NORTH COUNTY TRANSIT DISTRICT 810 Mission Avenue Oceanside, CA 92054 (760) 966-6500 (760) 967-2001 (fax) BOARD OF DIRECTORS Mark Packard Councilmember. City of Carlsbad Board Chair Rebecca Jones Vice Mayor. City of San Marcos Board Vice-Chair Donald Mosier Councilmember. City of Del Mar Tony Kranz Councilmember. City of Encinilas Ed Gallo Councilmember. City of Escondido Chuck Lowery Deputy Mayor. City of Oceansrde Bill Horn Superwsor. County of San Diego Mike Nichols Councilmember. City of Solana Beach John J. Aguilera Deputy Mayor. City of Vista EXECUTIVE DIRECTOR Matthew 0. Tucker GENERAL COUNSEL Lori A. Winfree May 20, 2015 Mr. Brad Racino Email: Bradracino@qmail.com Subject: Public Records Request Dear Mr. Racino: This will serve as the North County Transit District?s (NCTD) supplemental response to your Public Records Request pursuant to California Government Code section 6250, et seq. which was received via email on May 4, 2015 requesting: 1. All reports and/or results of the TA Triennial Review conducted in 2015. In initial response to your request on May 7, 2015, NCTD had determined and advised that it had no non?exempt responsive documents, that it expected the Federal Transit Administration?s (FTA) formal audit results in early June, and that NCTD would provide you with a copy upon receipt. NCTD has now received the FTA Final Report which it provides as an attachment to this supplemental response. In addition, NCTD has posted the FTA Final Report on the Compliance page of its website at with some additional information. Sincerely, he?on Insurance Risk Mangement Specialist FINAL REPORT FY 2015 TRIENNIAL REVIEW of the North County Transit District (NCTD) Oceanside, California Recipient ID: 1690 Performed for: U.S. DEPARTMENT OF TRANSPORTATION FEDERAL TRANSIT ADMINISTRATION REGION IX Prepared by: Milligan & Company, LLC Scoping Meeting Date: January 13, 2015 Site Visit Dates: March 25 – 27, 2015 Final Report Date: May 18, 2015 Table of Contents I. II. Executive Summary..................................................................................................................................... 1 1. 2. 3. Review Background and Process ........................................................................................................... 3 Background ................................................................................................................................................. 3 Process ......................................................................................................................................................... 3 Metrics.......................................................................................................................................................... 3 III. Grantee Description .................................................................................................................................... 5 IV. Results of the Review .............................................................................................................................. 12 1. 2. 3. 4. 5. 6. 7. 8. 9. Financial Management and Capacity.................................................................................................. 12 Technical Capacity .................................................................................................................................. 12 Enhanced Review Module..................................................................................................................... 12 Maintenance............................................................................................................................................. 15 Americans with Disabilities Act........................................................................................................... 15 Title VI ....................................................................................................................................................... 15 Procurement ............................................................................................................................................ 16 Enhanced Review Module..................................................................................................................... 16 Disadvantaged Business Enterprise ................................................................................................... 19 Legal ........................................................................................................................................................... 20 Satisfactory Continuing Control .......................................................................................................... 20 10. Planning/Program of Projects ............................................................................................................. 20 11. Public Comment on Fare Increases and Major Service Reductions ............................................ 20 12. Half Fare.................................................................................................................................................... 21 13. Charter Bus............................................................................................................................................... 21 14. School Bus ................................................................................................................................................ 21 15. Security ..................................................................................................................................................... 21 16. Drug Free Workplace and Drug and Alcohol Program .................................................................. 22 V. 17. Equal Employment Opportunity ......................................................................................................... 22 Summary of Findings ............................................................................................................................... 23 VI. Attendees ..................................................................................................................................................... 25 VII. Appendices .................................................................................................................................................. 27 I. Executive Summary This report documents the Federal Transit Administration’s (FTA) Triennial Review of the North County Transit District (NCTD). The review was performed by Milligan & Company, LLC. During the site visit, administrative and statutory requirements were discussed and documents were reviewed. NCTD’s transit facilities were toured to provide an overview of activities related to FTA-funded projects. The Triennial Review focused on NCTD’s compliance in 17 areas. Deficiencies were found in the areas listed below. Review Area Technical Capacity Procurement Code 68 79 Inactive grants/Untimely grant closeouts 98 Excessive delays in project implementation 12 Lobbying certifications not included in agreements/procurement solicitations 37 Lacking full and open competition for one or more methods of procurement 129 No FTA clauses 156 Contract files lacking Buy America certifications 271 340 No verification that excluded parties are not participating Lacking required cost/price analysis Lacking independent cost estimate (repeat) 344 Responsibility determination deficiencies 346 Insufficient solicitation elements 25 Violation of incidental use requirements 183 Satisfactory and Continuing Control Deficiencies Description Progress reports lack required information As part of this year’s Triennial Review of NCTD, FTA incorporated Enhanced Review Modules (ERMs) in the Technical Capacity and Procurement areas. The purpose of an ERM is to conduct a more comprehensive review of underlying or contributing issues identified during the preassessment stage of the Triennial Review. Deficiencies resulting from the ERMs are presented in the Technical Capacity and Procurement sections of this report. 