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PW Combined Quiet Zones; NovatoAGREEMENT TO ESTABLISH QUIET ZONES, TO DELEGATE AUTHORITY TO DO SO TO THE CITY OF SAN RAFAEL, AND TO REIMBURSE SAN RAFAEL ITS COSTS IN DOING SO THIS AGREEMENT ("Agreement") is entered into this 201` day of October 2016 by and between the City of San Rafael ("San Rafael") a California charter city, and the City of Novato ("Novato") a California general law city, with reference to the following facts: RECITALS WHEREAS, the Sonoma -Marin Area Rail Transit District ("SMART") is nearing completion of its railway improvements in Marin and Sonoma Counties and the testing along the railway corridor over which it exercises control in those two Counties. WHEREAS, SMART's railroad right of way passes through the Cities of San Rafael and Novato and SMART has installed crossing and signalization improvements at the public highway -rail grade crossings located in those two cities such that each city is eligible to establish quiet zones (as defined in 49 C.F.R. Part 222) covering some or all of those crossings within each city. WHEREAS, San Rafael and Novato have each independently initiated the procedures to establish new quiet zones in their respective jurisdictions by providing written Notices of Intent to do so pursuant to 49 C.F.R. § 222.43. Diagrams of each cities' proposed quiet zones and the crossings that they each include are attached as Exhibits A (San Rafael) and B (Novato), and incorporated by this reference. WHEREAS, the quiet zones each city intends to establish are separated by several miles of SMART track located in the jurisdictions of Novato and the County of Marin that would not be covered by one or more quiet zones ("Non Quiet Zone"), thus leaving a number of road and pedestrian crossings outside a quiet zone. This means that SMART's engineers will be required to sound their engines' horn while operating in the Non Quiet Zone, rendering partially ineffective the quiet zones that the cities are currently proceeding to establish. WHEREAS, Novato has requested that San Rafael act as the lead agency to create a comprehensive quiet zone in Novato and San Rafael including the unincorporated area between the cities in Marin County. Due to federal railroad regulations, a pedestrian crossing in Novato's Hamilton neighborhood is not able to be included within a quiet zone unless such a comprehensive quiet zone can be created. There are no other workable alternatives that have been found in order to include this pedestrian crossing within a quiet zone established within the jurisdictional boundaries of Novato. WHEREAS, it has become advantageous for San Rafael and Novato to establish one quiet zone, linking the separate quiet zones each city is currently proceeding to establish. The envisioned, single quiet zone ("Single Quiet Zone") will include public highway -rail grade crossings, pedestrian crossings and private highway -rail grade crossings (collectively referred to as "crossings") in San Rafael and Novato, as well is in the unincorporated area of the County of Marin. A diagram of the proposed Single Quiet Zone is attached as Exhibit C and incorporated by this reference. Agmt. To Establish QZ's with San Rafael Clean 10-12-16 JW WHEREAS, 49 C.F.R. §222.37(a) authorizes a single public entity ("Lead Authority") to establish a single quiet zone that includes crossings located within its own jurisdictional boundaries and also qualified crossings located in adjacent and other public authorities' jurisdictions, and San Rafael has agreed to act and serve as the Lead Authority for that purpose in establishing the Single Quiet Zone under the terms and conditions set forth in this Agreement. The Federal Railroad Administration sees the role of a Lead Authority as one performing only administrative responsibilities. A public entity that takes on the duties of a Lead Authority under these circumstances does not thereby assume responsibility for liabilities arising out of the operation of crossings covered by a quiet zone but located in another jurisdiction. WHEREAS, Novato is agreeable to and desires that San Rafael act as the Lead Authority in establishing the Single Quiet Zone and delegates to San Rafael the authority to establish the Single Quiet Zone to the extent that Single Quiet Zone includes crossings located within the jurisdictional boundaries of Novato under the terms and conditions set forth in this Agreement. Now therefore, the parties agree as follows: AGREEMENT 1. San Rafael agrees to act as Lead Authority and take all those steps prescribed in 49 C.F.R. Part 222 necessary to establish the Single Quiet Zone. 2. Novato consents to San Rafael acting as the Lead Authority and, to the extent that the Single Quiet Zone includes crossings within the jurisdictional boundaries of Novato and pursuant to 49 C.F.R. §222.37(a), delegates to San Rafael the authority to establish the Single Quiet Zone. 3. Notwithstanding San Rafael's agreement to act as Lead Authority for the purposes described herein, San Rafael shall not be responsible for and shall not be deemed to assume any responsibility for any liabilities arising out of the maintenance, upgrade, operation, and/or repair of any of the crossings included within the Single Quiet Zone but located in Novato. Notwithstanding Novato's delegation to San Rafael of the authority to initiate and prosecute to completion the procedural steps necessary to establish the Single Quiet Zone, Novato shall not be responsible for and shall not be deemed to assume any responsibility for any liabilities arising out of the maintenance, upgrade, operation, and/or repair of any of the crossings included within the Single Quiet Zone but located in San Rafael. 4. Once this Agreement has been fully executed by both parties, San Rafael and Novato shall immediately rescind the Notices of Intent that they each previously provided pursuant to 49 C.F.R. §222.43 and promptly take all those steps necessary to effect said rescissions. 