agenda - caltrainand+minutes/jpb/2018/...2018/02/01 · caltrain mobile ticketing update 11....

Note: All items appearing on the agenda are subject to action by the Board. Staff recommendations are subject to change by the Board.

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AGENDA PENINSULA CORRIDOR JOINT POWERS BOARD

Bacciocco Auditorium, 2nd Floor 1250 San Carlos Avenue, San Carlos CA 94070

February 1, 2018 – Thursday 10:00 a.m.

1. Call to Order / Pledge of Allegiance

2. Swearing-in of Cindy Chavez, Representing the Santa Clara Valley TransportationAuthority

3. Roll Call

4. Public CommentPublic comment by each individual speaker shall be limited to two minutes

5. Consent CalendarMembers of the Board may request that an item under the Consent Calendar be considered separately

a. Approval of Minutes of Special Meeting of January 4, 2018

b. Approval of Minutes of January 4, 2018

c. Acceptance of Statement of Revenues and Expenditures for December 2017

d. Receive Key Caltrain Performance Statistics – December 2017

e. Receive State and Federal Legislative Update

6. Chairperson’s Report

a. Resolution of Appreciation to Outgoing Chair Jeff Gee

7. Report of the Citizens Advisory Committee

8. Report of the Executive Director

a. Financial Dashboardb. Peninsula Corridor Electrification Project Quarterly Report

9. Authorize Execution of Supplemental Agreement No. 4, Pacific Gas and Electric(PG&E) Procurement and Construction Services for PG&E Infrastructure Build Outs InSupport of the Peninsula Corridor Electrification Project (PCEP); Amendment ofSupplemental Agreement No. 2 PG&E Oversight of Caltrain Design and Constructionof 115 KV Interconnections; and Amendment of Supplemental Agreement No. 5Interim Power Design and Construction Services for the PCEP

10. Caltrain Mobile Ticketing Update

11. Authorize the Agreement with Pacific Gas and Electric (PG&E) for Relocation ofPipeline as Required For the 25th Avenue Grade Separation Project

BOARD OF DIRECTORS 2018

JEANNIE BRUINS, CHAIR GILLIAN GILLETT, VICE CHAIR CHERYL BRINKMAN CINDY CHAVEZ DEVORA “DEV” DAVIS JEFF GEE DAVE PINE CHARLES STONE MONIQUE ZMUDA

JIM HARTNETT EXECUTIVE DIRECTOR

Peninsula Corridor Joint Powers Board February 1, 2018 Agenda


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12. Authorize Amendment of County Law Enforcement Agreement and Approve Communication Services Agreement

13. Approve Caltrain Business Plan Final Business Strategy and Scope 14. Correspondence

15. Board Member Requests

16. General Counsel Report

17. Date/Time of Next Regular Meeting: Thursday, March 1, 2018 at 10:00 a.m. San Mateo County Transit District Administrative Building, Bacciocco Auditorium, 2nd Floor, 1250 San Carlos Avenue, San Carlos, CA 94070

18. Adjourn

Peninsula Corridor Joint Powers Board February 1, 2018 Agenda


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INFORMATION FOR THE PUBLIC All items appearing on the agenda are subject to action by the Board. Staff recommendations are subject to change by the Board.

If you have questions on the agenda, please contact the JPB Secretary at 650.508.6242. Agendas are available on the Caltrain website at www.caltrain.com. Communications to the Board of Directors can be e-mailed to [email protected]. Location, Date and Time of Regular Meetings Regular meetings are held at the San Mateo County Transit District Administrative Building located at 1250 San Carlos Avenue, San Carlos, one block west of the San Carlos Caltrain Station on El Camino Real, accessible by SamTrans bus Routes ECR, FLX, 260, 295 and 398. Additional transit information can be obtained by calling 1.800.660.4287 or 511. The JPB meets regularly on the first Thursday of the month at 10 a.m. The JPB Citizens Advisory Committee meets regularly on the third Wednesday of the month at 5:40 p.m. at the same location. Date, time and place may change as necessary. Public Comment If you wish to address the Board, please fill out a speaker’s card located on the agenda table and hand it to the JPB Secretary. If you have anything that you wish distributed to the Board and included for the official record, please hand it to the JPB Secretary, who will distribute the information to the Board members and staff. Members of the public may address the Board on non-agendized items under the Public Comment item on the agenda. Public testimony by each individual speaker shall be limited to two minutes and items raised that require a response will be deferred for staff reply. Accessibility for Individuals with Disabilities Upon request, the JPB will provide for written agenda materials in appropriate alternative formats, or disability-related modification or accommodation, including auxiliary aids or services, to enable individuals with disabilities to participate in public meetings. Please send a written request, including your name, mailing address, phone number and brief description of the requested materials and a preferred alternative format or auxiliary aid or service at least two days before the meeting. Requests should be mailed to the JPB Secretary at Peninsula Corridor Joint Powers Board, 1250 San Carlos Avenue, San Carlos, CA 94070-1306; or emailed to [email protected]; or by phone at 650.508.6242, or TDD 650.508.6448. Availability of Public Records All public records relating to an open session item on this agenda, which are not exempt from disclosure pursuant to the California Public Records Act, that are distributed to a majority of the legislative body will be available for public inspection at 1250 San Carlos Avenue, San Carlos, CA 94070-1306, at the same time that the public records are distributed or made available to the legislative body.

mailto:[email protected]

mailto:[email protected]

Peninsula Corridor Joint Powers Board (JPB) Board of Directors Meeting

1250 San Carlos Avenue, San Carlos CA 94070

SPECIAL MEETING MINUTES OF JANUARY 4, 2018

MEMBERS PRESENT: J. Bruins, D. Davis, G. Gillett, R. Guilbault, D. Pine, C. Stone,

K. Yeager, J. Gee MEMBERS ABSENT:

C. Brinkman, M. Zmuda

STAFF PRESENT: M. Bouchard, J. Cassman, J. Hartnett, M. Martinez, C. Mau, S. Murphy, M. Simon

Chair Gee called the meeting to order at 9:33 a.m.

Dave Pine arrived at 9:35 a.m.

SWEARING IN OF CHARLES STONE, SAN MATEO COUNTY TRANSIT DISTRICT REPRESENTATIVE Martha Martinez, JPB Secretary, administered the Oath of Office. Public Comment Roland Lebrun, San Jose, said Parsons Transportation Group contract was terminated and immediately sued Caltrain and Caltrain countersued. He said it is inappropriate to discuss this matter in closed session, the information in the press is misleading these discussion have to be taken in public. The members of the public will inform staff of the appropriate process and the people that will make the decisions are only the Federal Railroad Administration (FRA). Recessed to closed session at 9:36 a.m. GENERAL COUNSEL REPORT

a) Closed Session: Conference with Legal Counsel - Existing Litigation Pursuant to Government Code Section 54956.9(d)(1): Peninsula Corridor Joint Powers Board. v. Parsons Transportation Group et al; San Mateo County Superior Court Case No. Case No. 17CIV00888

b) Closed Session: Conference with Legal Counsel - Existing Litigation Pursuant to Government Code Section 54956.9(d)(1): Parsons Transportation Group v. Peninsula Corridor Joint Powers Board et al; San Mateo County Superior Court Case No. Case No. 17CIV00786

Joint Powers Board Meeting Minutes of January 4, 2018

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c) Closed Session: Conference with Real Property Negotiators Joan L. Cassman, General Counsel, Brian W. Fitzpatrick, Manager, Real Estate & Property Development, pursuant to Government Code Section 54956.8: Property: APN 434-26-019 and APN 434-26-026 Parties: Union Pacific Railroad Company Under negotiation: Price and terms of contract

Reconvened to Open Session at 9:57 a.m. Joan Cassman, Legal Counsel stated that the Board met in closed session and received a report on the litigation matters. No report action was taken with any of these matters. Adjourned at 10:00 a.m.

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Peninsula Corridor Joint Powers Board (JPB) Board of Directors Meeting

1250 San Carlos Avenue, San Carlos CA 94070

MINUTES OF JANUARY 4, 2018 MEMBERS PRESENT: J. Bruins, D. Davis, G. Gillett, D. Pine, C. Stone, K. Yeager,

J. Gee (Chair)

MEMBERS ABSENT: C. Brinkman, M. Zmuda

STAFF PRESENT: T. Bartholomew, A. Chan, D. Couch, M. Bouchard, J. Cassman, A. Chan, C. Fromson, C. Gumpal, , J. Hartnett, M. Jones, L. Larano, J. Le, R. Lobo, M. Martinez, C. Mau, L. Millard, S. Murphy, J. Navarro, J. Nogales-Deguzman, V. O’Brien, R. Russell, E. Scanlon,

Chair Jeff Gee called the meeting to order at 10:00 am and Director Charles Stone led the Pledge of Allegiance. REPORT OF THE NOMINATING COMMITTEE Director Devora Davis said the committee met and are recommending Director Jeannie Bruins for Chair and Director Gillian Gillett for Vice Chair. Motion/Second: Davis/Yeager Ayes: Bruins, Davis, Gillett, Pine, Stone, Yeager, Gee Absent: Brinkman, Zmuda PUBLIC COMMENT Roland Lebrun, San Jose, said there is significant congestion in Diridon station, all the traffic stops in the station; the cause of the disaster is the location of the Centralized Equipment Maintenance and Operations Facility (CEMOF) yard; it should have never been located north of San Jose; it should be relocated to South San Jose. Paul Dyson, President of Rail Passenger Association of California (RailPac), Burbank, said he is a strong advocate of the regional solution to the mobility problems and views Caltrain as an important project; it must be executed competently and at a reasonable cost; it is a template for any future electrification projects in California. He said Caltrain is under a lot of pressure and hope staff takes their charge seriously. He has been concerned over the signaling system and constant increase in the budget; he hopes staff can get it under control and deliver a good project as an example to the rest of the State. Nerissa Dexter, Atherton, said the Caltrain Business Plan draft strategy and scope states that one of Caltrain’s three major goals is to work with partner jurisdictions and agencies to maximize community benefits and minimize impacts as the Service Vision is implemented over time.


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She said a petition was submitted to the Board during the last meeting by the residents of Lloyden Park and raised the question of whether the Business Plan is a serious document to guide Caltrain’s work or for a ballot initiative. She said Caltrain’s letter to the town regarding the unnecessary industrial scale of the electrification poles contradicts the Business Plan objectives. Vincent De Martel, Palo Alto, said he is concern about the proposed bike car design and the separation of bikes from their owners. He said there are fewer bikes spaces on each train and limits the ability of Caltrain to carry more bikes in the future by adding more trains. He also said bikes are too far away from riders; this will cause more delays and increase bike theft. Drew, San Mateo, said he appreciates staff’s continued effort on ways to improve safety of pedestrians on the south side of the New Hillsdale Station. Adina Levine, Friends of Caltrain, said staff did a great job at publicizing free train rides after 8 p.m. during the New Year’s Eve holiday that helped encourage people not to drink and drive. She said when she arrived at the station at 11:30 p.m. the station was closed and staff people did not inform the public when there would be a train departing. People stood in the cold for two hours. She said it was an awful customer service and staff should work on a better way to serve customers on New Year’s Eve. CONSENT CALENDAR

a. Approval of Minutes of Special Meeting of December 7, 2017 b. Approval of Minutes of December 7, 2017 c. Acceptance of Statement of Revenues and Expenditures for November 2017 d. Receive Key Caltrain Performance Statistics – November 2017 e. Adopt 2018 Legislative Program f. Receive State and Federal Legislative Update

Public Comment Jeff Carter, Millbrae, said the items Fare Study and Fare Enforcement Ordinance that were postponed should be referenced in the minutes. Chair Jeannie Bruins requested that the minutes accurately reflect the disposition of the two items. Motion/Second: Yeager/Stone Ayes: Bruins, Davis, Gillett, Pine, Stone, Yeager, Gee Absent: Brinkman, Zmuda CHAIRPERSON’S REPORT Resolution of Appreciation to Rose Guilbault Approved by Resolution No. 2018-01 Motion/Second: Davis/Pine Ayes: Bruins, Davis, Gillett, Pine, Stone, Yeager, Gee Absent: Brinkman, Zmuda Resolution of Appreciation to Ken Yeager Approved by Resolution No. 2018-02


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Motion/Second: Davis/Stone Ayes: Bruins, Davis, Gillett, Pine, Stone, Yeager, Gee Absent: Brinkman, Zmuda CITIZENS ADVISORY COMMITTEE (CAC) REPORT Brian Shaw, Chair, CAC, said the public concern at their last meeting was the need to provide passing stations to high speed trains in reference to the South San Francisco station project that is currently design to accommodate passing tracks. He said the CAC members requested an update on the litigation pertaining to the Communication-based Overlay Signal System (CBOSS) Positive Train Control (PTC) project. He said the members were provided information on the Business Plan and public comments included that Caltrain is a public service and not just commuter rail, the service to Gilroy needs to be improved and there should be transparency on design and provide the public more information. He said the public suggested the Business Plan should include a European style model with multiple lines on the same corridor to introduce competition. He said the staff reported that there is a plan to re-paint the railroad crossings to avoid the issue of vehicles turning into the tracks. Public Comment Roland Lebrun, San Jose, said the project manager for the South San Francisco project asked what a passing station is. REPORT OF THE EXECUTIVE DIRECTOR The written report is in the agenda packet.

Jim Hartnett, Executive Director, reported that the Business Plan is expected to be included in February’s meeting agenda for the Board’s adoption. Michelle Bouchard, Chief Operating Officer Rail, reported the efforts of submitting the grant application for the Transit Intercity Rail Capital Program (TIRCP) that supports Caltrain as a regional provider that includes the benefits of electrification that is beyond the Peninsula Corridor Electrification Project (PCEP), application is due January 12. She said more information will be included on the February meeting agenda. Peninsula Corridor Electrification Project Quarterly Report Liria Larano, Deputy Chief, CalMod, provided an update on the Peninsula Corridor Electrification Project (PCEP). She provided key highlights on the Overhead Contact System (OCS) foundation and progress on Stadler obtaining construction permits and selected a steel structure contractor.

Public Comment Paul Dyson, President of RailPac, Burbank, suggested that staff use this electrification project as a learning tool and in the future during the next phases of the project it will get cheaper. He said he knows Union Pacific is allergic to electrification and RailPac does not advocate passenger rail at the expense of freight, he asked for an update on the freight in the peninsula.


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Roland Lebrun, San Jose, said the issue is capacity; there is not enough room for bathrooms, seats and bikes. He has issued public record requests with no response from staff. He said staff should invite the new Chief Officer of the Caltrain Modernization Program John Funghi to the Board meetings. Adina Levin, Friends of Caltrain, said she is pleased to hear about the Cap and Trade Funding for full electrifications as well as the goals to implement the State Rail Plan. She hopes the state approves and funds these programs. RECEIVE COMPREHENSIVE ANNUAL FINANCIAL REPORT Rima Lobo, Director of Finance, said JPB contracts with an independent auditor, Vavrinek, Trine, Day & Co. LLP (VTD) to conduct yearly audits of the Financial Statements in accordance with auditing standards generally accepted in the United States of America and the standards applicable to financial audits contained in Government Auditing Standards, issued by the Comptroller General of the United States of America. Ahmad Gharaibeh, Vavrinek, VTD, provided a report on the Comprehensive Annual Financial Report (CAFR) that provides a summary of the JPB’s finances, services and achievements. He reported there were no findings. Public Comment Jeff Carter, Millbrae, said the Farebox Recovery and Passenger Miles bar chart on page 57 of the CAFR should reflect weekend miles and not just weekday. He asked for more details on fare revenue through ticket sales. Motion/Second: Davis/Pine Ayes: Bruins, Davis, Gillett, Pine, Stone, Yeager, Gee Absent: Brinkman, Zmuda AWARD OF CONTRACT TO GRANITE ROCK COMPANY FOR THE GRADE CROSSING IMPROVEMENT PROJECT IN THE TOTAL AMOUNT OF $1,635,795 Julie Taylor, Director, Contracts and Procurement, provided a report, highlights of the report include, Granite Rock Company’s objective is to make recommended safety improvements at fifteen grade crossings along the Caltrain corridor, including new pedestrian gates and arms, pavement markings and markers, street medians, railing and signage. She said these near-term recommended improvements will make the grade crossings safer for motorists and pedestrians.

Approved by Resolution No. 2018-03 Motion/Second: Davis/Yeager Ayes: Bruins, Davis, Gillett, Pine, Stone, Yeager Absent: Brinkman, Zmuda, Gee


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AWARD OF CONTRACT TO J. POWERS RECRUITING, INC. OF SACRAMENTO, CALIFORNIA TO PROVIDE TECHNICAL RECRUITING SERVICES FOR A NOT-TO-EXCEED AMOUNT OF $3.5 MILLION FOR A FIVE-YEAR TERM Ms. Taylor, Director, Contracts and Procurement, provided a report, highlights of the report includes, the request to approve contract with J. Powers Recruiting, Inc. that is a qualified and experienced on-call firm that would provide the best available candidates in the market for the Caltrain Modernization (Calmod) program and Rail Division, which includes Operations, Systems Engineering, Infrastructure Maintenance, Capital Program Delivery, Quality Assurance, Systems Integration and to also reject the protest received from Domain Experts Corporation (DEC). She said this item is being brought back to the Board as directed at the December 7, 2017 meeting following discussion that raised questions that required further analysis and consideration.

Juliet Nogales-Deguzman, Manager Employee Services, Human Resources, provided information on the importance on these services and how the agency would benefit from it. She said Caltrain must expand staff resources over the next five years to be able to successfully deliver and implement the new electrified rail service and serve the anticipated ongoing growth in ridership. Ms. Taylor, Director, Contracts and Procurement, said staff and legal counsel has reviewed each of DEC allegations and the findings indicate the protest has no merit, accordingly, and pursuant to the terms of the procurement documents, the Board can elect to reject DEC's protest and award the contract to the highest ranked firm, J. Powers. She also said that based on the Board's input at the December 7, 2017 meeting, staff has further analyzed the anticipated level of contract use over the planned term, and the resulting cost estimate based on J. Powers' cost proposal (as opposed to the pre-solicitation cost estimate), these analysis has produced a more precise breakdown of the anticipated annual contract requirements and related costs, which has allowed staff to reduce the requested contract amount. Public Comment Ram Bala, Santa Clara, DEC, requested that the Board reject the award to a single vendor and asked to award the contract to the top three that was identified in the request for proposal process. Roland Lebrun, San Jose, said the presentation that was provided by Human Resources (HR) is not in the meeting packet; the managing agency for Caltrain which is SamTrans has no expertise in the area of track and signaling; instead of hiring more consultants, find an agency that is capable of managing Caltrain Approved by Resolution No. 2018-04 Motion/Second: Davis/Yeager Ayes: Bruins, Davis, Gillett, Pine, Stone, Yeager Absent: Brinkman, Zmuda, Gee


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ADOPT ORDINANCE NO. 2 – ESTABLISHING ADMINISTRATIVE PENALTIES, FEES, AND HEARING DOCUMENTS FOR PASSENGERS RIDING CALTRAIN WITHOUT PROPER FARES AND PROOF OF PAYMENT Michelle Bouchard, Chief Operating Officer, Rail, provided a report; highlights include: Current Proof-of-Payment

• honor-based system • time intensive which hinders more checks • fines are $250 plus court administrative fees which can go up to $600 depending

on the jurisdiction and are criminal infractions • people respond aggressively toward conductors and fine collections are rare

Proposed Ordinance • mirrors statutory authority and reflects peer agency benchmarking • reduce fines to a $75 administrative penalty • reduces man-hours, facilitates conductors to conduct fare enforcement,

standardizes fare enforcement/hearing process and has the potential to generate more revenue

Public Comment Jeff Carter, Millbrae, asked the percentage rate of fare evasion. He said the system should address legitimate reasons for not having proper fare; he never understood gate checks as proof of payment is supposed to be random inspections; people should not have to wait to get on the train for conductors to do gate check. Adina Levine, Friend of Caltrain, suggested to research on how to make this a less discretionary policy on who gets cited and who gets discretion. Roland Lebrun, San Jose, said the board item is perfect and hopes the Board approves the ordinance. He said Joe Navarro, Director of Rail Operations has transformed the Caltrain system to the maximum. He said in the past passengers were trapped in the trains without air conditioning and breaking windows to get out of the train, Joe Navarro fixed the issue. He asked staff to give Mr. Navarro credit for his great work. Andy Chow, Redwood City, said he supports the ordinance but the problem is the law enforcement aspect, he hopes that staff is sensitive on how to deal with the new process and not be a violent confrontation that would cause unsafe situations. Approved by Resolution No. 2018-04 Motion/Second: Davis/Yeager Ayes: Bruins, Davis, Gillett, Pine, Stone, Yeager Absent: Brinkman, Zmuda, Gee CALTRAIN FARE STUDY UPDATE Elizabeth Scanlon, Manager, Caltrain Planning, provided a report, highlights of the report include an over of the study, key findings from Existing Conditions and Peer Comparison Reports, Fare Study Rider Survey highlights, estimated elasticity of demand for Caltrain’s current system, staff recommendations on scenarios of potential fare


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changes to test and an update on Metropolitan Transportation Commission’s (MTC) Regional Means-Based Fare Study. Public Comment Jeff Carter, Millbrae, said the study overview objective to maximize revenue while enhancing ridership and safeguard social and geographic equity is self-defeating, the elasticity is going to break at some point. He said the Farebox recovery is at the highest and Caltrain is not taking advantage of it. He also said the survey does not address problems such as more fare and equitable from point to point verses the zone system, the Go Pass users, social equity and low cost time base multi rider pass such as a seven day weekly pass. Roland Lebrun, San Jose, said he does not understand why the zone-base is so complicated, he suggested staff consider the tag on/off on the train. He said how about staff elasticity verses passenger elasticity; staff does not need to pay they ride for free; their salaries are high therefore they should pay. He suggested reducing the staff’s salary by five percent every year. Adina Levin, Friends of Caltrain, said some people do not have access to the Go Pass or monthly pass as it might be too expensive; others use Caltrain as a special occasion train as oppose to a regular transportation. She suggested researching people that are not using the system and possibly restructuring the Go Pass. Andy Chow, Redwood City, said the Clipper system is not set up to allow the public to tag on/off there should be a system with fare gates but with installed extra gates to avoid crowding issue. He suggested that the daily riders that pay per ride basis could possibly get a free pass on the tenth ride. He said there are communities that could not afford the cost of high cost of Caltrain fare and forces them to use the local transit that is unsafe. Drew, San Mateo, suggested maybe having smaller zones; he would take Caltrain more on shorter trips in the same zone as oppose to a round trip to two stations as it would be too expensive; or maybe more zones so the spike of crossing a zone and then another round trip would less. Director Davis asked staff to include zone fare increase in the study that includes a comparison of base verses zone. BOARD MEMBER REQUESTS Director Gillett requested that the Board adjourn in Memory of San Francisco Mayor Ed Lee.

DATE/TIME/PLACE OF NEXT REGULAR MEETING Thursday, February 1, 2018, 10:00 a.m. at San Mateo County Transit District Administrative Building, Bacciocco Auditorium, 2nd Floor, 1250 San Carlos Avenue, San Carlos, CA 94070.

Adjourned at 12:24 p.m. in Memory of San Francisco Mayor Ed Lee.

AGENDA ITEM #5 (c) FEBRUARY 1, 2018

PENINSULA CORRIDOR JOINT POWERS BOARD

STAFF REPORT

TO: Joint Powers Board THROUGH: Jim Hartnett Executive Director FROM: Derek Hansel

Chief Financial Officer

SUBJECT: STATEMENT OF REVENUES AND EXPENSES FOR THE PERIOD ENDING

DECEMBER 31, 2017 ACTION Staff proposes the Committee recommend that the Board accept and enter into the record the Statement of Revenues and Expenses for the month of December 2017. This staff report provides a brief discussion of significant items and trends on the attached Statement of Revenues and Expenses through December 31, 2017. The statement has been designed to follow the Agency wide line item rollup as included in the adopted budget. The columns have been designed to provide easy comparison of year to date prior to current actuals for the current fiscal year including dollar and percentage variances. In addition, the current forecast of Revenues and Expenses is compared to the Revised Budget for Fiscal Year 2018. SIGNIFICANCE Annual Forecast: The Forecast reflects Use of Reserves (page 1, line 13) of $6.3 million compared to $8.5 million in the revised budget. This is an improvement of $2.2 million and is driven by year to date savings versus budget in several expense line items including Rail Operating Service (page 1, line 23), Fuel and Lubricants (page 1, line 29), Facilities and Equipment Maintenance (page 1, line 32), Utilities (page 1, line 33), Professional Services (page 1, line 42), and Other Office Expenses and Services (page 1, line 44).

Year to Date Revenues: As of December year-to-date actual, the Total revenues (page 1 of the Statement of Revenues and Expenses, line 17) are $1.5 million higher than the prior year. This is primarily driven by Farebox Revenue (page 1, line 1), Parking Revenue (page 1, line 2), and Operating Grants (page 1, line 11). This is partially offset by JPB Member agency contributions (page 1, line 12) that were reduced due to a decrease in the annual insurance premiums and Other Income (page 1, line 5) due to Union Pacific shared track and maintenance revenue.

Year to Date Expenses: As of December year-to-date actual, the Total Expense (page 1, line 50) is $0.2 million lower than the prior year-to-date actual. This is primarily due to lower Insurance costs (page 1, line 31), offset by Rail Operator service (page 1, line 23), Shuttle Services (page 1, line 28), Fuel and Lubricants (page 1, line 29) and Wages & Benefits (page 1 line 39) due to inclusion of unfunded CalPERS and Other Post-Employment Benefits (OPEB) liability (this expense, which was incurred in July, will not recur throughout the year) and Professional Services (page1 line 42). BUDGET IMPACT There are no budget amendments for the month of December 2017. STRATEGIC INITIATIVE This item does not achieve a strategic initiative. Prepared By: Maria Pascual, Accountant 650-508-6214 Jeannie Chen, Manager , General Ledger

650-508-6259

Statement of Revenue and ExpensePage 1 of 1

% OF YEAR ELAPSED 50.0%

PRIOR CURRENT $ % APPROVED $ % ACTUAL ACTUAL VARIANCE VARIANCE BUDGET FORECAST VARIANCE BUDGET

REVENUEOPERATIONS:

1 Farebox Revenue 46,347,841 47,967,584 1,619,743 3.5% 98,427,507 98,427,507 - 0.0% 12 Parking Revenue 2,764,891 3,083,567 318,676 11.5% 6,871,603 6,871,603 - 0.0% 23 Shuttles 919,542 1,117,411 197,869 21.5% 2,461,000 2,461,000 - 0.0% 34 Rental Income 923,367 982,049 58,682 6.4% 1,740,200 1,740,200 - 0.0% 45 Other Income 1,410,707 628,735 (781,972) -55.4% 993,345 993,345 - 0.0% 56 - 0.0% - 67 TOTAL OPERATING REVENUE 52,366,348 53,779,346 1,412,998 2.7% 110,493,655 110,493,655 - 0.0% 78 89 CONTRIBUTIONS: 9

10 AB434 Peninsula & TA Shuttle Funding 887,471 805,179 (82,292) -9.3% 1,796,300 1,796,300 - 0.0% 1011 Operating Grants 1,838,793 2,132,825 294,032 16.0% 4,265,650 4,265,650 - 0.0% 11

12 JPB Member Agencies 13,371,002 13,278,083 (92,919) -0.7% 20,448,014 20,448,014 - 0.0% 12

13 Use of Reserves - 0.0% 8,490,979 6,332,718 (2,158,261) -25.4% 13

14 0.0% 14

15 TOTAL CONTRIBUTED REVENUE 16,097,266 16,216,087 118,821 0.7% 35,000,943 32,842,682 (2,158,261) -6.2% 15

16 16

17 GRAND TOTAL REVENUE 68,463,614 69,995,433 1,531,819 2.2% 145,494,598 143,336,337 (2,158,261) -1.5% 17

18 1819 1920 EXPENSE 2021 2122 OPERATING EXPENSE: 2223 Rail Operator Service 38,073,596 38,488,400 414,804 1.1% 84,418,672 83,918,672 (500,000) -0.6% 2324 Positive Train Control 291,138 - (291,138) -100.0% 900,000 900,000 - 0.0% 2425 Security Services 2,715,511 2,785,456 69,945 2.6% 5,865,760 5,865,760 - 0.0% 2528 Shuttles Services 2,231,149 2,410,175 179,026 8.0% 5,161,000 5,161,000 - 0.0% 2829 Fuel and Lubricants 4,323,302 4,657,971 334,669 7.7% 10,599,289 10,269,091 (330,198) -3.1% 2930 Timetables and Tickets 35,000 38,003 3,003 8.6% 144,700 144,700 - 0.0% 3031 Insurance 1,946,561 650,142 (1,296,419) -66.6% 6,108,156 6,108,156 - 0.0% 3132 Facilities and Equipment Maint 952,153 1,018,884 66,731 7.0% 2,992,921 2,617,773 (375,148) -12.5% 3233 Utilities 1,039,625 980,470 (59,155) -5.7% 1,964,783 1,921,076 (43,707) -2.2% 3334 Maint & Services-Bldg & Other 603,726 647,155 43,429 7.2% 1,509,598 1,509,598 - 0.0% 3435 3536 TOTAL OPERATING EXPENSE 52,211,761 51,676,657 (535,104) -1.0% 119,664,879 118,415,826 (1,249,053) -1.0% 3637 3738 ADMINISTRATIVE EXPENSE 3839 Wages and Benefits 4,059,354 4,530,809 471,455 11.6% 9,717,737 9,717,737 - 0.0% 3940 Managing Agency Admin OH Cost 3,000,887 2,899,123 (101,764) -3.4% 6,051,231 6,051,231 - 0.0% 4041 Board of Directors 5,524 9,544 4,020 72.8% 14,600 14,600 - 0.0% 4142 Professional Services 2,199,396 2,331,424 132,028 6.0% 5,514,964 5,064,054 (450,910) -8.2% 4243 Communications and Marketing 84,265 68,787 (15,478) -18.4% 211,500 211,500 - 0.0% 4344 Other Office Expenses and Services 1,174,413 957,536 (216,877) -18.5% 3,021,012 2,562,714 (458,298) -15.2% 4445 4546 TOTAL ADMINISTRATIVE EXPENSE 10,523,839 10,797,223 273,384 2.6% 24,531,044 23,621,836 (909,208) -3.7% 4647 4748 Long Term Debt Expense 652,615 747,434 94,819 14.5% 1,298,675 1,298,675 - 0.0% 4849 4950 GRAND TOTAL EXPENSE 63,388,215 63,221,314 (166,902) -0.3% 145,494,598 143,336,337 (2,158,261) -1.5% 50

51 5152 NET SURPLUS / (DEFICIT) 5,075,399 6,774,118 1,364,918 26.9% - - 0 #DIV/0! 52

1/24/18 6:44 PM

PENINSULA CORRIDOR JOINT POWERS BOARDSTATEMENT OF REVENUE AND EXPENSE

Fiscal Year 2018December 2017

YEAR TO DATE ANNUAL


INVESTMENT PORTFOLIO

AS OF DECEMBER 31, 2017

TYPE OF SECURITY MATURITY INTEREST PURCHASE MARKETDATE RATE PRICE RATE

------------------------------------------------------ ------------------ ---------------- ------------------ ------------------

Local Agency Investment Fund (Unrestricted) * Liquid Cash 1.239% 72,907 72,907

County Pool (Restricted) ** Liquid Cash 1.216% 1,000,000 1,000,000

County Pool (Unrestricted) ** Liquid Cash 1.216% 975,828 975,828

Other (Unrestricted) Liquid Cash 0.000% 48,294,657 48,294,657

Other (Restricted) *** Liquid Cash 0.200% 25,090,859 25,090,859

------------------------------------------------------ ------------------ ---------------- ------------------ ------------------

75,434,251$ 75,434,251$

Accrued Earnings for December 2017 7,260.84$ Cumulative Earnings FY2018 43,197.25$

* The market value of Local Agency Investment Fund (LAIF) is calculated annually and is derived from the fairvalue factor as reported by LAIF for quarter ending June 30th each year.

