N 06/01/18 12/02119 NA Noreloca!lonsrequired. ff~t Te!eohooe SacramenD I - s 1Ml3116 NA NA N 06Al1/18 12/02119 NA Narelocaionsreauired. lnlegraTelecorn(bnnerty nde!ennlna!e. Sffde!ennlrwlg ilanyrelocibls are ner.essary. Ulliieslocalad. WorkingWflcomp&1ytl 12 Communica00!'1s Saaamentl . s 25,000 10/03f16 06/30/18 N 06,{11118 12Al2119 Psomas ElectriclirihOOve\ s de!errnklenextslens-lfanv_ 13 Cenllr}"t.ink(brmerlyQY-IEST) Communica!ions Saaamenh $ s 10,000 10/03/16 06f30/18 N 06/01118 12/02119 u~., Agreementunderre'Mo\LReloea'ionsaddressed. WAVE. Broadband (bnnerty 14 cable WestSacramenD 10,000 10/03f16 06!30/18 N 06,{11/18 12/02119 Uiiy Agreemenlund&rrevieYLRelocationsaddressed. CharEr) I - s 15 ZayoGroup Communlcaions Saaamenb $ - s 10,000 10J03l16 06fJ0/18 N 06.()1/18 12A'.12119 U'"1y Agreementunderte'kw.Relocaionsaddressed. Mnor Ullllly Agreement• Total: $ 11,000 $ 126,000 .. ~--!-:t:! Rev 4 May 2018 3-13 Table 3,4.2: Sacramento Riverfront Streetcar Project 3nl Party Agreements - (Continued) Sta/11s as ofMay 11, 1018 Encroachment Permits Saaamenb& 19 Galtans Tov.erBridge,\iMF,ISteet - NIA 09,1)1/16 03/30118 03112/16 y 12-02/19 Catans Enaoadlmenlpermils lJly e1eared. Nso, a cooperaM agreement has been signed. Wes!Saaamenb "' Govemance Agreements 20 JolrltPmlersofAiltlortj(JEP SaO'amenb& NIA - NIA 12AJ6/l3 06/30118 04/11/17 y OiesapprovedJ£Pagreemen!r'I 2017. ThiseslabiiShes'lleJPA Agfeemen~ WestSacsamen'o """ Sacramenb& JEP Amendment necessaiy. Amendmenllndudes more RT aut.orljlAitwi JPA, such as one JPA Board 20a .IEP Amendment NIA NIA 02!2Glf8 06/30118 y Cifes WestSacramenb - member also beilg a memherofUie RT Board. Sacramenb& 21 lnlergo..e11vnentalAgreement. NIA NIA 12KISJl3 06!.Kl/18 y Cifes Rew;eddrallagreemenlsprovidedb FTAon3/20l18 ~aEdlnt>PMP. Wesl SacramenD - Operat'-ons and Marllenance Saaamenb& 22 NIA - NIA 12Al6/13 06fJ0/18 y Cifes Rellised dra,MOU sentb FT Aon 3/20118. hoosporaECI inb PM?. Agreement WestSaaamenD Public Utility Agreements RTu&iesroloca~aspartof cons!ruclonprojed.RT(and 04/15118 16 Saaamenb Regional Transit' Sacramenb NIA 1""3116 NIA NIA .. NA Addressed II plans. No agreemenlteQIJl'ed. ',\'ii sign 100% design plans OieS)y.iJsign 100%plans - (required - Wllch w1 illdude ai refocaIDfls. hdudesv.etu'lrifes. Relocaled AllconldsidenlSed. Cit;bsiylplansaslheifendotsemenlofllehev.orkandaullorizalion{no aspartofoonstuclonprojeci. 04J15J18 17 at,,ofSaaamenb• Saaamenb $ 6,000,000 10J03/16 NIA .. Ciy agreementrequired). Eslma~\\itlinCLNTentaBocaledU'-tybudget Conslrucfoncontractlreipe~b Bot,ciieswllslgn100%plans - lfrequ'red - doflisw:wt.. Wllehllili'ICNdeaRrelocaions. hdudesv.elu1ififes. RebcaEd AllconktsldenfSed. Cijbs!gnplansasflel'e000f'Semenloflhaf1av.orkandau1J'iorizalon(no aspartofconm.iclonproiecL 04115/18 18 rn,,otWeslSacramenb' ~stSacramenD $ 900,000 10A)3/16 NIA - Ciy agreement required). Es!ima~ wllin currental!oc.aled u'lii!y bud9el Conshrcfon contracbr eipeaed b Botlo1esv.lslgn100%plans - lfreq~ed - v.hldi \\ill lldude al relocations. doO!s"""- • Nore· Publicl.llit,/Ag,eemet1ls nolrequM'ed as Ile reloc.alonsare perbrmed ooderMguidewavc.onsbtJc.fon and boded by tie project It:;,,: ,,,,,,,1:"'4.ioo;ooo, Watch List (Monitor) No. CoDllany Description Locallon BIC lssue/Stalus UPRR has ln Rev 4 May 2018 3-14 3.4.3 Agreements with Sacramento Regional Transit District for Light Rail Operations In addition to the necessary property rights that are acquired to construct the Downtown Riverfront Streetcar, other rights and responsibilities will also be required to operate on existing RT facilities. This will be done through a shared track agreement. In addition, as mentioned in Section 2.1 (Governance), the two cities will implement the Project through the JPA. To use RT's technical expertise to design and build the Project, a Design, Procurement and Construction agreement will be executed between the JPA and RT. A separate Operations and Maintenance agreement will also be executed between RT and the JPA to run the new service. As Sacramento's rail operator, current recipient of New Starts grant funding, and FTA grantee for this Project, RT staff adds value to the Project team during Project Development, construction and operations of the Streetcar Project and oversight compliance. 3.5 Plan for Investigation and Testing To minimize impacts due to unforeseen conditions, geotechnical ,investigations and potholing of existing utilities have been performed for both the Downtown Riverfront Streetcar Project and light rail's relocation from K Street to H Street. The design consultants are using this information as a basis for designs of the trackwork and civil design, systems design, station designs and the potential impact to structures. 3.5.1 Plan/Schedule for Site Surveys, Geotechnical & Materials Investigation - Design Bore samples for the geotechnical investigation have been taken at regular intervals along the Project alignment and at key points that will have specifically located design elements. This information, as well as design recommendations have been provided in a geotechnical report. Existing utilities have been potholed along the Project alignment to verify utility locations and depths. This information is included in plans as well as in the utility report that identifies all of the utility conflicts for the Project. 3.5.2 Design Change and Configuration Control This section outlines the general procedures and methods for identifying, analyzing, approving and processing proposed configuration changes of the design that may be a variance to the baseline documents. The goal is to ensure that configuration of the Project is not changed after 100% design without a systematic review and approval of the change, and that the impact of the change on all other aspects of the Project is recognized. RT, as the technical lead on this Project, will be utilized to ensure any changes to the baseline documents do not impact the overall integrity of the Project. Rev 4 May 2018 3-15 Changes can be categorized as those that affect the Project design, Project controls, safety or environmental documents. Configuration control refers to the systematic control of the Project's physical and operational features, and the monitoring and documenting of significant changes to these features. Currently, the Streetcar Project proposes to use RT's light rail standard operation procedure (SOP) and design criteria as the basis for the design and construction of the Project. The Streetcar Project will develop its own Streetcar SOP and design criteria prior to the start of revenue service. These documents will closely match RT's existing documents due mainly to the fact that the Streetcar Project must be compatible with RT's existing light rail system in order for both systems to share track and ensure safety. All design change and configuration control requirements of this PMP will be adhered to for the Streetcar Project. Once these requirements are satisfied, the design change(s) and configuration control requirements of RT's SOP for Configuration Management (procedure number PC-SOP-96-001) will be implemented and satisfied. Where this PMP and RT's SOP for Configuration Control differ, the higher or most restrictive standard(s) will be applied. The two independent processes can be combined for expediency but will be documented and recorded as separate and independent actions. 3.5.3 Design Phase Configuration Control This Section addresses the process for identifying and approving changes to the established baseline design Project Development. o Baseline Documents The following are the baseline documents during Project Development: o Design Criteria , o Mitigated Negative Declaration o Operating Plan o Safety and Security Certifiable Elements List o Project budget and cost estimate o Project Master Schedule Any proposed change to the design drawings and/or specifications that does not comply with or support the baseline documents must undergo design phase configuration control. For evaluating compliance with or deviation from the baseline documents, the design phase Project Team will be comprised of Director or Manager level representative responsible for each of the above-noted baseline documents. o Change Request A request to change the design during Project Development that causes a variance to any one of the baseline documents must be submitted to RT's Project Manager or the Rev 4 May 2018 3-16 Director of Design. The proposed change may be presented during a Progress Design Submittal, or at any time and presented in writing to the Design Contract Manager. The request may also come from the PMT or JPA. o Change Approval The Design Contract Manager evaluates each change and its impact to the baseline documents. If the Design Contract Manager determines the proposed change would be a variance to one of the baseline documents, the change may be disapproved without further consultation with the design phase Project Team. If the Design Contract Manager determines the proposed design change has merit and is technically reasonable, the change will be presented to the day to day Design and Construction Management Team, which consists of RT's technical-leads and the OR to determine the impact of the variance to the baseline document(s). If the Design and Construction Management Team unanimously approves the proposed change to the design, the change will be implemented. In many cases, the Design and Construction Managemerit Team will seek input from RT's Safety, QA, Operations, Wayside and/or Procurement for input prior to rendering a decision. If the decision for the proposed change is not unanimous, the proposed change would be presented to the Director of Design, who is also the Engineer of Record, for further discussion. All presentations and final decisions are documented in writing and kept in the appropriate Project design configuration files. All approved and not approved changes will be shared with the PMT. Those changes not approved by the Design and Construction Management Team will be shared with the PMT, along with an explanation as to why the change was rejected. Approved changes that caused a variance to one or more of the design phase baseline documents would be presented to the RT Project Manager and OR for concurrence and determination of next steps to implement the variance to the baseline document(s). 3.5.4 Construction Phase Configuration Control This Section addresses configuration control during the construction phase. The goal is to ensure that configuration of the Project is not changed after 100% design without a systematic review and approval of the change, and that the impact of the change on all other aspects of the Project is recognized. o Baseline Documents As mention in Section 3.5.2, the Project's baseline physical configuration shall be established at the completion of 100% design. Changes to the Project configuration before 100% design are addressed in Section 3.5.2, Design Phase and Configuration Control. Specific procedures and methods for identifying, analyzing, approving and processing changes to the Project's baseline configuration are provided in the Change Rev 4 May 2018 3-17 Management SOP. The following describes an overview of the change management process. For configuration changes during the construction, start-up and testing of the Streetcar Project, the applicable change must first be reviewed by the Project's designated Design Contract Manager, with input from the PMT and the Design and Construction Management Team, Construction Management, Safety and Quality Assurance. If it is determined that a change to the construction phase baseline documents will be implemented then it must be reviewed by the Project Change Control Board (CCB) and its impacts on other elements of the system must be evaluated in accordance with the following construction phase baseline documents: o Design Criteria o IS/EA/Mitigated Negative Declaration o Conformed Construction Drawings and Specifications o Mitigation Monitoring Program o RT's Fleet Management Plan o RT's Streetcar QA/QC Plan o Project Safety Plan o Applicable RT Operating and Maintenance Procedures o Start-up and Testing Plan These documents contain data and requirements necessary for the design, construction, p·rocurement, and operation of the system and are subject to Configuration Management procedures as they are developed over the course of the Project. Changes that affect any of the above documents made after Project Development are submitted to the Change Control Board by the Consultant Design Manager. All changes to the baseline design will then be thoroughly documented and the baseline set as-built documents will incorporate all changes made during construction, procurement, start-up and testing and commissioning. This set of revised documents will then become the baseline consisting of the Project Record Drawings for the operation of the system. o Change Recognition Potential contract modifications will require careful examination by various Project parties. Changes related to the scope of design services, procurement and construction would require direct involvement of the management team and key staff. Administration of the change control process will be performed by Project Controls, who will track changes, assign change order numbers, coordinate change order review, and perform general oversight. o Change Control Procedures Change control procedures address the necessary activities to initiate process and implement the creation of or a change to the Project baseline, and: Rev 4 May 2018 3-18 • Provide for assessment of all proposed changes to the baseline by affected disciplines and parties prior to approval; • Require concurrence at the appropriate management level to ascertain that only essential changes are processed; • Minimize the time required to assess and act on a proposed change; • Standardize the change proposal process to provide an accurate record of changes to the Project baseline and the decisions that led to those changes, Project Controls will be the focal point for coordination and implementation of change procedures. They will also be responsible for monitoring and reporting the impact to cost and schedule of pending and executed changes. o Change Control Board Potential modifications require careful examination by the CCB, the Design and Construction Management Team, RT technical experts and, as requested by the JPA Executive, members of the PMT. The CCB consists of the Director, each department. Depending on the type of potential change, the appropriate members will evaluate the change request. The members of the CCB include: o RT Director, Project Management (Project Manager) - Chair o JPA Owner's Representative o Director, Construction Management o RT Director, Civil and Systems Design and/or Senior Systems Engineer, Senior Civil Engineer, or Senior Architect o Project Controls Manager o RT Safety Specialist o QA Administrator and/or Project QA Manager o RT Procurement Representative o RT Grants/Finance Representative o RT Operations representative (i.e.: Facilities, Light Rail, Transportation etc. as appropriate) o One representative each from the Cities of West Sacramento and Sacramento. Due to the complex nature of this Project, the established reporting structure, and the fact that the cities through the JPA own the Project, it's critical that any changes to the baseline bid document be thoroughly reviewed at various levels prior to approval. This process will be utilized to address change requests from the cities, which may not have the necessary technical skills, but desire a specific change. RT, as the technical lead and responsibility for compliance, will have the responsibility to thoroughly review each change to ensure compliance to necessary rules, regulations, QA and safety requirements. This CCB process provides a voice for all parties, but establishes a process for thoroughly vetting each change before approval. Rev 4 May 2018 3-19 The CCB will have the authority over disposition of all requests that would have significant impact over the Project's design documents, budget, schedule, and directs the implementation of actions resulting from the proposed change. The CCB evaluation consists of: • An assessment of proposed changes to the baseline bid documents by affected disciplines and parties prior to approval, • Concurrence at the appropriate management level to ascertain that only essential changes are processed, • Minimization of the time required for staff to assess and act on proposed changes, • Standardization of the change proposal process to provide an accurate record of change and the decisions that led to the change. o Review and Change Approval The following are general guidelines for managing changes in the Project's design and construction activities. These guidelines establish the general approach to change controls and their resolution. • Design Changes Design changes arise as a result of revision to the design approach or function and are incorporated into the design prior to construction. They are unlike field changes in that they do not necessarily result from the need to accommodate actual field conditions but are due to changes in configuration or function of the Project. If the change affects construction contracts in progress, the Director, Construction Management and/or Resident Engineer/Inspector will negotiate the change with the contractor. Authorization levels delegated within the management team and Project organization will be established for the effective and efficient supervision of changes. Authorization to proceed with change activities will only be directed after the appropriate level of authorization has been obtained. Typical steps in the resolution of a change during design are: 1. The Consultant Design Manager identifies whether the design change conflicts with the Project's IS/EA/Mitigated Negative Declaration or Design Criteria. 2. The Configuration Change Request Form is submitted to the Design and Construction Management Team for review per the Configuration Management SOP for a Design Criteria conflict. 3. The Change Request is either accepted or rejected by the CCB and the initiator is notified. If accepted, the appropriate changes are then implemented. Rev 4 May 2018 3-20 o Field Changes Field changes are those changes resulting from incompatibility of design with actual field conditions. Field changes require modification or redesign of the affected elements. When agreement is reached on the scope of the change, the Contract Design Manager will proceed with modification of the appropriate drawings and/or specifications. Authorization to proceed with change activities will only be directed after appropriate level of authorization has been obtained. RT's Director, Construction Management and Contract Administrators will negotiate the change with the contractor. Should conditions require immediate action, the CM staff immediately contacts RT's Director, Construction Management and seeks direction on to how to proceed. At the same time, any immediate action affecting design is communicated to RT's Director of Design. Immediate action should only be required where delays are detrimental to the safety of the contractor's personnel, the public, or the work, or when delays have a major impact on the contract cost or schedule. The typical processing of a field change includes the following: o The initiator of a change submits and/or proposes the change to the CCB through the appropriate change request processes for field conditions that would require a design change and a change order. o The CCB accepts or rejects the change initiation and the appropriate action is taken. o The Design Contract Manager reviews all accepted change requests to determine if there is a conflict with the RT Design Criteria and/or IS/EA/Mitigated Negative Declaration. o The CCB either accepts or rejects the change and the initiator is notified. If accepted, the appropriate changes are then implemented. o CCB Approval Configuration changes approved by the CCB that will cause a variance to one or more of the construction phase baseline documents will then be presented to the RT Project Manager and Project Executive for final concurrence. Prior to implementing the change, staff will present the item to the JPA for approval and determination of next steps to implement the variance to the baseline document(s). Rev 4 May 2018 3-21 4 PROJECT CONTROLS Project controls are the processes and monitoring functions utilized to keep a project on track, on time, and within budget. Project controls begins early in the project with planning and ends late in the project with post-construction documentation wrap-up. Project Controls is thoroughly involved in each step of a project's process of initiation, planning, execution, monitoring, and closeout. Project controls integrates planning, scheduling, cost control, estimating, document control, and status reporting functions to facilitate project monitoring, reporting, and decision-making. The Project Controls function is expected to be led by a Project Controls Manager, which is not expected to be an RT staff member. This hired consultant coordinates with the RT Project Manager and OR, and provides the following functions: cost control administration, scheduling administration, final design phase estimating administration, progress reporting and clerical/document control processes. For additional responsibilities, see section 2.5.4. This section is organized as follows: o Project Controls Software Tools o Change Control o Progress Monitoring and o Risk Management Reporting o Contingency Management o Document and Records Control o Dispute/Conflict Resolution o Cost Control o Insurance o Schedule Control 4.1 Project Controls Software Tools Effective computerized tools are critical to managing a· project as large and complex as the Project. These computerized tools provide the mechanism for managing and controlling the Project's cost, schedule, and document control. o Scheduling. Primavera's latest project management software, P6, has been selected for use on the Project. o Drawing Control. During the design phase, the Streetcar team will utilize Buzzsaw® for electronic repository and review of Project design documents. o Construction Management/Document Control. During construction, Primavera Contract Manager will be used to manage the Project budget, cost forecasts, inspection records, submittals, RFl's and document control. o Financial Accounting. System Applications and Products (SAP) is RT's enterprise-wide financial accounting software package and will be the source of all contractual and expended information. Once each month (or as required), data from SAP is transferreo manually to Primavera Contract Manager to ensure that users have the most current information in the contract administration area. The processes and procedures of the transfer will be addressed in the Project Controls Procedures manual, which is updated semi-annually throughout the life Rev 4 May 2018 4-1 of the Project. The Project Controls Manager, or their designee, will compare and reconcile actual cost data between the two systems quarterly to ensure the most accurate information is reported. 4.2 Progress Monitoring and Reporting The Project Controls Team will be led by a consultant that will be responsible for coordinating, reviewing and publishing a Streetcar Progress Report for the Project. The Project Controls Manager will work closely with RT's Senior Engineering Analyst in developing this report. This Progress Report will be transmitted monthly. The Progress Report will provide an update on the following Project aspects: o Project highlights o Milestones achieved o Areas of concern o Action items o Status of key Project elements o Risk management and mitigation status o DBE or SBE goals as applicable o Scheduled Board Actions o Budget status and cash flow o Schedule progress, forecasts and critical path o Project photographs 4.3 Document and Records Control The Project Controls Manager will be responsible for the Document Control System implemented on the Project. The Project Controls Manager may delegate responsibilities to the various Design and Construction Management consultants and document control staff on the Project. In addition, the Project Controls Manager may delegate audit functions to the quality assurance representatives. The Project Team will implement RT's Document Control Procedures for the Project. The Document Control Procedures, which will be reviewed semi-annually and updated as needed, implements a comprehensive document control procedure and utilize the following tools: o Design Phase - During the design phase, Buzzsaw® shall be utilized for electronic repository of all design documents. o Construction Phase - During the construction phase, Primavera Contract Manager shall be used as an electronic repository for submittals, RFl's, change orders, and other construction administration documents. It will also be used to maintain logs for correspondence, RFls, submittals, change orders, non compliance reports, and safety violations. Rev 4 May 2018 4-2 The Document Control Procedures establishes procedures for the following: o Document Control o Baseline Document Control and o Electronic Document Control Management o E-mail Communications o Project Library Maintenance o Document Filing (Hard Copy) o Contract Drawing/Document Control o Document Quality Check and Management o Disaster Protection 4.4 COST CONTROL This section briefly describes the methods that will be utilized and the reports that will be generated to manage the Project Budget. This system will seek to provide the following information: o Provide early detection of scope and budget problems o Provide monthly cost reports showing budget, actual costs, percent complete, forecast costs and variances o Track budgets and cost by WBS Code and sec Code o Provide trend reporting and analysis utilizing flow charts to assist in budget management. The Cost Control section of this document describes the procedures for producing and maintaining consistent and accurate cost information for the Project. This document is updated semi-annually by RT's Project Team. 4.4.1 Baseline Project Budget The Project Budget is currently forecast at $208.57 million with approximately 38% combined allocated and unallocated contingency (Based on FY18 sec Worksheet). The Primavera Contract Manager Module will be used for cost control purposes, including managing the budget and tracking the cost, as well as managing funding sources, original budget, budget transfers, scope changes, actual incurred cost, contract value (original contract, change orders, pending change orders, bid adjustments, potential claims, and contract contingency), trends, forecast to complete, cost at completion and Project contingency. The following reports will be produced on a monthly basis to gauge the budget status. o Cash Flow versus Funding o Grant Status o WBS Project Scope Summary o Budget Status o Summary of Budgets and Forecasts by Federal Standard Cost Categories Rev 4 May 2018 4-3 4.4.2 Cost Management To facilitate cost management, a Work Breakdown Structure (WBS) will be utilized. The WBS will form the basis for all budgeting, cost accounting, and document control coding. It will define the detailed cost accounts used to track and report costs incurred on the Project. 4.4.3 RT WBS Coding System WBS Level 1 - Downtown Riverfront Streetcar Project S010 I S030 WBS Level 2 - Project Development S010 - Final D~sign S030.04 - Right of Way S030.05 - Preconstruction and Utility Relocation S030.06 - Procurement S030.07 - Construction S030.08 - Pre Operation Revenue Services/Closeout S030.09 - Finance Costs S030.98 - Contingency S030.99 WBS Level 3 - Division/Groups/Work Categories S030.xx.xx WBS Level 4 - Contracts/Tasks/Misc. Cost Items SOJO.xx.xx.xx 4.4.4 Budgeting The Project budgets will be reevaluated at various stages and with increasing degrees of accuracy as more information becomes available. A Conceptual Estimate was developed very early in the Project. By its nature, it reflected a very broad-stroke approach in which many assumptions are made. Rev 4 May 2018 4-4 A Preliminary Estimate was prepared during early Project Development. At this stage, the scope was defined and the WBS developed, and various cost allowances were refined. The Preliminary Estimate was completed when design was 30% complete. A revised estimate, called the Baseline Cost Estimate, based on further definition of the Project, will be prepared near the end of Project Development. The Baseline Cost Estimate, which is structured around the contract packages according to RT's WBS coding system and organized by the different phases of the Project, shall be finalized when the Small Starts Grant Agreement is established. As part of the Baseline Cost Estimate for the Project, specific cost elements of the Project will be assigned an allocation of contingency between 10% to 30%, based on FTA guidelines for Cost Estimation Methodology, Table A 1, Recommended Contingency by Estimating Stage. In addition, an un-allocated contingency will be included in the overall Baseline Cost Estimate to cover accepted design changes, anticipated field changes or risks realized on the Project. 