5. At the same time that San Rafael rescinds its previously provided Notice of Intent, or as soon thereafter as is reasonably practicable, and provided that (i) Novato has rescinded its Notice of Intent and (ii) the County of Marin has entered into an agreement with San Rafael delegating authority to San Rafael to act as Lead Authority to establish the Single Quiet Zone under terms and conditions satisfactory to San Rafael, San Rafael shall (a) provide Notice of Intent to create the Single Quiet Zone under the Public Authority 2 Agmt. To Establish QZ's with San Rafael Clean 10-12-16 JW Designation provisions of 49 C.F.R. §222,39(a) and cognate provisions and appendices of 49 C.F.R. Part 222 and (b) timely prosecute the establishment of the Single Quiet Zone to a successful conclusion such that the Single Quiet Zone is established and the routine use of locomotive horns must cease within the meaning of 49 C.F.R. §222.45 prior to the commencement of commercial rail service by SMART. Notwithstanding the above, the City of San Rafael retains its discretion as lead agency to terminate the intent to establish a comprehensive Quiet Zone should it determine that the joint process will not result in a comprehensive Quiet Zone prior to the start of SMART's commercial operations. 6. Novato shall reimburse San Rafael all of the latter's costs incurred in rescinding San Rafael's previously issued Notice of Intent, re -initiating quiet zone proceedings to establish the Single Quiet Zone as the Lead Authority and prosecuting to a timely and successful completion the establishment of the Single Quiet Zone. For purposes of this paragraph 6, the costs for which Novato is agreeing to reimburse San Rafael are San Rafael's consulting costs and any applicable fees associated with the designation process. Novato shall pay said costs within 45 days of receiving each of San Rafael's invoices for said costs in which are identified the costs, the methodology for calculating the costs and any documents evidencing said costs or methodology. IN WITNESS WHEREOF, the parties hereto execute this Agreement on the date(s) indicated below. CITY OF S RAF By: , `� Dated: Gary . Phillips, M yor'* Approved as to form: TA,e-2 4e4,c�F Robert F. Epstein, City Attorney CITY OF NOVATO By: Pat Eldund, Mayor Approved as to form: i11604 Je ter, City Attomey Agmt. To Establish CXs with San Rafael Clean 10-12-16 JW Dated: %Q LG —!6 Dated: October 20, 2016 Dated: 10'19 —/( I HE CITY OF NOVATO CALIFORNIA 922 Machin Avenue Novato, CA 94945 415/899-8900 FAX 415/899-8213 www.novato.org Mayor Pat Eklund Mayor Pro Tem Denise Athas Councilmembers Pam Drew Josh Fryday Eric Lucan Interim City Manager Cathy Capriola r. S October 20, 2016 Ms. LeeAnn Dickson Regional Grade Crossing Manager USDOT/Federal Railroad Administration, Region 7 8011 Street, Ste. # 466 Sacramento, CA 95814 RE: Authorization to Create New Quiet Zone under 49 CFR 222.43: Combined City of Novato -County of Marin -City of San Rafael SMART (Sonoma Marin Area Rail Transit) Quiet Zone LeeAnn, This letter authorizes the City of San Rafael to act on behalf of the City of Novato in creating a new combined quiet zone, including grade crossings within the City of Novato on the SMART rail line. A Notice of Intent to create the combined quiet zone will be issued by the City of San Rafael, which will act as the PublicAutbotity Designating the proposed quiet zone. This future Notice of Intent will also rescind any previous Notices of Intent issued by the City of Novato relating to its own intended quiet zone. Please contact me at (415) 899-8906, or ccanriolaOnovato.orF if you have any questions. Sincerely, Cathy Capno Interim City Manager cc: Jim Schutz, City Manager, City of San Rafael Matthew Hymel, County Administrator, County of Marin Associate Administrator for Safety Federal Railroad Administration 1200 New Jersey Avenue, SE, MS -25 Washington, DC 20590 OFFICE OF THE .............................................................................. C.O..U.N.TY..A.Q.M.I.N.I.S.T.RAT.O.R. COUNTY OF MARIN t./ Matthew H. Hymel October 201h, 2016 COUNTY ADMINISTRATOR LeeAnn Dickson Regional Grade Crossing Manager USDOT/Federal Railroad Administration, Region 7 801 1 Street, Ste. # 466 Marin County Civic Center Sacramento, CA 95814 3501 Civic Center Drive Suite 325 San Rafael, CA 94903 415 473 6358 T SUBJECT: 415 473 4104 F CRS Dial 711 www.marincouny.org/cao Quiet Zone Notice of Intent Comment, Establishment of Larger Quiet Zone The County is supportive of the establishment of the proposed continuous Quiet Zone from downtown San Rafael to the northernmost public rail crossing in the City of Novato. The proposed Quiet Zone will include two private rail crossing in unincorporated Marin between the two city limits. A Quiet Zone is a defined stretch of track where a train operator is not required to blow the train horn as it approaches vehicular or pedestrian crossings unless there is a hazard on the tracks. At community meetings held by both cities, supporters of the Quiet Zones stated that the noise of the horns would negatively affect their quality of life due to the proximity to the SMART train line and frequency of trains each day. SMART and the Federal Railroad Administration (FRA) have also expressed their desire for one continuous Quiet Zone. Having a continuous Quiet Zone, that includes the private rail crossings, will benefit not only residents in unincorporated Marin but also those in southern Novato and northern San Rafael areas as well. The county supports the establishment of the proposed Quiet Zone and thanks the City of San Rafael for taking on the extra work to make this possible. Sincerely, Matthew H. Hymel County Administrator County Administrator's Office 3501 Civic Center Drive, Suite 325 San Rafael, CA 94903 cc: City Manager, City of San Rafael City Manager, City of Novato Associate Administrator for Safety Federal Railroad Administration 1200 New Jersey Avenue, SE, MS -25 Washington, DC 20590 1 HE