** As of October 2017, the total cost of the Total County Pool was $5,111,503,764 and the fair market value per San Mateo County Treasurer's Office was $5,107,553,624.

*** Prepaid Grant funds for Homeland Security, PTMISEA and LCTOP projects, and funds reserved for debt repayment.

The Portfolio and this Investment Report comply with the Investment Policy and the provisions of SB 564 (1995).

The Joint Powers Board has the ability to meet its expenditure requirements for the next six months.

BOARD OF DIRECTORS 2017 JEFF GEE, CHAIR KEN YEAGER, VICE CHAIR JEANNIE BRUINS DEVORA “DEV” DAVIS GILLIAN GILLETTE ROSE GUILBAULT DAVE PINE CHERYL BRINKMAN MONIQUE ZMUDA JIM HARTNETT EXECUTIVE DIRECTOR

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AGENDA ITEM # 5 (d) FEBRUARY 1, 2018

PENINSULA CORRIDOR JOINT POWERS BOARD STAFF REPORT

TO: Joint Powers Board THROUGH: Jim Hartnett

Executive Director FROM: Michelle Bouchard

Chief Operating Officer, Rail SUBJECT: KEY CALTRAIN PERFORMANCE STATISTICS – DECEMBER 2017 ACTION Staff Coordinating Council recommends that the Board receive the Performance Report for December 2017. SIGNIFICANCE Staff will provide monthly updates to Key Caltrain Performance Statistics, Caltrain Shuttle Ridership, Caltrain Promotions, Special Event Updates and Social Media Analytics. BUDGET IMPACT There is no budget impact. MONTHLY UPDATE In December 2017, Caltrain’s average weekday ridership (AWR) increased 6.0 percent to 55,574 from December 2016 AWR of 52,404. The total number of passengers who rode Caltrain in December 2017 increased 1.5 percent to 1,422,012 from 1,401,300 in December 2016. This month ticket sales for One Way tickets (up 22.8 percent), ED One Way tickets (up 13.4 percent) and ED Monthly Passes (up 7.6 percent) increased from December 2016. Ticket sales for Day Passes (down 8.1 percent), ED Day Passes (down 9.6 percent) and Monthly Passes (down 2.8 percent) decreased from December 2016. The shift in fare product usage is due to the recent elimination of the 8-ride ticket. The number of Eligible Go Pass Employees continues to increase and is up 14.6 percent from December 2016. Farebox Revenue increased 7.9 percent from December 2016 from $6,932,582 to $7,478,583. On-time performance (OTP) for December 2017 was 93.9 percent, compared to 95.1 percent OTP for December 2016. In December 2017 there were 499 minutes of delay due to mechanical issues compared to 481 minutes in December 2016. Looking at customer service statistics, there were 8.1 complaints per 100,000 passengers in December 2017 which increased from 7.8 in December 2016.

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Shuttle ridership for December 2017 is down 1.3 percent from December 2016. For the station shuttles, the Millbrae-Broadway shuttle averaged 132 daily riders. The Belmont-Hillsdale shuttle averaged 35 daily riders. The weekend Tamien-San Jose shuttle averaged 30 daily riders. When the Marguerite shuttle was removed, the impact to ridership was an increase of 2.0 percent. Caltrain’s shuttle vendor’s ongoing staffing issues continued to impact the scheduled service on three shuttle routes. Reduced service was provided to the impacted routes. Staff continues to work with the shuttle vendor to resolve the issues and restore service. Caltrain Promotions – December 2017

Holiday Train – Caltrain operated the 2017 Holiday Train in partnership with the Silicon Valley Community Foundation on Saturday, December 2 and Sunday, December 3. This family event brings the community the spirit of joy and giving. The show train decorated with thousands of lights, costume characters and holiday carolers, brought thousands of holiday revelers out to the selected stations. All toy and monetary donations collected were in benefit of the Salvation Army and Toys for Tots. This event was heavily promoted using both internal and paid communications. Promotion included a 30 second Comcast Spotlight TV commercial covering San Mateo, San Francisco and parts of Santa Clara Counties, geo-targeted Youtube pre-roll video, print ads in local papers covering all three counties, organic/sponsored Facebook/Twitter social engagement ads, e-mail blasts, Caltrain website, news releases/blog and VMS/Conductor announcements. Posters were displayed at local businesses and in the information cases at the stations. Over 2,600 toys were collected for both nights and station attendance appeared to increase from last year. PAC-12 Championship – This year’s PAC-12 Championship Football Game at Levi’s Stadium was on Friday, December 1, at 5 p.m. which saw USC take on Stanford. This event was promoted using internal communication channels via Caltrain website Special Events page/large middle home page web button, organic social media posts, Caltrain Connections newsletter/Track the Fun brochure, VMS/Conductor announcements and news release/blog. Total ridership alighting and boarding at Mountain View station was 2,546, a 4 percent decrease from last year’s game. Foster Farms Bowl at Levi’s Stadium – The Foster Farms Bowl was also held at Levi’s Stadium on Wednesday, December 27, at 5:30 p.m. Based on previous years’ event ridership, there was no additional post-game service after the matchup which included Arizona taking on Purdue. This event was promoted using internal communication channels via Caltrain website Special Events page, organic social media, Caltrain Connections newsletter/Track the Fun brochure, VMS/Conductor announcements and news release/blog. Total ridership alighting and boarding at the Mountain View station was 730. New Year’s Eve – Caltrain operated three pre-firework specials and six additional post-firework special trains departing San Francisco.

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Communications plan included Caltrain website, news releases/blog, organic social media, Caltrain Connection newsletter and VMS/Conductor announcements. News media outlets heavily urged New Year’s Eve revelers to use public transportation to avoid traffic. Total additional ridership alighting and boarding at San Francisco station was 9,959, which was similar to 2016 ridership. Post-fireworks service carried 5,209 riders, which represents a 13 percent decrease compared to 2016 ridership. Please note, not only was New Year’s Eve on a Saturday last year, weekend trains operated at 60 minute headways, rather than 90 minute headways this year. On-going promotions: 49ers At Levi’s® Stadium – In December, the 49ers hosted two games against the Tennessee Titans on December 17 at 1:25 p.m. and Jacksonville Jaguars on December 24 at 1:05 p.m. Total ridership alighting and boarding for both games was 3,453. The promotion for the season came to an end for the final home game on December 24. The final season game was played on December 31. The 49ers failed to make any playoff run, however ended the season with a five game winning streak. Pre and regular season total additional ridership alighting and boarding at the Mountain View station was 18,466, a 31 percent decrease compared to 2016. San Jose Sharks at SAP Center – For the month of December, there were six home games played. Promotions include sponsored Facebook engagement ads through the end of January. Caltrain carried 1,640 post-game Sharks fans and regular riders for the month of December.

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Prepared by: James Namba, Marketing Specialist 650.508.7924 Jeremy Lipps, Social Media Officer 650.622.7845 Catherine David, Principal Planner 650.508.6471

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Table A

Graph A

FY2017 FY2018 % ChangeTotal Ridership 1,401,300 1,422,012 1.5%Average Weekday Ridership 52,404 55,574 6.0%Total Farebox Revenue $6,932,582 $7,478,583 7.9%On-time Performance 95.1% 93.9% -1.3%Average Caltrain Shuttle Ridership 7,276 7,184 -1.3%

FY2017 FY2018 % ChangeTotal Ridership 9,400,141 9,476,324 0.8%Average Weekday Ridership 59,068 60,915 3.1%Total Farebox Revenue $46,347,841 $47,967,584 3.5%On-time Performance 93.9% 94.8% 1.0%Average Caltrain Shuttle Ridership 9,149 8,774 -4.1%

December 2017

Year to Date

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AGENDA ITEM #5 (e) FEBRUARY 1, 2018


STAFF REPORT

TO: Joint Powers Board THROUGH: Jim Hartnett Executive Director FROM: Seamus Murphy Chief Communications Officer SUBJECT: STATE AND FEDERAL LEGISLATIVE UPDATE ACTION Staff Coordinating Council recommends the Board receives the attached memos. Staff will provide regular updates to the Board in accordance with Legislative Program. SIGNIFICANCE The 2018 Legislative Program establishes the principles that will guide the legislative and regulatory advocacy efforts. Based on those principles, staff coordinates closely with our Federal and State advocates on a wide variety of issues that are considered in Congress and the State legislature. The attached reports highlight the recent issues and actions that are relevant to the Board. Prepared By: Casey Fromson, Government and

Community Affairs Director

650-508-6493

800 17th Street, N.W., Suite 1100 | Washington, DC 20006 | T 202.955.3000 | F 202.955.5564

Holland & Knight LLP | www.hklaw.com

Caltrain Federal Update January 2018

CONGRESS Federal Government Expected to Reopen After Three Day Shutdown: On January 19, a four-

week short-term Continuing Resolution (CR) to fund the government failed to gain the necessary 60 votes to pass the Senate, and a government shutdown began at midnight on January 20. The House had passed the CR by a vote of 226-194 the day before.

During debate in the Senate, Sen. Debbie Stabenow (D-MI) proposed an amendment to

permanently reauthorize the Children’s Health Insurance Program (CHIP); Sen. Benjamin Cardin (D-MD) sought a guarantee paychecks would be distributed to all furloughed federal employees following the reopening of the government; and Senate Majority Leader Mitch McConnell (R-KY) sought an amendment to fully fund military spending in the FY 2018 defense

authorization law, at $700 billion. All three amendments were rejected.

Since then, Congress has remained in session to continue working on spending negotiations. Senate Majority Leader Mitch McConnell called a vote at noon on Monday, January 22 on a new deal that would enact a CR until February 8. Sen. McConnell said he is committed to taking up a

bill on border security and DACA even if a broader agreement on immigration and long-term spending is not reached by February 8, as long as the government remains open during this time. On Monday afternoon, Senate Minority Leader Chuck Schumer (D-NY) indicated he would agree to advance the bill after Republican leadership agreed to immediately consider

immigration legislation on the floor if no deal is reached by February 8. Sen. Schumer said he expects a bipartisan DACA bill will receive fair consideration and an up-or-down vote on the Senate floor. The Senate voted to pass a procedural motion to advance the three-week CR, H.R. 195, by a vote of 81-18. The CR also includes a six year reauthorization of CHIP and delays

several ACA health insurance taxes. The Senate will now have to vote on final passage before sending it back to the House for them to pass it with the new CR deadline. House Speaker Paul Ryan (R-WI) said earlier on Monday that if the Senate successfully sent the House a three-week CR, the lower chamber would pass it quickly.

Senators Introduce Private Activity Bonds Legislation: On January 18, Senators John Cornyn (R-TX) and Mark Warner (D-VA) introduced legislation to increase the current $15 billion limit on private activity bonds (PABs) to $20.8 billion. The “Building United States Infrastructure and

Leveraging Development (BUILD) Act” seeks to increase investment in infrastructure projects by allowing state and local governments to establish public-private partnerships (P3s) to finance surface transportation projects. Sen. Cornyn said the bill will help the administration finance additional highway and freight improvement projects through P3s, minimizing the cost to

taxpayers. Sen. Warner said the legislation, in conjunction with his BRIDGE Act (S. 1168)

https://www.congress.gov/bill/115th-congress/house-bill/195

https://www.congress.gov/bill/115th-congress/house-bill/195

https://www.cornyn.senate.gov/content/news/cornyn-warner-bill-would-ensure-access-additional-infrastructure-projects-through

https://www.congress.gov/bill/115th-congress/senate-bill/1168?q=%7B%22search%22%3A%5B%22s1168%22%5D%7D&r=1

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would attract additional investment to renew infrastructure, and emphasize the importance of PABs in leveraging private investment.

House Republicans Consider Lifting Earmark Ban: In 2010, the House banned the practice of members of Congress requesting earmarks in the annual appropriations bill. The Senate followed the House’s lead on the issue and also voted to ban them. However, since the 2016 elections, several members of Congress have been seeking ways to bring earmarks back. Speaker Paul

Ryan (R-WI) finally has allowed the issue to be more thoroughly discussed. The House Rules Committee will hold hearings to debate the issue of ‘returning the power of the purse’ to Congress. The first hearings were on January 17 and January 18 . President Trump has also stated that Congress should consider bringing back earmarks, to ease the passage of legislation.

The president made this comment during a meeting with a bipartisan group of lawmakers to discuss immigration reform earlier this month. Conservative groups, such as Club for Growth, have condemned the suggestion to revive

earmarks. Club for Growth President David McIntosh said in a statement that earmarks benefit special interests at “the expense of working men and women.” Jason Grumet, president of the Bipartisan Policy Center, said restoring earmarks would be "one of the most important steps Congress can take to strengthen this institution.” House Rules Committee Chairman Pete

Sessions (R-TX) assured colleagues that the hearings are not meant to rush into a new earmark policy. Another GOP member of the Rules Committee, Rep. Tom Cole (R-OK), identified an interest among both Democrats and Republicans to reclaim earmark power, but acknowledged that a new system would be necessary. Several House members have argued that banning

earmarks caused the unfavorable effect of Congress’ power of the purse being relinquished to federal agencies. Chairman Pete Sessions stated that he plans to make recommendations on earmarks to the House Republican conference later this year, but no timeline has been set.

House Transportation Committee Chairman Retiring: House Transportation and Infrastructure (T&I) Committee Chairman Bill Shuster (R-PA) announced on January 2 that he plans to retire at the end of his current term, joining a growing wave of GOP members announcing their exit. Rep. Shuster would otherwise be term-limited out of committee chairmanship, after serving three

terms at the helm, and it was widely speculated that he would announce his departure. Aviation Subcommittee Chairman Frank LoBiondo (R-NJ) and T&I Vice Chairman John Duncan (R-TN) had also announced their retirement. Rep. Shuster has said that in his final year he intends to focus on pushing for an infrastructure bill in conjunction with President Trump and the

administration. Two confirmed candidates to replace Rep. Shuster as head of the committee are Reps. Jeff Denham (R-CA) and Sam Graves (R-MO), both of whom lead subcommittees under Shuster.

ADMINISTRATION New Interim FAA Administrator Takes Over: Former FAA Administrator Michael Huerta’s last day in the position was January 5. Interim Administrator Dan Elwell – who served as Huerta’s

deputy – will take over as Administrator until a new one is approved. The new administrator may be Elwell himself, though this has not been confirmed. Elwell previously worked at Airlines for

https://rules.house.gov/bill/115/subcommittee-hearing

https://rules.house.gov/news/announcement/meeting-announcement-hearing-article-i-effective-oversight-and-power-purse

https://urldefense.proofpoint.com/v2/url?u=http-3A__plus.cq.com_person_462-3Futm-5Fmedium-3Dnewsletter-26utm-5Fsource-3Dbtmorning&d=DwMCaQ&c=14jPbF-1hWnYXveJ5rixtS_Fo3DRrpL7HUwJDAc4HIc&r=tBK5-GRklEg9ZaTljU0qYm5VQorwTdgZlf-UMoDyVrY&m=HbToJHSj5KMqH_WuSETgjIakAwvuzndvhdrbQuKzYew&s=9R1zzangVOgG3l1zT6GWVsc3pADwTnipRXPZxGfiNWI&e=

3 #55099080_v1

America, the Aerospace Industries Association, and American Airlines. He also served as Assistant FAA Administrator during President George W. Bush’s administration.

White House Infrastructure Plan Update: During the week of January 8, the administration began briefing Senate Environment and Public Works (EPW) Committee members and Democratic leadership on the contents of its infrastructure proposal. White House infrastructure adviser DJ Gribbin also met with Senate EPW Ranking Member Tom Carper (D-DE) on January 11 to

discuss the plan. Sen. Carper asked how the administration would seek to leverage $200 billion of the $1 trillion package, and Gribbin said that state and local governments would supply the additional $800 billion. The pair additionally discussed pay-fors for the package, and streamlining regulations. Sen. Carper sought to examine implementation issues with the

streamlining provisions that have already been laid out by the administration. Sen. Carper had requested the meeting following Gribbin’s discussion last week with Republican and Democratic members of the EPW Committee. The administration may release a detailed infrastructure principles before the State of the Union on January 30.

DOT Seeks AV Comments: Following an announcement from Transportation Secretary Elaine Chao, the Department of Transportation (DOT) published notices in the Federal Register on January 10, requesting information for the Federal Highway Administration (FHWA) on

integrating automated driving systems (ADS) – autonomous vehicles (AVs) – into the national highway transportation system. The Federal Transit Administration (FTA) is also seeking comments on research programs for autonomous transit buses, and removing barriers to autonomous buses. The National Highway Traffic Safety Administration (NHTSA) will also

seek comments on how to remove regulatory barriers for AVs, and how manufacturers can certify systems are meeting safety thresholds. Comments for NHTSA will inform guidance in the agency’s third draft of AVs guidance, titled Federal Automated Vehicle Policy 3.0. In an address at the recent Consumer Electronics Show, Secretary Chao expressed her support for advancing

innovation in AVs, and particularly, the societal impact AV technology will have in terms of safety, mobility, and security. Senate Committee Re-Approves Nominees: After the nominations of Diana Furchtgott-Roth and

former Rep. Lynn Westmoreland were sent back to the Senate Commerce Committee following opposition to their selections, the Committee re-approved them along party lines on January 18. Furchtgott-Roth’s nomination to serve as Assistant Secretary of Transportation was complicated following questioning over comments she had made about climate change and sexual harassment

in the workplace. Westmoreland’s nomination was sent back to the White House due to a polarizing debate over his qualifications. Separately, the nominations of Ron Batory to lead the Federal Railroad Administration and Adam Sullivan to serve as Assistant Transportation Secretary for Government Affairs are currently locked in a Democratic hold. Democrats have

held up these nominations as they demand action on funding for the Gateway tunnel project in New York.

https://www.transportation.gov/sites/dot.gov/files/docs/policy-initiatives/automated-vehicles/303131/fhwa-2017-0049.pdf

https://www.transportation.gov/sites/dot.gov/files/docs/policy-initiatives/automated-vehicles/303141/fta-2017-0024-research.pdf

https://www.transportation.gov/sites/dot.gov/files/docs/policy-initiatives/automated-vehicles/303136/nhtsa-2018-0009_0.pdf

January 22, 2018 TO: Peninsula Corridor Joint Powers Board Members FROM: Mike Robson and Trent Smith, Edelstein Gilbert Robson & Smith, LLC Joshua W. Shaw and Matt Robinson, Shaw / Yoder / Antwih, Inc. RE: STATE LEGISLATIVE UPDATE – JANUARY 2018 _______________________________________________________________________ Overview The Legislature reconvened on January 3 to begin work in the second-year of the 2017-18 biennial Legislative Session. This continuation from the first year means the Legislature immediately goes to work hearing bills that did not progress in the 2017 Session. There is an immediate deadline facing bills that were left in the house of origin, requiring those bills to pass before January 31. The immediate work on legislation is combined with introduction of new bills for 2018 and the release of the Governor’s proposed State Budget for 2018-19. Governor’s Proposed Budget The Governor released his proposed budget on January 10. Importantly for Caltrain, this budget reflects the first full year of new funds stemming from the passage of SB 1. Much of the SB 1 revenues are derived primarily from an increase in the gasoline tax. The proposed budget includes $330 million in 2018-19 for the Transit and Intercity Rail Capital Program (TIRCP), which is the first step in a $2.4 billion five-year spending plan on transformative rail projects. TIRCP The TIRCP is funded through both SB 1 revenues and cap-and-trade auction proceeds. The State Transportation Agency adopted guidelines for expenditure of these funds in October and applications have been submitted and awards will be announced in April 2018. Caltrain submitted a funding application to expand and fully electrify its train fleet, as well as modify platforms and storage capacity. Caltrain’s application is consistent with the Governor’s goal of spending TIRCP funds on transformational projects. The application was supported by the entire Caltrain legislative delegation in Santa Clara, San Mateo and San Francisco Counties. 2018 Legislative Update As previously discussed, members of the Legislature are submitting bills to be considered in the 2018 session. The bill introduction deadline is February 16. In the meantime, legislators are reaching out to interested parties seeking assistance and support for their measures. Assemblymember Mullin is reaching out to his local transportation agencies, including Caltrain, seeking support for his AB 1405, which is already in the Senate, and was recently amended. The new bill would create a comprehensive statewide digital advertising and sign network on the state highway system right of way and would contract third parties for

State Legislative Update January 22, 2018 Page Two installation and management of the network. Revenues from this network would be shared between the contracting party and the State Highway Account. Initiative Update – Referendum on SB 1 As discussed above, the Governor’s budget initiates the first full year of state and local transportation funding under SB 1. The Governor does not propose a contingency in the event that voters repeal the gas tax increase via a voter referendum that is likely to qualify for the ballot in November 2018. As previously reported, the initiative backers, which include the two leading Republican candidates for Governor are aggressively collecting signatures to qualify the referendum. The Secretary of State has indicated that the referendum proponents have collected a valid 25 percent of the needed signatures to qualify and newspaper reports indicate that the proponents believe they will have the needed signatures well before their May deadline. We are expecting a full and rigorous campaign by the Governor, local and state elected officials, and transportation stakeholders to defend SB 1 at the ballot in November. We will continue to update as this develops.

Peninsula Corridor Joint Powers Board State Legislative Matrix as of 1/19/18

Page 1 of 2

Caltrain State Legislative Matrix as of 1/19/2018

Bill ID/Topic Location Summary Position

AB 1405 Mullin D Advanced Digital Network Act.

S. RLS. 9/11/2017-Read second time. Ordered to third reading. Re-referred to Com. on RLS. pursuant to Senate Rule 29.10(c).

Would enact the Advanced Digital Network Act. The bill would authorize the Department of Transportation, subject to federal approval, to enter into a specified comprehensive development lease agreement pursuant to a best value competitive procurement process for a project with a public or private entity, or a consortia thereof, to install and operate a network of new digital signs within the rights-of-way of the state highway system that would display commercial advertising and public service messages. Last Amended on 9/8/2017

Watch

ACA 4 Aguiar-Curry D Local government financing: affordable housing and public infrastructure: voter approval.

A. L. GOV. 4/24/2017-Referred to Coms. on L. GOV. and APPR.

Local government financing: affordable housing and public infrastructure: voter approval. Reduces vote threshold to 55 percent local governments for passing special taxes and incurring bonded indebtedness relating public infrastructure and affordable housing

Watch

ACA 5 Frazier D Motor vehicle fees and taxes: restriction on expenditures: appropriations limit.

A. CHAPTERED 4/6/2017-Chaptered by Secretary of State- Chapter 30, Statues of 2017

Would add to the California Constitution to require revenues derived from vehicle fees imposed under a specified chapter of the Vehicle License Fee Law to be used solely for transportation purposes, as defined. The measure would prohibit these revenues from being used for the payment of principal and interest on state transportation general obligation bonds that were authorized by the voters on or before November 8, 2016. The measure would prohibit the revenues from being used for the payment of principal and interest on state transportation general obligation bonds issued after that date unless the bond act submitted to the voters expressly authorizes that use. On June 5 Ballot

Watch

SB 827 Wiener D Planning and zoning: transit-rich housing bonus.

S. T. & H. 1/16/2018-Referred to Coms. on T. & H. and GOV. & F.

Would authorize a transit-rich housing project to receive a transit-rich housing bonus. The bill would define a transit-rich housing project as a residential development project the parcels of which are all within a 1/2 mile radius of a major transit stop or a 1/4 mile radius of a high-quality transit corridor, as those terms are further defined. This bill contains other related provisions and other existing laws.

Watch

SCA 6 Wiener D Local transportation measures: special

S. APPR. SUSPENSE FILE 5/25/2017-May 25 hearing: Held in committee and under submission.

Would require that the imposition, extension, or increase by a local government of a special tax as may otherwise be authorized by law, whether a sales or transactions and use tax, parcel tax, or other tax for the purpose of providing funding for transportation purposes be submitted to the electorate by ordinance and approved by 55% of the voters voting on the proposition. The measure would authorize an ordinance submitted to the voters for approval under these provisions to provide, as

Recommend Support

http://ctweb.capitoltrack.com/public/publishbillinfo.aspx?bi=Q8F0v8sm79VL55Dw9nOzjww5nlSpjDwfl%2b71cQJpQPbynpQL%2fcpg%2f8klDU964twd

https://a22.asmdc.org/

http://ctweb.capitoltrack.com/public/publishbillinfo.aspx?bi=CNOxgNlTcKl6%2bk4%2bahq4Di3pCOMvhHISxXsyL0nnrDz0swCAYjs5YpZmNO9I2BFh


http://ctweb.capitoltrack.com/public/publishbillinfo.aspx?bi=XjquiiJr%2bkRW2qEei7a7sZf5lC%2fLaBTy18rIM6cRpZnGgupUSQG8kv4EeIA946OF


http://ctweb.capitoltrack.com/public/publishbillinfo.aspx?bi=ceMLkc5w3%2bis9BqUaRJebAfkUva6QThrr%2bVeayzvyUDBZdQgxf52DBvTYYa4Dlo%2f

http://sd11.senate.ca.gov/

http://ctweb.capitoltrack.com/public/publishbillinfo.aspx?bi=ff7j8suXW3IE601r2SJ5hhvXqKP5XfibzPsAiK3MwOqn6AGOtzbOFmYiD1wRzLO6

http://sd11.senate.ca.gov/

Peninsula Corridor Joint Powers Board State Legislative Matrix as of 1/19/18

Page 2 of 2

taxes: voter approval.

otherwise authorized by law, for the issuance of bonds payable from the revenues from the special tax. Last Amended on 5/1/2017

Total Measures: 5 Total Tracking Forms: 5

Resolution No. 2018-05

Resolution of Appreciation Presented to

Jeff gee WHEREAS, throughout 2017, JEFF GEE has served as chair of the Peninsula Corridor Joint

Powers Board; and

WHEREAS, during MR. GEE’s tenure and with his significant support and encouragement, Caltrain continued to enjoy unprecedented success by achieving record ridership levels and embarking on a transformative modernization effort that will prepare the system to accommodate the next generation of our regional mobility needs ; and

WHEREAS, MR. GEE advocated for the implementation of the Caltrain Modernization program to improve the travel time, frequency, capacity, safety and reliability of Caltrain’s commuter rail service; and

WHEREAS, MR. GEE helped ensure that the foundation of Caltrain’s Modernization program, the Caltrain Electrification Project, would be fully funded through historic agreements between local, regional, state and federal agencies, including a Full Funding Grant Agreement from the Federal Transit Administration that was approved at the final hour, allowing this critical project to proceed; and

WHEREAS, during MR. GEE’s tenure, he presided over the event to commemorate the groundbreaking of the Caltrain Electrification project and celebrated alongside committed Caltrain advocates including Governor Jerry Brown, House Democratic Leader Nancy Pelosi, Congresswoman Anna Eshoo, Congresswoman Jackie Speier and San Francisco Mayor Ed Lee; and

WHEREAS, MR. GEE also presided over the groundbreaking of other historic and long-awaited projects, including the 25th Avenue Grade Separation Project and the South San Francisco Station Improvement Project; and

WHEREAS, during MR. GEE’s tenure, the Caltrain Board of Directors improved public awareness, access and transparency by introducing live-streaming and archived video of Board meetings; and

WHEREAS, MR. GEE joined his board colleagues in voting to expand the use of renewable electricity service options for Caltrain by participating in Peninsula Clean Energy; and

WHEREAS, MR. GEE helped implement immediate capacity improvements to address record ridership levels by adding an additional rail car to all Bombardier train sets; and

NOW, THEREFORE, BE IT RESOLVED that the Peninsula Corridor Joint Powers Board does thank and commend JEFF GEE for his forward-thinking leadership, his thoughtful and considerate collegiality, and his strong support of the current and future plans for Caltrain while serving as chair during 2017.

UNANIMOUSLY ADOPTED by the Peninsula Corridor Joint Powers this 1st day of February, 2018.

Chair, Peninsula Corridor Joint Powers Board

Memorandum

PENINSULA CORRIDOR JOINT POWERS BOARD 1250 San Carlos Ave. – P.O. Box 3006

San Carlos, CA 94070-1306 650.508.6269

BOARD OF DIRECTORS 2018 JEANNIE BRUINS, CHAIR GILLIAN GILLETT, VICE CHAIR CHERYL BRINKMAN CINDY CHAVEZ DEVORA “DEV” DAVIS JEFF GEE DAVE PINE CHARLES STONE MONIQUE ZMUDA JIM HARTNETT EXECUTIVE DIRECTOR

Date: January 19, 2018 To: Board of Directors From: Jim Hartnett, Executive Director Subject: February 1, 2018 JPB Board Meeting Executive Director’s Report 1. On-time Performance –

• Through January 18: The preliminary January 2018 OTP was 95.5

percent compared to 94.4 percent for January 2017. • December: The December 2017 OTP was 93.9 percent compared to 95.1

percent for December 2016. 2. South San Francisco Station Parking Lot Update – Starting Monday,

January 8, eleven parking spaces in the South San Francisco Station lot were blocked off to set up the construction staging area for the South San Francisco Improvement Project. Due to this work parking is limited. There are 29 parking spaces and two ADA parking spaces available. Customers are recommended to consider other transit options in order to manage the change in the availability of parking, including SamTrans routes 37, 38, 131 and 133 and the San Bruno Caltrain Station.

3. CAC Meeting – The Citizens Advisory Committee met on Wednesday,

January 17, in San Carlos. Russ Arnold, Director – Marketing and Communications, provided a presentation and update on the Mobile Ticketing Application. Ben Burns, Manager – Rail Operations, provided a presentation on Train Delay and On Time Performance. Joe Navarro, Director - Rail Operations, provided the Staff Report. The next CAC meeting is scheduled for February 21, in San Carlos.

4. BAC Meeting – The Bicycle Advisory Committee met on Thursday, January 18, in San Carlos. Nicole Witt, Attorney – Hanson Bridgett, provided a

Jim Hartnett January 19, 2018 Page 2

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presentation on the Brown Act. Jenny Le, Management Analyst – Transit Police Bureau and Luis Aquino, Deputy Sheriff – Transit Police Bureau, provided a presentation on Bike Safety and Security. Ben Burns, Manager – Rail Operations, provided a presentation on the Bikes Board First Pilot Program. Danielle Thoe, BAC Member, provided a subcommittee update on Understanding EMU Design Constraints. Dan Provence, BAC Chairperson, provided an update of the 2018 Work Plan. Lori Low, Public Affairs Specialist, provided the Staff Report. The next BAC meeting is scheduled for Thursday, March 15, in San Carlos.

