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

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7 Caltrain is a commuter railroad operating between San Francisco and San Jose, California, with additional weekday commuter service to Gilroy. Current Caltrain service includes 92 weekday trains operating in the 77-mile corridor. The rail line has 33 stations from San Francisco to Gilroy. Seven of the stations (Millbrae, Burlingame, San Carlos, Menlo Park, Palo Alto, Santa Clara, and San Jose) are listed on the National Register of Historic Places. Caltrain connects to the Santa Clara Valley Transportation Authority light rail at the Mountain View, Diridon, and Tamien Stations. Caltrain is governed by the Peninsula Corridor Joint Powers Board (PCJPB). The three member agencies of the joint powers authority are the City and County of San Francisco, the San Mateo County Transit District (District), and the Santa Clara Valley Transportation Authority. The joint powers agreement designates the District as the managing agency of PCJPB. PCJPB has no direct employees. Rather, employees of the District serve as staff to PCJPB. The general manager of the District serves PCJPB as its executive director. The District’s Rail Transportation Department is responsible for the day- to-day operation of Caltrain and provides direct oversight of the contract operator. Other District departments provide staff support in engineering, fi nance, capital project development, project monitoring, planning, marketing, customer service, public and media relations, fare and schedule setting, performance monitoring, personnel, budget and grant administration, and public outreach. GOVERNANCE Caltrain Peninsula Corridor Joint Powers Board San Francisco–San Jose–Gilroy, CA HISTORY 1863 1870 1977 1980 1985 1987 1991 2012 2014 1997 1992 The San Francisco and San Jose Rail Road constructed the original Peninsula Corridor from San Francisco to San Jose. SP purchased the Peninsula Corridor. SP filed a petition with the California Public Utilities Commission to discontinue the commuter operation due to continuing operating losses. Caltrans began to subsidize the SP operation. The California Department of Transportation (Caltrans) purchased new locomotives and rolling stock that replaced the SP equipment, upgraded stations, introduced shuttle buses to nearby employers, and rebranded the operation as Caltrain. Caltrain increased service to add six weekday trains and two Saturday trains. Caltrain also introduced a new logo. After a competitive procurement, TASI replaced Amtrak as the fully bundled contract operator for the Caltrain service. Caltrain celebrated 150 years of continuous passenger service on the corridor. PCJPB was formed to manage the Caltrain service. With state and local funding, PCJPB purchased the railroad right-of-way between San Francisco and San Jose from Southern Pacifi c Railroad (SP). PCJPB took over the full responsibility for Caltrain operations and extended the Caltrain service from San Jose to Gilroy.

8 Contracting Commuter Rail Services, Volume 2: Commuter Rail System Profiles PCJPB contracts with Transit America Services, Inc. (TASI), a division of Herzog Contracting Corporation, to provide fully bundled operations and maintenance services for Caltrain. The contract includes maintenance of infrastructure on the PCJPB-owned rail line from San Francisco to San Jose. PCJPB has a trackage rights agreement with the Union Pacifi c Railroad (UPRR) to dispatch the commuter trains and maintain infrastructure for the rail corridor from San Jose to Gilroy. The contract between PCJPB and TASI was signed in September 2011, but with mobilization/transition activities, TASI actually began to provide all of the functions associated with daily service delivery in May 2012. The base term of the contract was through June 2017 with five 1-year extension options. In February 2017, PCJPB approved combining the fi ve additional years into one action and extended the contract with TASI through June 2022. The contract between PCJPB and TASI is a cost-plus-award-fee contract. TASI is reimbursed for all costs incurred in the operations and maintenance of the Caltrain service and has the chance to earn incentives by meeting performance standards stipulated in agreements. Mobilization, transition, and start-up costs were on a cost-plus-fixed-fee basis. Through the District staff , PCJPB oversees and monitors TASI operations and performance. The Federal Railroad Administration and the California Public Utilities Commission have regulatory jurisdiction over Caltrain. TASI interfaces with other contractors providing service to PCJPB, such as the positive train control (PTC) group and the contractor providing policing/ security service. TASI cooperates with these contractors under the direction of PCJPB. TASI has the responsibility to develop and implement a solid resiliency plan for emergencies and handles all work related to service recovery. PCJPB has the responsibility to fund and coordinate capital programs. PCJPB also reports service, financial, and safety data to meet the requirements of the National Transit Database (NTD) to the Federal Transit Administration. CONTRACTED SERVICE Oversight and Responsibilies General Contracted Service Informaon 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: $112,219,456 Total Directional Route Miles: 154 Passenger Car Revenue Miles: 7,215,731 Unlinked Passenger Trips: 18,355,641 Annual Total Passenger Miles: 488,208,148 Operating Cost per Passenger Car Revenue Mile Operating Cost per Passenger Passenger Trips per Passenger Car Revenue Mile Passenger Miles per Passenger Trip $15.55 $16.87$16.13$15.48$15.20 20162015201420132012 $6.11$6.08$6.16$6.22 $7.50 20162015201420132012 2.54 2.782.622.49 2.03 20162015201420132012 26.60 25.01 21.9221.8421.55 20162015201420132012

Caltrain 9 Notes for Matrix: 1. Under the trackage rights agreement, UPRR is responsible for the railroad segment from San Jose to Gilroy only. 2. For accident/fatality investigations, PCJPB takes the lead on suicides, and TASI takes the lead on other types of events. A—Agency; B—Host Railroad (RR); C—Amtrak; D—Independent Contractors (RR or Non-RR) Contracted Service Matrix The matrix below illustrates the responsibility for major service functions for Caltrain. The capital letters A, B, and D represent PCJPB staff (the District), the host railroad (UPRR), and the independent contractor (TASI), respectively. In this case, C for Amtrak is not applicable. A B C D Train Operations Maintenance of Infrastructure Maintenance of Equipment Specifi cally: Train Dispatching Services (1) 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 (2) Supplemental Work Other (na)