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March 9, 2017

AGENDA Charlotte Area Transit System (CATS)

FTA Quarterly Review Meeting 10:00 am to 1:00 pm

March 9, 2017

Call in Number (877) 336-1831 Pass Code 1347014

Charlotte Mecklenburg Government Center

600 E. Fourth St Charlotte, NC 28202

Conference Room 267

I. Welcome/Introductions

II. Major Accomplishments/ Issues 1. Ridership update 2. CityLYNX Gold Line Phase 2 Ground Breaking 3. CATS Awarded an additional $5 Million from FRA for CGS in TIGER 7 Funding 4. Letter sent withdrawing BLCE2 from project Development 5. Grant Approval Schedule 6. Letter for FTA Participation in BLE “Non-Revenue Vehicles” 7. TOD Technical Assistance Initiative Grant for the Historic West End, along the

CityLYNX Gold Line Phase 2

III. Review of December 8, 2016, QRM Action Items Action Items from December 8, 2016, FTA Quarterly Review Meeting

Item Action Item Responsibility Status

1 CATS to schedule a conference call with FTA to discuss BLCE final costs and budget adjustments.

CATS OPEN

2 FTA to follow up with CATS on the Grant Approval Schedule by 12/16/16.

FTA Closed

3 CATS to follow up with FTA on a BLCE roadmap to Project Close out and provide an update at the next quarterly meeting.

CATS OPEN

4 FTA to work with CATS on the evaluation of the eligibility of the G4S contract for BLE Project funds.

FTA Closed

5 FTA to provide CATS with clarification of the FAST Act impact on the art in transit activities for the LYNX BLE project.

FTA Closed

1 of 158 FTA Quarterly Review Meeting Charlotte Area Transit System

March 9, 2017

6 CATS to provide FTA an update of the project cost and contingency availability on the CityLYNX Gold Line Phase 2 project by the end of January 2017.

CATS Closed

IV. LYNX Blue Line Extension (BLE/Northeast Corridor) 1. Project Administration

a) FTA, FRA, TSA Coordination Jill Brim b) Staffing Jill Brim c) Civil Rights/DBE Arlanda Rouse d) Project Controls Kelly Goforth

2. Finance / Budget

a) Funding Summary Kelly Goforth b) Budget Summary Kelly Goforth c) Expenditures expected for upcoming quarter Kelly Goforth d) Concurrent Non-project activities for upcoming quarter Kelly Goforth e) Contingency Status Kelly Goforth

3. Contracts / Procurement

a) Procurement Activities Dan Edes b) Change Orders to date and upcoming quarter Kelly Goforth c) LRVs Dan Edes/Gary Lee

4. Schedule

a) Schedule Status/Milestone Schedule Jill Brim

5. Risks a) Risk Mitigation Deliverables Status Jill Brim b) Retirement of Risk Items Kelly Goforth c) Top Risk/New Risk Items Status Jill Brim

6. System Safety and Security Certification Levern McElveen

a) SSC Activities b) Safety and Security Meetings

7. Project Development Kelly Goforth

a) Real Estate Acquisition and Relocations b) Environmental Mitigation Monitoring Plan Status Report c) Before and After Study

8. Design

a) Design Update Jill Brim


March 9, 2017

9. Construction John Mrzygod a) Civil A b) Civil B/C c) Track and System d) Station Finishes e) Old Concord Park and Ride f) JW Clay Parking Garage g) UCB Parking Garage h) North Yard Building i) Sugar Creek Parking Garage j) SBLRF Upfit

10. Third Party Coordination Jill Brim

a) Norfolk Southern b) UNC Charlotte c) Utilities d) NCDOT

11. Quality Assurance and Quality Control

(Quality Management System) Celia Gray

12. Community Outreach Hillary Ryan

V. TIGER III Blue Line Capacity Expansion (BLCE) Project 1. Project Finance Andy Mock 2. Project Budget Andy Mock 3. Award Closeout Andy Mock

VI. CityLYNX Gold Line Phase I (Streetcar Starter Project) 1. Project Budget Tonia Wimberly 2. Award Closeout Tonia Wimberly 3. Other Outstanding Issues Tonia Wimberly

VII. CityLYNX Gold Line Phase 2 (Streetcar) 1. Project Overview David McDonald 2. Project Administration David McDonald 3. Project Finance David McDonald 4. Project Budget David McDonald 5. Contracts and Procurement David McDonald 6. Streetcar Vehicles David McDonald 7. Project Schedule Tonia Wimberly 8. Risks David McDonald 9. Safety and Security David McDonald 10. Project Development David McDonald


March 9, 2017

11. Third Party Coordination David McDonald 12. Quality Assurance David McDonald 13. Community Relations David McDonald 14. Upcoming Activities David McDonald

VIII. Economic Development and TOD Activity/Issues 1. Economic Development Tina Votaw 2. USDOT/FTA TOD Technical Assistance Jason Lawrence

IX. Other Corridor Status

1. Charlotte Gateway Station a) Project Overview Tina Votaw b) Status c) Funding / Budget Summary d) TIGER 7 Grant

2. Corridor System Plan Update

a) LYNX Silver Line Jason Lawrence b) North Corridor/West Corridor/Center City Study John Muth/Jason Lawrence c) Regional Transit Public Engagement John Muth

X. Other Program Activities

1. Grant Review Susana Vang 2. Sales Tax Revenue Susana Vang

XI. Open Discussion All

XII. PMOC Activity

1. 90-Day Look Ahead Calendar

XIII. Review of New Action Items/Follow-up David McDonald

Next Meeting: June 2017 Atlanta


March 9, 2017

II. Major Accomplishments/ Issues 1. Ridership update

Ridership was up 1.4% for the month of January, with bus ridership increasing by 1.7%

and light rail ridership increasing by 1.6%. Ridership remains lower year-to-date. Bus ridership is down 6.2% for the year, Special Transportation paratransit service is down 4.8%, and CityLYNX Gold Line is down 8.4% for the year. LYNX light rail ridership is actually up for the year (0.7%).

2. CityLYNX Gold Line Phase 2 Ground Breaking

3. CATS Awarded an additional $5 Million from FRA for CGS in TIGER 7 Funding

4. Letter sent withdrawing BLCE2 from project Development

5. Grant Approval Schedule

6. Letter for FTA Participation in BLE “Non-Revenue Vehicles”

7. TOD Technical Assistance Initiative Grant for the Historic West End, along the CityLYNX Gold Line Phase 2


March 9, 2017

Mode / Service Percent YTD YTD Percent Avg Daily Ridership per MonthJan-17 Jan-16 Increase/Decrease FY 2017 FY 2016 Increase/Decrease WeekDay Saturday Sunday

Local BOD Local 1,179,040 1,168,801 0.9 % 8,354,686 8,952,710 -6.7 % 45,227 24,448 17,268 Subtotal 1,179,040 1,168,801 0.9 % 8,354,686 8,952,710 -6.7 % 45,227 24,448 17,268Local Express Arboretum Express 4,938 4,646 6.3 % 34,359 35,028 -1.9 % 224 - - Carmel Road Express 1,449 1,964 -26.2 % 10,247 11,826 -13.4 % 66 - - Harrisburg Road Express 3,893 4,122 -5.6 % 26,856 29,573 -9.2 % 177 - - Huntersville Express 8,112 8,237 -1.5 % 54,593 61,389 -11.1 % 369 - - Idlewild Road Express 2,659 2,195 21.1 % 19,377 18,850 2.8 % 121 - - Independence Blvd Express 5,290 4,798 10.3 % 33,667 35,100 -4.1 % 240 - - Lawyers Road Express 3,876 3,402 13.9 % 25,875 25,653 0.9 % 176 - - Matthews Express 4,254 4,477 -5.0 % 29,546 32,364 -8.7 % 193 - - Mountain Island Express 1,335 1,515 -11.9 % 9,717 11,055 -12.1 % 61 - - Northlake Express 5,123 3,691 38.8 % 35,325 24,333 45.2 % 233 - - North Mecklenburg Express 15,573 14,128 10.2 % 101,826 98,843 3.0 % 708 - - Rea Road Express 2,603 2,341 11.2 % 19,566 19,867 -1.5 % 118 - - Steele Creek Express 2,338 1,942 20.4 % 16,613 16,094 3.2 % 106 - - University Research Park Express 11,026 10,083 9.4 % 80,193 78,522 2.1 % 501 - - Airport Connector - Northlake 6,424 5,173 24.2 % 43,840 35,696 22.8 % 238 147 122 Airport Connector - Archdale 4,552 4,791 -5.0 % 33,902 34,441 -1.6 % 140 152 171 Subtotal 83,445 77,505 7.7 % 575,502 568,634 1.2 % 3,671 299 293Regional Express Concord Express 2,384 3,199 -25.5 % 16,431 24,083 -31.8 % 108 - - Gastonia Express 3,131 2,861 9.4 % 21,800 23,039 -5.4 % 142 - - Rock Hill Express 2,922 2,700 8.2 % 19,740 20,566 -4.0 % 133 - - Union County Express 2,714 2,487 9.1 % 17,730 19,321 -8.2 % 123 - - Subtotal 11,151 11,247 -0.9 % 75,701 87,009 -13.0 % 506 -Community Circulator Neighborhood Shuttles 105,479 92,906 13.5 % 699,384 695,811 0.5 % 5,727 1,104 605 North Meck Village Rider 7,686 7,815 -1.7 % 59,656 63,376 -5.9 % 291 173 122 Beatties Ford Neighborhood Shuttle 16,487 14,395 14.5 % 109,638 111,586 -1.7 % 677 313 68 Eastland Neighborhood Shuttle 17,861 20,410 -12.5 % 137,178 159,806 -14.2 % 661 425 324 Pineville-Matthews Road 3,350 4,604 -27.2 % 34,839 34,883 -0.1 % 138 76 - Subtotal 150,863 140,130 7.7 % 1,040,695 1,065,462 -2.3 % 7,494 2,091 1,119Activity Center Circulators Gold Rush 17,594 20,301 -13.3 % 136,633 187,799 -27.2 % 880 - - Subtotal 17,594 20,301 -13.3 % 136,633 187,799 -27.2 % 880 -

Metropolitan Transit Commission

Charlotte Area Transit System Ridership Report

Jan-17


March 9, 2017

Mode / Service Percent YTD YTD Percent Avg Daily Ridership per MonthJan-17 Jan-16 Increase/Decrease FY 2017 FY 2016 Increase/Decrease WeekDay Saturday Sunday

Human Services Transportation Special Transportation Services 20,264 23,028 -12.0 % 160,889 168,947 -4.8 % 1,013 - - DSS 491 580 -15.3 % 3,617 4,925 -26.6 % 25 - - Subtotal 20,755 23,608 -12.1 % 164,506 173,872 -5.4 % 1,038 -Rideshare Services Vanpool 12,720 13,308 -4.4 % 95,772 113,566 -15.7 % 914 200 162 Subtotal 12,720 13,308 -4.4 % 95,772 113,566 -15.7 % 914 200 162Rail LYNX Blue Line 383,408 377,382 1.6 % 2,830,678 2,811,651 0.7 % 15,281 9,768 4,558 CityLynx Gold Line 37,628 37,508 0.3 % 246,202 269,093 -8.5 % 1,555 644 400 Subtotal 421,036 414,890 1.5 % 3,076,880 3,080,744 -0.1 % 16,836 10,412 4,958

Total 1,896,604 1,869,790 1.4 % 13,520,375 14,229,796 -5.0 % 76,566 37,450 23,800

Metropolitan Transit Commission

Charlotte Area Transit System Ridership Report

Jan-17


March 9, 2017

IV. LYNX Blue Line Extension (BLE/Northeast Corridor) 1.0 Project Administration

a) FTA, FRA, TSA Coordination The BLE monthly report and schedule update are provided to FTA and the PMOC on a monthly basis. The last PMOC meeting was held on 11/17/16. The FTA Quarterly meeting was held 12/08/16.

On 4/8/16, FTA notified CATS that the BLE project was selected for a Buy America Compliance Review. CATS submitted initial documents to FTA for the review on 5/23/16. On 7/1/16, FTA notified CATS that Anil Verma Associates is the PMOC assigned to conduct the review. The review is underway.

On 11/4/16, CATS submitted a letter to FTA requesting FTA participation in the BLE “Project Changes,” i.e., the Sugar Creek pedestrian bridge, the JWC pedestrian bridge extension and the Service and Inspection building addition.

On 12/12/12, FRA issued a letter to CATS, which concluded that the LYNX BLE is an urban rapid transit system with a limited connection to the general system. CATS reviewed the appropriate C.F.R.s and determined that CATS will be seeking waivers for several FRA requirements. CATS plans to have outside counsel review the waiver request and submit it to FRA.

CATS coordinates regularly with TSA on a system-wide basis.

b) Staffing David Smith, City E&PM, BLE Civil Construction Manager, accepted a new position with CDOT in December 2016. James Wally, City E&PM, who has been working as the Project Engineer on the BLE Civil contracts, has been assigned as the BLE Civil Construction Manager. Jenna Nichols, CATS Senior Engineer, and Kevin Herring, City E&PM, have been assigned to assist on BLE Civil Construction.

c) Civil Rights/ DBE Civil Rights staff is monitoring 26 contracts on the BLE project.

Contract Number Prime Contracts Contract Type Contract Value

CATS Payments to Prime Contractors

Prime Contractor Payment to Subcontractors

DBE Goal %

DBE Commitment

DBE Actual

% Period Cumulative Period Cumulative

ROW

12-00212 THC, Inc Real Estate Acquisition $3,500,000 $ $2,563,266 $ $213,322 3.00% 3.00% 8.32%

Vehicles

12-00281 LTK Engineering Vehicle

Engineering $2,974,664 $ $2,748,359 $ $593,636 11.70% 11.80% 21.60%

Professional Services

11-00011

AECOM Ridership Modeling $500,000 $ $367,694 $ $ 10.00% 10.00% 0.00%

11-00971 Terracon Environmental Services $375,000 $ $225,814 $ $ 5.00% 5.00% 1.16%

11-01074 Hart & Hickman Environmental

Services $690,000 $ $619,405 $ $67,141 5.00% 5.00% 10.84%

12-00329 Klauk Law Firm Real Estate Legal Services 361,000 $ $291,930 $ $291,930 0% 0% 100.0%

13-00021 STV Final Design $42,319,128 $ $39,455,028 $ $5,870,320 15.80% 15.80% 14.88%

13-00383 HNTB BLE Construction Management $53,999,507 $ $39,158,271 $ $5,227,464 9.00% 9.00% 13.35%

13-00697

RSG, Inc Origin - Destination Study $399,832 $ $371,326 $ $309,204 7.2% 84.30% 83.3%

13-1148 Kleinfelder Southeast

Testing & Special Inspections $9,468,320 $ $9,386,608 $ $2,398,803 11.75% 22.50% 25.53%


March 9, 2017

20160678 Armand Resource Grp

Compliance Monitoring $800,000 $493,826 25.00% 100% 100%

Construction

13-01029 NCM Demolition Demolition

$218,379 $207,980 $7,756 13.75% 13.75% 3.73%

13-01110 Blythe Development

Adv Utility Relo - C $10,137,600 $ $9,288,517 $ $669,429 3.00% 3.00% 7.20%

13-01276 Sealand Contractors

Adv Utility Relo - A $1,717,748 $ $1,701,046 $0 $41,123 7.25% 3.00% 2.42%

14-00422 Blythe Development Corp

Adv. Utility Relo-B $4,949,780 $ $4,390,738 $ $439,962 9.42% 9.42% 10.02%

14-00719 Balfour Beatty/Blythe Dev

Civil Segment A $107,967,958 $ $58,492,125 $ $16,534,733 17.50% 17.53% 28.27%

14-00983 The Lane Construction Corp

Civil Segment B/C $139,074,349 $ $125,479,123 $31,262,680 20.00% 20.10% 24.91%

14-00992 Balfour Beatty Infrastructure

BLE Track & Systems/BLCE $130,805,444 $ $113,703,984 $ $13,447,776 9.20% 9.90% 16.31%

14--01022 Partners Comm Ser

BLE Fiber Relocation $232,392 $228,046 $ $18,666 3.10% 8.96% 8.19%

15-00567 New Atlantic Contracting

University City Parking Deck $32,098,000 $ $27,501,824 $ $241,809 12.00% 0.56% 0.88%

15-00602 China Construction

JW Clay Parking Deck $24,758,872 $ $22,282,318 $ $1,859,763 12.50% 7.45% 8.35%


Raleigh/Gboro Drainage $4,708,646 $ $4,371,179 $ $1,044,750 13.40% 13.47% 23.9%

15-1320 Edison Foard Station Finishes $20,177,750 $ $10,018,037 $ $1,160624 7.50% 7.53% 11.59%


Old Concord P&R 4,927,900 $0 $3,709,364 $ $528,496 11.80% 11.98% 9.07%

16-00532 Messer Construction

Sugar Creek Parking Garage 23,346,850 $0 $17,742,643 $ $989,041 7.25% 7.34% 4.24%

16-00582 New Atlantic Contracting

North Yard 11,305,400 $0 $2,225,336 $ $288,107 7.50% 7.50% 12.95%

Annual DBE Goal: 9.0% YTD DBE Attainment: 8.9% BLE DBE Overall: 11.7% Note: Contract values include contingency and betterments

d) Project Controls The Project Controls team continues to meet weekly to review open action items, change management, contingency levels, the program schedule and the e-Builder project control system. The Project Controls team has initiated a review of all ICT documentation to ensure compliance and comprehensiveness. The Project Controls team also began reviewing documentation for a contractor Quality Audit.

2.0 Finance / Budget

a) Funding Summary The FFGA grant contract was signed October 16, 2012 setting forth a total federal contribution amount not to exceed $580,042,248.

Federal funds for the BLE project were initially provided through preliminary engineering grant NC-39-001-00 in the amount of $2,695,000. Additional grant NC-03-0082 (00-05) was provided to extend the preliminary engineering services and was further revised to include additional professional services, right-of-way services, light rail vehicle design, project contingency, construction and finance charges in the cumulative total amount of $403,112,660. As of 12/31/2016, a cumulative total amount of $405,807,660 of federal contribution has been appropriated.

Grant NC-39-001-00 is fully reimbursed at $2,695,000 and closed. As of 12/31/2016, $300,544,008 has been reimbursed against NC-03-0082 (00-05). As of 12/31/2016, a cumulative total amount of $303,239,008 of federal contribution has been reimbursed.


March 9, 2017

The SFFGA grant contract was signed May 3, 2012 setting forth a total state contribution amount not to exceed $299,071,000, with the 36th Street Freight Relocation portion being funded 50% state and 50% federal.

State funds for the BLE project were initially provided through preliminary engineering grant 09-NS-004 in the amount of $1,347,500. Additional grant 09-NS-0082 / 13-BL-001 was provided to extend the preliminary engineering services and was further revised to include additional professional services, right-of-way services, light rail vehicle design and project contingency in the cumulative total amount of $181,395,587. As of 12/31/2016, a cumulative total amount of $182,743,087 of state contributions has been appropriated.

Grant 09-NS-004 is fully reimbursed at $1,347,500 and closed. As of 12/31/2016, $106,081,493 has been reimbursed against 09-NS-0082/13-BL-001. As of 12/31/2016, a cumulative total amount of $107,428,993 of state contribution has been reimbursed. CATS/City of Charlotte will fund $280,971,248 of the project costs from non-state and non-federal sources of revenue. The most significant of these sources is the agency’s net cash balance, which is comprised primarily of sales tax revenue. Also included in the CATS/City of Charlotte contribution of $280,971,248 is $17,500,000 of local share from the City’s Northeast Corridor Infrastructure Program (NECI), a program of infrastructure improvements initiated by the City of Charlotte to support and encourage future development in the Northeast Corridor and contributions of right-of-way from the City of $13,420,298. The City applied for and received a TIFIA Loan which closed on 9/17/2015 for a maximum loan amount of $180,000,000. As of 12/31/2016, a cumulative total of $126,882,810 of the TIFIA Loan has been disbursed. To date, CATS/City of Charlotte has contributed $522,572,168 which is greater than the total FFGA/SFFGA match, in order to advance construction. See attached Sources of Capital Funding table.


March 9, 2017

SOURCES OF CAPITAL FUNDING As of December 31, 2016

Sources of Capital Funding Grant/Loan ID Funding Share Amount Expended to Date*Percent Fund

Source Expended to Date

Remaining Balance Reimbursement to Date

Section 5309 New Starts Federal FundsPreliminary Engineering Grant NC-39-0001-00 2,695,000 2,695,000 100.00% - 2,695,000 FFGA Grant NC-03-0082 (00-06) 403,112,660 315,327,872 78.22% 87,784,788 300,544,008

Appropriated New Starts Federal Funds 405,807,660 318,022,872 78.37% 87,784,788 303,239,008 FFGA Grant Balance 174,234,588 0.00% 174,234,588 -

Subtotal - New Starts Federal Funds 50.00% 580,042,248 318,022,872 54.83% 262,019,376 303,239,008 State FundsPreliminary Engineering Grant 09-NS-004 1,347,500 1,347,500 100.00% - 1,347,500 SFFGA Grant 09-NS-0082 / 13-BL-001 181,395,587 117,507,412 64.78% 63,888,175 106,081,493

Appropriated New Start State Funds 182,743,087 118,854,912 65.04% 63,888,175 107,428,993 SFFGA Grant Balance 116,327,913 0.00% 116,327,913 -

Subtotal - State Funds 25.78% 299,071,000 118,854,912 39.74% 180,216,088 107,428,993 Local Funds Sales Tax 31,801,870 28,830,698 90.66% 2,971,172 N/ACity Funds - NECI 17,500,000 17,500,000 100.00% - N/ACity Funds - Right of Way 13,420,298 13,420,298 100.00% - N/ATIFIA 2015-1007A 180,000,000 126,882,810 70.49% 53,117,190 126,882,810 Short Term Debt 2013-B 279,850,000 166,766,385 59.59% 113,083,615 N/A

Appropriated Local Funds 522,572,168 353,400,191 67.63% 169,171,977 N/ASales Tax Balance 38,249,080 0.00% 38,249,080 N/AShort-Term Reimbursement (279,850,000) 0.00% (279,850,000) N/A

Subtotal - Local Funds 24.22% 280,971,248 353,400,191 125.78% (72,428,943)

TOTAL APPROPRIATED FUNDS 1,111,122,915 TOTAL FFGA PROJECT BUDGET 100.00% 1,160,084,496 790,277,975 68.12% 369,806,521 -

*Expended to date reported on accrual basisLEGENDSources of Capital Funding: Designates Funds as Federal, State or Local and provides description of source of funds.Grant/Loan ID: Grant Number assigned to appropriated federal and state funds or local debtFunding Share: Distribution percentage of total FFGA Project Budget Amount: Total Dollar Amount Expended to Date: Actual expenditures as of the report datePercent Fund Source Expended to Date: Expended to Date / AmountRemaining Balance: Funds available (Amount - Expended to Date)Reimbursement to Date: Drawdown amount of grants reimbursed to the grantee


March 9, 2017

b) Budget Summary The current funds appropriated for the BLE total $1,111,122,915. In the month of December, the project paid $29,628,605 in expenses. Total accrued expenditures to date are $790,277,975. The current appropriation includes $123.4 million for Guideway & Track Elements; $117.5 million for Stations, Stops, Terminals, Intermodal; $17.9 million for Support Facilities; $281.8 million for Sitework & Special Conditions; $113.4 million for Systems; $89.9 million for ROW, Land, and Existing Improvements; $112.7 million for Vehicles; $27.7 million for Finance Charges and $20.0 million in Project Changes. The current budget also includes $206.8 million for Professional Services, which includes $39.2 million for Preliminary Engineering; $35.4 million for Final Design; $30.9 million for Project Management for Design & Construction; $81.8 million for Construction Administration & Management; $3.0 million for Legal, Permits and Review Fees; $14.1 million for Surveys, Testing, Investigation and Inspection and $2.2 million in allocated contingency. See attached Budget Summary table. Legend for Budget Summary Table: FFGA Grant Budget: Year of Expenditure Dollars approved in FFGA project budget Current Budget: Year of Expenditure Dollars based on latest Engineering Cost Estimate and Construction Contract Awards. Year of Expenditure Dollars Appropriated Funds: Authorization to spend monies for the activity or activities covered by the appropriation and up to its amounts Previously Spent to Date: Expenses associated with the project that were incurred prior to the month of reporting Current Month Expenses: Expenses associated with the project that were incurred in the month of reporting Total Expenses To Date: Expenses associated with the project that were incurred in the month of reporting plus prior time periods Total Cost (Accrual): Includes all expenditures paid, received invoices yet to be paid and any work completed/actual cost to the project that have not yet been invoiced Encumbrance: A contingent liability related to unfilled contracts or purchase orders for goods or services that is chargeable to the project (reservation of fund balance) Unrestricted Balance: Funds available for use, uncommitted: (appropriated funds) – (total expenses to date + contract encumbrances)


March 9, 2017

BUDGET SUMMARY as of December 31, 2016 C- (G + H)

A B C D E F G H IPREVIOUSLY TOTAL TOTAL

FFGA GRANT CURRENT APPROPRIATED SPENT CURRENT MONTH EXPENSES PAID COST UNRESTRICTEDPROJECT BUDGET BUDGET FUNDS TO DATE EXPENSES PAID TO DATE* (ACCRUAL) ENCUMBRANCE BALANCE

10 Guideway & Track Elements10.02 Guideway: At-Grade Semi-Exclusive 13,512,557 14,633,256 14,067,615 13,418,802 262,844 13,681,647 13,681,647 268,485 117,483 10.04 Guideway: Aerial Structure 46,396,594 34,852,012 36,808,022 32,206,619 51,096 32,257,716 32,257,716 3,102,534 1,447,772 10.05 Guideway: Built-Up Fill 13,121,752 3,129,655 3,354,910 2,988,372 148,413 3,136,785 3,136,785 92,749 125,376 10.06 Guideway: Underground Cut and Cover 8,237,165 - - - - - - - - 10.08 Guideway: Retained Cut or Fill 39,562,072 28,794,081 31,662,592 30,333,402 38,617 30,372,020 30,372,020 439,542 851,030 10.10 Track: Embedded 3,446,013 2,929,814 2,929,814 2,438,927 12,031 2,450,957 2,450,957 349,859 128,998 10.11 Track Ballasted 27,531,019 26,955,782 26,932,357 22,417,344 2,141,059 24,558,403 24,558,403 1,081,407 1,292,547 10.12 Track: Special (Switches, Turnouts) 5,228,172 3,194,140 3,194,140 3,286,090 - 3,286,090 3,286,090 172,650 (264,600) 10.13 Track: Vibration and Noise Dampening 1,222,512 - - - - - - - - 10.90 SCC 10 Contingency - 4,268,712 4,444,469 - - - - - 4,444,469 Subtotal 158,257,856 118,757,451 123,393,918 107,089,557 2,654,061 109,743,618 109,743,618 5,507,226 8,143,075 20 Stations, Stops, Terminals, Intermodal20.01 At-Grade Station, Stop, Shelter Mall, Terminal, Platform 26,101,514 24,518,967 22,949,471 13,901,132 1,955,519 15,856,651 15,856,651 6,240,531 852,289 20.06 Automobile Parking and Multi-Story Structure 52,667,917 71,912,452 78,184,885 61,460,167 1,675,575 63,135,742 63,732,960 6,977,531 7,474,394 20.90 SCC 20 Contingency - 4,326,732 16,327,121 - - - - 2,607,750 13,719,371 Subtotal 78,769,430 100,758,151 117,461,477 75,361,299 3,631,094 78,992,393 79,589,611 15,825,812 22,046,054 30 Support Facilities: Yards, Shops, Admin. Bldgs30.01 Administration Building: Office, Sales, Storage 2,902,707 3,808,308 3,809,816 956,353 773,343 1,729,696 1,729,696 1,879,132 200,988 30.03 Heavy Maintenance Facility 6,779,160 8,362,515 5,676,414 1,466,899 198,341 1,665,240 1,665,240 4,837,386 (826,212) 30.05 Yard and Yard Work 5,751,601 6,995,828 7,451,659 5,327,481 70,240 5,397,720 5,397,720 1,734,922 319,017 30.90 SCC 30 Contingency - 2,169,104 926,540 - - - - - 926,540 Subtotal 15,433,468 21,335,755 17,864,429 7,750,732 1,041,924 8,792,656 8,792,656 8,451,440 620,333 40 Sitework & Special Conditions40.01 Demolition, Clearing, Earthwork 11,532,031 13,706,018 14,095,129 12,266,978 260,531 12,527,509 12,527,657 911,182 656,290 40.02 Site Utilities, Utilities Relocation 32,870,198 90,668,143 83,986,443 75,369,298 2,711,869 78,081,167 78,081,167 4,544,232 1,361,044 40.03 Haz. Material, Contaminated Soil Removal 4,667,239 4,743,898 5,869,912 3,641,695 6,419 3,648,114 3,648,114 1,393,772 828,026 40.04 Environmental Mitigation 1,754,418 1,751,549 1,609,678 1,609,677 - 1,609,677 1,609,677 - 1 40.05 Site Structures Including Retaining Walls, Sound Walls 33,504,553 14,972,878 16,223,101 14,918,333 328,586 15,246,919 15,246,919 212,358 763,824 40.06 Pedestrian/Bike Access/Accommodation, Landscaping 11,890,670 5,851,075 3,213,646 2,188,732 69,417 2,258,149 2,279,677 2,111,693 (1,177,724) 40.07 Auto., Bus, Van Accessways Inc. Rds, Parking Lots 80,184,241 72,730,659 66,635,944 46,172,846 3,037,799 49,210,645 49,210,645 15,473,924 1,951,375 40.08 Temporary Facilities & Other Indirect Costs 16,065,665 24,793,962 24,691,320 13,695,283 1,129,007 14,824,290 14,827,792 2,586,624 7,276,904 40.90 SCC 40 Contingency - 5,041,022 65,491,089 42,645 - 42,645 42,645 1 65,448,443 Subtotal 192,469,015 234,259,204 281,816,262 169,905,487 7,543,628 177,449,115 177,474,293 27,233,786 77,108,183 50 Systems50.01 Train Control and Signals 24,789,894 22,338,422 21,852,889 13,314,961 1,606,452 14,921,413 14,921,413 6,146,139 785,337 50.02 Traffic Signals and Crossing Protection 18,915,613 4,766,913 3,259,209 1,686,426 406,265 2,092,691 2,092,691 1,056,376 110,142 50.03 Traction Power Supply: Substations 15,460,098 12,766,610 12,766,610 7,196,311 2,551,000 9,747,311 9,747,311 2,506,283 513,016 50.04 Traction Power Distribution: Catenary and Third Rail 14,798,351 11,466,703 11,456,542 7,471,067 1,528,645 8,999,712 8,999,712 1,983,160 473,670 50.05 Communications 38,385,652 28,471,250 27,858,163 10,072,806 2,856,367 12,929,173 12,929,173 13,248,507 1,680,483 50.06 Fare Collection System and Equipment 4,873,559 3,250,843 4,361,296 430,355 1,477,669 1,908,023 1,908,023 1,202,069 1,251,204 50.07 Central Control 697,758 759,376 1,106,422 653,060 - 653,060 653,060 2,020 451,342 50.90 SCC 50 Contingency - 7,822,090 30,707,292 - - - - - 30,707,292 Subtotal 117,920,925 91,642,207 113,368,422 40,824,985 10,426,398 51,251,383 51,251,384 26,144,554 35,972,485 60 ROW, Land, Existing Improvements60.01 - Purchase or lease of real estate 116,085,937 88,619,249 85,666,960 83,915,531 237,596 84,153,127 85,364,197 1,804,224 (1,501,461) 60.02 - Relocation of existing households and businesses 5,337,429 4,269,943 4,324,312 2,249,092 - 2,249,092 2,249,092 - 2,075,220 60.90 - Allocated Contingency - 14,174,673 - - - - - - - Subtotal 121,423,366 107,063,866 89,991,272 86,164,623 237,596 86,402,219 87,613,289 1,804,224 573,759 70 Vehicles70.01 Light Rail 86,903,057 88,810,071 102,834,492 83,484,778 18,614 83,503,392 83,503,392 458,421 18,872,679 70.06 Non-Revenue Vehicles 385,000 350,000 350,000 243,447 6,750 250,197 250,197 - 99,803 70.07 Spare Parts 8,115,243 9,637,493 9,560,000 3,384,970 101,213 3,486,183 3,486,183 4,314,107 1,759,710 70.90 SCC 70 Contingency - 636,094 - - - - - - - Subtotal 95,403,299 99,433,658 112,744,492 87,113,195 126,577 87,239,772 87,239,772 4,772,528 20,732,192 80 Professional Services80.01 - Preliminary Engineering 41,921,969 41,721,969 39,222,420 39,101,009 - 39,101,009 39,101,009 117,080 4,331 80.02 - Final Design 31,852,348 31,241,438 35,372,659 29,534,993 38,687 29,573,680 29,573,680 3,985,431 1,813,548 80.03 - Project Management for Design and Construction 38,810,978 36,150,162 30,986,781 26,635,908 3,843 26,639,751 28,395,261 429,625 2,161,895 80.04 - Construction Administration & Management 51,292,312 75,728,150 81,819,249 51,786,061 2,457,254 54,243,315 55,609,324 13,016,470 13,193,455 80.06 - Legal; Permits; Review Fees by other agencies, cities, etc. 5,051,502 3,969,076 3,015,526 2,137,901 33,671 2,171,572 2,171,572 329,979 513,975 80.07 - Surveys, Testing, Investigation, Inspection 13,579,540 16,846,574 14,124,381 10,506,145 313,260 10,819,405 11,004,251 1,293,424 1,826,706 80.08 Start-Up 240,696 5,218,814 - - - - - - - 80.90 SCC 80 Contingency - 230 2,244,230 - - - - - 2,244,230 Subtotal 182,749,345 210,876,413 206,785,244 159,702,016 2,846,715 162,548,731 165,855,095 19,172,009 21,758,138 90 Unallocated Contingency90.00 - Unallocated Contingency 120,191,883 58,491,883 - - - - - - - Subtotal 120,191,883 58,491,883 - - - - - - - 100 Finance Charges100.0 - Finance Charges 77,465,907 77,465,907 27,697,399 12,369,759 - 12,369,759 14,216,859 - 13,480,540 Subtotal 77,465,907 77,465,907 27,697,399 12,369,759 - 12,369,759 14,216,859 - 13,480,540