4.4.5 Cost Tracking Monitoring of Project budget, expenditures, forecasting and other costs will be done on a monthly basis. The following are terms and definitions that will be encountered by a reader of cost tracking reports: o Original Budget is the Project budget originally approved by the PSC and PMT. The cost control system will reflect the original budget and permit the analysis of revisions to that budget. The system will also reflect the most current budget amounts and allow analysis of cost and expenditures against these budgets. The original budget will be changed to reflect the budget amounts approved in the Small Starts Grant Agreement. Additional budget information will include subsequent FT A grants or modifications to the Small Starts Grant Agreement, local matching funds, and additional RT and cities budget information. o Budget Transfer will record authorized movement of budget funds between accounts defined in the original budget. The net value of a budget transfer does not change the budgeted cost of the Project. o Current Budget is the current, updated budget value for each budget line item in the cost report. The current budget reflects adjustments made to the original budget value by budget transfer and scope change. o Scope Change is the value of approved additions or deletions to the Project scope of work as defined for the original budget. o Current Contract Amount represents the RT approved amount a contractor is permitted to expend, including base scope and authorized changes or extras. o Estimated Future Commitment is the forecast of additional costs estimated to complete a specific contract or work package. It represents an estimated cost from the current contract amount to completion of services. o Estimated Total Cost is the anticipated total cost of a contract, which is the sum of its current contract amount and the estimated future commitment amount. Rev 4 May 2018 4-5 o Budget Variance is the difference in value between the current budget and the estimated total cost. A negative number indicates an anticipated cost overrun on the current budget. o Incurred to Date represents the total value of work paid to date. The process and procedure for determining the value of work paid to date is included in the Project Control Procedures Manual. o Incurred % is calculated as the amount incurred to date divided by the current budget (considering current budget = forecast, otherwise forecast will be used instead of current budget). o Life to Date (LTD) represents the total value of work paid to date. This data is provided by RT's Financial Accounting software package, SAP. o Funding Sources expected to participate in the funding include the FTA (CMAQ and 5309), and various State and Local funds. o Cash Flow Projection is the estimated cash required to fulfill monthly expenditure commitments. o Allocated Contingency is the amount reserved at the start of the Project for undefined, but reasonably anticipated, costs that may occur associated with specific elements of the overall Project. o Unallocated Contingency (also called Project Contingency) is the unallocated reserve account created at the start of the Project for undefined, but reasonably expected, costs, not associated with specific elements of the overall Project. Contingency funds are authorized to be transferred to Project cost account budgets during the life of the Project as accepted design changes, accepted field changes or realized risks are encountered on the Project. o Contract Status is categorized as "closed" for Project cost accounts that will have no further activity, "active" for Project cost accounts that are in progress, and "pending" for Project cost accounts that have been budgeted, but not yet activated. o DBE % is calculated as the percentage of the original contract amount that has been budgeted to be performed by a Disadvantaged Business Enterprise (DBE), for contracts that have a DBE goal. For contracts that have no DBE goal, the calculation is the same except that only the prime contractor's involvement contributes to the calculation. The total Project DBE % is calculated as the sum of all of the above DBE budgeted amounts, divided by the sum of the original contract amounts of these contracts. o Project Cost Account (Level 4 WBS element) is the term used to describe individual line items in the work breakdown structure for Project costs. o Report Date is the date the Cost Report was printed. o Status Date is the cut-off date for cost data in the Cost Report. Rev 4 May 2018 4-6 4.4.6 Cost Reporting Systems For reporting purposes, costs will be entered, identified and tracked in Primavera Contract Manager. Reports that will be generated are: o Monthly Cost Report o Executive Management Report The cost reporting system will be capable of producing the following reports: o Budgets (original budget, budget transfers, current budget) o Current contract amounts o Project Contingencies (unallocated) o Incurred costs o Forecasts to complete o Cost at completion o Budget variance o Percent complete 4.4.7 Project Contingency A contingency amount is established at the initiation of the Project in the Project budget. Subsequent use of contingency funding is subject to a review process involving changes of scope or unanticipated factors. Cost contingencies provide reserves against the risk of cost increases during the development of the Project. These contingencies must be separately identified in the Project's financial plan and included in the capital cost estimates. The capital cost documentation should include a description of all the cost escalation risks and identify the range of potential cost impacts. Contingencies can be established as a specific amount or as a percentage of a budget estimate to cover: o Areas of the budget estimate not fully defined as well as cost and quantity uncertainties; o Escalation which exceeds that predicted for material, labor, equipment, services, and rates of exchange; o Overruns in items of time and cost in critical areas during Project execution; and o Unforeseen or changed conditions, design revisions, and estimating inaccuracies. As a Project moves through the engineering and design process, cost increases due to the refinement of design are less likely and, consequently, the contingency is reduced. Typical contingencies start at 18 to 25 percent of Project costs in the Project planning phase, drop to 10 to 15 percent of Project costs during early Project Development, and can be reduced after that, especially after construction contracts have been signed. Rev 4 May 2018 4-7 4.4.8 Contingen_cy Management The Project Team led by the Project Manager, assisted by the Project Controls Manager and OR, reviews the identified risks on an ongoing and regular basis in order to focus on the risks and identify their impact on the overall budget schedule and cost. By employing an early detection process, the Project Team and RT's Executive Team could be made aware of potential impacts ahead of time. The benefits of the regular monitoring and early detection process include an increased focus on the most imminent risks, prioritizing risk contingency planning, improved team participation in the risk management process, and development of improved risk controls. The Project Manager, with recommendations from the OR, authorizes the use of contingency funds. The Project Controls team is responsible for tracking and monitoring the contingency account on an ongoing basis. Risk Refresh workshops may be held so as to update the Risk and Contingency Management Plan. Following the workshop, the Risk Register and other relevant documents will be updated. 4.5 Schedule Control This section briefly describes the process of using the Project schedule to plan, manage, control, and report progress on the Project. The schedule control system will be based on the Critical Path Method (CPM) using Primavera P6 software. More details on schedule control will be available in the Project Control Procedures. This document will provide more details on the process of using the Project schedule to plan, manage, control, and report progress on the Project. It will provide procedures for the development, review and update of the Project Master Schedule. It will also describe the detailed administration of the provisions for Contractor's contract schedule submittals for the various procurement and construction contracts in this Project. This document will be updated semi-annually or more frequently as needed. Master Schedule The Project master schedule is the primary tool that will be used to plan the timely completion of a Project, monitor and report job progress, assess Project schedule impacts and formulate alternative scenarios. The Project Controls Team will develop, maintain and update the Project master schedule. The Project master schedule will be used to: o Define the timing and sequence of various elements of the Project from initiation, planning, design, construction, testing, start-up, revenue service and closeout. Rev 4 May 2018 4-8 o Identify Project critical path activities, which assist management in focusing efforts and resources to stay on schedule. o Establish basis for progress reporting and tracking actual percentage completion versus planned percentage completion. o Identify and coordinate key deliverables and interface elements between different contracts, third-party and RT activities. o Provide basis for the development of milestones and overall durations for each individual contract within the Project. o Create foundation for cash flow projections and resource planning. o Analyze and quantify Project impacts, initiate mitigation plans and evaluate recovery scenarios. 4.5.1.1 Baseline Master Schedule During the development of the Project master schedule, the Project Controls Team will solicit input and review the schedule with the cities of Sacramento and West Sacramento, JPA, Project staff, management, stakeholders, PMOC and FTA. Once the schedule is reviewed and approved, it will be adopted as the baseline master schedule and will be used as a yardstick against which future performance are measured and assessed. The basis and assumptions used in the development of the baseline master schedule will be documented. Schedule risk areas will also be identified during the baseline master schedule development. The baseline master schedule will be a static document unless there are major changes in the scope and timing of the Project that requires the adoption of a revised Streetcar baseline master schedule. 4.5.1.2 Update and Revisions to the Master Schedule - The Project master schedule will be updated monthly to reflect actual progress and current forecast. During the construction phase, contractor's schedule submittals will be summarized and rolled-up into the Project master schedule. Key interface milestones, such as completion of one contract that would correspond to access availability on the follow-on contract, will be identified and logically tied during the roll-up process. If the schedule status information indicates actual or potential delays, negative performance variances or adverse trends, the Project Controls Team shall do the following: · o Alert management to the schedule issues. o Identify the cause and quantify the actual or potential impact. o Propose corrective actions. 4.5.2 Contract Schedules Once procurement and construction contracts are bid and awarded, RT will require contractors to prepare and submit for approval their respective contract schedules. To ensure system compatibility, Contractors will be required to submit schedules using Primavera P6 software. The CM Team will have primary responsibility for the review, analysis and approval of the contractors' schedule submittals. Rev 4 May 2018 4-9 o Baseline Contract Schedules The detailed requirements for the contractor's baseline schedule submittal will be identified in the contract's schedule specifications section. The CM Team's review of the baseline schedule submittal will assure that the following requirements are met: o The submittal complies with the specific requirements of contract schedule specifications. o Access, sequencing, construction staging, technical requirements, allowable working hours and workdays, contract milestones and completion dates are as specified in the contract. o Interim completion milestones, if any, and contract completion dates are in accordance with the contract and that their respective predecessor activities are logically tied to the specific milestone. o The level of detail and number of activities in the schedule are appropriate for the scope of the work. o The activity durations are realistic and reasonable. o The schedule critical path is representative of the most complex and longest continuous path of activities in the schedule. o The schedule logic represents a reasonable order and sequence of work considering all physical, resource, contractual and timing constraints that could affect the schedule. o Contract Schedule Updates and Revisions Following RT's acceptance of the baseline contract schedule submittal, the contractor updates the schedule monthly throughout the duration of the contract. A written narrative that describes job progress, status of critical items, schedule changes and delays experienced during the period will accompany the contract schedule update. The Project Controls Manager will have the primary responsibility for reviewing the contract schedule update submittal, which will assure that that the following requirements are met: • The submittal complies with the specific requirements of schedule specifications. • Interim completion milestones and contract completion dates are in accordance with the contract; if any of the milestones are delayed, the contractor is required to submit a recovery schedule. • The schedule reflects accurate "as-built" information including when activities were actually started and completed, logic changes and re-sequencing. • The start and finish dates shown for remaining activities represent reasonable forecast based on remaining scope. • The contractor explains and provides a satisfactory basis for schedule changes including changes in logic and durations. • Outstanding comments from prior schedule submittals are satisfactorily addressed. Rev 4 May 2018 4-10 o Contractor Look-Ahead Schedule During the weekly progress meetings between the RT Project T earn and the contractor, the contractor will provide and present a three-week look-ahead schedule that contains the actual progress for the previous week and planned activities for the upcoming three weeks. The activities in the look-ahead schedule will be correlated by activity number to the current progress schedule. The information in the look-ahead schedule will form the basis for the contractor's monthly schedule update. The RE will use the information in the look-ahead schedule to determine staff assignments, community outreach and coordinate work with other contractors or third parties. o Time Impact Evaluation If the contractor encounters delays during the course of construction and wants to request an extension of the time for completion, the contractor must prepare and submit a Time Impact Evaluation (TIE) depicting how the delay impacts the critical path of the current contract schedule. A TIE must also be submitted for change notices and force account directives that the contractor believes affect critical path. Contractor is responsible for requesting a time extension based on the TIEs impact on any of the contract milestones or on overall contract completion. Time extension will be granted only to the extent that the change, delay or disruption that impacts the critical path is beyond the control and without fault or negligence of the contractor or any of its subcontractors. The contractor may be entitled to a compensable time extension for RT-caused delays that are not concurrent with contractor-caused or other excusable but non-compensable delays (i.e., weather). The contractor may be entitled to a non compensable time extension for RT-caused delays that are concurrent with contractor caused or other excusable but not-compensable delays. o Recovery Schedules If the contractor's schedule update shows an overall completion date or any of the milestone dates extending beyond the contract date for such milestone, the contractor will be required to submit a recovery schedule. This schedule should demonstrate how the contractor intends to recover the lost time and shall include a narrative that describes the contractor's methodology, basis and assumptions made in the recovery of lost time. The Project Controls Manager will review the recovery schedule and provide recommendations to the RE. 4.6 CHANGE CONTROL This section summarizes the authority and requirements of the change control process. The change control requirements will be identified in the general conditions of the construction contracts and the overall process will be detailed in the Construction Management Procedures Manual. Rev 4 May 2018 4-11 4.6.1 Authority to Issue Contract Change Orders The JPA relies on RT's Change Order process to issue contract change orders. RT has an established process that must be followed in order to issue a contract change order. The following is excerpted from RT's Procurement Ordinance: Subject to the availability of funds, the GENERAL MANAGER is authorized to bind RT to Streetcar change orders if the change order meets all of the following requirements: A. For CONTRACTS originally awarded for a price of $100,000 or less, the GENERAL MANAGER has authority to issue change orders if the sum of original CONTRACT price and all such change orders does not exceed $100,000. For CONTRACTS originally awarded for a price of greater than $100,000 but less than $1,000,000, the GENERAL MANAGER has authority to issue change orders if the sum of all such change orders for any single CONTRACT does not exceed 10% of the original CONTRACT price. B. For CONTRACTS originally awarded for a price of less than $10,000,000, but more than $1,000,000, the GENERAL MANAGER has authority to issue change orders if the sum of all such change orders for any single CONTRACT does not exceed the following percentages of the original CONTRACT amount: 10% of the first $1,000,000, plus 8% of the balance. C. For CONTRACTS originally awarded for a price of $10,000,000 or more, the GENERAL MANAGER has authority to issue change orders if the sum of all such change orders for any single CONTRACT does not exceed the following percentages of the original CONTRACT amount: 10% of the first $1,000,000, plus 8% of the next $9,000,000, plus 6% of the balance. D. Notwithstanding the foregoing, any single change order that exceeds $100,000 require BOARD approval. E. Change orders approved or ratified by the BOARD are not counted in calculating the monetary limitations set forth in A through C above. F. Notwithstanding the foregoing, the GENERAL MANAGER has authority to issue change orders in such sums as may reasonably be necessary if the GENERAL MANAGER determines, in writing, that a change order is required to: 1. Prevent interruption of the work which would result in a substantial increase in cost to RT; or Rev 4 May 2018 4-12 2. Protect the work, or equipment or materials to be used in the work, human safety, or the environment at or near the site of the work from substantial and immediate danger or injury; or 3. Protect the work, or equipment or materials to be used in the work, or human safety or the environment at or near the work site where damage or injury has occurred from further or additional damage or injury or deterioration caused by man, nature or other source. In addition, in accordance with the Governance documents, RT must also receive JPA approval prior to issuing a change order. The JPA Executive has signature authority for contract change orders up to $250,000. Contract change orders in excess of $250,000 need JPA Board approval. 4.6.2 Contract Change Order Process A Contract Change Order (CCO) is a written document prepared by RT and executed by both Contractor and RT that: • Changes the Contract Price, as modified by any previously-executed CCOs; or • Alters the schedule for performance of the Work under the Contract; or • Makes any other change to the Contract, or makes a combination of any of the aforementioned Contract changes. A CCO may be initiated in one of three ways: (1) RT may issue a unilateral CCO to Contractor at any time, which must be signed by Contractor within 2 days of receipt. If Contractor disagrees with any terms or conditions set forth in a unilateral CCO, Contractor must sign it with the statement "signed under protest" within 2 days of receipt. Within 15 days after signing the CCO under protest, Contractor must submit a written protest stating the points of disagreement and, if possible, the Contract references, quantities, and cost involved. If Contractor is requesting additional time in connection with the protest, the protest must include a Time Impact Evaluation (TIE). If Contractor fails to submit a TIE with its protest, Contractor will be deemed to have waived any additional time for the Change. The compensation under a unilateral CCO may be Unit Price, Force Account or Lump Sum, as determined by RT. Notwithstanding any protest, Contractor must immediately begin Work and continue Work in accordance with the unilateral CCO. Contractor is responsible for any delays due to the failure to commence Work. Where a protest concerning a CCO relates to compensation, Contractor must keep full and complete records of the cost of such Work and quantities of material, labor and equipment involved and must permit RT to have access thereto as may be necessary to assist in the determination of the compensation payable for such Work. Rev 4 May 2018 4-13 Within 15 days after receipt of Contractor's fully-documented protest, RT will provide notice to Contractor that either: (1) the protest has been rejected and the terms and conditions of the CCO will not change; or (2) that RT will modify the CCO, in whole or in part, in response to the protest. (2) RT may issue a CCO in response to a Change Quote (CQ) provided by Contractor. Contractor must sign any such CCO within 2 days of receipt. Contractor will be deemed to have accepted, and may not protest, any CCO issued by RT that is based upon a CQ, unless the terms and conditions of the CCO vary materially from the Request for Change Quote and CQ. (3) If Contractor (a) receives any order, direction, instruction, interpretation, or determination of RT that Contractor believes constitutes a change to the Contract Documents, including a response to an RFI, or (b) encounters differing site conditions that, in Contractor's opinion, merit a change to the Contract Price, or in the schedule for performing the Work, as set forth in the current updated progress schedule, Contractor may deliver to RT a Change Order Request (COR) within 15 days after the event giving rise to the request. Any request for extra time must include a TIE. RT will respond in writing to a COR within 15 days after receipt and (a) reject the COR in whole or in part; (b) request additional information regarding the COR, (c) issue a CCO in accordance with the COR, or (d) indicate that it desires to commence negotiations regarding the COR. If RT does not respond within 15 days, the .COR is deemed rejected. If RT responds to the COR by requesting additional information or commencing negotiations, RT's response will not be deemed final until RT either rejects the COR or issues a CCO. Contractor may file a protest only with respect to RT's final response to the COR. Such a protest must be filed within 15 days after Contractor's receipt of RT's response to the COR. Where a COR relates to compensation, Contractor must keep full and complete records of the cost of such Work and quantities of material, labor and equipment involved and must permit RT to have access thereto as may be necessary to assist in the determination of the compensation payable for such Work. Within 15 days after receipt of Contractor's fully-documented protest of RT's response to a COR, RT will provide notice to Contractor that either: (1) the protest has been rejected and the previous response to the COR will not change; or (2) that RT will modify its response to the COR, in whole or in part, in response to the protest. 4.6.3 Finding of Facts (FOF) The FOF provides supporting information to the basis, analysis, justification, and reasoning of a Contract Change Order. The FOF entails the following: o Discretionary or Non-Discretionary Determination. The key distinction between a discretionary and non-discretionary change in scope is a vital step to determining Rev 4 May 2018 4-14 whether or not the change is implemented. A discretionary change is one in which the Project can do without and still meet design criteria and other requirements. A non-discretionary change is one which must be performed in order to meet Project objectives. Where schedule or cost is impacted, and based on alternatives and recommendations by the CM, RT may elect not to implement a discretionary change. o Reason for Change. There are many reasons for changes including design changes, owner changes requested by RT, differing site conditions, schedule changes, administrative changes that modify general conditions, or other reasons as may be required by the City and affected agencies. o Development of Alternatives. The CM Team will evaluate cost and time saving alternatives to the changed work scope. These alternatives will be developed and presented to RT. o Facts and References. Contract specification numbers and drawing numbers that are affected by the change in scope will be cited as well as other key correspondence and documents. 4.6.4 Negotiations A formal negotiation process will be instituted in order to scrutinize and come to agreement on change order costs with the Contractor. The independent cost estimates prepared by the CM Team staff will be of vital use during this stage. Depending on the magnitude of the change, a pre-negotiation position may be prepared and reviewed in advance with RT. 4.6.5 Change Order Approvals. Once changed work is identified and justified, the issuance of a change order will be expedited. Plans and specifications for the changed work will be included in the change order document. Change Order Approvals shall be in accordance with RT's SOP's and RT's Procurement Ordinances. Design ·and construction-related changes require review by RT's Director of Design and/or Design and Construction Management Team. If any proposed change is not in compliance with the Project Design Document, that request must be reviewed and approved by the Design and Construction Management Team, which includes RT's technical leads and OR, as well as the CCB. This process provides necessary design configuration control check for those changes that modify the original design and ensures all changes do not impact the overall integrity and safety of the Project. Contract Change Order monetary approval authority is described in Section 4.6.1. The CM Team. coordinates and arranges for the approval and authorization of all drawing revisions, design changes, and contract variations. Once the Design and Construction Management T earn have authorized a change order, the CM T earn takes the lead in preparing the necessary change order documents. Rev 4 May 2018 4-15 4.6.6 Change Control Board RT will establish a Change Control Board (CCB) that will meet on a periodic basis to review change orders that are above the level of authority of the Director, Construction Management as well as those that have major cost, schedule, scope or environmental impacts. See section 3.5.4 for CCB details and Board members. 4. 7 Risk Management An Risk Assessment is anticipated to be performed by FTA at the 95% Design submittal date to manage risk. The purpose of risk management is to improve Project delivery through early identification of potential issues, proactive management of potential impacts to cost and schedule, and identification of opportunities for improvement. Risk management includes four fundamental components: (1) Hazard Identification, (2) Risk Assessment, (3) Risk Analysis, and (4) Risk Management. The risk management process is summarized in the following figure: Hazard Identification Hazard/Opportunity Id 1 Risk Management Enact . Risk Assessment Workshop Risk Analysis Determine critical Mitigation QualitaHve Risk assessment for Monte Catto risks Measures probability (P) and Impact (S) slmulatlon to Decide mitigation Design, Risk Register ---+ determine risk ~ ..... Risk Matrix exposure measures contract, auanUtotlve Risk Assessment Cost/benefit analysis schedule, etc. l I 4. 