2015 Triennial Review – North County Transit District 1 Page Subsequent to the site visit, NCTD provided sufficient documentation to address and close the corrective actions for the deficiencies noted in the following areas: Technical Capacity Satisfactory Continuing Control 79 25 Inactive grants/Untimely grant closeout Violation of incidental use requirements 2015 Triennial Review – North County Transit District 2 Page II. Review Background and Process 1. Background The United States Code, Chapter 53 of Title 49, requires the FTA of the United States Department of Transportation (USDOT) to perform reviews and evaluations of Urbanized Area Formula Grant activities at least once every three years. This requirement is contained in 49 U.S.C. 5307(f)(2). This review was performed in accordance with FTA procedures (published in FTA Order 9010.1B, April 5, 1993). At least once every three years, the Secretary shall review and evaluate completely the performance of a grantee in carrying out its program, specifically referring to compliance with statutory and administrative requirements. The Triennial Review includes a review of the grantee’s compliance in 17 areas. The basic requirements for each of these areas are summarized in Section IV. This report presents the findings from the Triennial Review of NCTD. The review concentrated on procedures and practices employed during the past three years; however, coverage was extended to earlier periods as needed to assess the policies in place and the management of grants. The specific documents reviewed are referenced in this report and are available at FTA’s regional office or at the grantee’s office. 2. Process The Triennial Review process includes a pre-review assessment, a review scoping meeting with the FTA regional office, and an on-site visit to the grantee’s location. The review scoping meeting was conducted with the Region IX Office on January 13, 2015. Necessary files retained by the regional office were sent to the reviewer electronically. A grantee information request and review package was sent to NCTD advising it of the site visit and indicating information that would be needed and issues that would be discussed. The site visit to NCTD occurred March 25 to 27, 2015. The onsite portion of the review began with an entrance conference, at which the purpose of the Triennial Review and the review process were discussed. The remaining time was spent discussing administrative and statutory requirements and reviewing documents. A tour of NCTD’s transit facilities was conducted to provide an overview of activities related to FTAfunded projects. Reviewers visited the East Division (BREEZE), Stuart Mesa (Coaster), and SPRINTER Operations facilities. A sample of maintenance records for FTA-funded vehicles and equipment was also examined during the site visit. Upon completion of the review, a summary of preliminary findings was provided to NCTD at an exit conference. The individuals participating in the review are listed in Section VI of this report. 3. Metrics The metrics used to evaluate whether a grantee is meeting the requirements for each of the areas reviewed are: 2015 Triennial Review – North County Transit District 3 Page • Not Deficient: An area is considered not deficient if, during the review, no findings were noted with the grantee’s implementation of the requirements. • Deficient: An area is considered deficient if any of the requirements within the area reviewed were not met. • Not Applicable: An area can be deemed not applicable if, after an initial assessment, the grantee does not conduct activities for which the requirements of the respective area would be applicable. 2015 Triennial Review – North County Transit District 4 Page III. Grantee Description Organization The North San Diego County Transit Development Board was created by California Senate Bill Number 802 on September 20, 1975 and was renamed the North County Transit District (NCTD) in January 2006. NCTD was created to plan, construct, and operate, directly, or through a contractor, public transit in its area of jurisdiction. NCTD provides bus, van, and train service for people in the northern half of San Diego County, providing service from the rural areas of Fallbrook and Ramona and the Camp Pendleton Marine Corps Base, to the cities of Oceanside, Vista, Carlsbad, Encinitas, San Marcos, Del Mar, Solana Beach, and Escondido, plus the unincorporated areas of North San Diego County. The total population of NCTD’s 1,020 square mile service area is approximately 897,000. Services NCTD contracts with private operators for the provision of all modes of public transit service. Through these contracts, NCTD provides the following transit services: commuter rail (COASTER); hybrid rail (SPRINTER); bus fixed-route (BREEZE); demand response and route deviation (FLEX); and Americans with Disabilities Act (ADA) complementary paratransit (LIFT). The COASTER commuter rail service is operated by Transit America Services, Inc. The SPRINTER hybrid rail service is operated and maintained by Transdev, formally Veolia Transportation. The BREEZE fixed-route, FLEX demand response and route deviation, and LIFT ADA complementary paratransit services are operated by First Transit. NCTD does not have any subrecipients. Fixed Route, Demand Response and ADA Complementary Paratransit Service The BREEZE’s 33 fixed routes provide service on weekdays from 3:59 a.m. to 2:01 a.m. Saturday service is operated from 4:33 a.m. to 2:01 a.m. for 21 of the 33 fixed routes. Sunday service consists of 16 fixed routes that operate from 4:33 a.m. to 12:08 a.m. FLEX service hours are 4:50 a.m. to 8:30 p.m. Monday through Friday, with no weekend service. The LIFT operates during the same days and hours of service as the BREEZE. There are 164 buses in the BREEZE fleet, including eight locally funded vehicles. There is a bus contingency fleet of three vehicles. The LIFT service provides ADA complementary paratransit service with 53 vehicles. The FLEX service consists of four routes using eight NCTD vehicles. A very small amount of trips for LIFT and FLEX are provided by operators and vehicles from First Transit’s subcontractor Facilitating Access to Coordinated Transportation (FACT). The percentage of subcontractor trips provided by FACT is normally less than two percent daily. The basic adult fare for the BREEZE is $1.75. A reduced fare of $0.75 is offered to seniors (60 and older), persons with disabilities, and Medicare cardholders during all hours. The fares for FLEX service are $5.00 ($10.00 on route 372) for adults and $2.50 ($5.00 on route 372) for seniors, persons with disabilities, and Medicare cardholders. The LIFT ADA fare is $3.50 per trip. Eligibility for ADA services is determined through a process administered by ADA Ride, a third-party contractor of NCTD. 2015 Triennial Review – North County Transit District 5 Page The BREEZE service is operated from two maintenance garages. The West Division is located in the City of Oceanside and the East Division is located in the City of Escondido. The LIFT and FLEX services are also operated from the West and East Division garages. COASTER and SPRINTER Rail Service NCTD owns 63 miles of rail right-of-way used for COASTER and SPRINTER operations. This includes 41 miles of COASTER track along the main north-south line between the Orange County border and the northern border of the City of San Diego; and 22 miles of SPRINTER track along the east-west line between Escondido and Oceanside. The COASTER is a north-south commuter rail operation that links North San Diego County to the City of San Diego. The COASTER operates from 5:13 a.m. to 8:13 p.m. on weekdays and 8:22 a.m. to 8:13 p.m. on Saturdays and Sundays, serving eight stations. The COASTER stations are located in Oceanside, Carlsbad Village, Carlsbad Poinsettia, Encinitas, Solana Beach, Sorrento Valley, Old Town, and San Diego. The COASTER fares range from $4.00 to $5.50 depending on the number of zones traveled and from $2.00 to $2.75 for seniors, persons with disabilities, and Medicare cardholders. The COASTER uses seven locomotives, ten cab coaches, and 18 coaches for service. The rail vehicle maintenance facility is located at Stuart Mesa at the Camp Pendleton