FFGA TOTAL 1,160,084,496 1,120,084,496 1,091,122,915 746,281,653 28,507,992 774,789,645 781,776,577 108,911,576 200,434,761

PROJECT CHANGES2006B - Automobile parking multi-story structure (Non-Federal) - 7,833,672 7,550,041 3,765,841 - 3,765,841 4,187,096 370,822 2,992,123 20.09B JW CLAY PED Bridge Ext Contingency (Non-Federal) - 245,487 - - - - - 245,487 2090B - SCC 20 Allocated Contingency (Non-Federal) - 388,549 426,693 - - - - - 426,693 3001B - Administration Building: Office, sales, storage, revenue counting (Non-Federal) - 7,147,976 7,147,976 2,308,041 1,065,406 3,373,446 3,373,446 3,207,017 567,513 3005B - Yard and Yard Track (Non-Federal) - 22,717 22,717 - - - - - 22,717 3090B - SCC 30 Allocated Contingency (Non-Federal) - 1,100,752 1,100,752 - - - - - 1,100,752 6001B - Purchase or lease of real estate (Non-Federal) - 71,000 71,000 39,644 - 39,644 39,644 - 31,356 8002B - Final Design (Non-Federal) - 794,800 794,800 314,795 - 314,795 314,795 480,008 (3) 8004B - Construction Administration & Management (Non-Federal) - 1,040,440 1,040,440 529,243 55,207 584,450 586,418 513,834 (59,812) 9000B - Unallocated Contingency (Non-Federal) - 1,600,094 1,600,094 - - - - - 1,600,094 Subtotal - Project Changes (Non-Federal) - 20,000,000 20,000,000 6,957,563 1,120,613 8,078,176 8,501,399 4,571,681 6,926,919 PROJECT CHANGES

Potential Savings of Federal Funds (Match to Project Changes) - 20,000,000 - - - - - - - Subtotal - Potential Savings of Federal Funds (Match to Project Changes) - 20,000,000 - - - - - - -

PROJECT CHANGES TOTAL - 40,000,000 20,000,000 6,957,563 1,120,613 8,078,176 8,501,399 4,571,681 6,926,919

GRAND TOTAL 1,160,084,496 1,160,084,496 1,111,122,915 753,239,216 29,628,605 782,867,821 790,277,975 113,483,258 207,361,681 *Total Expenses To Date reported on a cash basis

Budget Summary includes scopes of work not funded by FTA indicated above as "Non-Federal"; Potential Savings of Federal Funds: CATS will identify additional local funds to match federal funds if needed.


March 9, 2017

c) Expenditures Expected for Upcoming Quarter The Cash Flow Forecast provides an estimate of the expected project expenses to be paid in the next three months.

(C + D + E)A B C D E F

TOTAL thru December 2016

January 2017 Feb 2017 Mar 2017 Apr 2017 3 Month

Standard Cost Category Actuals Forecast Forecast Forecast Total Forecast 10 - Guideway and Track Elements 113,509,458$ 211,588$ 630,571.59$ 639,252.27$ 687,962.17$ 1,957,786$ 20 - Stations, Stops, Terminals, Intermodal 78,992,393$ 5,597,613$ 3,923,975.15$ 2,541,197.02$ 3,688,566.22$ 10,153,738$ 30 - Support Facilities: Yards, Shops, Admin. Bldgs. 12,166,102$ 609,973$ 1,807,731.99$ 1,099,438.29$ 1,293,033.84$ 4,200,204$ 40 - Site Work and Special Construction 177,449,115$ 976,177$ 13,384,736.21$ 11,741,673.96$ 14,753,304.97$ 39,879,715$ 50 - Systems 51,251,383$ -$ 5,257,706.52$ 5,975,998.99$ 4,876,785.28$ 16,110,491$ 60 - ROW, Land, Existing Improvements 86,441,863$ 33,336$ -$ 1,340,000$ 110,000$ 1,450,000$ 70 - Vehicles 87,239,772$ 835,354$ 2,172,168$ 2,276,140$ 795,497$ 5,243,805$ 80 - Professional Services 163,447,976$ 1,663,289$ 3,500,000$ 3,500,000$ 3,500,000$ 10,500,000$ 90 - Unallocated Contingency -$ -$ -$ -$ -$ -$ 100 - Finance Charges 12,369,759$ -$ -$ -$ -$ -$ Monthly Total 9,927,329$ 30,676,889$ 29,113,701$ 29,705,149$ 89,495,739$

Running Total (Projected Expenditures to Date) $ 782,867,821 $ 792,795,151 $ 823,472,041 $ 852,585,741 $ 882,290,890 $ 882,290,890

LEGENDColumn A: Life to date expenses associated with the project; excludes retainage. Reported on a cash basis.Column B: Expenses associated with the project that have been paid up to the date of filing. Reported on a cash basis. `Column C, D and E: Monthly projected expenses associated with the project that are expected to be paid within the next three (3) months from the month of reporting. Column F: Total projected expenses associated with the project that is expected to be incurred for the next three (3) months from the month of reporting.

CASH FLOW FORECASTas of January 31, 2017

(Note: period not closed as of report date)

d) Cost Summary The current Estimate to Complete and Estimate at Completion for the BLE project are shown below. This table will be updated monthly.

SCC DESCRIPTION FFGA AMOUNTEXPENDITURE TO

DATE1ESTIMATE TO

COMPLETEESTIMATE AT COMPLETION2

10 GUIDEWAY & TRACK ELEMENTS (9.33 miles) 158,257,856$ 109,743,618$ 28,591,570$ 138,335,187$ 20 STATIONS, STOPS, TERMINALS, INTERMODAL (11) 78,769,430$ 79,589,611$ 23,032,498$ 102,622,108$ 30 SUPPORT FACILITIES: YARDS, SHOPS, ADMIN. BLDGS 15,433,468$ 8,792,656$ 12,324,952$ 21,117,608$ 40 SITEWORK & SPECIAL CONDITIONS 192,469,015$ 177,474,293$ 87,042,655$ 264,516,948$ 50 SYSTEMS 117,920,925$ 51,251,384$ 38,873,650$ 90,125,034$ 60 ROW, LAND, EXISTING IMPROVEMENTS 121,423,366$ 87,613,289$ 6,475,904$ 94,089,193$ 70 VEHICLES (22) 95,403,299$ 87,239,772$ 11,557,792$ 98,797,564$ 80 PROFESSIONAL SERVICES 182,749,345$ 165,855,095$ 58,821,088$ 224,676,183$ 90 UNALLOCATED CONTINGENCY 120,191,883$ 100 FINANCE CHARGES 77,465,907$ 14,216,859$ 33,631,048$ 47,847,907$ NF PROJECT CHANGES (NON-FEDERAL)3 -$ 8,501,399$ 13,498,602$ 22,000,000$

10 - 100 TOTAL 1,160,084,496$ 790,277,975$ 313,849,757$ 1,104,127,732$ POTENTIAL UNEXPENDED FUNDS 29,956,764$ POTENTIAL SAVINGS OF FEDERAL/STATE FUNDS (MATCH TO PROJ. CHANGES) 26,000,000$

COST SUMMARY (as of December 31, 2016)

1: Expenditure to Date includes accrued expenditures as of December 31, 2016.2: Estimate at Completion includes Current Expenditures, Encumbrances (excluding Contingency), and Forecasted Changes (Approved, Pending and Potential); and Estimated Claims as of 02/07/17.3: EAC for Finance Charges based on Second Annual TIFIA Financial Plan (Sept 30, 2016).


March 9, 2017

e) Concurrent Non-project Activities for Upcoming Quarter The BLE contracts will also include infrastructure improvements that are funded by others and are not funded as part of the FFGA. Currently, 34 agreements have been signed for a total of $29,707,538. All pending agreements have now been executed. See the table below for a list of the additions to the BLE contracts.

MOUs for INFRASTRUCTURE IMPROVEMENTS (NON-FFGA) As of July 31, 2016

Item ContractContract

Execution Date Amount MOU StatusCompleted Agreements

1 CDOT Fiber Optic Cable (72 strand fiber to Orr Road only) Systems May-14 642,000$ Signed 11/29/12

2City BSS-IT Fiber Optic Cable (incremental cost for upgrade 12 strand to 24 strand fiber) Systems May-14 318,000$ Signed 10/26/2012

3 CMUD - Upsize 16" water main to 24" (Segment C) Utilities - C Jun-13 500,000$ Signed 5/9/13

4

E&PM - In vicinity of Alpha Mill: Replace box culvert under CSX, upsize 54" pipe to 60" pipe, improve drainage at clark Blvd., 12'x10' box culvert in lieu of 72" pipes at Parkwood, 12th Street drainage pipe (new) Civil - A/B Feb-14 547,664$ Signed 7/30/13

5City/UNCC - Utility and Telecommunication Relocation Partnership Agreement (URPA) Civil - B/C May-14 2,999,999$ Signed 6/13/13

6

CMUD - Upsize 16" water main to 24" (Seg C), Relocate and upsize 900' of 24" water main (Seg B), N. Tryon sewer crossing at Old Concord (Seg. B), N. Tryon sewer crossing at Austin (Seg B) Civil - B/C May-14 1,001,873$ Signed 3/28/14

7 University City Partners - Pedestrian bridge glass artwork Garages Oct-14 45,120$ Signed 7/14/14

8 Private Utilities - Joint Duct Bank - Segment A Utilities - A Aug-13 399,722$ All 5 agreements have

been executed

9 Private Utilities - Joint Duct Bank - Segment B Utilities - B Dec-13 650,957$ All 6 agreements have

been executed

10 Private Utilities - Joint Duct Bank - Segment C Utilities - C Jun-13 876,006$ All 5 agreements have

been executed

11 First Ward Drainage Civil - A Feb-14 7,512$

No agreement required; NBS dept completed

transfer of funds

12 NCDOT-Construction of Sugar Creek Road detours Civil A Feb-14 227,670$ Signed 4/6/15

13 CMUD Sewer/Water Relocation along Raleigh St and Greensboro St. RGD Apr-15 126,853$ Signed 6/5/15

14 NCDOT-Eastway Dr.bridge deck overlay and end bent repair work Civil - A Feb-14 241,405$ Signed 10/14/15

15 Private Utilities - Joint Duct Bank Extension Civil - B/C May-14 122,757$ All 5 agreements have

been executedTOTAL 8,707,538$

16

State FFGA Amendment for Non-Federal Project Changes - North Yard S&I Building, Sugar Creek Pedestrian Bridge, JWC Pedestrian Bridge Extension (50% State, 50% Local) Multiple Nov-15 20,000,000$ Signed 9/18/15

17 UNC Charlotte - JW Clay Pedestrian Bridge Extension JWC Garage CO Apr-16 600,000$ Signed 3/11/1618 Carolinas Healthcare System - JW Clay Pedestrian Bridge Extension JWC Garage CO Apr-16 600,000$ Signed 4/8/16

TOTAL 21,200,000$

BLE Project Changes – State FFGA and Local Funding Only (Non Federal)


March 9, 2017

f) Contingency Status As part of the BLE Risk and Contingency Management Plan (Rev. 0) for Entry into Final Design, Cost and Schedule contingency drawdown schedules were developed with the planned contingency draw down and minimum contingency values for project milestones. Following is the history of the contingency drawdown. • At the start of Milestone 1, Approval for Entry into Final Design (July 2012), the BLE contingency level

was $224.3 million, as reflected in Rev. 5 of the 65% cost estimate (FFGA Baseline Cost Estimate). • At of the start of Milestone 2, FFGA Executed (October 2012), the BLE contingency level was $217.7

million, well above the minimum Phase Start contingency value of $178.7 million. • At the start of Milestone 3 (December 2013), the BLE contingency level was $109.0 million, well above

the Phase Start contingency value of $153.2 million. As of 5/14/14, the Project will complete Milestone 3 (System Design Complete) and Milestone 4 (40% of Contracts Executed).

• At the start of Milestone 5 (February 2014), Complete NS Relocation to Airport, the BLE contingency was $223.5 million, well above the minimum Phase Start contingency value of $127.67 million.

• At the start of Milestone 6 (April 2015), Complete Utility Relocations in Segment B, the BLE contingency was $172.2 million, well above the minimum Phase Start contingency value of $110.6 million.

• At the start of Milestone 7 (December 2015), 100% of Major Contracts Executed, the BLE contingency was $162.7 million, well above the minimum Phase Start contingency value of $85.1 million.

• The project has now moved into Milestone 8 (October 2016), Complete Trackwork – Seg A1 and Yard, with an estimated contingency of $123.4 million, well above the minimum Phase Start contingency value of $68.1 million.

The Current Cost Estimate and Contingency Levels (columns A and B) reflect actual bids, use of contingency for change orders and contract amendments, and cost estimates for any remaining work (primarily Landscaping). The Estimated Remaining Contingency (column H) also reflects pending and approved changes (columns C and D) by the Change Control Board which have not yet been incorporated into the Project Budget in e-Builder. Based on the most current appraisal and settlement values, CATS currently estimates $1.3 million of contingency will be used to settle real estate acquisitions (column E). In addition, FTA requested that CATS show in the contingency report the use of unallocated contingency for the non-federal Project Changes ($20 million), as well as the potential savings in federal funds ($20 million). Therefore, those line items have been added to the contingency chart, along with a note clarifying that the potential savings is at completion of the project, and CATS would identify additional local funds to match the federal funds if needed. There were no budget changes approved by the CCB in November 2016. The following budget changes were approved by the CCB in December 2016:

• Increase to the Project Changes budget ($2,000,000); • Misc Civil Contract Amendment with Civil B/C ($5,000,000); • Kleinfelder Contract Amendment ($700,000).

The CCB also approved moving $15 million from Real Estate contingency to Construction contingency. No additional budget changes were approved by the CCB in January 2017. Current estimated total contingency is $87.5 million. Contingency use and remaining contingency are shown in the tables on the following page.


March 9, 2017

PROJECT CONTINGENCY SUMMARY BY SCC CATEGORY As of 2/1/17

A B C D E G = A+C+D+E H = B-C-D-E

SCC DescriptionYOE Cost w/o Contingency Contingency

YOE Cost w/o Contingency Contingency

Approved Budget

Changes3

Pending Budget

Changes3Real Estate Cost

Changes4YOE Cost w/o Contingency Estimated

FFGA1 FFGA1Current Cost

Estimate2Current Cost

Estimate2

not included in Current cost

estimate


estimate


estimateRevised Cost

EstimateRemaining

Contingency

10 GUIDEWAY & TRACK ELEMENTS (9.33 miles) 144,737,018$ 13,520,838$ 114,488,739$ 4,268,712$ -$ 114,488,739$ 4,268,712$ 20 STATIONS, STOPS, TERMINALS, INTERMODAL (11) 69,526,837$ 9,242,593$ 96,932,489$ 4,205,662$ 1,350,000$ 98,282,489$ 2,855,662$ 30 SUPPORT FACILITIES: YARDS, SHOPS, ADMIN. BLDGS 13,647,743$ 1,785,725$ 19,192,200$ 2,143,555$ 19,192,200$ 2,143,555$ 40 SITEWORK & SPECIAL CONDITIONS 168,640,009$ 23,829,006$ 229,507,406$ 4,371,798$ 7,000,000$ 12,750,000$ 249,257,406$ (15,378,202)$ 50 SYSTEMS 106,804,052$ 11,116,872$ 83,820,117$ 7,822,090$ 1,500,000$ 85,320,117$ 6,322,090$ 60 ROW, LAND, EXISTING IMPROVEMENTS 97,138,693$ 24,284,673$ 92,889,193$ 14,174,673$ 1,332,645$ 92,889,193$ 14,174,673$ 70 VEHICLES (22) 86,730,272$ 8,673,027$ 98,797,564$ 636,094$ 98,797,564$ 636,094$ 80 PROFESSIONAL SERVICES 171,046,808$ 11,702,537$ 210,876,183$ 230$ 700,000$ 6,900,000$ 218,476,183$ (7,599,770)$ 90 UNALLOCATED CONTINGENCY 120,191,883$ -$ 78,491,883$ (20,000,000)$ (8,000,000)$ 50,491,883$ 100 FINANCE CHARGES 77,465,907$ -$ 47,847,907$ 29,618,000$ 47,847,907$ 29,618,000$ NF PROJECT CHANGES (NON-FEDERAL)5 20,000,000$ 2,000,000$ 22,000,000$

POTENTIAL SAVINGS OF FEDERALFUNDS (MATCH TO PROJ. CHANGES)6 20,000,000$ 6,000,000$ 26,000,000$ 10 - 100 TOTAL 935,737,340$ 224,347,156$ 1,014,351,798$ 145,732,698$ 10,550,000$ 19,650,000$ 1,332,645$ 1,072,551,798$ 87,532,698$ Notes: All costs in Year-of-Expenditure (YOE) Dollars 1,160,084,496$ 1,160,084,496$ 1,160,084,496$

1: FFGA Values established by the 65% Cost Estimate Revision 5

2: e-Builder Current Budget as of 02-01-17; incorporates Current Cost Estimate -12/24/14 for SCC 10-50, Actual Bids, and Change Orders

3: Approved and Pending Cost Changes not included in estimate; See Cost Changes Tracking Summary 02/01/17

4: Real Estate Cost Changes per SJM Real Estate Spreadsheet, 02-07-2017

5: Non-Federal Amount includes some allocated contingency

6: Potential savings at completion of BLE project; CATS will identify additional local funds to match federal funds if needed

7: Programmatic Change Management 20160207 (Adj for Civ A amendment)

COST CONTINGENCY DRAWDOWN (000s) As of 2/1/17

Project Milestone Target (Start) Date BL98 Phase Start Phase End Phase ContingencyFTA Buffer

Value (80%) Contingency

UseRemaining Phase

Contingency% Phase

Contingency UsedTotal Remaining

Contingency

228,305$ 228,305$ * 65% Cost Estimate / Risk Assessment Mar-12 228,305$ 195,762$ 32,543$ 202,271$ 3,958$ 28,585$ 12% 224,347$ 1 Approval for Entry to Final Design Jul-12 195,762$ 178,739$ 17,023$ 182,144$ 6,610$ 38,998$ 14% 217,737$ 2 FFGA Executed Oct-12 178,739$ 153,205$ 25,534$ 158,312$ 27,694$ 36,838$ 43% 190,043$ 3 Systems Design Complete Dec-13 153,205$ 136,182$ 17,023$ 139,587$ (33,442)$ 87,303$ -62% 223,485$ 4 40% of Contracts Executed May-14 136,182$ 127,671$ 8,511$ 129,373$ -$ 95,814$ 0% 223,485$ 5 Complete NS relocation to Airport Feb-14 127,671$ 110,648$ 17,023$ 114,053$ 51,329$ 61,508$ 45% 172,156$ 6 Complete Utility Relocations in Segment B Apr-15 110,648$ 85,114$ 25,534$ 90,221$ 9,439$ 77,603$ 11% 162,717$ 7 100% of Major Contracts Executed Dec-15 85,114$ 68,091$ 17,023$ 71,496$ 39,347$ 55,279$ 42% 123,370$ 8 Complete Trackwork - Seg A1 and Yard (incl Testing & Acceptance) Oct-16 68,091$ 51,068$ 17,023$ 54,473$ 35,837$ 36,465$ 50% 87,533$ 9 Traction Power Substations Energized Feb-17 51,068$ 34,046$ 17,023$ 37,450$ 10 Start of Pre-Revenue Service Aug-17 34,046$ 21,278$ 12,767$ 23,832$ 11 Target Revenue Service Date Nov-17 21,278$ 8,511$ 12,767$ 11,065$ 12 FFGA Revenue Service Date Mar-18 8,511$ -$ 8,511$ 1,702$

Notes: All costs in Year-of-Expenditure (YOE) Dollars (X000s)

FTA Minimum Cost Contingency Current Contingency Use


March 9, 2017

COST CONTINGENCY DRAWDOWN CURVE (000s)

AS OF 2/1/17


March 9, 2017

3.0 Contracts / Procurement

a) Procurement Activities

BLE CONTRACTS – IN PROGRESS T

Description Contractor Advertise Bid Due

Date RCA Date Contract Amount

Execution Date

Security for Stored Vehicles G4S n/a 6/13/2016 $1,259,000

Paying by monthly PO

during review

Landscaping Champion 10/18/2016 11/08/2016 12/12/2016 $282,345.80 $151,067.40 01/13/2017

Ticket Vending Machines (TVM) Genfare Amendment

#1 Negotiated 11/14/2016 $1,700,000 Immediate

Miscellaneous Civil Lane Amendment #4 Negotiated 11/28/2016 $5,000,000 Immediate

CSX Reimbursement Agreement

CSX Transportation

Amendment #1 Negotiated 9/12/2016 $176,801 Immediate

Norfolk Southern Reimbursement

Agreement

Norfolk Southern Railway

Amendment #1 Negotiated 11/14/16 $2,000,000 Immediate

Safety and Security Certification K & J Consulting Amendment

#7 Negotiated 3/26/12 $335,925 Immediate

Construction Materials Testing Kleinfelder Amendment

#7 Negotiated 2/27/17 $700,000 March 2017

Civil A Settlement Agreement

Balfour Beatty / Blythe JV

Amendment #3 Negotiated 3/20/17 $12,750,000 March 2017

he following procurement activities occurred in the last quarter: • Security for Stored Vehicles – G4S on GSA contract. Payment by monthly P.O. pending contract

signature. • Landscaping – Five separate Invitations to Bid (ITBs) were issued for the Landscaping projects.

Segments A and D were awarded to Champion. The other three were each under $100,000 so no RCA was required. Landscape projects are driven by the Charlotte Planting Season which begins in October and ends in April.

• TVM Amendment #1 – To add ticket validators on LRVs and at parking garages and cost of integration with parking system.

• Lane Amendment #4 – To add an allowance to complete additional miscellaneous civil construction work needed to complete the BLE project. An amount up to $5,000,000 was authorized by City Council for tasks to be negotiated as Change Orders, as needed.

• CSX Amendment #1 – To increase the not-to-exceed amount of the reimbursement agreement for design review and flagging services.

• Norfolk Southern Amendment #1 – To reimburse Norfolk Southern for costs of freight track relocation. • K&J Consulting Amendment #7 – To continue to provide Safety and Security certification services.

Amendment in CATS signature review.


March 9, 2017

• Kleinfelder Amendment #7 – Negotiations for additional staff hours to extend the Kleinfelder contract to December 2017 are in review.

b) Change Orders to Date and Upcoming Quarter Following are the BLE change requests currently in progress or approved in the e-Builder change management process.

Process Document (CR) Proposed/Negotiated Change Amount

Status (CR)

Date Finished (CO)

Associated Change Order

Includes Betterments

Betterment Change Amount

140,342.07140,342.07 11,539.59233,845.92233,845.92 17,469.50816,062.83816,062.83 145,822.13

31,365,151.066,810,290.67 189,705.30

CR #00202 - Add Drainage Structure A3-36-JB 39,651.16 Approved12.21.2016 09:09AM CO - 165 No -

CR #00205 - Parkwood Sidewalk and Planting Strip (DC - 68) (CN - 20) 5,455.06 Approved

12.19.2016 07:43AM CO - 178 No -

CR #00206 - Craighead Rd Bridge Conduit Detail at Bent 5 (FCN - 78) 416.38 Approved

11.22.2016 07:39AM CO - 157 No -

CR #00214 - 36th St Moment Slab (CD - 19) 45,924.75 Approved12.22.2016 12:45PM CO - 172 No -

CR #00215 - Add 8-inch BCCSP Wall A19, Segment P, as directed by TGS 1,638.60 Approved

11.22.2016 07:38AM CO - 160 No -

CR #00216 - Sawcut Precast Ballast Curb LR Bridge over 36th St. - RFI #528 4,456.56 Approved

11.21.2016 12:38PM CO - 161 No -

CR #00217 - Old Concord Revised Station Foundation Tolerances 2,957.11 Approved

12.29.2016 11:28AM CO - 167 No -

CR #00218 - Grading Details for Station Art at OCR (DC - 66) (CN - 17) 72,963.23 Approved

12.23.2016 03:12PM CO - 179 No -

CR #00221 - Materials for Resetting Fence at Alpha Mills 1,867.66 Approved12.29.2016 09:03AM CO - 164 No -

CR #00224 - Construct Concrete Paved Ditch under the Eastway Bridge 7,828.13 Approved

12.29.2016 09:05AM CO - 166 No -

CR #00225 - AT&T Conduit Under Future 10th Street (DC - 70) (CN - 22) 13,714.60 Approved

12.29.2016 11:30AM CO - 174 No -

CR #00226 - Verify Craighead Bridge Deck Concrete Strength 4,491.59 Approved12.29.2016 11:27AM CO - 176 No -

CR #00227 - Temporary Fence Panels at Alpha Mills 528.00 Approved12.29.2016 03:01PM CO - 173 No -

CR #00232 - Wall Saw Drainage Structure A3-20-JB 623.70 Approved12.29.2016 09:04AM CO - 168 No -

CR #00233 - Field Survey Data Collection at 25th St Station (FCN - 96) 440.00 Approved

12.19.2016 07:42AM CO - 170 No -

CR #00234 - Waterproofing Adhesion Tester 2,733.69 Approved12.29.2016 03:02PM CO - 169 No -

106,630.14 - CR #00200 - Waterline Sleeve for NS @ North Yard (DC - 65) (CN - 16) 106,630.14 Projected CO - 175 No -

74,216.25 -

CR #00149 - Temporary drainage along Walls A16/17 (CD - 16) 72,259.55 Pending No - CR #00236 - Stockpile Ballast Stone for CD #20 1,956.70 Pending No -

24,374,014.00 - CR #00138 - Additional Reinforcing Steel for Drilled Piers longer than Plan Lengths 60,544.89 Submitted - CR #00223 - 12x10 Precast Box Culvert - Reduced Jack & Tunnel Limits (DC - 30) (CN - 11) 969,637.19 Submitted - CR #00228 - Request for Contract Amendment #3 23,031,397.00 Submitted - CR #00230 - Grounding of Fences (DC - 73) (CN - 23) 100,594.83 Submitted - CR #00231 - Extension of NS Land Lease Agreement 52,800.00 Submitted No - CR #00235 - Temporary Shoring A12-24-OT, Sta. 1130+61, 85.97' LT 92,327.81 Submitted - CR #00237 - Engineering Cost for Craighead Jack & Bore CD #21 812.79 Submitted No -

CR #00238 - 8th Street Closure Requested by City (FCN - 95) 18,348.60 Submitted - CR #00239 - Replace Non-Cracked Portions of Wall A19 Concrete Ditch (FCN - 110) 6,810.59 Submitted No - CR #00240 - Chain link fencing at Consolidated Pipe Co., 201 E. 16th St. (FCN - 85) 1,279.16 Submitted No - CR #00241 - 36th St Light Rail Br to Moment Slab Cable Trough Transition (FCN - 107) 1,530.28 Submitted - CR #00242 - Deleted Segmental Wall A20 Material 6,306.12 Submitted - CR #00243 - Install Guardrail on N. Davidson St. near Structure A13-1-EW and Wall A34 (FCN - 108) 2,113.98 Submitted - CR #00244 - Temporary Foundation Support for OCS 2.59-2, Sta. 1128+40, 37.33 LT 29,510.76 Submitted -

Status (CR): Submitted (14 records)

Status (CR): Pending (2 records)

Change Request Monthly Report - BLE

Filter By: Program Name (Project Custom Field) equals LYNX Blue Line Extension Status (CR) not equal to Void

Project Name: 01A: Advanced Public Utility Relocation - Segment A (26 records)Status (CR): Approved (26 records)

Project Name: 01B: Advanced Public Utility Relocation - Segment B (25 records)Status (CR): Approved (25 records)

Project Name: 01C: Advanced Public Utility Relocation - Segment C (39 records)Status (CR): Approved (39 records)

Project Name: 02A: Civil - Segment A (183 records)Status (CR): Approved (166 records)

Status (CR): Projected (1 records)


March 9, 2017

11,346,281.529,935,549.46 100,193.12

CR #00136 - Mulch to Cover Soil in Median (CN - 45) 273,880.00 Approved12.23.2016 03:15PM CO - 122 No -

CR #00142 - OCS Within C44/C45 Tunnel Ramp (RFI - 273) (DC - 50) (CN - 37) 0.00 Approved

01.03.2017 07:13AM CO - 126 No -

CR #00147 - Conduit Needed for Signal Interface in Segment C (DC - 65) (CN - 47) 12,674.16 Approved

12.29.2016 03:00PM CO - 120 No -

CR #00148 - Dry Fireline and Manual Standpipe 46,750.94 Approved01.03.2017 07:12AM CO - 119 No -

CR #00151 - JW Clay and Institute Circle Soft Digs for Utilities (FCN - 40) 8,770.53 Approved

12.29.2016 09:03AM CO - 121 No -

CR #00153 - McCullough Drive (east) Water Meter Vault in Sidewalk (FCN - 35) 3,638.97 Approved

12.29.2016 11:24AM CO - 117 No -

CR #00155 - Pull Mandrel in Joint Duct Bank near Shopping Center Drive (FCN - 36) 1,119.57 Approved

12.29.2016 03:03PM CO - 124 No -

4,187.01 - 344,601.31 -

CR #00133 - Signal Comm Manhole Adjustments 25,012.50 Pending No - CR #00138 - Change to 4' Tall Ballast Curb Mounted Chain Link Fence 318,438.75 Pending No -