7 .1 Risk Identification Several design, construction, cost and revenue risks may influence the capital cost estimate, schedule and quality of the Project. Risks considered are broken down into design and construction categories as shown in the following table: Design o Scope of work o Constructability o Schedule o Design criteria o Design standards o Data reliability o Design complexity o Design completeness o Construction plans o Engineering competence o Environmental mitigation o Site conditions o Quality and performance o Construction methods Rev 4 May 2018 4-16 o Regulatory requirements o Safety program o Cost estimating errors o Real estate acquisitions o External relations o Labor and Material Shortages Construction o Defective design o Contract disputes o Faulty workmanship o Hazardous materials on site o Contractor competence o Interferences o Unforeseen site conditions o Other utility-related delays o Accidents o Archaeological delays o Unidentified utilities o Third party litigation o Endangered species on site o Design scope changes o Lack of materials or equipment o Permitting delays o Subcontract problems o Delays related to real estate or o Weather, floods and fires right-of-way acquisitions o Labor strike o Community and business needs 4. 7 .2 Risk Assessment Risk assessments will be conducted as follows: a. Brainstorm hazards b. Define hazards as specifically as possible c. Translate the hazard into risk statements d. Evaluate risks in qualitative terms o Risk Assessment Workshop. A formal Risk Assessment is conducted through a series of focused workshops on various design/construction elements and disciplines. Discipline leads and their teams will "walk the Project" and the team, along with peer reviewers (typically industry experts) will identify hazards that could have an impact on the Project cost and schedule. o Risk Register. Risks are captured in a Risk Register recording the hazard, its cost impact, schedule activity impact, an unmitigated qualitative assessment, mitigation measures, a re-assessment on the mitigated risk, and status. The individual or organization responsible for managing each risk will be identified, and recorded. 4. 7 .3 Risk Analysis Based on the Risk Assessment, the Project Team will participate in the FTA's Risk Analysis. During the Risk Analysis, numerical ranges for probability and severity will replace qualitative descriptions. Rev 4 May 2018 4-17 4.7.4 Risk Mitigation The Project Manager will continually update the Project's Risk Register. This ongoing risk management process will provide RT, the JPA, the cities and the PMT with information, assessments and strategies to efficiently and effectively manage and mitigate risk on the Project. The objective of monitoring the Risk Register is to instill a 'total risk management mindset' in all members of the Project team, so that result can reflect the confidence of an on-time, on-budget delivery. Regular monitoring of the status of the risks, opportunities and effectiveness of the Risk Register will be embedded in the Project's culture and procedures to assure that actions . are being implemented and are effective. Project risks and their status will be discussed at regular Project meetings. 4.8 Contingency Management The Risk Register will be updated and expanded prior to completing Project Development. This update incorporates the Risk Register items and identifies the following: • Minimum levels of cost and schedule (float) contingency to be reserved at various stages of the Project. • Mitigation measures to execute should the forecasted cost at completion require more contingency than allotted during the particular phase. • Forecasting methodologies to determine the amount of contingency remaining as well as the potential amount of contingency at risk. 4.9 Dispute/Conflict Resolution 4.9.1 Partnering RT fosters the concept of partnering in all construction contracts; past experience in partnering has resulted in a reduction in construction claims. 4.9.2 Disputes Should the partnering process not avoid a claim, the CM Team will analyze the claim by referring to the Contract, all relevant Contract Specifications, Drawings and Documentation, including photographic records. The CM Team shall prepare a position paper that details the issues, the reasons for disagreement and shall include all related documentation for substantiation. 4.9.3 Escalation An escalation ladder shall be established that identifies the various levels of escalation, typically as follows: Rev 4 May 2018 4-18 Level Agency Representative Contractor Days to Representative Resolve Prior to Escalation 1 Inspector Superintendent 1 2 Resident Enqineer Project Manager 3 3 Director, Construction Project Sponsor 7 Manaqement 4 Director, Project Vice President 14 Manaqement / OR 5 VP, Engineering and Senior Vice 14 Facilities President 4.9.4 Dispute Review Board The Project Manager and JPA OR, using input from the cities of Sacramento and West Sacramento, may choose to establish a Dispute Review Board for the Project contracts. This board would be kept routinely apprised of the status of the Project regardless of disputes. Specific claims procedures will be described in the contract documents. 4.10 Insurance 4.10.1 Professional Consultant Agreements While the JPA, through the JEP Agreement, has authority to acquire insurance as necessary, each prime contractor shall furnish proof of insurance coverage specified in the contract. A Certificate of Insurance serves as proof of insurance coverage, and conforms to the following language and minimum limits of insurance coverage. Consultant, by submission of its Proposal, attests that it can provide evidence of all the insurance requirements listed below. Additionally, consultant, at consultant's sole cost and expense for the full term of the Contract or any renewal thereof, obtains and maintains at least all of the following minimum insurance requirements prior to commencing any work or receiving payments therefore under this Contract: o Commercial General Liability. A Commercial General Liability policy with a minimum limit of not less than $5,000,000 combined single limit for bodily injury and property damage, providing at least all of the following minimum coverage's: o Premises Operations o Blanket Contractual o Worker's Compensation and Employers' Liability. A Workers' Compensation and Employers' Liability policy written in accordance with the laws of the State of California and providing coverage for any and all employees of Consultant. o This policy provides coverage for Workers' Compensation o This policy also provides coverage for $1,000,000 Employers' Liability. Rev 4 May 2018 4-19 o Auto Policy. A Comprehensive Business Auto policy with a minimum limit of not less than $1,000,000 combined single limit for bodily injury and property damage, providing at least all of the following coverage's: o Coverage's are applicable to any and all leased, owned, hired, or non owned vehicles used in pursuit of any of the activities associated with this Contract. o Professional Liability. Professional Liability policy in an amount not less than $1,000,000 per occurrence. o If this policy contains a deductible clause, it should not be greater than $100,000 per occurrence. o If the deductible is greater than $100,000, prior approval must be obtained from the Human Resources Manager. o Endorsements. All of the following endorsements are required to be made a part of each of the above required policies as stipulated below: o "Sacramento Regional Transit District (hereinafter referred to as 'RT'), its employees, officers, agents and Consultants are hereby added as additional insured." o The cities of Sacramento and West Sacramento, its employees, officers; agents and Consultants are hereby added as additional insured. o "This policy will be considered primary insurance as respects any other valid and collectible insurance RT may possess, including any self-insured retention RT may have, and any other insurance RT does possess will be considered excess insurance only." o "This insurance will act for each insured and additional insured as though a separate policy had been written for epch. This, however, will not act to increase the limit of liability of the insuring company." o "Thirty (30) days prior written notice of cancellation will be given to RT in the event of cancellation." This endorsement (30 days' notice) is the only endorsement required to be made a part of the Workers' Compensation and Employers' Liability and Professional Liability policy. o RT reserves the right to approve policy limit deductibles. o Proof of Coverage: All required Endorsements will be attached to the Certificate of Insurance, which will be provided by the Consultant's insurance company as evidence of the stipulated coverages. o Special Provisions o The foregoing requirements as to the types and limits of insurance coverage to be maintained by consultant, and any approval of said insurance by the Board, RT, or their insurance consultant(s) are not intended to and will not in any manner limit or qualify the liabilities and obligations otherwise assumed by Consultant pursuant to this Contract, including but not limited to the provisions concerning indemnification. Rev 4 May 2018 4-20 o RT reserves the right to withhold payment to Consultant in the event of material non-compliance with the Insurance Requirements outlined above. Rev 4 May 2018 4-21 5 PROJECT DELIVERY AND PROCUREMENT PLAN This section describes the Project Delivery and Procurement Plan that RT anticipates for the Streetcar Project. It is organized as follows: o Procurement Procedures o Contracting Strategies o Identification of DBE Opportunities and Goals 5.1 Procurement Procedures As defined in the Design, Procurement and Construction Agreement, procurement for the Project is guided by the RT Procurement Policy Manual (PPM), approved by the FTA and dated December 30, 2009. The PPM prescribes general procurement policies that guide the solicitation, award, and administration of all RT's contracts and purchase for supplies, services, equipment and construction. The PPM sets the general procurement policy and standards that will govern the conduct of RT's procurement activities and the personnel engaged in these activities. The PPM is referenced as a Companion Document in Appendix A. The appropriate managers are responsible for developing the scope of services to be provided or technical specifications for all procurement contracts. In addition to developing the scope of services, the managers are responsible for performing and documenting an independent cost and/or price analysis for the goods or services and providing copies of the cost and/or price analysis to Procurement Services for the contract administration files. To ensure knowledge and coordination of Project-related procurement activities, procurement staff will attend on-going Project meetings including Project action meetings and, as appropriate, contract weekly progress meetings. Procurement staff arid Project Controls staff will assure that document control for procurement-related Project documentation (contracts, submittals, invoices, payments, DBE and prevailing wage compliance, etc.) is coordinated between Procurement Services contract management system and Primavera Contract Manager (document control module) system. A detailed description of the processes and methodologies used to coordinate between the two systems will be addressed in the Project Controls Procedure Manual. RT provides a monthly Procurement Matrix to the Project team. This matrix tracks anticipated contracts, their estimated or actual costs and timing of each item. Below is a sample of the Procurement matrix used by the Project team (Exhibit 5.1) Rev 4 May 2018 5-1 Exhibit 5.1: Downtown Riverfront Streetcar Procurement Tracking Matrix Status as of 05/01/18 sec cost Pre-Bid Bid Board Applicable Activity/ No. Procurement Package Lead Issue For Bid NTP Code •ease Year Conference Opening Approval Notes Back-Off Calendar Days from Procurement NTP -130 -120 -75 -30 0 (Approximate) Abansado/ Final Design SeNces (Task 1) 80.01 12/18/15 12/28/15 02/11/16 03/27/16 /26/2016 ( Scofiek:l $4,704,885 A) 85% Design 100% Final Design Services (Tasks Abansado/ 80.01 $5,453,355 (A) 11/22/16 12/02/16 01/16/17 03/02/17 /1/2017 (A Design/Maintenace 2, 3&4) Scofield Design NTP Issued on 4/19/18. Construction Management 80.04 Gamble $12,000,000 (A) 07/25/17 08/15/17 10/15/17 03/12/18 /19/2018 ( Work order #1 also executed. Abansadol Delayed NTP reflects Streetcar Vehicle Purchase 70 $34,190,000 (E) 05/17/17 06/27/17 11/20/17 07/23/18 10/01/18 4 Scofield anticipated SSGA date. RT Board approved on Abansado/ 1/22/18. JPA Board Maintenance Facility Design 80.01 $1,000,000 (E) 06/15/17 07/11/17 08/01/17 01/22/18 /2/2018 (A Scofield approved on 3/20/18. NTP Issued on 4/2/18. Scope being developed. OJtreach Consultant 80.03 Noble/Scofield $750,000 (E) 03/20/18 04/05/18 05/01/18 05/23/18 09/01/18 Award delayed to reflect anticipated SSGA date. Civil/frack/Systems/ Streetcar Construction* Mult Gamble $101,715,000 (E) 09/30/18 10/15/18 12/10/18 01/22/18 04/06/19 a Stations Construction. Separate contract from Maintenance Facility 30.02 Gamble $8,545,000 (E) 06/05/19 06/20/19 07/20/19 08/02/19 08/17/19 Civil/frack/Systems/ Construction 9 Stations Construction Abansado/ Issued later during licket Vending Machines 50.06 $1,800,000 (E) 03/01/20 04/01/20 05/01/15 05/15/20 06/15/20 10 Norman construction RFP issued on May 2, Project Con~ols Consullanl 80.03 Scofield $1,500,000 (E) 5/2/2018 (Al 03/02/18 03/18/18 05/11/18 06/01/18 11 2018. Date pushed back to Special Trackv.ork 10.12 Gamble $6,200,000 (E) 06/07/18 06/17/18 09/1S/18 09/30/18 10/20/18 accommodate additional funding. 12 Totals $177,858,240.00 WATCH LIST Currently part of overall construction package. Station Construction Package* Jan-00 Gamble $6,948,000 Could become separate package depending on timing of vehicle NTP. 11 *If Stations are bid separately, the cost of the separate contract Y.OUld be subtracted out of the o\eran conslruction cost listed on Item #8 5.1.1 Responsibilities Under the Design, Procurement and Construction Agreement, the JPA appointed RT to provide design, construction and procurement services for the Project. Any Project Invitation to Bid ("ITB") or Request for Proposal ("RFP") solicited by RT must be approved in writing by the JPA Board before the 1TB or RFP is advertised_ Also, prior to RT executing and/or awarding a contract following the 1TB or RFP, JPA Board approval is also necessary unless such pre-approval is waived or delegated in writing by the JPA Board. For both approval to release and awarding of the contract, the JPA Executive and/or OR will present the item to the JPA Board for approval and/or award_ The RT Project Manager will be present to support the item as necessary. Rev 4 May 2018 5-2 RT's Project Manager, Contracts and DBE, and designated Project staff are responsible for preparing the applicable request for qualifications (RFQ), request for proposals (RFP), invitation to bid (1TB), letters of solicitation (LOS), etc. Prior to issuance, RFQs, RFPs, ITBs, and LOSs are reviewed for form and content by RT's Legal Division\. Under RT's existing Procurement ordinance, the RT Board of Directors must approve the release RFQs, RFPs, and ITBs for projects that are not in RT's Tier O or Tier 1 of the approved Capital Improvement Plan. Staff will be able to release Streetcar RFQs, RFPs, and ITBs without RT Board approval because the Project is included in the Capital Improvement Plan. The JPA Board will need to approve the release of solicitations. RT's Manager of Contracts and DBE publicly advertises RFPs and ITBs as set out the RT Procurement Ordinance. When a consultant is selected or a successful bidder has been determined, and all proposer/bidders are notified of the intent to award, and, if no protests are filed, RT's General Manager/CEO or Board of Directors (based on the value of the contract) approves the award of a contract. Once again, under the Streetcar Design, Procurement and Construction Agreement, JPA approval is required prior to award of the contract. In most cases, RT and JPA Board approval will be necessary prior to award. It is not necessary for one Board to approve before the other; if the RT Board takes action first, the contract award will be conditioned on JPA Board approval. Following approval and award of a contract by the necessary Boards, RT's Manager, Contracts and DBE will be responsible for processing the required submittals for execution of the contract. Once the contract has been fully executed, the RT Project Manager will issue Notice to Proceed (NTP) to begin work. RT's Construction Management Department is responsible for processing invoices from consultants and contractors. Approvals for payment of invoices are required from Project staff overseeing the contract, the RT Project Manager and the VP of Engineering and Facilities. 5.1.2 Methodology Procurement of services and materials requires consideration of the Project schedule and budget, which allows for integration of interdependent services and construction activities, and fulfills all applicable federal, state, and local requirements concerning issues such as Buy America, Fly America, cargo preference, DBE, and RT's Procurement Ordinance. Selection of consultants and contractors will conform to RT's Procurement Ordinance and contracting procedures, and comply with FTA guidelines for procurement. RT's contract administration team consists of the Director, Project Management, Director, Construction Management, Manager, Contracts and DBE, and other responsible staff overseeing the contracts. The design consultants and RT technical staff will develop technical specifications and drawings for the bid documents. The Rev 4 May 2018 5-3 Manager, Contracts and DBE will review the standard contract boilerplates as appropriate for Project contracts. The Legal Division will review and approve the solicitation documents and contract documents. The contracts administration team will participate and assist in the bidding and contract award process including: printing and distributing bid documents; advertising for bids; conducting pre-bid and pre-proposal meetings; administering document addenda; collecting and opening bids; administering bid evaluation and contractor selection; resolving selection disputes; and preparing conformed contract documents. Administration of the Streetcar construction contracts is guided by the Procurement Policy Manual and Project Construction Management Manual. The Manager, Contracts and DBE, as delegated by the Contracting Officer, will have independent oversight authority from the Director, Project Management and the Director, Construction Management. 5.2 Contracting Strategies The design and construction of the Project will require the procurement of services, equipment and materials, and installation and construction (public works). RT's Manager, Contracts and DBE, working closely with the RT Project Team, will monitor and maintain all contracts. Contracts will be packaged in a manner that most efficiently or strategically secures the services, equipment and materials, and construction. RT will maintain a spreadsheet to track various contracts. The spreadsheet will provide the following information: • Selection of Project Delivery Method • Type of contract unit (services, equipment, material, or construction). • Brief scope of each contract unit (work included and work not included) • Associated contracts (for example - installation contract unit for owner-furnished equipment contract unit) • Approximate cost estimate of each contract unit. • Schedule and sequencing strategy for bidding, award and start of installation, including schedule relationship to associated contract(s), and long lead time requirements. • Contracts for the Streetcar Project may include the following: o Community Outreach o Construction Testing and o Information Systems Inspection o Real Estate Services o Civil and Track o Project Management Construction o Design and Architectural o Systems Construction (various disciplines) o Station Construction o Legal and Appraisal o Work by RT and city o Construction Management forces Rev 4 May 2018 5-4 o Work performed by third parties The RT Project Team wiU meet regularly with the PMT during Project Development to interface with key staff to determine timing of procurement packages and how it relates to schedule and budget. Meetings with RT's Project team will become more frequent as · the Project advances through Project Development and with receipt of a Small Starts Grant Agreement. 5.2.1 Services Contracts These contracts are used to provide professional services, such as design support, including engineering and architectural services, construction management services, contract administration support, community relations, and other professional services requiring special training or expertise. Other services (non-professional) are defined as any services that are labor intensive, and not requiring a special license, educational degree, and unusual or highly specialized expertise, including maintenance services, employment services, security services, and delivery services. The non-professional services are acquired through either contracts or purchase orders. All consultants and contractors report to various design managers (and other RT related staff). 5.2.2 Public Works Contracts These contracts are to provide for the installation, construction, alteration, demolition, or repair work of a public facility. The public works contracts will be in conformance with applicable federal, state, and local laws. RT will follow its PPM and FTA procurement procedures and requirements established for third party contracting for all construction contracts issued to guarantee full and open competition. In some cases, it may be more efficient and/or cost effective to utilize staff from the cities of Sacramento and West Sacramento, as owners of the Project, to perform some aspects of this work. 5.2.3 Supply of Materials and Equipment Contracts These contracts are to provide for the procurement of materials and equipment that will typically be installed by a construction contractor. RT will follow its PPM and FTA procurement procedures and requirements established for third party contracting for all materials and equipment contracts issued to guarantee full and open competition. 5.3 Identification of DBE Opportunities and Goals Disadvantaged Business Enterprise (DBE) participation is actively solicited on a race and-gender neutral basis for all RT procurements for consultant, contractor, and material supply contracts. For FTA funded contracts with subcontracting opportunities RT shall attempt to meet or exceed the FTA-approved DBE participation goal through race-and-gender neutral means. The statutory basis for the DBE program is addressed in Chapter 6 - Labor Relations and Policies. Rev 4 May 2018 5-5 RT maintains and updates a listing of consultants, contractors, and material suppliers. If a firm has indicated its eligible status as a DBE, this is shown on RT's list. RT utilizes the services of various outreach agencies to assist in notifying DBE firms of contracting opportunities. Information about these agencies can be obtained from RT's Manager of Contracts and DBE. RT's Manager, Contracts and DBE, with the assistance of the RT Project Manager, shall take steps to ensure that DBEs are affirmatively encouraged and are afforded an equal opportunity to compete for contracts and subcontracts. These steps shall include, but are not limited to, the following: • Offering assistance as needed to acquaint DBEs with RT contracting and procurement procedures. • Providing pre-bid conferences to explain DBE requirement.s, inform firms of subcontracting opportunities, and allow firms to inquire· about the contracting process or Project details. • Requesting DBE outreach agencies, trade associations, technical assistance firms and minority economic development agencies to circulate bid announcements, including bid specifications and to encourage DB Es to bid. • Specifying the longest practical bid period to give DBEs ample opportunity to develop a complete bid package or proposal and secure necessary assistance. • Providing information on projected future contracting and procurement opportunities. • Establishing contact with DBE trade associations and technical assistance agencies in order to become more familiar with the services and capabilities of these groups. • Maintaining communications with other agencies administering similar programs. RT's Manager, Contracts and DBE, with the assistance of the RT Project Team members, will endeavor to assist DBEs in RT's proposal, qualifications, and bid processes. Assistance will be offered directly by RT, as well as by referral to other assistance agencies to all interested firms, including DBEs. Such assistance shall include, but not be limited to, the following: • Making available, for review and evaluation, successful bid documents of previous similar contracts whenever practicable. • Arranging debriefing sessions, when requested, to provide specific reasons for unsuccessful bids. • Providing information on job performance requirements. Actual compliance with DBE goals set for the contract, if any, is tracked by these methods: • The primary proposer or bidder must submit the "List of Subcontractors and DBE Participation Certification" form (see Exhibit 5-1) as part of the proposal or bid package. For consultant services, only the percentage of DBE participation is Rev 4 May 2018 5-6 shown, and the cost proposal submitted in a sealed envelope contains the dollar value of the DBE participation. • A monthly DBE Utilization form (see Exhibit 5-2) must be submitted with each monthly invoice or progress payment request. A summary of DBE utilization will be submitted to FTA with the monthly Project update. Upon completion of the contract, a summary of these records shall be prepared and certified as to their correctness by the consultant or contractor or his/her duly authorized representative, and shall be furnished to RT before the contract termination date and before final payment is authorized by RT. • DBE utilization information from each contract shall be collected by the Manager, Contracts and DBE and compiled into a report detailing the DBE utilization for the entire Project. Rev 4 May 2018 5-7 EXHIBIT 5-1 LIST OF SUBCONTRACTORS AND DBE PARTICIPATION CERTIFICATION PROGRAM Listing Subcontncton: Punuant 10 c.w«nia Public Ccnlnlct Codo I 4104, Iha Bidder 1hall llal bolO'N Iha nama and locadon of Iha place ol bulln-of NCh IUbcon1nlCIOI' who wit perform wmk, labor, render• 1111V1ce, or 1peclally fabrlcala and lnstaR a portion ol lhe work or lmprovem1111, In an amount In axcoa o1 one-half of one pe"""" (.5'11) of Iha lolal bid omount pr ne..... ,y, use tddlllonal eheat&) PB!: Partlclpallon:' To be ellglbla for award ol a conlracl, lht Bidder mull ueo Its heal eftorll 10 awaRI aubcontnela to dlladvanlllgod butlnes. llllorprlau (DBl!a) conslstont wllh 11ro goof lor DIii: partlclpadon os doscrlbod In Iha Bid Documonrs. Par SICllon 4 ol Ntaclvnant V-3, Iha bidder aholl oxecute tho followklg cerUftcallon relallng to Da&. Evidence lhat the DBE prime Gontnotor and/or ,ubcontractors Hated btlow are aertlf11d muat be aubmlt11d t,v tho lhlff low Blddaro wltNn 7:l houro of bid aubmlHal daadllne. If any of tho lhno lownt Blddoro falla to moot tho 081: oontnct gaol, documentaUon ol 81dder-a good filth llfforta to fflfft aueh goal rnuet al10 M aubmltted within 72 houra of lhe bid aubmlttal deadllne 111 Ill euch 81ddero (aN SHllon e, Attachment V-3), This c.nlllcallon 1hall be deemed a part of Iha N11ulllng conltaCI. Falun to complete and oubmll tin form or the lnclualon of a falla -lffcallon may rander Iha bidding non-reeponslve. ======-====.---,cartlllH lhat ft hH c:oniactod Iha following D8Es and r ft Is Iha 1ucce..rut blddar on 1h11 proJact. ft shall awaRI 1ubconiiiict1 to Iha followlrlg 081:s u lndlcalod: pl noceswy, 1119 oddllonal _, Connet hem1 and If DBE· List C.rtilylng DBE Ethnic Name & Addrass of OelCflpllon of Work Agency and Cert. No. or DollarAmounl 'II or Wod< 10 be Group•• to ba AwaRled DBE Contractor/Subcontractor- to ba Awarded Dara AwaRladDBE TOTAL P'AIITJCIPATION OF DB& ONLY --- Name and Phone No. ol Contractor DBE LJalso.,.______$ ______DBE ------" • Unllu ahady ctrllild. RTa EEO Ollcet must cedly .. DBE• pro, 1o ....rd Ol lhe conlrlCl •• Seo o.r~n1 • Sec1iot1 3 ol.Alacbmant V~ TOTAL BIO AMOUNT $ ______ Rev 4 May 2018 5-8 EXHIBIT 5-2 MONTHLY DBE REPORT FORM MONTHLY REPORT, UTILIZATION OF DISADVANTAGED BUSINESS ENTERPRISES [DBE) FOR THE MONTH OF _____ ~~~b~O .. ·•------fg=TOR:.______~~:iN~~;~~W!ll't~:,--.