5. Special Event Train Service – Services Provided (Ridership for events occurring after January 17th will be reported in March):

• San Jose Sharks – There were six SJ sharks regular season home games in December. Total post-game Sharks fans and regular riders, boarding at San Jose Diridon station, was 1,640. Total year-to-date post-game Sharks fans and regular riders, boarding at San Jose Diridon station, was 7,192.

There were four SJ sharks regular season home games in January.

• 49ers Regular Season – The 49ers hosted the Tennessee Titans on

Sunday, December 17 at 1:25 p.m. and the Jacksonville Jaguars on Sunday, December 24 at 1:05 p.m. at Levi’s Stadium. Caltrain operated one additional pre-game express train and one additional post-game local train for both games. Total additional ridership alighting and boarding at Mountain View was 3,453. Total year-to-date ridership for the season alighting and boarding at Mountain View was 18,466, a 31% decrease compared to 2016.

• Foster Farms Bowl – The Foster Farms Bowl between the Arizona Wildcats vs. Purdue Boilermakers was held at Levi’s Stadium on Wednesday, December 27th at 5:30 p.m. Due to low ridership for past Foster Farms Bowls at Levi’s Stadium and out-of-state teams competing, no additional service provided. Average additional ridership per train alighting and boarding at Mountain View station was 24, a 72 percent increase compared to 2016 when the Indiana Hoosiers played the Utah Utes. Total additional ridership alighting and boarding at Mountain View station was 730.

• New Year’s Eve – Caltrain operated Sunday service on Sunday, December 31st and provided additional capacity for pre-SF fireworks trains 435, 437 and 439 and also provided six extra post-SF fireworks trains making all


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weekend local stops from San Francisco to San Jose. Caltrain also provided free fares from 8 p.m. until the last southbound special reached San Jose. Post-fireworks service carried 5,209 riders, which represents a 13 percent decrease compared to 2016 ridership. Total additional riders alighting and boarding at San Francisco station was 9,959, which was similar to 2016 ridership.

• Caltrain NorCalMLK Celebration Train – The Caltrain NorCalMLK

Celebration Train operated on Monday, January 15, 2018. The 8-car train departed San Jose Diridon at 9:45 a.m. with limited stops to Palo Alto, San Mateo, and San Francisco. Total ridership alighting at San Francisco was 925, which represents a three percent decrease compared to 2017 service.

Services Scheduled:

• San Jose Sharks – The Sharks will host six games in February. Caltrain will track post-game ridership for all home games. No extra special trains are planned. For weeknight and Saturday night games, the last northbound train departs SJ Diridon station at 10:30 p.m. or 15 minutes after the game ends but no later than 10:45 p.m.

• SF Giants Fan Fest – On Saturday, February 10, 2018, Caltrain will provide extra capacity for trains 423 and 801 for riders headed to the SF Giants Fan Fest which will be held at AT&T Park from 10 a.m. to 3 p.m. After the event, Caltrain will deploy up to 2 extra local trains from San Francisco as needed.

• President’s Day – On Monday, February 19, 2018, in observance of the President’s Day Holiday, Caltrain will operate a Modified Schedule, Saturday Service with four extra trains in each direction including one round trip from Gilroy to San Francisco. The Tamien to SJ Diridon Weekend Shuttle will also operate additional shuttles. Schedules are available onboard trains and on the Caltrain Website Holiday Service webpage.

6. Capital Projects –

The Capital Projects information is current as of January 17, 2018 and is subject to change between January 17 and February 1, 2018 (Board Meeting).

• San Francisco Highway Bridges: Replace three obsolete overhead vehicular bridges located in San Francisco at 23rd Street, 22nd Street, and Paul Avenue. Construction started in March 2015 and was substantially completed in May 2017.


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Staff is waiting for the delivery of specialized materials in order to resolve a Buy America issue related to the fire hydrants that were installed as part of the project. The delivery of the materials has been extended to February 2018 due to supplier’s manufacturing delays. Staff is also continuing discussions with Caltrans, City of San Francisco, and third-party utilities to secure additional funding and reimbursement for additional incurred costs associated with their portion of work. PG&E has reimbursed the PCJPB for their associated costs. Discussions regarding cost reimbursement from the City of San Francisco for their Auxiliary Water Supply System (AWSS) continue. The AT&T relocation reimbursement request was completed by staff and is under review by legal counsel before transmittal to AT&T. Caltrans funding discussions are pending completion of the fire hydrants in February.

• San Mateo 25th Avenue Grade Separation Project: Raise the elevation

of the alignment from Hillsdale Boulevard to south of the Highway 92 Overcrossing in the city of San Mateo. The project creates a grade separation at 25th Avenue, relocates the Hillsdale Station to the north, and creates two new east-west street grade-separated connections at 28th and 31st Avenues in San Mateo. Construction of the elevated rail alignment and the new Hillsdale Station will be phased to limit impact to the operating railroad. During the past month, placement of Cast-In-Drilled-Hole (CIDH) pile foundations for the future bridges was completed at the at the Pedestrian Underpass between 28th and 31st Avenues, and the bridges at 28th Avenue and 31st Avenues. Work also continued for the bridge over Borel Creek, underground utilities near 25th. Avenue, and completed temporary replacement parking east of the railroad tracks along Pacific Avenue. Existing parking lots at the Hillsdale Station were closed to facilitate construction. Parking has been temporarily diverted to the temporary replacement parking areas. The temporary closure of the Hillsdale Station, to allow completion of the project, is forecast to occur in late 2018. During the temporary closure, enhanced bus and shuttle service to the Belmont Station will be provided to minimize the temporary inconvenience. Overall construction is expected to complete in early 2020.

• Los Gatos Creek Bridge: Replace the substandard 80-year old railroad

bridge that is located south of the Diridon Station in San Jose. The construction contract was awarded in October 2016 to DMZ Builders and the Notice to Proceed was issued in late January 2017. Due to environmental regulations, bridge construction activities that are within the creek’s waterways are limited to the period between June and October 2017. During the past month, the Bioswale drainage systems and the


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rerouting of the storm drain system as requested by the City of San Jose was completed. Double track service south of the San Jose Diridon station on mainline tracks MT1 and MT2 was restored in January. Contract close-out activities are in progress. Unforeseen weather such as record rainfall and unexpected subsurface conditions were encountered this past winter and spring. The project undertook measures to recover delays to maintain the schedule within the environmental restrictions.

• South San Francisco Station Improvements: Replace the existing side platforms with a new centerboard platform, construction of a new connecting pedestrian underpass to two new plazas in downtown South San Francisco to the west and the shuttle area to east. Upon completion, the hold-out rule at this station will be removed that currently impacts the overall system operational efficiency. A Limited Notice to Proceed was issued to the contractor on October 9 to commence the planned 60-day administrative period which precedes the start of field construction. The contractor is delinquent in providing required administrative submittals, therefore, the Notice to Proceed and the commencement of construction is delayed from the planned start in December until completion of administrative requirements expected in February 2018. Mobilization of field construction staff offices has been completed. Overall contract completion remains scheduled by mid-2019. Third party utility relocations, except for Kinder-Morgan fuel lines, are still awaiting the City of South San Francisco’s acquisition of an encroachment permit from Caltrans. Relocation of the Kinder-Morgan fuel line, which is entirely in Caltrain right-of-way, has been completed. Site coordination with the Electrification project continues as the Electrification contractor is currently working just north of the South San Francisco station.

• Redwood City Grade Crossing Improvements: Improve the safety devices at three grade crossings within the city of Redwood City at Whipple Avenue, Main Street, and Broadway. The project will improve the Whipple Avenue crossing with new vehicular and pedestrian gates, new sidewalks and ramps, new pavement markings and striping. At Broadway, new pedestrian gates will be installed and new pavement markings will be added. At Main Street, new fencing, pedestrian gates, and pavement markings will be installed. The design and construction schedule of this project has been coordinated with the City’s improvements in the same area.


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The Limited Notice to Proceed (LNTP), initiating the 60-day administrative period that precedes construction, was issued to the contractor on November 8th. Contractor’s Administrative submittals and acquisition of city permits and traffic control plan approvals are behind schedule therefore the Notice to Proceed that was planned for January is delayed until February 2018. Construction is expected to be substantially complete by July 2018.

• FY16 Grade Crossing Improvements Project: The scope of this project is to improve the safety at 10 grade crossings along the corridor. Work items included are the installation of signals, fences, gates, curbs, lighting and signs. The existing grade crossing warning devices will be retrofitted to meet the latest California Public Utilities Commission standards. The crossings to be improved include 16th Street in San Francisco, Broadway in Burlingame, Peninsula and 4th Ave. in San Mateo, Ravenswood in Menlo Park, Alma and Charleston in Palo Alto, Rengstorff and Castro in Mountain View, and Mary in Sunnyvale. The construction contract also includes the installation of medians at five crossings in Santa Clara County. The scopes of two projects were combined into a single construction contract to improve cost and administrative efficiency. These medians are required by the FRA and are intended to create a barrier that discourages vehicles from driving around down crossing gates. The five crossings are Churchill and East Meadow in Palo Alto, Sunnyvale Avenue in Sunnyvale, and Auzerais and West Virginia in San Jose. The construction contract was originally advertised for bids in July and the sole bid received was deemed to be non-competitive. The recommendation to reject bids was approved at the October 5th Board meeting. The scope of the contract has been modified to eliminate trackwork elements that may have confused potential bidders as the remainder of the contract scope is primarily municipal civil construction items such as pavement markings, striping and minor concrete work. Subsequently, the revised contract was re-advertised for bids on October 12 and multiple bids were received on November 9. The construction contract was approved for award at the January 4, 2018 Board meeting. Contract execution is in progress and a Limited Notice to Proceed is forecast to be issued in February. Construction is expected to last 1-year from the Limited Notice to proceed. The eliminated trackwork scope will be performed by our contract operator, TASI, who is experienced in this type of construction.

• Sunnyvale Station Rehabilitation Project: Replace the surface pavers in the station platform with colored cast-in-place concrete and the relocation


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of the north pedestrian crossing to the north by approximately 83 feet. Some of the surfaces of the platform pavers have become uneven and this project will create a smooth and even platform surface. The relocation of the north pedestrian crossing will help to clear the southern crossing that is currently partially blocked when northbound trains arrive at the Sunnyvale Station. The construction contract was awarded to Sposeto Engineering on September 7th. The Limited Notice to Proceed was issued on December 15th to commence the 60-day administrative period. Construction is expected to begin in mid-February 2018 and complete by the summer of 2018.

• Inward Facing Cameras: Install cameras on locomotives and cab cars that will video and voice record the train operators during revenue operations. Currently there are outward facing cameras on locomotives that record the right-of-way from the vantage point of the operators. The inward facing cameras are recommended by the National Transportation Research Board and assists in post-accident investigations. Inward facing cameras are already in service on Metrolink in Southern California and by railroads such as the Union Pacific and Burlington Northern Santa Fe. The Notice to Proceed was issued to Rail Power Services LLC on December 21, 2017. Administrative and design submittals are in progress. The contractor is coordinating vehicle availability and the scheduling of installations with the Mechanical department staff at the Centralized Equipment and Maintenance Facility (CEMOF) in San Jose. Completion of installation and testing is anticipated by the spring of 2018.

• New Control Point at Brittan: Add a new control point in the corridor near Brittan Avenue in San Carlos. The new control is comprised of new crossover tracks (and associated signaling equipment) that will allow trains to cross over between the two mainline tracks in the 5-mile zone between Redwood City and Belmont. An operational capacity study that was conducted in 2013 recommended the potential addition of up to eight new control points to improve system operational capacity. The study ranked this location to be the most beneficial to increase efficiency and flexibility especially in the event of emergencies and equipment breakdowns. The new control point may also potentially increase work windows for construction projects. The construction contract was advertised for bids on October 5. Bids are due on January 25, 2018. Contract award is planned for April 2018. Procurement of long lead owner furnished materials such as special


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trackwork and signal houses is in progress. Construction is expected to begin in early 2018 and complete by the end of 2018.

• HVAC Improvements at the CCF Communications Equipment Room: Improve the cooling systems in the electronics equipment room at the Central Control Facility in San Jose. The amount of electronic equipment has greatly increased which has resulted in overloading of the existing cooling system. With the addition of newer systems such as CBOSS/PTC, ROCS/PADS, and upgrades to communications systems; the capacity of the existing cooling system is inadequate to maintain a sufficiently cool temperature. Equipment failure to critical systems such as dispatching and communications due to overheating is an unacceptable operational risk. Currently, this problem is being temporarily addressed by using rental cooling systems that are inadequate for future expansion and is costly. This project will address current and future cooling capacity by adding and replacing current cooling systems with newer and more efficient cooling equipment. The contract was awarded in November to Smith Electric Service. The contract has been executed and a Limited Notice to Proceed was issued on December 11th to commence the 60-day administrative period. Construction is expected to begin in early 2018 and complete by the summer of 2018.

Peninsula Corridor Joint Powers Board (Caltrain) Caltrain Transit and Intercity Rail Capital Program Application Overview

January 2018 Caltrain submitted an application to the State of California Transit and Intercity Rail Capital Program (TIRCP) requesting a commitment for multiple years of funding. The total amount requested is $631.5 million. The funds requested will support the goals of the TIRCP program as well as the long term development of the Caltrain corridor in a way that corresponds to the service and connectivity goals defined in the 2018 draft State Rail Plan.

TIRCP Program Overview

The TIRCP was created by Senate Bill (SB) 862 and modified by Senate Bill 9 to provide grants from the Greenhouse Gas Reduction Fund to fund transformative capital improvements that will modernize California’s intercity, commuter, and urban rail systems, and bus and ferry transit systems to reduce emissions of greenhouse gases by reducing congestion and vehicle miles traveled throughout California. The goal of the TIRCP is to provide monies to fund transformative capital improvements that modernize California’s intercity rail, bus, ferry and rail transit systems to achieve the following objectives:

• Reduction in greenhouse gas emissions; • Expand and improve rail service to increase ridership; • Integrate the rail service of the state’s various rail operations, including integration with the

high-speed rail system; and • Improve safety

The California Department of Transportation, in collaboration with CalSTA, will be responsible for administering this program

Caltrain’s Grant Application Overview

The central component of Caltrain’s application is the purchase of 96 additional Electric Multiple Unit (EMU trains). This procurement would fully exercise all available options under Caltrain’s contract with Stadler and would provide sufficient EMU vehicles to fully electrify Caltrain’s mainline fleet while also sustaining and expanding capacity to accommodate growing demand. In addition to funds for the purchase of EMUs, Caltrain is also requesting a smaller amount funding for a series of associated projects that will support the receipt and use of the fully electrified fleet and ensure that the railroad can reap the maximum benefit from its investments. The specific project elements are:

1. Initial Capacity Increase: • Exercise of options on the JPB’s existing contract with Stadler for the procurement of 40

additional EMUs to increase capacity of the electrified system by expanding the 6-car EMU sets already under procurement to a total of 17, 8-car sets

• Minor modification (lengthening) of platforms at select stations to accommodate the operation of 8-car EMUs to support the operation of 8-car trains. More complex platform modifications, including pursuit of level boarding, will be analyzed as part of the planning work described above. These improvements require significant additional

analysis and are not part of this application for funding. During interim periods, platforms unable to accept 8-car consists will be addressed through operational practices.

• The implementation of improved wayside bicycle facilities throughout the system to complement Caltrain’s program of on-board bike carriage and reduce pressure to add onboard capacity

• Planning funds equivalent to 1 percent of the total EMU cost estimate to support the critical development of plans and policy agreements that ensure that the Caltrain corridor and additional EMUs are used in a way that maximizes their utility and meets the goals and service levels identified in the draft 2018 State Rail Plan. This planning would support work related to the Caltrain Business Plan, terminal planning efforts in San Francisco and San Jose, network integration planning (including ongoing CHSRA Blended Planning) and planning related to future maintenance and storage needs.

2. Caltrain System Enhancements

• Installation of a Broadband Communications System that will attract additional ridership by providing customer facing Wi-Fi as well as enhanced reliability by creating the capability to conduct remote diagnostics and optimize ongoing maintenance

3. Full Conversion of the Caltrain Mainline Fleet

• Exercise of additional options on the JPB’s existing contract with Stadler for the procurement of 56 additional EMUs to facilitate the operation of a fully electrified fleet of 8-car EMUs

The project elements described above support and relate to a range of additional enhancements and services. There are additional benefits, which while discussed in the application, are not part of Caltrain’s direct funding request and are not used to quantify greenhouse gas benefits. They include:

• Creation of additional storage and maintenance capacity • Potential redeployment of diesel fleet to support San Jose-Gilroy/Salinas service • Potential use of EMU fleet to support enhanced future Caltrain service levels as part of a

larger program of rail enhancements on the Peninsula Corridor

All of the project elements described in this application assume and build on the infrastructure and equipment currently being constructed and procured through the Peninsula Corridor Electrification Project. When complete, the initial PCEP will mark a first step in the transformation of the 154-year-old Caltrain corridor from a diesel-based service to a modernized electric rail system. The funded “base” PCEP encompasses nearly $2 billion of investment, including the installation of an overhead catenary system and traction power facilities between San Francisco and San Jose, as well as the purchase of 96 high performance Electric Multiple Unit (EMU) trains. With an electrified system between San Francisco and San Jose that enables faster acceleration and improved vehicle performance, Caltrain will be able to increase capacity and serve more riders. Not only will PCEP improve performance and increase ridership, it will provide substantial environmental benefits to the region’s air quality by reducing diesel pollution, greenhouse gases, and removing cars from the Bay Area’s most congested roadways. Full electrification of Caltrain’s mainline fleet yields multiple significant benefits including:

• Reduced GHG emissions resulting from the cessation of mainline diesel operations • Increased flexibility to operate more attractive service and increase ridership to address

increasing capacity demands • The ability to support the development of state and interregional services including;

i. Fulfilling a necessary precursor to allow for blended Caltrain/California High-Speed Rail operations on the San Jose to San Francisco corridor

ii. Allowing for potential increase in Gilroy service and the possible redeployment of Caltrain’s diesel fleet on an inter-regional San Jose to Salinas service in coordination with the Transportation Agency for Monterey County (TAMC)

It is critical to note that while Caltrain could theoretically achieve many of the benefits of full electrification with the purchase of fewer EMUs (e.g. only purchasing those EMUs needed to fully electrify its fleet with 6-car EMU consists), doing so would reduce the railroad’s peak hour seated capacity from its currently planned levels for mixed diesel electric service. This reduction in peak hour seated capacity would damage the ability of the system to attract and carry riders.

Similarly, the projects contemplated in this application also represent incremental investments that support the long term evolution and growth of the corridor towards and beyond the 2022, 2027 and 2040 service visions contemplated in the draft 2018 State Rail Plan.

The Caltrain application has been structured in a way that will allow the railroad to take advantage of the near-term opportunity to purchase additional EMUs while also providing strong linkages to ongoing planning work in the corridor. The application makes reference to ongoing planning process and in particular emphasizes the central role of the Caltrain Business Plan in developing a transparent and comprehensive framework for the railroad’s growth that will ensure state funding is used to maximum benefit. It is assumed that any allocations of funding received as a result of this application may be conditionally tied to outcomes of the Business Plan or other planning and agreement processes.

Project Costs

The breakdown of estimated costs for project elements included in Caltrain’s TIRCP application are in the table below.

Project Element Cost Capacity Improvements Procurement of 40 Electric Multiple Units (EMUs) $224,700 Minor Platform Modifications $8,000 Wayside Bike Parking Improvements $3,500 Planning and Agreement Support $6,000

Subtotal $242,200 System Enhancements Broadband Communications $14,000

Subtotal $14,000 Full Fleet Conversion Procurement of 56 Electric Multiple Units (EMUs) $375,300

Subtotal $375,300 TOTAL $631,500

Stakeholder Support

JPB received numerous letters of support for this grant application from the following:

• The Metropolitan Transportation Commission (letter of concurrence) • Representative Jackie Speier • Representative Anna Eshoo • Caltrain’s State Legislative Delegation

o Senator Jerry Hill, 13th District o Senator Jim Beall, 15th District o Senator Scott Wiener, 11th District o Senator Bob Wieckowski, 10th District o Assemblymember Phil Ting, 19th District o Assemblymember Marc Berman, 24th District o Assemblymember Evan Low, 28th District o Assemblymember David Chiu, 17th District o Assemblymember Kansen Chu, 25th District o Assemblymember Kevin Mullin, 22nd District o Assemblymember Ash Karla, 27th District

• California High Speed Rail Authority • Santa Clara Valley Transportation Authority • City and County of San Francisco • San Francisco County Transportation Agency • Transportation Agency for Monterey County • Bay Area Council • City of San Jose • Capitol Corridor Joint Powers Authority • Transbay Joint Powers Authority • Commute.org • San Mateo County Economic Development Association • SPUR • Silicon Valley Leadership Group • Friends of Caltrain • Silicon Valley Bicycle Coalition • San Francisco Bicycle Coalition • Google • Facebook • Genentech • Stanford University

The JPB extends sincere thanks to all of our partners that offered their support of this important grant application.

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Caltrain Transit and Intercity Rail Capital Program Application Caltrain submitted (January 12, 2018) an application to the Transit and Intercity Rail Capital Program (TIRCP) requesting a commitment for multiple years of funding from the State of California.

Caltrain’s Grant Application Overview

• The central component of Caltrain’s application is the purchase of additional Electric Multiple Unit (EMU trains). This procurement would fully exercise all available options under Caltrain’s contract with Stadler and would provide sufficient EMU vehicles to fully electrify Caltrain’s mainline fleet while also sustaining and expanding capacity to accommodate growing demand.

• In addition to funds for the purchase of EMUs, Caltrain is also requesting a smaller amount funding for a series of associated projects that will support the receipt and use of the fully electrified fleet and ensure that the railroad can reap the maximum benefit from its investments.

The total estimated cost that is requested in this grant application is $631.5 million.

The specific project elements are:

1. The purchase an additional 96 Electric Multiple Unit (EMU) train cars. When fully deployed, these cars will allow Caltrain to operate a completely electrified fleet on its mainline with all 8-car EMU consists.

(Note: Caltrain has until May of 2024 to exercise all the options on its Stadler contract.)

2. To support and maintain the full electric fleet, Caltrain is also requesting funding for essential support elements:

• Planning funds This planning would support work related to the Caltrain Business Plan, terminal planning efforts in San Francisco and San Jose, network integration planning (including ongoing CHSRA Blended Planning) and planning related to future maintenance and storage needs.

• Funding for limited platform modifications (lengthening) to support the operation of 8-car trains. More complex platform modifications, including pursuit of level boarding, will be analyzed as part of the planning work described above.

• Installation of a Broadband Communications System that will provide customer facing wi-fi as well as the capability to conduct over-the-rail diagnostics and optimize ongoing maintenance

• The implementation of improved wayside bicycle facilities throughout the system to complement Caltrain’s program of on-board bike carriage.

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Project Costs

Project Element Cost Capacity Improvements Procurement of 40 Electric Multiple Units (EMUs) $224,700 Minor Platform Modifications $8,000 Wayside Bike Parking Improvements $3,500 Planning and Agreement Support $6,000

Subtotal $242,200 System Enhancements Broadband Communications $14,000

Subtotal $14,000 Full Fleet Conversion Procurement of 56 Electric Multiple Units (EMUs) $375,300

Subtotal $375,300 TOTAL $631,500

Stakeholder Support

JPB received numerous letters of support for this grant application from the following:

• The Metropolitan Transportation Commission (letter of concurrence) • Representative Jackie Speier • Representative Anna Eshoo • Caltrain’s State Legislative Delegation

o Senator Jerry Hill, 13th District o Senator Jim Beall, 15th District o Senator Scott Wiener, 11th District o Senator Bob Wieckowski, 10th District o Assemblymember Phil Ting, 19th District o Assemblymember Marc Berman, 24th District o Assemblymember Evan Low, 28th District o Assemblymember David Chiu, 17th District o Assemblymember Kansen Chu, 25th District o Assemblymember Kevin Mullin, 22nd District o Assemblymember Ash Karla, 27th District

• California High Speed Rail Authority • Santa Clara Valley Transportation Authority • City and County of San Francisco • San Francisco County Transportation Agency • Transportation Agency for Monterey County • Bay Area Council • City of San Jose • Capitol Corridor Joint Powers Authority • Transbay Joint Powers Authority

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• Commute.org • San Mateo County Economic Development Association • SPUR • Silicon Valley Leadership Group • Friends of Caltrain • Silicon Valley Bicycle Coalition • San Francisco Bicycle Coalition • Google • Facebook • Genentech • Stanford University

The JPB extends sincere thanks to all of our partners that offered their support of this important grant application.

Modernization Program

Peninsula Corridor Electrification Project (PCEP)

December 2017

Monthly Progress Report

December 31, 2017

Funding Partners

Federal Transit Administration (FTA) Core Capacity

FTA Section 5307 (Environmental / Pre Development only)

FTA Section 5307 (Electric Multiple Unit (EMU) only)

Prop 1B (Public Transportation Modernization & Improvement Account)

Caltrain Low Carbon Transit Operations Cap and Trade

Proposition 1A

California High Speed Rail Authority (CHSRA) Cap and Trade

Carl Moyer Fund

Bridge Tolls (Funds Regional Measure (RM) 1/RM2)

San Francisco County Transportation Authority (SFCTA)/San Francisco Municipal Transportation Agency (SFMTA)

San Mateo County Transportation Authority (SMCTA) Contribution

SMCTA Measure A

Santa Clara Valley Transportation Authority (VTA) Measure A

VTA Contribution

City and County of San Francisco (CCSF) Contribution

http://www.smcta.com/smcta_com.html

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Peninsula Corridor Electrification Project


Table of Contents i December 31, 2017

Table of Contents Page

1.0 BACKGROUND .......................................................................................................... 1-1

2.0 EXECUTIVE SUMMARY ............................................................................................. 2-1

Funding Partners Participation in PCEP ........................................................... 2-2 2.1

Schedule .......................................................................................................... 2-4 2.2

Budget ............................................................................................................. 2-5 2.3

Board Actions .................................................................................................. 2-5 2.4

Government and Community Affairs ................................................................ 2-6 2.5

3.0 ELECTRIFICATION – INFRASTRUCTURE ................................................................ 3-1

Electrification ................................................................................................... 3-1 3.1

Supervisory Control and Data Acquisition (SCADA) ......................................... 3-2 3.2

Tunnel Modification .......................................................................................... 3-2 3.3

4.0 ELECTRIC MULTIPLE UNITS ....................................................................................... 5

Centralized Equipment Maintenance and Operations Facility (CEMOF) 4.1Modifications ....................................................................................................... 5

5.0 SAFETY ...................................................................................................................... 5-1

6.0 QUALITY ASSURANCE ............................................................................................. 6-1

7.0 SCHEDULE................................................................................................................. 7-1

8.0 BUDGET AND EXPENDITURES ................................................................................ 8-1

9.0 CHANGE MANAGEMENT .......................................................................................... 9-1

10.0 FUNDING .................................................................................................................. 10-1

11.0 RISK MANAGEMENT ............................................................................................... 11-1

12.0 ENVIRONMENTAL ................................................................................................... 12-1

Permits .......................................................................................................... 12-1 12.1

Mitigation Monitoring and Reporting Program (MMRP) .................................. 12-1 12.2

13.0 UTILITY RELOCATION ............................................................................................ 13-1

14.0 REAL ESTATE ......................................................................................................... 14-1

15.0 THIRD PARTY AGREEMENTS ................................................................................ 15-1

16.0 GOVERNMENT AND COMMUNITY AFFAIRS ......................................................... 16-1



Table of Contents ii December 31, 2017

17.0 DISADVANTAGED BUSINESS ENTERPRISE (DBE) PARTICIPATION AND LABOR STATISTICS ................................................................................................ 17-1

18.0 PROCUREMENT ...................................................................................................... 18-1

19.0 TIMELINE OF MAJOR PROJECT ACCOMPLISHMENTS ....................................... 19-1

List of Tables

Page

Table 2-1 Schedule Status ...................................................................................................... 2-5

Table 2-2 Budget and Expenditure Status ............................................................................... 2-5

Table 6-1 Quality Assurance Audit Summary .......................................................................... 6-1

Table 7-1 Schedule Status ...................................................................................................... 7-1

Table 7-2 Critical Path Summary ............................................................................................ 7-2

Table 7-3 Near-Term, Near-Critical with Less Than Three Months of Float ............................. 7-2

Table 8-1 Electrification Budget & Expenditure Status ............................................................ 8-1

Table 8-2 EMU Budget & Expenditure Status ......................................................................... 8-2

Table 8-3 PCEP Budget & Expenditure Status ........................................................................ 8-2

Table 11-1 Monthly Status of Risks ....................................................................................... 11-2

Table 11-2 Risk Classification ............................................................................................... 11-3

Table 14-1 Real Estate Acquisition Overview ........................................................................ 14-1

Table 15-1 Third-Party Agreement Status ............................................................................. 15-1

List of Figures

Page

Figure 2-1 PCEP Work Segments ........................................................................................... 2-1

Figure 10-1 Funding Plan ...................................................................................................... 10-1

List of Appendices

Page

Appendix A – Acronyms .......................................................................................................... A-1

Appendix B – Funding Partner Meetings ................................................................................. B-1

Appendix C – Schedule ........................................................................................................... C-1

Appendix D – Standard Cost Codes ........................................................................................ D-1

Appendix E – Change Order Logs ........................................................................................... E-1

Appendix F – Risk Table ......................................................................................................... F-1

Appendix G – MMRP Status Log ............................................................................................. G-1



Background 1-1 December 31, 2017

1.0 BACKGROUND

Over the last decade, Caltrain has experienced a substantial increase in ridership and anticipates further increases in ridership demand as the San Francisco Bay Area’s population grows. The Caltrain Modernization (CalMod) Program, scheduled to be implemented by 2020, will electrify and upgrade the performance, operating efficiency, capacity, safety, and reliability of Caltrain’s commuter rail service.

The PCEP is a key component of the CalMod Program and consists of converting Caltrain from diesel-hauled to Electric Multiple Unit (EMU) trains for service between the San Francisco Station (at the intersection of Fourth and King Streets in San Francisco) and the Tamien Station in San Jose. Caltrain will continue Gilroy service and support existing tenants.

An electrified Caltrain will better address Peninsula commuters’ vision of environmentally friendly, fast and reliable service. Electrification will modernize Caltrain and make it possible to increase service while offering several advantages in comparison with existing diesel power use, including:

Improved Train Performance, Increased Ridership Capacity and Increased Service: Electrified trains can accelerate and decelerate more quickly than diesel-powered trains, allowing Caltrain to run more efficiently. In addition, because of their performance advantages, electrified trains will enable more frequent and/or faster train service to more riders.