CR #00159 - Adjust Grade at Top of Slope Between Approximate sta. 3135+50 and sta. 3136+50 o/s Lt. (FCN - 46) 1,150.06 Pending No -

1,061,943.74 - CR #00162 - MIsc. Ornamental Fence Repair 2,610.50 Submitted No - CR #00163 - UNCC/Toby Creek Temporary Chain Link Fence 715.36 Submitted - CR #00164 - 4" Concrete Under Bridges Standard 10.23 91,552.00 Submitted - CR #00165 - Concrete Around Corriosion Control Test Station Boxes 54,153.60 Submitted -

15,402,824.954,428,574.91 ($270,800.00)

127,703.27 - 10,846,546.77 - 1,746,898.661,340,882.86 0

CR #00036 - Additional Artist Fencing at Tom Hunter Station (CN - 11) 5,322.00 Approved

12.21.2016 09:36AM CO - 20 No -

CR #00037 - 36th Street Utilities Submittal 268,557.00 Approved12.23.2016 03:16PM CO - 22 No -

201,583.80 - 204,432.00 - 197,990.72144,429.52 0

CR #00010 - Truncated dome modification for Drop Curb at the handicaps parking area along OCR station (FCN - 9) 2,537.90 Approved

12.19.2016 07:40AM CO - 8 No -

CR #00011 - Additional Conduit Work and Submittals for OCR Park and Ride-Civ A (CD - 3) 36,135.00 Approved

12.21.2016 09:11AM CO - 7 No -

CR #00015 - Additional Wheel Stops in Parking Lot Area 1,980.00 Approved12.19.2016 07:44AM CO - 9 No -

32,967.00 - 20,594.20 -

5,577,848.855,550,719.76 3,504,218.93

-22,594.54 - CR #00041 - Incorporation of Station Finishes Revision 3 Documents (DC - 12) (CN - 14) 22,731.70 Projected No - CR #00054 - Additional Hospital Logo at Bridge Extension 16,318.47 Projected CO - 54 No 16,318.47CR #00056 - Additional Reserved Parking Sign 8,121.29 Projected No - CR #00058 - Deductive CD due to NCR- 1 & 3 (CD - 4) -69,766.00 Projected CO - 57 No -

49,723.63 -

CR #00061 - Additional Overhead Raceway for Parking Control 20,414.85 Submitted -

1,801,849.531,631,269.92 0

CR #00034 - LED Color Changing Lights 842,841.17 Approved12.19.2016 07:41AM CO - 31 No -

170,579.61 - CR #00044 - Owner Requested Retail Signs 3,563.40 Submitted - CR #00045 - Added Topping at Level 6 and Added Drains (5 Locations) 18,804.01 Submitted - CR #00046 - Relocate Door Frame at Upfit Space 3,653.70 Submitted - CR #00047 - Final Excavation Quantities applicable to Allowance 9,744.60 Submitted -

33,153.000 0

33,153.00 - 9,611.78 - 3,740.14 - 5,871.64 -

CR #00002 - Ramp Relocation at ROCC 2,131.50 Submitted Yes - CR #00003 - Existing Sprinkler Pipe Relocation 3,740.14 Submitted Yes -



Project Name: 09: SBLRF Upfit (8 records)Status (CR): Pending (1 records)Status (CR): Submitted (7 records)

Project Name: 09A: ROCC Upfit (3 records)Status (CR): Projected (1 records)

Project Name: 08A: JW Clay Parking Garage (61 records)Status (CR): Approved (50 records)Status (CR): Projected (4 records)


Project Name: 08B: UCB Parking Garage (44 records)Status (CR): Approved (30 records)

Status (CR): Projected (3 records)Status (CR): Submitted (5 records)

Project Name: 07A: Old Concord Rd Park and Ride Lot (13 records)Status (CR): Approved (9 records)

Status (CR): Projected (1 records)Status (CR): Submitted (3 records)

Project Name: 05: Track and Systems (29 records)Status (CR): Approved (18 records)Status (CR): Projected (1 records)Status (CR): Submitted (10 records)

Project Name: 06: Station Finishes (25 records)Status (CR): Approved (17 records)

Project Name: 03: Civil - Segments B and C (131 records)Status (CR): Approved (108 records)

Status (CR): Projected (1 records)Status (CR): Pending (4 records)



March 9, 2017

97,872.1768,173.36 029,698.81 -

CR #00002 - Encoding File Fee for UNCC & EDM 1,750.00 Submitted - CR #00004 - Ad Frames for TVM Sides 27,948.81 Submitted -

1,765,410.00373,233.00 374,741.00

0 - 30,452.00 -

1,361,725.00 - 1,106,984.44

376,755.95 0CR #00023 - The Temporary generator for pedestrian bridge 32,237.57 Approved CO - 10 No 32,237.57

367,910.24 - CR #00012 - Added Fire Alarm Devices per Fire Marshal Review 4,557.72 Projected CO - 8 No -

362,318.25 - 562,469.08562,469.08 -743.00

CR #00008 - Additional Closeout Work 26,651.18 Approved12.19.2016 07:43AM CO - 9 Yes -

72,204,596.58

Status (CR): Submitted (14 records)Project Name: 17: Raleigh-Greensboro Drainage (8 records)

Status (CR): Approved (8 records)

Grand Totals (662 records)

Status (CR): Projected (1 records)Status (CR): Pending (2 records)Status (CR): Submitted (26 records)

Project Name: 16: Sugar Creek Parking Garage (23 records)Status (CR): Approved (4 records)

Status (CR): Projected (5 records)

Project Name: 11: Fare Collection (4 records)Status (CR): Approved (1 records)Status (CR): Submitted (3 records)

Project Name: 12: North Yard Operations Building (40 records)Status (CR): Approved (11 records)

Process Document Amount Of This Change

Status Date Finished

CO #00177 - Plan quantity over-run is required based on actual f ield conditions thru Pay Estimate #32 (BC-190) 85,976.32 Approved 12.23.2016 02:38PMCO #00180 - Plan quantity over-run is required based on actual f ield conditions thru Pay Estimate #33 (BC-192) 327,974.92 Approved 12.23.2016 02:41PM

CO #00125 - Plan Quantity Over-runs is required based on actual f ield conditions thru Pay Estimate #30 (BC-130) 69,568.13 Approved 12.23.2016 02:38PM

Project Name: 03: Civil - Segments B and C (16 records)

Change Order Report w /o CR

Filter By: Program Name (Project Custom Field) equals LYNX Blue Line Extension CR-CO does not have a value Subject does not contain CR

Project Name: 01A: Advanced Public Utility Relocation - Segment A (1 records)Project Name: 01C: Advanced Public Utility Relocation - Segment C (2 records)Project Name: 02A: Civil - Segment A (13 records)

Project Name: 17: Raleigh-Greensboro Drainage (1 records)

Project Name: 05: Track and Systems (3 records)Project Name: 06: Station Finishes (2 records)Project Name: 08A: JW Clay Parking Garage (3 records)Project Name: 08B: UCB Parking Garage (1 records)Project Name: 12: North Yard Operations Building (1 records)Project Name: 16: Sugar Creek Parking Garage (1 records)

c) Light Rail Vehicles (LRVs) Project Executive Summary • Revenue service started for LRVs 121 - 124 on 1/4/16. Charlotte • LRV 18 (138) – Performing 1000 mile burn-in testing. • LRV 15 (135) – Performing 1000 mile burn-in testing (battery breaker). • LRV 13 (133) – Performing starting static and dynamic testing. • LRV 17 (137) – Performing 1000 mile burn-in testing. • LRV 07 (127) – Performing 1000 mile burn-in testing (TOD). • LRV 08 (128) – Currently is performing starting static and dynamic testing. • LRV 05 (125) – Waiting burn-in. • LRV 06 (126) – Currently is performing starting static and dynamic testing. • LRV 19 (139) – Currently is performing starting static and dynamic testing. • LRV 21 (141) – Starting static and dynamic testing. • LRV 20 (140) – Delivered 1/18/17 and currently performing starting static and dynamic testing. Sacramento • LRV 22 (142) – (At Siemens) Scheduled for Charlotte delivery in May 2017.


March 9, 2017

BLE Integration Testing • LRV 14 (134) - Safety certified at NY awaiting BLE Integration Testing. • LRV 16 (136) - Safety certified at NY awaiting BLE Integration Testing. • LRV 11 (131) - Safety certified at NY awaiting BLE Integration Testing. • LRV 12 (132) - Safety certified at NY awaiting BLE Integration Testing. • LRV 09 (129) - Safety certified at NY awaiting BLE Integration Testing. • LRV 10 (130) - Safety certified at NY awaiting BLE Integration Testing.

Light Rail Vehicles in Storage • None at this time.

Light Rail Vehicles in Production • LRV 22 (142): Vehicle passed DITMCO testing. With placing LRV 140 on the production floor, the

storage project has been finalized. • Static testing and remaining production will be continued after APS has been received back in

Sacramento. Vehicle is currently in factory static testing process. • LRV 22 (142) is the next vehicle scheduled to be transported to CATS. • Bogie Sets for all 22 project vehicles have been installed. Schedule Status Notable changes to the schedule: • General Items:

o Production and commissioning schedule was included in MPR. o At CATS’ request, vehicle departure dates and delivery dates at CATS were postponed by 2 weeks.

• Commissioning: o Siemens commissioning team to close out open items on LRV 121, LRV 122, LRV 123 and LRV 124

after end of warranty. o Siemens commissioning team to close out open items on LRVs that have been Conditionally

Accepted. o Siemens commissioning team to perform commissioning testing on LRV 140.

Schedule Slippage Recovery Plan • Schedule recovery plan has been provided to CATS. CDRLs - Upcoming The following CDRLs are up-coming (30-day look ahead): • Two CDRLs (1-7 and 18-3) are currently in Siemens’ court for re-submittal. • No CDRLs are currently in CATS’ court for review and approval. • Approved CDRLs: 1-1, 1-2, 1-3, 1.4, 1-5, 1-6, 1-8, 2.1, 2-2, 3-1, 3-2, 3-3, 3-4, 5-1, 16-1, 16-2, 16-3, 18-1,

18-2, 18-4, 19-1, 19-2, 19-3, 19-4, CO1-1, CO1-2, CO1-3, CO1-4, CO1-5 and CO1-6. Upcoming Meetings and Activities The following meetings and activities are planned for next month: • Bi-Weekly Action Items review – scheduled every Thursday at 02:00PM ET. Bi-weekly meetings started

5/14/15. • Ongoing Deliveries, Conditional and Final Acceptances for LRV-125 to LRV-142 until end of calendar

year. • Start of transportation and commissioning of LRV-125 to LRV-142 is ongoing. Engineering


March 9, 2017

• Engineering point of focus for the month of January 2017 has been supporting production and implementing requested design changes including change orders and Field Modification Instructions and As-Built Drawings.

Final Design Review Look Ahead • All final design reviews are approved on project. Engineering Issues - Hot List • Preparation for ECN/FMI release. • Completion of CDRLs. • Supporting commissioning team in Charlotte, NC and Sacramento storage vehicles preparing for

transportation. Material Status – Update • With the procurement phase mostly concluded, we have created a list of items that we recognize as a

potential risk to production need dates. The list is based on the comparison of confirmed PO placement dates and vendor provided lead times, or vendor confirmed delivery dates vs. ideal production need dates.

Manufacturing Issues - Hot List • Installation and testing of parts to finalize assembly of LRV 142.

4.0 Schedule

a) Schedule Status / Milestone Schedule Schedule BL 98 is the update of the Master Schedule for the CATS Blue Line Extension (BLE) project with a data date of December 31, 2016. The Revenue Service Date went from October 6, 2017 to November 3, 2017 during the BL 98 Schedule Update. The primary cause of delay is contained within the Track and Systems schedule. The contractor’s BL 98 update continues to project further delay related to the University City Parking Garage because of RFI #476, which indicated that there were numerous conduits that were not depicted on the contractor’s drawings. The contractor has proposed to add additional cable trays so all cable runs have a continuous path to the communications room. A response to RFI #476 was provided on 1/9/17 that authorized the contractor’s recommendation for installing the cable trays. The City continues to disagree with the contractor’s assertion that this will take the projected amount of time and maintains that the contractor should mitigate delay as the contractor was given access to the University City Parking Garage on 8/3/16 as documented in U-COR-270. The contractor’s schedule was returned revise and resubmit (RAR) due to the continued delay. There are mitigation options that are being discussed that would include allowing testing to proceed without completed communications within the Garages and North Yard Building. The contractor would still need to complete the communications work and test the communication to the CCH/ROCC prior their contract completion. As of this update, using those mitigating steps would recover roughly a month of time related to Revenue Service. The critical path remains the same as BL 97, beginning with RFI #476 for the additional conduits that are not shown on the contractor’s drawings and the need for additional cable racks at the University City Parking Garage. The path then moves to the procurement of the additional cable trays, followed by the contractor’s work at the University City Parking garage to install the cable trays, equipment, conduit/cable/fiber, and devices. The critical path then moves to local testing at the parking garage followed by Integrated Communications testing, ICT #9, Systems Integrated Testing and Pre-Revenue Service, and finally Revenue Service. Within this update, the Civil A contractor continued working on the trackbed for the Freight Track Relocation. The contractor continues to coordinate with NS for inspections and resolving punchlist items


March 9, 2017

related to Zones 1-3 which would be the southern limits of the Freight Track Relocation (near the AT&O track) to Craighead Road. Once this work is inspected and approved, NS will release their separate third-party contractor to mobilize and begin to work. The Civil B/C contractor continues to work on the roadway elements (traffic and pedestrian signals, sidewalk, miscellaneous inlet work), installing planting mix, ballast curb fence installation, as well as various paving to bring the asphalt to grade prior to final paving. The Track and Systems contractor continued work on punchlist items for the trackwork across the alignment. The contractor also continued OCS work in Segment C near the northern end of the alignment and began OCS work in Segment A2 near 36th Street. The contractor also continued working on signals and communications across the alignment. This includes work related to the fiber backbone and fiber installation to the Signal Houses and Station Communications Cabinets. The contractor also began installing station devices at multiple stations on the BLE. The Station Finishes contractor completed the canopy installation at 9th Street in early December and completed the topping slab in Mid-January. The contractor also began installing signage at the stations and continued working on the miscellaneous flat work around the stations.

BLE MILESTONE SCHEDULE DATES

Variance

BL 97 Start Variance BL

97 Finish BL 98 Start BL 98 Finish Advertise Bid & Award Phase 2/7/13 (A) 0 12/12/16 (A) 109 Construction Phase - LRT Elements 1/28/14 (A) 0 6/2/17 -28

Construction Phase – Roadway 1/28/14 (A) 0 2/15/18 -22

Vehicle Delivery (22 Vehicles) 10/24/14 (A) 0 1/24/17 0

Systems Integration Testing 6/5/17 -27 8/3/17 -28

Pre-Revenue Service 8/5/17 -28 11/2/17 -28 Revenue Service Date 11/3/17 -28


March 9, 2017

BLE OVERALL SCHEDULE


March 9, 2017

b) Schedule Contingency Utilization As part of the BLE Risk and Contingency Management Plan (Rev. 0) for Entry into Final Design, a Schedule contingency drawdown schedule was developed with the planned contingency draw down and minimum contingency values for project milestones. The schedule contingency included a total of 359 calendar days. With the completion of the Track and Systems contract amendment, 72 days were recovered in BL86 schedule update. In BL95, Track and systems schedule update incorporated mitigation efforts, resulting in an August 1, 2017 target revenue service date. Delays in Civil Segment A2 impacted the Track and Systems schedule, resulting in an August 14, 2017 revenue service date. In BL97 and BL98, delays in the Track and Systems schedule related to the parking garage impacted the target revenue service date, which is currently November 3, 2017. The current remaining contingency is now 148 calendar days.


March 9, 2017

SCHEDULE CONTINGENCY DRAWDOWN AS OF 2/1/17 (BL98)

Project MilestoneTarget (Start)

Date BL98 Phase Start Phase EndPhase

ContingencyFTA Buffer Value

(80%) Contingency

Use

Remaining Phase

Contingency

% Phase Contingency

Used

Total Remaining

Contingency

* 65% Cost Estimate / Risk Assessment Mar-12 368 9 3681 Approval for Entry to Final Design Jul-12 359 327 32 333 0 41 0% 3682 FFGA Executed Oct-12 327 294 33 301 0 74 0% 3683 Systems Design Complete Dec-13 294 266 28 271 14 88 14% 3544 40% of Contracts Executed May-14 266 230 36 237 0 124 0% 3545 Complete NS relocation to Airport Feb-14 230 190 40 198 218 -54 133% 1366 Complete Utility Relocations in Segment B Apr-15 190 158 32 164 -34 12 -155% 1707 100% of Major Contracts Executed Feb-16 158 129 29 135 -72 113 176% 2428 Complete Trackwork - Seg A1 and Yard Oct-16 129 75 54 86 94 73 -56% 1489 Traction Power Substations Energized Feb-17 75 54 21 5810 Start of Pre-Revenue Service Aug-17 54 43 11 4511 Target Revenue Service Date Nov-17 43 0 43 912 FFGA Revenue Service Date Mar-18 0 0 0

FTA Minimum Schedule Contingency Current Contingency Use

Schedule Contingency Drawdown Log (prior 6 months shown)

Data Date Reason for Delay Change Target RSD

Remaining Schedule

Contingency Schedule7.31.2016 Delay in T&S Communications room work starting. 15 9/1/2017 211 BL938.31.2016 Recovery schedule T&S. -31 8/1/2017 242 BL949.30.2016 No change to Target RSD. 0 8/1/2017 242 BL9510.31.2016 Delay in Segment A2 (Civil and T&S). 13 8/14/2017 229 BL9611.30.2016 Delay in T&S schedule UCB parking garage conduit/cable 53 10/6/2017 176 BL9712.31.2016 Delay in T&S schedule UCB parking garage conduit/cable 28 11/3/2017 148 BL98


March 9, 2017

Schedule Contingency Drawdown Curve


March 9, 2017

5.0 Risks

a) Risk Mitigation Deliverables Status The following table provides an update on the status of the remaining Primary Risk Mitigation Deliverables.

Primary Risk Mitigation Deliverables # Risk ID Mitigation Deliverable Status

27 n/a Monthly Progress Report Monthly

28 n/a Monthly Schedule Reports Monthly

29 R-24 Real Estate Monthly Monitoring Reports Monthly

30 n/a Maintain Top 10 Risk Table Monthly

b) Retirement of Risk Items An updated risk register was issued on 11/16/16 (Rev. 16), with the following changes: • 6 new risks were added; • 13 risks were recommended to be retired; • 11 risks were reduced; and • 10 risks were increased.


March 9, 2017

c) Top Risk / New Risk Items Status PROJECT RISK REGISTER - TOP RISKSREV: 61DATE ISSUED 2/9/2017

Prob Rating

Cost Impact

Schedule Risk Rating

(p) ( c ) (s) (p) X (c+s)

1 C-9 10.00-50.00

Schedule contains little float, which may cause schedule delays and increase costs. Brim 4 4 4 32

Internal schedule workshops have been held. Key interfaces have been identified, and are being tracked. The contract amendment with Track and Systems to resequence the schedule was finalized in December 2015. Track and Systems submitted their revised baseline schedule in February, which indicated the contractor plan to meet the incentive dates (July 1, 2017 RSD). In schedule update BL90, the RSD moved to August 1, 2017. There have been delays and recoveries in the months since then, and the current RSD is August 1, 2017. Multiple critical and near-critical paths for T&S have been identified and are being monitored closely. Weekly meetings are being set up with Balfour Beatty Rail's Executive Vice-President. In BL98, projected delays in Track and Systems parking garage work resulted in a RSD of November 3, 2017.

2 C-50 10.00-50.00

Balfour Beatty construction issues (BLE CIV-A / BLCE ). Civil A not meeting schedule productivity.

Brim 4 4 4 32

On 7/17/2014, CATS reported to FTA it was experiencing issues with Balfour Beatty related to Streetcar and BLE contracts. FTA requested that Balfour Beatty be added to the risk register. On the BLE CIV-A and TRK/SYS contract, Balfour Beatty's submittals have been slow and CIV-A reported significant delays. CATS has informed Balfour Beatty of the high profile of this project and meetings have been held with executives at Balfour Beatty. A partnering workshop was held with Balfour Beatty Infrastructure/Blythe JV on October 9-10, 2014, and with Balfour Beatty Rail (Track/Systems) on December 4-5, 2014. The Civil A contractor has experienced delays, including the drilled shafts for retaining walls, temporary shoring for the Norfolk Southern bridge, and the CSX bridge. Weekly executive meetings were held to monitor progress and resolve issues. A Settlement Agreement was reached with Civil A that includes schedule incentives, and a new management structure has been implemented. BBR (T&S) revised their Baseline schedule, with a sequence that would work Segment A1, Segment A3 (new), Segment B, Segment C then back to Segment A2. Civil A completed Segment A2 on 10/27/16; therefore, Civil A is no longer on the critical path. In the latest schedule update BL98, the RSD is now November 3, 2017 due to projected delays in Track and Systems.

3 C-20 10.40Construction of the NS Line Relocation and 36th Street grade separation takes longer than planned.

Wally 5 3 3 30

This risk is being mitigated by a revision to the construction schedule that changes the relationship between the NS freight track relocation and light rail construction. The new construction sequence revises the schedule logic by allowing the LRV track bed to be installed prior to completion of the freight track relocation. NS has approved the new concept. The schedule for the 36th Street light rail bridge is discussed in weekly executive level meetings to monitor construction progress. Further delays experienced due to NS signal wire and NS construction schedule are being closely coordinated with NS to deliver the freight trackbed to the NS contractor. The NS rail contractor has begun preliminary mobilization onto the new freight track realignment bringing materials onto the site.

4 S-1 50.00System integration and testing issues may increase project costs and impact schedule. (BBR)

Mock 3 4 3 21

Delay in receiving the contractor's system integration testing and several key technical submittals are preventing HNTB from completing the SIT Plan. CATS continues to push the contractor to submit the required documentation. CATS and the contractor have reached general agreement to the approach for signal-vehicle testing currently scheduled to begin in mid-March. The test plan is still under review.

5 S-2 80.08Final system integration testing & start-up may require additional time and increase costs. (CATS, HNTB)

Mock 3 4 3 21

Delay in receiving the contractor's system integration testing and several key technical submittals are preventing HNTB from completing the SIT Plan. CATS continues to push the contractor to submit the required documentation. HNTB has provided an updated SIT plan on 2/1/17 with comments expected back by 2/10/17.

6 C-8 10.00-50.00

Coordination of "follow-on" contractors may prove more difficult than expected. Mrzygod 4 3 2 20

CATS has hired a Construction Management Consultant for the BLE Project, who will be responsible for coordination between contracts. Contracts include contract coordination requirements, delayed availability, incentives, and liquidated damages to address this issue. An interface matrix showing the relationship between the AA and ICT dates has been prepared, and is being updated monthly. Schedule coordination meetings have been held with the Civil, T&S and Station Finishes contractors. An Interim Completion Time (ICT) process has been developed for areas in which a contractor is handing off completed work to another contractor. The process involves both contractors agreeing to scope of completed work prior to ICT completion dates. Survey and as-builts are being shared between contracts. Monthly internal Construction Manager (CATS)/Resident Engineer (HNTB) meetings are being held to coordinate important work items that either effect critical path or follow on contracts. The contractors are also scheduling coordination meetings with other contractors. With all major contracts now underway, CATS/HNTB hold contractor coordination meetings as necessary to coordinate access/material storage/follow-on work. Critical interfaces have been identified and are being monitored on a weekly basis.

7 C-25 50.07

There may be difficulties in implementing necessary changes/additions to the Rail Operations Control Center (ROCC) and the Network Operations Center (NOC) while not interrupting existing rail operations. (cost, schedule)

Mock 4 2 3 20

The ROCC will be temporarily relocated to the 2nd floor of the VMF, so the BLE contractor will have unrestricted access to the existing ROCC to install the new systems and test/commission without impacting the daily operation of CATS. The cost of the relocation may be higher than anticipated. The ROCC temporary relocation was completed successfully. Delays to the completion of the ROCC due to BPM termination may cause delay claims by the Track and Systems contractor. The ROCC upfit has been completed by the SBLRF II contractor. However, the Track & Systems ROCC design still has to be approved, as well as testing procedures. In addition, the actual testing must be performed at night to limit impacts to light rail operations.

8 D-3 50

There may be complications in integrating the new BLE systems with the existing South Corridor and the BLE (systems integration complications)

Mock 4 2 3 20

There is an concerted effort to start testing of the TDX system. On 12/12/16, CATS sent several Operations and IT staff members to a Pre-System Factory Test to review GUI screens and comment on the application. This allows the BL (existing line) to have some of the testing accomplished. Following the contractor's testing schedule this would start as soon as the approved submittals can be reviewed and approved. The BLE testing can be performed on a 24-7 type schedule limited only by resources. The contractor has begun to hold weekly workshops with Rail Operations staff and other stakeholders to progress the software design.

9 C-68 50.00Delays and quality issues with Communication submittals may cause schedule delays and increase costs.

Mock 4 2 3 20

BBR/MRS submittals are behind schedule, and have required multiple revisions. There are weekly meetings so that all parties can review submittals and minimize turn around thus providing more efficient submittal closure. This in addition to separate workshops when required.

10 C-69 50.00 Issues with software testing could cause schedule delays and impact costs. Mock 4 2 3 20

Preliminary software testing was held December 12, 2016. The contractor has implemented a series of weekly meetings to resolve the comments from the testing.

11 C-70 50.00

Replacement of 21 flange-bearing frogs with tread-bearing frogs along the main line of track could cause a delay and increase costs.

Mock 4 3 2 20

Frog procurement has been established, manufacturing of frogs has commenced, with Factory Acceptance testing for the #8 and #10 crossover frogs is scheduled for December 7, 2016. The first set of four frogs were installed on 12/12/16 and instalation has gone better than expected. All frogs have been replaced.

Monthly status reportOwnerRisk IDSCC

CodeRisk Description

Legend Low (1) Med (2) High (3) Very High (4) Significant (5)

Probability < 10% 10><25% 25><50% 50% ><75% >75%

Cost < $250K $250K><$1M $1M><$3M $3M><$10M >$10M

Schedule < 1 Mths 1 ><3 Mths 3><6 Mths 6><12 Mths > 12 Mths

Rating < =6 6.1-18.9 > =19


March 9, 2017

6.0 System Safety and Security Certification

a) SSC Activities The Safety and Security consultant, K&J Safety and Security Consulting Services, completed the following work: • Continued working with the Light Rail Vehicle provider (Siemens) and LTK on reviewing the deliverables provided to

verify the acceptance and closure of items on the Certifiable Items List (CIL). • Continued the verification of the Specification Conformance Checklists (SPCCs) and Construction

Conformance Checklists (CCCs) for various contracts. • Continued the verification of the CCC and SPCC for the Temporary Vehicle Storage Track. • Continued to work on closing out open items on LRVs 121, 122, 123, and 124 so that Final Safety & Security

Certification certificates can be issued. • Re-issued Interim Certificates for LRVs 121, 122, 123, and 124 to address open items and correct expiration dates in

January. • Continued the testing and verification activities on LRVs 135 and 138. These vehicles are still in the Burn-

in process. • Continued testing and verification activities on LRVs 131, 132, 133, 134, 136, and 137. • Burn-in for LRV’s 129, 130, 131, 132, 134, and 136 have been completed. • Interim Revenue Service Safety Certificates for LRVs 129, 130, 131, 132, 134, and 136 were issued. • Issued Burn-in Certificates for LRVs 127 and 128 on 11/22/16. • Burn-in Certificates for LRVs 125, 137, and 139 were issued. • LRV 140 was delivered in January 2017. • LRV 142 is expected to be shipped in February and arrive to CATS facilities in March. • The development of the Integrated Testing (I.T.) Certifiable Items List (CIL) is still delayed in that the

Integrated Test Plan has not been completed. • Continued working on the development of an Emergency Preparedness Table-top Exercise and Full-scale

Field Exercise to be presented in 2017.

The Safety Professional with the CMC HNTB completed the following work: • Continued performing safety tours for Civil B/C contract joined by the prime contractors’ safety

professional to monitor and oversee effectiveness of contractor safety programs and procedures. • Continued performing safety tours for Civil A contract to monitor and oversee effectiveness of contractor

safety programs. No joint tours have been performed since middle of December 2016 as no safety full time coverage was available by a dedicated approved safety officer including the month of January 2017.

• Continued attending Civil A, Civil B/C, Tracks & Systems, Station Finishes, and OCR Park & Ride respective weekly progress meetings.

• Continued monitoring the prime contractors’ weekly safety meetings activity. • Continued verifying, monitoring and following up with prime contractors’ submittal of OSHA 300 Logs,

man power work hours, C-21 reports, incident reports, Weekly Safety Topics, investigations and implemented corrective actions, etc.

• Continued participating at the CMC’s project staff weekly meetings to address topics of concern, upcoming activities and share lessons learned.

• Continued monitoring, following up and verifying that new contractors and subcontractors are in compliance with the BLE OCIP enrollment program.

• Continued monitoring traffic control plans’ implementation for compliance per the approved expectations.

• Continued reviewing documentation pertaining to critical lift operations; monitoring the contractor’s diligence to perform documented inspections, verify the operators’ credentials were correct as approved, and job hazard analysis completions necessary prior starting of work.

• Participated at BLE S&S inspections during this period. • Continued attending both the BLE General S&S Monthly Meeting and the BLE Safety Professional

Committee Monthly Meeting. 32 of 158 FTA Quarterly Review Meeting

Charlotte Area Transit System March 9, 2017

• Continued assisting with information reviewed at the SSRC monthly meeting. • Continued providing training as necessary and full assistance to the Safety Professionals for the

‘horizontal’ contracts on: e-Builder database regarding incident reporting, processes, and forms; important information on contract provisions and requirements, site mapping and locations for areas with concentrated construction activity.

• Continued providing CATS with project trend analysis, observed outstanding issues and recommendations regarding mayor concerns.

• Continued providing assistance to CATS S&S and Risk Management on General Claims Incidents’ investigations.

• Continued being S&S liaison between all the contracts’ safety representatives and management for better communication, planning and teamwork efforts.

• Continued following up on the close-out for Safety & Security Certification requirements for Civil A, Civil B/C, and Tracks & Systems respective contracts’ activity.

• Continued performing safety observation tours upon time permitting. • Continued assisting in the review process for new proposed Safety candidates for the Tracks & Systems,

Civil A, and OCR respective contracts. The Safety Professional with the CMC STV completed the following work: • Upon availability when in town, continued attending to the weekly progress meetings for the contracts

UCB Parking Garage, JWC Parking Garage, Sugar Creek Parking Garage, SBLRF ROCC Upfit, SBLRF Upfit (Phase II & III), and North Yard Operations Building.

• Continued monitoring contractors’ weekly safety meetings and topics of concern. • Continued monitoring the contractor submittal of OSHA 300 Logs and man power work hours, and C-21

forms. • Continued performing safety inspections for all parking garages’ contracts and the North Yard Operations

Building.

b) Safety and Security Meetings • SSRC monthly meetings were held on 11/21/16, 12/19/16 and 1/23/17. • No FLSC meeting was held in November 2016. An FLSC monthly meeting was held on 12/19/16. No

meeting was held in January 2017. • HNTB-BLE Safety, Security and Risk Management monthly meetings were held on 11/21/16, 12/21/16

and 1/18/17. • A BLE/BLCE General Safety & Security Monthly Meeting (PM’s all contracts) was held on 11/28/16 and

1/21/17. No meeting was held in December 2016. • A BLE/BLCE Safety Committee Monthly Meeting (all Safety Professionals) was held on 11/28/16 and

1/21/17. No meeting was held in December 2016. • K&J continues holding various meetings with the project team and contractor staff to discuss:

o Issues associated with drawing reviews, status of vehicle specifications (Delta Specifications) as well as reviewing revisions to the DCCC, CCC and SPCC.

o Construction Management support for CIL verification on DCCC, CCC, SPCC, and LRV delivery, and on-site testing as well as vehicle “burn-in” and verification of vehicle CIL items.

o On-site meetings with Siemens (Sacramento) that have taken place to verify the set up and population of the vehicle car history books as well and verifying documentation on vehicle production and Factory Acceptance Testing (FAT).