Marine Corps Base. The SPRINTER is an east-west hybrid rail line that links Escondido to Oceanside, serving 15 stations. In Escondido, the SPRINTER connects with the BREEZE, FLEX, MTS Rapid bus, and MTS Rapid Express bus. In Oceanside, the SPRINTER connects with the COASTER, MetroLink, Amtrak, BREEZE, Riverside Transit Agency, and Greyhound. The SPRINTER service operates seven days a week, from approximately 4:00 a.m. to 9:30 p.m., with extended service on Friday and Saturday evenings. The basic SPRINTER fare is $2.00 with a reduced fare of $1.00 for seniors, persons with disabilities, and Medicare cardholders. The SPRINTER has 12 Diesel Multiple Units (DMUs). The operations and maintenance facility is located in the City of Escondido. The San Diego Region uses the Compass Card. The Compass Card is an innovative plastic "smart card" designed to streamline fare distribution and collection for regional transit service. Compass Card is accepted on all NCTD transit services except LIFT. Cardholders can load fares onto the cards, even linking them to a payment account to allow for automatic replenishment. The Compass Card allows riders to obtain their fares and retrieve automatic replenishment simply by touching the card to a specially designed validator box at train stations and on fare boxes in buses. An administrative fee of $2.00 is charged for customers to acquire their first card. NCTD's National Transit Database Report for fiscal year (FY) 2014 provided the following financial and operating statistics for its various modes of service: 2015 Triennial Review – North County Transit District 6 Page Unlinked Passengers Revenue Hours Operating Expenses FixedRoute Bus Service 8,135,330 Commuter Rail Hybrid Rail 2,551,106 ADA Paratransit Service 154,162 Demand Response/ FLEX 14,066 1,673,816 439,172 35,318* 30,780* 75,285 4,829 $42,064,413 $19,549,341 $15,031,520 $4,789,180 $547,868 *Passenger Car Revenue Hours Grant Activity Below is a list of NCTD’s open grants at the time of the review. Grant Number Grant Amount Year Executed CA-03-0528 $152,100,000 2008 CA-03-0621 CA-03-0718 CA-03-0728 $2,772,739 $1,317,375 $9,769,018 2003 2007 2007 CA-04-0015 $1,771,995 2007 CA-04-0096 $434,720 2008 CA-04-0188 $332,000 2011 CA-04-0203 $338,580 2011 CA-04-0216 $4,621,860 2012 CA-05-0202 CA-05-0230 CA-05-0237 CA-05-0246 $7,399,306 $5,707,888 $7,660,000 $5,910,679 2007 2008 2009 2010 CA-37-X078 $487,487 2007 CA-37-X091 $1,095,680 2008 CA-37-X190 CA-54-0012 CA-54-0029 $63,463 $8,639,740 $9,406,126 2013 2013 2014 CA-57-X033 $481,109 2009 CA-57-X059 $225,890 2011 Description Full Funding Grant Agreement (FFGA): Oceanside-Escondido Rail Transit Center Improvements Transit Center Improvements FY 2005 Fixed Guideway Modernization FY 2005 Transit Center Improvements FY 2006 and FY 2007 Transit Center Improvements FY 2008 State of Good of Repair (SGR) - Replace Underground Storage Tank Bus and Bus Facilities - Solana Beach Intermodal Transit Station SGR - Replacement 40ft Compressed Natural Gas (CNG) Buses Fixed Guideway FY 2006 and FY 2007 Fixed Guideway FY 2007 and FY 2008 Fixed Guideway FY 2009 Fixed Guideway FY 2010 FY 2006 Job Access Reverse Commute (JARC) For Bus Stop Improvements FY 2007/2008 JARC - Bus Stop Improvement and Weekend Service FY 2013 JARC FY 2013 Fixed Guideway FY 2014 Fixed Guideway FY 2008 New Freedom (NF)-Mobility/ Travel Training and Bus Stop/Path FY 2010/2011 NF-Mobility/Travel Training Program 2015 Triennial Review – North County Transit District 7 Page Grant Number CA-90-Y345 CA-90-Y467 CA-90-Y556 CA-90-Y632 CA-90-Y705 CA-90-Y815 CA-90-Y874 CA-90-Y959 CA-90-Z096 CA-90-Z200 Grant Year Description Amount Executed $28,276,240 2006 Capital and Planning FY 2005 $17,145,689 2006 Capital and Planning FY 2006 $13,750,478 2013 FY 2007 Capital and Planning $16,669,622 2008 Capital and Planning FY 2007 and FY 2008 $16,733,110 2012 Capital and Planning FY 2009 $18,794,432 2010 Capital and Planning FY 2010 $17,122,340 2014 Capital and Planning FY 2011 $15,486,933 2012 Capital and Planning FY 2012 $5,704,329 2013 Capital and Planning FY 2013 $16,537,022 2014 Capital and Planning FY 2014 Completed Projects SPRINTER Light Rail Project – This project has converted 22 miles of an existing freight corridor into a passenger rail system and includes the addition of a 1.7-mile rail alignment to the University in San Marcos (Loop). The project serves 15 stations, seven days a week, from approximately 4:00 a.m. to 9:30 p.m., with extended service on Friday and Saturday evenings. The SPRINTER commenced revenue operations on March 9, 2008. The project’s punch list was completed in September, 2014, and all Federal funds have been expended and drawn down. The notice of completion for the punch list services was recorded with San Diego County in February 2015. NCTD is working with FTA to close out the grant once the remaining items identified by the Final Monitoring Report are complete. As part of this effort, NCTD is coordinating with the City of Oceanside to update the Letter of Map Revision (LOMR) for the SPRINTER project, in compliance with Federal Emergency Management Agency (FEMA) requirements. Purchase of ADA Paratransit Buses – Combining funding from State and local sources, this project funded the purchase of 42 LIFT vehicles for ADA paratransit service. Replacement of BREEZE Buses – Combining funding from state and local sources, this project funded the purchase of 30 40-foot CNG buses. The procurement activity occurred during the last Triennial Review period; however, receipt of the 30 buses occurred during this Triennial Review period. San Luis Rey Transit Center – With the passage of the State of California Senate Bill 1703 in 2003, regional transit planning and construction functions were transferred from NCTD to the San Diego Association of Governments (SANDAG). Accordingly, SANDAG, in coordination with NCTD, completed the design and construction of the San Luis Rey Transit Center in northeast Oceanside. The 12-bay transit center provides a permanent location for transfers between numerous BREEZE bus routes supports demand for transit services in this area, and serves as an anchor for future bus rapid transit. The San Luis Rey Transit Center is an integral part of a larger mixed-use, transit oriented development project. 2015 Triennial Review – North County Transit District 8 Page Projects Underway Solana Beach Parking Expansion Project – This project provides additional parking spaces for future fixed-route bus and rail users of the Solana Beach intermodal facility. A mixed-use transitoriented development project is also proposed for this location adjacent to and directly over the parking structure, which will potentially include retail, residential, and office facilities and provide NCTD with revenue to support transit operations. Working with the City of Solana Beach, NCTD has updated the scope of work for Project Phase I to build at least 150 belowgrade transit parking spaces. The number of transit parking spaces may be increased up to approximately 750 under a full build out scenario that meets the long term parking capacity needs. In November 2014, the City of Solana Beach City Council voted to support the Project concept and NCTD’s advertisement of the Request for Proposal (RFP). The City has also indicated support for entering into an agreement with NCTD to share 50 percent of the public cost for parking in Project Phase I. NCTD will utilize FTA grant funds to pay for the 50 percent of cost for Project Phase I. The RFP for Solana Beach Joint Development was released on December 3, 2014 and proposals from bidders were due no later than April 15, 2015. Following the receipt of proposals, the evaluation process will be completed, with approval of Development Agreements by the NCTD Board anticipated in December 2015. Green Beach Bridge (Br. 208.6) – The U.S. Navy planned an in-line replacement of Bridge 208.6 to increase the clearance so that tanks and landing vehicles can safely travel under the bridge to gain access to the beach for military training. The replacement of this 80-year-old bridge is also necessary as it has reached the end of its useful life and requires