Increased Revenue and Reduced Fuel Cost: An electrified Caltrain will increase ridership and fare revenues while decreasing fuel costs.

Reduced Engine Noise Emanating from Trains: Noise from electrified train engines is measurably less than noise from diesel train engines. Train horns will continue to be required at grade crossings, adhering to current safety regulations.

Improved Regional Air Quality and Reduced Greenhouse Gas Emissions: Electrified trains will produce substantially less corridor air pollution compared with diesel trains even when the indirect emissions from electrical power generation are included. Increased ridership will reduce automobile usage, resulting in additional air quality benefits. In addition, the reduction of greenhouse gas emissions will improve our regional air quality, and will also help meet the state’s emission reduction goals.



Executive Summary 2-1 December 31, 2017

2.0 EXECUTIVE SUMMARY

The Monthly Progress Report is intended to provide an overview of the PCEP and provide funding partners, stakeholders, and the public an overall update on the progress of the project. This document provides information on the scope, cost, funding, schedule, and project implementation. Work along the Caltrain Electrification Corridor has been divided into four work segments as shown in Figure 2-1. PCEP activities are described and summarized by work segments.

Figure 2-1 PCEP Work Segments




Overhead Contact System (OCS) foundation installation continued in Segment 2. OCS design progressed in Segments 2 and 4. 95% Design for Segment 4A and Segment 4A Mainline were submitted for review. The project team, Balfour Beatty Infrastructure Inc. (BBII) and Union Pacific Railroad (UPRR) have agreed upon a preferred option to move forward with final design of the constant warning solution.

The preliminary Supervisory Control and Data Acquisition (SCADA) schedule, provided by Rockwell Collins, was reviewed and returned with comments, which will be incorporated in the next submission.

Stadler is progressing with building their new Salt Lake City EMU manufacturing facility and has commenced design engineering on the electrified test track. Aluminum EMU subassemblies are being fabricated by Stadler. Subassemblies are later “spliced” together by Stadler to make complete car shells.

HNTP, the LTK sub-consultant working on the Centralized Equipment Maintenance and Operations Facility (CEMOF), has begun working on 60% Design for the upgrade.

Funding Partners Participation in PCEP 2.1

The PCEP has a series of weekly, biweekly, monthly and quarterly meetings to coordinate all aspects of the program. The meetings are attended by project staff with participation by our funding partners in accordance with the Funding Partners Oversight Protocol. A summary of funding partner meetings and invitees can be found in Appendix B.

This section of the report provides a summary of the discussions and decisions made at the meetings and a list of funding partners who attended the meetings.

Electrification – Engineering Meeting – Weekly

Purpose: To discuss status, resolution and tracking of Balfour Beatty Infrastructure, Inc. (BBII) and Electrification design-related issues, to discuss and monitor the progress of utility relocation compared to schedule, and to discuss third-party coordination activities with Pacific Gas and Electric (PG&E), CHSRA, UPRR, Bay Area Rapid Transit, California State Department of Transportation (Caltrans), Communications-Based Overlay Signal System (CBOSS) and others.

Activity this Month

Funding Partners: CHSRA: Ian Ferrier

Major topics included: PG&E power quality study, the results of interconnections feasibility study, coordination between the PCEP and CBOSS projects, the utility relocation status, tunnel design and status of contract, updates of the SCADA project, progress on Design-Build (DB) contract, including design and construction updates, upcoming changes to the contract in preparation for the Change Management Board (CMB), critical Right of Way (ROW) issues, and coordination with key third parties on design review and permitting for the project.




PCEP Delivery Coordination Meeting – Bi-Weekly

Purpose: To facilitate high-level coordination and information sharing between cross-functional groups regarding the status of the work for which they are responsible.

Activity this Month

December 5 Funding Partners: CHSRA: Ian Ferrier; SFCTA: Luis Zurinaga

A new position, Deputy Director, Program Management, has been created. Stacy Cocke will be filling the position in an “acting” capacity until it can be made permanent. Alan Brick-Turin has completed the Risk Identification and Mitigation Plan and has intensified review of risk descriptions, effects, and retirement dates. BBII has brought on a full-time safety manager, Jeff Tippetts. The white paper addressed to the FTA regarding the AEM-7 Electrification Test Locomotive was sent on Thursday, November 16. OCS foundation installation is expected to be completed in Segment 2 Work Area 5 by the end of the year and installation in Work Area 4 will begin in January.

December 19 Funding Partners: CHSRA: Ian Ferrier; SFCTA: Luis Zurinaga

The Program Management department has been restructured and Josh Averill has taken on a new position to lead Document Control, IT and Administrative Services for CalMod. The purchase of Aconex by Oracle was announced 12/18; the transition will take several months but we will need to ensure that Aconex takes care of the outstanding items before the transition takes place. A reoccurring Real Estate Coordination meeting has been set up, which has been helpful in pushing forward the important items for the project. The Los Gatos bridge project has been closed out. The FTA accepts PCEP moving forward with locomotive procurement, and the contract for Mitsui has been readied. For the CEMOF facility upgrade, the schedule remains unchanged: Design complete and ready for bid – March 2018; Notice to Proceed (NTP) to selected contractor – October 2018; and, Construction complete – September 2019. The team had a successful meeting with UPRR on the constant warning time solution options, and will be moving forward with speed check solution.

Systems Integration Meeting – Bi-Weekly

Purpose: To discuss and resolve issues with inter-system interfaces and to identify and address interface points which have yet to be addressed.

Activity this Month

Funding Partners: CHSRA: Ian Ferrier and Wai-on Siu

Major topics included: Monitoring and resolution of systems integration issues and scheduling bi-weekly internal interface meetings and systems integration meetings with the electrification contractor. The Traction Power SCADA team held bi-weekly status meetings. The Rail Activation Committee meets bi-weekly and progress on a schedule of activities including systems integration testing activities, FRA, FTA and safety certification, community outreach, operating procedures and training. The Rail Activation Plan is being developed along with systems integration test plans and Pre-revenue service plans. A coordination meeting with the Caltrain Capital Projects project




managers and resident engineers discussed civil construction associated with the PCEP.

Master Program Schedule (MPS) Meeting – Monthly

Purpose: To review the status of the MPS and discuss the status of major milestones, critical and near critical paths, upcoming Board review items, and progress with the contracts, among others.

Activity this Month

Funding Partners: CHSRA: Ian Ferrier

The forecasted Revenue Service Date (RSD) remains December 2021. The addition of approximately five months of contingency to account for potential risk to the project yields an RSD of April 2022. The program critical path runs through PG&E design and construction to provide permanent power, and concludes with pre-revenue testing. The near-critical path runs through design and manufacturing of EMU trainsets.

Risk Assessment Meeting – Monthly

Purpose: To identify risks and corresponding mitigation measures. For each risk on the risk register, mitigation measures have been identified and are being implemented. Progress in mitigating these risks is confirmed at the ongoing risk monitoring and monthly risk assessment meetings.

Activity this Month

No meeting this month due to absence of agenda items.

Change Management Board (CMB) – Monthly

Purpose: To review, evaluate and authorize proposed changes to PCEP over $200,000.

Activity this Month

No meeting was held in December.

Schedule 2.2

In November 2017 a new Program Plan (baseline) was established. Without adjustment for contingency, the Revenue Service Date (RSD), the date on which the project is deemed completed, is forecast as December 2021. With contingency to account for potential risk to the project, the RSD is anticipated as April 2022. Due to FTA contingency requirements, a Full Funding Grant Agreement (FFGA) RSD will also be tracked, which is forecast as August 2022.

Table 2-1 indicates major milestone dates for the MPS.




Table 2-1 Schedule Status1

Milestones Program Plan Progress Schedule

(December 2017)1

First Eight Miles of Electrification Complete to Begin Testing

11/21/2019 01/11/20202

Arrival of First Vehicle at JPB 07/29/2019 07/29/2019

PG&E Provides Permanent Power 09/09/2021 09/09/2021

Start Pre-Revenue Testing 09/10/2021 09/10/2021

RSD (w/o Risk Contingency) 12/09/2021 12/09/2021

RSD (w/ Risk Contingency) 04/22/2022 04/22/2022

FFGA RSD 08/22/2022 08/22/2022

Note: 1. Dates may shift slightly as the update of the November Progress Schedule is still in progress.

2. See “Notable Variances” in Section 7 for explanation on date shift.

Budget 2.3

A summary of the overall budget and expenditure status for the PCEP is provided in Table 2-2 below.

Table 2-2 Budget and Expenditure Status

Description of Work Budget Current Budget Cost This Month Cost To Date Estimate To

Complete

Estimate At

Completion

(A) (B)1 (C)

2 (D)

3 (E) (F) = (D) + (E)

Electrification Subtotal $ 1,316,125,208 $ 1,316,125,208 $ 14,636,810 $ 302,756,886 $ 1,013,368,322 $ 1,316,125,208

EMU Subtotal $ 664,127,325 $ 664,127,325 $ 446,466 $ 85,735,987 $ 578,391,338 $ 664,127,325

PCEP TOTAL $ 1,980,252,533 $ 1,980,252,533 $ 15,083,276 $ 388,492,873 $ 1,591,759,660 $ 1,980,252,533

Notes regarding tables above: 1. Column B “Current Budget” includes executed change orders and awarded contracts.

2. Column C "Cost This Month" represents the cost of work performed this month.

3. Column D "Cost To Date" includes actuals (amount paid) and accruals (amount of work performed) to date.

Board Actions 2.4

− None

Future anticipated board actions include:

February

− PG&E Supplemental Agreement #4: Construction

− Amendments to PG&E Supplemental Agreements #2 and #5

− Authority to increase Change Order Authority for the DB Contract




March

− Authority to procure used electric locomotives

− SamTrans sale of property to JPB for CalMod

To Be Scheduled

− Award Ambassador contract

− Award QA Independent Testing Lab Services contract

− Award CEMOF contract

− Award Tunnel Modification contract

Government and Community Affairs 2.5

There were no outreach events in December 2017.



Electrification - Infrastructure 3-1 December 31, 2017

3.0 ELECTRIFICATION – INFRASTRUCTURE

This section reports on the progress of the Electrification, SCADA, and Tunnel Modification components. A brief description on each of the components is provided below.

Electrification 3.1

The Electrification component of the PCEP includes the installation of 138 miles of single track and OCS for the distribution of electrical power to the EMUs. The OCS will be powered from a 25 kilovolt (kV), 60-Hertz, single phase, alternating current supply system consisting of two Traction Power Substations (TPS), one switching station, and seven paralleling stations (PS). Electrification will be performed using a DB delivery method.

Activity This Month

OCS foundation installation continued in Segment 2 WA5 and in parts of Segment 2 WA4. Foundation installation will continue in both work areas in January.

Potholing of utilities at proposed OCS locations continued in Segment 2 in advance of foundation installation. BBII also continued to remove obstructions found during the potholing process, such as loose concrete, asphalt, and other debris.

Relocation of signal cables found in conflict with planned OCS foundations continues as conflicts are identified.

Continued progression of the OCS design with BBII in Segments 2 and 4. 95% Design for Segment 4A and Segment 4A Mainline were submitted for review and comment..

Continued design review coordination with local jurisdictions for the OCS design in Segments 2 and 4, including responses to comments from jurisdictions.

Continued to review and coordinate signal and communication design submittals with BBII. The project team and BBII met with the UPRR and have agreed on a preferred option to move forward with final design. The project team will advance design of Scott and Linden crossings in order to bring back to the UPRR and FRA for review.

Received and reviewed BBII’s 95% System Ductbank for Segment 2.

Completed Electromagnetic Interference (EMI) analysis of Existing System Cable Study.

Received BBII’s 65% Communication Details and Layouts for Segments 1 and 3 for review.

Progress design of 115kV interconnection at the TPS-2 location.

Continued coordination efforts with PG&E for infrastructure improvements, TPS interconnects and new service drop locations. The PCEP team continues to work with PG&E for the finalization of protection scheme studies.

The PCEP team and BBII continue to work through Site Specific Work Plans (SSWP) for upcoming field work.




BBII performed tree pruning and removal in Segment 4.

Activity Next Month

Continue OCS foundation installation in Segment 2 WA4, including preparation work in the South San Francisco Yard during day time shifts.

Perform preparation of Burlingame and Redwood City siding areas for upcoming foundation work.

Continue work with BBII on field investigation activities and designs, which will include the progression of the OCS, traction power, bonding and grounding, signal systems, and other civil infrastructures such as overhead bridge protections.

Continue potholing and clearing of obstructions at proposed OCS locations. Potholing will continue with a focus on Segment 2 for foundation installation.

Perform concrete demolition at CEMOF for pothole investigations.

Perform cultural investigations in advance of OCS installation.

Continue coordination with UPRR on signal and OCS design. Advanced design on Scott and Linden crossings will be brought back to the UPRR for review.

Begin coordination with the FRA on constant warning solution.

Continue review of BBII work plans for upcoming construction activities.

Coordinate with PG&E on interconnection design and final design for PG&E infrastructure.

Continue design reviews and coordination with local jurisdictions.

Continue tree pruning and removals.

Supervisory Control and Data Acquisition (SCADA) 3.2

SCADA is a system that monitors and controls field devices for electrification, including substations, PSs and the OCS. SCADA will be integrated with the base operating system for Caltrain Operations and Control, which is the Rail Operations Center System.

Activity This Month

Began bi-weekly meetings to advance design of SCADA.

Reviewed Rockwell Collins’ preliminary schedule and returned with comments. Comments will be incorporated by the contractor in the next submission.

Activity Next Month

Continue bi-weekly technical meetings to advance SCADA design.

Finalize SCADA schedule.




Tunnel Modification 3.3

Tunnel modifications will be required on the four tunnels located in San Francisco. This effort is needed to accommodate the required clearance for the OCS to support electrification of the corridor. Outside of the PCEP scope, Caltrain Engineering has requested the PCEP team manage completion of design and construction management for the Tunnel 1 and Tunnel 4 Drainage Rehab Project. The Drainage Rehab Project is funded separately from PCEP and will be a Design-Bid-Build construction package. Construction will occur concurrently with the Electrification DB contractor’s efforts in Segment 1.

Activity This Month

The PCEP team continued coordination efforts with the design team on drawings and specifications on Tunnel 1 and Tunnel 4 Drainage Rehab Project.

The project team continued revisions and cleanup of 100% plans and specifications for Issued for Bid (IFB) documents.

Continued preparations of contract documents, including the general provision and special provision for bid. Draft documents were issued for review and comments. Final draft will be issued next month.

Activity Next Month

Continue coordination efforts with UPRR and other stakeholders.

Complete IFB plans and specifications.

Complete general and special provision for the contract.

Advertise contract.



Electrification - Infrastructure 5 December 31, 2017

4.0 ELECTRIC MULTIPLE UNITS

The EMU procurement component of the PCEP consists of the purchase of 96 Stadler EMUs. The EMUs will consist of both cab and non-cab units configured as 16 six-car fixed trainsets. Power will be obtained from the OCS via roof-mounted pantographs, which will power the electric traction motors. The EMUs will replace a portion of the existing diesel locomotives and passenger cars currently in use by Caltrain.

Activity This Month

Stadler has selected for their Salt Lake City area new manufacturing and assembly facility a building steel structure contractor and supplier of the facility overhead crane. Design engineering has commenced on the electrified test track.

Preliminary Design Reviews (PDRs) for EMU systems continue and design review packages being finalized.

EMU design coordination discussions continue with representatives from Caltrain Operations and Maintenance, Caltrain Public Outreach, the FRA, the FTA Project Management Oversight Contractor (PMOC), Safety and Quality Assurance personnel, and PCEP Program Scheduling.

The PCEP team continues to address system-wide interface issues involving the emerging EMU design and the existing wayside infrastructure.

The extrusions and machined parts for the first four car shells continue to be delivered to Stadler’s facility in Switzerland.

Aluminum car shell subassemblies are being fabricated by Staler. Subassemblies are later “spliced” together by Stadler to make complete car shells.

Regular communications with the FRA continue.

Car shell subassembly welding and machining underway.

Activity Next Month

Work toward completion of PDRs and finalization of all PDR packages at 65% design phase.

Continue to work with the FRA on EMU compliance issues.

Centralized Equipment Maintenance and Operations Facility (CEMOF) 4.1Modifications

The CEMOF Upgrade project will provide work areas for performing maintenance on the new EMUs.

Activity This Month

60% design underway.

Activity Next Month

60% Design Review Meeting to be conducted with all stakeholders in mid-January.



Safety 5-1 December 31, 2017

5.0 SAFETY

Safety and Security requirements and plans are necessary to comply with applicable laws and regulations related to safety, security, and emergency response activities. Safety staff coordinates with contractors to review and plan the implementation of contract program safety requirements. Safety project coordination meetings continue to be conducted on a monthly basis to promote a clear understanding of project safety requirements as defined in contract provisions and program safety documents.

Activity This Month

Held the monthly project DB Safety and Security Certification meeting, the Fire/Life Safety Committee meeting, and the EMU Safety and Security Certification meeting. Project staff participated in the BBII monthly “All Hands” contractor workforce meetings. Safety communication with project stakeholders remains a priority to discuss project related hazards and mitigation initiatives.

Project safety staff continues to provide input and oversight of the contractor SSWP safety provisions and continues to provide ongoing safety construction oversight and inspections. Safety awareness training of overhead power line hazards was provided to contractor staff during the month.

Field visit with CPUC Inspectors to look at foundations installed in Segment 2 Work Area 5.

Field visit with representatives from PG&E to look at overhead utility wires at Mile Post 14 and Mile Post 14.72 due to low clearances.

Provided Office Safety and Security Awareness training to PCEP staff located at project office. Topics included: fire safety, emergency evacuation, earthquake safety and active shooter procedures.

Activity Next Month

Monthly safety communication meetings continue to be scheduled for the Project Safety and Security Certification Committee, Fire/Life Safety Committee, and other project-related contractor and JPB safety meetings conducted to discuss project safety priorities. Project safety staff will continue to actively participate and present safety topics at the BBII “All Hands” monthly safety meetings.

Project safety staff will continue its focus on performing site safety inspections on the OCS foundation and potholing field work to assess safety work practices and identify additional opportunities for improvement.

Provide inspection of new Drill Tech and NorCal equipment to be used on the right-of-way prior to being placed into service.

Project staff is reviewing the current RWP training modules and will provide recommendations designed to enhance program efficiencies as new contractor staff is brought onboard.

Project safety will continue to work closely with contractor staff to identify safety improvement opportunities.



Quality Assurance 6-1 December 31, 2017

6.0 QUALITY ASSURANCE

The Quality Assurance (QA) staff performs technical reviews for planning, implementing, evaluating, and maintaining an effective program to verify that all equipment, structures, components, systems, and facilities are designed, procured, constructed, installed, and maintained in accordance with established criteria and applicable codes and standards throughout the design, construction, startup and commissioning of the PCEP.

Activity This Month

Staff meetings with BBII QA/Quality Control management representatives continue bi-weekly.

Revision 2 of the PCEP Quality Management Plan has been approved by the FTA PMOC.

Regularly scheduled design reviews and surveillances began on project design packages and will continue through the spring of 2018.

A non-conformance report (NCR) was issued to BBII for lack of mix design submittal, lack of concrete shrinkage tests, lack of approval of concrete batch plant, lack of concrete batch plant accreditation, and lack of 24-hour notice to JPB for construction activities. The NCR is now closed..

The five findings from the two audits conducted in November of Quikrete concrete batch plants in Sacramento and Fremont closed this month.

An audit of BBII Procurement was conducted and yielded 1 Observation.

An audit of the OCS, Structural and Steel Products, was conducted and yielded three Findings and five Observations. The Findings remain open.

OCS Pole deflection tests were conducted and witnessed by a BBII OCS Subject Matter Expert (SME), BBII Quality and JPB Quality and were approved by the SME.

Table 6-1 below provides details on the status of audits performed through the reporting period.

Table 6-1 Quality Assurance Audit Summary

Quality Assurance Activity This Reporting Period Total to Date

Audits Conducted 2 46

Audit Findings

Audit Findings Issued 3 32

Audit Findings Open 3 3

Audit Findings Closed 5 29

Non-Conformances

Non-Conformances Issued 0 5

Non-Conformances Open 0 0

Non-Conformances Closed 1 5



Quality Assurance 6-2 December 31, 2017

Activity Next Month

Three audits are planned and scheduled: Southwire, the manufacturer of messenger and contact wire in Douglas, GA, and two design package audits – Signals @65% and OCS Pole Foundation/Layouts, Segment 4A CEMOF @95%.



Schedule 7-1 December 31, 2017

7.0 SCHEDULE

In November 2017 a new Program Plan (baseline) was established. Without adjustment for contingency, the Revenue Service Date (RSD) is forecast as December 2021. With the addition of approximately five months of contingency to account for potential risk to the project, the RSD is anticipated as April 2022. Due to FTA contingency requirements, an FFGA RSD will also be tracked. This date is forecast as August 22, 2022 and represents the final milestone in the Program Plan.

The program critical path runs through PG&E design and construction to provide permanent power, and concludes with pre-revenue testing. The near-critical path runs through design and manufacturing of EMU trainsets.

Shown below, Table 7-1 indicates major milestone dates for the MPS. Items listed in Table 7-2 reflect the critical path activities/milestones for the PCEP. Table 7-3 lists near-critical activities on the horizon.

Notable Variances

BBII is currently reporting an overall delay to substantial completion, including the intermediate milestone of Segment 4/Test Track (first eight miles of electrification) completion. This delay is being evaluated by the BBII and JPB and does not constitute a schedule extension at this time. Additionally, this delay does not affect the RSD.

Table 7-1 Schedule Status

Milestones Program Plan Progress Schedule

(December 2017)1

First Eight Miles of Electrification Complete to Begin Testing

11/21/2019 01/11/20202

Arrival of First Vehicle at JPB 07/29/2019 07/29/2019

PG&E Provides Permanent Power 09/09/2021 09/09/2021

Start Pre-Revenue Testing 09/10/2021 09/10/2021

RSD (w/o Risk Contingency) 12/09/2021 12/09/2021

RSD (w/ Risk Contingency) 04/22/2022 04/22/2022

FFGA RSD 08/22/2022 08/22/2022

Note: 1. Dates may shift slightly as the update of the November Progress Schedule is still in progress.

2. See “Notable Variances” above for explanation on date shift.



Schedule 7-2 December 31, 2017

Table 7-2 Critical Path Summary

Activity Start Finish

PG&E Final Design and Construction to provide Permanent Power

April 2016 09/09/2021

Pre-Revenue Testing 09/10/2021 12/09/2021

RSD w/out Risk Contingency1 12/09/2021 12/09/2021

RSD w/ Risk Contingency1 04/22/2022 04/22/2022

Note: 1.

Milestone activity.

Table 7-3 Near-Term, Near-Critical with Less Than Three Months of Float

Work Breakdown Structure Activity Responsibility

Vehicles EMU Design Project Delivery



Budget and Expenditures 8-1 December 31, 2017

8.0 BUDGET AND EXPENDITURES

The summary of overall budget and expenditure status for the PCEP is shown in the following tables. Table 8-1 reflects the Electrification budget, Table 8-2 reflects the EMU budget, and Table 8-3 reflects the overall project budget.

Table 8-1 Electrification Budget & Expenditure Status

Description of Work Budget Current Budget

Cost This Month Cost To Date

Estimate To Complete

Estimate At Completion

(A) (B)1 (C)

2 (D)

3 (E) (F) = (D) + (E)

ELECTRIFICATION

Electrification4 $ 696,610,558 $ 696,696,030 $ 5,348,651 $ 183,853,170 $ 512,842,860 $ 696,696,030

SCADA $ - $ 3,446,917 $ - $ - $ 3,446,917 $ 3,446,917

Tunnel Modifications $ 11,029,649 $ 11,029,649 $ - $ - $ 11,029,649 $ 11,029,649

Real Estate $ 28,503,369 $ 28,503,369 $ 464,639 $ 11,703,456 $ 16,799,913 $ 28,503,369

Private Utilities $ 63,515,298 $ 63,515,298 $ 6,203,477 $ 17,655,665 $ 45,859,633 $ 63,515,298

Management Oversight5 $ 141,506,257 $ 141,526,164 $ 1,754,586 $ 78,894,134 $ 62,632,030 $ 141,526,164

Executive Management $ 7,452,866 $ 7,452,866 $ 77,350 $ 3,903,344 $ 3,549,522 $ 7,452,866

Planning $ 7,281,997 $ 7,281,997 $ 90,257 $ 5,119,027 $ 2,162,970 $ 7,281,997

Community Relations6 $ 2,789,663 $ 2,789,663 $ 3,814 $ 1,205,136 $ 1,584,526 $ 2,789,663

Safety & Security $ 2,421,783 $ 2,421,783 $ 58,553 $ 1,037,436 $ 1,384,347 $ 2,421,783

Project Mgmt Services $ 19,807,994 $ 19,807,994 $ 136,401 $ 8,792,266 $ 11,015,728 $ 19,807,994

Eng & Construction $ 11,805,793 $ 11,805,793 $ 189,324 $ 3,141,757 $ 8,664,036 $ 11,805,793

Electrification Eng & Mgmt $ 50,461,707 $ 50,461,707 $ 868,922 $ 22,762,485 $ 27,699,223 $ 50,461,707

IT Support $ 312,080 $ 331,987 $ - $ 331,987 $ 0 $ 331,987

Operations Support6 $ 1,445,867 $ 1,445,867 $ 57,505 $ 571,396 $ 874,471 $ 1,445,867

General Support $ 4,166,577 $ 4,166,577 $ 104,690 $ 2,285,250 $ 1,881,327 $ 4,166,577

Budget / Grants / Finance $ 1,229,345 $ 1,229,345 $ 34,782 $ 627,010 $ 602,334 $ 1,229,345

Legal $ 2,445,646 $ 2,445,646 $ 60,418 $ 2,484,208 $ (38,562) $ 2,445,646

Other Direct Costs $ 5,177,060 $ 5,177,060 $ 72,570 $ 2,299,472 $ 2,877,588 $ 5,177,060

Prior Costs 2002 - 2013 $ 24,707,878 $ 24,707,878 $ - $ 24,333,358 $ 374,520 $ 24,707,878

TASI Support $ 55,275,084 $ 55,275,084 $ 650,801 $ 5,843,330 $ 49,431,754 $ 55,275,084

Insurance $ 3,500,000 $ 4,305,769 $ - $ 2,555,769 $ 1,750,000 $ 4,305,769

Environmental Mitigations $ 15,798,320 $ 14,972,644 $ - $ 522,000 $ 14,450,644 $ 14,972,644

Required Projects $ 17,337,378 $ 17,337,378 $ - $ 371,775 $ 16,965,603 $ 17,337,378

Maintenance Training $ 1,021,808 $ 1,021,808 $ - $ - $ 1,021,808 $ 1,021,808

Finance Charges $ 5,056,838 $ 5,056,838 $ 214,655 $ 1,357,587 $ 3,699,251 $ 5,056,838

Contingency $ 276,970,649 $ 273,438,260 $ - $ - $ 238,920,888 $ 238,920,888

Forecasted Costs and

Changes $ - $ - $ - $ - $ 34,517,372 $ 34,517,372

ELECTRIFICATION

SUBTOTAL $ 1,316,125,208 $ 1,316,125,208 $ 14,636,810 $ 302,756,886 $ 1,013,368,322 $ 1,316,125,208

Notes regarding tables above: 1. “Current Budget” includes executed change orders and awarded contracts.



4. Cost To Date for “Electrification” includes 5% for Contractor’s retention until authorization of retention release.

5. The agency labor is actual through November 2017 and accrued for December 2017.

6. Ambassador support has changed from being accrued under Community Relations to Operations Support.



Budget and Expenditures 8-2 December 31, 2017

Table 8-2 EMU Budget & Expenditure Status

Description of Work Budget

Current Budget

Cost This Month Cost To Date Estimate To

Complete

Estimate At

Completion

(A) (B)1 (C)

2 (D)

3 (E) (F) = (D) + (E)

EMU $ 550,899,459 $ 551,774,959 $ - $ 60,716,941 $ 491,058,018 $ 551,774,959

CEMOF Modifications $ 1,344,000 $ 1,344,000 $ - $ - $ 1,344,000 $ 1,344,000

Management Oversight4 $ 64,139,103 $ 64,139,103 $ 314,903 $ 24,198,772 $ 39,940,332 $ 64,139,103

Executive Management $ 5,022,302 $ 5,022,302 $ 41,564 $ 2,440,644 $ 2,581,658 $ 5,022,302

Community Relations $ 1,685,614 $ 1,685,614 $ 2,457 $ 399,172 $ 1,286,442 $ 1,685,614

Safety & Security $ 556,067 $ 556,067 $ 10,814 $ 290,631 $ 265,436 $ 556,067

Project Mgmt Services $ 13,275,280 $ 13,275,280 $ 83,883 $ 5,823,250 $ 7,452,031 $ 13,275,280

Eng & Construction $ 89,113 $ 89,113 $ - $ 3,817 $ 65,296 $ 89,113

EMU Eng & Mgmt5

$ 32,082,556 $ 32,082,556 $ 40,411 $ 10,905,936 $ 21,176,621 $ 32,082,556

IT Support $ 1,027,272 $ 1,027,272 $ 10,512 $ 356,073 $ 671,199 $ 1,027,272

Operations Support $ 1,878,589 $ 1,878,589 $ - $ 277,200 $ 1,601,388 $ 1,878,589

General Support $ 2,599,547 $ 2,599,547 $ 43,903 $ 1,008,715 $ 1,590,832 $ 2,599,547

Budget / Grants / Finance $ 712,123 $ 712,123 $ 11,260 $ 348,970 $ 363,153 $ 712,123

Legal $ 1,207,500 $ 1,207,500 $ 34,258 $ 907,535 $ 299,965 $ 1,207,500

Other Direct Costs $ 4,003,139 $ 4,003,139 $ 35,842 $ 1,416,828 $ 2,586,311 $ 4,003,139

TASI Support $ 2,740,000 $ 2,740,000 $ - $ - $ 2,740,000 $ 2,740,000

Required Projects $ 4,500,000 $ 4,500,000 $ - $ - $ 4,500,000 $ 4,500,000

Finance Charges $ 1,941,800 $ 1,941,800 $ 131,563 $ 820,275 $ 1,121,525 $ 1,941,800

Contingency $ 38,562,962 $ 37,687,462 $ - $ - $ 38,566,702 $ 38,566,702

Forecasted Costs and

Changes $ - $ - $ - $ - $ (879,240) $ (879,240)

EMU SUBTOTAL $ 664,127,325 $ 664,127,325 $ 446,466 $ 85,735,987 $ 578,391,338 $ 664,127,325

Notes regarding tables above: 1. “Current Budget” includes executed change orders and awarded contracts.



4. The agency labor is actual through November 2017 and accrued for December 2017.

5. The lower accrued amount for EMU Eng & Mgmt is the result of lighter consultant support performed than was estimated in the

previous reporting period.