• Weekly S&S Coordination Meetings – CATS S&S and Consultants’ Safety Professionals for HNTB and STV continue to meet in order to coordinate and review plans for overlapping activities between all the BLE contracts, in addition to review of safety statistics, incidents and tracking of corrective actions.

• Weekly progress meetings: attendance to Systems Integrations, Project Controls, and all contracts for the BLE continues.


March 9, 2017

7.0 Project Development

a) Real Estate Acquisition and Relocations The following is a status of acquisition activities.

SEG.

Current

# of. Parcels

Acquisition:

Parcels Acquired

Condemnations

Filed

Condemnations

Settled

A 148 117

31

30 B 99 59

40

36

C 90 44 46

36 TTL 337 220 117 102

The following is a summary of the relocation claim status of the affected businesses. All businesses have vacated. Parcel Owner Tenant Claim Status

1285 SRI Holdings SRI Move Claim submitted and paid. Additional claims 1293 Brownstone Source Recycling Move Claim submitted and paid. Additional claims 1351 PS NC I, L.P. Public Storage Claim completed.

1357 Dross, J. Royal Motors Claim completed. 1359 Tagazar Import

Tagazar Import Export Claim completed.

1359 Tagazar Import

Los Braceros Auto Claim completed. 1361 Banawan Profix Claim completed. 1363 Motan Payless Electronics Claim completed. 1363 Motan Abdul H. Motan Claim completed. 2157 Sam's Mart Sam's Mart Claims Pending. 2201 Kotrotsios, D Pizza Hut Claim completed.

2201 Kotrotsios, D Best Shoes Claim completed. 2201 Kotrotsios, D Pro-fit Alterations Claim completed. 2201 Kotrotsios, D Elite Hair Studios Claim completed. 2201 Kotrotsios, D GBS Tax/Jackson Hewitt Claim completed. 2203 Kotrotsios, S Grandma's Country Kitchen Claim completed. 3151 Allstates

Twin Peeks Claim completed.

3223 Roseclay Panda Express Claim Completed. 3223 Roseclay Nona's Claim completed. 3225 Roseclay Honeybaked Ham Claim completed. 3225 Roseclay Papa Johns Claim completed.

b) Environmental Mitigation Monitoring Plan Status Report See attached.


March 9, 2017

Northeast Corridor Light Rail Project

1

LYNX Blue Line Extension

RECORD OF DECISION MITIGATION COMMITMENTS AND MONITORING PLAN

STATUS REPORT – FEBRUARY 2017

Mitigation ID

Number Mitigation Measure

Implementation and Monitoring

Responsible Party

Timing Status

1

Traffic The mitigation to address project impacts have been included in the 65% Preliminary Engineering Design Plans, including grade separations, signalized grade crossings, and turn lanes.

The mitigation measures will be included in the traffic design and signal operations plans and specifications.

CATS Final Design

& Construction

On 12/31/12, the Project Team approved an update to the Project Layout for Final Design. This layout includes the same grade separations, grade crossings, and turn lanes as the 65% design plans and adds two approved modifications. The modifications will be included in the Final Design plans and are: 1) the turn lane on N. Tryon St into the UCB park and ride access road was lengthened. 2) Intersection improvements at JW Clay Blvd and Olmstead Rd., which was included in the traffic analysis evaluated in EIS, but not included in the 65% design plans. These modifications are reflected in the Final Design plans (Contract 3 CIV B/C).* Please refer to the CATS BLE Mitigation Checklist Matrix for detailed references to plan sheets and specifications sections for each mitigation measure.

With University City Boulevard now fully open, CDOT updated its traffic analysis of the University City Boulevard and I-85 intersection using current traffic volume data. The updated analysis indicates significant traffic queues and delays due to traffic from the UCB park and ride, resulting in the need for a traffic signal.


March 9, 2017


2


Mitigation ID

Number Mitigation Measure Implementation and

Monitoring Responsible

Party Timing Status

2

Land Use The Charlotte-Mecklenburg Planning Department will complete Station Area Plans for each of the stations along the BLE that define a framework for future growth and development. Potential impacts due to the 36th Street grade separation have been identified as a concern. The Charlotte-Mecklenburg Planning Department will complete a station area plan for the 36th Street Station. The plan will identify opportunities and constraints in the station area, and provide recommendations for land use policy, a streetscape plan, and guidance for infrastructure investments. The development of the station area plan is scheduled to begin in 2012. The process will include public involvement and the opportunity for interested parties, including property owners, to provide input.

The Charlotte-Mecklenburg Planning Department will continue development and adoption of Station Area Plans in the Northeast Corridor. The 36th Street station area plan development is scheduled to begin in 2012.

Charlotte Planning Dept.

Final Design, Construction, & Operation

COMPLETE

A public meeting was held 1/31/13 to present the findings, results and recommendations for the BLE Station Plans for the inner six stations (Parkwood, 25th, 36th, Sugar Creek, Old Concord & Tom Hunter Stations). The draft station area plans were available for public comment through the end of April. The Blue Line Extension Transit Station Area Plans were adopted by the City Council 5/13/13.

The Charlotte-Mecklenburg Planning Department is initiating the process to update station area plans for the University City stations (University City Blvd, McCullough, and JW Clay Blvd.) This update will account for the revisions in location and number of stations since the University City Area Plan was adopted in 2007. Planning and CATS held a joint public workshop in December 2013 to receive feedback on the proposed revisions. Additional workshops were held in February 2014 and July 2014. A final workshop was held on December 9, 2014. The updated University City Area Plan was adopted by City Council on May 11, 2015.

A station area development database is being maintained by the Planning Department, and is included in the BLE monthly report.


March 9, 2017


3


Mitigation ID



Party Timing Status

3

Neighborhoods Overflow parking in neighborhoods near light rail stations will be monitored. Corrective actions to provide additional parking will be made and/or parking enforcement will be instituted, if necessary.

Once the BLE is in operation, CATS Safety and Security will monitor station areas, and investigate any complaints of overflow parking in neighborhoods near light rail stations.

CATS Operation Status will be provided after the initiation of BLE rail operations.

4A

Community Facilities Coordination with emergency service providers to ensure that design allows access for these services and that the efficiency of emergency services is not impeded.

Addressed through the Fire & Life Safety Committee.

CATS Final Design

& Construction

CATS continues to hold bimonthly meetings with the Fire and Life Safety Committee to coordinate emergency service needs and review design plans. A full-scale exercise will be executed prior to revenue service operations.

4B

Community Facilities Coordination with CMC-University regarding the type and location of directional signage.

CATS will coordinate with CMC-University during final design regarding location of directional signage.

CATS

Final Design &

Construction

COMPLETE

The utility contractor has installed all temporary directional signage for CMC-University. CATS has coordinated with CMC-University regarding the type and location of permanent directional signage. These measures are reflected in the Final Design plans (Contract 3 CIV B/C).* Please refer to the CATS BLE Mitigation Checklist Matrix for detailed references to plan sheets and specifications sections for each mitigation measure.

Permanent directional signage has been fabricated & installed on 7/1/2013.

5

Environmental Justice Noise mitigation for residential properties located within EJ communities of concern will be required, including use of a rail automated friction modifier, noise barriers, sound insulation, specially-engineered trackwork and vibration isolation treatments.

Include in design and construction drawings. CATS

Final Design &

Construction

Mitigation measures are reflected in the Final Design plans (Contract 2A CIV-A, Contract 5 TRK, & Contract 3 CIV B/C). *Please refer to the CATS BLE Mitigation Checklist Matrix for detailed references to plan sheets and specifications sections for each mitigation measure. Also, refer to mitigation item #15. The Construction Management Consultant has verified that the noise barriers (walls A8 and A37) have been constructed consistent with plans and specifications (ICT #5.2 Completion Certificate, 9-15-15; and ICT #9 Completion Certificate 10-27-16).


March 9, 2017


4


Mitigation ID



Party Timing Status

6A

Visual And Aesthetic Implementation of the design treatments per the project’s Design Criteria, Urban Design Framework, to the extent practical.

Design project elements consistent with the BLE Design Criteria, Urban Design Framework, to the extent practical.

CATS & City Planning

Department

Final Design &

Construction

The project elements have been defined consistent with the BLE Design Criteria, Urban Design Framework, to the extent practical. The mitigation measures are reflected in the Contract Specifications (007500 Article 2) and in the Final Design plans (Contract 1B UTL B, Contract 2A CIV-A, Contract 2B FRT, & Contract 3 CIV B/C). *Please refer to the CATS BLE Mitigation Checklist Matrix for detailed references to plan sheets and specifications sections for each mitigation measure.


March 9, 2017


5


Mitigation ID



Party Timing Status

6B

Visual And Aesthetic Coordination with property owners to discuss the following proposed mitigation: For the six affected

properties in Hampshire Hills, landscaping is proposed along the project fencing, where right of way permits. The landscaping may need to be placed on private property, if there is not sufficient public right of way available; this would be subject to agreement from the affected property owners.

Additional directional signage to improve way-finding to CMC-University and retain visibility to the hospital.

Coordination with businesses along North Tryon Street to relocate business signage as needed and other design elements to minimize visual impacts.

CATS/City Real Estate will discuss landscaping mitigation with property owners during real estate acquisition process. CATS will coordinate with CMC-University during final design regarding location of directional signage. CATS will coordinate with businesses along North Tryon Street during final design regarding location of business signage and project design.

CATS & City Real Estate

Division

ROW, Final Design, &

Construction

A draft Landscaping Plan was developed for ROW negotiations. The intent is for the landscaping to be located within the TCE and become the property of the owner at the end of the project. The property owner can reject this offer. However, if accepted, the project will install with the landscape contract. Of the six affected properties, five of the six property owners accepted the landscaping offer; all six properties signed the temporary construction easement agreements. The Civil B/C contractor has taken over responsibility of adjusting the temporary signage to improve way finding and retain visibility to the hospital through the project’s traffic changes. Permanent signage is included as part of the Final Design Plans (Contract 3 CIV B/C).*Please refer to the CATS BLE Mitigation Checklist Matrix for detailed references to plan sheets and specifications sections for each mitigation measure. CATS continue to coordinate with businesses along North Tryon to relocate business signage. CATS worked with Charlotte Mecklenburg Planning Department to draft a text amendment that allows businesses to seek sign adjustments when a government sponsored transportation project requires either the relocation of an existing detached business identification sign or impairs the visibility of an existing detached business identification sign to the adjacent travel lane. The text amendment was adopted by City Council on 9/16/13.


March 9, 2017


6


Mitigation ID



Party Timing Status

6C

Visual And Aesthetic Continued coordination with stakeholders and potentially affected groups regarding potential visual impacts: UNC Charlotte to ensure consistency with campus design guidelines; and University City Partners to provide information to affected business owners.

CATS will provide design plans to UNC Charlotte for review and comment. CATS will regularly communicate with University City Partners regarding the property acquisition process, design and construction of the project.

CATS Final Design

& Construction

The mitigation measures are included in the Final Design Plans (Contract 3 CIV B/C).*Please refer to the CATS BLE Mitigation Checklist Matrix for detailed references to plan sheets and specifications sections for each mitigation measure. CATS provided 95% Final Design plans to UNC Charlotte. Monthly construction updates are held with UNC Charlotte. CATS continues to communicate regularly with University City Partners regarding the design and construction of the project. UCP has agreed to fund an art treatment for the pedestrian bridges over N. Tryon Street at the JW Clay Blvd. Station.


March 9, 2017


7


7

Parklands Toby Creek Greenway - Vegetative screens will be maintained to the extent practical; CATS will coordinate with MCPR to ensure the light rail bridge over the greenway would not conflict with the greenway, and to minimize impact to trail operations during construction. An alternative route will be provided and attempts will be made to coordinate closure during a period of least activity. CATS will notify MCPR 48 hours in advance of temporary closure of greenway due to construction.

Include in contract specifications. CATS will continue to coordinate with MCPR at each design stage. Include in contract specifications, requirement to notify CATS and MCPR 48 hours in advance of temporary closure of greenway.

CATS Final Design

& Construction

The MCPR approved design to preserve permanent access to the greenway and ensure temporary access to the greenway during construction is included as part of the Final Design Plans (Contract 3 CIV B/C). The communication provisions are included in the contract specifications. *Please refer to the CATS BLE Mitigation Checklist Matrix for detailed references to plan sheets and specifications sections for each mitigation measure.

During September 2014, the BLE team coordinated with MCPR regarding impacts to the Toby Creek Greenway. A pedestrian protection plan, which includes signage and flaggers, was reviewed by MCPR and is in place for the temporary construction access road crossing the greenway. In October 2014, the BLE team coordinated with MCPR regarding the need to reconstruct at portion of the greenway that conflicts with the planned location of a pier for the light rail bridge over Toby Creek. MCPR concurred with the design on 10/28/14. The greenway was temporarily closed for drilling of the bridge piers, beginning 2/10/2015. CATS coordinated with Mecklenburg County Parks and Recreation for the public notice of the closure.

In January 2015, the Civil A contractor requested access through the Eastway Park to work on boring under the railroad. Access was granted through a right of entry with the County and the work is complete. As of January 2016, major construction activities have been accomplished; however there will be ongoing, minor activities until rail is installed.


March 9, 2017


8


Mitigation ID

Number Mitigation Measure

Implementation and Monitoring

Responsible Party

Timing Status

8

Forests Trees and landscaping will replace vegetation loss. Park-and ride lots will comply with Charlotte Tree Ordinance, which requires 8 percent coverage.

Include in design plans and specifications. CATS

Final Design &

Construction

The provision to comply with the Charlotte Tree Ordinance is included in the Final design plans. Three landscaping contracts were awarded in September 2016, and five were awarded in December 2016.

9A

Threatened and Endangered Species For the Carolina birds-foot trefoil, prior to construction, the contractor will be required to confirm the presence of the plant in the corridor. If present, then seeds from the plant will be collected and subsequently sown/scattered in newly disturbed areas, such as along road/rail embankments associated with project construction. Additionally, seeds will be donated to the North Carolina Botanical Garden for deep freeze purposes; and CATS will coordinate with the North Carolina Natural Heritage Program (NCNHP) to update their records.

Include in contract specifications. CATS will coordinate with the NCNHP.

CATS

Final Design &

Construction

COMPLETE

Due to timing of the current project schedule, the contractor will not be under contract by the fall 2013, which is the period acceptable to survey the presence of the plant or collect the seeds. STV completed the survey field to confirm the presence of the plant and (and if present) perform the required seed collection. The Carolina birds-foot trefoil survey was completed by STV the week of 10/21/13. No specimens were found. On 12/30/13, the document was sent to the NC Natural Heritage Program for their records, with a copy to the Wildlife Resource Commission and the US Fish and Wildlife Service.

9B

Wildlife Survey for migratory bird nesting sites will be completed if it becomes evident that migratory birds are utilizing the project area.

Include in contract specifications.

CATS Construction

COMPLETE

This requirement is included in the contract specifications (007500 Special Provisions, Article 7, Section 7.1).


March 9, 2017


9


Mitigation ID



Party Timing Status

10

Groundwater Although no groundwater impacts are anticipated, a well located on the UNC Charlotte campus within the proposed project alignment is no longer in use. CATS and/or UNC Charlotte will complete the abandonment / closure process to seal the well per NC Department of Environment and Natural Resources (DENR) requirements. A permit will be obtained as required from the Mecklenburg County Health Department, and the closure will comply with the requirements of the Mecklenburg County Groundwater Well Regulations Chapter II Section XIII.

Complete the well abandonment / closure process prior to construction.

CATS / UNC Charlotte

Final Design

COMPLETE

The well abandonment /closure application was submitted to Mecklenburg County on 6/5/13. The permit was reviewed and approved by Mecklenburg County and received by CATS 7/2/13. CATS signed the permit and sent a copy to Mecklenburg County 7/8/13. The final elevation for the BLE project was lower than the depth of the well, so the Civil B/C contractor excavated the entire well.


March 9, 2017


10


11

Surface waters Design will continue to minimize impacts to streams through the limited use of riprap at pipe inlets and outfalls; the relocation of channels using natural channel design techniques where practicable; and preservation of stream banks at proposed bridge crossings. Compensatory mitigation will be made through the Charlotte Umbrella Stream and Wetland Mitigation bank when impacts are unavoidable and as required by the Clean Water Act and as determined in coordination with the U.S. Corps of Engineers and the North Carolina Department of Environment and Natural Resources, Division of Water Quality.

Include as part of construction plans and contract specifications. Purchase of compensatory stream mitigation credits from the Charlotte Umbrella Stream and Wetland Mitigation bank, as required by the Clean Water Action Section 404 individual permit and Section 401 Water Quality Certification.

CATS Final Design

& Construction

NCDENR DWQ signed the 401 Water Quality Certification on 6/28/12. US Army Corps of Engineers (USACE) signed the 404 Permit on 12/27/12. CATS sent a Plan Modifications letter (dated 9/9/13) to the USACE. The USACE concurred that a modified permit is not needed. NCDENR issued a Modification to the 401 Certification dated 10/9/13. NCDENR performed a compliance review for the 401 permit on 2/17/2016 (see item #27 for further detail). The 404 permit requires the purchase of mitigation credits from the Charlotte Stream and Wetland Mitigation Bank and the NC Ecosystem Enhancement Program (EEP). The compensatory mitigation responsibility for the LYNX BLE project was transferred to the City of Charlotte Stream and Wetland Umbrella Mitigation Bank on 4/18/13. The mitigation measures have been included as part of the Final Design Plans (Contract 2A CIV A & Contract 3 CIV B/C) and Contract Specifications (Special Provision -0075000) *Please refer to the CATS BLE Mitigation Checklist Matrix for detailed references to plan sheets and specifications sections.


March 9, 2017


11


Mitigation ID



Party Timing Status

12

Floodplains and floodways Bridge design will continue to minimize impacts to floodplains and floodways. Continued coordination with Charlotte and Mecklenburg County Stormwater Services will be made for continued input into the project design.

FEMA No Rise Certification and a Conditional Letter of Map Revision (CLOMR) will be obtained for the crossing of Little Sugar Creek and Toby Creek.

CATS Final Design

COMPLETE

The Toby Creek CLOMR was revised and sent to FEMA. FEMA re-issued the letter and the fee was paid by CATS. The Toby Creek Conditional Letter of Map Revision (CLOMR) was issued by FEMA on 12/27/2013. The Floodplain Development Permit for Little Sugar Creek was issued in September 2013.

13

Wetlands Additional efforts to avoid and minimize impacts to wetlands will continue to be made during preliminary engineering design, including: steepening fill slopes where practicable; use of retaining walls or similar structures; locating construction staging and access areas away from wetlands; and demarcating preserved wetland areas prior to construction. Compensatory mitigation will be made through the North Carolina Department of Environment and Natural Resources (DENR) Ecosystem Enhancement Program (EEP) when impacts are unavoidable, and as required by the Clean Water Act and as determined in coordination with the U.S. Corps of Engineers and the North Carolina Division of Water Quality.

Include as part of construction plans and contract specifications. Purchase of compensatory wetland mitigation credits from the NC DENR Ecosystem Enhancement Program (EEP), as required by the Clean Water Action Section 404 individual permit and Section 401 Water Quality Certification.

CATS Final Design

& Construction

NCDENR DWQ signed the 401 Water Quality Certification on 6/28/12. US Army Corps of Engineers (USACE) signed the 404 Permit on 12/27/12. CATS sent a Plan Modifications letter (dated 9/9/13) to the USACE. The USACE concurred that a modified permit is not needed. NCDENR issued a Modification to the 401 Certification dated 10/9/13. The permit requires the purchase of mitigation credits from the Charlotte Stream and Wetland Mitigation Bank and the NC Ecosystem Enhancement Program (EEP). The compensatory mitigation responsibility for the LYNX BLE project was transferred to the City of Charlotte Stream and Wetland Umbrella Mitigation Bank on 4/18/13. The mitigation measures have been included as part of the Final Design Plans (Contract 2A CIV A & Contract 3 CIV B/C) and Contract Specifications (Special Provision -0075000) *Please refer to the CATS BLE Mitigation Checklist Matrix for detailed references to plan sheets and specifications sections for each mitigation measure.


March 9, 2017


12


Mitigation ID



Party Timing Status

14

Air Quality Coordination with Mecklenburg County Land Use & Environmental Services Agency to comply with air quality modeling requirements for Transportation Facilities Construction Permits for the proposed parking garages.

Meet requirements to obtain Transportation Facilities Construction Permit for the parking garages.

CATS Final Design

COMPLETE

A transportation facilities (air quality) permit is required for both the JW Clay Blvd. and the University City Blvd. Parking Decks. CATS submitted the Transportation Facilities Permit application to Mecklenburg County Air Quality (MCAQ) for the JW Clay Blvd. deck. The permit has been reviewed by MCAQ. The permit was approved by Mecklenburg County Air Quality (MCAQ) on 12/2/13. CATS filed for a rezoning for the University City Blvd. deck, which was approved at the 11/18/13 Charlotte City Council meeting. CATS submitted the Transportation Facilities Permit application for UCB deck on 12/5/13. The permit was issued 1/31/2014.

On 11/5/13, MCAQ determined that a permit is not required for the Sugar Creek parking garage.


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Mitigation ID



Party Timing Status

15

Noise and Vibration Noise mitigation measures include use of a rail automated friction modifier, noise barriers, sound insulation, specially-engineered trackwork. Vibration mitigation measures include the use of ballast mats. Specific mitigation recommendations will be coordinated with affected property owners. Relative to a potential business impact on the Hight Veterinary Hospital from noise related to light rail operations, CATS will monitor and assess conditions at this business once the system is constructed and light rail is in operation. If noise impacts do occur, then mitigation measures will be identified and employed.

Include in design and construction drawings. Follow-up with Hight Veterinary Hospital and monitor for potential business impacts as a result of potential noise impacts to domestic animals at the veterinary hospital.

CATS Final Design

& Construction

Mitigation measures are reflected in the Final Design plans (Contract 2A CIV-A, Contract 5 TRK & Contract 3 CIV B-C). Please refer to the CATS BLE Mitigation Checklist Matrix for detailed references to plan sheets and specifications sections for each mitigation measure. The Construction Management Consultant has verified that the noise barriers (walls A8 and A37) have been constructed consistent with plans and specifications (ICT #5.2 Completion Certificate, 9-15-15; and ICT #9 Completion Certificate 10-27-16).


March 9, 2017


14


Mitigation ID



Party Timing Status

16

Hazardous and Contaminated Materials Phase II ESAs will be performed, or if available, existing Phase II ESA reports will be reviewed, for all full and partial property acquisitions determined to be at significant risk of hazardous materials contamination which would impact the LYNX BLE construction schedule. Remediation in accordance with local and state regulations. For sites of low concern, a special provision will be included in the construction contract for the excavation and disposal of non-hazardous contaminated sites.

Conduct Phase II ESAs for property acquisitions with significant risk of hazardous contamination. Remediate hazardous materials contamination in accordance with local and state regulations. Include a special provision in the construction contract for the excavation and disposal of non-hazardous contaminated sites.

CATS ROW, Final Design &

Construction

Phase II ESAs have been completed for property acquisitions with significant risk of hazardous contamination. As part of the recent discussions regarding the Detrex property (3114 and 3124 Cullman Ave.) with NCDENR, it was identified that a liner may be needed for the drainage ditch to prevent groundwater contamination. Subsequent modifications in CATS’ drainage design have been made to avoid further contamination or disruption to the contaminated property. In addition, NCDENR stated that a NPDES permit would be required for dewatering during construction of the retaining wall due to the presence of contamination. The public comment period for the draft NPDES permit ended 8/19/13. The final NPDES permit was issued 9/10/13. CATS applied for the NPDES permit for the DETREX and Alpha Mills sites for dewatering during construction. The permit application was sent to NCDENR 5/30/13. CATS received the final NPDES permit from NCDENR 8/28/13.

The affected properties have been identified and included as part of the Final Design Plans (Contract 1B UTL B, 2A CIV A & Contract 3 CIV B/C). The contract specifications (Special Provision -0075000 Article 2) provide for the excavation and disposal of non-hazardous contaminated sites) *Please refer to the CATS BLE Mitigation Checklist Matrix for detailed references to plan sheets and specifications sections for each mitigation measure. The Norfolk Southern intermodal yard property acquisition was completed in the August 2014, and Phase II testing has been completed. The testing found low levels of contamination throughout the site. The Brownfield Agreement with NC DENR was executed in October 2014. Please refer to Item #27 for construction status.


March 9, 2017


15


Mitigation ID



Party Timing Status

17

Safety and Security Design review by CATS Safety and Security/CMPD, NCDOT Safety Oversight, and Charlotte Department of Transportation to ensure design meets safety and security requirements. Continued public outreach regarding railroad safety.

Ensure design review and safety and security certification of project design and construction. Continue railroad safety public outreach program.

CATS Final Design

& Construction

The Preliminary Hazard Analysis (PHAs) and Threat and Vulnerability Assessment (TVAs) based on the 65% design plans have been completed and approved by the Safety and Security Review Committee. The PHAs for the 100% design plans have also been completed. The Design Criteria Conformance Checklists were completed by the Designer of Record and include the necessary safety requirements. CATS and the Safety and Security Review Committee updated the PHA and TVAs. As of February 2017, the Construction Conformance Checklists (CCC’s) are at the following % completion: Civil A - 90%; Civil B/C – 90%; Track and Systems – 13%; Station Finishes 59%, JWC – 90%; OCR – 88%; UCB 100%; North Yard – 0%; Sugar Creek – 0%; SBLRF Upfit – 100%. An Interim Safety and Security Certificate was issued for 7th Street to North Yard Temporary Use and Storage on 10/18/16.

18

Acquisitions and Displacements Uniform Relocation Assistance and Real Property Acquisition Policies Act will be followed.

Comply with the Uniform Relocation Assistance and Real Property Acquisition Policies Act.

CATS & City Real Estate

Division

ROW, Final Design &

Construction

Real estate acquisition continues. CATS & City Real Estate follow the Uniform Relocation Assistance and Real Property Acquisition Policy Act for all ROW negotiations, as described in the Real Estate Acquisition Management Plan (RAMP).

19

Construction (Utility) Coordinate with utility owners

to ensure maintenance of utility services and timely relocation

Relocate, remove and protect existing utilities.

Coordinate with utility owners and monitor re-location activities and schedule. Relocation agreements to be executed with Duke Energy and AT&T.

CATS Final Design

& Construction

Coordination with utility owners continues. CATS has executed agreements with both AT&T and Duke. CATS and Duke Energy executed an agreement for the transmission relocation. CATS and the Construction Management Consultant have Utility Coordinators that monitor the relocation activity and schedule. The Communication staff has communication protocols in place regarding utility cuts to inform affected businesses and stakeholders.


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16


20

Construction (Transportation, Traffic and Parking) Schedule construction

activities that require lane or road closures during off-peak hours, where practical.

Develop Maintenance of Traffic Plan.

Coordinate freight schedule and construction activities with the railroads.

Develop Maintenance of Traffic Plan and coordinate with railroads and local and state transportation departments. Include as part of construction plans and contract specifications. Monitor contractor compliance during construction.

CATS Final Design

& Construction

CATS has developed a Maintenance of Traffic Plan. The plan measures have been included in the Final Design Plans (Contract 1B UTL B, Contract 2A CIV A, Contract 3 CIV B/C) and the contract provisions (Contract 1B UTL B 007500 Article 2, Project Special Provision 2.7, SP-02-007 Traffic Control; Contract 2A CIV A 007500, Special Project Provisions, Article 2, Project Special Provisions, Section 2.8, SP-02-008 Traffic Control; Contract 3 CIV B/C - Standard Special Provisions, 007000, Article 2.10, 2.11, 2.14, 2.15,2.16, and 2.34, 007500 Project Special Provisions, Article1.1, 1.2,1.6 & 4.34). Several major road closures have been communicated to the public: 8th Street was closed in September 2014 and

reopened in November 2015. 9th Street was closed in February 2015 and

reopened in November 2015. 12th Street was closed on August 31, 2015, and

reopened in November 2015. 16th Street was closed on November 23, 2015

reopened in December 2015. Raleigh St. between Greensboro St. and Sugar

Creek Rd. was closed on August 24, 2015 and reopened in November 2015.

Eastway Drive was closed on May 28, 2014 and re-opened on September 14, 2015.

Old Concord Road was closed between North Tryon Street and Orr Road beginning March 13, 2015 and reopened in February 2016.

Owen Blvd. closed on November 14, 2015 and re-opened May 2016.

N. Davidson St. was closed on May 13, 2016 and reopened on June 15, 2016.

36th Street was closed on June 16, 2014 and will be closed for approximately 3 years.

Sugar Creek Road was closed on 10/18/15, and will remain closed until Fall 2018.


March 9, 2017


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Mitigation ID



Party Timing Status

Other lane closures and short duration closures have been occurring and are communicated via e-mail blasts, through CDOT’s standard road closure process, and via CATS road closure procedure which includes email blasts to CATS BLE subscribers and messages via social media channels. Regular communication with Norfolk Southern is ongoing to coordinate flagging for the BLE as well as the schedule for the freight relocation work.

21

Construction (Land Use, Community Facilities and Businesses) Coordinate with local

business owners and provide advance notification of roadway disruptions and descriptions of alternative routes.

Maintain access to community facilities throughout construction by providing alternative routes when necessary.

Provide temporary entrance signs during construction.

Develop construction sequencing and maintenance of traffic plans that ensure access to businesses and community facilities is maintained during construction. Include in construction plans and contract specifications. Monitor contractor compliance during construction.

CATS Final Design

& Construction

The Final Design Plans (Contracts UTL-B, CIV A, CIV B/C) include maintenance of traffic within the contract special provisions (007500 Special Provision Article 2, Sections 2.7 and 2.8). Please refer to the CATS BLE Mitigation Checklist Matrix for detailed references to plan sheets and specifications sections. CATS has been working with City Real Estate to identify potential business signage impacts during construction. CATS will provide temporary signage for businesses. Signs have been erected for the UTL-C and UTL-B areas. In some cases, because the permanent location of the signage may be within temporary construction easements, relocation during construction may not be feasible. For these instances, CATS worked with Planning Dept to draft a text amendment that allows businesses to seek sign adjustments when a government sponsored transportation project requires either the relocation of an existing detached business sign or impairs the visibility of an existing detached business identification sign to the adjacent travel lane. The text amendment was adopted by City Council 9/16/13. The BLE Communication Team has developed a variety of tools to communicate closures and detours during construction, including e-blasts, Twitter and Facebook posts, fliers, open for business signs, road closure and detour signage, public meetings, business and neighborhood meetings, communication coordination meetings with key stakeholders, newsletters and monthly updates.


March 9, 2017


18


Mitigation ID



Party Timing Status

22

Construction (Visual and Aesthetic) Shield and aim night work

lights directly at the work zone.

Stage construction activities to limit the duration of impacts at individual locations.

Where practical, restore existing vegetation that serves as a buffer to adjacent properties.

Include in contract specifications. Monitor contractor compliance during construction.

CATS Final Design

& Construction

The contract specifications include sustainable practices in the city special provisions which cover the mitigation commitments to visual and aesthetic conditions during construction (Contract 1B, Contract 2A CIV A, Contract 3 CIV B/C -- 007500 Special Provision Article 2, Sections 2.7 and 2.10).

Contractor (CIV-A & CIV-BC) has committed to reviewing sustainable practices with construction personnel during regularly scheduled tool box and/or preconstruction quality meetings. CMC Quality Manager is monitoring the contractors (audits & project ride-throughs) to ensure this occurs. Night work has halted. Spot checks were accomplished previously. Vegetation is assessed ongoing and on final walkthrough.