replacement to support the continued operations of passenger and freight rail services. The Navy funded the design and construction of this bridge replacement, with NCTD completing design reviews and site inspections, and providing flagging. The project was completed in the summer of 2014, and currently the Navy and NCTD are working to close out the project. Project close-out is expected to occur in June of 2015. Oceanside Transit Center (OTC) Upgrade – This project improves passenger amenities at NCTD’s largest transit center. The primary purpose of the improvements was to upgrade passenger amenities such as shelters, seating, and signage. The project improved landscaping and made miscellaneous safety and aesthetic improvements. NCTD has used various capital grants to continue to upgrade NCTD’s busiest transit center. This transit center serves the COASTER, SPRINTER, BREEZE, Amtrak (Pacific Surfliner), Metrolink, Riverside Transit Agency, and Greyhound. The OTC Canopy Roof Repair project construction documents are currently under review, and the anticipated construction date is in June 2015. Replace Underground Storage Tanks – This project supports the removal and replacement of underground storage tanks at 303 Via Del Norte in Oceanside. The scope of this project consists of both design and implementation phases and includes removal of the existing concrete cover; triple rinsing of inert tanks; and removal of the tanks and piping for disposal. Also included are testing of the soil and ground water for contamination; backfill excavation of the area with pea gravel; and replacement of concrete with eight-inch steel reinforced concrete. The oversized tanks (combined capacity of 14,000 gallons) of petroleum product will be replaced with two 280gallon above-ground storage tanks that will be installed in an existing concrete room on the bus fueling island, along with monitoring equipment, where the potential for tanks and petroleum 2015 Triennial Review – North County Transit District 9 Page products to come into contact with earth or groundwater are completely eliminated. This project is in the final review stage, and is anticipated to go out to bid by May 2015 with Notice to Proceed granted by July 2015. The construction completion date is scheduled for September 2015. Positive Train Control (PTC) – This project includes the development, procurement, installation, testing, safety-certification, and implementation of a positive train control (PTC) system in compliance with the federal mandate. The project is scheduled to be completed by the end of December 2015 so that the Federal Railroad Administration (FRA) can conduct certification and final approval, which could span over six months. Real-time Passenger Notification System (RTPNS) – This project is to update NCTD’s signage and customer communication platform. It is a multi-year effort with project deliverables that are highly visible to the general public. Included in the current phase of the project are the purchase and installation of part of the system’s signage and related communications systems. The procurement for this project is nearing completion and Board action is anticipated at the April or May 2015 meeting. Los Penasquitos Lagoon Bridge Replacement – This project replaces four aging timber trestle railway bridges (Bridges 246.1, 246.9, 247.1, and 247.7) that have reached the end of their useful lives. The project is funded with a $14 million Transportation Investment Generating Economic Recovery (TIGER) grant. SANDAG is implementing this project on behalf of NCTD. SANDAG has applied to FTA directly for NCTD’s apportionment of FTA Section 5307 funding (included in CA-90-Z008 and CA-90-Z091). The lowest construction bid was $5 million higher than the engineer’s estimate. The project award was delayed until the required funding was secured. The project was awarded to SKANSKA and the Notice to Proceed was issued on January 5, 2015. The delay in the award process disrupted the planned construction schedule that included three Absolute Work Windows (AWW) that were vital for the construction to proceed. Adding the AWW seasonal constraint (May to September) and the environmental restrictions, the construction start date was pushed to September 2015. Future Projects Under California Senate Bill Number 1703, all significant expansion construction projects are performed by SANDAG on behalf of NCTD. Locally funded, minor, and routine maintenance projects are expected to remain at NCTD. San Onofre Bridge Replacements – This project replaces three aging timber trestle railway bridges that have reached the end of their useful lives. The bridges are located at Mile Post 207.6, 207.8, and 209.9 and were built in the early 1900s. These replacements will allow this section of the LOSSAN Rail Corridor to maintain compliance with FRA bridge standards for state of good repair services in a segment of the nation's second busiest rail corridor. SANDAG is implementing this project on behalf of NCTD. SANDAG has applied to FTA directly for NCTD’s apportionment of FTA Section 5307 funding (included in grants CA-90-Z091 and CA90-Z207). With FTA’s approval, NCTD plans to reimburse SANDAG for the eligible costs associated with engineering and design of Bridge 207.6 and 207.8 with the cost savings from the 2015 Triennial Review – North County Transit District 10 P a g e bridge projects in grants CA-05-0202, CA-03-0728, CA-05-0237, CA-05-0230, and CA-90Y556. SANDAG began the Draft Project Study Report on March 27, 2015. SPRINTER Fiber Upgrade Signal – The primary back office system is currently located at the SPRINTER Operations Facility (SOF). This back office will ultimately be located at 810 Mission Avenue with the disaster recovery located at the SOF. The fiber serves as the communication link to the PTC disaster recovery site. This project supports NCTD’s goal of implementing positive train control in a phased manner on the SPRINTER line by making the line “PTC ready”. The project also improves the reliability of the communications system and supports efficiency improvements including potential cost savings to NCTD. The project includes the installation of active fiber equipment (media converters, stand-by power, switch equipment) within the 53 wayside and communication tower locations. Upon completion of this fiber and equipment installation, all signal information will no longer be carried on the existing NCTD fiber. Once signal information is removed from the existing NCTD fiber cable, NCTD Information Technology (IT) will be able to remove themselves from the Optical Transport Network (OTN) resulting in future savings to NCTD. Replacement of BREEZE Buses – NCTD plans to purchase 26 40-foot CNG buses between 2015 and 2017. Based on an estimated useful life of 12 years and 500,000 miles, NCTD plans to replace 12 to 15 CNG transit buses each year. The bus procurement will include line inspections, radio installation, and in-service preparation. The current cost estimate for a unit is $515,000. Oceanside Transit Center Joint Development and Parking Capacity Improvement – This project provides additional parking spaces at NCTD’s largest transit center which provides connections between two commuter rail operators (COASTER and Metrolink), Amtrak, Greyhound, Riverside Transit buses, and NCTD buses. The joint development project must be consistent with local requirements and is likely to be a mixed-use commercial and residential development. 2015 Triennial Review – North County Transit District 11 P a g e IV. Results of the Review 1. Financial Management and Capacity Basic Requirement: The grantee must demonstrate the ability to match and manage FTA grant funds, cover cost increases and operating deficits, cover maintenance and operational costs for FTA funded facilities and equipment, and conduct and respond to applicable audits. Finding: During this Triennial Review of NCTD, no deficiencies were found with the FTA requirements for Financial Management and Capacity. 