------ WOl.1EN-OWNEO CONTRACT ITEM NUMBERS AND 'OUTRACiu:tMEtill NAME OF DBE OR DESCRIPTION Of WORK COPJMENTS ITitNICGROUI' PERf0RM£M.IATEIIIALS PROVIDIO DBE TOTAL THIS REPORT $ D8E utilizaUon proposed at %" llma of bidding (If none p,oposed. lndiclle "O") TOTAL TO DATE s DBE % %" 'percentage oflnltial conlracl bid amount To the best of my Information and be6ef, lhe above information Is complete end correct. I celfifythat the above ilformation Is complele and correct. Signature -Resilent Engineer Dote Co-cfM Representalive Dale Rev 4 May 2018 5-9 6 LABOR RELATIONS AND POLICIES RT has been in business since 1973. RT is fully cognizant of all statutory or regulatory requirements related to human resources and labor relations. This section is organized to provide the following information: • General Rules and Regulations • Wage Rates and Classifications • State and Local Regulations • No-Strike Agreements • Off-Site Manufacture/Assembly 6.1 GENERAL RULES AND REGULATIONS Those regulations that constrain, control, or otherwise impact the Project are listed as follows: Federal Requirements. By use of Federal funds on the Project, RT must conform to certain Federal requirements in the personnel/labor area and meet other Federal regulations, which apply regardless of funding sources. Those cited here might not be complete but they cover most of the Federal requirements that apply. Civil Rights Requirements. RT must comply with all civil rights program requirements that apply to transit-related projects. The applicable civil rights program areas follow Title VI of the Civil Rights Act of 1964 (Service Delivery/Benefits); Equal Employment Opportunity (EEO); the Disadvantaged Business Enterprise (DBE) Program (49 CFR Part 26); and the Americans with Disabilities Act (ADA) of 1990. All required civil rights program submissions must be approved by the FTA and periodically updated in accordance with program guidelines. Nondiscrimination. Section 19, enacted as part of the Surface Transportation Assistance Act of 1978, states that no person shall be excluded from participation in, be denied the benefits of, or be subject to discrimination on the basis of race, color, creed, national origin, sex or age, under any project, program, or activity funded in whole or in part through FTA financial assistance. This nondiscrimination provision applies to employment and business opportunities and is to be in addition to the provisions of Title VI of the Civil Rights Act of 1964. Title VI (Service Delivery/Benefits). RT, on behalf the cities of Sacramento and West Sacramento, is requesting Federal financial and is subject to the Title VI requirements in FTA Circular 4702.1, entitled 'Title VI Program Guidelines for Federal Transit Administration Recipients." Once the initial Title VI submissions have been approved, updates are required every three years unless otherwise requested by the FT A. Equal Employment Opportunity. Because of the magnitude of the Project and RT's past use of FTA capital and operating assistance grants, RT is required to have its EEO programs approved by the FT A. Further, this requirement must be extended to RT Rev 3 March 2018 6-1 contractors who have more than 50 employees. RT has an Equal Employment Opportunity Program, which is maintained and updated. It will be reviewed for any changes that the Project may precipitate. Additionally for construction contracts over $10,000, contractors are subject to the requirements in 41 C.F.R. Part 60-4 and Executive Order 11246 which set goals and timetables for minority and female participation, expressed in percentage terms for contractor's aggregate work force in each trade on all construction work in the covered area. The goals in the Project area for minority participation in each trade is 16.1 %. The goals in the Project area for female participation in each trade is 6.9%. Disadvantaged Business Enterprise Program. RT must meet the requirements of the US Department of Transportation's Minority Business Enterprise Regulation (49 CFR Part 26 and Section 106(c) of the Surface Transportation and Uniform Relocation Assistance Act of 1987 {STURM). RT maintains a program designed to involve disadvantaged business enterprises to the maximum extent possible in all facets of its contracting and purchasing activities. The Disadvantaged Business Enterprise Program was developed in accordance with the policies of the RT Board of Directors and conforms to expectations of US Department of Transportation (US DOT) and the FT A. RT's written "Disadvantaged Business Enterprise Program" is included in this document by reference. As the Streetcar Project approaches full implementation, the opportunities for participation by DBEs are greatly enhanced simply by the sheer volume of work. The RT Board of Directors will, in a timely manner, review its currently established contract and purchasing goals to determine how they should be adjusted to apply to the period of this Project or to reaffirm those goals for this Project. This may result in the requirement to update the DBE Program. Americans with Disabilities Act Requirements. RT and its contractors must comply with all applicable requirements of the Americans with Disabilities Act of 1990; Section 504 of the Rehabilitation Act of 1973, as amended, Section 16 of the Federal Transit Act, as amended and the following regulations and amendments thereto: • US DOT regulations "Transportation Services for Individuals with Disabilities (ADA)," (49 GER Part 37); • US DOT Regulations, "Nondiscrimination on the Basis of Handicap in Programs and Activities Receiving or Benefiting from Federal Financial Assistance," (49 CFR Part 27); • US DOT regulations, "Americans with Disabilities Accessibility Specifications for Transportation Vehicles," (49 CFR Part 38); • Department of Justice regulations, "Nondiscrimination on the Basis of Disability in State and Local Government Services," (28 CFR Part 35); • US DOT regulations, "Nondiscrimination on the Basis of Disability Public Accommodations and in Commercial Facilities," (28 CFR Part 36); • General Service Administration regulations, "Accommodations for the Physically Handicapped," (41 CFR Subpart 101-19); Rev 3 March 2018 6-2 • EEO Commission, "Regulations to Implement the Equal Employment Provisions of the Americans with Disabilities Act," (29 CFR Part 1630); • Federal Communications Commission regulations, "Telecommunications Relay Services and Related Customer Premises Equipment for the Hearing and Speech Disabled," (47 CFR Part 64, Subpart F); and, • FTA regulations, "Transportation for Elderly and Handicapped Persons," (49 CFR Part 609). 6.2 Wage Rates and Classifications 6.2.1 Existing Labor Agreements RT has entered into agreements with the Amalgamated Transit Union (ATU/AFL-CIO), represented through Local 256, the International Brotherhood of Electrical Workers (IBEW/AFL-CIO) represented ·through Local 1245, and the American Federation of State, County and Municipal Employees, District Council 57, Local Union 146. These agreements, as amended from time-to-time, covers certain RT employees, specifically mechanics and shop employees, bus and light rail operators, transportation supervisors, and various administrative technical employees " The coverage of these collective bargaining agreements is typical of labor agreements and addresses principal wages, employee benefits, and work hours, overtime and other personnel matters. Locals 256, 1245, and 146 are the sole and exclusive bargaining agents for the employees covered. Any RT employees working at any point on this Project will remain represented by their respective Union. 6.2.2 On-Site Construction The labor conditions that will pertain to local construction of the Project are the same as for any heavy construction project in California. Because of the use of Federal funds, certain Federal Statutes will apply, including the classification of RT contracts by the Department of Labor for Davis-Bacon minimum wage rates. RT will request such classifications in advance of completing each set of bidding contract documents. All RT contracts will carry the federally mandated clauses pertaining to employment and human relations. 6.2.3 Wage and Hour Requirements RT must comply with all federally-decreed wage and hour requirements, including but not limited to the Davis-Bacon Act, 40 USC; the Copeland Act, 18 USC Section 87 4, et. Seq. as supplemented by Department of Labor regulations set forth in 29 CFR Parts 1,3,5,6 and 7. Rev 3 March 2018 6-3 6.3 State and Local Regulations The Project's participants, including all contractors, must identify and comply with all relevant Federal and State laws and regulations. Where conflicts exist between the Federal and State laws covering the same or similar areas, the Project will follow the law that is most advantageous to the employee. 6.4 No-Strike Agreements Any PLA will be consistent with any requirements and guidelines set out in the February 6, 2009 Presidential Executive Order on the Use of Project Labor Agreements for Federal Construction Projects. 6.5 Off-Site Manufacture/Assembly Where an RT contract will include the manufacturing and/or assembly of items or components at sites remote from northern California, the labor conditions and any bargaining unit representation will be matters of fact that cannot be influenced by RT at such plant locations. All RT contracts will carry the federally-mandated clauses listed above. Rev 3 March 2018 6-4 7 CONSTRUCTION OF FIXED INFRASTRUCTURE - PROCEDURES This section describes RT's plan, by agreement with the cities of Sacramento and West Sacramento, for the management of Streetcar's fixed infrastructure construction. It forms the basis of RT's construction management for the Streetcar Project and is supplemented in detail by the Construction Management Manual. This section is organized as follows: • Construction Management and Administration - General discussion of the construction management and administration phase of the Project. • Organization, Roles and Responsibilities • Construction Safety and Security • Pre-Construction Activities • Construction Phase Activities 7.1 Construction Management and Administration - General RT, working closely with the JPA and the PMT, has assembled a Construction Management Team, led by PGH Wong, to perform Construction Administration and Construction Management functions for the Project to assure conformance with the Contract Documents and the appropriate City, County, State and Federal regulations. The Construction Management Team will consist of the RT Project Manager, OR, Project Controls Manager, Director, Construction Management, Construction Management Department, a CM Consultant team, and various ·support staff of RT and consultant personnel. RT, working closely with the OR, intends to perform various services with in-house staff and will issue Work Orders to the CM Consultant to perform specific scopes of services pertaining to construction management and administration. The CM Team is responsible for construction administration, coordination, inspection and final acceptance activities. Construction management activities will be performed in three Project phases as generally outlined below. • Pre-Construction Activities o Constructability Reviews o Construction Management Manual o Quality Assurance/Quality Control Program o Environmental Compliance Inspection and Reporting Plan o Safety and Security Management Plan o Owner Furnished Materials Management Strategy o Master Project Schedule Review o Value Engineering o Project Field Office Establishment o Pre-Construction Photography and Video Documentation Rev 3 March 2018 7-1 • Construction Phase Activities o Pre-Construction Conference o Construction Management System o Cost Control o Schedule Control o Inspection o Materials Sampling and Testing o Construction Surveying o Prevailing Wage and DBE Monitoring o Submittals and RFls o Meetings and Progress Reporting o Environmental Mitigation Compliance o Public Relations and Visitors o Logistics Plan o Record Drawings o Final Inspection and Acceptance of the Work o Final Payment 7.2 Organization, Roles, and Responsibilities The Project Manager, working closely with the OR, is responsible for overall construction management and administration. Reporting to the Project Manager are the Project Controls Manager, Chief, Environmental Health and System Safety, and Director, Construction Management. RT's Director, Construction Management is supported by the CM Consultant, and a staff of Resident Engineers, Assistant Resident Engineers, Inspectors, Administrative Assistants, other staff and consultants. Refer to the Project Organization charts in Section 2 for a visual representation of the Project's organizational relationships. Retaining the services of the CM Team firm (PGH Wong) was done through a RFP process. The CM Consultant reports to RT's Director, Construction Management. The CM Team consists of a Construction Manager, Deputy Construction Manager, Resident Engineers, Inspectors, Office Engineers, and other support staff as required. The CM Consultant will provide construction management support services including material verification testing (contractor has primary material testing responsibility), mitigation monitoring, survey verification, utility coordination, and partnering facilitation services. The intent of the Project Roles and Responsibilities is for RT to manage the Project in a cooperative fashion with all partner agencies in a completely transparent fashion. Any changes that substantially effect scope, schedule, budget and eventual operations are fully vetted with all partners and are in compliance with all FTA requirements. 7 .3 Construction Safety and Security Safety is of prime importance in all projects and is the responsibility of all Project personnel at all levels. Each contractor must develop a construction Safety and Security Program that is specifically tailored to the construction of the appropriate Rev 3 March 2018 7-2 segment of the Project. The contractor's Safety and Security Program must meet the requirements of RT, CAL OSHA, and OSHA. All construction contractors are responsible for monitoring construction activities to ensure that their work is performed safely and that the Project's safety requirements are maintained. 7.3.1 Safety and Security Program Plan RT's Chief, Environmental and System Safety is responsible for reviewing the implementation of the contractor's Safety and Security Program Plan, auditing the effectiveness of those efforts, and providing guidance to the Project team on the minimization or elimination of hazards. RT, working closely with the JPA, will define minimum expectations of job safety, health, fire, security, and environmental performance. Consideration must be given to the safety of all Project stakeholders including but not limited to the City of Sacramento, City of West Sacramento, Caltrans, Yolo Transit, RT employees, Construction Management staff, patrons, and the general public throughout all phases of the Project. The Safety and Security Program Plan provides the communication link between the various management, supervisory and labor organizations on this Project needed to support a viable safety effort from design to revenue service. Contractor activities are governed by standard prov1s1ons in each contract. Construction meetings are held with the contractor and sub-contractors to review safety requirements. Specially designed pamphlets are provided to advise contractors of specific hazards, control methodologies, and special requirements for working safely around light rail operations. A pamphlet designed specifically for contractor employees advises of personal safety issues and emergency preparedness when working around light rail operations. Each construction contractor is charged with the responsibility of developing and implementing a site specific Injury and Illness Prevention Program (IIPP) for Safety and Security that conforms to the Safety and Security Program Plan. This Project requires the active participation and full cooperation of all employees and contractors to ensure individual safety and security, as well as minimizing the additional costs that result from accidents. It is in the best interests of all those supporting this Project to: • Provide the necessary tools, equipment, staffing, and resources to perform the work in a safe manner, • Plan work using acceptable practices, procedures and methods that will not result in injury, property damage or loss of productivity, • Ensure that materials, tools, and equipment furnished are free of defects before use. • Ensure proper training has been completed and instructions or warnings are followed, Rev 3 March 2018 7-3 • Provide and use personal protective equipment including maintaining guards or safety devices in working order, • Communicate safety issues in monthly safety meetings, weekly toolbox sessions and daily job briefings and other periodic Safety Stand Downs, • Promptly report accidents, hazards, unsafe practices, or unsafe conditions to ensure they are investigated for cause and corrected. • Immediately report serious safety issues and • Comply with RT contract safety requirements, local laws and ordinances, state and federal safety and security regulations. The construction contractor has a non-delegable responsibility for safety, health, fire, security, and environmental conditions at the Project site, and to ensure tha~ employees and subcontractors follow contract requirements in performance of their work. The contractor must establish work plans, procedures, and practices that will not pose a potential hazard to employees, other crafts, the public or adjacent businesses and environment. The contractor will cooperate and coordinate with the Resident Engineer and CM Consultant team in the conduct of safety meetings, safety committees, inspections, training, emergency response and prompt notification of accidents or hazards. The contractor must control the Project site by restricting entry of suppliers, visitors, consultants, or others that are not job briefed to the hazards present and suitably attired or wearing necessary personal protective equipment for job site conditions. 7.3.2 Site-Specific Contractor Requirements Contractors are required by contract and by CALOSHA to provide an IIPP specific to the hazards found at the work site. The plan must name a qualified person in charge of the program; cover essential safety, fire, health, and security issues; address how these issues are communicated to employees; disclose how violations are handled; and require employee training, among other things. In addition to the IIPP, there are other CALOSHA requirements to meet, including an emergency plan with map and emergency phone numbers, first aid training, locations of fire extinguishers, first aid kits, eyewash and safety showers. CALOSHA also requires posting of certain information at the job site and a Code of Safe Practices. RT reviews the submittal for completeness. Once reviewed, any changes to the Contractor's IIPP during the life of the Project will require another submittal for review. Contractors must comply with local, state, and federal regulations that govern the work performed on this Project. Failure to comply with contract safety provisions, or regulations issued by authorities having jurisdiction, will result in a written NCR, which can be issued by the RE, the CM, or RT safety personnel. If the event is life threatening or persistent violations occur, a Stop Work Order can be issued and/or personnel who are employees of the contractor or subcontractor can be removed from the Project. The contractor will not be entitled to additional compensation or time extension resulting from any notice, order, or other action taken as a result of non-compliance with the safety requirements of this Contract, applicable laws or regulations. Rev 3 March 2018 7-4 • Safety Meetings The contractor is required to support its Project Safety Plan by providing monthly safety meetings, weekly toolbox sessions and daily job briefings that include relevant safety issues. Advance notice of scheduled meetings to the CM staff is needed so they can satisfy their monitoring requirement of meeting attendance. The meetings also satisfy CALOSHA IIPP requirements On-Track Safety requirements. (Note: Task hazard analysis also satisfies the need for a good job briefing for the day's work). • Safety Training All contractor employees must maintain current On-Track Safety training as a provision to be qualified to work on the right of way. The training must meet the requirements of the Fed.era! Railroad Administration Roadway Worker Protection Rule 49 CFR Part 214C. The contractor is required to provide a qualified safety representative to the Safety Coordinating Committee. The Safety Coordinating Committee will meet monthly to review the activities of the previous month, plan and coordinate activities for the upcoming month, evaluate training, conduct emergency drills, monitor program effectiveness, and make recommendations for solutions to safety problems. The committee is comprised of the safety representatives of all of RT's civil and systems contractors, RT Safety staff, and the Resident Engineer. Contractor's safety representative must have at least three years of construction safety experience and be knowledgeable of construction safety arid health regulations of CALOSHA. The contractor provides the documentation and testing documentation for Safety Certification requirements for the Project applicable to the work performed. Safety Certification verifies that facilities and equipment have been designed, constructed, inspected and tested in accordance with safety requirements. Procedures, training, emergency preparedness and integration between civil, systems and stations are also tested and verified to be free of critical hazards. 7.3.3 Administration Safety program administration is an oversight function of RT's CM Team. The major safety support activities of the CM Consultant include: • Review of contractor submittals of Site Specific Safety Plans. • Review of contractor submittal of an IIPP that is site specific. The plan shall be reviewed for completeness in the areas of safety, health, fire, security, and environmental programs. • Establishing Emergency Preparedness procedures for the CM Team. • Monitoring contractor safety and security activities, including: o Contractor's safety meetings, job briefings, and safety training, such as On-Track Safety. Rev 3 March 2018 7-5 o Contractor's work site safety and security practices. o Handling of NCRs (safety non-compliance). • Resident Engineers, Inspectors or Safety personnel have the authority to issue Stop Work Orders and remove unsafe personnel if life-threatening conditions exist. • Scheduling Safety Performance Reviews, and site inspections. • Reviewing contractor Task Hazard Analysis forms. • Monitoring the Safety Coordination Committee activities. • Review Inspector and RE reports for safety-related issues • Organize and conduct routine Safety Coordination meetings with contractors, consultants and RT Staff. • Provide notice to RT's Chief, Environmental and System Safety if there is any inconsistency regarding the System Safety and Security Plan. • Coordinate the Safety/Security Certification Documents to verify that Certificates of Conformance are properly signed and appropriate documentation is included with the Certification Documents. 7.4 Pre-Construction Activities The following activities are identified for development and/or completion during FTA's Project Development Phase and prior to FT A's Construction Phase. 7.4.1 Constructability Reviews The Constructability Review will review Project construction documents when they are between 50% and 85% complete and produce comments and recommendations on the documents relating to constructability, such as conflicts, interferences, construction work areas, and practical construction methods. Please refer to Section 3.3.1 for RT's schedule of when these reviews are scheduled to take place. 7.4.2 Construction Management Manual Development and implementation of the Downtown Riverfront Streetcar Construction Management Manual provides the framework to successfully manage and execute the Project. Existing RT construction procedures will be supplemented and specific procedures will be tailored to the Downtown Riverfront Streetcar Construction Management Procedures. The following are key components of Construction Management procedures that will be addressed in the manual: • Establish Responsibilities. Team member roles and responsibilities from the Construction Manager to the support personnel and QA inspectors will be clearly defined to assure coverage of all CM tasks. • Implementation of QA/QC Plan. The implementation of the QA/QC plan will further assure coverage, completion, and quality performance of all CM tasks. • Schedule Control. Procedures for the timely review the contractor's schedule and job progress will be established. These reviews will be made on the Rev 3 March 2018 7-6 contractor's baseline schedule, the monthly schedule updates, impact evaluation schedules, and the 3-week look-ahead schedule. • Cost Control. Procedures to actively control, monitor and keep RT and JPA informed of construction costs, including contractor pay estimates, change order estimates, potential claims, forecasted cost at completion, and the Project budget will be established. These procedures will be guidelines for accurate cost forecasts, enabling RT and the CM Team to complete the Project within budget. • Document Control. Accurate and efficient document control procedures will be established along with the implementation of specialized Project management software, Contract Manager. • Review Procedures. Review procedures will be established to efficiently review construction documents including submittals, RFls and change order requests. • Construction Inspection. Standard daily procedures for Inspectors will be established to monitor work per the contract documents, inspect work for workmanship, and monitor construction activities. Inspectors will be trained in the utilization of the inspection records module of Contract Manager for recording daily reports and Project photographs. The Downtown Riverfront Streetcar Construction Management Manual will provide the procedures to execute the construction management and administration plan described in this section and will also provide procedures for various construction management activities, including: contract time and weather documentation, non-conformance reports, materials sampling and testing, concrete placement records, construction progress meetings, payment, force account work, schedule control, contractor's submittals, progress status reporting, contract changes, communications, contract file system, Project record documents, insurance, photographs, potential claims, RT furnished and excess material, work on the operating system, relationships and contacts with the public, final acceptance/payment, labor compliance, emergency operations, forecast at completion, maintenance of work, value engineering and suspension of work. 7.4.3 Quality Assurance/Quality Control Program The Qua[ity Assurance/Quality Control (QA/QC) Program is an important facet in assuring that the construction quality is not compromised. The CM Team's QA/QC Program will be developed in the Pre-Construction Phase of the Project and carried out through Project Completion. The CM Team QA/QC program will be established in accordance with "FTA-IT-90-5001-02.1 Quality Assurance and Quality Control Guidelines", and will be consistent with this PMP and Quality Assurance Plan. The program will be submitted to RT for approval. Essential elements of the QA/QC Program will include: • QA/QC Management & Responsibilities. Every team member is responsible for the quality of the Project. However, the CM Team will designate an independent QA/QC Officer who is responsible and authorized to assure that the Quality Program is implemented and continually maintained. Rev 3 March 2018 7-7 • Documented Quality System. The quality system, including specific procedures and instructions, will be established and maintained throughout the life of the Project to assure that activities affecting quality are monitored and controlled. • Document Control. Document control procedures will be established and maintained such that all documents are readily available as required throughout the Project. • Inspection and Checklists. Daily and periodic inspection procedures and checks will be established to review quality of both construction work and internal work products. • Training. All key staff employed on the Project will undergo training including introduction to the Project Management Plan and Construction Management Procedures. 7.4.4 Safety and Security Management Plan The CM Team will review the following documents in preparation for the work: • Safety and Security Management Plan (SSMP). Review the SSMP to determine the CM Team's role in the overall Safety and Security Management process as identified by RT in accordance with the FT A requirements. • System Safety Program Plan (SSPP). Review the SSPP to determine the CM Team's role in the overall System Safety Program Plan and in preparation for revenue service activities in accordance with the State Safety Oversight (CPUC) requirements. • Safety and Security Certification Plan. Review the Safety and Security Certification Plan and develop a Safety and Security Certification Binder that will be held in each construction trailer. The binder will have a list of the certifiable elements list and certifiable items such that submittal, inspection, and test verlfications can be documented for safety and security certification throughout the life of the Project. In this way, the safety and security documentation process will be expedited as the Project reaches the pre-revenue service stage. • System Security and Emergency Preparedness Plan (SSEP). As part of safety training, the Safety Officer will present the SSEP to all members of the CM Team to assure that all are aware of the emergency procedures. 