March 9, 2017


19


Mitigation ID



Party Timing Status

23

Construction (Neighborhoods, Community Services and Environmental Justice) Inform local property owners,

through the Construction Education and Outreach Plan, of roadway disruptions.

Provide continuous coordination with community service providers to maintain access for emergency vehicles.

Restrict contractors from accessing the railroad right-of-way through the Hampshire Hills neighborhood.

Develop and implement Construction Education and Outreach Plan, including communication with property owners and community service providers. Include access restrictions in contract specifications. Monitor contractor compliance during construction.

CATS Final Design

& Construction

The BLE communications team continues to hold meetings with local property owners and businesses. The BLE communications team also holds quarterly business information sessions in collaboration with NCDOT, CATS bus operations, the City’s Neighborhood and Business Services and external business resources agencies to provide construction updates, address concerns and provide business development tools. The team has a specific construction update webpage to communicate anticipated construction activities. Additionally, the team issues letters, email blasts, and utilizes social media (Twitter and Facebook) to communicate traffic impacts, disruptions, and access information. The BLE Communications Team also sends out a daily email to first responders with lane and road closure information. The BLE business liaison also kept businesses informed of construction updates and roadway disruptions. Business canvassing is also a tool the BLE communications team has utilized to communicate detailed roadway disruptions to specific impacted businesses. The BLE Communications Team has focused on communicating to the public the major traffic control plan along North Tryon Street which continues to be implemented from Old Concord Road to Mallard Creek Church Road. Access restrictions for Hampshire Hills are provided for in the contract specifications, (Contract 1A UTL & Contract 2A CIV A) (007500 Special Provision Article 2, Sections 2.7 and 2.8). CATS staff presented information about BLE construction to the Hampshire Hills neighborhood on 9/9/13 and at the Bridlewood neighborhood association meeting on 10/12/13.


March 9, 2017


20


Mitigation ID



Party Timing Status

24

Construction (Air Quality) Shut off construction

equipment not in direct use. Water areas of exposed soil

to control dust. Cover open body trucks

transporting materials to and from construction sites.

Reroute truck traffic away from schools and residential communities when possible.

Repave and/or replant exposed areas as soon as possible following construction.

Adequately secure tarps, plastic or other material over debris piles.

Prohibit idling of delivery trucks or other equipment during periods of extended unloading or inactivity.

Include mitigation requirements in construction plans and contract specifications. Monitor contractor compliance during construction.

CATS Final Design

& Construction

The Final Design Plans (Contract 1B UTL B, Contract 2A CIV A, and Contract 3 CIV B/C) and the contract specifications include sustainable practices in the city special provisions which cover the mitigation commitments to protect air quality during construction (007500 Special Provision Article 2, Sections 2.7). Please refer to the CATS BLE Mitigation Checklist Matrix for detailed references to plan sheets and specifications sections for each mitigation measure. Contractor (CIV-A & CIV-B/C) has committed to reviewing sustainable practices with construction personnel during regularly scheduled tool box or preconstruction quality meetings. CMC inspectors monitoring for compliance. HNTB Inspectors and Safety provide spot checks on equipment use and cargo security. Water trucks are currently being utilized and are also emphasized in progress meetings.


March 9, 2017


21


Mitigation ID



Party Timing Status

25

Construction (Noise and Vibration) Construction activities will be

carried out in compliance with all applicable local noise regulations including the City of Charlotte Noise Ordinance, FTA guidelines and UNC Charlotte specified parameters. o At UNC Charlotte,

construction will not be allowed near residence halls prior to 8:00 am nor within 200 feet of campus buildings during the week of final exams.

Contractors will prepare a Construction Noise and Vibration Control Plan.

Contractor(s) will involve an Acoustical Engineer to ensure noise and vibration levels are effectively managed and excessive noise and vibration is prevented. o Contractors will provide a

phone number and/or website for community complaints, and the Acoustical Engineer will respond and coordinate with the Construction Manager to resolve complaints.

o For blasting operations, contractors will consult with nearby sensitive receptors to schedule the least disturbing times and provide advance notice of blasting operations. The contractor shall prepare a Blasting Plan to be approved by CATS and others designated by CATS (e.g. UNC Charlotte).

Include in construction plans and contract specifications. Monitor contractor compliance during construction.

CATS

Final Design &

Construction

The Final Design Plans (Contract 2A CIV A, Contract 3 CIV B/C) and the contract specifications include sustainable practices in the city special provisions which cover the mitigation commitments to protect noise and vibration during construction (007500 Special Provision Article 1, Sections 1.7). Please refer to the CATS BLE Mitigation Checklist Matrix for detailed references to plan sheets and specifications sections for each mitigation measure.

The BLE team has provided the construction consultant and contractors with a customer service number and an email address for community questions and complaints. The BLE team members and the construction consultant also handle complaints directly via email, phone and in person. The BLE team also addresses construction questions at community meetings. The BLE Communications Team has crafted and distributed pre-blasting survey letters to all impacted properties and daily notifications of blasting activities. CIV-BC contractor submitted blasting plan September 2014. The plan has been approved by CATS/CATS representative and NCDOT. Noise and vibration reports are submitted weekly and have been submitted through: January 2017 - CIV-A December 2016 - CIV-B/C February 2016 - JWC Parking Garage (as needed basis) June 2015 - UCB Parking Garage (as needed basis) January 2017 - North Yard Bldg. (as needed basis) January 2017 - OCR The following noise and vibration readings have been verified and are in compliance: Civil A – 10/21/2016 Civil B/C – 11/05/2016 North Yard – 9/15/2016 OCR – 10/21/2016


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Mitigation ID



Party Timing Status

25 (continued)

o For blasting operations near UNC Charlotte, the contractor shall follow specific notification procedures to avoid damages to vibration sensitive equipment. The contractor shall provide a one-week advance notice of the start of blasting operations. The contractor shall facilitate a pre-blast meeting to define the entire schedule and scope of sequence of blasting. Blasting shall be scheduled in batches to the extent possible. The schedule shall be kept current at all times. The contractor shall provide a 24-hour notification for each blast.


CATS

Final Design &

Construction

The Final Design Plans (Contract 3 CIV B/C) and the contract specifications include sustainable practices in the city special provisions which cover the mitigation commitments to protect noise and vibration during construction (007500 Special Provision Article 1, Sections 1.7). Please refer to the CATS BLE Mitigation Checklist Matrix for detailed references to plan sheets and specifications sections for each mitigation measure. All blasting operations are complete.


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23


Mitigation ID



Party Timing Status

25 (continued)

Contractors will conduct noise and vibration monitoring at locations where potential impact from construction activities may occur.

Contractors will conduct pre-construction and post-construction surveys of buildings with the potential for structural damage.

Specific construction noise and vibration measures to be implemented near sensitive receptors will be identified by the contractor in the Construction Noise and Vibration Control Plan. General noise mitigation measures including, but not limited to: operational restrictions; the use of alternative construction methods and equipment*; locating stationary equipment away from noise sensitive sites; the use of shields, shrouds or intake exhaust mufflers; the use of special back-up alarms; rerouting truck routes; use of temporary noise barriers or noise blankets; use of static rollers instead of vibratory rollers where practicable; pier drilling stead of pile driving where practicable.


CATS

Final Design &

Construction

The Final Design Plans (Contract 2A CIV A, Contract 3 CIV B/C) and the contract specifications include sustainable practices in the city special provisions which cover the mitigation commitments to protect noise and vibration during construction (007500 Special Provision Article 1, Sections 1.7). Please refer to the CATS BLE Mitigation Checklist Matrix for detailed references to plan sheets and specifications sections for each mitigation measure.


March 9, 2017


24


Mitigation ID



Party Timing Status

26

Construction (Natural Resources) Best management practice (BMP) measures will be followed by the contractor during construction. BMP measures will include the demarcation of the construction limits and staging areas prior to the initiation of construction, to limit the disturbances to the vegetative community. Encourage contractor to send felled trees to a chipper.


CATS Final Design

& Construction

The Final Design Plans (Contract 1B UTL B, Contract 2A CIV A, and Contract 3 CIV B/C) and the contract specifications include sustainable practices in the city special provisions which cover the mitigation commitments to protect natural resources during construction (007500 Special Provision Article 1, Sections 1.7). Please refer to the CATS BLE Mitigation Checklist Matrix for detailed references to plan sheets and specifications sections for each mitigation measure.

BMP measures are outlined in the specifications and are spot checked by HNTB Inspectors and HNTB Safety.


March 9, 2017


25


27

Construction (Water Resources) Minimize disturbed areas. Apply prompt stabilization. Employ an Erosion and

Sediment Control Plan to treat stormwater runoff.

Prevent the storage of fill or other materials in floodplains, to the extent practicable.

Stage construction of proposed stormwater systems to reduce the duration of construction disturbances to a given area.

Recycle topsoil removed during construction by using it to reclaim disturbed areas and enhance regrowth.

Avoid excessive slopes during excavation and blasting operations to reduce erosion.

Use isolation techniques, such as berming or diversion, for in-stream construction near wetlands.


CATS Final Design

& Construction

The Final Design Plans (Contract 2A CIV A, Contract 3 CIV B/C) and the contract specifications include sustainable practices in the city special provisions which cover the mitigation commitments to protect water resources during construction (007500 Special Provision Article 1, Sections 1.7). Please refer to the CATS BLE Mitigation Checklist Matrix for detailed references to plan sheets and specifications sections for each mitigation measure. Additionally, erosion control permits have been obtained through NCDENR for the construction contracts. The required NPDES inspections take place on a weekly basis and after .5” of rainfall and are conducted by the contractors/construction managers. Erosion control logs are submitted and verified by the ARE prior to the approval of pay estimates. City of Charlotte Land Development staff conducts weekly audit NPDES inspections. The subsequent reports consist of standard DENR forms and a digitally marked .pdf of the erosion control plans. These are emailed each week to the BLE Construction Manager and Manager of Construction, HNTB, and the Water Quality Administrator (Land Development). In March 2015, NC DENR issued two Notices of Violation to the City for exceeding the total suspended solids (TSS) l and the pH limits in the Civil A construction area. The City worked with the contractor to implement both corrective actions and preventive measures to control exceedances. Subsequent monitoring confirmed that no further exceedances were occurring. The City responded to the Notice on 3/31/2015. On 9/10/15, NC DENR issued a penalty in the amount of $396.97 for the TPSS exceedance.


March 9, 2017


26


Mitigation ID



Party Timing Status

27 (continued)

Construction (Water Resources) Minimize disturbed areas. Apply prompt stabilization. Employ an Erosion and

Sediment Control Plan to treat stormwater runoff.

Prevent the storage of fill or other materials in floodplains, to the extent practicable.

Stage construction of proposed stormwater systems to reduce the duration of construction disturbances to a given area.

Recycle topsoil removed during construction by using it to reclaim disturbed areas and enhance regrowth.

Avoid excessive slopes during excavation and blasting operations to reduce erosion.

Use isolation techniques, such as berming or diversion, for in-stream construction near wetlands.


CATS Final Design

& Construction

On February 17, 2016, the NCDEQ Division of Water Resources conducted a field review of permit compliance on the BLE project. STV prepared a memo summarizing the issues that were identified, primarily related to erosion control. These issues have been addressed by HNTB with the construction contractors, and erosion control logs for Civil A and Civil B/C were provided as requested to DWR in March 2016. On October 6, 2016, the NCDEQ Land Quality Section conducted a Sedimentation/Construction Storm water Inspection of the Civil A contractor. Two violations and non-compliance with the NPDES permit were reported. HNTB worked with the contractor to ensure the issues were addressed immediately. NCR-78 was issued for the non-compliance, and corrective action was completed and verified by a CMC Inspector.

Mitigation ID



Party Timing Status


March 9, 2017


27


28

Construction (Cultural Resources) Stop construction activities

immediately upon the discovery of any new cultural resources.

Contractors will prepare a Construction Noise and Vibration Control Plan, and conduct vibration monitoring during construction.

Contractors will be instructed to avoid adjacent historic sites through construction fencing or some other clearly understood construction/staging technique.

The State Historic Preservation Office (SHPO) will review the proposed pile/panel walls along the edges of the Herrin Brothers Coal and Ice site during Final Design.

Maintain minimum allowable distances from historic resources, to the extent practicable.

Include in construction plans and contract specifications. Monitor contractor compliance during construction. Provide final design plans to SHPO for review.

CATS Final Design

& Construction

The Final Design Plans (Contract 1B UTL B, Contract 2A CIV A, Contract 3 CIV B/C), the Project Manual (NCDOT SP. 225-3), and the contract specifications and Project Special Provisions cover the mitigation commitments to protect cultural resources during construction (007500 Special Provision Article 2, Sections 2.2). Please refer to the CATS BLE Mitigation Checklist Matrix for detailed references to plan sheets and specifications sections for each mitigation measure. On 7/25/13 CATS provided an updated on the Herrin Brothers property regarding the 95% design plans. On 8/7/13, SHPO concurred that there have been no additional changes that would adversely affect the historic properties. Thus, the No Adverse Effect finding for the property remains. The property owner of the Grinnell building, a contributing resource to the North Charlotte Historic District, informed CATS of his intent to demolish the historic building. With the building demolished, the retaining wall and underpinning to protect the building will no longer be required. On 12/3/13, CATS notified SHPO. SHPO directed CATS to notify them when the building is actually demolished by the property owner, that there is no longer an historic property and CATS plans have been adjusted accordingly. On 2/19/14, CATS notified SHPO and provided documentation of the demolition of the Grinnell Manufacturing Building. On 2/27/14, the SHPO concurred that the property was no longer a contributing element to the historic district and any mitigation measures proposed to protect the building are no longer warranted. Noise & Vibration Plans (November 2016 status): CIV-A: Approved; CIV-BC: Approved; TRK-SYS: Approved; GAR-JWC: Approved; GAR-UCB: Approved; North Yard Bldg.: Approved: OCR: Approved Noise and vibration monitoring reports are submitted weekly and are current through January 2017 - CIV-A, December - CIV-B/C, January 2017 - OCR; January 2017 - North Yard Bldg.; February 2016 - JWC Parking Garage; June 2015 - UCB Parking Garage.


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28


Mitigation ID



Party Timing Status

29

Construction (Parklands) Maintain access to trails and

minimize temporary closures to the extent practical.

Notify MCPR 48 hours in advance of temporary closures of greenway due to construction.

Include in construction plans and contract specifications. Monitor contractor compliance during construction. Include in contract specifications, requirement to notify CATS and MCPR 48 hours in advance of temporary closure of greenway. CATS to coordinate with MCPR to define an alternate route during temporary closure of greenway.

CATS Final Design

& Construction

The Final Design Plans (Contract 3 CIV B/C) cover the mitigation commitments to protect access to parklands. Please refer to the CATS BLE Mitigation Checklist Matrix for detailed references to plan sheets and specifications sections for each mitigation measure. The BLE team has coordinated with MCPR regarding impacts to the Toby Creek Greenway. A pedestrian protection plan, which includes signage and flaggers, is in place for the temporary construction access road crossing the greenway. Construction crews closed the Toby Creek Greenway, where the LYNX Blue Line Extension crosses the greenway. The closure began on 2/9/15 and continued for approximately two weeks. Construction in this area includes the drilling of foundation structures that support the new light rail bridge over Toby Creek. For two days in early July 2015, the greenway was closed during working hours only; the greenway reopened at the end of the work day so the community could use the greenway in the evening. The construction activities that took place over these two days included the setting of girders for the final two spans of the Toby Creek light rail bridge. The work area is located between the Mallard Creek Greenway and Phillips Road on the campus of UNC Charlotte. Major construction activities for Toby Creek Greenway are complete. All long-term closures are complete. The haul road will maintain flaggers until rail is installed by Track & Systems contractor.

30

Construction (Energy) Measures to minimize energy consumption during construction could include limiting the idling of construction equipment and employee vehicles, as well as locating staging areas and material processing facilities as close as possible to work sites.


CATS Final Design

& Construction

The contract specifications include in the city special provisions which cover the mitigation commitments to minimize energy consumption during construction (Contracts 1B, 2A CIV A, 3 CIV B/C -- 007500 Special Provision Article 2, Sections 2.7). Spot checks by HNTB Inspectors and Safety are ongoing.


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29


Mitigation ID



Party Timing Status

31

Construction (Hazardous and Contaminated Materials) Dispose of hazardous

materials according to applicable federal, state and local guidelines.

Clean construction vehicles to prevent off-site contamination.


CATS Final Design

& Construction

The contract specifications include in the city special provisions which cover the mitigation commitments to dispose of hazardous and contaminated materials, and to clean construction vehicles to prevent off-site contamination during construction (Contracts 1B, 2A CIV A, 3 CIV B/C -- 007500 Special Provision Article 2). Recently 591.52 tons of non-hazardous soils were transported to Republic Services for proper disposal for an approximate total of 100,052 tons. No additional non-hazardous water was pumped/treated during this period and the total treated and discharged according to permit and specifications to date is approximately 2,992,165 gallons.


March 9, 2017


30


Mitigation ID



Party Timing Status

32

Construction (Safety and Security) Provide construction barriers and fencing to secure construction sites and staging areas.

Include in contract specifications. Monitor contractor compliance during constructions.

CATS Final Design

& Construction

The contract specifications include in the city special provisions which cover the mitigation commitments to provide construction barriers and fencing to secure construction sites and staging areas during construction (007500 Special Provision Article 2 Paragraph 2.10). This stage of the Construction activity has created several areas needing barrier and fencing protection for excavations, construction and staging areas. Special focus will include monitoring BLE construction near school zones, open excavations, where equipment and or materials are stored, and areas representing attractive nuisance. Safety and security will continue to work with BLE construction management and HNTB Safety to ensure fencing and barriers are erected and maintained where needed. This topic continues to be of frequent discussion at the BLE General S&S Monthly meeting (all contracts), weekly progress meetings specific to the contract where findings are observed, and other means of communications. CATS Safety & Security continues working with the BLE Project Team, HNTB and STV/Neighboring Concepts construction and safety management staff for both the horizontal and vertical construction contracts in order to address the issues for immediate correction. The prime contractors have been notified on the observed concerns for additional follow up with their subcontractors. Both CMCs safety professionals (HNTB & STV) along with CATS S&S continue following up on open action items, conduct frequent field inspections, and continue to monitoring contractors’ compliance. [Continues to happen due to constant issues on this topic] A recent concern was raised in which fencing for protection of TPSSs was not considered required per Design Criteria Rev.4 because card readers will be used for access into the mentioned facility as confirmed by the designer STV. Due to this criteria in place a design exception was not required. The concern is that due to this decision fencing for protection of such installations against external factors was completely overlooked.


March 9, 2017


31


Mitigation ID



Party Timing Status

33

Secondary Effects Implement Station Area Plan recommendations to minimize potential secondary impacts. Other measures: Affordable housing strategies

to be developed with station area plans;

Notification to the Landmarks Commission of National Register Eligible properties that could be designated as Local Landmarks to afford them protection;

Provide Convenient access to light rail and bus services;

Public outreach/education regarding the benefits of transit supportive development; public involvement in station area plan development; and,

Coordination with City of Charlotte's Stormwater Services to minimize impacts to water resources and water quality during the station area planning process.

Completion of a detailed Indirect and Cumulative Impacts analysis for water resources and water quality during the Section 404/401 permitting phase of the project.

Develop and implement station area plans that will include, as appropriate: affordable housing strategies, public outreach, consideration of impacts to water resources and water quality. Complete Indirect and Cumulative Impacts analysis during the Section 404/401 permitting process.

City Planning Dept.

CATS

Final Design &

Construction

COMPLETE

A public meeting was held 1/31/13 to present the findings, results and recommendations for the BLE Station Plans for the inner six stations (Parkwood, 25th, 36th, Sugar Creek, Old Concord & Tom Hunter Stations). The draft station area plans were available for public comment through the end of April. The Transit Station Area Plans were adopted by the City Council 5/13/13.

The Charlotte-Mecklenburg Planning Department updated the station area plans for the University City stations (University City Blvd, McCullough, and JW Clay Blvd.) This update will account for the revisions in location and number of stations since the University City Area Plan was adopted in 2007. The updated University City Area Plan was adopted by City Council on May 11, 2015.

A complete Indirect and Cumulative Impacts analysis was provided with the 404/401 permit submitted to USACE on 12/21/11. NCDENR DWQ signed the 401 Water Quality Certification on 6/28/12. CATS received the USACE 404 Permit form for CATS signature on 9/24/12. A form revision was issued by USACE. CATS signed the USACE 404 Permit in December 2012. US Army Corps of Engineers (USACE) signed the 404 Permit on 12/27/12. CATS sent a Plan Modifications letter (dated 9/9/13) to the USACE. The USACE concurred that a modified permit is not needed. NCDENR issued a Modification to the 401 Certification dated 10/9/13.


March 9, 2017


32


Mitigation ID



Party Timing Status

34

Cumulative Effects For the South Corridor

Retrofit project, a re-evaluation of the South Corridor Light Rail Project Final EIS will be undertaken to identify specific measures to mitigate potential impacts to the South Corridor and existing LYNX Blue Line.

Continued coordination with NCDOT's Rail Division regarding the project schedule of the Sugar Creek Grade Separation Project and with NCDOT regarding the project schedule of the Mallard Creek bridge replacement on N. Tryon St.

Complete a re-evaluation of the South Corridor Light Rail Project Final EIS prior to implementation of the South Corridor Retrofit project. Work with NCDOT to coordinate project schedules to minimize impact on the community.

CATS Final Design

& Construction

A re-evaluation of the South Corridor Light Rail Project Final EIS is complete. FTA concurred with the findings on 4/25/12. CATS continues to coordinate with NCDOT Rail on the Sugar Creek Grade Separation Project. In September 2013, NCDOT informed CATS that the schedule for the project has slipped. Therefore, CATS has incorporated traffic control for the closure of Sugar Creek Road in the Civil A plans. CATS holds monthly construction coordination meetings with NCDOT. NCDOT awarded the contract for the Sugar Creek Grade Separation project. However, the notice to proceed has been delayed due to required utility relocations (likely until March 2016). CATS delayed the closing of Sugar Creek Road to 10/19/15 for its work. The road will remain closed for approximately three years until completion of the NCDOT project. CATS continues to coordinate with NCDOT on the Mallard Creek bridge replacement project. Construction on this project was completed in early 2016. This project did not affect the schedule of the BLE. Both the Sugar Creek Grade Separation and the Mallard Creek bridge replacement projects are being tracked in the BLE project master schedule.


March 9, 2017

c) Before and After Study The “Before” technical memorandum documenting the results of the “Before” Origin-Destination study has been completed and was submitted to FTA.

d) Bus-Rail Integration Plan CATS has contracted with Nelson & Nygaard (N&N) to study existing bus routes and develop a Bus-Rail Integration Plan. CATS has finalized BLE bus route adjustments and recommendations. CATS is conducting public meetings to receive feedback from passengers and the general public. N&N submitted the methodology for the Title VI analysis to CATS. N&N will utilize the finalized bus routes to complete the overall Title VI analysis. In addition, N&N submitted a draft Public Involvement Summary to CATS. In the upcoming weeks, N&N will submit the draft Title VI analysis that will include bus route changes and a fare analysis. CATS continues to provide outreach opportunities for residents, passengers, and interested parties to comment on the proposed BLE Bus Routes Recommendations. These meetings will give passengers and residents the opportunity to provide feedback on the route proposals.

8.0 Design

a) Design Update All 100% design plans have been completed.

9.0 Construction See the following construction progress reports. Contracts 1A-UTL-A, 1B- UTL-B and 1C-UTL-C are in project close-out.


March 9, 2017

a) CONTRACT 2A: CIVIL – SEGMENT A FOR MONTH ENDING 1.31.2017

Contractor: Balfour Beatty Infrastructure Inc. / Blythe Development Company (J/V) Construction Manager: HNTB

Scope of Work: This Project involves Civil work (grading, drainage, bridges, retaining walls, foundations and paving) from south of 7th Street to north of Old Concord Road Station. This includes 36th Street work as well.

North Brevard Street – 24” pipe installation Craighead Road – New jack and bore pit and casing Spur track at Craighead Road

Progress THIS MONTH Freight track relocation – continued working on

sub ballast. Walk-through of ICT 2 – to identify open items to

address erosion control and grading in zones 2&3. Storm drainage system A14 & A15 at Craighead

Road – working on soft digging in this area due to signal cables.

UPCOMING ACTIVITIES Storm drainage system A4, 12’x10’box culvert at

CSX Bridge – currently working on additional submittals. ICT 2 will be completed and turned over to NS. Storm drainage system A14 & A15 at Craighead

Road. Intersection of Parkwood and Brevard Street –

storm drainage system A11, curb and gutter, sidewalks and traffic signal.

ISSUES Coordination with NS for ICT #2 & FTR. Impacts to

work to re-open 36th Street.

Milestones Description Settlement Agreement

Actual/ Forecast

Notice to Proceed 2/26/14 2/26/14A

ICT #1.1: Access Road and Grading for TPSS (3) and SH (5) 5/15/15 5/15/15A

ICT #1.2: Completion of paving on the access road for TPSS #14 10/15/15 10/15/16A

ICT #2: Freight Sub-ballast 1/1/16 01/06/17 ICT #3.1: Parkwood Station 7/1/15 7/11/15A ICT #3.2: 25th St Station 7/13/15 7/23/15A ICT #4: Completion of Conduit for Feeder Cables TPSS #12 5/11/15 5/15/15A

ICT #5.1: Uptown to 12th St (includes 9th St Station) 9/1/15 8/1/15A

ICT #5.2: 12th St to End of Seg A1 (CSX, Parkwood & 25th) 10/15/15 9/15/15A

ICT #5.3: North Yard 9/15/15 9/1/15A ICT #6.1: Old Concord Rd Station 8/1/15 8/1/15A ICT #6.2: Sugar Creek Station 8/1/15 8/1/15A ICT #7: Conduit Completion for Feeder Cables TPSS 13 and 14 9/28/15 11/03/16A

ICT #8: Station Foundation 36th St 1/16/16 8/30/16A ICT #9: LR Track Bed Segment A2 3/10/16 10/27/16A ICT #10: Silt Fence for Light Rail Bridge at Sugar Creek 4/10/14 4/4/14A

ICT #11: Completion of work at 36th St (250 calendar days from NS) 12/13/16 12/20/17

Final Completion 1/30/17 01/10/18

Contract Budget Amount Amended Base Contract Value $106,701,130 Change Orders Issued $8,648,666 Current Base Contract Value $115,349,796 Total Actual Costs (Jan 17 Pay App) $102,361,842 % Billed to Date 89% % Complete (Dec 16 Schedule) 87.4% Amended Contingency $8,555,904 Remaining Contingency $-92,762 % Contingency Remaining -1%

Total Actual & Billed through 1/20/17 (DRAFT Pay Application) Schedule Actual/Forecast Dates are based on Contractor’s Dec Schedule Update (Data Date 12/31/16).


March 9, 2017

b) CONTRACT 3: CIVIL – SEGMENT B/C FOR MONTH ENDING 1.31.2017

Contractor: Lane Construction Construction Manager: HNTB

Scope of Work: This Project involves Civil work (grading, drainage, bridges, retaining walls, foundations and paving) from north of Old Concord Road Station to the UNC Charlotte Main Station.

Installing a Service Panel near the Tunnel Installing the Ballast Curb Wall Fence Raising a Strom Drainage Box

Progress

THIS MONTH Fine grading the planting mix in Segment C and

started installing mulch in the median. Continued raising storm drainage inlets & manhole

structures to final grade in multiple locations. Continued fine grading back slopes, installing

sidewalks, curbs, and at-grade crossings in Segments B & C. Continued installing the ballast curb wall fence in

Segment B & C in multiple locations. Continued misc. traffic signal work and punch list.

UPCOMING ACTIVITIES Continue fine grading, installing sidewalks, curbs,

and at-grade crossing in Segments B & C. Finish installing the mulch in the median. Complete the ballast curb wall fence. Continue misc. traffic signal work and punch list. Continue punch list work from NCDOT inspection. ISSUES The mast arms conflict with the crossing gates at 9

intersections. The contractor may be able to install a shim plate to provide 2 feet of clearance at 8 of the intersections, but one mast arm at Tom Hunter must be replaced. NCDOT must approve the use of the wedges.

Milestones Description Contract Dates

Actual/ Forecast

Notice to Proceed 5/14/14 5/14/14A ICT # 1: Completion of utility joint duct bank north of WT Harris Blvd 5/16/15 2/27/15A

ICT # 2: JW Clay and UNC Charlotte Station Foundations 12/15/15 12/4/15A

ICT # 3: Grading, feeder cables & site prep. TPSS 16, 17 & 18 and Signal Houses 17 & 18

7/29/15 7/29/15A

ICT # 4: Completion of sub-ballast – Weave to south of WT Harris Seg C 6/1/16 4/1/16A

ICT # 5: McCullough, Tom Hunter and UCB Station foundations 3/1/16 3/1/16A

ICT # 6: Grading, feeder cables and site prep. for TPSS #15 / Signal House 16 and Central comm. house

7/31/15 7/25/15A

ICT # 7: Completion of Sub-ballast - South of WT Harris to End Seg C 6/1/16 5/22/16A

ICT # 8: Sub-ballast Complete Seg B 6/1/16 3/1/16A Final Completion 7/1/17 4/13/17

Contract Budget Amount Amended Base Contract Value $128,315,574 Change Orders Issued* $15,852,967 Current Base Contract Value* $144,168,541 Total Actual Costs (Dec 16 Pay App) $129,428,168 % Billed to Date 90% % Complete (Dec 16 Schedule) 95.1% Contingency* $16,936,168 Remaining Contingency $1,083,201 % Contingency Remaining 6% *Includes Contract Amendment 1 Total Actual & Billed through 12/31/2016 (Pay Application). Scheduled Actual/Forecast Dates are based on the Dec 16 Schedule Update (Data Date 12/31/16)


March 9, 2017

c) CONTRACT 5: TRACK AND SYSTEMS FOR MONTH ENDING 1.31.2017

Contractor: Balfour Beatty Rail Construction Manager: HNTB

Scope of Work: This Project involves work on traction power, overhead catenary, signals and communications, ballast, ties and track for the entire project.

Progress on Bridge over Craighead Road Progress at Sugar Creek Station Comms Device Installation at Univ City Station

Progress

THIS MONTH Segment A1 o Motherboards at Signal House #13 o Pulled and spliced fiber optic cable

Segment A2 o Installed communication devices at stations o Pulled and spliced fiber optic cable

Segment B o Installed communication devices at stations o Pulled and spliced fiber optic cable

Segment C o Pulled and spliced fiber optic cable o Installed guard rail at I-85 Bridge

Various locations – vacuumed ballast / replaced ties

UPCOMING ACTIVITIES Complete remaining OCS Install TWC loops, B-points and Devices for Signal

House #13 and Signal House #17 Install communication devices at Signal Houses

#11, 12 and 13 Static testing for signal houses #11, 14, 15, 16, 17

and 18 Continue fiber optic terminations to facilities

ISSUES Late submittals. Ongoing quality issues with potential to affect

schedule progress (i.e., replacement of broken ties, poor quality of submittals and replacement of damaged equipment).