2. Technical Capacity Basic Requirement: The grantee must be able to implement FTA funded projects in accordance with the grant application, Master Agreement, and all applicable laws and regulations, using sound management practices. Finding: During this Triennial Review of NCTD, deficiencies resulting from the ERM conducted were found with the FTA requirements for Technical Capacity. Enhanced Review Module Progress reports lack required information (68) FTA Circular 5010.1D states, “The Milestone Progress Report (MPR) is the primary written communication between the grantee and FTA.” Furthermore, the circular requires that MPRs provide the FTA with such information as the current status of each activity line item (ALI) within the grant, a narrative description of problems encountered in project implementation, a detailed discussion of budget and schedule changes, revised estimated completion dates when original estimated completion dates are not met, and a detailed explanation of why scheduled milestones or completion dates were not met. An examination of NCTD’s active grants identified that the MPRs for twelve grants, CA-030621, CA-03-0728, CA-04-0015, CA-04-0188, CA-04-0216, CA-05-0202, CA-05-0230, CA-37X078, CA-54-0012, CA-57-X059, CA-90-Y345, and CA-90-Y467, were not updated to accurately reflect the status of projects. Although projects are still ongoing, the related milestones did not indicate expected completion dates. Out-of-date project milestones are one indication that a project has fallen behind schedule. This issue is the result of NCTD not having procedures to verify the milestone dates and confirm the dates’ validity. NCTD staff has been informed of the importance of providing accurate and up-to-date information in the MPRs. Subsequent to the site visit, NCTD submitted documentation to address the deficiency progress reports lack required information (68). NCTD submitted procedures for ensuring that all information required by FTA Circular 5010.1D is included in future reports. An additional corrective action, as detailed below remains to be addressed, therefore, this deficiency remains open. 2015 Triennial Review – North County Transit District 12 P a g e Inactive grants/Untimely grant closeouts (79) The MPRs for five grants, CA-03-0621, CA-03-0728, CA-04-0216, CA-05-0202 and CA-57X059, indicated that these grants were to be closed prior to March 31, 2015. However, all five grants remain open, with balances of unexpended federal funds in each grant. • CA-03-0621 has been open since August 2003 and has a federal balance of $80,972. The remaining funds are for the Solana Beach Station Parking Expansion Project, which is in the design phase. Five grants fund this project. NCTD has been directed to spend the oldest grant funds first. • CA-03-0728 has been open since August 2007 and has a federal balance of $25,028. The remaining funds are for the San Onofre Bridge Replacement Project, which is funded by five grants. NCTD has been directed to spend the oldest grant funds first. • CA-04-0216 has been open since August 2012 and has a federal balance of $51,096. NCTD intended to add the remaining funds to the purchase of 26 CNG buses in 2016. Due to timing delays in the procurement of buses, NCTD may request permission from the FTA to utilize these funds for the procurement of non-revenue vehicles. • CA-05-0202 has been open since September 2007 and has a federal balance of $117,724. The remaining funds are for the San Onofre Bridge Replacement Project, which is funded by five grants. NCTD has been directed to spend the oldest grant funds first. • CA-57-X059 has been open since July 2011 and has a federal balance of $29,628. FTA recently approved a budget revision allowing the remaining funds to be used in support of BREEZE Route 392. This should allow the remaining funds to be drawn and the grant closed by the end of April 2015. According to the FTA grant award and management system, three grants, CA-03-0621, CA-030728, and CA-05-0237, have had no activity for at least one year. FTA places a priority on closing out grants for which activity has ceased. FTA Circular 5010.1D states, “The grantee must initiate close-out of a grant when all approved activities are completed and/or applicable Federal funds expended. All close-out documentation must be submitted within 90 days of the completion of all activities in the grant.” • CA-03-0621 - funds were last drawn in November 2013; remaining funds are to be used for the Solana Beach Station Parking Expansion Project. • CA-03-0728 - funds were last drawn in March 2014; remaining funds are to be used for the San Onofre Bridge Replacement Project. • CA-05-0237 - funds were last drawn in December 2013; remaining funds are to be used for the San Onofre Bridge Replacement Project. 2015 Triennial Review – North County Transit District 13 P a g e According to grant balances reported in the FTA grant award and management system, NCTD has eleven grants, CA-03-0621, CA-03-0728, CA-04-0216, CA-05-0202, CA-05-0237, CA-050246, CA-57-X033, CA-90-Y345, CA-90-Y467, CA-90-Y632, and CA-90-Y705, with balances of less than five percent of the original federal funding amount. In each case, remaining funds are balances from older projects that were completed under budget. NCTD intends to use these balances to help fund various active projects. However, there is limited flexibility with these older grant funds as the period of availability has expired. Subsequent to the site visit, NCTD submitted documentation to address the deficiency inactive grants/untimely grant closeouts (79). NCTD submitted procedures for spending older funds first, reprogramming unused project funds to active projects and closing inactive projects. NCTD has also begun working with the FTA regional office to deobligate funds and close grants where small amounts of funds remain. This deficiency is closed. Excessive delays in project implementation (98) The MPRs for seventeen grants, CA-03-0621, CA-03-0718, CA-03-0728, CA-04-0015, CA-040188, CA-04-0203, CA-05-0202, CA-05-0230, CA-05-0237, CA-05-0246, CA-37-X078, CA37-X091, CA-37-X190, CA-57-X033, CA-57-X059, CA-90-Y345, and CA-90-Y467, indicated that at least one ALI funded by each grant had fallen behind schedule and project milestones had undergone a large number of revisions. • Four grants, CA-03-0621, CA-03-0718, CA-04-0015, and CA-04-0203, involved funding for the Solana Beach Station Parking Expansion Project. The proposed expansion involves a new underground parking facility. The project has been delayed due to its complexity, involving multiple jurisdictions and the effort to maximize land usage in an already-developed commercial area. • Four grants, CA-03-0728, CA-05-0202, CA-05-0230, and CA-05-0237, funded the San Onofre Bridge Replacement Project. This project was delayed until sufficient FTA funding could be secured. • Three grants, CA-04-0188, CA-05-X0246, and CA-37-X078, funded storage tank upgrades, signage and safety improvements, where funds have been spent more slowly than anticipated due to lower than anticipated costs. • Three grants, CA37-X190, CA-57-X033, and CA-57-X059, funded operating assistance to BREEZE Route 392. Delays in project billing have slowed the expenditure of these funds. • The remaining three grants, CA-37-X091, CA-90-Y345, and CA-90-Y467, funded facility improvements, which have also been delayed until sufficient FTA funding could be secured. NCTD’s MPRs lacked adequate explanation in the project narrative on reasons for the project delays. The narratives for these grants also lacked recovery plans, explaining why each project had fallen behind schedule, what remedies would be implemented by the grantee, and an updated project schedule. 