CITY OF NOVATO CALIFORNIA 922 Machin Avenue Novato, CA 94945 415/899-8900 FAX 415/899-8213 wwiv.Ilovato.org Mayor Pat Eklund Mayor Pro Tem Denise Athas Councilmembers Pam Drew Josh Fryday Eric Lucan Interim City Manager Cathy Capriola October 20, 2016 Ms. LeeAnn Dickson Regional Grade Crossing Manager USDOT/Federal Railroad Administration, Region 7 801 I Street, Ste. # 466 Sacramento, CA 95814 RE: Authorization to Create New Quiet Zone under 49 CFR 222.43: Combined City of Novato -County of Marin -City of San Rafael SMART (Sonoma Marin Area Rail Transit) Quiet Zone LeeAnn, This letter authorizes the City of San Rafael to act on behalf of the City of Novato in creating a new combined quiet zone, including grade crossings within the City of Novato on the SMART rail line. A Notice of Intent to create the combined quiet zone will be issued by the City of San Rafael, which will act as the PuGlecAuthority Desig a ing the proposed quiet zone. This future Notice of Intent will also rescind any previous Notices of Intent issued by the City of Novato relating to its own intended quiet zone. Please contact me at (415) 899-8906, or ccapriola a,novato.orlr if you have any questions. Sincerely, Cathy Cap Interim City Manager cc: Jim Schutz, City Manager, City of San Rafael Matthew Hymel, County Administrator, County of Marin Associate Administrator for Safety Federal Railroad Administration 1200 New Jersey Avenue, SE, MS -25 Washington, DC 20590 OFFICE OF THE .............................................................................. C O. .,N.T..Y........ D........�.......I.S.T.R A.T O.R. COUNTY OF MARIN We (the County, San Rafael and Novato) have been working with SMART, the Federal Railroad Administration (FRA), and the California Public Utilities Commission (CPUC) to understand and navigate the complex rules, regulations and process required for the establishment of a Quiet Zone. SMART and the FRA have expressed their desire for one comprehensive Quiet Zone in order to simplify train operations and provide greater consistency and safety for train operators. Both organizations have offered to support an effort to create one comprehensive Quiet Zone. The FRA has indicated that one agency is required to serve as the lead to submit a revised Notice of Intent for a comprehensive Quiet Zone. We request that San Rafael act as the lead agency. The other involved public agencies (Novato and Marin County) would submit a letter of support for the comprehensive Quiet Zone. Thank you for considering our appeal to work together as neighbors and partners towards creating a comprehensive Quiet Zone for Marin. Sincerely, Matthew Hy I County Administrator September 29, 2016 Matthew H. Hymel COUNTY ADMINISTRATOR Mayor Gary Phillips and Members of the San Rafael City Council City of San Rafael 1400 Fifth Avenue Marin County Civic Center San Rafael, CA 94901 3501 Civic Center Drive Site 325 San Rafael, CA 94903 Mayor Phillips d Members of the San Rafael Cit Council: Dear an y p y 415 473 6358 T 415,473 4104 F The County is supportive of the request that the City of San Rafael partner CRS Dial 711 with Marin County and Novato to create a comprehensive Quiet Zone that www.marincounty.org/cao extends from San Rafael through Novato. We (the County, San Rafael and Novato) have been working with SMART, the Federal Railroad Administration (FRA), and the California Public Utilities Commission (CPUC) to understand and navigate the complex rules, regulations and process required for the establishment of a Quiet Zone. SMART and the FRA have expressed their desire for one comprehensive Quiet Zone in order to simplify train operations and provide greater consistency and safety for train operators. Both organizations have offered to support an effort to create one comprehensive Quiet Zone. The FRA has indicated that one agency is required to serve as the lead to submit a revised Notice of Intent for a comprehensive Quiet Zone. We request that San Rafael act as the lead agency. The other involved public agencies (Novato and Marin County) would submit a letter of support for the comprehensive Quiet Zone. Thank you for considering our appeal to work together as neighbors and partners towards creating a comprehensive Quiet Zone for Marin. Sincerely, Matthew Hy I County Administrator �1 a 2 �O C'rr WITH P' October 201, 2016 LeeAnn Dickson Regional Grade Crossing Manager USDOT/Federal Railroad Administration, Region 7 8011 Street, Ste. # 466 Sacramento, CA 95814 SUBJECT: Authorization to create New Quiet Zone under 49 CFR 222.43: Combined City of Novato -County of Marin -City of San Rafael SMART (Sonoma Marin Area Rail Transit) Quiet Zone This letter confirms that the City of San Rafael is acting on behalf of the City of Novato and the County of Marin in creating a new quiet zone, including grade crossings within the City of Novato, within the City of San Rafael and within the County of Marin on the portion of the Sonoma Marin Area Rail Transit (SMART) rail line between the Cities of Novato and San Rafael. A Notice of Intent to create the combined quiet zone will be issued by the City of San Rafael, which will act as the Public Authority designating the quiet zone. This future Notice of Intent will also rescind any previous Notices of Intent issued by the City of Novato and City of San Rafael relating to their own intended quiet zones. Please contact me if you have any questions. cerely, ' rat3/ chutz Manager City of San Rafael 1400 Fifth Avenue San Rafael, CA 94915-1560 cc: City Manager, City of Novato County Administrator, County of Marin Associate Administrator for Safety Federal Railroad Administration 1200 New Jersey Avenue, SE, MS -25 Washington, DC 20590 CITY OF SAN RAFAEIL 11400 FIFT AVEN, ... o Gary O. Phillips, Mayor • Kate Colin, Vice Mayor • Maribeth Bushey, Councilmember • John Gamblin, Councilmember • Andrew Cuyugan McCullough, Councilmember RAFq�< a 2 y0 C,'rY WITH t' LeeAnn Dickson Regional Grade Crossing Manager USDOT/Federal Railroad Administration, Region 