Table 8-3 PCEP Budget & Expenditure Status

Description of Work Budget Current Budget Cost This Month Cost To Date Estimate To

Complete

Estimate At

Completion

(A) (B)1 (C)

2 (D)

3 (E) (F) = (D) + (E)

Electrification Subtotal $ 1,316,125,208 $ 1,316,125,208 $ 14,636,810 $ 302,756,886 $ 1,013,368,322 $ 1,316,125,208

EMU Subtotal $ 664,127,325 $ 664,127,325 $ 446,466 $ 85,735,987 $ 578,391,338 $ 664,127,325

PCEP TOTAL $ 1,980,252,533 $ 1,980,252,533 $ 15,083,276 $ 388,492,873 $ 1,591,759,660 $ 1,980,252,533

Notes regarding tables above: 4. Column B “Current Budget” includes executed change orders and awarded contracts.



Appendix D includes costs broken down by Standard Cost Code (SCC) format. This format is required for reporting of costs to the FTA. The overall project total in the SCC format is lower than the project costs in table 8-3. This is due to the exclusion of costs incurred prior to the project entering the Project Development phase.



Change Management 9-1 December 31, 2017

9.0 CHANGE MANAGEMENT

The change management process establishes a formal administrative work process associated with the initiation, documentation, coordination, review, approval and implementation of changes that occur during the design, construction or manufacturing of the PCEP. The change management process accounts for impacts of the changes and ensures prudent use of contingency.

Currently the three PCEP contracts are BBII, Stadler, and SCADA. Future PCEP contracts such as CEMOF Modifications and the Tunnel Notching will also follow the change management process.

A log of all executed change orders can be found in Appendix E.

Executed Contract Change Orders (CCO) This Month

Electrification Contract

Change Order Authority (5% of BBII Contract) 5% x $696,610,558 = $34,830,528

Date Description CCO Amount

No changes executed this month

Total

EMU Contract

Change Order Authority (5% of Stadler Contract) 5% x $550,899,459 = $27,544,973


12/05/2017 CCO-00004 – Onboard Wheelchair Lift 800 Pound Capacity Provisions $848,000

12/12/2017 CCO 00006 – Prototype Seats and Special Colors ($27,500)

Total $820,500

SCADA Contract

Change Order Authority (15% of ARINC Contract) 15% x $3,446,917 = $517,038


None to date

Total



Funding 10-1 December 31, 2017

10.0 FUNDING

Figure 10-1 depicts a summary of the funding plan for the PCEP. It provides a breakdown of the funding partners as well as the allocated funds. As previously noted, the JPB received approval of the FFGA from the FTA in May 2017. The Agreement provides the project with a commitment of $647 million in federal funding. To date, $172.9 million has been made available to the project by the FTA.

Figure 10-1 Funding Plan



Risk Management 11-1 December 31, 2017

11.0 RISK MANAGEMENT

The risk management process is conducted in an iterative fashion throughout the life of the project. During this process, new risks are identified, other risks are resolved or managed, and potential impacts and severity modified based on the current situation. The Risk Management team’s progress report includes a summary on the effectiveness of the Risk Management Plan, any unanticipated effects, and any correction needed to handle the risk appropriately.

The Risk Management team meets monthly to identify risks and corresponding mitigation measures. Each risk is graded based on the potential cost and schedule impacts they could have on the project. This collection of risks has the greatest potential to affect the outcome of the project and consequently is monitored most closely. For each of the noted risks, as well as for all risks on the risk register, mitigation measures have been identified and are being implemented. Progress in mitigating these risks is confirmed at monthly risk assessment meetings attended by project team management and through continuous monitoring of the Risk Management Lead.

The team has identified the following items as top risks for the project (see Appendix F for the complete Risk Table):

BBII may be unable to develop grade crossing modifications that meet operational requirements prior to scheduled sub-system testing of the grade crossings.

A complex and diverse collection of major program elements may not be successfully integrated with existing operations and infrastructure.

PG&E may not be able to deliver permanent power for the project within the existing budget and in accordance with the project schedule.

Additional work in the form of signal/pole adjustments may be required to remedy sight distance impediments arising from modifications to original design.

Working PTC signal system may not be in place in advance of integrated testing and commissioning.

Design changes may necessitate additional implementation of environmental mitigations not previously budgeted.

Relocation of overhead utilities must precede installation of catenary wire and connections to TPSs. Relocation work will be performed by others and may not be completed to meet BBII’s construction schedule.

Collaboration across multiple disciplines may fail to comprehensively address all of the elements required to operate and maintain an electrified railroad and decommission the current diesel fleet.

BBII may be unable to get permits required by jurisdictions for construction in a timely manner.

UPRR does not accept catenary pole offsets from centerline of track necessitating further negotiation or relocation of poles

Transit America Services, Inc. (TASI) may be unable to deliver sufficient resources to support construction and testing for the electrification contract.




Activity This Month

Updates were made to risk descriptions, effects, and mitigations based upon weekly input from risk owners. Monthly cycle of risk updating was completed based on schedules established in the Risk Identification and Mitigation Plan.

Risk retirement dates were updated based upon revisions to the project schedule and input from risk owners.

Continued weekly monitoring of risk mitigation actions and publishing of the risk register.

The Risk Management team attended Project Delivery and Systems Integration meetings to monitor developments associated with risks and to identify new risks.

Tables 11-1 and 11-2 show the risks identified for the program. Risks are categorized as top risk, upcoming risk, and all other risks. The categories are based on a rating scale composed of schedule and cost factors. Top risks are considered to have a significantly higher than average risk grade. Upcoming risks are risks for which mitigating action must be taken within 60 days. All other risks are risks not falling into other categories.

Table 11-1 Monthly Status of Risks

Total Number of Active Risks = 90




Table 11-2 Risk Classification

Total Number of Active Risks = 90

Activity Next Month

Conduct weekly monitoring of risk mitigation actions and continue publishing risk register.

Update risk descriptions, effects, mitigations and retirement dates based on weekly monitoring.

Continue reviewing risks on project risk register with Systems Integration database.

Finalize Risk Identification and Mitigation Plan and Risk Analysis Report.



Environmental 12-1 December 31, 2017

12.0 ENVIRONMENTAL

Permits 12.1

The PCEP requires environmental permits from the following agencies/federal regulations: Section 106 of the National Historic Preservation Act of 1966 (NHPA), Section 7 of the Endangered Species Act (ESA), United States Army Corps of Engineers, San Francisco Bay Regional Water Quality Control Board (SFWQCB), the California Department of Fish and Wildlife, and the San Francisco Bay Conservation Development Commission.

Section 106 of the NHPA process and Section 7 of the ESA process have concluded.

Activity This Month

No permit updates occurred.

Activity Next Month

No permit updates are planned.

Mitigation Monitoring and Reporting Program (MMRP) 12.2

The California Environmental Quality Act (CEQA) requires that a Lead Agency establish a program to monitor and report on mitigation measures that it has adopted as part of the environmental review process. The PCEP team has prepared a MMRP to ensure that mitigation measures identified in the PCEP Environmental Impact Report (EIR) are fully implemented during project implementation. PCEP will implement the mitigation measures through its own actions, those of the DB contractor and actions taken in cooperation with other agencies and entities. The status of each mitigation measure in the MMRP is included in Appendix G.

Activity This Month

Environmental compliance monitors were present during project activities (OCS pole foundation installation, potholing for utility location, ductbank installation, tree trimming/removal, etc.) occurring in areas that required monitoring. The monitoring was conducted in accordance with measures in the MMRP in an effort to minimize potential impacts on sensitive environmental resources.

Noise and vibration monitoring also occurred during project activities, and non-hazardous soil was removed from the ROW.

Pre-construction surveys for sensitive wildlife ahead of project activities occurred to help ensure no special-status species were impacted during project activities.

Environmentally Sensitive Area (ESA) staking and/or fencing occurred to delineate jurisdictional waterways and other potentially sensitive areas that should be avoided during upcoming construction activities, and wildlife exclusion fencing installation and monitoring occurred adjacent to portions of the alignment designated for wildlife exclusion fencing.

Silt fencing installation occurred at equipment staging areas in accordance with the project-specific Stormwater Pollution Prevention Plan.



Environmental 12-2 December 31, 2017

Archaeological exploratory trenching occurred prior to construction activities within and adjacent to culturally sensitive areas.

Activity Next Month

Environmental compliance monitors will continue to monitor project activities occurring in areas that require monitoring in an effort to minimize potential impacts on sensitive environmental resources in accordance with the MMRP.

Noise and vibration monitoring of project activities will continue to occur and non-hazardous soil will continue to be removed.

Tree trimming and removal will continue in Segments 2 and 4, and biological surveyors will continue to conduct pre-construction surveys for sensitive wildlife species ahead of project activities.

Silt fencing installation will continue.

ESA staking will continue to occur to delineate jurisdictional waterways and other potentially sensitive areas that should be avoided during upcoming project activities.

Wildlife exclusion fencing will continue to be installed prior to upcoming construction activities adjacent to potentially suitable habitat for sensitive wildlife species.

Archaeological exploratory trenching will continue to occur prior to construction activities within culturally sensitive areas.



Utility Relocation 13-1 December 31, 2017

13.0 UTILITY RELOCATION

Implementation of the PCEP requires relocation or rerouting of both public and private utility lines and/or facilities. Utility relocation will require coordination with many entities, including regulatory agencies, public safety agencies, federal, state, and local government agencies, private and public utilities, and other transportation agencies and companies. This section describes the progress specific to the utility relocation process.

Activity This Month

Work continued with all utilities on review of overhead utility line relocations based on the current design.

Continued individual coordination with utility companies on relocation plans and schedule for incorporation with project master schedule.

Continued to work on relocation design review for PG&E and coordinate with PG&E on permitting and work planning.

Continued to work with Verizon to resolve the relocation of fiber optic cable within the Caltrain ROW. A temporary relocation method has been agreed by both parties for the installation of foundation. The project team will continue to work on the temporary relocation agreement for the project.

Completed PG&E relocations in Segment 2 WA5.

Activity Next Month

Continue to coordinate with utility owners on the next steps of relocations, including support of any required design information.

Update the relocation schedule as information becomes available from the utility owners.

Continue review of relocation design from PG&E and coordinate with PG&E on permitting and work planning for relocations.

Schedule PG&E’s relocations in Segment 2 WA4.



Real Estate 14-1 December 31, 2017

14.0 REAL ESTATE

The PCEP requires the acquisition of a limited amount of real estate. In general, Caltrain uses existing ROWs for the PCEP, but in certain locations, will need to acquire small portions of additional real estate to expand the ROW to accommodate installation of OCS supports (fee acquisitions or railroad easements) and associated Electrical Safely Zones (easements). There are two larger full acquisition areas required for wayside facilitates. The PCEP Real Estate team manages the acquisition of all property rights. Caltrain does not need to acquire real estate to complete the EMU procurement portion of the PCEP.

Activity This Month

Table 14-1 below provides a brief summary of the Real Estate acquisition overview for the project.

The Relocation team continues to work with the two commercial tenants on the Loop Bus site. Loop Bus has identified a site and are in the process of moving.

Surveying was completed and will support negotiations for Central Concrete and a majority of Segment 3 parcels.

Alternate locations are being analyzed for PS-2.

There are three active eminent domain actions in Segment 2, with other property owners either settling or in active negotiations to settle.

The remaining appraisals continued in Segments 1 and 3. The survey information will enable these appraisals to be completed.

Three new parcels were identified: one for catenary poles, one for PG&E connections and one for PS-3.

Staff presented the results of the BBI redesign to Central Concrete.

The appraisal for PS-7 (UPRR), PS-2 and an updated appraisal for Loop Bus were completed and sent to FTA for review.

Activity Next Month

Negotiations for all outstanding offers will continue.

Appraisals in Segments 1 and 3 will be finalized.

Staff will present the results of the BBII redesign to PG&E

Staff will contact San Francisco Public Utilities Commission regarding two new parcels.

Staff will work with engineering to redesign one parcel (Segment 3) to address the conflict between catenary poles and an existing sound wall.



Real Estate 14-2 December 31, 2017

Table 14-1 Real Estate Acquisition Overview

Segment No. of

Parcels Needed

*

No. of Appraisals Completed

Offers Presented

Offers Accepted

Acquisition Status

Escrow Closed

Eminent Domain Action Filed

Parcel Possession

Segment 1 8 2 0 0 0 0 0

Segment 2 27 26 25 21 20 3 20

Segment 3 10 7 6 1 0 0 0

Segment 4 9 9 8 1 0 1 0

Additional Parcels

3 0 0 0 0 0 0

Total 57 44 39 23 20 4 20

Note: During design development, the real estate requirements may adjust to accommodate design refinements. Parcel requirements will adjust accordingly. The table in this report reflects the current property needs for the Project.

Status of Segment 2 and Segment 4 ROW Acquisition

Segment 2

All parcels necessary for construction are under JPB control except:

− UPRR requested JPB follow their utility approval process. Once BBII finishes the catenary plan in this area, it will be submitted to UPRR.

− Ideal Charter: Legal needs to refile the condemnation action to address the ownership change. One pole is impacted.

Segment 4

− The Loop Bus eminent domain actions have been filed, providing access by February 2018.

− JPB is working with BBII to redesign the poles that impact PG&E operations and Central Concrete. On both parcels, a number of poles were moved onto JPB property reducing the size of both acquisitions.



Third Party Agreements 15-1 December 31, 2017

15.0 THIRD PARTY AGREEMENTS

Third-party coordination is necessary for work impacting public infrastructure, utilities, ROW acquisitions, and others. The table below outlines the status of necessary agreements for the PCEP.

Table 15-1 Third-Party Agreement Status

Type Agreement Third-Party Status

Governmental

Jurisdictions

Construction &

Maintenance1

City & County of San Francisco Executed

City of Brisbane Executed

City of South San Francisco Executed

City of San Bruno Executed

City of Millbrae Executed

City of Burlingame Executed

City of San Mateo Executed

City of Belmont Executed

City of San Carlos Executed

City of Redwood City Executed

City of Atherton In Process

County of San Mateo Executed

City of Menlo Park Executed

City of Palo Alto In Process

City of Mountain View Executed

City of Sunnyvale Executed

City of Santa Clara Executed

County of Santa Clara Executed

City of San Jose Executed

Condemnation Authority

San Francisco In Process

San Mateo Executed

Santa Clara Executed

Utilities Infrastructure PG&E Executed

2

Operating Rules CPUC Executed

Transportation

& Railroad

Construction & Maintenance Bay Area Rapid Transit Executed3

Construction & Maintenance California Dept. of Transportation (Caltrans) Not needed4

Trackage Rights UPRR Executed3

Notes regarding table above: 1. Agreements memorialize the parties’ consultation and cooperation, designate respective rights and obligations and ensure

cooperation between the JPB and the 17 cities and three counties along the Caltrain ROW and within the PCEP limits in connection with the design and construction of the PCEP.

2. The Master Agreement and Supplemental Agreements 1, 2, 3 and 5 have been executed. Supplemental Agreement 4 is the

remaining agreement to be negotiated and executed. 3. Utilizing existing agreements.

4. Caltrans Peer Process utilized. Formal agreement not needed.



Government and Community Affairs 16-1 December 31, 2017

16.0 GOVERNMENT AND COMMUNITY AFFAIRS

The Community Relations and Outreach team coordinates all issues with all jurisdictions, partner agencies, government organizations, businesses, labor organizations, local agencies, residents, community members, other interested parties, and the media. In addition, the team oversees the DB contractor’s effectiveness in implementing its Public Involvement Program. The following PCEP-related external affairs meetings took place this month:

Presentations/Meetings

None

Third Party/Stakeholder Actions

Foundation and Pole Layout 65% Drawings shared with San Carlos, Atherton, and Redwood City



DBE Participation 17-1 December 31, 2017

17.0 DISADVANTAGED BUSINESS ENTERPRISE (DBE) PARTICIPATION AND LABOR STATISTICS

The DB electrification contract has a DBE goal of 5.2% (or $36,223,749).

Payment Percentage

Cumulative $5,527,305 0.79%

Upcoming DBE/Small Business Enterprise opportunities:

Tunnel Modifications

CEMOF Facility Upgrades for EMUs

On-call Safety & Security Support for PCEP



Procurement 18-1 December 31, 2017

18.0 PROCUREMENT

Contract Activity

No contract activity

Invitation for Bid (IFB)/Request for Qualifications (RFQ)/ Request for Proposals

(RFP) Issued this Month:

None

IFB/RFQ/RFP Received this Month:

None

Contract Awards this Month:

Memorandum of Understanding (MOU) – 18-J-P-065 – Purchase of Electric Locomotive – Mitsui (Part 1)

Work Directive (WD)/Purchase Order (PO) Awards & Amendments this Month:

Multiple WDs & POs issued to support the program needs

In Process IFB/RFQ/RFP/Contract Amendments:

RFP – 17-J-S-062 – On-Call Ambassador Support Services

RFP – 17-J-S-070 – On-Call Construction Testing & Inspection Services

RFP – 18-J-S-066 – Overhaul Services of Electric Locomotive for PCEP – Amtrak

Contract - 18-J-P-065 – Purchase of Electric Locomotives – Mitsui (Part 2)

IFB - 18-J-C-070 - Tunnel Modifications

IFB - 18-J-C-071 - CEMOF Facility Upgrades for EMUs

Upcoming Contract Awards:

No upcoming contract awards

Upcoming IFB/RFQ/RFP:

IFB – CEMOF Facility Upgrades for EMUs



Timeline 19-1 December 31, 2017

19.0 TIMELINE OF MAJOR PROJECT ACCOMPLISHMENTS

Below is a timeline showing major project accomplishments from 2001 to 2017:

Date Milestone

2001 Began federal National Environmental Policy Act (NEPA) Environmental Assessment (EA) / state EIR clearance process

2002 Conceptual Design completed

2004 Draft NEPA EA/EIR

2008 35% design complete

2009 Final NEPA EA/EIR and Finding of No Significant Impact (FONSI)

2014 RFQ for electrification

RFI for EMU

2015 JPB approves final CEQA EIR

JPB approves issuance of RFP for electrification

JPB approves issuance of RFP for EMU

Receipt of proposal for electrification

FTA approval of Core Capacity Project Development

2016 JPB approves EIR Addendum #1: PS-7

FTA re-evaluation of 2009 FONSI

Receipt of electrification best and final offers

Receipt of EMU proposal

Application for entry to engineering to FTA

Completed the EMU Buy America Pre-Award Audit and Certification

Negotiations completed with Stadler for EMU vehicles

Negotiations completed with BBII, the apparent best-value electrification firm

JPB approves contract award (LNTP) BBII

JPB approves contract award (LNTP) Stadler

FTA approval of entry into engineering for the Core Capacity Program

Application for FFGA

2017 FTA finalized the FFGA for $647 million in Core Capacity funding, met all regulatory requirements including end of Congressional Review Period (February)

FTA FFGA executed, committing $647 million to the project (May)

JPB approves $1.98 billion budget for PCEP (June)

Issued NTP for EMUs to Stadler (June 1)

Issued NTP for electrification contract to BBII (June 19)

Construction began (August)

EMU manufacturing began (October)

Issued NTP for SCADA to Rockwell Collins (October)

Issued NTP for CEMOF Facility Upgrades to HNTP (November)



Appendices December 31, 2017

APPENDICES



Appendix A - Acronyms December 31, 2017

Appendix A – Acronyms



Appendix A - Acronyms A-2 December 31, 2017

AIM Advanced Information Management

ARINC Aeronautical Radio, Inc.

BAAQMD Bay Area Air Quality Management District

BBII Balfour Beatty Infrastructure, Inc.

CAISO California Independent System Operator

CalMod Caltrain Modernization Program

Caltrans California Department of Transportation

CDFW California Department of Fish and Wildlife

CEMOF Centralized Equipment Maintenance and Operations Facility

CEQA California Environmental Quality Act (State)

CHSRA California High-Speed Rail Authority

CIP Capital Improvement Plan

CPUC California Public Utilities Commission

CTC Centralized Traffic Control

DB Design-Build

DBB Design-Bid-Build

DBE Disadvantaged Business Enterprise

DEMP Design, Engineering, and Management Planning

EA Environmental Assessment

EAC Estimate at Completion

EIR Environmental Impact Report

EOR Engineer of Record

EMU Electric Multiple Unit

ESA Endangered Species Act

ESA Environmental Site Assessments

FEIR Final Environmental Impact Report

FNTP Full Notice to Proceed

FFGA Full Funding Grant Agreement

FONSI Finding of No Significant Impact

FRA Federal Railroad Administration

FTA Federal Transit Administration

GO General Order

HSR High Speed Rail

ICD Interface Control Document

ITS Intelligent Transportation System

JPB Peninsula Corridor Joint Powers Board

LNTP Limited Notice to Proceed

MMRP Mitigation, Monitoring, and Reporting Program

MOU Memorandum of Understanding

MPS Master Program Schedule

NCR Non Conformance Report




NEPA National Environmental Policy Act (Federal)

NHPA National Historic Preservation Act

NMFS National Marine Fisheries Service

NTP Notice to Proceed

OCS Overhead Contact System

PCEP Peninsula Corridor Electrification Project

PCJPB Peninsula Corridor Joint Powers Board

PG&E Pacific Gas and Electric

PHA Preliminary Hazard Analysis

PMOC Project Management Oversight Contractor

PS Paralleling Station

PTC Positive Train Control

QA Quality Assurance

QC Quality Control

QMP Quality Management Plan

QMS Quality Management System

RAMP Real Estate Acquisition Management Plan

RE Real Estate

RFI Request for Information

RFP Request for Proposals

RFQ Request for Qualifications

ROCS Rail Operations Center System

ROW Right of Way

RRP Railroad Protective Liability

RSD Revenue Service Date

RWP Roadway Worker Protection

SamTrans San Mateo County Transit District

SCADA Supervisory Control and Data Acquisition

SCC Standard Cost Code

SPUR San Francisco Bay Area Planning and Urban Research Association

SFBCDC San Francisco Bay Conservation Development Commission

SFCTA San Francisco County Transportation Authority

SFMTA San Francisco Municipal Transportation Authority

SFRWQCB San Francisco Regional Water Quality Control Board

SOGR State of Good Repair

SS Switching Station

SSCP Safety and Security Certification Plan

SSMP Safety and Security Management Plan

SSWP Site Specific Work Plan

TASI Transit America Services Inc.

TBD To Be Determined

TPS Traction Power Substation




TVA Threat and Vulnerability Assessment

UPRR Union Pacific Railroad

USACE United States Army Corp of Engineers

USFWS U.S. Fish and Wildlife Service

VTA Santa Clara Valley Transportation Authority



Appendix B – Funding Partner Meetings December 31, 2017

Appendix B – Funding Partner Meetings



Appendix B – Funding Partner Meetings B-1 December 31, 2017

Funding Partner Meeting Representatives Updated July 25, 2017

Agency CHSRA MTC SFCTA/SFMTA/CCSF SMCTA VTA

FTA Quarterly Meeting Bruce Armistead

Boris Lipkin

Ben Tripousis (info only)

Ian Ferrier (info only)

Wai Siu (info only)

Anne Richman

Glen Tepke

Luis Zurinaga April Chan

Peter Skinner

Jim Lawson

Funding Partners

Quarterly Meeting

Bruce Armistead

Boris Lipkin

Ben Tripousis

John Popoff

Trish Stoops Luis Zurinaga April Chan

Peter Skinner Krishna Davey

Funding Oversight (monthly) Ben Tripousis

Kelly Doyle

Anne Richman

Glen Tepke

Kenneth Folan

Anna LaForte

Maria Lombardo

Luis Zurinaga

Monique Webster

Ariel Espiritu Santo

April Chan

Peter Skinner

Jim Lawson

Marcella Rensi

Michael Smith

Change Management Board (monthly)

Bruce Armistead

Boris Lipkin

Trish Stoops Luis Zurinaga

Tilly Chang (info only)

Joe Hurley Krishna Davey

Jim Lawson

Carol Lawson

Nuria Fernandez (info only)

Master Program Schedule Update (monthly)

Ian Ferrier

Wai Siu

Trish Stoops Luis Zurinaga Joe Hurley Jim Lawson

Risk Assessment Committee (monthly)

Ian Ferrier

Wai Siu

Trish Stoops Luis Zurinaga Joe Hurley Krishna Davey

PCEP Delivery Coordination Meeting (bi-weekly

Ian Ferrier Trish Stoops Luis Zurinaga Joe Hurley Krishna Davey

Systems Integration Meeting (bi-weekly

Ian Ferrier

Wai Siu

Trish Stoops Luis Zurinaga Joe Hurley Krishna Davey



Appendix C – Schedule December 31, 2017

Appendix C – Schedule

# Activity Name Duration Start Finish

1 MASTER PROGRAM SCHEDULE C16.03 2168d 05/01/14 A 08/22/22

2 MILESTONES 2112d 05/01/14 A 08/22/22

3 Start 0d 05/01/14 A

4 NEPA Reevaluation Complete 0d 02/11/16 A

5 LNTP to Electrification Contractor 0d 09/06/16 A

6 LNTP to Vehicle Manufacturer 0d 09/06/16 A

7 FTA Issues FFGA 0d 05/23/17 A

8 Segment 4 (Test Track) Complete 0d 02/13/20

9 Revenue Service Date (RSD) w/out Risk Contingency 0d 12/09/21

10 Revenue Service Date (RSD) w Risk Contingency (JPB Target) 0d 04/22/22

11 Revenue Service Date (RSD) w/ Risk Contingency (FFGA RSD) 0d 08/22/22

12 PLANNING / APPROVALS 980d 05/01/14 A 01/31/18

13 REAL ESTATE ACQUISITION 660d 11/05/15 A 06/12/18

14 SEGMENT 1 113d 01/04/18 06/12/18

15 SEGMENT 2 377d 08/04/16 A 01/31/18

16 SEGMENT 3 210d 07/06/17 A 05/02/18

17 SEGMENT 4 574d 11/05/15 A 02/09/18

18 OVERHEAD UTILITY RELOCATION 717d 03/10/17 A 01/08/20

19 SILICON VALLEY POWER (SVP) 261d 07/06/17 A 07/16/18

20 PG&E 491d 03/13/17 A 02/15/19

21 CITY OF PALO ALTO (CoPA) 598d 03/10/17 A 07/18/19

22 AT&T 717d 03/10/17 A 01/08/20

23 PG&E INFRASTRUCTURE 1151d 03/01/17 A 09/09/21

24 INTERCONNECT (Supporting TPS-2) 372d 03/01/17 A 08/15/18

25 INTERIM POWER 265d 08/01/17 A 08/15/18

26 DESIGN & PERMITTING 151d 08/01/17 A 03/06/18

27 CONSTRUCTION 115d 03/06/18 08/15/18

28 PERMANENT POWER 1044d 08/01/17 A 09/09/21

29 DESIGN & PERMITTING 369d 08/01/17 A 01/15/19

30 CONSTRUCTION 675d 01/16/19 09/09/21

31 SCADA 999d 03/30/15 A 03/05/19

32 PREPARE SOLE SOURCE & AWARD 649d 03/30/15 A 10/16/17 A

33 DESIGN 232d 10/16/17 A 09/14/18

34 INSTALLATION & TEST 118d 09/17/18 03/05/19

35 CEMOF 509d 11/16/17 A 11/19/19

36 DESIGN 93d 11/16/17 A 03/30/18

37 BID & AWARD 111d 04/02/18 09/06/18

38 CONSTRUCTION 289d 10/01/18 11/19/19

39 TUNNEL MODIFICATION 1334d 10/31/14 A 02/04/20

40 DESIGN 817d 10/31/14 A 01/22/18

41 BID & AWARD 92d 01/23/18 05/31/18

42 CONSTRUCTION 403d 07/03/18 02/04/20

43 ELECTRIC LOCOMOTIVE 460d 03/01/17 A 12/04/18

44 BID & AWARD 283d 03/01/17 A 03/30/18

45 REHAB / TEST/ TRAIN / SHIP 172d 04/02/18 12/04/18

46 EMU 1907d 05/01/14 A 08/20/21

47 DEVELOP RFP, BID & AWARD 612d 05/01/14 A 09/02/16 A

48 DESIGN 870d 09/06/16 A 01/06/20

49 PROCUREMENT (Material) 806d 01/16/17 A 02/17/20

50 MANUFACTURING 970d 12/04/17 A 08/20/21

51 TRAINSET 1 641d 12/04/17 A 05/18/20

52 TRAINSET 2 642d 01/09/18 06/24/20

53 TRAINSET 3 550d 05/28/18 07/03/20

Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q12014 2015 2016 2017 2018 2019 2020 2021 2022 23

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Critical

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Finish Milestone

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# Activity Name Duration Start Finish

54 TRAINSET 4 515d 08/27/18 08/14/20

55 TRAINSET 5 490d 11/12/18 09/25/20

56 TRAINSET 6 445d 01/28/19 10/09/20

57 TRAINSET 7 420d 04/01/19 11/06/20

58 TRAINSET 8 410d 05/13/19 12/04/20

59 TRAINSET 9 415d 06/24/19 01/22/21

60 TRAINSET 10 395d 08/19/19 02/19/21

61 TRAINSET 11 390d 09/30/19 03/26/21

62 TRAINSET 12 370d 11/11/19 04/09/21

63 TRAINSET 13 370d 01/06/20 06/04/21

64 TRAINSET 14 360d 02/17/20 07/02/21

65 TRAINSET 15 350d 03/30/20 07/30/21

66 TRAINSET 16 340d 05/04/20 08/20/21

67 TESTING & STARTUP 247d 09/10/21 08/22/22

68 PRE-REVENUE TESTING 63d 09/10/21 12/09/21

69 REVENUE OPERATIONS 180d 12/09/21 08/22/22

70 Revenue Service Date (RSD) w/out Risk Contingency 0d 12/09/21

71 Revenue Service Date (RSD) w Risk Contingency (JPB Target) 0d 04/22/22

72 Revenue Service Date (RSD) w/ Risk Contingency (FFGA RSD) 0d 08/22/22

73 RISK CONTINGENCY 256d 12/10/21 08/22/22

74 ELECTRIFICATION SCHEDULE (BB) 010118 1816d 07/07/16 A 02/26/21

75 General 1816d 07/07/16 A 02/26/21

76 Permits 1004d 06/19/17 A 03/18/20

77 Design 1751d 09/06/16 A 02/25/21

78 All Work Areas 1751d 09/06/16 A 02/25/21

79 Segment 2 WA 5 415d 09/07/16 A 09/30/17 A

80 Segment 2 WA 4 & 5 493d 11/16/16 A 02/18/18

81 Segment 2 WA 4 505d 09/07/16 A 12/22/17 A

82 Segment 2 & 4 633d 09/07/16 A 04/20/18

83 Segment 4 835d 09/12/16 A 10/30/18

84 Segment 2 1195d 09/07/16 A 09/27/19

85 Segment 2 WA's 1, 2 ,& 3 649d 10/12/16 A 06/09/18

86 Segment 1 & 3 920d 09/19/16 A 01/25/19

87 Segment 1 1193d 11/09/16 A 11/26/19

88 Segment 3 1015d 01/23/17 A 08/27/19

89 Procurement 1595d 01/30/17 A 02/25/21

90 All Work Areas 1595d 01/30/17 A 02/25/21

91 Segment 4 203d 02/02/18 08/09/18

92 Segment 2 724d 06/19/17 A 04/24/19

93 Segment 1 757d 02/22/18 01/29/20

94 Segment 3 796d 02/21/18 03/04/20

95 Construction/Installation 1690d 11/02/16 A 02/25/21

96 All Work Areas 1669d 11/22/16 A 02/25/21

97 Segment 4 (6.6 Mi) 1195d 03/06/17 A 03/24/20

98 Segment 2 (21.1 Mi) 1449d 11/02/16 A 07/16/20

99 Segment 1 (8 Mi) 1124d 05/31/17 A 04/14/20

100 Segment 3 (15.4 Mi) 1265d 06/21/17 A 09/14/20

101 Testing & Commissioning 669d 03/28/19 12/11/20

102 Segment 1 41d 01/25/20 04/19/20

103 All Work Areas 399d 12/05/19 12/11/20

104 Segment 2 120d 05/09/19 03/08/20

105 Segment 3 40d 03/06/20 07/11/20

106 Segment 4 536d 03/28/19 08/09/20

Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q12014 2015 2016 2017 2018 2019 2020 2021 2022 23