Milestones Description Contract

Dates Actual/ Forecast

Notice to Proceed 5/14/14 5/14/14 A ICT #1: Completion of the temp trolley wire from the beginning of the project to Uptown

11/22/14 10/19/14 A

ICT #2: Completion of LRT, including testing and acceptance in Seg A1 3/1/16 12/31/16

ICT #3: Completion of the light rail track, TPSS and OCS (Seg A1, 7th to 1100+00) 5/16/16 12/31/16

ICT #3.1: Completion of the light rail track, TPSS and OCS (Seg A1-A, 7th to 12th) 3/1/16 12/31/16

ICT #4: Completion of LRT in Seg C 8/30/16 1/16/17 ICT #5: Completion of LRT in Seg A2 (Sugar Creek to Old Concord Road) 8/1/16 12/31/16

ICT #5.1: Completion of LRT in Seg A2 (1100+00 to Sugar Creek) *** 10/1/16 12/31/16

ICT #6: Completion of LRT in Seg B 8/30/16 12/31/16 ICT #7: Complete comm. system for garages 11/6/16 5/1/17 ICT #8: Completion of comm. systems tie-in for fare collection 1/17/17 3/23/17

ICT #9 *: Completion of the track work and substantial completion of the systems work

3/1/17 6/4/17

ICT #10: Completion of existing South Yard 10/10/15 10/12/15 A Final Completion 5/30/17 9/2/17 * Program Critical ICT. **Delays from Predecessor contracts have NOT been projected ***Contract Date pending coordination discussions with Contractor

Contract Budget Amount Original Base Contract Value $110,905,080 Change Orders Issued $4,428,575 Current Base Contract Value $115,333,655 Total Actual Costs (Dec 16 Pay App) $90,464,661 % Billed to Date 78% % Complete (Dec 16 Update) 79.1% Original Contingency $14,944,681 Remaining Contingency $10,516,106 % Contingency Remaining 70% Total Actual and Billed through 12/31/16. Schedule Actual/Forecast Dates are based on Contractor’s Revised Dec 2016 schedule update (Data Date 12/31/16)


March 9, 2017

d) CONTRACT 6: STATION FINISHES FOR MONTH ENDING 1.31.2017

Contractor: Edison Foard Construction Manager: HNTB

Scope of Work: This Project involves the construction to finish eleven light rail stations throughout all segments, including station platforms, canopies, benches and signage.

Topping Slab at 9th Street Station Edge Pavers at 36th Street Station Light Pole Foundations at JW Clay Blvd Station

Progress

THIS MONTH Completed the topping slab at 9th Street Station. Completed the TVM slabs and sidewalks at OCR

Station. Continued installing the tactile warning strip

pavers, barrier fence posts and ramps at multiple stations. Continued installing the benches, trash

receptacles, and light poles at multiple stations. Continued installing the station signage and wiring

signage at multiple stations.

UPCOMING ACTIVITIES Start the art work inlays in the topping slabs at

UCB, JW Clay and Parkwood Stations. Continue installing bike racks, station signage, and

wiring the station signs at multiple stations. Complete the MEP rough-in and start the exterior

masonry of UNC Charlotte’s comfort station. Complete the Duke duct bank at 36th St Station. Start wiring the generator & ATS switches to the

SEC Cabinets. Engineer needs to provide a wiring diagram with wire size.

ISSUES Civil A needs to install a dry fire stand pipe on the

north end of 36th St Station. This is delaying Edison Foard from installing the ramps & sidewalks at 36th St station and delaying the overall station completion.

Revised Contract Dates are based on Contract Amendment #2

Scheduled Actual/Forecast Dates are based on EFI’s Dec 16 Update. Actuals based on Dec 16 Pay Application.

Milestones Description (as of CD-1) Contract Dates (CA-2)

Actual/ Forecast

Notice to Proceed 3/10/15 3/10/15A ICT #1: Aggregate Surface 9th St, Parkwood, & 25th St Station Platforms

12/15/16 12/30/16A

ICT #2: JW Clay & UNCC Main Stations 9/16/16 8/25/16A ICT #2.1: JW Clay Elevator Tower & UNCC Comfort Station Electrical & Conduit

12/1/16 11/23/16A

ICT #3A: 9th St Station 12/1/16 12/5/16A ICT #3B: Parkwood & 25th St Stations 9/21/16 8/31/16A ICT #4: McCullough, Tom Hunter & UCB Stations

9/1/16 9/1/16A

ICT #5: Aggregate Surface JW Clay & UNCC Main Platforms

11/18/16 10/21/16A

ICT #6: Sugar Creek & Old Concord Rd Stations

9/15/16 9/12/16A

ICT #7: Aggregate Surface Sugar Creek & Old Concord Rd Stations

8/23/16 8/16/16A

ICT #8: Aggregate Surface McCullough, Tom Hunter & UCB Platforms

10/15/16 10/7/16A

ICT #9 A: 36th Street Station 10/24/16 10/7/16A ICT #9 B: Aggregate Surface 36th St Platform 12/1/16 11/11/16A ICT #10: UCB Station Elevator Tower (Elec) 10/15/16 9/9/16A ICT #11: Remaining Elec & Mech 11 Stations 12/15/16 12/1/16A ICT#12: VMS & CCTV Brackets 11/15/16 11/15/16A Substantial Completion 3/1/17 4/11/17

Contract Budget Amount Original Base Contract Value $18,770,000 Change Orders Issued $1,449,402 Current Base Contract Value $20,219,402 Total Actual Costs (Dec 16 Pay App) $14,915,556 % Billed to Date 74% % Complete (Dec 16 Schedule) 67.6% Amended Contingency $2,607,750 Remaining Contingency $1,158,348 % Contingency Remaining 44%


March 9, 2017

e) CONTRACT 7: OLD CONCORD ROAD PARK & RIDE FOR MONTH ENDING 1.31.2017

Contractor: Blythe Development Company Construction Manager: HNTB

Scope of Work: This Project involves development of the park and ride lot at the Old Concord Road Station.

Completion of sidewalk at crossing Asphalt repair at crossing View of Parking Lot

Progress

THIS MONTH Contractor completed construction work in

January 2017. Contractor now working on punchlist items, completing submittals, inspections and sign offs for completion.

UPCOMING ACTIVITIES Continue working on punchlist items. Continue closeout procedures. Receive all inspections. ISSUES Contractor has indicated they will not warranty

landscaped islands.

Milestones Description Contract

Dates (CA-1)

Actual/ Forecast

Notice to Proceed 10/19/15 10/19/15A Final Completion 12/1/16 1/30/17

Contract Budget Amount

Base Contract Value $4,764,787 Change Orders Issued $177,397 Current Base Contract Value $4,942,184 Total Actual Costs (Dec 16 Pay App) $4,851,591 % Billed to Date 98.2% % Complete (Dec 16 Schedule) 96.3% Amended Contingency $1,143,900 Remaining Contingency $966,503 % Contingency Remaining 84%

Revised Contract Dates are based on Contract Amendment #1 Total Actual and Billed through 12/31/16. Schedule Actual/Forecast Dates are based on Contractor’s Dec 2016 schedule update (Data Date 12/31/16)


March 9, 2017

f) CONTRACT 8A: JW CLAY PARKING GARAGE FOR MONTH ENDING 1.31.2017

Contractor: China Construction America of South Carolina, Inc. Construction Manager: STV/NC

Scope of Work: This Project involves the construction of the J. W. Clay Boulevard Parking Garage as part of the LYNX Blue Line Extension Project through the Federal Full Funding Grant Agreement. This project is at a prominent intersection in the University City Area. The work involves grading, erosion control, demolition, traffic control, construction of 5 story precast concrete parking deck, retaining walls, water, sanitary sewer, storm, fire protection, mechanical, plumbing, electrical and communication installation and related works.

Colored concrete along N. Tryon Street View of Stair Tower Pedestrian Bridge

Progress

THIS MONTH Finish work in the retail areas. Metal panel and glazing at the second tower. Roofing at the stair tower. Colored concrete. Bridge extension glass. UPCOMING ACTIVITIES LED color changing lighting. Finish work in the retail areas. Final paving. Paint exposed steel in the pedestrian bridge. ISSUES Segregation of permits at the deck/ stair tower/

pedestrian bridge extension. Steel guardrail remediation. Rolling stock inventory. Construction conformance checklist ongoing. Remediation of vertical gap at bridge/ deck and

bridge/ tower interface (NCR-17). Work to be confirmed. Remediation of the asphalt paving (NCR-20). Work

to be completed upon resolution of the warranty.


Actual/ Forecast

Notice to Proceed 10/21/2014A 10/21/2014A ICT #1: Completion of Communications Room 12/28/2015 01/14/2015A

ICT #2: Ready for ticket vending machine installation

12/28/2015 01/13/2015A

**ICT #3: Completion of Elevator tower at JW Clay Station

05/25/2016 05/25/2016A

ICT #7 10/15/2016 10/15/2016A **AA #1 Start of elevator tower at JW Clay Station 01/22/2016 01/25/2016A

AA #3 Earliest Final acceptance date 12/24/2016 12/23/2016A

Substantial Completion 02/07/2017 3/11/2017** Final Completion 04/16/2017 5/12/2017**

Contract Budget Amount Original Base Contract Value $22,508,065.00 Change Orders Issued $3,300,318. 61 Current Base Contract Value $26,934,218.11 Total Actual Costs (Amount Billed) * $25,338,649.42

% Billed To Date* 89.01% Physical Percent Complete 90.21% Original Contingency $2,250,806.50 Remaining Contingency $1,125,834.50 % Contingency Remaining 50.19% *Total Actual & Billed to Date based on December Draft 2016 Pay App. **Forecasted schedule revisions have not yet been approved by City of Charlotte


March 9, 2017

g) CONTRACT 8B: UCB PARKING GARAGE FOR MONTH ENDING 1.31.2017

Contractor: New Atlantic Contracting, Inc. Construction Manager: STV/NC

Scope of Work: This Project involves the construction of the University City Boulevard Parking Garage. This project is at a prominent intersection near N. Tryon Street and Ikea Blvd. The work involves grading, erosion control, demolition, traffic control, construction of six-story precast concrete parking deck, retaining walls, water, sanitary sewer, storm, fire protection, mechanical, plumbing, electrical and communication installation and related works.

View of Parking Garage View of Decorative Concrete View of Site Lighting installed

Progress

THIS MONTH Completed decorative concrete and site sidewalks. Completed traffic islands, stripping, lighting poles. Completed elevator adjustments. Completed ceiling tiles, fire protection

pumps/overhead piping and art glazing. Continued electrical rough-in work. Continued install of planting mix and site

handrails. Continue deck stripping and of deck signage. Submittal process ongoing. UPCOMING ACTIVITIES Continue overhead electrical rough-ins. Continue install of handrail infill panels, door

hardware, site handrails and planting mix. Continue install stripping in the deck. Continue install fire alarm devices and start-up. Install downspouts, topping slab, standing seam

roof and expansion joints Tower/Bridge. Install caulk site concrete. ISSUES Submit RTAP drawings for the addition of the

AT&T communication room on the lower level of the garage.


Actual/ Forecast

Notice to Proceed 10/21/2014A 10/21/2014A ICT #4: Completion of Elevator Tower on UCB Station Platform

05/17/2016 05/17/2016A

ICT #5: Completion of the communication room on the 1st level of UCB Garage

07/12/2016 07/11/2016A

ICT #6: Completion of the ticket vending machine area of the 4th level of the UCB garage

07/12/2016 07/12/2016A

AA #2: Contractor not to begin construction of the Elevator Tower on UCB garage

03/03/2016 03/04/2016A

AA #3 Earliest Final acceptance date 12/24/2016 12/24/2016F

Substantial Completion 02/07/2017 06/01/2017F Final Completion 03/09/2017 07/03/2017F

Contract Budget Amount Original Base Contract Value $29,180,000.00 Change Orders Issued $1,685,004.83 Current Base Contract Value $30,865,004.83 Total Actual Costs (Amount Billed)* $29,504,841.13 % Billed To Date* 88.3% Physical Percent Complete 88.9% Original Contingency $2,918,000.00 Remaining Contingency $1,232,995.17 % Contingency Remaining 42% * Total Actual & Billed to Date based on December Draft 2016 Pay App.


March 9, 2017

h) CONTRACT 12: NORTH YARD BUILDING FOR MONTH ENDING 1.31.2017

Contractor: New Atlantic Contracting Inc. of Winston-Salem, NC. Construction Manager: STV Inc. & Neighboring Concepts

Scope of Work: This Project involves the construction of North Yard Building (NYB). This project is located at 1911 North Brevard Street, on the periphery of the NoDa neighborhood in Charlotte, NC. The work involves grading, erosion control, site clearing, traffic control, construction of a 2 story building for a Light Rail Vehicle (LRV) repair to include retaining walls, water, sanitary sewer, storm, fire protection, mechanical, plumbing, electrical, communication installation, and related works.

View of loading dock of S&I Building View inside the “Pit” of the S&I Bldg View of South Wall of S&I Bldg

Progress

THIS MONTH Brick veneer of north wall of S&I Building Steel erection of canopy over loading dock Continued electrical conduit and plumbing rough in S&I

Building Standing seam metal roofing installation - Operations

Wing Completed brick veneer at Operations Wing Storefront installation in progress at Operations Wing NCR#0010 issued on the Operations building for

“Failure to comply with the contract drawings/ shop drawings for the exterior wall framing and roof truss framing and welding applications” – data submitted under review

Dry wall installation in progress prior to “dry-in” conditions; resulting in NCR#0012

UPCOMING ACTIVITIES Address NCRs: o NCR#13 “No protection of top of masonry parapet

walls-efflorescence observed” o NCR#14 “Gyp. Bd. installed improperly throughout

Operations wing” o NCR#15 “Insulated glass panels not centered within

Storefront openings” Continue moving forward with fire sprinkler protection

scope with Change Directive (CD-16) Continue to prepare west end of site for Substation 20 ISSUES Close out NCRs 10 and 12 Coordinate with Track and Systems team Monitor Change Directives

Milestones Description

Contract Dates

Actual/ Forecast*

Notice to Proceed 12/14/2015 12/14/2015A ICT #1: Completion of Communications Room

07/31/2016 07/29/2016A

Substantial Completion 01/07/2017 03/23/2017F

Final Completion 02/06/2017 04/22/2017F

Contract Budget Amount Original Base Contract Value $11,305,399.83 Change Orders Issued $348,882.00 Current Base Contract Value $11,654,281.83 Total Actual Costs (Amount Billed) ** $6,721,230.28

% Billed To Date* 39.63% Physical Percent Complete*** 62.79% Original Contingency $788,748.83 Remaining Contingency $788,748.83 % Contingency Remaining 100% *Forecasted dates are from the Baseline schedule. Schedule

updates have yet to be approved. **Amount billed includes paid Pay Applications #3,4,5,6,7 and

pending revised pay application #8. ***Based on Pay Application #9 currently under review


March 9, 2017

i) CONTRACT 16: SUGAR CREEK PARKING GARAGE FOR MONTH ENDING 1.31.2017

Contractor: Messer Construction Company Construction Manager: STV/NC

Scope of Work: This Project involves the construction of the Sugar Creek Parking Garage and Pedestrian Bridge as part of the LYNX Blue Line Extension Project through the Federal Full Funding Grant Agreement. This project is located on Raleigh Street at the Blue Line Extension (BLE) Sugar Creek Station. The work involves grading, erosion control, demolition, traffic control, construction of 4 story precast concrete parking deck, retaining walls, water, sanitary sewer, storm, fire protection, mechanical, plumbing, electrical and communication installation and related works.

Pedestrian Bridge and Towers Pedestrian Bridge SCK Parking Garage (South Elevation)

Progress

THIS MONTH West open office ceiling & lighting East elevation canopies and soffits East open office ceiling & lighting Pedestrian bridge roofing & fascia Stair A & B elevators Overhead electrical rough-in (pedestrian bridge)

UPCOMING ACTIVITIES HVAC & electrical Rough-ins (Garage) Metal screen installation (all Garage Elevations) East elevation canopies and soffits (Garage) Drives – concrete paving Decorative concrete paving ISSUES NCR -14: Heavy duty concrete pavement along

radius of southeast corner of site


Actual/ Forecast

Notice to Proceed 11/02/2015 11/02/2015A ICT #1: Completion of Communications Room 09/21/2016 9.25.2016A

ICT #2: Ready for TVM installation 09/21/2016 9.21.2016A ICT #3: Completion of the Pedestrian Bridge (Alt #1) required for wiring and equipment to be installed by Work of other Packages.

9/21/2016 12.27.2016A

AA #1 The Contractor may not access Parcel IDs 09106708 and/or 09106709.

1/30/2016 1/30/2016A

AA #2 The Contractor may not access area within 30’ of existing 66” RCP and structures to be installed by Contract 2A – CIV-A.

12/21/2015 12/21/2015A

Substantial Completion 02/23/2017 03/21/2017F** Final Completion 02/23/2017 04/22/2017F**

Contract Budget Amount Original Base Contract Value $21,718,000.00 Change Orders Issued $451,418.28 Current Base Contract Value $21,718,000.00 Total Actual Costs (Amount Billed) * $20,968,927.03 % Billed To Date* 98% Physical Percent Complete 94% SCK Parking Structure $16,761,000.00 SCK Ped Bridge $4,939,000.00 Original SCK SCC 20 Contingency $1,258,425.00 Original Ped Bridge Contingency $370,425.00 Contaminated Soil Allowance $18,000.00 Remaining Contingency $1,305,709.24 % Contingency Remaining 80%

* Total Actual & Billed to Date based on December 2016 Pay application. **Forecasted schedule revisions have not yet been approved by City of Charlotte


March 9, 2017

j) CONTRACT 9A: SOUTH BOULEVARD LIGHT RAIL FACILITY (SBLRF) UPFIT FOR MONTH ENDING 1.31.2017

Contractor: China Construction America of South Carolina, Inc. Construction Manager: STV/NC

Scope of Work: This Project involves the Upfit renovations of the South Boulevard Light Rail Facility (SBLRF) as part of the LYNX Blue Line Extension Project through the Federal Full Funding Grant Agreement. This project is at the main maintenance facility for CATS Blue Line. The work involves the reconstruction of the ROCC.

Phase 1 Overall view of completed upfit for the third floor ROCC. Carpet, furniture, and equipment installation is included in another contract.

Progress

THIS MONTH Complete close out documentation. UPCOMING ACTIVITIES Finalize closeout documents. ISSUES Awaiting submission of closeout documents from

contractor.


Contract Dates

Actual/ Forecast

Notice to Proceed 07/11/2016 07/11/2016A Final Completion 09/14/2016 09/21/2016A

Contract Budget Amount Original Base Contract Value $244,112.40 Change Orders Issued $0.00 Current Base Contract Value $244,112.40 Total Actual Costs (Amount Billed) $ 198,341.32

% Billed To Date* 81.25% Physical Percent Complete 100% Original Contingency $40,685.40 Remaining Contingency $40,685.40 % Contingency Remaining 100.00%


March 9, 2017

k) CONTRACT 9B: SOUTH BOULEVARD LIGHT RAIL FACILITY (SBLRF) UPFIT FOR MONTH ENDING 1.31.2017

Contractor: China Construction of America, Inc. Construction Manager: STV/NC

Scope of Work: This Project includes renovations to the Electronics Shop, Clean Room, and EHU Room on the second floor. The first floor includes renovation to the Pre-test Room, Test Room and Storage. Two mop sinks are added in the Train Wash area and three spaces will be enclosed in the main service area for a secured storage room and testing of train equipment. Existing communication piping is relocated to accommodate new spaces being enclosed on the first floor. Addition of a HVAC system will heat and cool the testing area, and a new unit will serve the second-floor rooms being renovated. The existing sprinkler system in each space is modified. The FM-200 system in the Electronics Shop will be relocated to the Clean Room.

Clean Room 205 EHU Room 202 View of Compressor Room

Progress

THIS MONTH Completed preparation of steel shop drawings. Rough-in utilities for installation of mop sinks. Coordination of compressor lines to install new

exhaust fa at compressor room. Layout of pre-test and test room. UPCOMING ACTIVITIES Lay out of work (walls, footings) Ceiling grid, install sprinkler heads at Room 202. Install VAV in Room 202, ductwork at Room 205. Install mop sinks. Begin masonry work at Room 108. ISSUES None affecting construction progress.


Contract Dates

Actual/ Forecast

Notice to Proceed 10/24/2016 10/24/16A Final Completion 05/25/2017 05/25/2017F

Contract Budget Amount Original Base Contract Value $2,423,636.00 Change Orders Issued $0.00 Current Base Contract Value $2,423,636.00 Total Actual Costs (Amount Billed) $0.00

% Billed To Date* 0% Physical Percent Complete 10% Original Contingency $242,364.00 Remaining Contingency $242,364.00 % Contingency Remaining 100.00%


March 9, 2017

10.0 Third Party Coordination

a) Norfolk Southern (NS) The railroad’s engineering and inspection consultant (TGS) participates in the weekly construction meetings. All contractor submittals in the NS right-of-way are sent to NS for review and approval. Management conference calls are also scheduled monthly to keep all parties briefed on the project status. The 11/14/16 conference call focused on the Civil A schedule to turn over the roadbed to NS as well as NS’s Freight Track Relocation tentative construction schedule. Also discussed were AT&T and Duke encroachment permit applications to NS that have now been approved by NS; future NS outages for the remainder of 2016 which Civil A could utilize as needed; erosion control items for Civil A to address; and NS review of the North Yard access drive. The 12/12/16 conference call focused on the Civil A schedule to turn over the roadbed to NS as well as the Freight Track Relocation tentative construction schedule. Also discussed were the approved AT&T and Duke encroachment permit applications by NS, TRK/SYS schedule to set TPSS 13 at Craighead Road, erosion control items for Civil A to address, and NS review of the North Yard access drive. A partial walkthrough of ICT #2 was conducted on 12/16/16 with NCRR and TGS to review progress and establish an open items list of the roadbed segments nearing completion. The conference call on 1/9/17 focused on the Civil A schedule to turn over trackbed to NS (specifically remaining open items in zones 2 and 3 of the alignment) as well as NS’s Freight Track Relocation tentative construction schedule. Also discussed was TRY/SYS project’s recent set of TPSS 13 at Craighead Road, and NS review of North Yard access drive. On 1/18/17, a walkthrough of ICT #2 was conducted with NCRR and TGS to review progress and establish an open items list of the roadbed segments zone 2 and 3 which nearing completion/turnover to NS’s contractor.

b) UNC Charlotte CATS, NCDOT and UNC Charlotte held the monthly construction update meeting on 11/14/16 to discuss project coordination. TPSS #18 was successfully placed on 11/13/16. UNC Charlotte asked when final paving on campus would be done and Lane said it would be done within the month. Most of the remaining work on campus will be limited to the rail corridor and station area. CATS, NCDOT and UNC Charlotte held a monthly construction update meeting on 12/19/16 to discuss coordination on the project. UNC Charlotte was not in attendance. No UNC Charlotte coordination meeting was held in January.

c) Utilities Duke Energy • Duke has relocated into the duct bank and transferred all services from overhead to underground feeds

except for the nearby traffic signals. Duke will schedule the removal of overhead lines and poles after the traffic signal feeds are transferred to the underground electrical system.

• Duke has raised several overhead crossings over N. Tryon Street in Segments B and C that did not provide adequate clearance over the BLE OCS. A few of those crossings require further attention from Duke before OCS lines are energized. Duke is in the process of adjusting these lines.

• Duke released street lights to its construction crews at the UCB Parking Garage and Old Concord Road Park and Ride. Installations are scheduled to be finished in January. Duke is procuring materials and bidding installation contracts for street light bases along N. Tryon Street. Much of the lighting conduit


March 9, 2017

installed by the Civil B/C contractor along N. Tryon Street was installed too shallow and will need to be replaced. An NCR was issued instructing the contractor to replace conduits damaged by recent tree installations and to confirm conduit depths where conduits were not hit.

AT&T Local Coordination AT&T provided backup documentation supporting invoices for BLE relocations in July. CATS determined the documentation to be generally adequate but requested some additional information. AT&T has not responded since July. Overall AT&T relocation costs appear to be within the range of previous BLE estimates.

d) NCDOT On 11/14/16, CATS and NCDOT held the monthly construction coordination meeting. Lane provided an update on construction activities, most of which related to the removal of traffic protection as curb, gutter and paving were being wrapped up for the winter months. Track and Systems announced that TPSS#17 was successfully installed over the weekend and that they would continue installing OCS in Segment C, and would soon start the installation of crossing gates along N. Tryon Street. Intersections along N. Tryon Street would be closed in a staggered configuration so that traffic would not have to travel long distances to perform left hand turning movements. NCDOT agreed with this plan. NCDOT’s work on the Sugar Creek Grade Separation Project continues to progress. Girders over the LRT corridor were successfully installed without impacting the LRT project. Placement of the girders prior to energization of the lines was a major milestone for NCDOT. Further coordination will be needed in the future once the bridge deck installation begins. On 12/19/16, CATS and NCDOT held their monthly construction coordination meeting. Lane provided an update on construction activities during the past month and looking forward. Most of the work related to preparing for final paving and inspection of drainage boxes. NCDOT asked for additional information on cross-slope verification through the WT Harris Blvd./ N. Tryon Street intersection and guardrail placement at Old Concord Road. HNTB provided a construction progress update for Track and Systems. HNTB said that they will work closely with NCDOT’s U-5008 Sugar Creek Grade Crossing Project with regard to energization of the OCS line. All parties will need to know when the line is activated and make sure that personnel working around the live line are properly trained. NCDOT informed the City that all CATS bridges over street rights-of-way will need to be certified by NCDOT. The certification is to verify that the bridges meet and maintain the minimum clearances for vehicular traffic. The City will provide NCDOT this data once as-builts are produced. No NCDOT coordination meeting was held in January.

11.0 Quality Assurance and Quality Control (Quality Management System)

The following is a summary of Quality Assurance (QA) activities performed during this reporting period: • Performed QA site surveillances on all active projects to include CIV A (assessment of grading and hand

hole adjustments, A12 point and patching status), CIV BC (tunnel wiring progress, ADA inspections), and Track and Systems (monitor of tie replacement and repairs at various locations) to ensure the quality processes are being implemented by all responsible parties.

• Participated in weekly progress meetings for all active projects. • Conducted weekly quality control of e-Builder database, most documents up to date.


March 9, 2017

• Track and Systems audit report issued on 1/17/17. The audit identified several observations that will require monitoring and correction; e.g. calibration stamps for materials and test equipment, inspection process and use of correct forms. No audit findings identified during the audit.

• Reviewed potential nonconformance and nonconformance reports for active contracts. • Reviewed DIR, MRR, NCR, RE Weekly report for Vertical Contracts, Track and Systems, Station Finishes

and OCR Park & Ride, CIV A and CIV BC. • OCR pre-final walkthrough performed 1/27/17; substantial completion walkthrough planned for February

2017. • Facilitated weekly quality reviews for the dispositioning and closing open NCRs. • Raleigh/Greensboro Contract closeout documents being finalized for turnover to City. • Conducted quarterly audit of the CIV-B/C contract on 12/5/2016. The audit identified several

observations that will require monitoring and correction. There were no audit findings identified during the audit.

BLE Contractor Quality Plan Status

Consultant/Contractor

Contract Package(s)

Quality Plan

Revision Status Date

Approved Notes HNTB – Owner Rep

Horizontal Contracts 1 Approved 12/22/14

STV – EOR, DSDC*, Owner Rep

Vertical Contracts 6 Approved 4/10/15

Kleinfelder All 2 Approved 7/17/13 BBBJV Civil Segment A 4 Approved 2/16/16 Lane Civil Segment BC 7 Approved 1/17/17 Rev 7 Update to test plan BBR TRK-SYS 6 Approved 6/22/2016 Edison Foard

Station Finishes 4 Approved 8/12/15

Blythe Old Concord Road Park N Ride

1 Approved 3/3/16

China Construction

JW Clay Garage 3 Revise and Resubmit

Rev 2 1/14/15

Rev 3 submitted for change in QC Officer, RAR 11/30/2016.

New Atlantic University City Garage 3 Approved 1/18/15 Messer Sugar Creek Garage 4 Approved 4/7/2016 China Construction

South Blvd Light Rail Upfit (9B)

0 Revise and Resubmit

Plan dated Nov. 8, 2016

Genfare TVM 1 Approved 6/15/2016 New Atlantic North Yard / Rail Service

& Insp 2 Approved 4/11/16

Siemens LRV 2 Approved 4/24/14 *DSDC – Design Services During Construction Outstanding / Ongoing QA Issues: • Significantly high percentages of BLE TRK/SYS and NYB submittals are dispositioned as revised and

resubmit and/or new submittals are late. For TRK/SYS contract, HNTB management meeting regularly with contractor’s management to get status and drive progress. For NYB contract, City requested additional contractor personnel to improve quality of work. Architects/ Engineers working with contractor to resolve open submittal issues for garage contracts. Garage contractors working with construction managers to remove items not required from the registers.

• Owner concerns about integrity of Type III concrete ties over time, (additional maintenance costs and impacts to CATS operations) have resulted in several meetings with CMC Senior Management, General


March 9, 2017

Contractor and Supplier to address nonconformities. NCR 51 is still open and 2018 ties have been repaired or replaced out of 3321, for a total of 60% completion status.

• NCDOT walk-through for work on N. Tryon Street has not been scheduled yet. General Contractor will need to clean out man-holes prior to NCDOT’s walk through. Also, several man-holes will need access steps installed. Discussion with General Contractor’s Quality Manager held to ensure the contractor provides pull tests for 10% of the steps installed.

• North Yard Building Contractor has experienced a number of workmanship issues which has led the city to increase its surveillance of their work. An onsite daily observer has been added to the Construction Administration staff and the Architect has increased his visits from one to three days per week. Additionally, the Contractor has made staffing changes to assist the superintendent with subcontractor oversight activities.

Planned QA Activities for Next Review Period: • Monitor and develop CMC oversight efforts for CIV-A, CIV-B/C, Track and Systems, Station Finishes,

Contractors’ Quality Control of as-built documents and the distribution of plan revisions and sketches to the subcontractors.

• Review status of Safety and Security CCC’s and CILS for active contracts. • NCDOT Materials Tracking and Acceptance Test review internal meeting—NCDOT audit scheduled for

February 2017. • Continue to coordinate with T/S resolution of NCR 51 Concrete Ties Received or Installed with Defects. • Review Station Finishes Punch List and As-Built Drawings. • Review BLE project deficiencies and non-conformances. Provide input on an as-needed basis. • Schedule Quality Walkthroughs with Station Finishes and Track and Systems. • Review and comment on PNCR(s), identify issues, coordinate with Contractor. • Provide recommendations for obsolete documents. • Complete Raleigh-Greensboro, SBLRF (contract 9A), and OCR close-outs. • Review Test Registers for all contracts. • Facilitate meetings with contractor’s (CIV-B/C, CIV-A, Track and Systems, Station Finishes, Old Concord

Road, NYB, Fare Collection) Quality Managers. • Conduct weekly quality control surveillance inspections and compliance audits as scheduled (Quarterly). • Review ICT updates with REs to ensure item traceability until closure. • Review Station Finishes Material Receiving Reports. • Coordinate Submittal Review Process, eliminate duplicates, verify scope, confirm due date. • Review and revise HNTB Quality Plan. On the vertical contracts, the consultants participating in the design of the projects provide liaison and construction observation services as needed with respect to their portion of the design. Site visit reports are prepared weekly and defects or deficiencies observed in the work are documented. Reports are uploaded to e-Builder. Special Inspections are performed by the material testing consultant. A summary of their activities is in the Materials Testing, Special Inspections and Observations portion of the report.


March 9, 2017

FY17 Audit Schedule

0

1

2

3

4

5

J A S O N D J F M A M J

BLE

QM

Aud

its-C

onst

ruct

ion

Scheduled Performed Extended

FY16

• July 2016 – CIV-A • August 2016 – STA • September 2016 – TRK/SYS • October 2016 – OCR, STV • November 2016 – TRK/SYS, CIV A • December 2016 –CIV BC • January 2017 – HNTB • February 2017 – STA • March 2017 – Internal BLE, CIV A • April 2017 – SCK, JWC • May 2017 – NYB, TRK/SYS • June 2017 – UCB

0

10

20

30

40

50

60

70

J-17

F-17

M-1

7

A-1

7

M-1

7

J-17

J-17

A-1

7

S-17

O-1

7

N-1

7

D-1

7

# N

CR

s

New Closed Total Open

New NCRs Contract Doc # - Subject Description Date

Issued

CIV BC NCR #00089 - OCR Sidewalk Sidewalk is sloped in incorrect direction. 1/04/17

CIV BC

NCR #00090 - At Grade Crossing Sidewalks and Driveway

Foot prints in concrete crossings at Arrowhead crossing, McCullough crossing, JW Clay crossing, and Old Concord Rd driveway 1/12/17

NYB

NCR #00013 - No Protection of top of masonry parapet walls-Efflorescence observed

Per STV Site Visit Report 01/05/17 and as discussed during the OAC meeting of 01/11/15, NAC has not protected the top of the S & I masonry parapet walls and rain water has entered to top four feet of the brick and CMU walls. Efflorescence can be observed on the brick veneer and on the interior CMU walls. NAC has not complied with Spec Section 04 22 00 Part 2.5.A. This section of the specifications requires "During construction, cover tops of wall, projections, and sill with waterproof sheet at end of each day's work. 1. Extend cover a minimum of 24 inches down both sides of walls and hold cover securely in place”. NAC to provide cover as required.