7 8011 Street, Ste. # 466 Sacramento, CA 95814 Mailed October 201h, 2016 Certified Mail #7015 3010 0001 5875 5097 Notice of Intent to create New Quiet Zone: Combined City of Novato - County of Marin - City of San Rafael Initial Operating Segment This letter and attachments are a Notice of Intent for the creation of a New Quiet Zone within the Combined City of Novato— County of Marin — City of San Rafael, California. This Notice of Intent also rescinds any previous Notices of Intent issued by the Cities of Novato and San Rafael. As required by Federal Railroad Administration in compliance with 49 CFR 222.43, the following information is being provided to you and other interested parties by the City as Public Authority on behalf of City of San Rafael, City of Novato and County of Marin: Page 1 of 7 CITY OF SAN RAFAEL 1 1400 FIFTH AVENUE, SAN RAFAEL, CALIFORNIA 94901 1 CITYOFSANRAFAEL.ORG Gary O. Phillips, Mayor - Kate Colin, Vice Mayor - Maribeth Bushey, Councilmember • John Gamblin, Councilmember • Andrew Cuyugan McCullough, Councilmember 1. The public, private, and pedestrian grade crossings within the proposed quiet zone are: USDOT National Milepost Street Public/ Private/ Highway -Rail Grade Pedestrian Crossing Inventory Number 863496T 28.5- RUSH CREEK PLACE Public 859201S 28.35 j GOLDEN GATE PLACE Private 863497A 28.1 OLIVE AVENUE I I Public 863498G 27.9 GRANT AVENUE Public 863539J 27.46 FRANKLIN UNDERPASS , Public/Pedestrian 859166F 26.99 ROWLAND 1,2 I Private 863491J i 25.9 HANNA RANCH ROAD Public 859323W 25.46 I BEL MARIN KEYS Public/Pedestrian 863501M 24.5 ROBLAR DRIVE Public 1 863502U 24.12 HAMILTON PARKWAY Public 1863503B 23.90 STATE ACCESS PED XING Private/Pedestrian 863506W 22.11 ST. VINCENT -2 PVT Private 863507D 21.75 ST. VINCENT -1 PVT Private 859205U 120.97 SMITH RANCH RD Public 863510L 20.85 NORTH AVENUE Private 863511T 19.70 CIVIC CENTER DRIVE_ Public 863513G 19.30 LAS GALLINAS _ _ Public/Pedestrian 863514N 18.80 NORTH SAN PEDRO ROAD Public 863516C 17.40 PALOMA AVENUE Public 863517) 17.30 PACHECO STREET Public 863518R ~M _ 17.10 _ _ MISSION AVENUEPublic 863519X 17..05 5TH AVENUE Public 863520S 17.00 4TH STREET Public 2. Time period within which restrictions would be imposed on the routine sounding - of the locomotive horns: 24 hours 3. Explanation of the City's plans for implementing improvements within the proposed quiet zone: The City of Novato, County of Marin, and City of San Rafael (with City of San Rafael acting jointly on behalf of all three jurisdictions) proposes the creation of a New Quiet Zone including all grade crossings within city limits of the contiguous Initial Operating Segment (IOS) of the SMART (Sonoma Marin Area Rail Transit District) railroad within San Rafael, Novato and the portions of track between both cities within the County of Page 2 of 7 Gary O. Phillips, Mayor • Kate Colin, Vice Mayor • Maribeth Bushey, Councilmember • John Gamblin, Councilmember • Andrew Cuyugan McCullough, Councilmember Marin, extending for approximately 12 miles from the Rush Creek Place crossing in Novato to the Fourth Street crossing at the SMART San Rafael terminus station. Details of the improvements are described in ATTACHMENT A. The proposed quiet zone crossing improvements have been identified by SMART, Federal Railroad Administration (FRA), City of Novato, County of Marin, City of San Rafael and California Public Utilities Commission (CPUC) as part of the diagnostic review team process in 2011-12. The proposed crossing improvements are consistent with the recommendations of the diagnostic review team and, where relevant, are reflected subsequent designs in the CPUC -approved General Order 88-B requests during 2014, 2015 and 2016. SMART is undertaking the quiet zone crossing improvements as part of their design - build contracts for railroad improvements to accommodate passenger service. The City also verifies that all private and pedestrian crossings that are open to the public or provide access to active commercial or industrial sites or any pedestrian crossings conform to the recommendations of the diagnostic team. Page 3 of 7 CITY OF 00 FIFTH AVENUE, SAN RAFAEL, CALIFORNIA 94901 1 CITYOFSANRAFAEL.ORG Gary O. Phillips, Mayor • Kate Colin, Vice Mayor • Maribeth Bushey, Councilmember • John Gambl'n, Councilmember • Andrew Cuyugan McCullough, Councilmember 4. Persons who will act as point of contact during the quiet zone development process: Name: Bill Guerin Title: Director of Public Works, City of San Rafael This person can be contacted at: . City of San Rafael Department of Public Works 111 Morphew St., San Rafael, CA 94901 Phone: (415) 485-3110 Email: bill.guerin@cityofsanrafael.org 5. The list of the name and address of each party that is receiving this notification in accordance with paragraph (a)(1) of 49 CFR 222.43 Railroads operating over the highway -rail grade crossings within the proposed quiet zone: Bill Gamlen, P.E. Chief Engineer Sonoma -Marin Area Rail Transit District (SMART) 5401 Old Redwood Highway Suite 200 Petaluma, CA 94954 Mitch Stogner, Executive Director North Coast Railroad Authority 419 Talmage Road, Suite M., Ukiah, CA 95482 John H. Williams President and CEO Northwestern Pacific Railroad Co. 250 Cambridge Avenue, Suite 250, Palo Alto, CA 94306 Highway / traffic control / law enforcement authority having jurisdiction over vehicular traffic at grade crossings within the quiet zone: Chief Diana Bishop San Rafael Police Department 1400 5th Ave, San Rafael, CA 94901 Page 4 of 7 CITY OF SAN RAFAEL] 1400 FIFTH4v'�kii_Eft Gary O. Phillips, Mayor • Kate Colin, Vice Mayor • Maribeth Bushey, Councilmember • John Gamblin, Councilmember - Andrew Cuyugan McCullough, Councilmember Chief James Berg Novato Police Department 909 Machin Avenue Novato, CA 94945 Sheriff Robert T. Doyle Marin County Sheriff's Office 1600 Los Gamos Dr. #200 San Rafael, CA 94903 Landowner having control over any private highway -rail grade crossings within the quiet zone: NORTH AVENUE CROSSING, USDOT