2015 Triennial Review – North County Transit District 14 P a g e Subsequent to the site visit, NCTD submitted documentation to address the deficiency excessive delays in project implementation (98). NCTD submitted a recovery plan and schedule for each delayed project and has begun to report on its progress on adhering to the schedule in its MPRs; however, more detailed MPRs are required. The corrective action, as detailed below remains to be addressed, therefore this deficiency remains open. Corrective Actions and Schedule: • For the deficiency progress reports lack required information (68), perform the following: o By July 30, 2015, submit MPRs that include all missing information to the FTA grant award and management system. • 3. For the deficiency excessive delays in project implementation (98), perform the following: o By July 30, 2015, submit MPRs that report on progress against the recovery schedule quarterly. Maintenance Basic Requirement: Grantees and subrecipients must keep federally funded vehicles, equipment and facilities in good operating condition. Grantees and subrecipients must keep ADA accessibility features on all vehicles, equipment and facilities in good operating order. Finding: During this Triennial Review of NCTD, no deficiencies were found with the FTA requirements for Maintenance. 4. Americans with Disabilities Act Basic Requirement: Titles II and III of the Americans with Disabilities Act of 1990 (ADA) provide that no entity shall discriminate against an individual with a disability in connection with the provision of transportation service. The law sets forth specific requirements for vehicle and facility accessibility and the provision of service, including complementary paratransit service. Finding: During this Triennial Review of NCTD, no deficiencies were found with the USDOT requirements for ADA. 5. Title VI Basic Requirement: The grantee must ensure that no person shall, on the grounds of race, color, or national origin, be excluded from participating in, or be denied the benefits of, or be subject to discrimination under any program or activity receiving federal financial assistance without regard to whether specific projects or services are federally funded. The grantee must ensure that federally supported transit services and related benefits are distributed in an equitable manner. 2015 Triennial Review – North County Transit District 15 P a g e Note: The 2015 Triennial Review covers a three-year period in which the FTA issued a revised circular for Title VI, which provided more information on how to comply and changed requirements for some grantees with populations over 200,000. FTA Circular 4702.1B became effective October 1, 2012. Title VI programs submitted to FTA after this date must comply with the requirements of this circular. The Triennial Review will look at compliance with the requirement of FTA Circular 4702.1A for the period prior to October 1, 2012, and compliance with the revised circular for activities after this date. Finding: During this Triennial Review of NCTD, no deficiencies were found with the FTA requirements for Title VI. 6. Procurement Basic Requirement: Grantees use their own procurement procedures that reflect applicable state and local laws and regulations, provided that the process ensures competitive procurement and the procedures conform to applicable Federal law, including 49 CFR Part 18 (specifically Section 18.36) and FTA Circular 4220.1F, “Third Party Contracting Guidance.” Finding: During this Triennial Review of NCTD, deficiencies resulting from the ERM conducted were found with the FTA requirements for Procurement. Enhanced Review Module NCTD has significantly changed its approach to procurement since the previous Triennial Review. There has been significant turnover in procurement staff as NCTD has changed its business model to ensure greater compliance with the core requirements of proper procurement execution in accordance with regulatory requirements. NCTD conducted its own internal reviews of its procurement function including a detailed “Procurement System Review type” review. The review used the Procurement System Review approach to gauge overall compliance with FTA requirements, although the review was internal and not a part of FTA’s official grantee oversight activities. As a result of the internal reviews, NCTD developed an updated procurement manual including procedures, forms, and checklists. The new manual became effective as of December 2014. NCTD has documented the associated training conducted as a part of this process, which included both procurement and user personnel. A review of the procurement manual shows it to be very detailed and extensive. The manual contains the required policy items, detailed procedure/processes, including flow charts, and forms and checklists to promote consistency and overall compliance. It should be noted that NCTD has only recently begun implementing the updated policies and procedures contained in the manual. The procurement files reviewed were for procurements conducted prior to the adoption of the new manual. The contract for on-call information technology (IT) services represents the most current file reviewed. Although this contract had two deficiencies, the overall procurement activity and file documentation does show improvement. 2015 Triennial Review – North County Transit District 16 P a g e Lobbying certifications not included in agreements/procurement solicitations (12) The sole source contract for purchase of upgraded hardware devices did not include a signed lobbying certification Lacking full and open competition for one or more methods of procurement (37) The contract for the purchase of the material handling and the welding vehicle resulted in a single bid. NCTD did not properly justify adequate competition for this procurement. The bid time of two weeks may not have been sufficient time for this procurement. The contract for the material handling and the welding vehicle did not include a determination that the single bid received met the technical requirements of the solicitation. The contract file for construction of the quiet room did not include written justification that changes to the contract in change order number one (CO-1) were within the general scope of the contract. The period of performance for the architecture and engineering (A&E) on-call contract (five-year base plus three one-year options) was not properly justified in the contract file. No FTA clauses (129) The sole source contract for the purchase of upgraded hardware devices did not contain any FTA required clauses. The contract for the purchase of the material handling and the welding vehicle did not contain all required FTA clauses. None of the procurements reviewed contained an ADA accessibility clause, with the exception of the contract for the purchase of upgraded hardware devices which does not require such clause. Contract files lacking Buy America certifications (156) The sole source contract for the purchase of upgraded hardware devices did not include a signed Buy America certification. The contract for IT services contained a Buy America certification signed as non-compliant. No verification that excluded parties are not participating (183) The sole source contract for the purchase of upgraded hardware devices did not include verification that excluded parties are not participating. The contract for the purchase of the material handling and the welding vehicle did not include a verification that excluded parties are not participating at the time of award. The certification was added at a later date. The contract for the bus purchase did not include verification in the file that excluded parties were not participating. NCTD included the signed certification at the time it elected the first of two options. 