7.4.5 Master Project Schedule Review During the Pre-Construction phase, the CM Team will review the Master Project schedule with RT and its Project Controls Consultant. The CM Team will work with the Project Controls Consultant to develop a thorough understanding of the Project schedule interfaces, constraints, milestones, and Project reporting requirements. The review of the practicality and achievability of these milestones, early and often in the Project, is crucial to on-time completion and minimizing exposure to contractor requests for time and financial compensation. Rev 3 March 2018 7-8 7 .4.6 Project Field Office Working with the Cities of Sacramento and West Sacramento, the CM Team will determine suitable locations and manage the selection of the site and implementation of associated site improvements including: access, office trailers, fencing, utilities and equipment as necessary. If possible, a location will be chosen that can later be expanded to accommodate additional consultant staff and the field office(s) of one or more of the construction contractors. Site preparation and readiness of CM field office by the CM Consultant shall be complete on a date that precedes the initial Notice to Proceed of the Civil/Systems/Stations construction contract by approximately 30 days. The Construction Manager's field office will be sized to accommodate the Resident Engineer, Office Engineer, Administrative Assistant, and QA Inspectors for each of the contracts. This office will also be able to accommodate the Labor Compliance officer, Safety Officer, and Project Administrator. It will have furniture, computers, and other office equipment to allow the CM staff to do their work. Work vehicles will be provided for the Resident Engineer, Office Engineer, Inspectors, and Safety Officer. There will be parking spaces available for the work vehicles, personal vehicles, and visitors' vehicles. The CM field office will have security, telephones, computer systems, office equipment, filing cabinets, conference rooms, and supplies so that the Construction Management activities can be performed efficiently and effectively at this location. 7.4.7 Pre-Construction Photography and Video Documentation The CM Team will perform Pre-Construction Photography consisting of the following: 1) Low-level aerial photography will be performed; 2) Digital photographs of affected properties, environments, structures, and infrastructures will be taken as necessary; and 3) VideoNoice documentation of Project areas will be performed as necessary. These photographs and videos may later prove invaluable in dispute resolution with contractors and other entities. 7 .5 Construction Phase Activities The following activities are identified for development and/or completion during FTA's Construction Phase. 7.5.1 Pre-Construction Meeting Soon after contract award and before RT or the PMT issues a Notice to Proceed to the contractor, RT's Director, Construction Management, under direction from the PMT, will schedule a pre-construction meeting with the contractor. At this meeting, the contractor should be represented by an officer of the company, the contractor's Project Manager and other relevant contractor representatives (see CMM for details) .. This meeting has multiple benefits: It provides a forum for the CM Team and the contractor to discuss administrative procedures and other items of mutual interest regarding the terms of the contract and scope of work; It provides the CM Team with the opportunity to reiterate actions that must be accomplished by the contractor prior to start of work; It provides an Rev 3 March 2018 7-9 opportunity for the CM Team to confirm the work start date, total construction time, and interim milestone completion dates; and it enables the Project team to discuss important procedures such as safety, QA/QC, invoicing, change orders, restrictions on the use of equipment, etc. 7 .5.2 Construction Management System Streetcar PMT will procure Primavera Contract Manager as the Construction Management System to cover all of the Project phases including construction. Primavera Contract Manager Module (Contract Manager) will be used to provide access to various Project team members for the purpose of executing the Project at its maximum level of efficiency. The system will allow communication between the various consultants, contractors and RT staff whereby contractors can enter correspondence,. RFls, submittals, etc. directly into the system for processing by the Construction Management team. Responses to the contractors are directly entered into the system as required, thus eliminating the time required to deliver the responses by hand or by mail. The system shall be user-friendly, while flexible enough to expand with the needs of the Project as necessary. The Construction Management System will be administered and maintained throughout the course of the Project by the CM Team. At the completion of the contract, the Construction Management System and all related files will be turned over to RT in accordance with the Construction Management Procedures Manual. The Project Team will continue to use Buzzsaw® to facilitate drawings and technical reviews through the construction phase. 7 .5.3 Cost Control The ability to control costs is a critical activity for the CM Team on this Project. The CM cost control will include evaluations of cost impacts as well as accurate and up-to-date information on all Project costs. Accurate cQst information, evaluations, estimates, and forecasts are tools to enable RT and the CM Team to work together in completing the Project within budget. Cost Control during the construction phase involves the following key elements that will be further discussed: o Cost Management Utilizing Contract Manager (CM Software) o Forecast Cost at Completion Maintenance o Change Order Management o Contractor Pay Request Review • Cost Management Utilizing Contract Manager The CM Team must be able to monitor and control the Project costs and keep RT informed of accurate, to-date, and forecasted Project costs. An integral tool in the CM Rev 3 March 2018 7-10 Team's Cost Control program is the use of RT's designated construction management software, Contract Manager, to accurately update and report Project costs. Each member of the CM Team will utilize Contract Manager as a central location for the accounting, documenting, and retrieval of accurate Project cost information. Contract Manager will be utilized to administer and maintain reports for quantities installed, change orders, bid item adjustments, claims, and other incurred costs. • Forecast Cost at Completion The CM Team will manage the Forecast Cost at Completion of the Project through the daily maintenance and assessment of all Project costs. Through accurate and up-to date management of cost information, the CM Team and RT will be able to identify any areas of the Project which require attention or mitigation to reduce costs. Contract Manager will be able to generate a Forecast Cost at Completion Report that will itemize all construction costs including original contract value, change orders (approved, pending, and balancing), back-charges, and potential claims. The report will be automatically updated through the use of the system by the CM Team staff. A report will be formally reviewed and generated at the end of each week to assure that all costs are up-to-date and accounted for. This report will be included in the Resident Engineer Weekly Report. In addition, any time a Potential Change Order or Change Order is generated, it will be accompanied by a Forecast Cost at Completion Report such that the impact to the final costs is immediately known and cost control can be proactively applied. • Contractor Payment Requests The construction contract requires the contractor to submit a breakdown bid items into measurable elements to provide a basis for payment; this document is referred to as the Schedule of Values. For each pay period, the contractor shall submit an Application and Certificate for Payment, including supporting documentation, using the accepted Schedule of Values as a basis. It is the contractor's responsibility to accurately represent the quantities or percentages of work in progress. The contractor is encouraged to review and discuss the estimated earned quantities of work with the CM prior to submittal. The CM Team shall review the Application and Certificate for Payment and verify via site investigation and/or inspection reports and document in accordance with the Contract Measurement and Payment clauses each quantity and value as shown in the Application and Certificate for Payment. All acceptable billings for work in progress shall be forwarded to RT for payment; RT will make payment for any undisputed work within 30 days of receipt of a properly submitted Application. The CM Team shall identify any disputed items to the contractor in writing within 7 days of receipt of the Application. Rev 3 March 2018 7-11 7.5.4 Risk Management The FTA has instituted a comprehensive risk assessment process. The risk assessment process includes a full scope, schedule, cost, technical capacity/capability, transit capacity, environmental, and contingency assessment. This assessment is supported by the development of a risk register identifying the risks, the likelihood of their occurrence, and the potential impact. These risks must be mitigated throughout the development and implementation of the Project. The CM Team will assist RT in executing its Risk Management Plan such that the identified risks are shared with the team members who can assist the most in mitigating the various risks. Mitigation actions will be assigned and the CM Team will meet monthly to review the risks and mitigations. Risk management activities will be addressed at these monthly meetings to determine the most efficient way to mitigate the risks. A risk register will be developed to track key risks. The risk register includes the following: • Contract Affected • Risk Register Item Number • Potential Impact, including cost and schedule • Mitigation Action Required • Responsible Person for Mitigation Action • Due Date for Action Required • Status • Final Resolution Major issues identified by the Project delivery team would be added to the list as the Project progresses. 7.5.5 Claims Avoidance and Mitigation A construction claim is a written request by the contractor for a contract adjustment in terms of money, time, and / or other consideration. The intent of construction claims mitigation, avoidance and control is to either avoid claims entirely or to resolve issues promptly in order to minimize any adverse impact. Effective claims avoidance and mitigation begins in the very earliest stages of a Project, and continues through Project close out. The discrete phases of a Project from preliminary engineering through construction present different opportunities to mitigate future claims. Causes of construction claims are usually related to one or more of the following items: • Disagreements in interpretation of drawings and/or specifications • Incomplete drawings and/or specifications • Incomplete or inadequate scheduling effort • Unrealistic performance assumptions • Late or non-existent submittals • Directed or constructive changes in method or manner of performance • Differing site conditions Rev 3 March 2018 7-12 • Disputes over owner furnished, equipment, materials and services • Directed or constructive acceleration • Untimely or excessive owner initiated changes • Alleged interference or delays caused by another contractor or subcontractor • Improper rejection of allegedly defective work • Wrongful termination of contract • Loss of productivity If potential claims arise, the CM Team will evaluate them in terms of their merit and potential impact to Project costs and schedule. Key elements of the CM Team's approach to claims avoidance and mitigation include: • Early Identification. Early identification of potential risks, delays, disagreements, and ambiguities. • Avoidance. Issues will be avoided through exploration of early schedule efficiencies to build Project float, providing early and expeditious clarifications, instituting a dispute resolution and escalation process. The Risk Management process will be instituted. • Mitigation and Resolution. If issues impact cost and schedule, mitigation schedules will be explored to reduce the overall impact. These issues should be resolved quickly through fair negotiations based on the facts and merits of each potential claim. The CM Team will recommend various options in an effort to reach agreement with the Contractor and resolve the potential claim. CM personnel will review the nature and extent of the claim and attempt to resolve all claim issues at the lowest level possible. Formal claims procedures will be specified in the contract documents and CM personnel will follow the procedures as described in the contract.. Formal partnering, dispute resolution boards and arbitration are some options to mitigate the impact of claim issues. Contract claims will be resolved in accordance with the provisions established in the contract documents. Attempts to resolve claim issues will include: • Field discussions with the contractor and designer who understand the nature and extent of the claim • Conformance to procedures • Claims review meetings • Establishment of a formal claims procedure prior to the start of work • All claim issues will be resolved at the lowest possible level. 7.5.6 Partnering and Disputes Review Board The Streetcar PMT fosters the concept of partnering in all construction contracts. RT experience in partnering has resulted in a reduction in construction claims. Should the Rev 3 March 2018 7-13 partnering process not avoid a claim, the CM Team will analyze the claim by referring to the Contract, all relevant Contract Specifications, Drawings and Documentation, including photographic records. The CM Team shall prepare a position paper that details the issues, the reasons for disagreement and shall include all related documentation for substantiation. The RT Project Manager and OR may choose to establish a Dispute Review Board for the Project contracts. This board would be kept routinely apprised of the status of the Project regardless of disputes. Specific claims procedures will be described in the contract documents. 7.5.7 Schedule Control Reference the Project Controls Section of the PMP for Schedule Control during Construction. 7.5.8 Construction Inspection and Testing Daily inspections must review the work performed in accordance with the contract documents. The inspections must be documented in an inspector daily report (IDR). • Inspection Preparation All inspections must be pre-planned, coordinated with the construction contractor and properly documented by established procedures. The Resident Engineers will keep the inspectors informed of the critical path and near critical construction activities. Through review of the plans and _specifications, Inspectors will prepare inspection checklists for major elements of work requiring inspection. Inspectors will meet briefly on a daily basis with Resident Engineers to discuss field occurrences and appropriate actions or procedures • Inspection Reporting Inspectors will document all construction activities performed in the field in Contract Manager and in accordance with the RT Construction Procedures Manual. This documentation includes the Inspector's Daily Reports (IDR), Project Photos, Non Conformance Reports, and as-built markups of field installations observed on the red line set of contract documents. The IDR will include documentation of quantities of bid items installed, work performed by schedule activity, labor, equipment, and deficiencies. The inspectors will provide photo documentation, annotated with descriptions and specific activity IDs corresponding to the contractor's Update Schedule, with particular emphasis on the documentation of critical activities and change order/force account work. The Resident Engineer will review IDRs on a regular basis Rev 3 March 2018 7-14 • Materials Sampling and Testing The construction Contractor will have primary responsibility for Material Sampling and Testing as identified by the construction contract. The CM Team will provide Materials Testing resources to RT's Quality Assurance Staff to perform check testing to independently verify the results of the Contractor's testing program. For more details on the testing procedures and process, see the Downtown Riverfront Streetcar Quality Assurance/Quality Control procedures. • Construction Surveying Construction check surveying will be provided by the CM Team's surveyors on an as needed and check basis. The contractor will have the primary responsibility for survey control. Survey checks will be performed as needed to confirm proper construction of work based on the survey coordinate systems. Survey checks over the construction contractors' survey work will verify that: o Construction is performed to accurate line and grade in accordance with the plans and specifications. o Adjacent work and structures by different contractors are correctly placed relative to each other. o Errors in layout do not occur, resulting in costly delays, rework, claims and disputes between involved parties. • Prevailing Wage, DBE Monitoring and Project Labor Agreements Prevailing wages, project labor agreements and DBE requirements will. be addressed at pre-bid meetings. The CM will perform the day-to-day monitoring of the Prevailing Wage requirements of the construction contracts. In addition, the CM will conduct monthly labor-standards interviews of construction workers, with the goal of interviewing 100% of the labor force over the course of the Project. In cases where the contractor is found to be non-compliant, the CM will advise RT, send notification to the contractor, and verify that the non-compliance is corrected. The CM will also monitor and report contractor compliance of the DBE requirements. The Labor Compliance Officer may audit the contractor's certified payrolls to ensure compliance with Prevailing Wage requirements. • Submittals and Requests for Information Submittals must be reviewed carefully, transmitted to design consultants within the specified time limits, and responded to sooner if possible to assist in the expedition of schedule. Similarly, Requests for Information (RFI) must be responded to quickly with input from design consultants as appropriate, as it may require immediate attention for field work to continue. Key elements of the review process are described as follows: Rev 3 March 2018 7-15 • Pre-Assign Reviewers. During the pre-construction phase, the CM Team will work with RT and its other consultants to determine the appropriate individuals responding to a particular type of submittal or RFI. In the case of submittals, the individuals (lead and supporting reviewers) responsible will be assigned directly to each item in the contract deliverables list. • Anticipated Schedule Review. The CM Team will work with the contractor to determine the submittal schedule for each contract deliverable. This submittal schedule will be shared with all members of the review teams. The updated schedule will be shared on a monthly basis from the contractor's Monthly CPM Schedule. • Distribution. Once a submittal or RFI is received, it will be quickly reviewed by the RE to assure that it is generally complete per the contract requirements to avoid distribution of incomplete submittals for review. Any incomplete submittals will be immediately addressed with the contractor. The submittals and RFls will be distributed electronically via Contract Manager. The lead reviewer along with supporting reviewers will be identified in Contract Manager along with a due date. • Response. Once the lead reviewer responds, the response is sent directly to the RE (unless the RE was the reviewer) to review for completeness prior to issuing to the Contractor. • Meetings and Progress Reporting This sub-section addresses the Project Team's approach to communicating through formal meetings and the documentation of information during the course of the Project. • Weekly Progress Meetings Weekly Contractor Progress Review Meetings are the foundation of coordination efforts with the contractors. The CM Team, including REs, will conduct a joint weekly progress meeting together with all prime contractors to discuss cost, schedule, and construction issues. This meeting will be hosted by the Construction Management team, and attended by the RT's Director, Construction, Director, Project Management, Director, Civil and Systems Design (or their representative), and representatives of RT's Civil and Track Design, Systems Design, Light Rail Department (operations staff), Safety and Procurement Departments, and Marketing and Communications Division. In addition, representatives from design consultants, Sacramento, West Sacramento, Caltrans, SACOG, Yolo County Transit and other stakeholders are expected to participate. Meetings are critical to coordinating and facilitating resolution of issues, including submittals, RFI turnarounds, needed public agency inputs, and multiple contractor coordination. Resident Engineers will conduct individual weekly meetings with their respective contractors to discuss topics which include, but are not limited to: o Safety. Job site safety observance, tool box meetings, reported violations, accidents/injuries. o Project Status. Planned and actual progress of the work. Rev 3 March 2018 7-16 o Schedule Updates. Review of schedule updates and account of calendar days. o Submittals. Requirements and status of submittals. o Requests for Information. RFI status and criticality. o Change Orders. Change Order status and criticality. o Costs. Payment invoices and other budget issues. o Coordination. Traffic, access, contractor interface, permits, etc. o Quality. Inspection reports, site cleanliness. o Issues. New and outstanding issues. o Action Items. Action items will be managed and documented in a log. The CM Team will distribute meeting agenda, meeting minutes and action items. • Weekly Resident Engineer Reports The Resident Engineers will prepare weekly Project Status Reports outlining the current status of the following items: o Project schedule including milestones and two-week look-ahead o Nonconforming item listing including resolution o Deficiencies including resolution o Contract Change Order status, including proposed, estimated, pending, or otherwise o Claims including potential or otherwise o Community relations o Action item log for all meetings and follow up at next meeting o Other pertinent items The CM T earn will present the weekly Project Status Report to RT's Director, Construction Management and RT Project Manager for review and discussion every week. • Monthly Reports On a monthly basis, the CM will prepare and submit a progress report consisting of an executive summary, major construction activities, construction contractors' progress and construction costs, critical construction issues, photographs showing that month's significant construction activities, and the status of the construction management contract, some of which are discussed below: o Major Construction Activities. Resident Engineers will post all significant construction activities and developments on a weekly basis as part of the Resident Engineer's weekly report. The CM will review these activities and developments, consolidate and integrate them into the monthly report. o Critical Construction Issues Requiring Action. The CM, with the assistance of the Resident Engineers for each contract will identify major construction issues requiring action. Th.ese issues will be prioritized Rev 3 March 2018 7-17 according to significance, time urgency and construction impact. The CM will assign action responsibilities and required accomplishment dates. The critical construction activities affecting cost, schedule, safety or quality will be brought to the attention of RT in the monthly report. o Construction Contractors' Progress. The construction contractors' progress will be summarized by both a narrative and summary schedule. The schedule report will also discuss progress on the various contract milestones. All to-date Project costs and forecasted Project costs will be reported by totaling base contract payments, change orders, claims and potential claims. The Project costs will be updated and checked· by the CM and RE prior to submittal to RT. o Forecast at Completion Report. The CM Team will keep RT informed of Project costs. A Forecast at Completion Report will be updated regularly, at a minimum weekly, and available for RT. This report will itemize all construction costs, including original contract value, change orders (approved, pending, and balancing), bid item variances and potential claims. o Status of CM Contract Identifying any Budgetary or Staffing Concerns. The status of the Construction Management contract, including any special management reports or issues with Project budgeting and staffing will be discussed in the monthly report. • Environmental Mitigation Compliance The CM Team will provide comprehensive environmental monitoring services, as required by RT, to assure the contractors' compliance with environmental mitigation commitments and environmental permits such as discharge permits and erosion and sedimentation control requirements. The goal of these services will be to mitigate environmental issues to allow uninterrupted construction continuity. These services will include both ecological and archaeological monitoring efforts. Monitoring will assure compliance with the MMP for this Project as well as adherence to special conditions of permits received from agencies, such as the Regional Water Quality Control Board, U.S. Fish and Wildlife Service, the U.S. Army Corp of Engineers, and the California Department of Fish and Game. Specific work items for this Project, as necessary, and include: o Worker Environmental Awareness Program training information. o Conduct on-site, tailgate briefings prior to construction in sensitive areas. o Should archaeological resources be found, provide an appropriate response to permit construction to continue as expeditiously as possible. • Public Relations and Visitors The CM Team will have frequent contact with many individuals and groups regarding Project business. There is daily contact with the contractor, construction crafts, other construction management individuals, utility representatives and individuals from other Project organizations. In addition, the CM Team, through coordination with the RT's Rev 3 March 2018 7-18 Senior Community and Government Affairs Officer, will have contact with the public, businesses, government and agency representatives, vendors, and other parties concerned with the Streetcar Project. In dealing with the public, the CM Team and staff shall be courteous at all times. In response to technical questions or requests for public releases or presentations, the CM Team shall refer the inquirer to RT's Senior Community and Government Affairs Officer. The CM Team shall keep RT's Director, Construction Management and the Director, Project Management informed of all construction activities and events that may significantly affect communities, individuals, or businesses. The CM Team should give proper attention to any complaints made by the public. In all instances, the CM Team is expected to act in a professional, ethical, and business-like manner and to comply with RT and the cities established policies and procedures. Any news media inquiries are referred to the RT's Senior Community and Government Affairs Officer to determine who best will handle the interaction. In some cases, it may be appropriate for someone from the cities of Sacramento or West Sacramento to respond to the inquiry. Due to safety considerations, casual visits to the construction sites are not permitted. However, tours sometimes occur by public officials, news media, Project personnel not assigned to the particular construction contract, and other interested parties. The CM Team shall require any visitor to the construction site to sign a visitors log and follow appropriate safety practices. • Logistics Plan The contractor will be required to submit a site logistics plan(s) that addresses the following: o Material Hauling o Equipment and Material Lay Down o Temporary Site Facilities o Maintenance of Traffic o Temporary Utilities and Support of Utilities o Maintenance of Existing Transit Operations • As-Builts The contractor(s) will maintain an up-to-date set of As-Built Plans on which all contract variations and changes are recorded. See the QA/QC Plan for details. • Final Inspection and Acceptance of the Work Preparations and planning for the Streetcar contract closeout phase begin well in advance of the completion of construction. After completion of the work in accordance with the plans and specifications of the contract, a final inspection of the contract work is conducted. The CM Team performs a final inspection upon receiving a written request from the contractor. The CM Team arranges for any necessary acceptance tests and is Rev 3 March 2018 7-19 assisted by the contractor, RT construction management personnel, RT QA Team, RT operations staff and other appropriate RT and staff from both cities. In addition, the CM Team may request participation by local government representatives. Upon receipt of the results of this inspection, if necessary, the CM Team will prepare a deficiency or "punch-list," which delineates any additional or corrective work that remains to be done. The contractor will then correct any incomplete or unacceptable work. Once completed, a Notice of Completion will be filed with the County Recorder's office and the contractor shall receive relief from maintenance for the accepted work. At that point, RT or the JPA, as applicable and detailed in the governance documents, will assume all maintenance responsibility. Relief from maintenance can only occur when RT's Director, Construction Management, working closely with the OR and JPA Executive, determines that all work has been completed in accordance with the plans and the specifications listed in the contract and after the satisfactory completion of all testing and safety certification processes. Further details regarding final inspection and acceptance of the work will be included in the general conditions of the construction contract. • Final Payment Before processing the contractor's Request for Final Payment, the RT Director, Construction Management will verify that: o RT has recorded a Notice of Completion and issued a Letter of Final Acceptance; o The contractor has submitted an affidavit that all payrolls, bills for materials and equipment, and other indebtedness connected with the work have been paid; o The contractor has submitted a release of liens and claims arising from the contract; o Completed As-Built Plans have been received; o Spare parts required by the contract specifications have been received; o Operations and maintenance manuals required by the contract specifications have been received and all training has been completed; o All stop payment notices have been satisfied; o All outstanding deficiencies (NCRs) have been corrected; and o The contractor has supplied a Warranty Bond as required by contract. Details regarding the final payment will be included in the general conditions of the construction contract. Rev 3 March 2018 7-20 8 ENVIRONMENTAL ASSESSMENT/ MITIGATION PLAN In this chapter, the basis for the development of environmental mitigation measures, the procedures for monitoring compliance with identified mitigation measures, and the roles/responsibilities of Project Team members are detailed. 