NO. 863510L Bob Herbst, Airport Manager San Rafael Airport 400 F Smith Ranch Road, San Rafael, CA 94903 ROWLAND PRIVATE CROSSING 1-2 USDOT NO. 859166F Raul M. Rojas, County Purchasing Agent, Director, Public Works Marin County Flood Control & Water Conservation District 3501 Civic Center Drive, Suite 304 San Rafael, CA 94903 GOLDEN GATE PLACE PRIVATE CROSSING, USDOT NO. 859201 S Denis J. Mulligan, General Manager Golden Gate Bridge, Highway & Transportation District P.O. Box 9000, Presidio Station, San Francisco, CA 94129-0601 ST. VINCENTS SCHOOL -BOYS, USDOT NO. 863506W & 863507D Kent Eagleson, School Director St. Vincents School -Boys 1 St Vincents Dr, San Rafael, CA 94903 Page 5 of 7 CITY OF SAN RAFAEL 1 1400 FIFTH AVENUE, SAN RAFAEL, CALIFORNIA 94901 1 CITYOFSANRAFAEL.ORG Gary O. Phillips, Mayor • Kate Colin, Vice Mayor • Maribeth Bushey, Councilmember • John Gamblin, Councilmember • Andrew Cuyugan McCullough, Councilmember State agency responsible for road/grade crossing safety David Stewart, P.E. California Public Utilities Commission Rail Crossings and Engineering Branch 180 Promenade Circle, Suite 115, Sacramento, CA 95834 Michael Robertson, P.E., Manager Rail Crossings and Engineering Branch California Public Utilities Commission Safety and Enforcement Division 320 W. 4"' St. Suite 500 Los Angeles, CA 90013 Lauren Clauson California Department of Transportation (Caltrans) Railroad Crossing Safety Branch Chief PO BOX 942874, MS 74 Sacramento, CA 94274-0001 Associate Administrator, FRA LeeAnn Dickson Regional Grade Crossing Manager USDOT/Federal Railroad Administration, Region 7 8011 Street, Ste. # 466 Sacramento, CA 95814 Associate Administrator for Safety Federal Railroad Administration 1200 New Jersey Avenue, SE, MS -25 Washington, DC 20590 Parties to be notified via certified mail, return receipt requested: Matthew H. Hymel, County Administrator County Administrator's Office 3501 Civic Center Drive, Suite 325 San Rafael, CA 94903 Cathy Capriola, City Manager City Manager's Office 922 Machin Ave, Novato, CA 94945 Page 6 of 7 Gary O. Phillips, Mayor • Kate Colin, Vice Mayor • Maribeth Bushey, Councilmember • John Gamblin, Councilmember • Andrew Cuyugan McCullough, Councilmember ACTION: Please consider this Notice of Intent as the beginning of the required 60 -day comment period in the quiet zone process. The 60 -day comment period for the Combined City of Novato — County of Marin — City of San Rafael quiet zone will end on December 191h 2016, or when written comments or a "no comment" statement is received from each recipient of this notice. The attached form is provided to facilitate your response to this notice but you may also contact me if you have any questions. Sincerely, Bill Guerin, RA Director of Public Works, City of San Rafael Page 7 of 7 Gary O. Phillips, Mayor • Kate Colin, Vice Mayor - Maribeth Bushey, Councilmember • John Gamblin, Councilmember • Andrew Cuyugan McCullough, Councilmember AGENDA ITEM 10 S O N O MA -MAR I N AREA RRSIT October 19, 2016 Judy Arnold, Chair Marin County Board of Supervisors Sonoma -Marin Area Rail Transit Board of Directors Barbara Pahre, vice chair 5401 Old Redwood Highway, Suite 200 Golden Gate Bridge, Petaluma, CA 94954 Highway/Transportation District Jim Eddie SUBJECT: Start of Passenger Service Golden Gate Bridge, Highway/Transportation District Debora Fudge Dear Board Members: Sonoma County Mayors and Councilmembers Association RECOMMENDATION: Target passenger service launch for late spring 2017 Eric Lucan (Discussion and Information) - - - - - Transportation Authority of Marin Jake Mackenzie SUMMARY: Sonoma Mayors and Councilmembers At your September 21 Board meeting, various staff members informed your Association board and members of the public on the progress of the SMART project. Stephanie Moulton -Peters We also reported on work that needs to be completed in anticipation of the Marin Council of Mayors and Councilmembers potential opening of passenger service at the end of 2016. These projects and tasks will continue and are still on target for the beginning of passenger Gary Phillips Transportation Authority of Marin service. This presentation also demonstrated the very complex and David Rabbitt challenging nature of this initial 43 -mile system. Sonoma County Board of Supervisors Carol Russell However, in order for us to begin our revenue service a number of major Sonoma Mayors and Councilmembers items must be completed in sequence in order for us to be confident that Association safe and reliable service can be provided. These are also many of the steps Kathrin Sears required to receive approval from the Federal Railroad Administration (FRA) Marin County Board of Supervisors to begin passenger service. Shirlee Zane Sonoma County Board of Supervisors A recent development with our train car engines, and our goal of addressing all issues prior to the start of passenger service make it difficult to meet our existing timeline. We would much rather address any and all issues before Farhad Mansourian General Manager we open, so that we can provide the safe and reliable service we have promised on Day One, even if it means waiting a few months longer. SRedwood Highway Suiteuite 200 y we wdiscussing these major Today ill be diin thor tasks that remain and review our 20 Petaluma, CA 94954 progress thus far: Phone: 707-794-3330 Fax: 707-794-3037 www.sonomamarintrain.org TRAIN CARS Our train car is a Diesel Multiple Unit (DMU) designed and built by Nippon Sharyo, which is one of the top train car manufacturers in the world. Since receiving our 14 train cars, we have been testing the cars themselves and conducting training for our engineers for signal testing. Page 81 of 91 SMART Board of Directors October 19, 2016 Page 2 of 4 As with any new design and construction project, we have had our share of challenges, but in partnership with our train car vendor and their sub -contractors we have been addressing these issues while continuing to test our system. In early July