1/18/17

NYB

NCR #00014 - Gypsum Board Installed improperly throughout Operations Wing

Per STV Site Visit Report 01/05/17 and as discussed during the OAC meeting of 01/11/15, NAC has installed gypsum drywall improperly throughout the Operations Wing. 1. On the first coat of drywall compound at the panel joints, poor drywall tape installation was observed (improper bedding of tape). Taped joint were installed with deep wrinkles in the tape. In many locations drywall screw have been installed at the edge of the drywall panel joint and are not holding the panel against the studs. Some drywall screws are imbedded below the panel face. These are not an acceptable installation of drywall screws. 2. Drywall has been installed inside the Operations Dispatch Office 109 at the CATS Mailboxes. Remove the drywall panels and metal studs that are blocking Mail box access within the room. 3. The northeast corner of Janitor Room 114 the drywall panels have a gap of ½ to ¾" above a height of 8'. Below this height drywall tape and drywall compound has been installed to cover the gap. The gap is too wide for the tape to span and the drywall must be corrected.

1/18/17

NYB NCR #00015 - Insulated glass panels not centered

Per STV Site Visit Report 01/05/17 and as discussed during the OAC meeting of 01/11/15, some of the insulated glass (IG) panels in the aluminum storefront windows are not centered within the storefront openings. IG spacers with desiccant are visible beyond the storefront glazing gaskets.

1/18/17

JANUARY 2016 NEW - 5 CLOSED - 9 TOTAL OPEN - 36


March 9, 2017

New NCRs Contract Doc # - Subject Description Date

Issued within Storefront openings

Correct placement of IG or replace IG.

Quality Assurance - Materials Testing, Special Inspections and Observations The Kleinfelder team is operating with 5 full-time field technicians, 1 full-time manager, 2 part-time managers, 1 part-time document control staff member and a number of part-time field technicians to accommodate the activity and coverage for all active contracts. Kleinfelder continues to adjust their staff as major work elements on the project are completed and milestones are realized. Brief descriptions of Kleinfelder’s QA/QC activities are outlined below: • Soil Subgrade Observations • Field Density Testing (Conventional and Nuclear) • Concrete Sampling and Testing (Structural and Incidental) • Dynamic Cone Penetrometer (DCP) Testing • Special Inspections Kleinfelder field staff members maintain direct communication with the Contractor’s representatives concerning deficient work as it occurs or is identified in the field and issues are maintained on deficiency logs. Special Inspections (Mecklenburg County required inspections) continued at the following project locations—CIV-A 36th Street Station foundation members (excavation/fill and reinforced concrete), SCK parking garage (welding) and NYB (reinforced concrete and masonry). CIV-A still has unresolved issues related to cathodic protection acceptance testing for the North Yard, 16th St and Sugar Creek locations; test results are still pending. Concrete testing was performed for Wall A25 members, metal pole foundations, ballast curb walls, 9th Street Station decorative toppings, slab on grade heavy duty pavement, decorative paving at garage various incidental structures such as curb and sidewalks. Twenty-eight day compressive strengths not meeting minimum requirements are documented in NCRs—0 NCRs in December, 0 in January. Project quality records provided by the material testing consultant consisting of field reports, laboratory reports, test result summaries (see below), and deficiency logs are uploaded to the e-Builder project database.

Lynx BLE Project Materials Testing Summary Testing Complete Through December 31, 2016

No. of Tests Conducted

No. passed (First Pass)

% Accept (First Pass)

No. of Open Deficiencies Comments

Soil Density

All Contracts 7807 7580 97.1% 0

Contract 1A 41 39 95.1% 0

Contract 1B 247 238 96.4% 0

Contract 1C 402 394 98.0% 0

Contract 2A 3489 3357 96.2% 0

Contract 03 2675 2627 98.2% 0

Contract 05 43 42 97.7% 0

Contract 06 2 0 0.0% 0

Contract 7A 131 130 99.2% 0


March 9, 2017

Lynx BLE Project Materials Testing Summary Testing Complete Through December 31, 2016

No. of Tests Conducted

No. passed (First Pass)

% Accept (First Pass)

No. of Open Deficiencies Comments

Contract 8A 191 186 97.4% 0

Contract 8B 236 231 97.9% 0

Contract 12 48 47 97.9% 0

Contract 16 195 186 95.4% 0

Contract 17 107 103 96.3% 0

Concrete

All Contracts 5208 5151 98.9% 1

Contract 1A 8 6 75.0% 0

Contract 1B 48 47 97.9% 0

Contract 1C 126 124 98.4% 0

Contract 2A 2146 2139 99.7% 0

Contract 03 1851 1836 99.2% 0

Contract 05 42 42 100.0% 0

Contract 06 141 135 95.7% 0

Contract 7A 63 63 100.0% 0

Contract 8A 220 215 97.7% 0

Contract 8B 222 208 93.7% 0

Contract 09 3 3 100.0% 0

Contract 12 70 65 92.9% 1 NCR 9

Contract 16 213 213 100.0% 0

Contract 17 55 55 100.0% 0

Buy America Certification reviews continued --completed Buy America certifications are coming in with submittals. Per request, CATS is working to provide updated Buy America logs for all active contracts to PMOC.

12.0 Community Outreach November 29, 2016 – A member of the BLE Communications team worked with UNC Charlotte on a presentation at a public meeting to inform the community, primarily students and faculty, about the light rail, answer questions and convey the overall vision of the project. There were approximately 120 people in attendance. December 6, 2016 – Members of the CATS Bus Operations teams held a community meeting in Grier Heights updating the public on the BLE’s new bus-rail integration plan. Information focused on answering questions regarding the BLE and how bus routes would interact with the alignment once it opened. Approximately 15 people attended the meeting. December 12, 2016 – Members of the CATS Bus Operations teams held a community meeting in Hampshire Hills updating the public on the BLE’s new bus-rail integration plan. Information focused on answering questions regarding the BLE and how bus routes would interact with the alignment once it opened. There were approximately 23 people in attendance.


March 9, 2017

December 13, 2016 – A BLE Communications team member met with UNC Charlotte faculty from the Transportation Planning Department to discuss the BLE project and answer questions. There were four people in attendance. December 14, 2016 – Members of the CATS Bus Operations teams held a community meeting in the Plaza Midwood area to update the public on the BLE’s new bus-rail integration plan. Information focused on answering questions regarding the BLE and how bus routes would interact with the alignment once it opened. There were approximately 10 people in attendance. December 19, 2016 – The BLE Communications and CATS Art-in-Transit teams partnered to host students from the Hidden Valley community who had worked on the public art installation at Tom Hunter Station to see the final product and meet the artist. The meeting was in partnership with Charlotte Mecklenburg Schools and held at Vance High School. January 12, 2017 – A BLE Communications team member presented information about CATS overall transit plan and the BLE to the local chapter of the Certified Commercial Investment Member group. There were approximately 30 people in attendance. January 20, 2017 – A BLE Communications team member presented to the University Hilton Sales team about the BLE and upcoming development expected for the area. There were approximately 15 people in attendance. January 24, 2017 – The CATS Marketing and Communications team attended a Transportation Fair at the Central Piedmont Community College Harper Campus. Information about CATS projects, including the BLE, was shared with participants. January 25, 2017 – The CATS Marketing and Communications team attended a Transportation Fair at the Central Piedmont Community College Main Campus. Information about CATS projects, including the BLE, was shared with participants. January 30, 2017 – A BLE Communications team member spoke at a neighborhood association meeting in Colonial Village to provide construction updates about the BLE and general information about what residents can expect once the line opens. There were approximately 50 people in attendance. The BLE Communications team continues to work with business owners along the alignment to provide information about current and upcoming activities, anticipated impacts during construction and problem resolution. Also, Open for Business signs continue to be provided to offer more visibility to businesses along the alignment. Other business signs have been fabricated based on individual business needs. Information holders are also provided to these businesses to offer BLE project information to their customers at their establishment. Individual meetings were held with business owners along the alignment to discuss strategies and tools to create a business to business reciprocal approach to keep their businesses visible and accessible throughout the BLE construction. BLE team members continue to hold meetings with key stakeholders to inform them of construction activities and answer any construction, road closure and accessibility questions. The BLE communications team continues to respond to phone and email inquiries and provide information about construction and traffic impacts, business access and future transit oriented development opportunities.


March 9, 2017

V. TIGER III Blue Line Capacity Expansion (BLCE) Project

1.0 Project Finance

3.1 Federal Funds Federal funds for the BLCE project are provided through a TIGER III grant (NC-79-0002-00) in the amount of $18,000,000. As of December 31, 2016, $13,361,113 was reimbursed against grant NC-79-0002-00.

3.2 State Funds It is anticipated that the State will not provide funding for the Blue Line Capacity Expansion project.

3.3 Local Funds CATS/City of Charlotte is currently funding $5, 500,000 of the project costs from non-state and non-federal sources of revenue. The most significant of these sources is the agency’s net cash balance, which is comprised primarily of sales tax revenue. CATS/City of Charlotte’s local appropriation will remain at $4,500,000, representing a 20% match and 100% funded $1,000,000 short-term increase.

See attached Sources of Capital Funding table.


March 9, 2017

SOURCES OF CAPITAL FUNDING

As of December 31, 2016

Sources of Capital Funding Grant ID Funding Share Amount Expended to Date*

Percent Fund

Source Expended

to Date

Remaining Balance

Reimbursement to Date

Federal Funds (79-TG-2 )NC-79-0002-00 18,000,000 14,925,463 82.92% 3,074,537 13,361,113

Appropriated Federal Funds 18,000,000 14,925,463 82.92% 3,074,537 13,361,113 Subtotal - Federal Funds 80.00% 18,000,000 14,925,463 82.92% 3,074,537 13,361,113 State Funds

- - 0.00% - - Appropriated State Funds - - 0.00% - - Subtotal - State Funds 0.00% - - 0.00% - - Local Funds 1/2 Sales Tax 4,500,000 3,731,366 82.92% 768,634 N/A

Appropriated Local Funds 4,500,000 3,731,366 82.92% 768,634 Subtotal - Local Funds 20.00% 4,500,000 3,731,366 82.92% 768,634 -

SUBTOTAL PROJECT BUDGET 100.00% 22,500,000 18,656,829 82.92% 3,843,171 Local Funds 1/2 Sales Tax 1,000,000 - 0.00% 1,000,000 N/A

Appropriated Local Funds 1,000,000 - 0.00% 1,000,000 Subtotal - Local Funds 100.00% 1,000,000 - 0.00% 1,000,000 -

TOTAL APPROPRIATED FUNDS 23,500,000 18,656,829 79.39% 4,843,171 13,361,113 TOTAL PROJECT BUDGET 100.00% 23,500,000 18,656,829 79.39% 4,843,171 13,361,113

*Expended to date reported on accrual basisLEGENDSources of Capital Funding: Designates Funds as Federal, State or Local and provides description of source of funds.Grant ID: Grant Number assigned to appropriated federal and state fundsFunding Share: Distribution percentage of total FFGA Project Budget Amount: Total Dollar Amount Expended to Date: Expenditures including accruals, as of the report datePercent Fund Source Expended to Date: Expended to Date / AmountRemaining Balance: Funds available (Amount - Expended to Date)Reimbursement to Date: Drawdown amount of grants reimbursed to grantee


March 9, 2017

2.0 Project Budget

4.1 Budget Overview The current appropriation for the BLCE totals $23.5 million. In December, $73,618.63 of expenditures were incurred. Total expenditures paid to date are $18,656,829.12. Total expenditures to date with accruals included are $18,656,829.12. The current budget of $24.0 million includes $189,704 for guideway and track elements; $2,497,749 for stations, stops, terminals, intermodal; $1,056,858 for sitework and special conditions; $13,190,863 for systems; and $182,489 for ROW, land, and existing improvements. The current budget also includes $6,894,381 for professional services, of which $867,764 is for preliminary engineering; $1,075,880 for final design; $714,663 for project management for design and construction, $4,005,767 for construction administration and management and $230,307 for surveys, testing, investigation, and inspection. As previously reported, the BLCE project will temporarily go over budget to cover Construction Administration and Project Administration costs related to project delays. It is anticipated that the budget overage will be covered by liquidated damages in the final settlement estimated to be in 2017. CATS has withheld approximately $3,900,000 in liquidated damages as of the end of December. See attached Budget Summary table.


March 9, 2017

BUDGET SUMMARY as of December 31, 2016

C - (G + H)A B C D E F G H I

PREVIOUSLY CURRENT TOTAL TOTALAPPROPRIATED SPENT MONTH EXPENSES COST UNRESTRICTED

PROJECT GRANT BUDGET CURRENT BUDGET FUNDS TO DATE * EXPENSES TO DATE (ACCRUAL) ENCUMBRANCE BALANCE

10 Guideway & Track Elements1001 10.01 - Guideway: At-Grade Exclusive Right-of-Way - 86,165 86,165 84,568 - 84,568 84,568 - 1,598 1011 10.11 - Track: Ballasted - 43,564 43,564 43,564 - 43,564 43,564 - - 1090 10.90 - Allocated Contingency - - - - - - - - -

Subtotal - 129,729 129,729 128,131 - 128,131 128,131 - 1,598 20 Stations, Stops, Terminals, Intermodal

2001 20.01 - At-grade station, stop, shelter, mall, terminal, platform 4,100,000 2,331,914 2,331,914 2,190,150 - 2,190,150 2,190,150 75,958 65,806 2090 20.90 - Allocated Contingency - - - - - - - -

Subtotal 4,100,000 2,331,914 2,331,914 2,190,150 - 2,190,150 2,190,150 75,958 65,806 30 Support Facilities Subtotal - - - - - - - - - 40 Sitework & Special Conditions

4001 40.01 - Demolition, Clearing, Earthwork - 73,801 73,801 71,725 - 71,725 71,725 - 2,075 4005 40.05 - Site structures including retaining walls, sound walls - 482,107 482,107 224,739 - 224,739 224,739 257,033 335 4008 40.08 - Temporary Facil ities and other indirect costs during construction - 424,120 424,120 406,836 - 406,836 406,836 - 17,284 4090 40.90 - Allocated Contingency - - - - - - - - -

Subtotal - 980,027 980,027 703,300 - 703,300 703,300 257,033 19,694 50 Systems

5001 50.01 - Train control and signals 1,200,000 3,009,032 3,009,032 2,362,554 - 2,362,554 2,362,554 622,075 24,403 5003 50.03 - Traction power supply: substations 8,400,000 7,351,111 7,351,111 4,970,257 - 4,970,257 4,970,257 2,136,920 243,934 5004 50.04 - Traction power distribution: catenary and third rail 600,000 2,217,478 2,217,478 1,229,484 - 1,229,484 1,229,484 911,132 76,862 5005 50.05 - Communications 1,200,000 403,840 403,840 308,350 - 308,350 308,350 90,997 4,493 5090 50.90 - Allocated Contingency - - - - - - - - -

Subtotal 11,400,000 12,981,461 12,981,461 8,870,645 - 8,870,645 8,870,645 3,761,125 349,692 60 ROW, Land, Existing Improvements

6001 60.01 - Purchase or lease of real estate 500,000 182,489 182,489 185,085 - 185,085 185,085 - (2,596) Subtotal 500,000 182,489 182,489 185,085 - 185,085 185,085 - (2,596) 70 Vehicles Subtotal - - - - - - - - - 80 Professional Services

8001 80.01 - Preliminary Engineering 1,470,000 867,764 867,764 865,039 - 865,039 865,039 - 2,725 8002 80.02 - Final Design 1,780,000 1,075,880 1,075,880 1,072,082 - 1,072,082 1,072,082 - 3,797 8003 80.03 - Project Management for Design and Construction 1,200,000 714,663 714,663 701,767 - 701,767 701,767 - 12,895 8004 80.04 - Construction Administration & Management 1,000,000 4,005,767 4,005,767 3,731,483 73,619 3,805,101 3,805,101 177,518 23,148 8007 80.07 - Surveys, Testing, Investigation, Inspection - 230,307 230,307 135,528 - 135,528 135,528 1,262 93,517 8008 80.08 - Start up - - - - - - - - -

Subtotal 5,450,000 6,894,381 6,894,381 6,505,900 73,619 6,579,518 6,579,518 178,780 136,082 90 Unallocated Contingency

9000 90 Contingency 1,050,000 - - - - - - - - Subtotal 1,050,000 - - - - - - - - 100 Finance Charges Subtotal - - - - - - - - -

TOTAL TIGER III (BLCE) 22,500,000 23,500,000 23,500,000 18,583,210 73,619 18,656,829 18,656,829 4,272,896 570,274 * Previously Spent to Date is reported on a cash basis and may differ from the previous month due to period closing adjustments.

LEGENDGrant Budget: Year of Expenditure Dollars approved in project budgetCurrent Budget: Year of Expenditure Dollars based on latest Engineering Cost Estimate and Construction Contract Awards. Year of Expenditure DollarsAppropriated Funds: Authorization to spend monies for the activity or activities covered by the appropriation up to its amountsPreviously Spent to Date: Expenses associated with the project that were incurred prior to the current month expensesCurrent Month Expenses: Expenses associated with the project that were incurred in the month of reporting; excludes retainageTotal Expenses to Date: Expenses associated with the project that were incurred in the month of reporting plus prior time periods; excludes retainageTotal Cost (Accrual): Includes all expenditures paid, received invoices yet to be paid and any work completed/actual cost to the project that have not yet been invoicedEncumbrance: A contingent l iabil ity related to unfil led contracts or purchase order for goods or services that is chargeable to the project (reservation of fund balance)Unrestricted Balance: Funds available for use, uncommitted; (appropriated funds) -(total costs + contract encumbrances)


March 9, 2017

3.0 Project Closeout

CATS is working toward a project closeout by Summer 2017, and has made good progress in closing out punchlist items, with only 4 items remaining (related to sign repair and a cracked paver). These minor punchlist items will be repaired by the end of March. There remain 94 submittals yet to be closed, of those 22 are closeout submittals (Warraties, O&M manuals, Final Surveys, Final Product Lists, Spare Parts, As Builts, etc…) and the remainder are administrative closeout and final resubmittals. The contractor is targeting the end of May to provide all these deliverables.


March 9, 2017

VI. CityLYNX Gold Line Phase 1 (Streetcar Starter Project)

1. Project Budget

a. Budget Overview: The total expenditures to date are $31,558,401 of the $37

million total project budget. The estimated expenditures to date including

accruals are $33,373,174. The grant monies expended to date are $22,486,243.

The expenditures to date reflect expenditures through January 31, 2017. The

estimated accruals to date reflect accruals through February 24, 2017. See

attached Budget Summary Table.

2. Award Close out a. Working to close out any remaining open contracts.

3. Other outstanding issues a. Duke is scheduling to install the 21 remaining light fixtures.

b. Balfour Beatty is working to complete the remaining construction punchlist items

in order to close the construction contract.

c. Working to finalize as-built documentation in order to close the AECOM contract.


March 9, 2017

Streetcar Starter ProjectBudget Summary

Expense As of December 31, 2016Accruals As of February 24, 2017

A B C D E F G H

ProjectCurrent Budgeted Value

Allocated Contingency Prior Spent to Date

Current Monthly Expenditure Total Spent to Date*

Total Cost with Accruals Encumbrance

(A+B)‐(F+G) Unrestricted Balance

10 Guideway & Track ElementsSubtotal 5,628,886.88$ ‐$ 5,051,111.68$ ‐$ 5,051,111.68$ 5,491,111.68$ 133,238.32$ 4,536.88$

20 StopsConstruction Contract 631,870.00$ ‐$ 580,850.40$ ‐$ 580,850.40$ 580,850.40$ 51,019.60$ ‐$ Shelter Equipment 4,000.00$ ‐$ 3,156.40$ ‐$ 3,156.40$ 3,156.40$ ‐$ 843.60$ Shelter Glass 19,600.00$ ‐$ 19,600.00$ ‐$ 19,600.00$ 19,600.00$ ‐$ Subtotal 655,470.00$ ‐$ 603,606.80$ ‐$ 603,606.80$ 603,606.80$ 51,019.60$ 843.60$

40 Sitework & Special ConditionsConstruction Contract 8,561,172.72$ 8,229,499.02$ ‐$ 8,229,499.02$ 8,529,499.02$ 31,673.70$ ‐$ Streetlighting 520,000.00$ 50,000.00$ 499,110.47$ ‐$ 499,110.47$ 499,110.47$ ‐$ 70,889.53$ Traffic Signals 700,000.00$ 379,894.40$ ‐$ 379,894.40$ 456,467.20$ 90,875.34$ 152,657.46$ Landscaping 40,000.00$ 25,261.53$ ‐$ 25,261.53$ 26,042.81$ ‐$ 13,957.19$

Subtotal 9,821,172.72$ 50,000.00$ 9,133,765.42$ ‐$ 9,133,765.42$ 9,511,119.50$ 122,549.04$ 237,504.18$ 50 Systems

Construction Contract 7,838,886.32$ ‐$ 7,185,814.03$ ‐$ 7,185,814.03$ 7,561,192.03$ 237,602.97$ 40,091.32$ Conduit Installation 80,575.00$ ‐$ 80,575.00$ ‐$ 80,575.00$ 80,575.00$ ‐$ Equipment 69,906.43$ 47,270.32$ 19,800.00$ 67,070.32$ 69,906.43$ ‐$ Scada and TPSS connections 50,000.00$ 10,000.00$ 12254.82 ‐$ 12,254.82$ 26,059.82$ 500.00$ 33,440.18$

Subtotal 8,039,367.75$ 10,000.00$ 7,325,914.17$ 19,800.00$ 7,345,714.17$ 7,737,733.28$ 238,102.97$ 73,531.50$ 60 ROW, Land, Existing Improvements

Subtotal 2,053,900.00$ 1,902,647.80$ 1,902,647.80$ 1,902,647.80$ 151,252.20$ 70 Vehicles

Subtotal 414,000.00$ 194,167.12$ 194,167.12$ 353,167.12$ 5,750.00$ 55,082.88$ 80 Professional Services80.01 Preliminary Engineering 397,879.00$ 378,096.88$ 378,096.88$ 378,096.88$ 19,782.12$ ‐$ 80.02 Final Design 4,702,271.00$ 4,249,011.51$ 34,399.78$ 4,283,411.29$ 4,370,411.29$ 287,000.00$ 44,859.71$

Art in Transit Design 60,000.00$ 60,000.00$ ‐$ 60,000.00$ 60,000.00$ ‐$ 80.03 Project Management 1,005,400.00$ 750,318.99$ ‐$ 750,318.99$ 752,618.99$ 252,781.01$

R/W Acquisition Services 218,583.65$ 54,549.61$ 54,549.61$ 54,549.61$ 157,550.00$ 6,484.04$ Art in Transit 56,023.00$ 6,123.54$ 6,123.54$ 6,123.54$ 136.46$ 49,763.00$ Art in Transit Fabrication 94,477.00$ 94,477.00$ ‐$ 94,477.00$ 94,477.00$ ‐$ ‐$ Art in Transit Artist Service in Fab 32,500.00$ 30,260.00$ 30,260.00$ 32,360.00$ ‐$ 140.00$

80.04 Construction Management 1,097,000.00$ 872,946.94$ ‐$ 872,946.94$ 960,946.94$ 136,053.06$ 80.07 Surveys, Testing, Inspection 700,000.00$ 532,259.16$ 23,001.58$ 555,260.74$ 590,260.74$ 39,739.26$ 70,000.00$ 80.08 Start‐Up 550,000.00$ 241,943.01$ 241,943.01$ 473,943.01$ 76,056.99$

Subtotal 8,914,133.65$ 7,269,986.64$ 57,401.36$ 7,327,388.00$ 7,773,788.00$ 504,207.84$ 636,137.81$ 90 Contingency

Unallocated Contingency ‐$ 1,197,463.92$ ‐$ ‐$ 1,197,463.92$ Construction Contract Cont 205,605.08$ ‐$ 205,605.08$ Subtotal ‐$ 1,403,069.00$ ‐$ ‐$ ‐$ ‐$ ‐$ 1,403,069.00$

Urban Circulator Grant TOTAL 35,526,931.00$ 1,463,069.00$ 31,481,199.63$ 77,201.36$ 31,558,400.99$ 33,373,174.18$ 1,054,867.77$ 2,561,958.05$ TOTAL UCG Project Budget (A+B) 36,990,000.00$

*based on cash basisA = const. bids and final estimateB = escalation & contingency

Current Budgeted Value: Year of Expenditure Dollars based on Construction Contact Awards. Funds are appropriated to the project and are authorized to spend.Allocated Contingency: Contingency monies based on escalation and risk assigned to noted tasks.Prior Spent to Date: Expenses associated with the project that were incurred prior to the current month expensesCurrent Monthly Expenditure: Expenses associated with the project that were incurred in the month of reporting; excludes retainage.Total Spent to Date: Expenses associated with the project that were incurred in the month of reporting plus prior time periods; excludes retainage; based on cash expendedTotal Cost with Accruals: Includes all expenditures paid, received invoices yet to be paid, retainage, and any work completed/acutal cost to the project that have not yet been invoiced. Encumbrance: A contingent liability related to unfilled contracts or purchase order for goods or services that is chargeable to the project (reservation or fund balance)Unrestricted Balance: Funds available for use, uncommitted; (appropriated funds)‐(total costs + contract encumbrances)


March 9, 2017

1.0 Project Overview The CityLYNX Gold Line Phase 2 Project consists of the design and construction of approximately 2.5 miles of a double-track in street running streetcar line. The Project is an extension of the approximately 1.5 mile CityLYNX Gold Line Phase 1 Project completed in July 2015. This extension of the existing CityLYNX Gold Line will result in an approximately 4 mile long double track streetcar system through Center City Charlotte.

The Gold Line Phase 2 project will begin at the Charlotte Transportation Center (CTC), which is the primary transfer facility for the Charlotte Area Transit System (CATS) bus service, existing LYNX light rail service, and the current terminus for the Gold Line Phase 1 project. The Gold Line Phase 2 project will extend west, from the CTC along Trade Street, for approximately 2.0 miles, and terminate at French Street near Johnson C. Smith University campus on Beatties Ford Road. It will also extend northeast approximately 0.5 miles along Hawthorne Lane from the eastern terminus of Phase 1 at 5th Street and Hawthorne Lane near Novant Health Presbyterian Medical Center to Sunnyside Avenue.

The Project includes 11 new stops and the modification of 6 stops along the existing Phase 1 alignment. The Project will utilize seven modern streetcar vehicles, potentially hybrid vehicles if the hybrid technology is feasible, affordable and available at the time the project moves forward. These modern vehicles will replace the existing Gomaco replica trolley vehicles being used in Phase 1. The six existing stops will be modified to allow for the level boarding with the new vehicles. All platforms will utilize either a side or center platform configuration.


March 9, 2017

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1.1 Project History FTA approved CATS to enter Project Development effective February 19, 2014. In Project Development CATS had pre-award authority to pursue design, right of way acquisition, and utility relocation until the SSGA was approved. In 2014, the project was advanced to a 65% level of design and the full project cost in year of expenditure with contingency was estimated at $150 million. On September 8, 2014, Charlotte City Council appropriated an additional $12 million in local funds (bringing the total local appropriation to $75 million) and authorized staff to submit a Small Starts application for a 50% local / 50% federal match on the CityLYNX Gold Line Phase 2 Project. Staff submitted the Small Starts application on September 10, 2014 and FTA rated the project as a medium in February 2015. The project was included for funding in the President’s FY2016 budget. The Small Starts grant process was progressed. FTA held a Risk Assessment workshop on September 29 and 30, 2015. The project was advanced to 90% design in 2015. CATS submitted the formal request for Small Starts Grant Agreement on November 25, 2015. CATS requested a Letter of No Prejudice (LONP) for vehicle procurement on October 5, 2015. The LONP was granted on January 4, 2016 and the requests for proposals for vehicles were advertised on January 11, 2016. Vehicle proposals were accepted on March 21, 2016, reviewed, and a request for Best and Final Offers (BAFO) was extended on May 20, 2016. The construction plans were completed in April 2016 and advertised for bid on April 25, 2016. FTA awarded the Small Starts Grant on May 13, 2016 and it was activated in TRAMS on May 23, 2016.


March 9, 2017

1.2 Project Status The overall project budget and schedule status is as follows:

Project Status SYGA: Current Estimate: Cost Cost Estimate $150 million $150 million

Contingency Unallocated Contingency $12.414 million $3.199 million Total Contingency $22.4 million $8.12 million

Schedule Revenue Service Date August 31, 2020 May 31, 2020

Total Project Percent Complete Based on Expenditures (Accrued) 7.63%

Based on Earned Value TBD

Major Issues Status Comments/Action/Planned Action 1. Vehicle Contract Contract Negotiations Council authorized contract award on November 28,

2016. Contract negotiations are in progress.

2. Utility Relocation

Utility relocation is underway.

Currently multiple utilities are working. Others are being coordinated. Bi-weekly utility coordination meetings are being held.

Date of Next FTA Quarterly Meeting 3-9-2017

2.0 Project Administration

2.1 FTA Coordination The initial PMOC monthly meeting was held on October 30, 2015.

• CATS received the LONP for the vehicle procurement on January 4, 2016.

• CATS sent updated Small Start templates on January 21st, 2016.

• FTA submitted the final PMOC Vehicle Technical Review report on March 21, 2016 and the March PMOC Monthly Report on April 6, 2016.

• FTA submitted the final PMOC Small Starts Readiness Review Report (OP-40 Risk) and (OP-60 Readiness) in early May 2016. The SYGA for the project was activated in TRAMS on May 23, 2016.

• Monthly meetings have been held with the PMOC. In October 2016, we were notified by FTA that the PMO meetings would be held quarterly in November, February, May, and August, instead of monthly.


March 9, 2017

3.0 Project Finance

3.1 Federal Funds CATS received a Small Starts Grant for 50% ($74,999,999) of the $150,000,000 project cost. CATS submitted a rating application in September 2014 and an update in September 2015. The CityLYNX Gold Line Phase 2 project is rated Medium-High by FTA and was recommended for funding in the President’s FY2016 budget at $74,999,999. In March 2016, CATS submitted the formal electronic grant request in the TRAMS system for the Small Starts Grant and received appropriation in May 2016.