MASTER PROGRAM SCHEDULE C16.03... _PCEP C16.03 Summary_MR FOR INTERNAL USE ONLY 01/22/18 14:22

Actual Level of Effort

Prog Plan (C16.00)

Last Months Update

Progress

Remaining

Near Critical

Critical

Start Milestone

Finish Milestone

Prog Plan (C16.00)

Last Months Update

Critical Milestone

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Appendix D – SCC December 31, 2017

Appendix D – Standard Cost Codes

Description of Work

Approved

Budget

(A)

Cost This Month

(B)

Cost To Date

(C)

Estimate To

Complete

(D)

Estimate At

Completion

(E) = (C) + (D)

10 ‐ GUIDEWAY & TRACK ELEMENTS $14,256,739 $0 $0 $14,356,739 $14,356,739

10.02 Guideway: At‐grade semi‐exclusive (allows cross‐traffic) $2,500,000 $0 $0 $2,600,000 $2,600,000

10.07 Guideway: Underground tunnel $8,110,649 $0 $0 $8,110,649 $8,110,649

10.07 Allocated Contingency $3,646,090 $0 $0 $3,646,090 $3,646,090

30 ‐ SUPPORT FACILITIES: YARDS, SHOPS, ADMIN. BLDGS $2,265,200 $0 $0 $2,265,200 $2,265,200

30.03 Heavy Maintenance Facility $1,344,000 $0 $0 $1,344,000 $1,344,000

30.03 Allocated Contingency $421,200 $0 $0 $421,200 $421,200

30.05 Yard and Yard Track $500,000 $0 $0 $500,000 $500,000

40 ‐ SITEWORK & SPECIAL CONDITIONS $255,072,402 $6,885,749 $59,282,142 $220,492,927 $279,775,069

40.01 Demolition, Clearing, Earthwork $3,077,685 $0 $170,000 $2,907,685 $3,077,685

40.02 Site Utilities, Utility Relocation $62,192,517 $6,174,948 $15,626,387 $61,566,130 $77,192,517


40.03 Haz. mat'l, contam'd soil removal/mitigation, ground water treatments $2,200,000 $0 $0 $2,200,000 $2,200,000

40.04 Environmental mitigation, e.g. wetlands, historic/archeologic, parks $32,579,208 $60,000 $250,125 $32,429,083 $32,679,208

40.05 Site structures including retaining walls, sound walls $568,188 $0 $0 $568,188 $568,188

40.06 Pedestrian / bike access and accommodation, landscaping $804,933 $0 $0 $804,933 $804,933

40.07 Automobile, bus, van accessways including roads, parking lots $284,094 $0 $0 $284,094 $284,094

40.08 Temporary Facilities and other indirect costs during construction $107,343,777 $650,801 $43,235,630 $73,710,814 $116,946,444


50 ‐ SYSTEMS $502,706,079 $1,087,607 $10,347,986 $487,268,507 $497,616,493

50.01 Train control and signals $97,589,149 $0 $1,000,000 $98,389,149 $99,389,149

50.01 Allocated Contingency $1,651,000 $0 $0 $800,000 $800,000

50.02 Traffic signals and crossing protection $23,879,905 $0 $0 $23,879,905 $23,879,905


50.03 Traction power supply: substations $70,671,121 $0 $2,912,478 $67,758,643 $70,671,121


50.04 Traction power distribution: catenary and third rail $253,683,045 $1,087,607 $6,435,508 $249,541,652 $255,977,159


50.05 Communications $5,455,000 $0 $0 $5,455,000 $5,455,000

50.07 Central Control $2,090,298 $0 $0 $2,090,298 $2,090,298


60 ‐ ROW, LAND, EXISTING IMPROVEMENTS $35,675,084 $464,634 $9,585,227 $26,089,857 $35,675,084

60.01 Purchase or lease of real estate $25,927,074 $464,634 $9,561,029 $16,366,045 $25,927,074


60.02 Relocation of existing households and businesses $1,000,000 $0 $24,198 $975,803 $1,000,000

70 ‐ VEHICLES (96) $625,571,647 $307,350 $79,289,462 $546,412,944 $625,702,407

70.03 Commuter Rail $590,042,791 $307,350 $79,289,462 $509,874,089 $589,163,551


70.06 Non‐revenue vehicles $8,140,000 $0 $0 $8,140,000 $8,140,000

70.07 Spare parts $18,763,931 $0 $0 $18,763,931 $18,763,931

80 ‐ PROFESSIONAL SERVICES (applies to Cats. 10‐50) $325,532,351 $5,991,718 $178,228,595 $151,727,514 $329,956,109

80.01 Project Development $130,350 $0 $280,180 -$149,830 $130,350

80.02 Engineering (not applicable to Small Starts) $181,346,859 $4,220,617 $137,482,546 $49,484,904 $186,967,450

80.02 Allocated Contingency $1,742,144 $0 $0 $545,311 $545,311

80.03 Project Management for Design and Construction $72,910,901 $1,508,649 $32,586,735 $40,324,166 $72,910,901


80.04 Construction Administration & Management $23,677,949 $202,029 $2,522,583 $21,155,365 $23,677,949


80.05 Professional Liability and other Non‐Construction Insurance $4,305,769 $0 $2,555,769 $1,750,000 $4,305,769

80.06 Legal; Permits; Review Fees by other agencies, cities, etc. $6,341,599 $60,423 $2,796,034 $3,545,566 $6,341,599


80.07 Surveys, Testing, Investigation, Inspection $3,287,824 $0 $4,747 $3,283,077 $3,287,824

80.08 Start up $1,797,957 $0 $0 $1,797,957 $1,797,957


Subtotal (10 ‐ 80) $1,761,079,501 $14,737,058 $336,733,412 $1,448,613,689 $1,785,347,101

90 UNALLOCATED CONTINGENCY (5) $162,592,795 $0 $0 $138,325,195 $138,325,195

Subtotal (10 ‐ 90) $1,923,672,296 $14,737,058 $336,733,412 $1,586,938,884 $1,923,672,296

100 FINANCE CHARGES $6,998,638 $346,218 $2,177,861 $4,820,777 $6,998,638

Total Project Cost (10 ‐ 100) $1,930,670,934 $15,083,276 $338,911,274 $1,591,759,660 $1,930,670,934

Notes:



Appendix E – Change Order Logs December 31, 2017

Appendix E – Change Order Logs



Appendix E – Change Order Logs E-1 December 31, 2017

Change Order Logs

Electrification Contract

Change Order Authority (5% of BBII Contract) 5% x $696,610,558 = $34,830,528

Date Description CCO Amount Percent of Authority

1

Remaining Authority

08/31/2017 CCO 00001 – Track Access Delays for 2016, Quarter 4 $85,472 0.25% $34,745,056

Total $85,472 0.25% $34,745,056 Notes:

1. When the threshold of 75% is reached, staff may return to the Board to request additional authority.

EMU Contract

Change Order Authority (5% of Stadler Contract) 5% x $550,899,459 = $27,544,973


1

Remaining Authority

9/22/2017 CCO 00001 – Contract General Specification and Special

Provision Clean-up $0 0.00% $27,544,973

10/27/2017 CCO 00002 – Prototype Seats and Special Colors $55,000 0.20% $27,489,973

11/02/2017 CCO 00003 – Car Level Water Tightness Test $0 0.00% $27,489,973

12/05/2017 CCO-00004 – Onboard Wheelchair Lift 800 Pound

Capacity Provisions $848,000 3.08% $26,641,973

11/03/2017 CCO 00005 – Design Progression (multiple) $0 0.00% $26,641,973

12/12/2017 CCO 00006 – Prototype Seats and Special Colors ($27,500) -0.10% $26,669,473

Total $875,500 3.18% $26,669,473

Notes: 1. When the threshold of 75% is reached, staff may return to the Board to request additional authority.

SCADA Contract

Change Order Authority (15% of ARINC Contract) 15% x $3,446,917 = $517,038


1

Remaining Authority

None to date

Total $0 0% $517,038 Notes:

1. When the threshold of 75% is reached, staff may return to the Board to request additional authority.



Appendix F – Risk Table December 31, 2017

Appendix F – Risk Table



Appendix F – Risk Table F-1 December 31, 2017

Listing of PCEP Risks and Effects in Order of Severity

ID RISK DESCRIPTION EFFECT(S)

279

BBII may be unable to develop grade crossing modifications that meet regulatory requirements prior to scheduled testing and commissioning of the system.

Crossing operations will not be acceptable to CPUC and FRA and therefore delay commissioning.

223

A complex and diverse collection of major program elements and current Caltrain capital works projects may not be successfully integrated with existing operations and infrastructure.

Proposed changes resulting from electrification may not be fully and properly integrated into existing system.

101

PG&E may not be able to deliver permanent power for the project within the existing budget and in accordance with the project schedule

Additional project costs; potential delay to revenue service date

281

Additional work in the form of signal/pole adjustments may be required to remedy sight distance impediments arising from modifications to original design.

Add repeater signals, design duct bank would result in increased design and construction costs.

100

Working PTC signal system may not be in place in advance of integrated testing and commissioning.

Integrated testing cannot be conducted without PTC in place to permit operation of vehicles on tracks Delays to completion of signal system could result in conflicts with PTC testing and PCEP construction and integrated testing. Potential for claims for D/B contractor.

287 Design changes may necessitate additional implementation of environmental mitigations not previously budgeted.

Increased cost for environmental measures and delays to construct and overall delay in construction schedule

67

Relocation of overhead utilities must precede installation of catenary wire and connections to TPSs. Relocation work will be performed by others and may not be completed to meet BBII’s construction schedule.

Delay in progress of catenary installation resulting in claims and schedule delay

263

Collaboration across multiple disciplines to develop a customized rail activation program may fail to comprehensively address the full scope of issues required to operate and maintain an electrified railroad and decommission the current diesel fleet.

Delay in testing of EMUs. Delay in Revenue Service Date. Additional costs for Stadler and BBII due to overall schedule delays.

276 BBII may be unable to get permits required by jurisdictions for construction in a timely manner.

Additional cost and time resulting from delays to construction

294 UP does not accept catenary pole offsets from centerline of track necessitating further negotiation or relocation of poles

Delay to construction and additional costs for redesign and ROW acquisition.





209 TASI may be unable to deliver sufficient

resources to support construction and testing for the electrification contract.

• Testing delayed. Additional construction costs. • Change order for extended vehicle acceptance.

241

Balfour Beatty needs to build TP2 and Interconnection in time for PG&E to supply power in time to support testing • Date is December 2018 to support contractor’s schedule • Interim power was mitigation to providing permanent power Risk of PG&E delay in interim power availability.

Delay in testing and increased costs

247 Timely resolution of 3rd party design

review comments to achieve timely approvals

Delay to completion of design and associated additional labor costs.

257

Modifications to the CTC system hardware and software and Back Office Server database and systems to support DB must be completed in time for cutover and testing.

Failure to follow the DB Management process will result in major interruption to train service and overall capital projects delay.

267 Additional property acquisition is

necessitated by design changes. New project costs and delays to schedule.

268

Potential that vehicles will not receive timely notification of compliance from FRA. Most significant issues include: • Placement of windows as emergency exits • Compliance with acceptable alternate crash management standards

Delays to completion of construction and additional cost to changes in design.

213 Unable to acquire property required to

build PS-2.

Extensive redesign of existing and future facilities and utilities resulting in potential delay and additional costs to D/B contractor.

240

Property not acquired in time for contractor to do work. Property Acquisition not complete per contractor availability date <>Fee <>Easement <>Contract stipulates that if parcels are not available by contract date, there is only a delay if parcels are not available by the time contractor completes the Segment

• Potential delays in construction schedule





64

Potential need for additional right-of-way beyond that initially envisioned and/or relocation of underground utilities by others, which could result in delays to the schedule and associated costs.

Delay in installation of catenary poles resulting in claims and schedule delay CBOSS FOC conflicts additional costs and delays include: 1. Potholing 2. Design 3. OCS materials 4. Encasement 5. ROW JPB Signal Cable conflicts additional costs and delays include: 1. Trenching 2. Splicing 3. Cable

115

Other capital improvement program projects compete with PCEP for track access allocation and requires design coordination (design, coordination, integration).

Schedule delay as resources are allocated elsewhere, won’t get track time, sequencing requirements may delay PCEP construction, track access requirements must be coordinated.

136

UP may not complete review of BBI design in accordance with agreed deadlines (90 days in Segment 4, 60 days in other segments).

Delays to completion of design and claims for delay.

174 Installation of electrification infrastructure

may require the relocation of signals, which would affect the block design.

Cost and schedule impacts resulting from the design, construction, and testing of modified signal system and review of revised block design.

184 Risk that CBOSS is not in Revenue

Service Demonstration in time for integrated testing.

Schedule delay. Additional costs associated with design revisions necessary to secure Type Approval.

260 EMU Contractor's facility is not

completed before needed for vehicle assembly.

Delay in commencement of assembly of EMUs delaying final delivery and system-wide testing.

261 EMU electromechanical emissions and

track circuit susceptibility are incompatible.

Changes on the EMU and/or signal system require additional design and installation time and expense.

262 Configuration changes from other capital

projects could necessitate changes to electrification design.

Potential increase or decrease in final construction cost for electrification; additional cost for rework of completed construction; delays to overall project schedule due to inefficiencies.

265 PG&E must deliver interim power in time

for testing for Balfour testing Delay in testing and increased costs





277 Inadequate D-B labor to support multiple work segments

Additional cost and time

280

Field equipment installed by D/B contractor may not communicate with the Central Control Facility (CCF), the Back-Up Central Control Facility (BCCF) through SCADA and function as designed.

Could require the acquisition and installation of additional equipment at BCCF and CCF. Could therefore require additional cost and time

285 Potential for inflation, (except with respect to Maintenance Option) to increase contractor costs.

Higher cost

286 Potential for wage escalation, (except for Maintenance Option) to increase contractor costs.

Higher cost

242 JPB's ability to deliver work windows to

contractor as dictated per contract Delays to construction schedule and associated delay claims.

56

Lack of O&M support for testing and/or vehicle operations. Includes operational readiness and personnel hired and scheduled to be trained.

• Testing delayed. • Change order for extended vehicle acceptance.

88 Construction safety program fails to

sufficiently maintain safe performance.

Work stoppages due to safety incidents resulting in schedule delay and additional labor costs.

161 Unanticipated costs to provide alternate

service (bus bridges, etc.) during rail service disruptions.

Cost increase.

179 Risk that municipal reviews take

additional time due to absence of municipal agreement.

Possible delay to: (1) to design review; (2) permit issuance; (3) construction within local jurisdiction right-of-way

183 Installation and design of new duct bank

takes longer because of UP coordination

Schedule - Delay. May need to use condemnation authority to acquire easement. Cost - Additional cost for PG&E to make connections increasing project costs

250 Potential for municipalities to request

betterments as part of the electrification project.

Delay to project schedule in negotiating betterments as part of the construction within municipalities and associated increased cost to the project as no betterments were included in the project budget.





259 Work on 25th Avenue Grade Separation

Project could delay Balfour construction schedule.

• Increased cost for BBI as catenary construction in this section was anticipated to be constructed under the 25th Avenue Grade Separation Project. • Potential delays in construction schedule • Risk is delay to BBI

266

Relocation of Verizon must precede installation of foundations and connections to TPSs. Relocation work will be performed by others and may not be completed to meet BBII’s construction schedule.

Delay in progress of catenary installation resulting in claims and schedule delay

270 OCS poles or structures as designed by Contractor fall outside of JPB row

Additional ROW Take, additional cost and time

82

Unexpected restrictions could affect construction progress: <> night work <> noise <> local roads <> local ordinances

• Reduced production rates. • Delay

119 Coordination of electrification design with

Operations

• Qualified individuals may not be available. • Training may take longer than anticipated.

253

Risk that existing conditions of Caltrans-owned bridges will not support bridge barriers. The existing bridge conditions and structural systems are unknown and may not support mounting new work Design will need to prove new barriers will not impact existing capacity of the bridges prior to Caltrans’ approval for construction. Without approval of design and issuance of permit, there is risk to the schedule for the work and also budget if during design existing bridge will require some upgrades due to the introduction of new attachments.

Delays to issuance of permit for construction while negotiating and executing an operation and maintenance agreement for equipment installed on bridges; existing bridge deficiencies could result in additional costs to PCEP.

78 Need for unanticipated, additional ROW

for new signal enclosures. Delay while procuring ROW and

additional ROW costs.

154

Potential for encountering unidentified or unknown private crossings along the corridor. Could impose unanticipated rights or requirements on the design.

Additional cost and time to acquire ROW by condemnation

171 Electrification facilities could be damaged

during testing. Delay in commencing electrified

operations.





195

Introduction of electrified train service will require training of first responders in working in and around the rail corridor. The new vehicles will be considerably quieter than the existing fleet and the presence of high voltage power lines will require new procedures for emergency response. A new training program will need to be developed and disseminated for: • Fire, police, and first responders • Local communities • Schools

Safety hazards resulting in incidents that delay construction and increase labor cost. Delays in RSD until training is completed as requirement of safety certification process.

251

Subcontractor and supplier performance to meet aggressive schedule <>Potential issue meeting Buy America requirements

Delay to production schedule resulting in increased soft costs and overall project schedule delay.

271 Need for additional construction easements beyond that which has been provided for Contractor proposed access and staging


272 Final design based upon actual Geotech conditions

Could require changes

288 Independent checker finds errors in signal design and technical submittals


289

Coordination and delivery of permanent power for power drops for everything except traction power substations along alignment

Can't test resulting in delays to schedule and associated additional project costs.

291 Order/manufacture of long lead items prior to 100% IFC design document that proves to be incorrect

Design change and/or delays

292 Potential that UPS will not fit in the spaces allotted to communications work within the buildings.

Requisite backup capacity units under design criteria could result in the need for larger unit than originally planned resulting in design and fabrication changes and associated schedule delays and costs.

19

Potential for vehicle delivery to be hampered by international conflict; market disruption; labor strikes at production facility.

Delay in production of vehicle with associated cost implications.

42 Full complement of EMUs not available

upon initiation of electrified revenue service Late delivery impacts revenue service

date.

150

Number of OCS pole installation is significant. Any breakdown in sequencing of operations or coordination of multiple crews will have a substantial effect on the project.

Delay.





245

Failure of BBI to submit quality design and technical submittals in accordance with contract requirements • $3-$5M/month burn rate for Owner’s team during peak

Delays to project schedule and additional costs for preparation and review of submittals.

252 Failure of BBI to order/manufacture long

lead items prior to 100% IFC design document approval by JPB

Delays to project schedule and additional cost for contractor and JPB staff time.

264 Design coordination with other capital

improvement projects is required Rework resulting in cost increases and schedule delays

10 Delays in parts supply chain result in late

completion of vehicles.

• Delay in obtaining parts / components. • Cost increases. (See Owner for allocation of costs) • Schedule increase - 3 months (See Owner for allocation of damages associated with this Risk)

12 Potential for electromagnetic interference

(EMI) to private facilities with sensitive electronic equipment caused by vehicles.

• Increased cost due to mitigation • Potential delay due to public protests or environmental challenge.

50

Leadership and / or key personnel changes with car builder results in delays to completion of design and manufacture of vehicles.

• Cost Increase • Schedule Increase – not supported by a TIA

51 Damage during delivery of first six EMUs. Schedule delay

54 Infrastructure not ready for vehicles

(OCS, TPS, Commissioning site / facility). Increases cost if done off property

69

Potential need for additional construction easements. Especially for access and laydown areas. Contractor could claim project is not constructible and needs more easements after award.

Increased cost Delay

87

Unanticipated HazMat or contaminated hot spots encountered during foundation excavations for poles, TPSS, work at the yards.

Increased cost for clean-up and handling of materials and delay to schedule due to HazMat procedures.

93 Unanticipated subsurface conditions

affecting pole or TPSS installation.

• Delay to take actions to remedy conditions or relocate foundations. • Increased cost for design and construction of remediation





106

Potential that DB contractor will have insufficient field resources (personnel or equipment) to maintain aggressive schedule. Multiple segments will need to be under design simultaneously. Labor pool issue. 32 qualified linemen will be needed. Potential there is not enough available. Big storm damage anywhere in US will draw from the pool to make line repairs. Possible shortages with other specialty crafts as well.

Delay.

146 Wayside signal / pole adjustments to

avoid sighting distance problems. Change order.

148 Potential impact to advancing

construction within the vicinity of any cultural finds that are excavated.

Minor disruption of the construction work

151 Public could raise negative concerns

regarding wheel/rail noise.

Increased cost to mitigate: <> grind rails <> reprofile wheels <> sound walls

182

Compliance with Buy America requirements for 3rd party utility relocations. <>Utility relocations covered under existing Caltrain agreements that require utilities to move that will not have effect on project cost - will not be Buy America <>Installation of new equipment inside PG&E substations that will provide all PG&E customers, about 1/6 of that provides power to our system - is upgrade that benefits all customers subject to Buy America requirements, is it 1/6th, or 100% <>Risk is substation not relocations <>Substation equipment is available domestically, has 6 month longer lead time and increased cost of 20%

• Increased cost • Delay

189 EMUs will need I-ITCS equipment that is

compatible with wayside equipment. Same supplier thereby reducing the risk.

Could drive up price because the car builder may not be a priority customer.





192

Environmental compliance during construction. Failure to meet the commitments contained within the PCEP EA, FEIR and permit conditions

• Delay • Cost increase

237

JPB needs and agreement with each city in which catenary will be strung over an existing grade crossing (17 in all) under GO 88 (grade crossings). These agreements must be executed subsequent to installing overhead catenary. JPB is preparing a response to CPUC while working with the cities. Delays in reaching agreement could have impacts on schedule and budget.

Not completing the grade crossing diagnostics and getting agreement from the cities on the results can result in delays to necessary approvals for the project and revenue service.

248

3rd party coordination <>Jurisdictions, Utilities, UP, Contractors <>D/B needs to provide timely information to facilitate 3rd party coordination <>Risk is for construction

Delays in approvals resulting in project schedule delays and associated costs.

249 Coordination and delivery of permanent

power for power drops along alignment Delays in completion of construction and testing with associated increase in costs.

254 Potential that bridge clearance data are

inaccurate and that clearances are not sufficient for installation of catenary.

Results in additional design and construction to create sufficient clearance.

269

Potholing unearths the fact that pole locations conflict with utilities. OCS pole or structure locations as designed by Contractor conflict with utilities where conflict could have been avoided by allowable final design adjustments.


273

Contractor generates new hazardous materials, necessitates proper removal and disposal of existing hazardous materials identified in the Contract for D-B remediation.

Delay to construction while removing and disposing of hazardous materials resulting in schedule delay, increased construction costs, and schedule delay costs.

274 JPB as-built dwgs and existing infrastructure to be used as basis of final design and construction is not correct

Additional cleanup of as-builts after PCEP construction

275 DB fails to verify as-built dwgs and existing infrastructure

Additional cleanup of as-builts after PCEP construction

278 Failure of D/B contractor and subcontractors and suppliers to meet Buy America requirements

Delays while acceptable materials are procured and additional costs for delays and purchase of duplicative equipment.

282 Failure to maintain dynamic envelope and existing track clearances consistent with requirements.

Redesign entailing cost and schedule impacts.

283 Fluctuation in foreign currency v US dollar Increase in costs





284 Compliance with project labor agreement could result in inefficiencies in staffing of construction.

Increase in labor costs and less efficient construction resulting in schedule delays.

290 Delays in agreement and acceptance of initial VVSC requirements database.

Delay to design acceptance

293 Readiness of 115kV interconnect for temporary power to support testing

Delay in testing



Appendix G – MMRP Status Log December 31, 2017

Appendix G – MMRP Status Log



Appendix G – MMRP Status Log G-1 December 31, 2017

Mitigation Monitoring and Reporting

Mitigation Measure

Mitigation Timing

Status Status Notes

Pre

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AES-2a: Minimize OCS construction activity on residential and park areas outside the Caltrain ROW.

X X Ongoing

The OCS proposed construction schedule has been provided to the JPB. OCS construction began the week of October 2, 2017. The D-B has used the potholing process to assist in locating conflicts in the 35% design and attempting to relocate OCS pole locations within the ROW, thereby avoiding parks and residential areas.

AES-2b: Aesthetic treatments for OCS poles, TPFs in sensitive visual locations, and Overbridge Protection Barriers.

X Ongoing

The design requirements indicated in the measure have been implemented as described, and coordination with the specific jurisdictions regarding pole colors and design, TPFs, and Overbridge Protection Barriers, is ongoing.

AES-4a: Minimize spillover light during nighttime construction.

X Ongoing

OCS construction began the week of October 2, 2017. The BBI community relations lead has notified nearby residents of upcoming construction. During construction, lighting is faced inward, towards the railroad tracks, and any complaints will be documented and addressed by the BBI community relations lead.

AES-4b: Minimize light spillover at TPFs.

X Upcoming The design requirements indicated in the measure are being used in the design process of the TPFs.

AQ-2a: Implement BAAQMD basic and additional construction mitigation measures to reduce construction-related dust.

X X Ongoing

The Dust Mitigation Plan was submitted to the JPB. The requirements in the Dust Mitigation Plan will be implemented throughout the construction period and documented in daily reports.





Mitigation Measure

Mitigation Timing

Status Status Notes

Pre

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AQ-2b: Implement BAAQMD basic and additional construction mitigation measures to control construction-related ROG and NOX emissions.

X X Ongoing

The Equipment Emissions Control Plan was submitted to the JPB. The requirements in the Equipment Emissions Control Plan will be implemented throughout the construction period and documented in daily reports.

AQ-2c: Utilize clean diesel-powered equipment during construction to control construction-related ROG and NOX emissions.

X X Ongoing

The Equipment Emissions Control Plan was submitted to the JPB. The requirements in the Equipment Emissions Control Plan will be implemented throughout the construction period and documented in daily reports.

BIO-1a: Implement general biological impact avoidance measures.

X X Ongoing

Worker Environmental Awareness Training is provided to all project-related personnel before they work on the project. All measures as described will be implemented throughout the construction period and documented in daily reports.

BIO-1b: Implement special-status plant species avoidance and revegetation measures.

X X X Complete

Not applicable. Subsequent habitat assessment and avoidance of Communication Hill eliminated any potential to affect special-status plant species. The measure is not needed.





Mitigation Measure

Mitigation Timing

Status Status Notes

Pre

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BIO-1c: Implement California red-legged frog and San Francisco garter snake avoidance measures.

X X Ongoing

Pre-construction surveys are occurring no more than 7 days prior to the initiation of construction activities nearby/adjacent to potential habitat for CRLF and SFGS. The Wildlife Exclusion Fencing Plan for Segments 2 and 4 was submitted and approved by the wildlife agencies, and installation and monitoring of wildlife exclusion fencing is ongoing. No CRLF / SFGS or sign of each species has been observed to date on the Project. A separate Wildlife Exclusion Fencing Plan will be submitted for Segments 1 and 3, prior to initiation of construction activities in those segments.

BIO-1d: Implement western pond turtle avoidance measures.

X X Ongoing

Pre-construction surveys are occurring no more than 7 days prior to the initiation of construction activities nearby/adjacent to potential habitat for WPT. No WPT or WPT sign have been observed to date on the Project.

BIO-1e: Implement Townsend’s big-eared bat, pallid bat, hoary bat, and fringed myotis avoidance measures.

X X Ongoing

Pre-construction surveys are occurring no more than 7 days prior to the initiation of construction activities with the potential to disturb bats or their habitat. No special-status bats or sign have been observed to date on the Project.





Mitigation Measure

Mitigation Timing

Status Status Notes

Pre

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BIO-1f: Implement western burrowing owl avoidance measures.

X X Ongoing

Protocol surveys for Western Burrowing Owl were conducted from April 2017 through July 2017 at previously identified potentially suitable habitat locations. Note that all of these locations are in Construction Segment 4 (southern Santa Clara and San Jose). No Burrowing Owls were observed during the surveys. Construction in Segment 4 is anticipated to occur in 2018. Prior to construction activities in Segment 4, pre-construction surveys of the potential habitat areas will occur no more than 7 days prior to the onset of construction activities.

BIO-1g: Implement northern harrier, white-tailed kite, American peregrine falcon, saltmarsh common yellowthroat, purple martin, and other nesting bird avoidance measures.

X X Ongoing

Nesting Bird surveys were conducted from February 1 through September 15, 2017 prior to project-related activities with the potential to impact nesting birds. No active nests were observed during this reporting period. Nesting Bird surveys will be initiated again on February 1, 2018.

BIO-1h: Conduct biological resource survey of future contractor-determined staging areas.

X X Ongoing

The agency-approved Qualified Biologist has conducted a survey of the proposed staging area to be used for construction activities currently occurring. No special-status species, or other potentially sensitive biological resources were observed. The agency-approved Qualified Biologist will continue to survey ahead of the initiation of activities at planned staging areas as the Project moves into new construction areas.





Mitigation Measure

Mitigation Timing

Status Status Notes

Pre

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Co

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BIO-1i: Minimize impacts on Monarch butterfly overwintering sites.

X X Ongoing

The agency-approved Qualified Biologist has periodically monitored the project limits to evaluate the presence of Monarch butterfly overwintering sites. No Monarch butterfly overwintering sites have been observed on the Project to date.

BIO-1j: Avoid nesting birds and bats during vegetation maintenance.

X Upcoming To be completed during Project operation.

BIO-2: Implement serpentine bunchgrass avoidance and revegetation measures.

X X X Complete

Not applicable. Subsequent habitat assessment and avoidance of Communication Hill eliminated any potential to affect serpentine bunchgrass. This measure is no longer needed.

BIO-3: Avoid or compensate for impacts on wetlands and waters.

X X X Complete

The JPB has compensated for unavoidable wetland impacts by purchasing adequate credits from a wetlands mitigation bank approved by USACE and SFRWQCB.

BIO-5: Implement Tree Avoidance, Minimization, and Replacement Plan.