we received notification from our car designer that a similar car in Toronto had experienced an engine failure, and that they were working with their vendor (Cummins Engines) to address the cause and the potential solutions. Cummins has informed us that this failure was a result of a design flaw with the crank shaft. We then sent our Superintendent of Vehicles and our Vehicle Engineers to Cummins' facility in Indiana so they could all work together and recommend the right course of action. The attached report from our Vehicle and Systems Engineering Program Manager provides the details of this issue. This report concludes that the nature of the engine problem creates an uncertainty and a risk that— particularly for a brand new service such as ours with a single track operation— should not be taken. The attached letter, dated October 13, from our car manufacturer describes an aggressive schedule that includes design, production and full replacement of all of our engines that continues through the spring of 2017. SIGNAL TESTING SMART is in the process of systemwide testing, including testing its grade crossing warning devices. While this testing is being performed, and until the testing is complete and certified, SMART's train crews are required by operating rules to approach each grade crossing prepared to stop. This operating rule is communicated to train crews by listing each grade crossing on the system as "malfunctioning" on SMART's Daily Operating Bulletin, which is the document that the train crews refer to each day as they operate through the alignment. The "malfunctioning" term is part of the General Code of Operating Rules, which is used by railroads across the United States and is being applied to all crossings, despite the fact they are not all malfunctioning. This cautious approach is being taken with public safety in mind, as it ensures that each train will be able to stop before entering the crossing if there are any issues with grade crossing warning devices, or if they see a safety emergency, such as cars stopped on the tracks. That testing is progressing well, and we are preparing to enter the next stage of testing more frequently and at increased speeds. We have 63 active at grade crossings that have to perform consistently and repeatedly individually, as a block and then in complete harmonv with the train cars, and with the required Positive Train Control system. This systemwide safety testing is extensive, complex and essential as we progress toward the start of our passenger service. Conducting this systemwide testing is required to ensure our crossing gates, our train control and communication systems, and our train cars are working properly and efficiently. In order for our system to determine train location, speed and direction, the train's wheels and the rail itself must consistently touch and maintain electrical contact. The electrical circuit between the rail and the train's wheels and axles is referred to as a "shunt", and the activity of this electrical circuit as the train moves down the track is referred to as "shunting". Page 82 of 91 SMART Board of Directors October 19, 2016 Page 3 of 4 Because our train cars are new, our rail is new, and because we are not running trains as frequently as needed, the shunting is inconsistent, causing some of our signals to perform inconsistently. The solution for resolving inconsistent shunting, which is common among railroads throughout the country, especially new startup railroads with new rail, is consistent train operation and consistent maintenance, such as grinding and scrubbing the rail. We now have been running trains from 8 a.m. to 8 p.m. on weekdays and from 9 a.m. to 8 p.m. on weekends throughout the system. We also have been regularly scrubbing the rail at night in many of the segments. As a result of these efforts we are seeing improved shunting, and we are planning on beginning the next phase of testing at higher speeds in some of these areas. Moving into this next phase of testing is excellent news — and it moves us closer to the next phase of testing our schedule, and closer to starting service. STAFFING We need to have a complement of 80 people in our operations department who can operate the train, maintain our signal and rail system, and maintain our train cars. In July we reported to your Board that due to the high cost of living and excessive housing costs, we were having a difficult time attracting experienced rail personnel to join our agency. At that time we were more than a dozen positions short. We recommended a more generous salary and relocation expenses for the three critical and most difficult to fill positions. Thanks to your Board's approval, we have now hired most of the staff we need. We have a few more positions to fill, and we have a number of applicants now going through background checks. The next step is to train and certify the new staff per the FRA requirements. NEXT STEPS Bringing a major train project online involves much work. And our work continues. Here is a summary of some of the key next steps for our SMART team: ■ Replacement of our train car engines will begin in November and continue through March of 2017. ■ Systemwide testing will move forward, with trains running more frequently. SMART will also begin testing in preparation for FRA approval of its Positive Train Control system, making us among the first in the nation to use this new safety technology. ■ SMART will also begin testing its draft schedule to make any adjustments needed in advance of starting service. Providing our transit partners with our final schedule will allow them to adjust their schedules to ensure our customers have a smooth and seamless commute. CONCLUSION SMART staff and our contractors and consultants have been working very hard in order to make the targeted 2016 start date a reality. We understand that the public is anxiously waiting for service to begin, and we appreciate their support and their patience during our systemwide