2015 Triennial Review – North County Transit District 17 P a g e The contract for the safety assessment program did not include verification in the file that excluded parties were not participating at the time of award. The certification was added at a later date. Lacking required cost/price analysis (271) The sole source contract for purchase of upgraded hardware devices did not include a cost or price analysis. The cost analysis for the single bid for the purchase of the material handling and the welding vehicle was not sufficiently detailed. The overhead and profit rates for the A&E task order contract were not sufficiently evaluated prior to contract award. The contract was subsequently amended to address the overhead rate. The contract for on-call IT services did not evaluate the proposed overhead and profit rates. The contract for the safety assessment program did not evaluate the proposed overhead rate. Lacking independent cost estimate (ICE) (340) -Repeat deficiency from the 2012 Triennial Review The ICE conducted for the purchase of the material handling and the welding vehicle was not adequately supported. The file did not include sufficient detail as to how the estimated price was calculated. The sole source contract for purchase of upgraded hardware devices used the prior price paid for the discontinued device without documenting whether that price was based on a competitive procurement. The ICE for the change order for construction of the quiet room was dated after receipt of the contractor’s proposal. Responsibility determination deficiencies (344) The sole source contract for the purchase of upgraded hardware devices did not include detailed back up for the responsibility determination. The contract for the purchase of the material handling and the welding vehicle did not include detailed back up for the responsibility determination. Insufficient solicitation elements (346) The contract for the construction of the quiet room included brand names in the specification without including the salient characteristics. Corrective Actions and Schedule: • For the deficiency, lobbying certifications not included in agreements/procurement solicitations (12), by July 31, 2015 and for the next applicable procurement, submit to the FTA regional office documentation that training and the required process was implemented. 2015 Triennial Review – North County Transit District 18 P a g e 7. • For the deficiency, lacking full and open competition for one or more methods of procurement (37), by July 31, 2015 and for the next applicable procurement, submit to the FTA regional office documentation that training and the required process was implemented. • For the deficiency, no FTA clauses (129), by July 31, 2015 and for the next applicable procurement, submit to the FTA regional office documentation that training and the required process was implemented. • For the deficiency, contract files lacking Buy America certifications (156), by July 31, 2015 and for the next applicable procurement, submit to the FTA regional office documentation that training and the required process was implemented. • For the deficiency, no verification that excluded parties are not participating (183), by July 31, 2015 and for the next applicable procurement, submit to the FTA regional office documentation that training and the required process was implemented. • For the deficiency, lacking required cost/price analysis (271), by July 31, 2015 and for the next applicable procurement, submit to the FTA regional office documentation that training and the required process was implemented. • For the deficiency, lacking independent cost estimate (340), by July 31, 2015 and for the next applicable procurement, submit to the FTA regional office documentation that training and the required process was implemented. • For the deficiency, responsibility determination deficiencies (344), by July 31, 2015 and for the next applicable procurement, submit to the FTA regional office documentation of an implemented process to make adequate responsibility determinations prior to award of a contract. • For the deficiency, insufficient solicitation elements (346), by July 31, 2015 and for the next applicable procurement, submit to the FTA regional office documentation that training and the required process was implemented. Disadvantaged Business Enterprise Basic Requirement: The grantee must comply with 49 CFR Part 26 to ensure nondiscrimination in the award and administration of DOT-assisted contracts. Grantees also must create a level playing field on which DBEs can compete fairly for DOT-assisted contracts. Finding: During this Triennial Review of NCTD, no deficiencies were found with the USDOT requirements for DBE. 2015 Triennial Review – North County Transit District 19 P a g e 8. Legal Basic Requirement: The grantee must be eligible and authorized under state and local law to request, receive, and dispense FTA funds and to execute and administer FTA funded projects. The authority to take actions and responsibility on behalf of the grantee must be properly delegated and executed. Grantees must comply with Restrictions on Lobbying requirements. Finding: During this Triennial Review of NCTD, no deficiencies were found with the FTA requirements for Legal. 9. Satisfactory Continuing Control Basic Requirement: The grantee must ensure that FTA-funded property will remain available to be used for its originally authorized purpose throughout its useful life until disposition. Finding: During this Triennial Review of NCTD, a deficiency was found with the FTA requirements for Satisfactory Continuing Control. Violation of incidental use requirements (25) At the time of the site visit, NCTD was in the process of updating its inventory of FTA-funded property and related incidental uses. Previously NCTD requested FTA approval for numerous incidental uses that were not on FTA-funded property. However, NCTD had also made incidental use of FTA funded property for which it did not obtain prior approval. Subsequent to the site visit, NCTD submitted documentation to address the deficiency violation of incidental use requirements (25). NCTD submitted a request for approval for incidental use of FTA funded property on March 27, 2015, which was subsequently approved. NCTD also provided procedures for obtaining prior FTA approval for future incidental uses. This deficiency is now closed. 10. Planning/Program of Projects Basic Requirement: The grantee must participate in the transportation planning process in accordance with FTA requirements, MAP-21, and the metropolitan and statewide planning regulations. Each recipient of a Section 5307 grant shall develop, publish, afford an opportunity for a public hearing on, and submit for approval, a program of projects (POP). Finding: During this Triennial Review of NCTD, no deficiencies were found with the FTA requirements for Planning/POP. 11. Public Comment on Fare Increases and Major Service Reductions Basic Requirement: Section 5307 grantees are expected to have a written, locally developed process for soliciting and considering public comment before raising a fare or carrying out a major transportation service reduction. 2015 Triennial Review – North County Transit District 20 P a g e Finding: During this Triennial Review of NCTD, no deficiencies were found with the FTA requirements for Public Comment on Fare Increases and Major Service Reductions. 12. Half Fare Basic Requirement: For fixed route service supported with Section 5307 assistance, fares charged elderly persons, persons with disabilities or an individual presenting a Medicare card during off peak hours will not be more than one half the peak hour fares. Finding: During this Triennial Review of NCTD, no deficiencies were found with the FTA requirements for Half Fare. 13. Charter Bus Basic Requirement: Grantees are prohibited from using federally funded equipment and facilities to provide charter service if a registered private charter operator expresses interest in providing the service. Grantees are allowed to operate community based charter services excepted under the regulations. Finding: During this Triennial Review of NCTD, no deficiencies were found with the FTA requirements for Charter Bus. 14. School Bus Basic Requirement: Grantees are prohibited from providing exclusive school bus service unless the service qualifies and is approved by the FTA Administrator under an allowable exemption. Federally funded equipment or facilities cannot be used to provide exclusive school bus service. School tripper service that operates and looks like all other regular service is allowed. Finding: During this Triennial Review of NCTD, no deficiencies were found with the FTA requirements for School Bus. 15. Security Basic Requirement: As recipients of Section 5307 funds, grantees must annually certify that they are spending at least one percent of such funds for transit security projects or that such expenditures for security systems are not necessary. Finding: During this Triennial Review of NCTD, no deficiencies were found with the FTA requirements for Security. 