X X X Ongoing

Tree removal and pruning activities were initiated in August 2017 under the guidance of the BBI Arborist, and in accordance with the Tree Avoidance, Minimization, and Replacement Plan. Tree Removal and Pruning status is provided to the JPB on a weekly basis.

BIO-6: Pay Santa Clara Valley Habitat Plan land cover fee (if necessary).

X Complete

Not applicable. The SCVHP does not apply to the Project because TPS2, Option 1 was not selected and OCS does not extend to Communication Hill. This measure is not needed.





Mitigation Measure

Mitigation Timing

Status Status Notes

Pre

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CUL-1a: Evaluate and minimize impacts on structural integrity of historic tunnels.

X Upcoming To be implemented prior to construction in tunnels.

CUL-1b: Minimize impacts on historic decorative tunnel material.


CUL-1c: Install project facilities in a way that minimizes impacts on historic tunnel interiors.


CUL-1d: Implement design commitments at historic railroad stations

X Complete

The Qualified Architectural Historian completed and submitted the HABS Level III documents to the JPB for all seven of the historic stations. Pole placement has been designed to minimize the visual impact to historic stations.

CUL-1e: Implement specific tree mitigation considerations at two potentially historic properties and landscape recordation, as necessary.

X X Complete

It was determined that the project is not acquiring any ROW at either of the subject properties so all tree effects would be within the JPB ROW. Therefore, the APE does not include these two historic properties. This measure is no longer needed.





Mitigation Measure

Mitigation Timing

Status Status Notes

Pre

-

Co

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CUL-1f: Implement historic bridge and underpass design requirements.

X Ongoing

This measure is being implemented as described during the design process and will be incorporated into the final design. The four bridges that are included in the MMRP are rail bridges crossing over another feature. Design of the OCS system is taking into account that there are requirements that restrict the design. Thus far, the designs for Construction Segments 2 & 4 are in process and designs are not yet complete. The D-B will forward to the Architectural Historian once complete.

CUL-2a: Conduct an archaeological resource survey and/or monitoring of the removal of pavement or other obstructions to determine if historical resources under CEQA or unique archaeological resources under PRC 21083.2 are present.

X Ongoing

Periodic inspections of ground surface areas along the alignment, in conjunction with cultural monitoring as-needed of project activities in culturally sensitive areas are ongoing. The Archaeological Final Report will be provided at the conclusion of construction activities.

CUL-2b: Conduct exploratory trenching or coring of areas where subsurface project disturbance is planned in those areas with “high” or “very high” potential for buried site.

X Ongoing

Exploratory trenching and subsurface testing of all potentially culturally sensitive areas is occurring prior to the initiation of construction activities in those areas. The results will be included in the Archaeological Final Report. No cultural resources requiring the development of a treatment plan were observed. A Native American monitor has been present for all exploratory trenching and subsurface testing work.





Mitigation Measure

Mitigation Timing

Status Status Notes

Pre

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Co

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CUL-2c: Conduct limited subsurface testing before performing ground-disturbing work within 50 meters of a known archaeological site.

X Ongoing


CUL-2d: Conduct exploratory trenching or coring of areas within the three zones of special sensitivity where subsurface project disturbance is planned.

X Ongoing


CUL-2e: Stop work if cultural resources are encountered during ground-disturbing activities.

X X Ongoing No prehistoric or historic-period cultural materials have been observed during cultural monitoring.

CUL-2f: Conduct archaeological monitoring of ground-disturbing activities in areas as determined by JPB and SHPO.

X Ongoing

Cultural monitoring as-needed of project activities in culturally sensitive areas is ongoing. The Archaeological Final Report will be provided at the conclusion of construction activities.





Mitigation Measure

Mitigation Timing

Status Status Notes

Pre

-

Co

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CUL-3: Comply with state and county procedures for the treatment of human remains discoveries.

X Ongoing No human remains have been observed to date on the Project.

EMF-2: Minimize EMI effects during final design, Monitor EMI effects during testing, commission and operations, and Remediate Substantial Disruption of Sensitive Electrical Equipment.

X X X Ongoing

The design requirements indicated in the measure are being implemented through the final design as described. Designs are submitted and reviewed/commented on by JPB. Monitoring EMI effects will occur post construction.

GEO-1: Perform a site-specific geotechnical study for traction power facilities.

X Ongoing

The design requirements indicated in the measure are being implemented through the final design as described. Geotechnical studies and results are submitted to JPB as completed.

GEO-4a: Identification of expansive soils.

X Ongoing


GEO-4b: Mitigation of expansive soils.

X Ongoing






Mitigation Measure

Mitigation Timing

Status Status Notes

Pre

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HAZ-2a: Conduct a Phase II Environmental Site Assessment prior to construction.

X Complete

A Phase II Environmental Assessment was completed prior to construction by the JPB consultant, and the results were provided to BBI, and the required mitigation is being implemented prior to the initiation of construction activities.

HAZ-2b: Implement engineering controls and best management practices during construction.

X X Ongoing

Field activities are being monitored daily for significant color changes or odors which may indicate contamination.

HYD-1: Implement construction dewatering treatment, if necessary.

X X Ongoing Facilities & BMPs are in place to deal with this requirement should it arise in the OCS foundations.

HYD-4: Minimize floodplain impacts by minimizing new impervious areas for TPFs or relocating these facilities.

X Ongoing

The design requirements indicated in the measure are being implemented through the final design as described. The TPFs in Construction Segments 2 & 4 are currently in design. The design minimizes hardscape only to required structure foundations; yard areas are to receive a pervious material.

HYD-5: Provide for electrical safety at TPFs subject to periodic or potential flooding.

X X Ongoing

The design requirements indicated in the measure are being implemented through the final design as described. The TPFs in Construction Segments 2 & 4 are currently in design. The design plan currently raises the TPFs above the floodplain.





Mitigation Measure

Mitigation Timing

Status Status Notes

Pre

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HYD-7: Implement sea level rise vulnerability assessment and adaptation plan.

X Upcoming This measure has not yet been initiated.

NOI-1a: Implement Construction Noise Control Plan.

X X Ongoing

The Noise and Vibration Control Plan has been submitted and is being implemented. Field activity is monitored per the Plan. If allowable noise levels are near or exceed allowable noise levels, mitigation such as blankets are used from that point forward.

NOI-1b: Conduct site-specific acoustical analysis of ancillary facilities based on the final mechanical equipment and site design and implement noise control treatments where required.

X Ongoing

The design requirements indicated in the measure are being implemented through the final design as described. Design is still in process.

NOI-2a: Implement Construction Vibration Control Plan.

X X Ongoing

The Noise and Vibration Control Plan has been submitted and is being implemented. Field activity is monitored per the Plan.

PSU-8a: Provide continuous coordination with all utility providers.

X X Ongoing

The design requirements indicated in the measure will be implemented through the final design as described. Coordination with utility providers is ongoing and there have not been any service interruptions thus far.





Mitigation Measure

Mitigation Timing

Status Status Notes

Pre

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PSU-8b: Adjust OCS pole foundation locations.

X Ongoing

The design requirements indicated in the measure are being implemented through the final design as described.

PSU-8c: Schedule and notify users about potential service interruptions.

X X Ongoing

The design requirements indicated in the measure are being implemented through the final design as described. There have not been any service interruptions thus far.

PSU-9: Require application of relevant construction mitigation measures to utility relocation and transmission line construction by others.

X X Ongoing

JPB has initiated coordination with PG&E regarding transmission line construction. Construction has not begun.

TRA-1a: Implement Construction Road Traffic Control Plan.

X X Upcoming

The D-B has begun traffic control design and permit applications with the City of Millbrae. Other communities will follow.

TRA-1c: Implement signal optimization and roadway geometry improvements at impacted intersections for the 2020 Project Condition.

X X Upcoming This measure has not started





Mitigation Measure

Mitigation Timing

Status Status Notes

Pre

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TRA-2a: Implement construction railway disruption control plan.

X X Ongoing Minimization of railway disruption is being coordinated by the Site Specific Work Plan.

TRA-3b: In cooperation with the City and County of San Francisco, implement surface pedestrian facility improvements to address the Proposed Project’s additional pedestrian movements at and immediately adjacent to the San Francisco 4th and King Station.

X X X Upcoming This measure has not started.

TRA-4b: Continue to improve bicycle facilities at Caltrain stations and partner with bike share programs where available following guidance in Caltrain‘s Bicycle Access and Parking Plan.

X Upcoming This measure will be implemented during project operation.

NOI-CUMUL-1: Implement a phased program to reduce cumulative train noise along the Caltrain corridor as necessary to address future cumulative noise increases over FTA thresholds


NOI-CUMUL-2: Conduct project-level vibration analysis for Blended System operations and implement vibration reduction measures as necessary and appropriate for the Caltrain corridor

X In Progress

CHSRA is conducting this analysis as part of the EIR/EIS for the San Francisco to San Jose section.





Mitigation Measure

Mitigation Timing

Status Status Notes

Pre

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TRA-CUMUL-1: Implement a phased program to provide traffic improvements to reduce traffic delays near at-grade crossings and Caltrain stations


TRA-CUMUL-2: Implement technical solution to allow electric trolley bus transit across 16th Street without OCS conflicts in cooperation with SFMTA.

X Complete

Not applicable. SFMTA has elected to not electrify the 16th Street crossing. This measure no longer applies.

Mitigation Measure TRA-CUMUL-3: As warranted, Caltrain and freight operators will partner to provide Plate H clearance as feasible between San Jose and Bayshore.


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AGENDA ITEM # 9 FEBRUARY 1, 2018


STAFF REPORT

TO: Joint Powers Board THROUGH: Jim Hartnett Executive Director FROM: Michael Burns Chief Officer, Caltrain Planning/Modernization Program SUBJECT: AUTHORIZE EXECUTION OF SUPPLEMENTAL AGREEMENT NO.4, PACIFIC GAS

AND ELECTRIC (PG&E) PROCUREMENT AND CONSTRUCTION SERVICES FOR PG&E INFRASTRUCTURE BUILD OUTS IN SUPPORT OF THE PENINSULA CORRIDOR ELECTRIFICATION PROJECT (PCEP); AMENDMENT OF SUPPLEMENTAL AGREEMENT NO.2, PG&E OVERSIGHT OF CALTRAIN DESIGN AND CONSTRUCTION OF 115 KV INTERCONNECTIONS; AND AMENDMENT OF SUPPLEMENTAL AGREEMENT NO.5, PG&E INTERIM POWER DESIGN AND CONSTRUCTION SERVICES FOR THE PCEP

ACTION Staff Coordinating Council recommends the Board authorize the Executive Director to:

1. Execute Supplemental Agreement No.4 with Pacific Gas and Electric (PG&E), entitled "PG&E Procurement and Construction Services for PG&E Infrastructure Build Outs"), in an amount not to exceed $82 million. This is the last of five supplemental agreements with PG&E.

2. Execute an amendment of Supplemental Agreement No.2 with PG&E, entitled “PG&E Oversight of Caltrain Design and Construction of 115 kV Interconnections” in the amount of $1.8 million, for a total authorized not-to-exceed amount of $2.8 million.

3. Execute Supplemental Agreement No.5 with PG&E, entitled “Interim Power Design and Construction Services” in support of the Peninsula Corridor Electrification Project (PCEP), in the amount of $1.5 million, for a total authorized not-to-exceed amount of $5.0 million.

SIGNIFICANCE The PCEP will require PG&E to provide power for testing and for future operation of the electrified Caltrain railroad through interconnections between the main Caltrain Traction Power Substations (TPS) in South San Francisco (TPS-1) and in San Jose (TPS-2) and PG&E’s substations at those locations. Based on a System Impact Study performed by PG&E and reviewed by the staff, both

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of the PG&E substations need improvements in order to provide sufficient and reliable power to Caltrain. Improvements to the PG&E substations will be designed and constructed by PG&E. Interconnections between the Caltrain substation and the PG&E substations will be constructed by the PCEP Design-Build Contractor with oversight from PG&E. In April 2016, the Peninsula Corridor Joint Powers Board (JPB) executed a Master Agreement with PG&E, which defines the roles and responsibilities between the JPB and PG&E for work related to the PCEP. The Master Agreement also sets the base terms for five Supplemental Agreements that will be necessary over the duration of the PCEP. In July 2017, the JPB executed Supplemental Agreement No.3 for final design and long lead procurement for the required PG&E substation improvements. During final design, PG&E confirmed the scope of work at both substations, including a change in design at the FMC Substation from a Gas Insulated Switchgear (GIS) configuration to a conventional Air Insulated Switchgear (AIS) configuration. This change will result in potential savings in cost and schedule, as AIS does not have the long procurement lead time required by GIS. Supplemental Agreement No. 4 will allow PG&E to proceed with procurement and construction for the required PG&E substation improvements. The improvements at the PG&E substations include installation of new breakers, switch gears, protective relays, busses, and other substation upgrades, as well as potential relocation of transmission lines. The estimate for Supplemental Agreement No. 4 is a not-to-exceed amount of $82 million. PCEP’s estimated share of this cost is $49.8 million. Supplemental Agreement No. 2, PG&E Oversight of Caltrain Design and Construction of 115 kV Interconnections, and Supplemental Agreement No.5, Interim Power Design and Construction Services, were previously approved by the Board in September 2016 for amounts of $1.0 million and $3.5 million, respectively. An additional $1.8 million is requested for Supplemental Agreement No.2 because the level of effort from PG&E to oversee the design and construction of the interconnections has been greater than anticipated. An additional $1.5 million is required for additional staff and support costs due to the revised schedule for completion of work associated with Supplemental Agreement No. 5. The revised schedule is due to the delay in funding availability during the Federal Transit Administration's Full Funding Grant Agreement process. Work associated with Supplemental Agreement No.5 was delayed or slowed, in order to stay within the available project budget at that time. BUDGET IMPACT The estimated costs of PG&E Supplement Agreement No.4, and Amendments of Supplemental Agreements No.2 and No.5 are as follows:

1. $82 million for PG&E Supplemental Agreement No. 4 2. $1.8 million for Amendment of PG&E Supplemental Agreement No.2

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3. $1.5 million for Amendment of PG&E Supplemental Agreement No.5

The costs associated with the work for Supplemental Agreement No. 4 will be shared by PCEP and PG&E, pursuant to a cost-allocation process and in accordance with applicable cost-allocation regulations promulgated by the California Public Utilities Commission and the Federal Energy Regulatory Commission. PCEP’s estimated share of the cost of Supplemental Agreement No. 4 is $49.8 million (see table below); however, PG&E requires the entire cost of work associated with Supplemental Agreement No. 4 to be paid up front, subject to reimbursement from PG&E. The total cost of these actions, along with previously approved costs for PG&E work performed pursuant to the Master Agreement, will exceed the current PCEP project budget for Private Utilities. Funding will be drawn from the PCEP project contingency as shown below.

BACKGROUND The scope of work to be performed by PG&E for the PCEP is detailed in the following supplemental agreements that have been or will be executed over the duration of the PCEP:

1. Supplemental Agreement No.1: Scoping and Design Services was executed along with the Master Agreement in April 2016 for $900,000. The Board increased the Executive Director’s expenditure authority on Supplemental Agreement No.1 by $2 million in July 2016.

2. Supplemental Agreement No.2: Oversight of Caltrain Design and Construction of 115 kV Interconnections and Environmental Review of PG&E Infrastructure Build Outs was approved by the Board in September 2016 for $1 million.

3. Supplemental Agreement No.3: Final Design Services and Long Lead Material Procurement for PG&E Infrastructure Build Outs was approved by the Board in July of 2017 for $46 million.

Total Scheduled No. Scope Completion

(in $M) % (in $M) Date1 Master Agreement/Scoping & Design Services 0.90 0.90 100% 0.90 Complete

Addendum to Supplemental Agreement #1 2.00 2.00 100% 2.00 Complete2 Oversight of Caltrain Design & Construction of 115kV Interconnections 1.00 1.80 * 2.80 100% 2.80 Dec-193 Final Design Services & Long Lead Material Proc. for PG&E Infrastructure 46.00 46.00 61% 27.95 Jan-194 Procurement & Construction Services for PG&E Infrastructure 82.00 * ** 82.00 61% 49.83 Sep-215 Interim Power Design & Construction Services 3.50 1.50 * 5.00 100% 5.00 Dec-19

Total 135.40 3.30 138.70 88.49 PCEP Budget for Permanent Power Supply 57.22

Required from Contingency 31.26 Required from Allocated Contingency 25.86

Required from Unallocated Contingency 5.40

* Require Board Authorization** Incudes 20% Contingency

PG&E Services to PCEPSummary of Agreements

Share of the CostCost

(in $M)

ProposedAmendment

(in $M)

Supplemental Agreements PCEP's

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4. Supplemental Agreement No.4: Procurement and Construction Services for PG&E Infrastructure Build Outs for $82 million, which is the subject of this staff report.

5. Supplemental Agreement No.5: Interim Power Design and Construction Services for the PCEP was approved by the Board in September 2016 for $3.5 million.

Prepared By: Zhenlin Guan 650.508.7976

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14092295.1

Regularly passed and adopted this 1st day of February, 2018 by the following

vote:

AYES:

NOES:

ABSENT:


ATTEST:

JPB Secretary

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RESOLUTION NO. 2018 –

BOARD OF DIRECTORS, PENINSULA CORRIDOR JOINT POWERS BOARD STATE OF CALIFORNIA

* * *

AUTHORIZING THE EXECUTIVE DIRECTOR TO EXECUTE SUPPLEMENTAL AGREEMENT NO.4 WITH PACIFIC GAS AND ELECTRIC FOR PROCUREMENT AND CONSTRUCTION SERVICES

FOR INFRASTRUCTURE BUILD OUTS IN SUPPORT OF THE PENINSULA CORRIDOR ELECTRIFICATION PROJECT, AUTHORIZING AMENDMENT OF SUPPLEMENTAL AGREEMENT

NO.2 WITH PACIFIC GAS AND ELECTRIC FOR OVERSIGHT OF CALTRAIN DESIGN AND CONSTRUCTION OF 115 KV INTERCONNECTIONS, AND AUTHORIZING AMENDMENT OF

SUPPLEMENTAL AGREEMENT NO.5 WITH PACIFIC GAS AND ELECTRIC FOR INTERIM POWER DESIGN AND CONSTRUCTION SERVICES

FOR THE PENINSULA CORRIDOR ELECTRIFICATION PROJECT

WHEREAS, on January 8, 2015, pursuant to Resolution No. 2015-03, the Peninsula

Corridor Joint Powers Board (JPB) certified a Final Environmental Impact Report (FEIR)

for the Peninsula Corridor Electrification Project (PCEP) and approved the PCEP; and

WHEREAS, implementation of the PCEP will require connection and support

infrastructure from Pacific Gas and Electric Company (PG&E); and

WHEREAS, in April 2016, the JPB executed a Master Agreement with PG&E to

govern PG&E services in connection with the PCEP, as set forth in a series of

supplemental agreements; and

WHEREAS, pursuant to Resolution No. 2015-51, the JPB executed Supplemental

Agreement No.1, entitled "Scoping and Design Services," for an amount not to exceed

$900,000, which amount was subsequently increased by $2 million pursuant to

Resolution 2016-41; and

WHEREAS, pursuant to Resolution Nos. 2016-50 and 2016-51, the JPB executed

Supplemental Agreement No.2, entitled "PG&E Oversight of Caltrain Design and

Construction of 115 kV Interconnections and Environmental Review of PG&E

Infrastructure Build Outs," and Supplemental Agreement No.5, entitled "Interim Power

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Design and Construction Services," in the not-to-exceed amounts of $1 million and $3.5

million, respectively; and

WHEREAS, pursuant to Resolution 2017-33, the JPB executed Supplemental

Agreement No.3, entitled "Final Design Services and Long Lead Material Procurement

for PG&E Infrastructure Build Outs," in an amount not to exceed $46 million; and

WHEREAS, the JPB now desires to execute Supplemental Agreement No.4,

entitled "PG&E Procurement and Construction Services for PG&E Infrastructure Build

Outs," which will allow PG&E to proceed with procurement and construction for the

required PG&E substation improvements, which improvements are required in order for

PG&E to provide sufficient and reliable power to Caltrain; and

WHEREAS, the Staff Coordinating Council recommends and the Executive

Director concurs that the Board of Directors (Board) authorize execution of

Supplemental Agreement No. 4 in an amount not to exceed $82 million; and

WHEREAS, the Supplemental Agreement No. 2 level of effort from PG&E required

to oversee the design and construction of the interconnections has been greater than

anticipated; and

WHEREAS, as a result of delays caused by the Federal Transit Administration's Full

Funding Grant Agreement process, work associated with Supplemental Agreement

No.5 was delayed or slowed down, requiring additional staff and support costs to

support the extension in schedule for the completion of work associated with those

Supplemental Agreements; and

WHEREAS, the Staff Coordinating Council recommends and the Executive

Director concurs that the Board also authorize an amendment of Supplemental

Agreement No.2, in the amount of $1.8 million, for a total authorized not-to-exceed

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amount of $2.8 million, and an amendment of Supplemental Agreement No.5, in the

amount of $1.5 million, for a total authorized not-to-exceed amount of $5.0 million.

NOW, THEREFORE, BE IT RESOLVED that the Board of Directors of the Peninsula

Corridor Joint Powers Board authorizes the Executive Director to execute Supplemental

Agreement No. 4: PG&E Procurement and Construction Services for PG&E Infrastructure

Build Outs In Support of the PCEP in an amount not to exceed $82 million, with the

understanding that the JPB's proportionate share of Supplemental Agreement No. 4

costs is estimated at $49.8 million and the remainder of the $82 million will be subject to

reimbursement by PG&E; and

BE IT FURTHER RESOLVED that the Board authorizes an amendment of

Supplemental Agreement No.2, in the amount of $1.8 million, for a total authorized not-

to-exceed amount of $2.8 million; and

BE IT FURTHER RESOLVED that the Board authorizes an amendment of

Supplemental Agreement No.5, in the amount of $1.5 million, for a total authorized not–

to-exceed amount of $5.0 million.

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Regularly passed and adopted this 1st day of February, 2018 by the following vote:

AYES:

NOES:

ABSENT:


ATTEST:

JPB Secretary

of 1



TO: Joint Powers Board THROUGH: Jim Hartnett Executive Director FROM: Derek Hansel Seamus Murphy Chief Financial Officer Chief Communications Officer SUBJECT: CALTRAIN MOBILE TICKETING UPDATE ACTION This report is for information only. No Board action is required.

SIGNIFICANCE A mobile ticketing solution for Caltrain riders will provide riders with an alternative fare media purchase method to the aging ticket vending machines (TVMs) at Caltrain stations. It will also enhance the convenience of using the service and improve the overall customer experience for Caltrain riders that would otherwise depend on purchasing fares at the TVMs. The application will offer One-way, Day Pass and Zone Upgrade tickets for adults and passengers that qualify for discounted fare. The discounted fare is 50 percent of the adult fare and is available to seniors, youth, disabled riders and Medicare cardholders.

The Ticketing App will support iOS and Android operating systems and will accept major credit and debit cards. Mobile ticket prices are the same as the paper tickets currently offered at the TVMs.

Future features of the application will include daily parking and trip planning. BUDGET IMPACT There is no impact on the budget.

BACKGROUND A contract for development of a mobile ticketing solution was awarded in January 2017 to moovel North America, LLC. The funding source for the development and implementation of the solution is the Caltrain Operations Budget from FY 2017. Approximately 24 percent of Caltrain customers use One-way or Day Pass, according to the survey conducted in June 2017. These ticket options are most commonly used by occasional riders, weekend riders, and passengers on special event service.

Currently, moovel is also the mobile ticketing provider for the San Francisco Municipal Transportation Agency and the Santa Clara Valley Transportation Authority. Project Manager: Christiane Kwok, Manager, Market Research and Development 650.508.7926

14093484.2

AGENDA ITEM #11 FEBRUARY 1, 2018


TO: Joint Powers Board

THROUGH: Jim Hartnett Executive Director

FROM: April Chan Michelle Bouchard Chief Officer, Planning, Chief Operating Officer, Rail

Grants and Transportation Authority SUBJECT: AGREEMENT WITH PG&E FOR RELOCATION OF PIPELINE AS REQUIRED FOR

THE 25TH AVENUE GRADE SEPARATION PROJECT ACTION Staff Coordinating Council recommends the Board authorize the Executive Director, or his designee, to execute an agreement with Pacific Gas and Electric Company (PG&E) for relocation of its 24-inch high pressure gas transmission pipeline to S. Delaware Street in support of the 25th Avenue Grade Separation Project (Project) in the City of San Mateo (City) at a cost of $18 million.

SIGNIFICANCE During the design phase of the Project, it was determined that a PG&E 24-inch high pressure gas pipeline, located within the Project area, would need to be relocated from its current location within the Peninsula Corridor Joint Powers Board (JPB) right of way (ROW) to S. Delaware Street, within the City's ROW. PG&E obtained easement rights to locate the pipeline at its current location via eminent domain from Southern Pacific Railroad, prior to the JPB's acquisition of its ROW. The easement contains no provision requiring PG&E to fund any future pipeline relocation. Accordingly, the Project must bear the costs for this Project-related relocation, estimated to be $18 million, including a 20 percent contingency. Staff has reviewed the cost estimate and concluded it is reasonable. BUDGET IMPACT There is no budget impact associated with this action. The current Project budget of $165 million includes funding to complete the utility relocation contemplated in this agreement.

BACKGROUND The JPB serves as project lead for the Project, which is sponsored by the City. The Project is funded by the San Mateo County Transportation Authority, the City, the California Department of Transportation and the California High Speed Rail Authority. The Project is anticipated to be complete by March 2020. Prepared by: Simson Chan, Project Manager 650.622.7852

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14094952.1

RESOLUTION NO. 2018-


* * *

AUTHORIZATION FOR THE EXECUTIVE DIRECTOR TO EXECUTE AN AGREEMENT

WITH PG&E FOR RELOCATION OF A PIPELINE AS REQUIRED FOR THE 25th AVENUE GRADE SEPARATION PROJECT

WHEREAS, the Peninsula Corridor Joint Powers Board (JPB) serves as project lead

for the 25th Avenue Grade Separation Project (Project); and

WHEREAS, the Project is sponsored by the City of San Mateo (City) and;

WHEREAS, the Project will raise the Caltrain tracks in San Mateo to create new

grade-separated crossings as 25th, 28th and 31st avenues, and construct a new elevated

Hillsdale Station; and

WHEREAS, during the design phase of the Project, it was determined that a

Pacific Gas and Electric Company (PG&E) 24-inch high pressure gas transmission

pipeline located within JPB right of way (ROW) would need to be relocated due to

construction of the grade separation project; and

WHEREAS, the Project is responsible for the cost of relocating the pipeline

because PG&E's easement, obtained prior to the JPB's acquisition of the ROW, does not

require PG&E to pay for future pipeline relocations; and

WHEREAS, the PG&E pipeline will be relocated outside of the JPB ROW and, after

the relocation, PG&E will release its easement rights within the JPB ROW; and

WHEREAS, the pipeline relocation is expected to cost $18 million; and

WHEREAS, the Project budget includes sufficient funds for utility relocations to

cover the cost associated with this agreement.

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14094952.1


Corridor Joint Powers Board hereby authorizes the Executive Director, or his designee,

to:

1. Execute an agreement, and any required amendments, with PG&E to

relocate its 24 inch high pressure gas transmission pipeline to S. Delaware Street,

pursuant to the terms and conditions set forth above; and

2. Take any other action necessary to give effect to this resolution.

Regularly passed and adopted this 1st day of February, 2018 by the following vote:

AYES:

NOES:

ABSENT: ___________________________________________________ Chair, Peninsula Corridor Joint Powers Board ATTEST: ___________________________________ JPB Secretary

of 3 14094134.2

AGENDA ITEM #12 FEBRUARY 1, 2018


STAFF REPORT

TO: Joint Powers Board THROUGH: Jim Hartnett Executive Director FROM: Deputy General Manager Carter Mau SUBJECT: APPROVAL AND AMENDMENT OF COUNTY LAW ENFORCEMENT AND

COMMUNICATION SERVICES AGREEMENTS ACTION Staff Coordinating Council recommends the Board:

1. Authorize the Executive Director, or his designee, to amend the Law Enforcement Services Agreement between the San Mateo County Transit District (District), the Peninsula Corridor Joint Powers Board (JPB) and the County of San Mateo (County) for law enforcement services, extending the term through June 30, 2019, and making adjustments to the scope of services and payment provisions, for an estimated amount of $5,449,124 through June 30, 2019, with the understanding that the JPB's proportional share for the costs of services is estimated at $4,250,317 and the balance of the costs will be paid by the District;

2. Authorize the Executive Director or his designee to execute a Communication

Services Agreement between the District, the JPB and the County for police communications services for an estimated amount of $417,415 through June 30, 2020, with the understanding that the JPB's proportional share for the costs of services is estimated at $325,584 and the balance of the costs will be paid by the District;

3. Authorize the Executive Director or his designee to take such further actions as may

be required.

SIGNIFICANCE Board of Directors approval is sought to amend the existing Law Enforcement Services Agreement with the San Mateo County Sheriff’s Office. The amendment will unbundle costs for the County 911 Communication Center call dispatch services, which are handled by San Mateo County, not the Sheriff’s office. The Law Enforcement Services Agreement was awarded in August, 2015 for a three year base term, with two one-year options. In addition to amending the Law

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Enforcement Services Agreement to unbundle the dispatch services, staff recommends exercising the first of the one-year option terms to provide services for Fiscal Year (FY) 2019, at an estimated cost of $4,250,317 with an annual cost increase cap of 3 percent. If it is determined to be in the JPB’s best interests, Staff will return to the Board at a later date to recommend the exercise of the final option year of the Law Enforcement Services Agreement. To unbundle the County 911 services, staff also has negotiated a Communication Services Agreement that will run concurrently with the Law Enforcement Services Agreement through FY2019, at an estimated cost of $160,385 for FY2019 and $165,198 for FY2020. The Communication Services Agreement will have a 3 percent annual cost increase cap. BUDGET IMPACT The original Law Enforcement Services Agreement combined services of both the Sheriff’s Department and the County 911 Communications Center for a three-year base term with a total contract capacity of $15,333,925. The cost of these services for FY2019 is $5,449,124, which is shared between the JPB and the District. The JPB's share of this FY2019 cost is $4,250,317. The cost associated with the Communication Services Agreement, inclusive of the 3 percent annual cost increase, is $325,584 through June 30, 2020. BACKGROUND In 2004, the District, on its behalf and on behalf of the JPB, entered into an agreement with the County for the provision of law enforcement services and related communications services for both bus operations and rail operations, with the JPB and District providing proportionate funding for the services provided to each respective agency. In 2015, for a variety of reasons, including efficiency of operations, comprehensiveness of services and ease in administration of the agreement, the Law Enforcement Services Agreement between the District and the County was changed to include the JPB as a separate party. The agreement was authorized by the Boards of Directors of both the JPB and the District, and costs of services were separated out with the JPB paying 78 percent of the total costs and the District paying 22 percent.