8.1 Delineation of NEPA Analysis Requirements/ Project Impact Analysis 8.1.1 Background The environmental review process for the Streetcar Project is governed by federal and state regulatory requirements. Under federal guidelines [the National Environmental Policy Act (NEPA)] and state guidelines [the California Environmental Quality Act (CEQA)], there are opportunities for the public to provide input on the evaluation of Project-related environmental impacts. The environmental review examines impacts of both constructing and operating the Project. The Project Team advanced an Environmental Assessment/Initial Study to satisfy NEPA and CEQA requirements. An Administrative Draft was submitted and approved for release from FTA Region IX staff in May 2015. Following adoption of a Mitigated Negative Declaration by SACOG in July 2015, FTA issued a Finding of No Significant Impact to complete the NEPA process on February 12, 2016. A series of technical studies were prepared as part of the Streetcar environmental investigations. These studies built upon the technical work that was conducted during the Alternative Analysis phase of the Project and analyzed existing conditions, and identified potential impacts under each of the built alternatives in detail. The studies initiated as part of the Streetcar IS/EA were as follows: • Air Quality Study • Drainage and Utilities Report • Financial Capacity Review (Final) • Geologic Input Report • Historic Properties and Archaeological Resources Report • Historic Properties Survey Report • Initial Site Assessment (for Hazardous Wastes) • Biological Assessment and Opinion • Noise and Vibration Technical Report • Preliminary Geotechnical Report • Project Scoping Report • Traffic Study • Travel Demand Forecasting Report • Grade Crossing Safety Analysis Report Mitigation measures developed for the Project were also finalized in the Mitigated Negative Declaration. Rev 4 May 2018 8-1 8.1.2 Mitigation Monitoring Program A Mitigation Monitoring Program (MMP) · was developed as part of the IS/EA and adopted in the Mitigated Negative Declaration. It provides a written public record of mitigation implementation and monitoring, and establishes a formal process to assure implementation of the mitigation measures adopted for the Project. • Project and Monitoring Responsibilities In the MMP, monitoring assignments are made based on the expertise or authority of the person(s) assigned to monitor the specific activity. For changes that have been required or incorporated into the Project at the request of an agency having jurisdiction by law over natural resources affected by the Project, RT, the JPA and that agency having jurisdiction will develop an acceptable reporting or monitoring program. • Mitigation Monitoring Program Elements The MMP has identified the mitigation measures, responsible party, monitoring activity, schedule for completion, and date of completion to be initiated by the appropriate agencies. RT's Director, Project Management, in close coordination with the JPA and CM Team, will be responsible for the implementation of the MMP and will utilize MMP Task Definition Sheets to assign responsibilities. See Exhibit 2.1 for a sample MMP Task Definition Sheet (taken from past light rail projects). These categories are further explained as follows: o Description of Impacts and Mitigation Measures. This is a summary qf the impacts and mitigation measures as described in the Final IS/EA/Mitigated Negative Declaration. o Lead Agency. The lead agency is the agency or individual with responsibility for ensuring the mitigation measure is carried out. o Implementing Agency. The implementing agency is the agency responsible for carrying out, or accomplishing, the described mitigation measures. o Monitoring Agency. The monitoring agency is the public agency with responsibility for monitoring to ensure that the mitigation measure is effective in mitigating the impact. o Timing. Timing specifies the date or Project phase by which the mitigation measure is to be initiated and completed. o Monitoring Record. This section of the MMP provides for recording compliance and monitoring over time and is to be initialed by RT's Director, Project Management. 8.1.3 Updating Mitigation Monitoring Program Rev 4 May 2018 8-2 If additional or supplemental environmental work is prepared for the Project, the MMP will be amended to take into account any new or changed mitigation measures that may be required under the subsequent or supplemental declaration. 8.1.4 Completion of Monitoring Program Upon completion· of the monitoring program, a summary matrix will be submitted to the cities of Sacramento and West Sacramento and/or RT's General Manager/CEO for acceptance and approval. If the MMP and all mitigation measures are completed as specified in the adopted Mitigated Negative Declaration for the Project, the appropriate individual shall accept, date, and sign the matrix summary. If one or more mitigation measures have not been properly implemented, the appropriate action will be taken to comply with the CEQA/NEPA requirements. The summary matrix shall be annotated to summarize the actions to be taken before the appropriate individuals accept, date and sign the matrix. 8.1.5 Project Records The originally-approved Streetcar MMP matrix summary will be maintained with the records for the Project. 8.1.6 Coordination with RT's Quality Assurance Program The MMP is part of the Streetcar's overall Quality Assurance program. The measures adopted in the MMP will be implemented throughout the following Project stages: • Final Design • Mobilization • Construction • Pre-Service Testing • Operations The elements that are specified for implementation during final design are meant to be included in the appropriate design drawings and specifications. By inclusion in the final design, these measures are carried out during construction. The measures that are specified for implementation during the construction phase are to be included in the construction contract specifications during the final design phase. The remaining measures are incorporated in an on-going safety and quality assurance program by RT staff. The RT Project Manager, working closely with the OR, is responsible for monitoring, administering, implementing and enforcing the MMP. Assistance will come from design staff, consultants, and RT's Director, Construction Management, depending on the Project phase. Rev 4 May 20_18 8-3 • MMP during the Design Phase. Mitigation measures to be implemented during the design phase are reviewed on an ongoing, as-needed basis by the RT Project Manager and RT's Director of Design. • MMP during the Construction Phase. Implementation of mitigation measures is reviewed on an ongoing basis by the CM Team during the construction phase. The RT Project Manager meets with RT's Director, Construction Management and construction contractors on a monthly basis to discuss currently addressed mitigation measures and those contemplated for the following month. The RT Project Manager prepares a quarterly report addressing all mitigation measures applicable to the construction phase of the Project. During the construction phase, the RT Project Manager submits monthly status reports to appropriate staff and those individuals/agencies who have requested this information. Copies of the status reports may be obtained by contacting RT's Director, Project Management at Sacramento Regional Transit District, Engineering and Construction Services Division, 2811 0 Street, Sacramento, California, 95816. Field-generated "Mitigation Monitoring Compliance Reports" are submitted by the CM Team's field Environmental Monitor(s) to the Director, Project Management on a monthly basis, as required. The format of the report is shown as Exhibit 2-2. Information from this report will inform the Director, Project Management of any non compliance conditions with respect to mitigation measures and will include, if any, an assessment of the situation with recommendations for corrective action. • MMP during the Operations Phase. Upon completion of construction, the Director, Project Management will continue to monitor and verify implementation of all operations phase mitigation measures. A primary responsibility is to ensure compliance throughout the early operational phase of the Project. During the first three years of the operations phase, yearly status reports are required only if subsequent improvements involving the Project are undertaken and if mitigation measures are required. 8.1. 7 Master Checklist The quarterly and yearly status reports will summarize the results and effectiveness of the MMP during the corresponding periods. They will include a master checklist that indicates if the Project is in compliance with the approved mitigation measures, and will recommend corrective actions, if applicable. 8.1.8 Non-Compliance If the Mitigation Monitoring Compliance Report indicates a lack of compliance with any of the Project's mitigation measures, the Project Manager will recommend appropriate follow-up/corrective measures to the PMT and/or RT's Director, Construction Rev 4 May 2018 8-4 Management and the CM Team's field Environmental Monitor(s). Lack of compliance and recommended corrective measures shall be documented in MMP status reports. 8.1.9 Amendments and Maintenance If subsequent or supplemental environmental work becomes necessary, the MMP will need to be amended to take into account any new or changed mitigation measures that may be required. Rev 4 May 2018 8-5 EXHIBIT 2-1 SAMPLE MMP TASK DEFINITION SHEET 3.3.6/7 Vehicular Traffic Impacts Description of Impact Peak-period traffic flow at identified intersections would and Mitigation exceed level of service thresholds as a result of Project Measure 3.3.11.1 implementation and operation. The following measures would mitigate impacts to traffic flow at these intersections. Franklin Boulevard/Cosumnes River Boulevard Re-stripe WB approach to include two lanes: one shared right-turn, one through, and two left-turn lanes. Lead Agency Sacramento Regional Transit District Implementing Agency Sacramento Regional Transit District Monitoring Agency Sacramento Regional Transit District Timing Start: Before and during the final design and construction phases of the Project Complete: Before initiation of LRT operations Date Signature of Monitor Action/Accomplishments Rev 4 May 2018 8-6 EXHIBIT 2-2 SAMPLE MITIGATION MONITORING COMPLIANCE REPORT Project Title: Prepared by: Date Prepared: Reporting Period: This report is to confirm that the subject project has been reviewed/inspected for compliance with the CEQA Monitoring and Reporting Program approved by Sacramento Regional Transit District and that we are transmitting _ copies of this report to RT's Environmental Coordinator (designated to monitor mitigation compliance for the project). The mitigation measures listed below were reviewed/inspected during this reporting period. Compliance by the project with these measures was determined to be as follows: Mitigation Measure Compliance Description of Mitigation Measure Reference # I Y/N Measure# Explain all mitigation measures not in compliance below or on an attached sheet. Recommend follow-up or corrective action if appropriate. Rev 4 May 2018 8-7 ::0 00 m Cl) X < I\) ::::; .j:s. CY s:: C ;::;: 0) CD '< en I 0 "'u.) 0 "'...... ::!. C/) co 'O 0) Traffic Impact 3.3.5.1.a. Restripe WB approach@ Folsom a. Go over mit mon rqmts w/Civil & Trk Design consultants a. Done 5· 1 Blvd/Hazel Ave to include two (2) right-tum, one to incorporate into plans & specs 3 - b. Done "C ::s (1) through, and two (2) left-tum lanes b. EAsure lane stripi'rg is Included in plans & specs CD ....0 s: 0 s: 2 Traffic Impact 3.3.5.1.b. Restripe W8 approach@ Folsom a. Go over mit mon rqmts W/Civll & Trk Design consultan,ts a. Done ::::i ;:;: two ....+ Blvd/Bid-.wH St to include (2) lanes-one (1 ) to incorporate into project plans & specs b. Done ::::; cc· right-tumnet-tum shared lane, and one (1) b. EnStll'e lane stripi'rg is included in plans & specs 0) exclusive left-tum lane. '< !:!: 0 s: ::s co·;::;: ""C 0) ::!. 3 Grade Crossing 3.3.5.2.a. At grade crossings adjacent to LRT a. Go over mitmon rqmts w/Civil & Track Design a. Done ....+ ::s Delays stations, RTwiU implement crossmg signal consultants to incor,porate inm project plans & specs b. Done o· coAtrol measures to minimize the amo1111t of b. Ensure crossing signal col'ltrol measures are iAcorporated ::::i 'O~- lime gates are dO'M'I v.+ien trains must stoop to in plans & specs ;;a ci)' load & unload passengers before they cross CD roadway. "C en 0 ;::i. 4 Grade Crossing 3.3.5.2.b. Af grade mssiAgs adjaceAt ta LRT a. Go over mit mon rqmts w/Civil & Track Design a. Dooe Delays stations, RTwiU install limed delay mechanisms consultants to incorporate into project plans & specs b. Dooe \hat activate crossing gates just prior to train b. Ensure crossing signal control measures are incol))Orated departures. in plans & specs 5 Vrsual & 5.3.3a. RT to invite pubHc participation in a. Go over mit mon rqmts wt Station Design consultants a. Done Aesthetics station design details during final design phase to incorporate into plans & specs b. Done of project. b. Ensure public participation is incoJporated into stations design process 6 Vrsual & 5.3.3b. RT designers to soften views ofpalking a. Go over mit mon rqmts wt Station Design consultants a. Done Aesthetics lots, stations & substations by incorporating to in,coJporate into plans & specs b. Done landscaping into final design. b. Ensure landscaping design addresses softening neighborhood views of LRT facilities . 7 Visual & 5.3.3c.- RT v,;n control potential light and glare a. Go over mit mon rqmts wt Station Design consulta11ts a. Done Aesthetics by careMly directing the lighting at the stations to incorporate into plans & specs b. Done co coI One goal of the Streetcar Project, once complete, is to ensure that the Project unifies neighborhoods, promotes a sense of community, and fosters economic development. To help achieve these goals, the following mitigation principles will be followed: • Work closely with local, State and Federal officials to ensure that long term and short term environmental issues, if any, are addressed prior to and during construction. • Have a thorough understanding and knowledge of approved work areas. • Protect waterways and storm drains by implementing protective measures. • Do not disturb any animals or natural habitat. • Do not disturb vegetation beyond what is absolutely necessary to accomplish assigned work tasks. • Report and arrange for immediate clean-up of any hazardous material spills. • Do not disturb any discovered archaeological artifacts, bones or fossils. • Create traffic detour plans that are understandable and easy to follow by those impacted by each particular closure. • Ensure a safe pedestrian environment during construction of the Project. • Avoid negative economic impacts to businesses. • Ensure that the Streetcar Project unifies neighborhoods, promotes a sense of community and fosters economic development. • Work the city of Sacramento, city of West Sacramento, Sacramento County, Yolo County and impacted neighborhoods to minimize construction-related impacts and build community support for the Project. 8.3 Plan for Management and Implementation of Mitigation Actions To assist the RT Project Manager in overseeing all environmental aspects of the Project, the CM Team will provide an Environmental Monitor who will work full time monitoring all construction activity. The specialist will be responsible for monitoring all construction-related aspects of the MMP. The Environmental Monitor will have available all resources necessary, including but not limited to environmentalists, arborists, and others to provide prompt attention to mitigation matters as they develop. Additionally, the Environmental Monitor, working closely with RT, will provide Worker Environmental Awareness Program (WEAP) training information to all field personnel as part of its ongoing field responsibilities. For construction workers and visitors new to the Project, the Environmental Monitor will provide video and/or other materials to introduce people to the environmental issues on the Project and to establish the environmental ground rules for working on the Project. Rev 4 May 2018 8-9 9 INTEGRATED TESTING PLAN Once the construction phase of the Project is completed, an integrated testing phase will be the next step toward running streetcars, followed by simulated revenue service testing and then full revenue service. Integrated testing is part of the safety certification and its goal is to verify that the new streetcar System operates as intended and that all system segments and their interfaces work together in accordance with the design specifications and plans. Proper coordination is important such that all parties involved understand the integrated testing process including RT's Operations and Maintenance, Engineering and Construction, and Safety Department. RT's Safety Department will complete the safety certification of the streetcar system and coordinate as necessary with other parties including the CPUC, and local police and fire departments. With proper planning, coordination, and comprehensive test plans and procedures, the Integrated Testing Program can successfully be implemented and documented so that the streetcar system is ready for operating as a new line, as well as running in unison with the existing light rail system. The objectives of integrated testing are as follows: • Based upon information provided by the REs, verify that proof of construction tests has been completed and that the streetcar system is ready for integrated testing. • Demonstration that the streetcar, when operating as a whole, satisfies the performance requirements of the design specifications and plans. • Verification of interfaces and satisfaction of third party requirements in accordance with the design specifications and plans. • Provide documentation of integrated testing to RT's Safety Department for its determination of safety certification. This document provides a framework for achieving the above objectives by: • Identifying the testing organization and defining the roles and responsibilities on the participants. • Establishing the process for managing test plan activities. • Defining the administrative requirements of the testing program. • Development and documentation of tests to be performed for successful integrated testing. • Complying test documentation for use by RT's Safety Department in its Safety Certification process. This section is organized as follows: • Scope • Relationship to Safety Certification Program Rev 4 May 2018 9-1 • Testing Organization • Methodology • Program Controls • Proof of Construction Tests 9.1 Scope The Integrated Testing Program delineates a standardized approach for managing and conducting the required testing activities. The Program shall be developed as follows: • Integrated Testing Plan. This is a top-level document that describes the management approach for all phases of the Integrated Testing Program. It includes statements of the Program's objectives and scope, organizational roles and responsibilities, methodology, management approach and controls. The plan shall address (1) Proof of-Construction Tests, (2) Integrated Tests, and (3) Simulated Revenue Service Tests which are defined as: o Proof of Construction Tests including contractual materials tests, factory/plant tests, installation checkout tests, inspections, and acceptance tests provide verification of functional performance and contract compliance. The Proof of Construction Tests are developed and performed by the contractor and witnessed by RT's QA/QC. o Dynamic Tests provide verification, validation, and demonstration of system performance and serve to demonstrate the operational characteristics of the various systems as a whole. The Dynamic Tests are developed and performed by the contractor and witnessed by RT's QA/QC. o Simulated Revenue Service Operations allow integration of streetcar equipment and operating procedures and are also utilized to provide training and familiarization exercises for operating and maintenance personnel. These operations provide RT Operations, as the streetcar operator by agreement with the cities of Sacramento and West Sacramento, with the opportunity to simulate and respond to both normal and abnormal operating conditions without the constraints imposed by passenger service. Also, these operations provide an opportunity to simulate streetcar revenue service along with interacting with the existing light rail system. The Simulated Revenue Service Operations Plan is developed by RT's Engineering and administered by RT's Engineering and Operations with the support of the contractor in troubleshooting the contractor's installation. The test documentation from the tests listed above will be provided to RT's Safety Department for their evaluation as part of RT's Safety Certification process. o Related Documentation Rev 4 May 2018 9-2 The following documents provide the basis for and augment the Integrated Testing Program requirements: • RT Rules Book and Standard Operating Procedures • RT Safety Certification Program • Civil track work and stations construction contracts, used to identify applicable proof of construction tests • Contract specifications and drawings relating to the procurement, installation or construction of systems equipment and facilities • Relevant test reports for all constructed civil and systems elements • California Public Utilities Commission (CPUC) General Orders • Federal Transit Administration (FTA) Safety regulations *Streetcar specific SOPs and design criteria are expected to be established through the JPA. Once in place, these documents will also provide the basis for and augment the Integrated Testing Program requirements. o Integrated Test Procedures. This document contains specific test procedures developed for the various integration tests. The procedures identify test purpose, location, prerequisites, equipment, and other requirements to allow the test to be successfully implemented. Though this document focuses on system integration testing, the specific procedure pre-requisites identify and document the completion of associated civil and systems acceptance tests. The pre-requisites will be generated upon review and verification of all individual test elements and their interfaces. The Integrated Test Plan does not include specific detailed procedures that are already documented in RT's rulebook and operating procedures. Many of these procedures will require the availability of detailed contractor design and shop drawings to assure that the latest design information is being inducted in the testing. Also, specific test requirements, should there be any, such as instrumentation setup, equipment operation and troubleshooting will be addressed during the development of each specific test procedure. 9.2 Relationship to the Safety Certification Program The RT Safety Certification Program (SCP), which will be used on the new streetcar system, documents that all safety requirements in design criteria and specifications have been achieved and the safety content of the plans, procedures and training materials are systematically reviewed. The program is documented in the SCP. The SCP and the Integrated Testing Program are managed as separate entities. 9.3 Testing Organization Streetcar Systems testing and start-up functions are expected to be performed by RT's Operations Division under the direction of RT's Chief Operating Officer. The OR expected to play a significant role in this process to ensure the cities are sufficiently represented. Rev 4 May 2018 9-3 9.3.1 Responsibilities While under contract with the JPA, the specific responsibilities of various groups within the RT organization in performing the key elements of the test program are described below: o RT Personnel and Resources. RT will provide personnel, test equipment, and resources to coordinate the performance and witnessing of each test. o CM Team. The CM Team and the Resident Engineers will manage the proof of construction testing including qualification, manufacturing, and acceptance tests of procurement items; site acceptance tests; and site inspections. o Procurement and Installation Contractors. The procurement and installation contractors are responsible for the performance and documentation of proof of construction tests for the systems and facilities they provide. These tests are intended to demonstrate that the equipment and systems installed confirm to contract requirements. 9.3.2 RT Personnel o RT Deputy Chief Operating Officer. The Integrated Test Program is administered under the auspices of the RT Operations Group and the Chief Operating Officer will provide management oversight of the Integrated Test Program including granting track allocation/access. o During streetcar integration testing, RT Operations is given responsibility for both the streetcar and light rail line, and will conduct simulated revenue service operations prior to the start of revenue service. Responsibilities include: • Witness tests and participate in facility walkthroughs during acceptance testing. • Participate in establishing test requirements for Integration tests and Simulated Revenue Service Tests. • Participate in track allocation and test scheduling as related to operations. o Transportation Superintendents Light Rail. The Transportation Superintendents - Light Rail report to the Deputy Chief Operating Officer and are responsible for, operations and maintenance of the Light Rail System. The Transportation Superintendents - Light Rail will assign streetcar vehicles, operators, and maintainers as needed to facilitate the Integrated Testing effort. o Design Contract Managers (DCMs) - Civil, Track, Structures Design and Systems Design. These DCMs are responsible for RT in-house engineering staff and for management of the design consultants. Test procedures and results will be submitted to the DCMs for their review and comment. Rev 4 May 2018 9-4 o Chief, Environmental and System Safety. Reviews Project compliance in the verification of the design, construction, testing and training of elements of the Project to provide for a safe operating system Responsibilities related to testing include: o Oversee both streetcar and H Street relocation start-up test procedures to verify that safety concerns have been addressed. o Identify tests for which a Safety Certification Test Completion Report or checklist needs to be processed. o Identify any additional safety tests required and assist in the preparation of the test procedures. o Verify completion of all safety related requirements, in order for the JPA to issue a certification of a safe, operable system to the CPUC. o Ensure all test related documentation is completed to facilitate issuing a Certificate of Compliance. o Prepare and issue the final Safety Certification Verification Report to the CPUC. o Project Quality Assurance Manager. Project's QA Manager reviews Project compliance in the verification of the design, construction, testing and training of elements of the Project to provide for a safe operating system Responsibilities related to testing include: o Oversee start-up test procedures to verify test results. o Verify completion of all integrated start-up and testing processes. o Ensure all tests and related documentation is completed and satisfactory. 