Contracting Commuter Rail Services, Volume 2: Commuter Rail System Profiles (2018)

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3 The Altamont Corridor Express (ACE), formerly the Altamont Commuter Express, is a commuter rail system that runs between Stockton and San Jose, California. Four trains depart westbound in the morning and return eastbound in the afternoon. Trains operate weekdays during peak commuting periods with approximately 1-hour headways. ACE trains serve 10 stations along the corridor. ACE service connects with Amtrak intercity passenger rail at the Stockton Station, with Caltrain commuter rail at the San Jose Diridon Station, and with Bay Area Rapid Transit heavy rail at the Pleasanton Station via a bus connection. ACE service starts in Stockton, California, in San Joaquin County, travels through Alameda County, and terminates in San Jose, California, in Santa Clara County. Since the service travels through several counties, it also travels through several governmental jurisdictions, including the San Joaquin Regional Rail Commission (SJRRC) in San Joaquin County, the Alameda County Transportation Authority (ACTA) and the Alameda County Congestion Management Agency (ACCMA) in Alameda County, and the Santa Clara Valley Transportation Authority (VTA) in Santa Clara County. Due to the regional nature of the ACE service, these government agencies enter into special agreements and fi nancial arrangements necessary to operate commuter rail service. The ACE service operates under the governance of a cooperative services agreement between SJRRC, ACCMA, and VTA. The cooperative services agreement documents SJRRC as the owner and manager of the ACE service and identifi es how the three parties jointly fund the operating costs and capital projects for the ACE service. SJRRC is governed by a board of directors consisting of a chair and fi ve additional voting members appointed by the local elected government bodies of the constituent communities within San Joaquin County; two voting representatives from ACTA; and ex offi cio members from the San Joaquin GOVERNANCE HISTORY 1989 1990 1995 1997 1998 2001 2003 2006 2014 The San Joaquin Council of Governments, Stockton Chamber of Commerce, and Building Industry Association of the Delta developed a 20-year transportation plan for commuter rail. The San Joaquin County voters approved Measure K, a ½-cent sales tax dedicated to transportation projects. A JPA between seven cities and San Joaquin County to implement the rail plan created SJRRC. An agreement between SJRRC, ACCMA, and VTA to coordinate management and funding created the ACE JPA. SJRRC conducted a competitive procurement and awarded a contract for O&M to HTSI. In October, weekday service between Stockton and San Jose began, with two trains in each direction each service day. ACE added a third daily round trip. The ACE Joint Powers Authority (JPA) was dissolved, and SJRRC, ACCMA, and VTA entered into a cooperative services agreement. SJRRC was identifi ed as the owner and manager of ACE. ACE added a fourth daily round trip in August in coordination with Caltrans. SJRRC opened its new $75 million equipment maintenance facility north of the main ACE station and SJRRC headquarters building in Stockton. ACE Altamont Corridor Express San Joaquin Regional Rail Commission Stockton–San Jose, CA