2015 Triennial Review – North County Transit District 21 P a g e 16. Drug Free Workplace and Drug and Alcohol Program Basic Requirement: All grantees are required to maintain a drug-free workplace for all transitrelated employees and to have an ongoing drug-free awareness program. Grantees receiving Sections 5307, 5309 or 5311 funds that have safety-sensitive employees must have a drug and alcohol testing program in place for such employees. Finding: During this Triennial Review of NCTD, no deficiencies were found with the FTA requirements for Drug-Free Workplace and Drug and Alcohol Program. 17. Equal Employment Opportunity Basic Requirement: The grantee must ensure that no person in the United States shall on the grounds of race, color, religion, national origin, sex, age, or disability be excluded from participating in, or denied the benefits of, or be subject to discrimination in employment under any project, program, or activity receiving Federal financial assistance under the Federal transit laws. (Note: EEOC’s regulation only identifies/recognizes religion and not creed as one of the protected groups.) Finding: During this Triennial Review of NCTD, no deficiencies were found with the FTA requirements for Equal Employment Opportunity (EEO). 2015 Triennial Review – North County Transit District 22 P a g e V. Summary of Findings Response Date Date Closed Submit to the FTA regional office procedures for ensuring that all information required by FTA Circular 5010.1D is included in future reports. April 30, 2015 April 30, 2015 Submit MPRs that include all missing information to the FTA grant award and management system. July 30, 2015 Submit to the FTA regional office procedures for spending older funds first, reprogramming unused project funds to active projects and closing inactive projects. April 30, 2015 April 30, 2015 Work with the FTA regional office to deobligate funds and close grants where small amounts of funds remain. July 31, 2015 April 30, 2015 Excessive delays in project implementation Submit to the FTA regional office a recovery plan and schedule for each delayed project and report on progress against the schedule quarterly in future MPRs. July 30, 2015 D-12 Lobbying certifications not included in agreements/procurement solicitations For the next applicable procurement, submit to the FTA regional office documentation that training and the required process was implemented. July 31, 2015 D-37 Lacking full and open competition for one or more methods of procurement For the next applicable procurement, submit to the FTA regional office documentation that training and the required process was implemented. July 31, 2015 D-129 No FTA clauses For the next applicable procurement, submit to the FTA regional office documentation that training and the required process was implemented. July 31, 2015 D-156 Contract files lacking Buy America certifications For the next applicable procurement, submit to the FTA regional office documentation that training and the required process was implemented. July 31, 2015 Review Area Finding 1. Financial Management and Capacity ND 2. Technical Capacity D-68 D-79 D-98 3. Maintenance ND 4. ADA ND 5. Title VI ND 6. Procurement Deficiency Progress reports lack required information Inactive grants/Untimely grant closeouts Corrective Action 2015 Triennial Review – North County Transit District 23 P a g e Review Area Response Date Date Closed Finding Deficiency Corrective Action D-183 No verification that excluded parties are not participating For the next applicable procurement, submit to the FTA regional office documentation that training and the required process was implemented. July 31, 2015 D-271 Lacking required cost/price analysis For the next applicable procurement, submit to the FTA regional office documentation that training and the required process was implemented. July 31, 2015 D-340 Lacking independent cost estimate (repeat) For the next applicable procurement, submit to the FTA regional office documentation that training and the required process was implemented. July 31, 2015 D-344 Responsibility determination deficiencies July 31, 2015 D-346 Insufficient solicitation elements For the next applicable procurement, submit to the FTA regional office documentation of an implemented process to make adequate responsibility determinations prior to award of a contract. For the next applicable procurement, submit to the FTA regional office documentation that training and the required process was implemented. Submit to the FTA regional office a request for approval of any unapproved incidental uses. April 30, 2015 April 30, 2015 Submit to the FTA regional office procedures for obtaining prior FTA approval for future incidental uses. April 30, 2015 April 30, 2015 7. DBE ND 8. Legal ND 9. Satisfactory Continuing Control D-25 10. Planning/ POP ND 11. Public Comment on Fare Increases and Major Service Reductions ND 12. Half Fare ND 13. Charter Bus ND 14. School Bus ND 15. Security ND 16. Drug-Free Workplace/ Drug and Alcohol Program ND 17. EEO ND Violation of incidental use requirements 2015 Triennial Review – North County Transit District July 31, 2015 24 P a g e VI. Attendees Name Phone Number Title E-mail Address NCTD Matthew Tucker Executive Director 760-967-2867 mtucker@nctd.org Michael Wygant Robert Threatt Chief Operations Officer Compliance Officer 760-966-6594 760-966-6678 mwygant@nctd.org rthreatt@nctd.org Bridget Hennessey Intergovernmental Affairs Officer Chief Administrative Officer Controller Dep. Chief Procurement and Contracts Administration Chief Technology Officer Chief of Safety Chief of Transit Enforcement Chief Financial Officer Chief Development Officer General Counsel Grants Manager Deputy Chief Development Officer Facility Manager Assistant Controller ADA Administrator DCOG ADA Administrator Director of Real Estate Deputy Chief Operating Officer – Rail Operations Manager of Service Planning Transit Planner Civil Rights Officer Row Officer Senior Procurement Contracting Officer 760-966-6651 bhennessey@nctd.org 760-966-6574 760-966-6522 760-966-6649 ktucholski@nctd.org maykrid@nctd.org tford@nctd.org 760-966-6554 760-216-4260 760-966-6508 760-967-2823 760-966-6684 760-966-6532 760-967-2818 760-966-6550 rcashin@nctd.org dfilippi@nctd.org jbecerra@nctd.org rbailey@nctd.org pabbassi@nctd.org lwinfree@nctd.org cli@nctd.org zmalhas@nctd.org 760-966-6502 760-966-6580 760-966-6665 760-901-1103 760-405-3376 760-966-6674 760-966-6708 jcholewa@nctd.org slee-snyder@nctd.org bselwyn@nctd.org dcurry@nctd.org kthorp@nctd.org tfoster@nctd.org dblythe@nctd.org 760-966-6655 619-341-4398 760-966-6607 760-966-6681 760-966-6583 jdunning@nctd.org rzatlin@nctd.org jwade@nctd.org tmorehead@nctd.org rwolff@nctd.org Assistant General Manager Facility 760-901-1111 Matthew.morehead@firstgroup. com Senior Transit Planner 619-699-7331 bla@sandag.org Karen Tucholski Mary Aykroid Tami Ford Ryan Cashin Donald Filippi Jaime Becerra Ryan Bailey Peykan Abbassi Lori Winfree Chenxia Li Ziad Malhas Jonathan Cholewa Susan Lee-Snyder Brian Selwyn Don Curry Kim Thorp Tracey Foster Bryan Killian Johnny Dunning, Jr. Ryan Zatlin Jarrett Wade Tim Morehead Ryan Wolff Contractor Matt Marasciallo SANDAG Brian Lane 2015 Triennial Review – North County Transit District 25 P a g e Name Phone Number Title E-mail Address California DOT Connery Cepeda Associate Transportation Planner 619-688-6003 connery.cepeda@dot.ca.gov Katherine Pongratz Associate Trans Planner 916-654-9955 katherine.pongratz@dot.ca.gov James Ogbonna Sr. Trans Planner 916-216-2751 James.ogbonna@dot.ca.gov Director of Program Management and Oversight General Engineer 415-744-3113 Bernardo.bustamante@dot.gov 415-744-2730 Catherine.luu@dot.gov Habibatu Atta Reviewer 215-496-9100 hatta@milligancpa.com Jim Buckley Reviewer 410-404-7443 jbuckley@milligancpa.com Alan Stapler Reviewer 215-496-9100 astapler@milligancpa.com Charles Walker Reviewer 215-496-9100 cwalker@milligancpa.com FTA Bernardo Bustamante Catherine C. Luu Milligan & Co, LLC 2015 Triennial Review – North County Transit District 26 P a g e VII. Appendices No appendices included in this report. 2015 Triennial Review – North County Transit District 27 P a g e