9.3.3 CM Team The CM Team is responsible for management of the streetcar and light rail relocation construction contract(s). During integrated testing, the CM Team shall: • Coordinate facilities and systems contractual testing programs. • Support of the Integrated Test and Simulated Revenue Service Programs. • Conduct meetings to implement any on-site test scheduling activity and to coordinate track access requirements. • Support tests with test support personnel. • Assure compliance with contract performance requirements during test execution by means of inspection and monitoring activities during Qualification Tests. • Coordinate with c0t:1tractors and provide for monitoring of other off-site tests (Manufacturing tests, etc.). • Distribute test-related documentation, review returned comments and integrate comments into responses for on-site tests. (Includes test plans, procedures and results). Rev 4 May 2018 9-5 10 QUALITY ASSURANCE/ QUALITY CONTROL PROGRAM PLAN This chapter of the PMP presents an overview of the Project Quality Assurance/Quality Control (QA/QC) Program. It addresses the FTA guidelines governing a quality assurance/quality control program, including the fifteen elements that the FTA considers necessary. This chapter also discusses tailoring the QA/QC Plan to the JPA and RT's organizational needs and management structure. The QA/QC Plan will be developed to incorporate these fundamental elements as well as continuous improvement of lessons learned from past experience. 10.1 FT A Quality Assurance I Quality Control Guidelines RT and the JPA believe in an effective quality system consisting of: a written quality policy; written procedures; management that supports and takes responsibility for quality; and personnel who support QA and QC activities. RT, under guidance from the OR, will develop a Project Specific QA/QC Plan in accordance with the FTA Quality Assurance QA/QC Guidelines, FTA-IT-90-5001-02.1. RT has established, documented, and maintained a quality system since 1999, which ensures that all projects conform to specified quality requirements. The quality system includes a QA/QC Plan which encompasses all applicable requirements of the FTA QA/QC Guidelines. The QA/QC Plan will be developed to incorporate these fundamental elements as well as continuous improvement of lessons learned from past experience. The South Sacramento Corridor Phase I and Phase 2 projects and Amtrak/Folsom Project Quality Assurance Plans will be used as a reference for this QA/QC Plan. 10.2 Organization and Responsibilities RT's QA Administrator and/or Project QA Manager or the Project's Quality Control Manager reports directly to the RT Project Executive and is responsible for overseeing the implementation, administration, and maintenance of the program. The Project QA Manager or Administrator is delegated the authority and organizational freedom to identify and evaluate quality problems, to initiate, recommend or provide solution; to direct that appropriate and timely action be taken by the Project team to control further processing, delivery or installation of a nonconforming, deficient item, or service until proper disposition is obtained. The Project QA Manager and QA Administrator and/or Project QA Manager have the responsibility of reporting to the OR all issues not satisfactorily resolved by the RT Project Manager. Rev 4 May 2018 10-1 10.3 Quality of Design Project design will be a project quality team approach. The QA Administrator and/or Project QA Manager is the quality team leader and all design personnel and consultants will have the responsibility to perform QC verification of the work. The design consultants will develop and implement Project-specific written QC procedures and checklists for engineering design work. The designers must prepare a plan to implement the QC procedures and checklists. The consultant's QC plan shall describe design control processes to assure that engineering documents are complete, accurate and suitable for intended use. The design consultant QC Plan will identify a Design QC Manager (QCM) who has responsibility for QC of the different design elements. The QC Plan will also identify the various organizational interfaces required between various groups producing and commenting on the design, and specify the information to be documented, transmitted, and regularly reviewed. Finally, the QC Plan should specify how the operating and maintenance departments of the transit agency would interface with those producing the design. The design consultant QCM will have the organizational freedom to fully implement QC procedures and will have a line of reporting to the RT QA Administrator and/or Project QA Manager for all QC activities. The QA Administrator and/or Project QA Manager and staff are charged with the responsibility for verifying and documenting that the quality and technical requirements of the Project are achieved. The consultant's management and staff will take the appropriate QC training and the quality training will be tracked and training records maintained by RT's QA/QC department. RT's Director of Design is responsible for the application of the design as developed in the QA/QC Plan. Personnel assigned or designated by the Director of Design will perform structured and uniform reviews of all work performed by the design consultants and will document and verify the achievement of the quality and technical requirements during the design process. The Director of Design receives technical direction, administrative support and oversight regarding quality from the QA Administrator. The overall quality goal in design is to develop constructible and inspectable designs and to prevent conflicts with other disciplines and outside utilities through control of activities affecting the quality of the design product. The responsibility for the quality of a design item is placed directly on the person performing the design function. The supervisor of the designer is responsible for ascertaining that the design is performed in accordance with the design criteria. The QCM of the designer is responsible for verification that all design requirements have been checked. These members of the Project quality team are responsible for achieving the quality as well as the technical requirements of the work. Design consultants and subconsultants shall be required to follow prescriptive quality requirements and maintain a QC program to assure that design criteria, specification requirements, other regulatory requirements, and resolution of conflicts are verified. The design consultant QC program shall identify roles and responsibilities of designers, checkers, and quality personnel. Rev 4 May 2018 10-2 Consultants' QC programs shall describe design control process to assure that engineering documents are complete, accurate and suitable for intended use. The primary methods of implementing these design quality requirements will include: o Development of Project-specific design QC procedures, o Independent design review, o Design checklists, o Verification of the basis of design, o Verification of design interfaces (interfaces between different design groups and design disciplines including Systems Design and Utilities), o Design review: advanced collaborative management process using internet based software programs to identify, document, and track resolution of all design review comments of all issues through all phases of the design, including design overlay activities), and o Verification of design drawings with technical specifications. The design consultants shall have a dedicated QC Manager who is qualified by experience and education. The design consultant QC Manager shall be independent from RT's Director, Project Management, Project engineers, scheduling and performing or progression of the work. The design consultant QC Manager shall report directly to the RT QA Administrator and/or Project QA Manager and will perform prescriptive requirements as required by RT to perform a successful design. The RT QA Administrator and/or Project QA Manager and staff will work closely with the design consultant QC Manager to review QC activities and conduct scheduled audits of design consultants' work to verify and document the effectiveness of the design consultants' program. 10.4 Configuration Management RT's QA Administrator and/or Project QA Manager is a member of the RT Change Review Committee. QA provides oversight of any proposed streetcar changes that could impact the Configuration Management Plan SOP. 10.5 Quality of Procured Material and Equipment RT's QA Administrator and/or Project QA Manager and QA staff are part of the Project procurement team for all procurements. Adequate Project budget must be allocated to perform the following quality functions for the procurements within the Project. The QA Administrator and/or Project QA Manager and staff will review contractor's QA/QC capabilities during the material and equipment design, procurement, fabrication, assembly, delivery, commissioning and/or inspection/testing phases. These capabilities include planning, control, coordination, inspection/test, audit and analysis activities during these phases. Qualification reviews are conducted in three stages: o Review approval of the contractor's QA and/or QC plans, procedures, and capabilities. Rev 4 May 2018 10-3 o Verification of the contractor's quality program and the quality of work in adherence to contract documents, applicable codes and standards through site visits, plant visits, source inspections, First Article Inspections/Tests (FAI/T), observations and audits. o Adequate inspection/testing and/or observations made to verify that the particular article will meet Project requirements. If deficiencies are found, then NCRs will be issued for contractor corrective action. The QA Administrator and/or Project QA Manager will issue a shipping release only when all applicable NCRs have been corrected and the product meets all contract requirements. The QA Administrator and/or Project QA Manager and QA staff will perform evaluations on the qualification reviews. In addition, the QA Administrator and/or Project QA Manager shall review procurement documents to assure Project QC requirements are required of the contractor and is responsible for the QA/QC language to be placed in the General Conditions, Special Conditions, and Technical Specifications of a contract. The quality procurement document review shall be accomplished as early in the procurement process as possible. 10.6 Quality of Construction Prior to the start of construction, the CM Team will develop and implement a Quality Control Plan as a complementary Quality Program to the QA/QC Program. The CM QC Plan shall identify quality personnel roles and responsibilities, and provide for the authority and organizational freedom of quality personnel. The CM QC Plan will include procedures for the CM QC Manager (QCM) to perform internal surveillance and regular quality audits of the CM's scope of work for all construction management activities. The CM QCM shall provide RT and the PMOC the opportunity to participate in all quality audits. The CM QC Plan shall also include QC Procedures and Instructions with sufficient detail to provide Inspectors guidance in the performance of inspection duties. Inspections will be accomplished using instructions and checklists that establish the acceptance and rejection criteria, location of work inspected, contract drawings, approved submittals, date performed, and personnel responsible for the inspection. These instructions will establish tags, stamps, marks, reports or other means of indicating the inspection status of material, equipment, and structures. Procedures and instruction shall be established to identify deficiencies through NCRs and CARs. The CM QC Plan shall be submitted to RT's QA Administrator and/or Project QA Manager for review and approval. 10. 7 Construction Quality Assurance RT's QA Administrator and/or Project QA Manager and staff will be part of the Project team and will have the primary responsibility for construction quality assurance. In the Construction Phase, RT's QA staff will attend all Project meetings, perform field observations, and ensure construction quality by working closely with the contractor QCM, performing inspection/tests, and developing and implementing a planned and scheduled audit and surveillance program. Quality audits/observations are conducted to verify the level of adherence to applicable plans, specifications, and procedures. Rev 4 May 2018 10-4 Audits/observations shall be conducted by RT's QA staff and other members selected for their recognized expertise in the areas to be audited. Members of FTA's PMOC staff will be invited to participate in these quality audits/observations as participants. In addition to the regularly-scheduled audits/observations, unscheduled audits/observations may be performed when problems or potential problems are identified that could result in compromise of the quality of the product or construction. Unscheduled audits/observations will also be conducted when requested by the OR and/or RT Project management. Audits will be conducted using an audit plan and checklist specifically prepared for the subject contract. Written reports will be prepared after each audit, and the findings will be discussed with the contractor so that appropriate corrective action can be taken. Follow-up observation and quality audits will be used to confirm that effective corrective action has been taken. In addition, periodic quality observations will be performed by the QA staff to verify, by physical examination of equipment, relevant documents, or random sample inspection/testing, that the contractor is complying with applicable quality procedures, standards, and contract requirements. These audits will be independent of RE inspection activities. Additionally, the QA Administrator and/or Project QA Manager will perform audits of the CM Team to insure applicable procedures are being followed. 10.8 Final Inspections (Systems Testing/Startup) When Project construction or installation activities, including the necessary documentation, have been completed, an acceptance team is assembled to perform a final inspection. The inspection team will include the following RT staff members: Director, Construction Management, Resident Engineer, Director of Design, Chief Operating Officer, Director, Light Rail, Chief, Environmental and System Safety, the QA Administrator and/or Project QA Manager, contractor, other construction management personnel, and other RT staff, as appropriate. Any identified Project defects will be documented and the contractor will be required to take corrective action. As required by the applicable construction contracts, RT will review and accept as-built plans, operating and maintenance manuals, and other construction records. Only after completion of the final inspection and all necessary corrective actions has been taken will the team recommend that RT accept the facilities and equipment. Rev 4 May 2018 10-5 11 SAFETY AND SECURITY 11.1 Safety and Security Program RT, as the likely Streetcar operator, conducts its operations under the auspices of a System Safety Program Plan (SSPP) and the System Security Plan (SSP). The SSPP and SSP are master plan documents that present comprehensive safety and security aspects for rail operations within RT's service area. The SSPP and SSP delineate procedures and strategies for the identification, assessment, prevention, and control of hazards and vulnerabilities. Copies of the full documents are maintained in the Project library. The direction of the safety and security efforts for the construction phase of the Project is based upon a Project-specific Safety and Security Management Plan (SSMP), and a Project specific Safety and Security Certification Plan (SSCP). 11.1.1 Safety and Security Management Plan (SSMP) A Project specific Safety and Security Management Plan (SSMP) will be developed. The SSMP is required by the FTA through Circular FTA C 5800.1 and provides safety and security guidance for recipients with major capital projects covered by 49 CFR part 633. It identifies specific safety and security activities that a recipient must perform and document in a SSMP. The SSMP is written to utilize industry standards and safe practices to provide safety and security requirements to the contractor and subcontractors in how to perform construction work according to regulatory guidelines identified within that plan. Included in the SSMP are requirements that are required to be completed by the Project. The goal in developing and using this SSMP is to describe a program that ensures the Streetcar Project is safe and secure for passengers, employees, public safety personnel and the general public during construction and through revenue service. 11.1.2 Safety and Security Certification Plan (SSCP)_ RT, as the likely Streetcar operator, employs a formal Safety and Security Certification Plan (SSCP) as part of the SSMP that is Project specific and is utilized through the life of the Project until the Project begins Revenue Operations. A formal Safety and Security Certification Plan is employed as part of the SSPP and covers certification for all changes, operating as well as capital, and is less specific. The goal of these plans are to assure that the system does not contain unacceptable hazards or vulnerabilities, has met all safety and security requirements, and is operationally safe and secure to enter into revenue service. The Safety and Security Certification Plan documents the following important elements: o Facilities and equipment have been designed, constructed, manufactured, inspected, and tested in accordance with all safety and security requirements Rev 4 May 2018 11-1 o Proper training has been developed and implemented for the construction, operation, maintenance and emergency response personnel o Operational procedures and directives have been properly developed and integrated into the system operations o Emergency operating procedures have been designed and implemented, and personnel are prepared to respond o System integration has been tested and confirmed to be free of critical and catastrophic hazards and vulnerabilities. The SSCP will be developed and implemented in compliance with FTA rules, 49 CFR, part 659 and the requirements established by the Project's Rail Activation Committee. The SSCP will be submitted to and approved by the California Public Utilities Commission (CPUC). RT, as the technical and compliance lead, will take the lead in Safety Certification of the Project. However, John Valsecchi, as the JPA Owner's Representative, will be responsible for submitting the SSCP to the CPUC for certification. No Board approval is necessary for the certification. 11.1.3 Incorporating Into the System Safety Program Plan The SSMP and the SSCP are brought to completion when all the required Streetcar elements are safety certified and enter into revenue service. However, the SSPP continues to monitor its operation and maintenance throughout its life cycle utilizing management control program functions featuring the following methodologies: o Implementation of safety, health, fire, environmental and security regulations, policies and standards. o Yearly formal internal audits (required by the CPUC). o Comprehensive triennial audits (performed by the CPUC). o Daily management practices developed and implemented through the Injury and Illness Prevention Program and administrative operating procedures. o Change control using the Configuration Management process. o Effective document control administration (see Chapter 9). o Yearly emergency response drills and training programs with local police and fire department coordination. o Accident and security breach investigation and analysis. 11.1.4 ADA-ABA Compliance As part of its design criteria, the JPA will follow RT's lead in continuing to develop effective designs to meet the accessibility needs and to promote the greater mobility of the disabled community. Issues related to Streetcar station design are being evaluated in the final design phase of the Project. Upon completion, the Project will fully comply with the ADA-ABA requirements, including graphics arid detectable warning strips. 11.2 Regulatory Oversight Rev 4 May 2018 11-2 RT, as the Streetcar operator, provides for safety of its employees, contractors, patrons, and the public by enforcing safety legislation and applicable environmental, health, and security provisions contained within regulatory authority administered through the following agencies. 11.2.1 California Occupational Safety and Health Administration (Cal/OSHA) Contractor work on this Project is governed under standard contract provisions which name State of California, Department of Industrial Relations, Occupational Safety and Health Standards Board (CALOSHA) as the authority for occupational safety. All contractors are required to have a job-specific written Injury and Illness Prevention Program (IIPP). RT will review the IIPP submittals for completeness and applicability to the work performed. 11.2.2 California Public Utilities Commission (CPUC) The interface between the Streetcar system and patrons or the general public falls within the legislative jurisdiction of the California Public Utilities Commission (CPUC). The commission has developed and implemented several general orders relating to the design, construction, operation, and maintenance of light rail systems. The principal general orders covering light rail operations are found in general orders such as GO 75D, GO 95, GO 1438 and GO 164D, etc. The CPUC provides oversight of Project design, construction, and inspections of revenue operations. The CPUC requires the implementation of emergency management plans that incorporate both emergency preparedness drills and emergency response capabilities. 11.2.3 Federal Transit Administration (FTA) The FT A requires that rail transit systems follow the Safety and Security Management Plan (SSMP) as per their Circular FTA C 5800.1 and the System Safety Program Plan specified under 49CFR Part 659 "Rail Fixed Guideway Systems. The FTA also has responsibilities for the Americans with Disabilities Act shown below. 11.2.4 Federal Railroad Administration (FRA) There is no FRA regulatory authority over the Project. 11.2.5 Americans with Disabilities Act The Americans with Disabilities Act (ADA) has an impact on this Project regarding the safety of access and egress for disabled patrons on the light rail system. Design and construction of stations, lighting and signage are affected. During the construction process ADA must be considered. Currently the FTA is the lead agency in interpreting ADA issues; however, enforcement of ADA requirements is not vested in a single agency and court litigation is a prominent method of dispute resolution at the present time. Rev 4 May 2018 11-3 11.2.6 California Environmental Protection Agency (CALEPA) Environmental regulations by the United States Environmental Protection Agency (USEPA) and State of California Environmental Protection Agency (CALEPA) are enforced by the Sacramento County Environmental Management District. There are also mitigation measures required to be performed under this contract by the Federal Environmental Impact Statement filed with the FT A. Stormwater Pollution Prevention Plans are required on this Project and hazardous materials used on site are strictly regulated. Hazardous materials contamination found during construction must be identified and properly removed to an approved waste facility by a qualified contractor. The contracts also have specific requirements for dust, noise and light controls, which are monitored on the construction site. 11.2. 7 Local Authority for Emergency Services Emergency services for fire, injury, or criminal activity are dispatched through the County 911 Communications Center for local fire, ambulance, or police response. RT dispatchers have a direct line into the Communications Center for faster notification should such a need arise. Fire and police are considered the authorities with jurisdiction when responding to emergencies. Security on the right of way is under the control of RT police. Any persons on the right of way must be conducting business under RT's Right of Entry or they will be considered trespassing and subject to arrest. 11.3 Special Considerations The SSMP incorporates special areas of concern identified by focus groups within the community. These concerns include: impacts of construction and operation on existing businesses and residential units; increased auto and pedestrian traffic hazards during construction; proper handling of hazardous materials and of hazardous waste found during construction; increased risks of grade crossing; pedestrian safety at intersections with public streets; and security issues. The following activities are planned to assess the hazards present in each area of concern: o The expected increase in auto and pedestrian traffic hazards during construction of the Streetcar can be assessed by traffic studies and prior accident histories to develop appropriate barriers to direct pedestrians and automobiles. o Proper handling of hazardous materials can be assessed in a Storm Water Pollution Prevention Plan, and in emergency operations initiated to minimize hazards to employees and residents that also meet mitigation measures required in the Mitigated Negative Declaration. o Business impacts can be managed by a thorough outreach program which focuses on timely construction notices and, when possible, avoiding construction activities during peak business hours. RT or the JPA will work with an outreach consultant to develop an outreach plan that will be shared with other stakeholders. Rev 4 May 2018 11-4 11.4 Construction Safety AND Security Responsibilities RT will, as the consultant hired to build and likely operate the Project, define minimum expectations of job safety, health, fire, security, and environmental performance. Consideration must be given to the safety and security of all Project stakeholders including but not limited to contractor, JPA and RT employees, and the general public throughout all phases of the Project. This plan provides the communication link between the various management, supervisory and labor organizations on this Project needed to support a viable safety and security effort from design to revenue service. Contractor activities are governed by standard provisions in each contract. Construction meetings are held with the contractor and subcontractors to review safety requirements. An On-Track Safety Program will provide information on the safety precautions needed while working near the Streetcar tracks and overhead contact system. This program also covers the use of Track Warrants, Work Permits, and High Voltage Red Tag procedures when working with RT's light rail system. This training will be completed before access to the right of way and will last for the length of the Project. Refresher training may be required if there is any failure of individuals to follow established safety rules. Training records will be kept for three years. Each construction contractor is charged with the responsibility of developing and implementing a site specific IIPP for Safety and Security that conforms to the RT approved Contractor Safety and Security Plan (CSSP), as specified in the SSMP, Rev. 3. It is RT's obligation to see that contractors on this Project have a safety and security program. The SSMP establishes the coordination necessary between the JPA, Streetcar contractors, RT, designers, construction managers, regulators, and emergency services needed to ensure that a viable safety and security program is present during the various stages of development. This Project requires the active participation and full cooperation of all employees and contractors to ensure individual safety and security, as well as minimizing the additional costs that result from accidents. It is in the best interests of all those supporting this Project to: o Provide the necessary tools, equipment, staffing, and resources to perform the work in a safe and secure manner. o Plan work using acceptable practices, procedures and methods that will not result in injury, property damage or loss of productivity. o Ensure that materials, tools, and equipment furnished are free of defects before use. o Ensure proper training has been completed and instructions or warnings are followed. o Provide and use personal protective equipment including maintaining guards or safety devices in working order. o Communicate safety and security issues in monthly safety and security meetings, weekly toolbox sessions and daily job briefings and other special safety and security activities as may be needed. Rev 4 May 2018 11-5 o Promptly report accidents, hazards, unsafe practices, or unsafe conditions to ensure they are investigated for cause and corrected. o Comply with contract safety and security requirements, local laws and ordinances, state and federal safety and security regulations. The construction contractor is responsible for safety, health, fire, security, and environmental conditions at the Project site, and to ensure that employees and subcontractors follow these contract requirements in performance of their work. This responsibility cannot be delegated. The contractor must establish work plans, procedures, and practices that will not pose a potential hazard or security risk to employees, other crafts, the public or adjacent businesses. The Contractor will cooperate and coordinate with RT's Director, Construction Management, the Resident Engineer and the RT Project Manager in the conducting of safety and security meetings, safety committees, inspections, training, emergency response, and prompt notification of accidents, hazards or security issues. The contractor shall be responsible to control the Project site by restricting entry of suppliers, visitors, consultants, or others that are not job briefed to the hazards and security issues present and suitably attired or wearing necessary personal protective equipment for job site conditions. 