safety testing process. Page 83 of 91 SMART Board of Directors October 19, 2016 Page 4 of 4 SMART has always been transparent and we work hard to maintain public trust. That means sharing our challenges, as well as our successes. This new engine problem, and the need to complete our systemwide safety testing and all of the required approvals from FRA has led me to the conclusion that beginning of passenger service by the end of 2016 is not advisable. We must open our doors only when our system is safe, reliable and dependable, and not a moment sooner. This short delay will ensure we achieve that goal, and get it right from Day One. We will be working even harder and target the late spring 2017 as our beginning of passenger rail service. I will provide you and the public with monthly progress reports, as we move this complex public transportation project forward and ready for passengers. FISCAL IMPACT: The delay of targeted service will decrease our revenue and increase our testing expenses but could be offset by existing contractual duties and obligations. IFarV I k ad Mansourian General Manager Attachment(s): 1. LTK Letter dated October 14, 2016 2. Sumitomo Corporation of Americas Letter dated October 13, 2016 Page 84 of 91 LTK Engineering Services Member of the Klauder Group 1318 Redwood Way, Suite 110 Petaluma, CA 94954 October 14, 2016 Mr. Farhad Mansourian General Manager Sonoma -Marin Area Rail Transit 5401 Old Redwood Highway, Suite 200 Petaluma, CA 94954 Dear Mr. Mansourian: The purpose of this letter is to advise you of our recommendation, as requested, regarding the recent developments surrounding SMART's vehicle engines. Background Event As you know, the Toronto Airport rail service, established last year by the Ontario provincial rail agency, Metrolinx, is operated with Diesel Multiple Unit (DMU) equipment functionally identical to SMART's, and, in fact, purchased through an option on SMART's own vehicle procurement contract with Sumitomo Corporation of America (SCOA). The diesel engines used in the SMART and Toronto DMUs are manufactured by Cummins, Inc. On July 6, 2016, SMART was notified by SCOA that an engine in one of the DMUs being operated in Toronto had had a complete in-service destructive failure, the previous week. A piston rod penetrated the engine block, causing the engine to shut down and the train to lose power. The train was taken to the maintenance facility where the failed engine was torn down and examined by Metrolinx, the carbuilder, and the manufacturer. On September 7, 2016, SMART was notified by SCOA that the failure was due to an underlying design flaw in the engine's crankshaft. Responding to this news, SMART's Vehicle Maintenance Superintendent, supported by LTK vehicle engineers, travelled to the Cummins Engine facility in Seymour, Indiana, and on September 14 met with Cummins, carbuilder Nippon Sharyo and SCOA. At that meeting it was agreed that the engines would be rebuilt with a new crankshaft designed for the life of the engine, as soon as possible. Cummins Engine Rebuild Schedule In an effort to compress the retrofit schedule, SMART's contractor team is providing two new engines with re -designed crankshafts for this program for use as "float", so that cars are not out of service for a Page 85 of 91 Mr. Mansourian October 14, 2016 Page 2 of 3 longer period than the actual engine replacement time. The program is scheduled to begin at the end of November, pending delivery of parts needed to assemble the replacement engines. SMART's engines will be removed one at a time and replaced until all cars have modified engines. To minimize disruption to SMART's current integration testing activities, each engine change -out will take place over a weekend. Repair of a removed engine and preparation for reinstallation takes just over a week, which is why two extra engines are required to meet a vehicle modification rate of one per week. Provided the work begins on time, and realistically taking holidays into account, all 14 cars will be re -engined by April 2017. Effect of Cummins Engine Rebuild Schedule on SMART Operations Given the timing of the engine modifications in relation to readiness for revenue service, SMART must assess whether to begin revenue service while the engine rebuilding work is underway. There are several factors that must be taken into account, including operational considerations. From the supplier's point of view, the odds of an unmodified engine failing in service while the modification program is under way are reasonably low. In addition, the failure in Toronto did not result in a hazard to passengers. A system operator might decide the risk, though not zero, is low enough that service could begin while the program is underway. Indeed, despite the July 6 engine event, the Toronto Airport service has remained in continuous operation. Although its DMU trainsets have performed more than ten times the service hours as SMART's have in test, the Toronto fleet has not suffered another crankshaft failure in the last four months. However, after consultation with SMART's Operating and Maintenance staff, in which the SMART - specific risks and consequences were reviewed, LTK recommends that SMART not beein service until the ewe modifications are complete. The operating considerations influencing this recommendation are presented below. SMART's conceptual revenue service timetable for the Initial Operating Segment requires six trainsets for peak service. SMART has 14 cars, or seven trains. The starting point for service on a railroad with a very low spares ratio such as this must be high reliability, and a known vulnerability runs counter to this principle. In the event of this type of engine failure during service, the vehicle pair would lose power. From that starting point the operational results could range from the train proceeding at a limited speed of 30mph to a delayed arrival at the end of the line, by using the remaining engine in the DMU pair, to a more significant