The JPB’s cost-share is higher than the District's because of the highly specialized nature of the rail response services, requiring significantly more of the County’s law enforcement services than the bus operations, as well as the broader geographical area the County covers for Caltrain.

Under the Law Enforcement Services Agreement, the County coordinates all requests for police service, collision investigations, police reports and similar functions. Benefits to the JPB include explosive-detecting K 9 units, crime scene investigation and criminal forensics, coroner’s services, and backup personnel as required.

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The Law Enforcement Services Agreement’s three-year base term, from August 2015-August 2018, originally included communication services. However, 911 call centers are now handled by the County, thus those services will now be provided pursuant to the new Communication Services Agreement.

The amended Law Enforcement Services Agreement and new Communication Services Agreement are the result of negotiations between Staff, the County of San Mateo Communications Center and the San Mateo County Sheriff. Prepared By: W. P. Grizard 650.622.7856 Project Manager: W. P. Grizard

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14094115.2

RESOLUTION NO. 2018 –


* * *

AUTHORIZING AMENDMENT OF AN AGREEMENT WITH THE COUNTY OF SAN MATEO FOR LAW ENFORCEMENT SERVICES AND EXECUTION OF AN AGREEMENT WITH THE COUNTY OF

SAN MATEO FOR RELATED COMMUNICATIONS SERVICES FOR AN AGGREGATE ESTIMATED AMOUNT OF $4,575,901

WHEREAS, in 2004, the San Mateo County Transit District (District), on its behalf

and on behalf of the Peninsula Corridor Joint Powers Board (JPB)(collectively

"Agencies"), entered into an agreement with the County of San Mateo (County) for the

provision of law enforcement services and related communications services for both

bus operations and rail operations, with the JPB and District providing proportionate

funding for the services provided to its respective agency; and

WHEREAS, in 2015, for a variety of reasons, including efficiency of operations,

comprehensiveness of services and ease in administration of the agreement, a single

contract (Law Enforcement Services Agreement) between the District, the County and

the JPB was authorized by the JPB's and District's respective Boards of Directors, with the

JPB paying 78 percent of the total costs and the District paying 22 percent, for services

provided; and

WHEREAS, the base term of the Law Enforcement Services Agreement is set to

expire on May 31, 2018, and the Agencies have the option to extend the contract term

for two additional one-year periods; and

WHEREAS, the Agencies desire that the County continue to provide these

essential services; and

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14094115.2

WHEREAS, the Law Enforcement Services Agreement currently includes the

provision of public safety dispatch services; however, because those services are

provided by the County and not the office of the Sheriff, the Parties have agreed to

remove the public safety dispatch services scope of work from the Law Enforcement

Services Agreement and execute a separate agreement with the County for such

public safety dispatch services (Communication Services Agreement); and

WHEREAS, the Communication Services Agreement will terminate at the same

time as the Law Enforcement Services Agreement, should the second option term of

the Law Enforcement Services Agreement be exercised by the Agencies (through June

30, 2020); and

WHEREAS, the costs for services under the Communication Services Agreement

will be shared proportionately between the Agencies; and

WHEREAS, the Staff Coordinating Council recommends that the Board authorize

amendment of the Law Enforcement Services Agreement, exercising the first one-year

option term to extend the Agreement through June 30, 2019, and making adjustments

to the scope of services and payment provisions, with costs to be based on actual costs

to the County to provide the services, in an estimated amount $5,449,124 through June

30, 2019, with the understanding that the JPB's proportional share for the costs of

services during the extension term is estimated at $4,250,317 with the balance of the

costs to be paid by the District; and

WHEREAS, the Staff Coordinating Council also recommends that the Board

authorize execution of the Communication Services Agreement, with costs to be based

on actual costs to the County to provide the services, in an estimated amount of

$417,415 through June 30, 2020, with the understanding that the JPB's proportional share

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14094115.2

for the costs of services during the contract term is estimated at $325,584, with the

balance of the costs to be paid by the District.


Corridor Joint Powers Board hereby:

1. Authorizes the Executive Director, or his designee, to amend the Law

Enforcement Services Agreement between the District, the JPB and the County for law

enforcement services, extending the term through June 30, 2019, for an estimated

amount of $5,449,124 through June 30, 2019, with the understanding that the JPB's

proportional share for the costs of services is estimated at $4,250,317 and the balance

of the costs will be paid by the District;

2. Authorizes the Executive Director, or his designee, to execute the

Communication Services Agreement between the District, the JPB and the County for

police communications services for an estimated amount of $417,415 through June 30,

2020, with the understanding that the JPB's proportional share for the costs of services is

estimated at $325,584 and the balance of the costs will be paid by the District; and

3. Authorizes the Executive Director, or his designee, to take such further actions

as may be required to give effect to this Resolution.

Regularly passed and adopted this 1st day of February, 2018 by the following

vote:

AYES:

NOES:

ABSENT:


ATTEST:

JPB Secretary



TO: Joint Powers Board THROUGH: Jim Hartnett

Executive Director

FROM: Michelle Bouchard, Chief Operating Officer, Caltrain

SUBJECT: CALTRAIN BUSINESS PLAN - FINAL BUSINESS STRATEGY AND SCOPE ACTION Staff Coordinating Council recommends the Board adopt the Business Strategy Principles and Caltrain Business Plan Scope of Work SIGNIFICANCE In December of 2017 Caltrain staff presented the Board with two documents for their initial review;

• A set of draft policy principles comprising a “Business Strategy” that will help guide the further development of the Caltrain Business Plan

• A draft Scope of Work that describes the tasks and technical analysis required to complete the Caltrain Business Plan

Staff received comments from the Board at their December meeting and through subsequent stakeholder outreach conducted during the months of December and January. Caltrain staff has refined the Business Strategy and Scope documents based on this feedback and now presents the attached draft final documents for proposed adoption by the Board. The Board’s adoption of the “Business Strategy” and Scope would launch “phase 2” of the Caltrain Business Plan. Following the Board’s adoption of the “Business Strategy” and Business Plan Scope, the Business Plan would take approximately one year to complete. The schedule for proposed Board updates and action is shown below:

● February 2018: Proposed Board Action- adopt the “Business Strategy” policy principles and the Scope of Work for the Business Plan (Attachments 1 and 2).

● Spring 2018: Proposed Board informational update on Tasks 1 and 2 from the Scope of Work. The Board will be presented with analysis of potential markets and strategic opportunities for rail service on the Peninsula Corridor out to 2040 (Task 1) Staff will also present the specific Service Vision scenarios that are being

evaluated for how the Caltrain service and corridor could grow between 2022 and 2040 (Task 2A). Finally, staff will report on preliminary findings regarding a structural assessment of the Caltrain organization as well as a preliminary analysis of the community benefits, impacts and interface related to the development and evolution of the railroad (Tasks 2B and 2C).

● Summer 2018: o Proposed Board Action: Adopt a long range “Service Vision” for the

Caltrain corridor including number of trains per hour, mix of express and local services, stopping patterns and desired connectivity to the regional, interregional and state rail network. The Service Vision will define:

▪ A pathway of incremental, interim steps and timeframes to evolve from current service levels to the 2040 Service Vision, and

▪ Preliminary performance targets for Caltrain service including ridership, service characteristics, costs and revenues.

o Proposed Board Action: The Board will be presented with analyses that show how the Service Vision will drive infrastructure needs in the corridor and how these needs will influence other plans and projects throughout the region. The Board may then choose to direct Caltrain staff to use the Service Vision as the planning basis for engaging with other local, regional and state projects going forward.

o Proposed Board Action: The Board will be presented with analyses from

Task 2B showing how the Caltrain organization currently functions and review comparative examples of organizational structures used by railways elsewhere. The Board may then choose to direct staff to develop an “organizational strategy” that shows options for how the Caltrain organization could evolve (in coordination with input and direction from the JPB partners) to support the 2040 Service Vision.

o Proposed Board Action: Finally, the Board will be presented with analysis

from Task 2C describing how Caltrain’s service creates both benefits and impacts in its surrounding communities. The Board may then choose to direct staff to develop a “community interface strategy” that shows how Caltrain can work with partner jurisdictions and agencies to maximize community benefits and minimize impacts as the Service Vision is implemented over time.

● Fall 2018: Proposed Board informational update on Tasks 3 and 4 from the Scope

of Work. The Board will be presented with additional technical analysis and refinements made to the “Service Vision” and will have the opportunity to provide input on any changed assumptions or new issues that have been identified through subsequent technical analysis. The Board will also be

presented with analysis showing how first- and last-mile considerations, fare policy and joint development opportunities are being integrated into the Business Plan (Task 3). Additionally the Board will receive updates on the development of an Organizational Strategy and a Community Interface Strategy and will have the opportunity to provide further direction (Task 3). Finally, the Board will receive preliminary information about the funding strategy underlying Business Plan (Task 4).

● End of 2018: The Board will be presented with the completed analyses from Tasks 3 and 4 as well as a draft Business Plan document and may then choose to take the following actions:

o Proposed Board Action: Adopt a detailed, refined and optimized Business Plan that includes a year-to-year description of how service in the corridor will grow and change to achieve the 2040 Vision.

▪ The plan will run through 2040 but will include a greater level of detail for the 2022-2032 period.

▪ The Business Plan will identify the timing and nature of required infrastructure projects and fleet purchases along with capital and operating cost projections and targets.

▪ The Business Plan will include refined revenue and ridership projections and targets.

▪ The Business Plan will incorporate planning, policy and business recommendations related to improved customer amenities, fares and ticketing, first- and last-mile connections, and the development of Caltrain owned property. These recommendations will be coordinated with and based on ongoing planning work.

▪ The Business Plan will include a full funding strategy and a defined implementation program

o Proposed Board Action: Review the Organizational Strategy prepared by staff and recommend next steps in conjunction with input from Caltrain’s partners

o Proposed Board Action: Review the Community Interface Strategy prepared by staff and recommend next steps in conjunction with input from Caltrain’s partners and local jurisdictions

BUDGET IMPACT There is no impact on the budget at this time. As additional funding for the Business Plan effort is secured staff will return to the Board with any associated funding agreements or required budget amendments. BACKGROUND In 2017 Caltrain secured full funding for the Peninsula Corridor Electrification Project and issued notices to proceed to its contractors. Now that construction on this long-awaited

project has begun, the agency has the opportunity to articulate a long term business strategy for the future of the system. The initial concept for a Caltrain “Business Plan” was brought to the Board in April of 2017 and the Board was provided with a subsequent written update in July of 2017. The Board formed an Ad-Hoc Subcommittee to focus on the Business Plan in August of 2017.

Since that time staff has engaged with corridor stakeholders to discuss the future of the railroad. These interactions culminated in September 2017 with an all-day stakeholder workshop focused on the “future of Caltrain.”

The workshop was attended by: general managers and staff from Caltrain’s funding partners and peer agencies, state officials, city councilmembers, and members of the business and advocacy communities. The workshop was also attended by the four Caltrain Board members who comprise the Caltrain Business Plan Ad-Hoc Committee. Participants were asked to envision the future they wanted for the railroad and to consider the challenges and obstacles that might stall or prevent the realization of that vision.

Following the workshop staff has worked to develop a technical scope of work for the Business Plan that responds to the issues and ideas raised. Staff has also continued conversations with corridor stakeholders to raise awareness of the Business Plan effort. Notable outreach has included discussion with local, state and federal elected officials.

Prepared by: Sebastian Petty, Senior Policy Advisor 650.622.7831

Attachment 1: Proposed Caltrain “Business Strategy” Policy Principles

The following broad principles have been developed based on stakeholder outreach conducted during Phase 1 of the Business Plan. They are proposed for Board adoption as policy principles that will be used to guide the development of the Caltrain Business Plan:

• The JPB is the owner and managing authority for the Peninsula Corridor between San Francisco and San Jose and is responsible for the delivery of the Caltrain passenger rail service operating between San Francisco and Gilroy. Under the direction of the JPB, the Caltrain organization exists to deliver the Caltrain rail service, as well as the assets, infrastructure and ancillary activities that are required to support the both the delivery of the Caltrain service and the overall operation of the Peninsula Corridor.

• Today Caltrain is a commuter rail service that primarily serves weekday commuters and special event attendees. After electrification, the JPB will face choices about how best to expand and tailor the Caltrain service to support a much broader range of mobility markets. The primary task of the Business Plan is to aid in the selection of a detailed, achievable Service Vision for Caltrain that provides maximum value to its customers. The development of this Service Vision will require an understanding of the near-, medium and long term market for rail service in and beyond the corridor and an analysis of the different service approaches that could satisfy these demands. A “business case” approach to the analysis of service options will allow ridership and other mobility benefits to be weighed against costs and infrastructure requirements.

• The Peninsula Corridor has a complex interface with the communities it traverses. The implementation of new services and infrastructure on the corridor will create a range of community benefits, opportunities and impacts. The Business Plan can address this reality by exploring economic, policy and technical approaches that will allow the JPB to strategically and equitably manage the corridor’s interface with communities in a way that minimizes impacts, generates value, and supports the Service Vision.

• Finally, the selection of a Service Vision will influence how the Caltrain organization evolves over time. Caltrain’s organizational, governance, and commercial and contracting strategies will be evaluated as part of a comprehensive structural assessment of what is needed to deliver value and support the long term success of the Service Vision.

Attachment 2: Draft Business Plan Scope of Work

Background: The following pages present a high level draft scope of work for the Caltrain Business Plan along with a description of outreach plans, project management structure, budget and potential funding sources. The scope and project management portions of this document are presented for review and comment and will ultimately be proposed for Board adoption. The scope has been written at a level of detail that describes the general organization, purpose and proposed outputs of individual project tasks while leaving flexibility to accommodate a range of detailed technical approaches and adaptation based on changing project needs and expert input. Subsequent to adoption, staff will return to the Board if a material deviation from the scope is anticipated or requested.

More detailed technical work scopes for individual tasks and plan components will be developed and provided to the JPB’s Caltrain Business Plan Ad Hoc committee for their review and comment throughout the Business Plan process.

This scope assumes a year-long schedule for the development of the Business Plan running through the end of 2018. This schedule is aggressive and reflects Caltrain’s commitment to comprehensively address important questions and issues related to the future of the railroad in a timely manner. Caltrain may elect to extend the duration of the Business Plan process based on the evolution of the plan’s technical work, resourcing needs, or stakeholder requests. Any recommendation to modify the overall schedule of the Business Plan will be undertaken in consultation with the Business Plan Ad Hoc Committee.

Task 1- The “Strategic Case” for Caltrain

Rail infrastructure investments have decades-long lifespans and the Business Plan will have a long range outlook. The Plan will begin by defining the potential markets and strategic opportunities for rail service on the Peninsula Corridor through 2040 (a horizon year that is consistent with the California State Rail Plan and the Regional Transportation Plan).

The “Strategic Case” for Caltrain will present an analysis of current and projected demographic, economic development and travel pattern trends in the corridor, region and mega-region. In doing so it will frame the strategic importance of the Caltrain corridor and its role in supporting the long term growth and mobility of the region. The “Strategic Case” will also consider Caltrain’s “competitors” including the ability of the Bay Area’s freeway network to accommodate projected growth in travel demand as well as a discussion of how autonomous vehicles and other emerging technologies might shape Caltrain’s long term market outlook and business approach.

Finally, in addition to defining the strategic importance of the corridor and reviewing local and regional market opportunities, the Strategic Case will also contextualize the long term development potential of the Caltrain corridor relative to other, comparable national and international rail corridors.

Task 2A - Service Business Case Analysis

Task 2A will involve the development of multiple “scenarios” or “evolutionary paths” showing how the Caltrain service and corridor could grow between 2022 and 2040. The work will start with operational analysis to understand how many trains per hour could run on the corridor in 2040, how local and express services could be balanced, where trains could stop and how they could connect to a larger

state and megaregional rail network. This operational analysis will pay particular attention to the blending of Caltrain service with High Speed Rail service as well as the operations and infrastructure outcomes at the North Terminal (4th & King and DTX/ TTC), a potential Dumbarton rail interface at Redwood City, at the South Terminal (including San Jose Diridon Station) and in the southern portion of the corridor stretching from San Jose to Gilroy.

From there, the project team will analyze the range of ridership and benefits associated with each service scenario, the infrastructure and fleet that would be required to deliver the service, and the kinds of costs and impacts the service would create. Finally, the team will analyze the incremental service steps and infrastructure investments that make up different “evolutionary paths” for how Caltrain could grow over time from its current service, through electrification and into each of the ultimate 2040 scenarios contemplated. This full set of analysis will be used to develop “Business Cases” around each scenario, laying out the cumulative set of costs and benefits associated with each “evolutionary path” that Caltrain could take. In the summer of 2018 staff will present this analysis to the Board to aid in the selection of a single (or non-exclusive combination of) service scenarios as the basis for a “Service Vision.”

Task 2B – Organizational Assessment

In parallel to Task 2A the technical team will also work on Task 2B; a structural assessment of the “Caltrain Organization.” Within the context of the Business Plan the term “Caltrain Organization” is used broadly to encompass the total set of present and future governance structures, organizations, staff and contracted entities responsible for the funding, direction and delivery of the Caltrain service as well as the construction and maintenance of the corridor’s facilities.

Within Task 2B, the technical team will map the existing Caltrain organization and identify key performance indicators and measures to help describe and quantify how the Caltrain organization functions and its effectiveness at delivering value for money spent. The plan will then include a comparative analysis of peer railways and organizations both locally, domestically and internationally, reviewing alternative approaches to how a railway can be organized. Finally, Task 2B will include a high level analysis of how organizational needs may change in tandem with the long rang service scenarios under consideration in Task 2A. This information will be presented to Caltrain’s partners and the Board in the summer of 2018 with a request that they provide feedback on the subsequent development of options for an “Organizational Strategy” that could support the delivery of the Service Vision.

Task 2C – Community Interface Assessment

Along with Tasks 2A and 2B, the technical team will also conduct an analysis of the railroad’s community interface and an assessment of equity considerations related to the development and evolution of the railroad. Much as in the preceding tasks, the focus of Task 2C will be the development of an analytical and policy framework that assists staff and stakeholders in understanding and quantifying issues related to community interface and equity considerations. This work will include a description and quantified framework for thinking about the major ways in which the railroad and its services add value to

individual communities and the region as a whole including improved environmental outcomes and impacts to land values. The project team will also document and quantify the ways in which the railroad creates externalized costs and impacts in its surrounding communities including noise and vibration and safety and traffic impacts at at-grade crossings. In documenting these benefits and impacts the project team will specifically consider equity issues- focusing on the potential for different geographies or demographic groups to be affected unequally as the railroad changes and grows. Finally, the project team will consider and conduct more detailed analysis related to two major known community interface issues; the impacts of increased rail service on at-grade crossings and the potential for development and change at specific Caltrain land holdings and opportunity sites along the corridor. This information will be presented to Caltrain’s partners, local jurisdictions and the Board in the summer of 2018 with a request that they provide feedback on the subsequent development of a “Community Interface Strategy” that could support the delivery of the Service Vision.

Task 3- Developing the Business Plan

Based on the Board’s adoption of a long range Service Vision in the summer of 2018, the project team will work to translate the Vision into a focused, long range business plan that will be presented to the Board for review and proposed adoption at the end of the year. The technical scope for the second half of the business plan is necessarily looser at this early stage in the project but will include the core elements described below.

First, the project team will conduct additional technical work and modeling to optimize, validate and add detail to the adopted Service Vision. Additional operational and infrastructure analysis will be employed to help the Board further consider the incremental options for growing the railroad over time along with the service trade-offs and investments that may be required. Further financial and ridership modeling will also be conducted to validate the costs, revenues and benefits of specific investments in the Caltrain corridor and service. This analysis will place a particular focus on the investments and strategies that can be employed to optimize the first 10-years of the electrified system’s operation. In seeking to optimize the overall “business case” for Caltrain service, the project team will also expand the range of issues considered. The team will review ancillary business strategies and options to generate revenue and add customer value and will incorporate ongoing planning work related to first- and last-mile connections and joint development as well fares and retailing strategies into the analysis of service benefits and financial performance.

The technical team will also develop an “organizational strategy” based on the Board’s mid-year feedback and ongoing input from Caltrain partner agencies. This strategy may include analysis and recommendations related to potential options for how the Caltrain organization could change and grow in conjunction with the evolution of Caltrain’s service and may also include recommendations related to Caltrain’s contracting and commercial approach. The strategy will be supported by appropriate legal, regulatory and financial analysis and will be framed using the organizational evaluation criteria developed in Task 2 of the Business Plan. The organizational strategy will also be designed to demonstrate how Caltrain can organize to most effectively access and use financial resources. This may include options for optimizing the organization to take full advantage of both existing and contemplated revenue and funding streams including new funding sources, value capture strategies, and private investment. Finally, the organizational strategy will describe a series of next steps, options and issues

for discussion that Caltrain may pursue in coordination with its funding partners and other regional and state agencies.

The technical team will also develop a “community interface strategy” as part of the final Business Plan. It is anticipated that this Strategy may include a detailed, quantified assessment of the secondary community impacts and benefits that will be created through the implementation of the Service Vision. It may also include a discussion of options for how Caltrain could work with partner communities to best leverage and maximize the value its service creates including recommendations related to value capture, joint development and use of Caltrain-owned property. The strategy may also include recommendations for how Caltrain can mitigate the impacts of increased rail service on communities and how the timing of these mitigations could relate to the build out and realization of the Service Vision. In the case of impacts at at-grade crossings, recommended mitigations could include analysis of new and innovative policy approaches designed to maximize public benefit and utilize resources equitably and efficiently. Finally, the community interface strategy may include specific options and recommendations for how Caltrain can improve and address equity outcomes, both among its customers as well as within the communities it traverses, as it implements the Service Vision.

Task 4- Funding and Implementation

The Business Plan will conclude with a detailed funding plan that shows how the recommendations and investments identified can be paid for. This funding plan will show how the agency can use self-generated revenues and leverage its assets to deliver maximum customer benefit and public value. Where new sources of outside funding may be needed, the plan will present choices and analysis of specific measures, value capture approaches or public-private partnering strategies that could be used effectively. This funding plan will be paired with a consolidated implementation plan that makes detailed, specific recommendations about actions and next steps required to advance the Service Vision and Business Plan. This implementation plan will be specifically focused on the actions Caltrain may to take in the next five years and will also describe issues where partnering with local communities and Caltrain partner agencies or other government agencies may be required.

Education and Outreach Plan

The Business Plan will be a complex effort that touches on issues that are of wide interest to Caltrain’s customers as well as a range of stakeholders and publics within and beyond the Caltrain corridor. A robust program of education and outreach will accompany the technical work of the Business Plan.

The complexity of the Business Plan requires the development of thoughtful educational materials that help explain the connections between abstract technical and policy choices and the real world outcomes that Caltrain’s customers and communities care about. The project team will develop an excellent dedicated website and set of written and visual communication tools that help explain the work of the Business Plan in a format that is engaging to a wide audience and helps facilitate meaningful, informed discussion of the policy issues under consideration.

These educational tools will provide the foundation for a deep program of public and stakeholder outreach. During the Business Plan process Caltrain will engage with its customers and the public along the entire corridor through community meetings, station-based outreach, customer and community surveying, and tradional/social media. The project team will also seek to coordinate with partner meetings and community events throughout the corridor to amplify the outreach campaign’s penetration to customers and the public.

In addition to customer and broader public outreach, the project team will also engage with stakeholder staff and policy makers at the local, state and federal levels. Caltrain’s City and County Staff Coordinating Group and Local Policy makers Group are named within the project structure as subsequently shown. These regular meetings will be supplemented by additional direct outreach to local jurisdiction policy makers and staff as requested or when specific technical considerations will benefit from locally focused discussion. The project team anticipates quarterly outreach to state and federal policy makers to make sure they are informed of the Business Plan’s progress and have an opportunity to provide feedback and input.

Caltrain’s partner agencies and staff are included within the formal project structure of the Business Plan (as subsequently described). Additionally, however, Caltrain will update its partners on a regular basis and plans to present Business Plan materials to partner agency Boards as well as County Board of Supervisors in Santa Clara, San Mateo and San Francisco at key moments in the project or as requested.

Finally, the project team will engage with corridor business groups and advocacy organizations whose mission and goals intersect with subjects and issues considered in the Business Plan. Some business and advocacy groups will be represented in the formal project structure (as shown) but the project team will also engage in sustained, direct outreach to these and other groups throughout the Business Plan process.

Project Structure

The work of the Business Plan will be developed within the project structure shown and described below.

Internal Structure: Within the Caltrain organization, the Caltrain Business Plan will be managed as an integrated project structure reporting directly to Caltrain’s Executive Director Jim Hartnett.

The Internal Project Team will be led by Sebastian Petty, Senior Policy Advisor and full-time project manager. The project manager will be supported by a cross-disciplinary internal team of executives and staff representing key functions and competencies within the Caltrain organization.

Project Partner and Stakeholder Committees: The Project Partner Committee will meet monthly and will include staff representatives from JPA member agencies as we as all of the Business Plan’s funding

entities or their designees. The Project Partner Committee will provide input on ongoing project technical work and outreach materials and will serve as liaisons to their respective organizations.

The Project Partner Committee will be a subset of a larger project stakeholder committee. This larger stakeholder group will meet approximately four times during the project and will participate in the review of technical and outreach materials. The stakeholder committee will include all Project Partner Committee members as well as representatives from the following:

● Staff from JPA member agencies (VTA, CCSF, SamTrans) ● Staff from funding partners (MTC, CHSRA, CalSTA) ● Local Jurisdiction Representatives ● Business Community Representatives ● Advocacy Group Representatives

Partner General Manager Group: On an approximately quarterly basis or in advance of major project milestones Jim Hartnett will convene a meeting of the General Managers of Caltrain’s partner agencies (including JPB member agencies as well as MTC, CHSRA and an appropriate designee from CalSTA) to discuss project findings and review materials.

External Review: The “External Review Committee” will be comprised of an academic panel and/or designated industry group (such as APTA or the International Union of Railways). This committee will be charged with developing an independent, written review of Business Plan materials at least two times during the Plan process. These reviews will be provided directly to the JPB as well as to Caltrain’s partner agencies and the project stakeholder group.

Local Policy Makers Group and City/County Staff Coordinating Group: The project team anticipates utilizing Caltrain’s Local Policy Maker’s Group and City / County Staff Coordinating Group as a venue for important feedback from local jurisdictions with updates to these groups occurring on a bi-monthly basis. It is proposed that each of these groups be expanded beyond their current composition of jurisdictions from San Francisco to San Jose to also include policy makers and staff from the cities of Morgan Hill and Gilroy.

Board Involvement: The JPB has established an Ad Hoc Committee to guide the development of the Business Plan. This Committee will meet on an approximately monthly basis for the duration of the Business Plan process and will review all major project materials and deliverables before their release to the public or introduction to the full Board.

The Board will also receive reports from Caltrain’s Citizen Advisory Committee (the CAC). The CAC will receive regular project updates throughout the Business Plan process paralleling the project updates that go to the JPB.

It is proposed that the full JPB will take action on the Business Strategy, Service Vision and Business Plan as described previously. It is anticipated that the Board will receive major informational updates during the spring and fall 2018 and will also hold at least one informational half-day workshop (likely timed for early summer 2018, prior to the proposed adoption of the Service Vision)

Budget Estimate and Funding Proposal:

The Business Plan has been scoped as a large-scale, rigorous effort that must simultaneously address multiple lines of specialized technical inquiry while supporting detailed engagement with multiple stakeholder communities and the public. It will be resource intensive.

Staff estimates that the total cost for consultant services on the Business Plan (including technical work, outreach, independent review, project management and contingency) will be approximately $5,000,000. The estimated cost to complete the first half of the Business Plan (including Tasks 1 and 2) is $2,175,000.

Staff anticipates that funding for the business plan will come from a variety of potential sources including already budgeted Caltrain project development funds, JPB partner contributions, regional contributions, state funding and private contributions. It is anticipated that some contributions may come as in-kind consultant support rather than direct financial contributions. It is also anticipated that the project will be cash-flowed and that not all funding will be secured before work commences. Staff is engaged in various conversations related to funding opportunities and timing and anticipates returning to the Board with a defined funding plan in January.

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14096197.1

RESOLUTION NO. 2018 -


* * *

ADOPTING THE CALTRAIN BUSINESS PLAN BUSINESS STRATEGY AND SCOPE OF WORK

WHEREAS, in 1992 the Peninsula Corridor Joint Powers Board (JPB) assumed

ownership and administering authority for both the Caltrain service and the Peninsula

Rail Corridor; and

WHEREAS, in 2012, the California High Speed Rail Authority (CHSRA) and the JPB,

together with the Metropolitan Transportation Commission, the San Francisco County

Transportation Authority, the Santa Clara Valley Transportation Authority, the City of San

Jose, the City and County of San Francisco, the San Mateo County Transportation

Authority and the Transbay Joint Powers Authority entered into a nine-party

Memorandum of Understanding (MOU) that adopted an early investment strategy

pertaining to the joint operation of Caltrain and High Speed Rail trains in a blended

system on the Peninsula Rail Corridor; and

WHEREAS, the 2012 MOU established key funding for the Peninsula Corridor

Electrification Project (PCEP), including the construction of electrified infrastructure

between San Francisco and San Jose and the replacement of 75 percent of Caltrain’s

diesel fleet with new, high performance Electric Multiple Unit (EMU) railcars; and

WHEREAS, in 2017, the JPB secured full funding for the PCEP and issued notices to

proceed to its electrification and EMU contractors with a targeted PCEP completion

date of 2022; and

WHEREAS, the Caltrain system has become increasingly important to the regional

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transportation system, with ridership growing by more than 150 percent since the

introduction of the Baby Bullet service in 2004, and with significant planned regional

infrastructure projects connecting to the railroad in San Francisco at the Sales Force

Transit Center, with the Dumbarton Corridor in Redwood City, and in San Jose at Diridon

Station; and

WHEREAS, the JPB lacks a dedicated source of funding to support Caltrain’s

ongoing operating and capital costs, even as the system has increasingly recovered

more of its operating costs through fares and self-generated revenues; and

WHEREAS, in 2017, JPB staff engaged with the JPB member agencies, CHSRA, the

State of California and other local and regional stakeholders to begin developing the

scope for a Business Plan effort that would describe the JPB's plans for operating the

electrified system and address fundamental questions about the railroad’s long range

plans and financial needs; and

WHEREAS, the scope for the Caltrain Business Plan has been developed to guide

a comprehensive, year-long process that will engage the JPB's member agencies,

partners and other stakeholders in envisioning the railroad’s future and will address

fundamental questions including what the long-range service vision for the Caltrain

corridor will be, how the JPB/Caltrain organization can change to efficiently deliver the

service, how the railroad will interface with and benefit the communities it runs through,

and how these services and projects will be paid for.


Corridor Joint Powers Board hereby adopts the final Caltrain Business Plan “Business

Strategy” and Scope of Work Management Plan attached and incorporated by this

reference.

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Regularly passed and adopted this 1st of February 2018, by the following vote:

AYES:

NOES:

ABSENT:

___________________________________________ Chair, Peninsula Corridor Joint Powers Board ATTEST: JPB Secretary

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