11.5 Administration Safety and security program administration is an oversight function of the CM Team. The major safety support activities include: o Review of contractor submittals of Site Specific Safety Plans. o Review of contractor submittal of an IIPP that is site specific. The plan shall be reviewed for completeness in the areas of safety, health, fire, security, and environmental programs. - o Establishing Emergency Preparedness procedures. o Monitoring contractor safety and security activities, including: o Contractor's safety and security meetings, job briefings, and safety and security training, such as On-Track Safety. o Contractor's work site safety and security practices. o Handling NCRs (safety and security non-compliance). o Reviewing Contractor Task Hazard Analysis forms. o Monitoring the Safety Coordination Committee activities. o Review Inspector and CM reports for safety and security related issues. o Organize and conduct routine Safety and Security Coordination meetings with contractors, consultants and RT Staff. o Coordinate the Safety/Security Certification Documents to ensure that Certificates of Conformance are properly signed and appropriate documentation is included with the Certificate. 11.6 Site Specific Contractor Requirements Contractors are required by contract and by CALOSHA to provide an IIPP specific to the hazards and security risks found at the work site. The plan must name a qualified person in charge of the program; cover essential safety, fire, health, and security issues; Rev 4 May 2018 11-6 address how these issues are communicated to employees; disclose how violations are handled; and require employee training, among other things. In addition to the IIPP, there are other CALOSHA requirements to meet, including an emergency plan with map and emergency phone numbers, first aid training, locations of fire extinguishers, first aid kits, eyewash, and safety showers. CALOSHA also requires posting of certain information at the job site and a Code of Safe Practices. RT reviews the submittal for completeness. Once reviewed, any changes to the Contractor's IIPP during the life of the Project will require another submittal for review. The contractor's Emergency Plan requires coordination with the Construction Management Team to allow for rapid and smooth handling of emergency events and proper notification to not only emergency services, but also to keep disruptions to the Project to a minimum and staff properly informed. The contractor is required to support its Project Safety and Security Plan by providing monthly safety and security meetings, weekly toolbox sessions, and daily job briefings that include relevant safety and security issues. Advance notice of scheduled meetings to the CM staff is needed so they can satisfy their monitoring requirement of meeting attendance. Contractors must comply with local, state, and federal regulations governing work performed on this Project. In addition to the CM Team, the RT Project Manager and Director, Construction Management, may enforce work site safety and security as established in the contract and CSSP. . Any violations of safety requirements observed will be brought to the attention of the contractor for immediate correction. A notice of non'."compliance will be submitted to the contractor, and to the Director, Construction Management on an NCR. The Director, Construction Management will take the steps required by the Contract to ensure that the remedial measures implemented by the Contractor meet contract requirements. Persistent or life threatening safety or security violations will result in Stop Work Orders. All contractor employees must maintain current On-Track Safety training as a provision to be qualified to work on the right of way. The training must meet the requirements of the Federal Railroad Administration Roadway Worker Protection Rule 49 CFR Part 214C. The contractor must submit a Task Hazard Analysis for review and approval of each job performed. The task is to be described, tools and equipment listed, potential hazards and security risks identified, and safety or security procedures determined. · The contractor provides the documentation and testing support for Safety Certification requirements for the Project applicable to the work performed. Safety Certification verifies that facilities and equipment have been designed, constructed, inspected, and tested in accordance with safety requirements. Procedures, training, emergency preparedness and integration between civil, systems and stations are also tested and verified to be free of critical hazards and security risks. Rev 4 May 2018 11-7 11. 7 Contractor Written Safety Plan The contractor has the obligation under the contract requirements to submit a Safety and Security Plan in writing. The Safety and Security Plan shall remain in effect for the life of the contract and contain the following documentation: 11. 7 .1 Site Specific Safety Plan The contractor's Site Specific Safety Plan must satisfy the requirements of an IIPP as required under Title 8 California Code of Regulations Section 3203 including, but not limited to: Written safety and security policy, Designation of an on-site person to be responsible for complying with the IIPP, Contractor's disciplinary action procedure addressing safety and security regulated infractions, How Contractor's job site managers and supervisors are held accountable for safety, security, health, fire and environmental performance, and how performance is monitored, assessed, and communicated, Initial employee safety and security orientation and safety and security training program, and Training certifications and/or other qualifications Contractor's work force has or will have regarding safety, security, health, fire, and environmental protection. 11.7.2 Policies and Programs Relating to Alcohol or Controlled Substances The contractor's Safety and Security Plan must ensure a commitment to a drug and alcohol free workplace and comply with FTA requirements for safety-sensitive employees where applicable. The Safety and Security Plan must prohibit the possession, use, sale, or dispensation of alcoholic substances, intoxicants, illegal drugs, or controlled substances at the work site. 11.7.3 Workplace Security and Violence Prevention Policy Plan The Workplace Security and Violence Prevention Policy Plan must include, at a minimum, a security assessment of the work site and zero tolerance for intimidation, physical fighting, threats, aggressive acts, and prohibit the possession of weapons on the job site. 11. 7.4 Site Access Control Plan Rev 4 May 2018 11-8 The Site Access Control Plan describes how the Contractor's safety, security, health, fire, and environmental programs apply to subcontractors, agents, and employees. The Plan also covers visitor controls during site visits and Project tours. 11. 7 .5 Communications and Emergency Notification Plan The Communications and Emergency Notification Plan describes how the Contractor intends to communicate with RT regarding the status of its safety and security performance program and implementation schedule, including the immediate reporting of injury accidents and submittal of corrective action reports. 11. 7 .6 Task Hazard Analysis Procedures A description of what the contractor perceives to be significant hazards of work to be performed under this contract, and the contractor's plan to eliminate, minimize, or control any hazards that could result in injury to persons, property, or the environment. 11.7.7 Plan Review The contractor's Safety and Security Plan is reviewed as a formal contract submittal using the criteria set forth in Chapter 5 to ensure that the plan is comprehensive, site specific, and fulfills the contractor's responsibilities for a safe and secure workplace. The implementation and refinement of the SSMP and the Project Safety and Security Plan assures that the Project has met all safety and security requirements necessary to enter into revenue service and operate at a high level of safety and security throughout its lifetime. Rev 4 May 2018 11-9 12 REAL ESTATE ACQUISITION AND MANAGEMENT PLAN 12.1 Property Acquisition Process During the preliminary engineering phase of the Streetcar Project, general requirements for right-of-way (ROW) for all transit facilities are determined and the boundaries of the proposed ROW are established. Because the Downtown Riverfront Streetcar system will run almost exclusively within existing transportation corridors, the need to acquire ROW and easements for this Project is expected to be limited to properties controlled by Sacramento, West Sacramento and/or Caltrans. One significant exception is the location of the Streetcar vehicle maintenance facility. This facility was originally scheduled to be built at the end of Riverfront Road under the Caltrans Highway 50 overpass in West Sacramento. Following a thorough review by Caltrans staff, it was determined that the facility had to be built outside of the overpass. Streetcar staff worked closely with the City of West Sacramento and determined the best location to be south of the Highway 50 overpass. The team is currently working on an amendment to the environmental documents to evaluate this shift in location. While the environmental impacts of the new location are expected to be, the new location of the facility is owned by a private party. Staff has actively engaged the owner of the property and expects to make an offer to purchase the necessary property following completion of the minor environmental amendment. This process will result in an increase in Project right of way costs, but the owner is agreeable to sell the property at a fair market price and no complications are expected. For the vehicle maintenance facility and other right of way issues, the RT Project Team will utilize preliminary engineering designs to identify the location of easements, encroachment permits and temporary construction easements. The JPA has executed an encroachment permit and cooperative agreement with Caltrans to allow for use of Caltrans right of way. · Additionally, Sacramento and West Sacramento will require impacted utilities present under franchise rights to relocate at the utility company's expense. RT's Engineering and ROW specialists will provide support as needed to assist each city with their ROW needs. The RT Project Manager and ROW consultant staff will provide Project support during planning, design, alignment and design review phases through the ROW acquisition process during and through construction. ROW consultants will attend progress and Project action meetings as directed by the RT Project Manager to monitor property acquisition and real estate related issues through Project completion. All right of way services will be managed by RT's Project Manager with support from RT's right of way consultant, Paragon Partners. The RT Project Manager, working closely with Paragon, will lead the real estate effort and is responsible for planning, coordination, and managing the acquisition program; soliciting, evaluating, selecting, hiring, and managing consultants; monitoring and directing progress on the acquisition program, including schedule and budget; and coordinating the acquisition effort with other aspects of the Project. Paragon Partners was RT's ROW consultant during its New Starts Project (South Sacramento Corridor Phase 2 Project) and they were successful at managing extremely complicated ROW issues. Rev 4 May 2018 12-10 As for the right of way needed for the Project, per the draft Operation and Maintenance Agreement between RT and the JPA, all newly-acquired assets will be acquired in the name of the JPA. To the extent the Cities are contributing pre-existing assets to the construction and operation of the Project, title to those assets will continue to be held by the contributing City, with an appropriate agreement executed, as needed, for use of the asset by RT or the JPA. Maintenance of all Project right of way will be the responsibility of the JPA and/or hired consultants. Because the Project real estate effort is expected to be a limited effort, a Real Estate Acquisition Management Plan (RAMP) will not be developed. However, all real estate activities will follow the Uniform Relocation Assistance and Real Property Acquisition Policies Act (42 USC 4601 et seq.) and its regulations (49 CFR Part 24), which are the primary policies and guidelines for the acquisition process. Rev 4 May 2018 12-11 13 RAIL FLEET MANAGEMENT PLAN 13.1 Introduction A Rail .Fleet Management Plan (RFMP) provides details on fleet size, vehicle life expectancy, planned & intended vehicle purchases, vehicle spare ratios, ridership growth (or decline), regional population & employment trends, planned capital improvements and other factors for a ten year period. A RFMP will be developed by the JPA prior to opening the new system. RT, will initially operate the streetcar by agreement with the JPA. The Streetcar Project is anticipated to begin construction in 2018 or 2019 with the commencement of revenue service in fiscal year 2022. Prior to opening in 2022, the RFMP will be updated to describe the new services and show that the supply of streetcars, is sufficient. Because RT is the expected operator of the new light rail system and will be working by agreement with the JPA, the Streetcar Project should have no impact on RT's existing financial situation. 13.2 Existing Service 13.2.1 Streetcar Operational Strategy Streetcar operations will be closely coordinated with RT's existing light rail service. Similar to the existing light rail service, tail tracks will be used to store streetcars between peak running times when the operation goes from 15 minutes service to 20 minute service in the evenings. This strategy is similar to RT's existing practice of switching between four and two car trains during off-peak service hours. . Although not finalized, off-peak streetcar vehicles would likely be stored at the Sacramento Valley Station, 13th Street Station, VMSF and/or the Academy Way Maintenance Facility. Table 13.1 Revenue Vehicle Demand/Supply Balance The Project includes the purchase of six new streetcar vehicles. Four vehicles will be needed on a daily basis to provide 15-minute service, which will result in two remaining vehicles used as spares. In the future, 10-minute service is envisioned, which would result in the need to purchase additional streetcar vehicles. The table below shows vehicle needs for the anticipated opening date, as well as future vehicle needs. Rev 4 May 2018 13-1 Streetcar Vehicle Demand Peak Total Need Spares Vehicles Openinq Date (2018) - 15-Minute Service 4 2 6 Future Service (TBD)- 10-Minute Service 6 2 8 Responsibility for daily Streetcar vehicle maintenance and streetcar infrastructure is expected to be handled by RT through the Operations and Maintenance Agreement. Rev 4 May 2018 13-2 14 COMMUNITY RELATIONS In this chapter, the objectives of the Community Relations Program are stated, along with methods RT Project Team and the Community Relations Consultant will employ to organize public participation and community relations activities. 14.1 Purpose The purpose of the Project's Community Relations Program is to provide residents, businesses, and neighborhoods of Sacramento and West Sacramento with the greatest amount of information and assistance during the Final Design and Construction phases of the Project in order to avoid or minimize disruptive or harmful effects on the neighborhoods and businesses along the transit route. Through its Community Relations Program, The RT Project Team hopes to build upon the success of RT's previous light rail comprehensive and innovative public participation program and convey a sensitivity and respect for the neighborhoods and businesses along the corridor. During the Project Development phase, the Community Relations Consultant will be asked to develop a Community Involvement Program/Plan with the following objectives: o Develop a community participation program related to the Streetcar line structure design details and other design improvements. o Focus on individual residents, property owners, and businesses directly affected by the design of the Project, its location or the process of construction. o Emphasize careful management of construction activities to minimize community inconvenience and provide advance notice of anticipated construction impacts. o Build upon the understanding and support for the Project that has been developed by the neighborhoods and communities within the Downtown Streetcar Corridor. o In conjunction with the PMT, set up community programs that increase public awareness and provide safety instructions in regard to a new Streetcar system in a new community. These programs may include public safety around tracks and fire/police/emergency service unit familiarization with the new Streetcar system. 14.2 Organization and Approach This section describes the methods employed by the RT Project Team and the Community Relations Consultant to organize various public participation and community relations activities such as meetings with neighborhood associations, businesses and community organizations, coordinating with other state and local agencies, and communicating with print and electronic media. Community involvement is maximized during the Final Design and Construction phases. The Community Relations Consultant and the RT Project Team will modify the community involvement program to reflect the Project's progression. Rev 4 May 2018 14-1 14.3 Community Meetings and Construction Notification The cities of West Sacramento and Sacramento, along with RT, will develop and implement a successful and extensive, multi-faceted, multi-cultural, and multi-lingual public participation program; including the use of new media tools such as Facebook and Twitter. This outreach will continue throughout the Construction phase of the Streetcar Project. A Community Relations Consultant will likely be hired to assist with receiving and responding to inquiries, mailing list maintenance, and preparation of visual aids such as photographs, slides, videos, designs, prints, Project brochures, non technical newsletters, and other publications. Other activities include community meetings, presentations, media relations, and non-traditional outreach at social service agencies, ethnic grocery stores, and religious groups. Additional informational presentations are made to individual community and professional associations and neighborhood groups. Quarterly newsletters will be distributed and a 24-hour Project Hotline established to update callers and to respond to questions. The outreach effort will include a series of community meetings during the construction phase of the Project to keep the community updated on the Project. Some meetings may involve station design and bus route issues. The public will be given an opportunity to provide feedback on both issues. RT and Yolo Bus route changes related to the Streetcar Project are initiated as part of each agency's service planning process. Community input is encouraged to help determine bus routes that provide the most effective service. Public meetings for bus service changes, if necessary, will be held approximately nine months prior to the start of Streetcar revenue service. The public will be given an opportunity to comment on revised bus service plans that would be implemented upon the start of revenue service for the Project. During construction, neighborhoods and businesses in the Project areas are notified in advance of the construction schedule and any other activities related to the Project. The Community Relations Consultant, under the direction from the RT Project team, acts as the liaison between the community, the contractors, and RT's Construction Team. Although the Community Relations Consultant does not have the authority to stop construction, direct communication with the RT Project team and the Streetcar Project Manager allows for an immediate response to potential conflicts during construction. 14.4 Interface with State and Local Government Agencies As the lead agencies, the cities of Sacramento and West Sacramento hold regular council meetings. These meetings offer an opportunity for the public to provide input on matters of interest. The city councils will each receive regular Project updates. RT staff, likewise, coordinates regularly with appropriate agency staff and officials such as the Public Works and Planning departments of the City of Sacramento and West Sacramento. RT will meet regularly with all related utility owners and their staff. RT also meets regularly with the Sacramento Area Council of Governments (SACOG) and Rev 4 May 2018 14-2 the State of California (CTC). Both have principal responsibility for the allocation of local and state funds going to the Project. Several of RT's Board members, in their capacity as elected officials, also serve on the governing boards of these agencies. RT will also regularly interact and provide updated to Federal agencies such as the FT A. 14.5 Public Hearings Public Hearings, if necessary, shall be held in compliance with the NEOA and CEQA, and in accordance with any other applicable local, state, and federal laws, ordinances, and requirements. Also, if necessary, RT and Yolo Transit will hold service change public hearings near the opening of the new Project. An Outreach Consultant may be asked to assist in meeting logistics and promotion. 14.6 Media Interface Until the Governance plan is finalized, West Sacramento, Sacramento and RT will respond to requests for information from the media. When news of the Project warrants, news releases, news conferences, photo, and press availabilities are utilized. Likewise, radio and television appearances are scheduled as appropriate. The construction contractor will defer all media requests to RT. Typically, newspaper inserts and/or newsletters are targeted to readers along the line, updating them on construction progress. Whenever construction activities could potentially disrupt traffic flows, traffic alert notices will be distributed to all major local media outlets and local law enforcement agencies to ensure all necessary groups are informed of the upcoming work. 14. 7 Marketing RT's Marketing and Communications Division has an ongoing marketing effort to recruit ridership for both bus and rail. This involves targeting large employment centers, schools, shopping centers and other groups and aggregates of potential riders. The cities of Sacramento and West Sacramento will also assist in the production and distribution of marketing material. In addition to recruiting riders, West Sacramento, Sacramento and RT will develop an extensive track safety presentation for area elementary, junior high and high school students. The track safety program has been a successful tool for RT during past light rail extensions. The program consists of going to schools and giving presentations in front of large groups. The program educates students on the Streetcar Project, the dangers they need to be aware of once testing begins and also adds information on the overhead wires (OCS). Students are taught to avoid crossing the tracks when the crossing arms are down (if applicable) and also told to look both ways before crossing the tracks. During the construction phase, speakers and slide shows will be utilized to market the Streetcar and how it relates to the RT light rail system. The cities and RT will employ Rev 4 May 2018 14-3 major marketing campaigns using television, radio and newspapers, as well as rider handouts, newsletters and posters. Rev 4 May 2018 14-4 APPENDICES APPENDIX A - Companion Documents As mentioned in Section 1.7 (PMP Purpose), there are additional, specific procedure manuals and Governance agreements that are companion documents to the PMP. These more detailed companion documents are provided in the following table: EXHIBIT A-1 COMPANION DOCUMENTS Document Name RT Contact Person The Design, Procurement and Construction Agreement Ed Scofield The Operations and Maintenance Aqreemen.t Ed Scofield Subrecipient and lnteraqencv Aqreement Ed Scofield Joint Exercise of Power Agreement Ed Scofield RT Liqht Rail Desiqn Criteria Darryl Abansado Desiqn Guidelines for Bus and Liqht Rail Facilities Greq Gamble Configuration Management SOP Eric Oparko Storm Water Pollution Prevention Plan Darryl Abansado RT's CAD Standards Darryl Abansado Caltrans Standard Plans and Specifications Darryl Abansado Injury and Illness Prevention Plan Rob Haslett Safety Certification Proqram Rob Haslett Caltrans R/W Manual Ed Scofield State Transportation Improvement Program Brent Bernegger Metropolitan Transportation Plan (MTP) Brent Berneqqer Rail Fleet Manaqement Plan Ed Scofield System Safety Program Plan (SSPP) Rob Haslett System Safety & Security Management Plan Rob Haslett Capital Improvement Program Brent Bernegger Mitigation Monitoring Proqram Ed Scofield QA/QC Plan Eric Oparko Community Relations Plan (PMP Sec. 14) Jo Noble Operations and Maintenance Plan Mark Lonergan lnteqrated Testinq & Start-Up Plan Ed Scofield Rev 4 May 2018 A1 ATTACHMENT 6 "'" _, 0 1 02 01 04 0 1 I 0 2 J Ol I 04 I a1 I 02 I 03 I 0-I I 01 I 02 I OJ. 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' ! ; : .1· ! Sublnrt A•i:iuNd s-i,11 suns Gnm Appkatton Ooc1.1m1nt1 ~-"!""""'!~-'!J OS;f$;1~.Sut,mj1 Rllq,jodSimllSl.riGr""f~~ Complete F~nc,.I Pl:1 11 ! ' : ' . ' : . : : COll1pl,tfa, 'NRC~I Al1a!yslt jAu~•• Str•antftt4d ~ oU:hJ l : ! j Exl'C:tllf $IIUII Start,, Gfu1 .&(11 Od'O!l14A te-'1!s- 11l I 0(12JQV\.t,,. 1 Cont,- - SSGA Executed .6. Kevenue :service . .11r,,. f------~--- 0911511 8 ------~------04/15/22 _.... ______, I Pago 1 of 1 IlASKOtocnocostllGtMtiOs . 7 ATTACHMENT 7 ., > ,0 c5 ,0 (X) .L ~ Lil u "' 0- "' 0 - u 0 "' 6 u So" t:., _iJ 0 :, l9"' N E a. 0- ., ~ ~~ ·5 u u N V1 (/]"' Downtown Riverfront Streetcar Public Information Open House As Sacramento and West Sacramento continue to transform into vibrant places to live, work and play, moving people to their desired destinations with ease is vital for residents, visitors and businesses alike. Mobility, access and convenience within our active and evolving urban core is a top priority and the Downtown Riverfront Streetcar will allow riders to reach key destinations in the corridor with ease. The Riverfront Joint Powers Authority, a unique partnership between the cities of West Sacramento and Sacramento, and their project team are nearing completion of the Final Design of the Streetcar project. '9' Downtown D Riverfront STREETCAR What S treetcar Offers : ~ Inspires Connection Takes Cars Off the Road , ~. Links major destinations Reduces traffic congestion and ~ between West Sacramento and the needfor adillfi9,:,al' par:kirig U Sac ram ento's downtown and fa cili ties G~ WEST midtown districts DOWNTOWN Promotes Mob ility Stimul~,,._&,1Jomic V.itail~y MIDTOWN Offers a relia ble, convenient, Connects people to jobs and high frequen_cy_a lternati_ve that fosters redevelopment within - enhances ex1st1ng transit the corridor services for a complete netv-1ork \ SACRAMENTO • Enriches Passenger Experience • Encourages Environmental Provides rid ers with inexpensive Sustainability STREETCAR STOP 1111 H STitEET LAT AUGHMEHT EnhanQ=s liva bility withiri urban - STREETCAR ALIGNMENT 0 HEWUGHTRAILSTATlOH modem travel that in cl udes !li e_ PIONEER enhanced communications and core wh0e ~upportrng h~althier travEil BLUFF - EXl$TIHGUGHTRAILA0l/TE 0 EXISTIHGUGHTRAtLSlATIOH e easy access REDEVELOPMENT c:J HAJHTEH»ICEFACIUTY