stranding of passengers mid -trip and initiation of a bus bridge. Depending on the severity of the event, the latter worst case, however unlikely, could require a mid -route evacuation of passengers. Given the lengthy segments of single track, and layout of passing sidings based on robust operating speeds, it is our opinion that even under the best circumstances the timetable schedule could not be maintained. Scheduled service could only resume at the next peak period, that is, afternoon of the same day or the following morning. In either of the aforementioned scenarios, once a spare train were put into service in the next peak period, SMART would be in a highly undesirable zero -spares situation until the next weekend's engine replacement. Page 86 of 91 Mr. Mansourian October 14, 2016 Page 3 of 3 Any time SMART has major delays or is forced to rely on a bus bridge, there will likely be a loss in passenger confidence in the system. There is not a "spare" fleet of busses with drivers on standby in the region to supply a bus bridge with sufficient capacity during peak periods, and although SMART is working with local operators to provide this service whenever possible for them to do so, the delay in passengers reaching their destination were a bus bridge to be needed would be unavoidably significant. The risk to a start-up running under the circumstances associated with potential failure during engine modifications, and SMART's operating constraints is that perceived service problems could lead to a public characterization of the system as unreliable, one that fails to meet the demands of a commuting public that requires consistent on-time performance. It can take time to convince lost customers to ride even after the problem is resolved. This would be costly to SMART, therefore, waiting until the engine modifications are complete to begin revenue operations is a reasonable approach. In light of the factors discussed above, we recommend that before opening, all engine modifications be completed and tested. Sincerely, w 41A Lisa M. Cobb, PE Senior Engineer, SMART Program Manager Page 87 of 91 Sumitomo Corporation of Americas October 13, 2016 Mr. Farhad Mansourian General Manager Sonoma Marin Area Rail Transit District 5401 Old Redwood Highway Petaluma, CA 94954 Contract: SMART Contract No. VS -EQ -10-001 Subject: DMU Readiness Dear Mr. Mansourian: Please reference our ongoing discussion regarding issues with the Cummins QSK-19R engine that is installed in SMART's Nippon Sharyo DMUs. Sumitomo and Nippon Sharyo (SCOA/NS) have been proactive and transparent with SMART since the crankshaft issue first came to light, beginning in end of June 2016 when we informed SMART that an engine had failed in one DMU operated by Metrolinx in Toronto, through reporting results of Cummins' root cause analysis, to agreement on corrective action. Although our vendor, Cummins, has recommended that the crankshaft replacement does not need to occur immediately but can be deferred until "mid-life" maintenance, SCOA/NS has tajw a more proactive a prnach and requestedthat Cummins replace all old -design crankshafts as soon as practicable. Cummins has agreed to this approach 'gnu, together with the support of SMART and SCOA/NS, has developed a campaign schedule to complete crankshaft replacement on all SMART DMU engines — together with additional engine improvements — between November 2016 and March 2017. / We are committed to work with SMART on this issue to get all issues resolved as soon as possible. We would be happy to answer any questions or concerns you may have regarding the Cummins engine or the Nippon Sharyo DMU's readiness for service. Very truly yours, Hideyuki 'Hugh' Ninomiya Program Manager SMART DMU Program Page 88 of 91 99 NIPPOPI SHARYO MANUFACTURING, LLC October 12, 2016 Mr Hideyuki Ninomiya Sumitomo Corporation of Americas 2340 S. Arlington Heights Road Suite 605 Arlington Heights, IL 60005 Subject: SMART DMU Cummins Engine Dear Mr. Ninomiya, As we have discussed, attached please find a letter from Cummins, Inc which describes the current status of their engine field modification Please forward the same to SMART for their review and understanding. If you have any questions, please feel free to contact us. Sincerely Yours, Akira "Kevin" Koyasu President Cc: T. Shirai T. Ishihara T. Morita K. Atsumi Y. Suzuki 1600 Ritchie Court, Rochelle, IL 61068 TEL (815)562-86001 FAX: (815)561-3630 Page 89 of 91 October 12, 2016 Akira Kevin Koyasu Nippon Sharyo USA Dear Kevin: Thank you for your October 6 email regarding SMART. Cummins understands the customer's concerns and appreciates you bringing them to the forefront of our on-going discussion. Based on our analysis of the SMART application, Cummins has recommended it is possible to wait to replace the crankshaft at engine mid-life. However, we understand Nippon Sharyo and SMART would like to proceed with crankshaft replacement as soon as possible which Cummins is prepared to implement. To accommodate Nippon Sharyo and SMART's schedules, which we understand are based on when SMART plans to begin revenue service, Cummins plans to begin the crankshaft campaign as soon as November 14th with new design gaskets. With Nippon Sharyo and SMART's cooperation, we will continue at a rate of one engine replacement per weekend until the replacements are complete. At this time, we communicated we will have completed engine replacemdnts on the SMARI-aWlication on or before Aoril 2017_ However we are working with SMART to try to push that date up as they have requested. Cummins is currently working on that but would like to start the campaign in November s n d. To further expedite this process, Cummins proposes that the engine and transmission be assembled prior to the engine swing. Page 90 of 91 Again, thank you for your time and attention to this issue. We look forward to resolving this together on behalf of the customer. Sincerely, Melina Kennedy General Manager — Rail and Defense Cummins Inc. Page 91 of 91