4 Contracting Commuter Rail Services, Volume 2: Commuter Rail System Profiles The Federal Railroad Administration audits SJRRC for overall compliance with federal rules and regulations. The prime O&M contractor for SJRRC, HTSI, must comply with these regulations and meet federal and state standards. Under several contractual provisions, SJRRC has the right to oversee, monitor, and audit HTSI’s performance and contract compliance. The contractor is subject to a minimal penalty regime for nonconforming O&M. The California Public Utilities Commission is responsible for overseeing HTSI’s safety and regulatory compliance and standards. HTSI handles the interface with other contractors, which is covered by a work-in-harmony clause in the O&M agreement. SJRRC is responsible for delivering capital programs with signifi cant input and technical expertise from the prime contractor (HTSI) and one of the host railroads (UPRR). HTSI is required by contract to submit a 5-year capital improvement plan for equipment enhancements and upgrades. The company also provides other technical assistance related to equipment such as the selection of an overhaul vendor and the design and construction of equipment facilities. UPRR participates in capital programs related to the agency’s 80-mile segment of infrastructure. UPRR works jointly with SJRRC to SJRRC contracts operations and maintenance (O&M) of equipment to a private contract services provider, Herzog Transit Services, Inc., (HTSI) and enters into trackage rights agreements (TRAs) to use the rail lines of the Union Pacifi c Railroad (UPRR) and the Peninsula Corridor Joint Powers Board (PCJPB). HTSI has been ACE’s O&M contractor since 1998 and signed a new O&M agreement with SJRRC in 2009. The 2009 O&M agreement includes a 5-year base term and a 5-year option. In late 2017, the SJRRC Board authorized the ACE executive director to extend the existing O&M contract with HTSI beyond June 30, 2019, for a period not to exceed 24 months. The extension is intended to ensure service continuity during the implementation and first in-service year of positive train control (PTC) for ACE. UPRR agrees to let ACE trains run on approximately 82 miles of UPRR tracks between Stockton and Santa Clara, California, under a TRA. UPRR and SJRRC signed the original 3-year TRA in 1997 and have mutually agreed several times to renew it. The current 10-year TRA will run through 2023, covering infrastructure maintenance, train dispatching, operational priority of trains, and agency contribution to the capital improvement program for the rail line. Under another TRA between SJRRC and PCJPB, ACE trains are able to operate over approximately 3 miles of Caltrain trackage before the San Jose Diridon Station, the southernmost station in the ACE system. This agreement has been in place since 1998 and is renewed at 5-year intervals. The current agreement runs through 2018. Council of Governments, the California Department of Transportation (Caltrans), and the San Joaquin Regional Transit District. CONTRACTED SERVICE PERFORMANCE STATISTICS Past Trends 2012–2016 Service Data in RY* 2016 Data source: NTD *Report year: for each report year, NTD collects data refl ecting the reporter’s operation in the same fi scal year. Annual Operating Cost: $17,380,023 Total Directional Route Miles: 172 Passenger Car Revenue Miles: 1,078,543 Unlinked Passenger Trips: 1,290,085 Annual Total Passenger Miles: 55,471,664 Operating Cost per Passenger Car Revenue Mile Operating Cost per Passenger Passenger Trips per Passenger Car Revenue Mile Passenger Miles per Passenger Trip $16.11$16.64$16.33$16.32$15.36 20162015201420132012 $13.47$13.78$14.43 $15.87$15.71 20162015201420132012 1.201.211.13 1.030.98 20162015201420132012 43.0043.1845.0244.7945.70 20162015201420132012 Oversight and Responsibili es General Contracted Service Informa on

ACE 5 A—Agency; B—Host Railroads (RRs); C—Amtrak; D—Independent Contractors (RR or Non-RR) The matrix below illustrates the responsibility for major service functions for ACE. The capital letters A, B, C, and D represent the ACE in-house staff, the two host railroads (UPRR and PCJPB), Amtrak, and the independent contractor (HTSI), respectively. Contracted Service Matrix develop the annual capital plan for ACE use of the UPRR Oakland Subdivision. SJRRC funds capital projects related to ACE service. SJRRC has the responsibility to report service, financial, and safety data that meet the requirements of the National Transit Database (NTD) to the Federal Transit Administration. A B C D Train Operations Maintenance of Infrastructure Maintenance of Equipment Specifi cally: Train Dispatching Services Train Operations Maintenance of Equipment Facilities Maintenance Maintenance of Way Provision of Electric Traction (na) Signals and Communication Positive Train Control Maintenance Station Operations and Maintenance Non-revenue Equipment Provision Safety Management Security Services Environmental Services Management/Oversight Services Materials Management Services Risk Management Assessment Customer Service Functions Marketing Communications Ticketing/Sales Revenue Collection Information Technology Systems Accident/Fatality Investigations/Support Supplemental Work (na) Other (na) Note : na = not applicable in all matrices.