3.2 Local Funds The City of Charlotte has appropriated $75,000,000 for the local share of the project cost.


March 9, 2017

Sources of Capital Funding Grant ID Funding Share Amount Expended to

Date*

Percent Fund

Source Expended

to Date

Remaining Balance

Reimbursement to Date

Section 5309 Small Starts Federal Funds SYGA Grant Award Funds NC-2016-001-00 74,999,999 5,726,237 7.63% 69,273,762 5,414,297 Appropriated Federal Funds 74,999,999 5,726,237 7.63% 69,273,762 5,414,297 Subtotal - Small Year Grant Award 50% 74,999,999 5,726,237 7.63% 69,273,762 5,414,297 State Funds - - 0.00% - - Appropriated State Funds - - 0.00% - - Subtotal - State Funds 0% - - 0.00% - - Local Funds -

City Funds 27,549,768 5,726,237 20.79% 21,823,530 N/ADebt 47,450,232 - 0.00% 47,450,232

Appropriated Local Funds 75,000,000 5,726,237 7.63% 69,273,763 Subtotal - Local Funds 50% 75,000,000 5,726,237 7.63% 69,273,763 -

TOTAL APPROPRIATED FUNDS 149,999,999 11,452,474 7.63% 138,547,525 - TOTAL SYGA AWARD BUDGET 100% 149,999,999 11,452,474 7.63% 138,547,525 -

*Expended to date reported on accrual basisLEGENDSources of Capital Funding: Designates Funds as Federal, State or Local and provides description of source of funds.Grant ID: Grant Number assigned to appropriated federal and state fundsFunding Share: Distribution percentage of total SYGA Project Budget Amount: Total Dollar Amount Expended to Date: Expenditures including accruals, as of the report datePercent Fund Source Expended to Date: Expended to Date / Amount

Reimbursement to Date: Drawdown amount of grants reimbursed to granteeRemaining Balance: Funds available (Amount - Expended to Date)


March 9, 2017

4.0 Project Budget

4.1 Budget Overview Effective upon the execution of the Small Starts Grant Agreement in May 2016, the full $75,000,000 in local funds and $74,999,999 in federal funds are available to the project. To date, $17,876,152 has been expended, accrued or encumbered on advancing project development. See attached Budget Summary table.

4.2 Cash Flow The Cash Flow Forecast provides an estimate of the expected project expenses over the next three months. See attached Cash Flow table


March 9, 2017

C - (G+H)As of December 30, 2016 A B D E F G H H

SYGA PREVIOUSLY TOTAL TOTALGRANT CURRENT SPENT CURRENT MONTH EXPENSES COST UNRESTRICTED

PROJECT BUDGET BUDGET TO DATE EXPENSES PAID TO DATE* (ACCRUAL) ENCUMBRANCE BALANCE

10 Guideway & Track Elements10.04 Guideway: Aerial Structure 5,249,791 4,103,494 - - - - 4,103,494 - 10.10 Track: Embedded 12,145,322 12,045,880 - - - - 12,045,880 - 10.12 Track: Special (switches, turnouts) 2,180,544 2,400,000 - - - - 2,400,000 - Subtotal 19,575,657 18,549,374 - - - - 18,549,374 -

20 Stations, Stops, Terminals, Intermodal20.01 At-grade station, stop, shelter,mall, terminal, platform 2,997,737 1,747,200 - - - - 1,747,200 - Subtotal 2,997,737 1,747,200 - - - - 1,747,200 -

30 Support Facilities: Yards, Shops, Admin. BldgsSubtotal - - - - - - - -

40 Sitework & Special Conditions40.01 Demolition, Clearing, Earthwork 4,357,128 7,120,901 - - - - 7,120,901 - 40.02 Site Utilities, Utilities Relocation 12,326,362 8,668,625 - - - - 8,668,625 - 40.03 Haz. Mat'l, contam'd soil removal, ground water treatment 208,604 370,000 - - - - 370,000 - 40.05 Site structures including retaining walls, sound walls 160,340 289,140 - - - - 289,140 - 40.06 Pedestrian / Bike access and accomodation, landscaping 849,335 1,372,301 - - - - 1,372,301 - 40.07 Automobile, bus, van accessway including roads, parking lots 3,036,427 5,836,015 - - - - 5,836,015 - 40.08 Temporary facilities & other indirect costs during construction 5,544,410 6,361,274 - - - - 6,361,274 - Subtotal 26,482,606 30,018,256 - - - - 30,018,256 -

50 Systems50.01 Train control and signals 733,317 138,000 - - - - 138,000 - 50.02 Traffic signals and crossing protection 787,612 1,647,900 - - - - 1,647,900 - 50.03 Traction power supply: substations 11,117,815 16,024,570 - - - - 16,024,570 - 50.04 Traction power distribution: Catenary and third rail 9,487,452 8,397,180 - - - - 8,397,180 - 50.05 Communications 167,467 307,194 - - - - 307,194 - 50.06 Fare collection system and equipment 111,190 50,000 - - - - - 50,000 50.07 Central Control - - - - - - - - Subtotal 22,404,853 26,564,844 - - - - 26,514,844 50,000

60 ROW, Land, Existing Improvements60.01 Purchase or Lease of Real Estate 1,201,415 1,201,415 454,735 56,104 510,840 512,144 391,545 297,726 60.02 Relocation of Existing Households & Businesses - - - - - - - - Subtotal 1,201,415 1,201,415 454,735 56,104 510,840 512,144 391,545 297,726

70 Vehicles70.01 Light Rail Vehicles 37,510,622 35,855,625 308,420 7,190 315,610 315,610 1,622,912 33,917,103 70.07 Spare Parts 3,375,956 3,906,359 - - - - - 3,906,359 Subtotal 40,886,578 39,761,984 308,420 7,190 315,610 315,610 1,622,912 37,823,462

80 Professional Services80.01 Project Development 16,733,383 16,733,383 9,643,775 180,234 9,824,009 9,871,555 4,182,108 2,679,720 80.02 Engineering - - - - - - - - 80.03 Project Management for Design & Construction 1,660,160 1,660,159 523,806 - 588,726 740,194 - 919,965


March 9, 2017

C - (G+H)As of December 30, 2016 A B D E F G H H

SYGA PREVIOUSLY TOTAL TOTALGRANT CURRENT SPENT CURRENT MONTH EXPENSES COST UNRESTRICTED

PROJECT BUDGET BUDGET TO DATE EXPENSES PAID TO DATE* (ACCRUAL) ENCUMBRANCE BALANCE

80.04 Construction Administration & Management 1,844,622 1,844,622 - - - - - 1,844,622 80.06 Legal; Permits & Review Fees 51,239 51,239 12,971 - 12,971 12,971 - 38,268 80.07 Surveys, Testing, Investigation, Inspection 1,185,017 1,185,017 - - - - - 1,185,017 80.08 Start-Up 2,561,975 2,561,975 - - - - - 2,561,975 Subtotal 24,036,396 24,036,395 10,180,551 180,234 10,425,705 10,624,720 4,182,108 9,229,567

90 Unallocated ContingencyProject Contingency** 12,414,759 8,120,531 - - - - 3,841,484 4,279,047 Subtotal 12,414,759 8,120,531 - - - - 3,841,484 4,279,047

100 Finance ChargesProject Financing - - - - - - - Subtotal - - - - - - - -

TOTAL CITYLYNX GOLD LINE PHASE II STREETCAR 150,000,000 149,999,999 10,943,707 243,528 11,252,155 11,452,474 86,867,723 51,679,802 *Total Expenses to Date reported on a cash basis

LEGENDSYGA Grant Budget: Year of Expenditure Dollars approved in the SYGA project budgetCurrent Budget: Year of Expenditure Dollars based on latest Engineering Cost Estimate and Construction Contract Awards. Year of Expenditure DollarsPreviously Spent to Date: Expenses associated with the project that were incurred prior to the current month expensesCurrent Month Expenses: Expenses associated with the project that were incurred in the month of reporting; excludes retainageTotal Expenses To Date: Expenses associated with the project that were incurred in the month of reporting plus prior time periodsTotal Cost (Accrual): Includes all expenditures paid, received invoices yet to be paid and any work completed/actual cost to the project that have not yet been invoicedEncumbrance: A contingent liability related to unfilled contracts or purchase order for goods or services that is chargeable to the project (reservation of fund balance)Unrestricted Balance: Funds available for use, uncommitted; (appropriated funds) - (total expenses to date including accruals+ contract encumbrances)**Includes Construction & Vehicle Contingency


March 9, 2017

A B C D E FTOTAL thru

December 2016 Jan 2017 Feb 2017 Mar 2017 Apr 2017 4 Month

Standard Cost Category Actuals Forecast Forecast Forecast Total Forecast 10 - Guideway and Track Elements -$ -$ -$ -$ -$ -$ 20 - Stations, Stops, Terminals, Intermodal -$ -$ -$ -$ -$ -$ 30 - Support Facilities: Yards, Shops, Admin. Bldgs. -$ -$ -$ -$ -$ -$ 40 - Site Work and Special Construction -$ -$ -$ 1,946,000$ 2,075,000$ 4,021,000$ 50 - Systems -$ -$ -$ -$ -$ -$ 60 - ROW, Land, Existing Improvements 510,840$ 4,551$ -$ -$ 96,000$ 96,000$ 70 - Vehicles 315,610$ 2,222$ -$ 1,966,000$ -$ 1,966,000$ 80 - Professional Services 10,425,705$ 57,549$ 88,380$ 107,000$ 105,000$ 300,380$ 90 - Unallocated Contingency -$ -$ -$ -$ -$ -$ 100 - Finance Charges -$ -$ -$ -$ -$ -$ Monthly Total 64,322$ 88,380$ 4,019,000$ 2,276,000$ 6,383,380$

Running Total (Projected Expenditures to Date) $ 11,252,155 $ 11,316,477 $ 11,404,857 $ 15,423,857 $ 17,699,857 $ 17,699,857

LEGEND

CASH FLOW FORECASTas of January 31, 2017

(Note: period not closed as of report date)


March 9, 2017

dmcdonald

Cross-Out

4.3 Concurrent Non-Project Activities The Gold Line Phase 2 contracts will also include infrastructure improvements that are funded by others and are not funded as part of the SSGA. There are five City stakeholders who are seeking to partner with the project in order to perform upgrades to their respective systems. See the table below for a list and status of requested additions to the Gold Line Phase 2 construction contracts.

RELATED INFRASTRUCTURE IMPROVEMENTS (NON-SYGA) As of January 31, 2017

Item Amount Status

1 Storm Water – upsize pipes along alignment $4,996,921 Signed March 29, 2016: Amount based Johnson Bros.

Encumbered Contract 2 Charlotte Water – upsize and replace water main and

select sewer main along alignment $5,973,002 Amount based Johnson Bros.

Encumbered Contract 3 Charlotte Department of Transportation – signal upgrade $1,252,217 Signed April 7, 2016: Amount

based Johnson Bros. Encumbered Contract

4 Comprehensive Neighborhood Improvement Program – Frazier Avenue Realignment and Street Lighting

$1,210,223 Signed April 4, 2016: Amount based Johnson Bros.

Encumbered Contract 5 Art in Transit – City Program $400,000 Approved from City funds

November 2016 Total $13,832,363

5.0 Contracts / Procurement

5.1 Active Contracts The Gold Line Phase 2 project currently has active contracts related to vehicle specification development, financial modeling, final design, and Art-in-Transit. The right of way acquisition agents, appraisers, and attorneys were procured in September. These contracts were executed in April 2016. The statuses of contracts are as follows:

5.2 Disadvantaged Business Enterprise (DBE) Participation Civil Rights staff is monitoring the contracts on the Gold Line Phase 2 project. DBE Participation will be reported quarterly. The construction contract was previously advertised with a DBE goal of 11.8%. The DBE goal was reevaluated based on the re-bid project and the DBE goal remains at 11.8%.


March 9, 2017

CONTRACT NAMECONTRACT NUMBER Vendor # SCOPE OF WORK

CURRENTCONTRACT

VALUE

EXPENDITURES TO DATE

(RETAINAGE INCLUDED)

CURRENT REMAINING CONTRACT VALUE TO

EXPEND

CURRENT CONTRACT

REMAINING % Status

Fortenberry Lambert, Inc 2016000732 55094 Real Estate Acquisition $ 20,000 $ 4,050 $ 15,950 79.8% Open

Horack Talley Pharr & Lowndes 2016000716 5088 RE Title/Closing Services $ 36,000 $ 25,381 $ 10,620 29.5% Open

Horack Talley Pharr & Lowndes 2016000713 5088 RE Condemnation Services $ 48,000 $ - $ 48,000 100.0% Open

Integra Realty Resources 2016000731 40399 Real Estate Acquisition $ 70,000 $ 10,400 $ 59,600 85.1% Open

Kimberly E. Fox, PLLC 2016000718 123343 RE Title/Closing Services $ 30,000 $ 14,815 $ 15,186 50.6% Open

Nexsen Pruet, Inc 2016000717 61044 RE Title/Closing Services $ 36,000 $ 22,514 $ 13,486 37.5% Open

Nexsen Pruet, Inc 2016000715 61044 RE Condemnation Services $ 48,000 $ - $ 48,000 100.0% Open

Parker, Poe, Adams & Bernstein, LLP 2016000714 27083 RE Condemnation Services $ 48,000 $ - $ 48,000 100.0% Open

TB Harris Jr & Associates 2016000733 49812 Real Estate Acquisition $ 50,000 $ 41,224 $ 8,776 17.6% Open

THC, INC 2016000746 5979 Real Estate Acquisition $ 225,000 $ 130,780 $ 94,220 41.9% Open

The Hanes Group, Inc 2016000738 49592 Real Estate Acquisition $ 20,000 $ 1,000 $ 19,000 95.0% Open

William R. Morgan Company 2016000723 30455 Real Estate Acquisition $ 20,000 $ 13,275 $ 6,725 33.6% Open

TOTAL 60 ROW, LAND, EXISTING IMPROVEMENTS 10 Contract $ 651,000 $ 263,438 $ 387,562 33.6%

LTK Engineering Services, Inc 2015001052 104005 Vehicle Engineering $ 1,980,907 $ 360,217 $ 1,620,690 81.8% Open

TOTAL 70 VEHICLES 1 Contract $ 1,980,907 $ 360,217 $ 1,620,690 81.8%

Ernst & Young US LLP 2015000849 129672 Financial Modeling $ 74,762 $ 53,492 21,270 28.4% Open

Keith Henrichs & Associates, Inc. 1400999 Land Use and TOD $ 45,000 $ 45,000 $ - 0.0% Closed

Noel Group Land Use and TOD $ 8,000 $ 8,000 $ - 0.0% Closed

10 - 50 CONSTRUCTION60 ROW, LAND, EXISTING IMPROVEMENTS

70 VEHICLES

80 PROFESSIONAL SERVICES


March 9, 2017

CONTRACT NAMECONTRACT NUMBER Vendor # SCOPE OF WORK

CURRENTCONTRACT

VALUE

EXPENDITURES TO DATE

(RETAINAGE INCLUDED)

CURRENT REMAINING CONTRACT VALUE TO

EXPEND

CURRENT CONTRACT

REMAINING % Status URS Corporation 1400890 70803 Preliminary Engineering 14,421,445$ 10,802,058$ 3,619,387$ 25.1% Open

TOTAL 80 PROFESSIONAL SERVICES 7 Contracts 14,549,207$ 10,908,550$ 3,640,657$ 25.0%

TOTAL CONTRACT VALUES THROUGH August 31, 2016 18 Contracts 17,181,114$ 11,532,205$ 5,648,909$ 32.9%


March 9, 2017

5.3 Buy America The project is being designed to comply with Buy America. Both the vehicle specifications and the project specifications are being checked to ensure that the products specified comply with Buy America. The vehicle specifications require compliance with the new Buy America requirements for rolling stock.

5.4 Procurement Activities The vehicle proposals were reviewed and a manufacturer recommendation was made to the executive team. The contract is in negotiation and a pre-award audit was completed in November 2016. The construction contract was advertised on April 25, 2016 with an original bid opening date of June 23, 2016. On June 23, 2016 only two bids were received therefore the bids could not be opened and the bid advertisement had to be extended until July 1, 2016. On July 1, 2016 only 2 bids were received. The bids were determined to be unreasonable and were rejected on July 20, 2016. Negotiations were held with both bidders in early August 2016. Based upon the level of changes and the potential to generate additional competition, the City decided to end negotiations and re-bid the construction contract. The re-bid was issued on September 13, 2016 and the pre-bid meeting was held on September 28, 2016. Bid opening was held on Nov. 1, 2016. Johnson Bros. Corporation was the low bidder. The construction contract was awarded on November 28, 2016 and Administrative Notice to Proceed for submittals was issued on January 24, 2017.

The procurement process for Construction Services was started in June 2016 in order to procure testing and inspection assistance during construction. The Construction Services contracts for Construction Materials Testing was a work order on a previously procured on-call contract for this work. In November 2016, the Systems Inspection / Testing contract was determined to be ineligible for a task order on a previously procured on-call contract; therefore an RFQ was issued for the work in November 2016. Only one firm submitted a statement of qualifications. They were found to be qualified and the contract negotiations were begun in December 2016. No additional procurement activities occurred in November and December 2016 or in January 2017.

GOLD LINE PH2 CONTRACTS – IN PROGRESS

Description Contractor Advertise Bid Due Date

RCA Date (Request for

Council Action)

Contract Amount

Execution Date

Vehicle Manufacturing Siemens RFP

1/11/2016

Proposals 3/21/2016 8/5/2016

11/28/16 $39,319,984 2/15/17

Construction (Civil, Track, and Systems) Johnson Brothers 4/25/2016

9/13/2016 6/23/2016 10/12/16 11/28/16 $80,671,158 1/18/17

Construction Materials Testing (Amendment #1)

Terracon RFP 5/1/2015

Proposals 5/20/2015 N/A $400,000 1/17/17

Systems Inspection / Testing STV RFQ

11/10/16 Proposals 11/29/16 3/27/17 $200,000 4/17/17


March 9, 2017

5.5 Contracting Schedule Following is the current Gold Line Phase 2 contracting schedule based off of the current schedule. After the monthly PMOC meeting in January 2016, the FTA determined that a Before and After Study is not required for the project. A Fare and Equity Study will be performed prior to the revenue service date.

GOLD LINE PH2 CONTRACTS ADVERTISE/AWARD SCHEDULE

Description Estimated

Estimated Award Date

Estimated NTP Date Advertise

Date Vehicle Manufacturing Jan 2016 Nov 2016 Feb 2017 Construction (Track, Civil, Systems)

Apr 2016 Sep 2016 Nov 2016 Feb 2017

Landscaping May 2019 Aug 2019 Nov 2019

6.0 Streetcar Vehicles Engineering • The vehicle design consultant, LTK, developed a draft vehicle specification based on the project design criteria and

the needs of the project. CATS sent out a Request for Information to the vehicle manufacturers to determine if any manufacturers had a vehicle that could climb the 6% grade on the project without catenary wire. Four vehicle manufacturers responded by the August 30, 2015 deadline that their product could. An additional manufacturer also responded that their vehicle could for a total of 5 potential vehicles. The vehicle specification includes a wireless vehicle option. Because of the long lead times for vehicles and the new technology of wireless, CATS requested a LONP to advance the vehicle procure process on October 5, 2015. The vehicle technical specifications and RFP were drafted and ready to be distributed once the LONP was received. The LONP was received on January 4, 2016. The Vehicle RFP was advertised on January 11, 2016.

• Proposals from 3 manufacturers were received on March 21, 2016. The proposals were reviewed by the technical

review committee and the price review committee. Questions were sent to proposers on April 21, 2016 and clarifications were submitted to CATS on May 9, 2016. The selection committee determined that all three proposers would enter the Best and Final Offer (BAFO) round. Interviews with the proposers were held May 10-11, 2016. Proposers were given a list of questions to address during the interviews.

• After interviews May 10-11, 2016 the selection committee opted to extend a request for BAFO to all proposers. The

Request for BAFO was sent to the proposers on May 20, 2016. BAFO’s were received from the proposers on June 17, 2016.

• The BAFO’s were sent to the Review Committees for review. The committees met on July 12, 2016 to evaluate the

BAFO’s. Based on the information received, the committees determined that a second BAFO round was necessary to get the options required on the vehicle. The second round of BAFO requested a standard on-wire vehicle, a hybrid ready vehicle, and a hybrid vehicle. Two companies submitted BAFO’s on August 5, 2016.


March 9, 2017

• The Vehicle Selection Committee evaluated the second BAFO on August 16 and Siemens was recommended to the project executive team as the best overall value and quality based upon the evaluation criteria. On August 23rd, the manufacturers were notified of the recommendation.

• The pre-award audit was completed in November 2016.

• City Council authorized the award of the vehicle manufacturing contract to Siemens Corporation for 6 hybrid

vehicles on November 28, 2016. Staff is negotiating the details of the contract prior to execution. Vehicle Design Look Ahead • Execute final contract • Issue NTP

7.0 Project Schedule

7.1 Schedule Status The detailed baseline schedule is based on the following milestone schedule:

Milestone Baseline Schedule Start Baseline Schedule

Completion Status

Project Development February 2014 May 2016 Complete

LONP October 2015 January 2016 Received

Vehicle RFP January 2016 February 2017 Contract

Negotiations

SYGA May 2016 Received

Project Bid Phase April 2016 November 2016 Complete

Real Estate Acquisition January 2016 April 2017 In progress

Construction (Civil, Track, Systems) February 2017 March 2020 Admin-NTP issued in January 2017

Vehicle Manufacturing & Delivery of

First Vehicle February 2017 March 2019

Deliver Remaining Vehicles April 2019 August 2019

Vehicle Burn-In and Testing June 2019 October 2019

Systems Integration & Ops Testing December 2019 May 2020

Target Revenue Service Date May 2020

SSGA Revenue Service Date August 2020 3 months

contingency

Milestones achieved –In November 2016 the bid phase was completed when the construction contract was awarded.


March 9, 2017

7.2 Critical Path Critical Path for the project: • Vehicle Delivery • Construction (Track, Civil, Systems) • System Integration Testing • Pre-Revenue Service • Revenue Service

7.3 Schedule Concerns The critical issue for the schedule is awarding the construction contract and awarding the vehicle contract. The next critical step is issuing the notice to proceed for the vehicle manufacturing contract.

8.0 Risks CATS has developed a Risk and Contingency Management Plan that describes the procedures CATS will use to manage risks to the Project budget and schedule. The project is currently operating under the draft Risk and Contingency Management Plan issued in October which includes comments received at the Risk Assessment Workshop held on September 29-30, 2015. The Risk Register is monitored monthly.

In November 2016, the Risk Register was reviewed by the Project Management Team and the following item was recommended for retirement:

• Risk Item 36: High demand in local market limits bidder capacity/interest. - On November 1, 2016 4 bids were received. The bids ranged from $94M to $112M with only $3M separating the low bidder and the second low bidder. The time for the rebid was absorbed in the schedule contingency. On November 10, 2016 the PMT determined that this risk could be closed with no adverse effects.

In December 2016, the Risk Register was reviewed by the Project Management Team and the following items were recommended for retirement:

• Risk Item 3: Clearance height issues at Blue Line bridge which require the OCS design to minimize the distance between the contact wire and bridge structure causes a vehicle height restriction to be required for this block of Trade Street. - On 11/28/16 City Council voted to procure hybrid vehicles for the project. The section with the Blue Line bridge will be wireless. On 12/8/16 the PMT determined that this item could be closed with no adverse effects.

• Risk item 40: Cost associated with mobilization in the estimate may be exceeded. - The bid price for mobilization for the low bidder came in at 5%. The contract was awarded on 11/28/16. The PMT determined on 12/8/16 that this mitigation can be closed with no adverse effects.

In January 2017, the Project Management Team elected to add the following construction risk to the risk register:

• Risk Item 46: Complete the Beatties Ford outfall improvement project (near French Street) prior to the start date for the Gold Line contractor beginning storm installation on Beatties Ford between French Street and Rozzelles Ferry Road. This item was added as a construction risk because the outfall upsize is necessary to support the storm betterment improvements included in the Gold Line contract. The mitigation for this risk is


March 9, 2017

that Stormwater plans to install the outfall with under an on-call contract prior to the storm drainage pipe being installed by the Gold Line contractor. The risk was ranked as a medium probability, medium cost impact, and medium schedule impact.


March 9, 2017

Page Intentionally Blank


March 9, 2017

Legend Low (1) Medium (2) High (3)D=Design Probability < 10% 10% - 25% > 25% December 8, 2016R=Regulatory Cost < $100k $100k - $500k > $500kP=Procurement Schedule < 1 month 1 - 3 months > 3 monthsC=Construction Rating <= 6.0 6.1 - 12.0 12.1 - 18.0

Current Rank

Risk ID

FTA SCC Discipline

Risk Category

Risk Description (Event and Outcome) Responsibility

Probability[P]

Cost Impact[C]

Schedule Impact

[S]Risk Rating

P*(C+S) MitigationDate

Added StatusDate

Closed Monthly Status Report - October 2016

1 1 40.00Private Utility

C

Difficulty in scheduling of private utility relocations resulting in overcrowding of contractors, inefficient and multiple roadway, sidewalk, driveway closures, delay of Gold Line construction activities while waiting for private contractors to complete work

T. Russell 3 1 3 12

Coordinate with private utilities as early and efficiently as possible to obtain relocations and set construction schedules.

Jul-15 Open

UBO plans and utility matrix were sent to all utility companies in March 2016. AT&T and PNG finalized their design plans in April 2016 which have been included on the UBO plans. Continuing to work with telecomm companies. Duke began the relocation of the downtown underground ductbank on May 23, 2016 and is 95% completed as of August 31, 2016. Duke overhead relocation on Hawthorne began in mid-August 2016. Duke permit for Beatties Ford Overhead was approved in August 2016 and they anticipate a November 2016 start date. PNG permit was approved September 2016. AT&T permit was approved in October 2016. PNG began relocations on Hawthorne Lane in October 2016. Duke completed the OH relocation on Hawthorne and the underground on Beatties Ford in January 2017.

2 2 10.00Traffic

ControlC

Traffic control impacts to Highway 74 during the demolition and reconstruction of the Hawthorne Lane bridge require bridge work to only occur during small periods of time each day and delay the project schedule.

T. Wimberly 2 3 3 12

Maintain frequent coordination with NCDOT. Especially coordinate with concurrent NCDOT project on Highway 74 to optimize opportunity to combine traffic control as possible

Jul-15 Open

The traffic control plans for Highway 74 for the bridge reconstruction period were advanced to approximately 95% and were sent to NCDOT for final review on March 21, 2016. NCDOT comments were received in April and were incorporated into the bid documents. NCDOT verbally approved the traffic control plans in July 2016. Final approval was received in August 2016.

3 6 40.00Private Utility

C

Unknown utility conflicts are discovered during the construction phase requiring private utility involvement and/or public utility redesign resulting in construction delays

A. Babson 3 1 3 12Maintain efficient methods of coordination with private utilities so response is quick.

Jul-15 OpenDesign team holds weekly utility coordination conference calls to monitor utility relocation progress. Monitor during construction.

4 10 40.00Traffic

ControlD

Construction sequencing developed during the design phase, including determining, organizing, and maintaining road closures, does not translate to real world environment during construction resulting in delays and extra cost


Construction sequencing workshops with City staff and general contractors will occur to identify pros and cons of current design.

Jul-15 Open

In October 2015, City staff reviewed the construction sequencing and made significant changes to the traffic control plan. These changes have been incorporated into the plans, specifications, and cost estimate. Monitor during construction.

Risk MatrixRisk

Category Legend


March 9, 2017


Current Rank

Risk ID

FTA SCC Discipline

Risk Category


Probability[P]

Cost Impact[C]

Schedule Impact

[S]Risk Rating


Added StatusDate


Legend

5 11 60.00Real

Estate/ROWP

Design revisions during construction may require additional right-of-way resulting in project delays and increased cost

A. Widenhouse 2 2 3 10

Carefully consider real estate impacts during design revisions and avoid impacts where possible, using alternative design and/or construction methods as possible

Jul-15 Open

The real estate needs on the plans were reviewed in October 2015, December 2015, and again in February 2016 to ensure that enough easement was obtained. Redesign will be monitored during construction.

6 27 40.00Constructio

nC

City Project (Frazier Street Realignment) is not in place for use as an alternative traffic route during GL2 construction resulting in traffic control changes, delays and cost impacts

T. Wimberly 2 2 3 10City will attempt to advance execution of Frazier Street Relocation project

Jul-15 Open

The City is designing the Frazier Street Realignment project. The designer for GL2 has been coordinating with the designer for Frazier. Frazier has been incorporated into the bid package for GL2 which was advertised in April 2016 and in the readvertisement in September 2016. Monitor during construction.

7 29 AllConstructio

nC

Construction schedule contains minimal float which could cause schedule delays and result in additional costs

A. Babson 2 2 3 10

General Contractor contract and bid documents to include incentives for proper construction of certain aspects of the project. Encourage general contractor to provide sufficient staffing and equipment to job site to help efficiency.

Jul-15 OpenDesign staff revised the construction sequencing of the project to decrease overall construction time which created more schedule float. Monitor during construction.

8 5 40.00 Utility D

Known utility conflicts are unable to be resolved during the design phase of the project due to the aggressive schedule thus creating construction delays

T. Russell 2 2 2 8

Significant Subsurface Utility Exploration will occur during the design phase. Project Team will determine locations of potential conflicts and perform Level A SUE to identify underground facilities. Design will be adjusted to account for conflicts.

Jul-15 Open

Utility coordination meetings were held with known utility companies from October 2015 through November 2016. UBO plans and utility matrix were sent to all utility companies in March 2016. Duke began their underground relocations between Graham and Cedar on May 23, 2016. The final plan set included mitigations for known utility conflicts. The conflicts were either mitigated through design or the utility was asked to relocate. Duke, AT&T, and PNG are currently relocating. Duke completed their relocations on Hawthorne Lane and the underground on Beatties Ford in January 2017.


March 9, 2017


Current Rank

Risk ID

FTA SCC Discipline

Risk Category


Probability[P]

Cost Impact[C]

Schedule Impact

[S]Risk Rating


Added StatusDate


Legend

9 17 50.00 OCS D

Unidentified utility and basement conflicts with OCS pole foundations are encountered during construction resulting in field modifications, redesign, additional ROW impacts and potentially multiple drilling of foundations and resultant delay and cost impacts

T. Russell 2 2 2 8

Project Team will determine locations of potential conflicts and perform Level A SUE to identify underground facilities. Design will be adjusted to account for conflicts. Properties suspected of having basements will be contacted to obtain additional information.

Jul-15 Open

Met with multiple building managers in October, November, and December to determine the location of basements and underground structures. Team sent plans to building owners along the corridor and have received building plans from most of the building owners. The final plans were checked against the building plans that were received and conflicts were mitigated through design. Monitor during construction.

10 18 70.00 Vehicles P

Vehicle delivery does not occur during scheduled time frame resulting in a delay to vehicle burn-in, pre-revenue testing and training, and/or start of revenue service

D. McDonald 2 1 3 8

Place restrictions within the vehicle procurement documentation which requires delivery within a certain time frame. Incorporate detailed execution times into the project schedule to determine critical path for vehicle certification, systems integration, and pre-revenue testing.

Jul-15 Open

Vehicle final BAFOs were received on August 8, 2016. On August 23,2016 the manufacturer was notified of his selection and contract negotiations began. The vehicle delivery schedule is part of the contract negotiations. Monitor during vehicle fabrication and project construction.

11 28 AllConstructio

nC

Damage to Phase 1 infrastructure during raising of the stops results in delays and additional costs

A. Babson 2 1 3 8

City inspection to monitor Phase 1 construction activities to promote careful demolition and construction.

Jul-15 Open Monitoring during construction.


nC

Excessive undercut exceeds estimates from geotechnical report resulting in additional costs for removal and potential delays

A. Babson 2 2 2 8

Encourage contractor to further investigate areas of concern noted in the Geotechnical Report.

Jul-15 OpenStaff added geofabric mat to the undercut specification as an option to reduce the amount of undercut. Monitor during construction.


nR

Building Inspection requirements change regarding shelters and TPSS unit installations resulting in delay in Certificate of Occupancy

T. Morton 2 1 3 8

Continually coordinate with County Code Enforcement and monitor potential for code revisions and permitting requirements.

Jul-15 Open

The TPSS site plans have been submitted to Meck County for review in order to obtain preliminary approval. Installation permits cannot be issued until 6 months prior to TPSS and shelter installation (2019). To be monitored during construction.

14 44 40.00 Storm C

Complete the Irwin Creek outfall improvement project prior to the start date for the Gold Line contractor beginning storm installation on West Trade Street between I-77 and Beatties Ford.

T. Wimberly 2 2 2 8

Coordinate closely with John Keene and the storm water team to ensure that their contractor is completed prior to the Gold Line contractor start date

Jun-16 Open

John Keene has received encroachment permits and plan approval from NCDOT in June 2016. JK is working with the stormwater maintenance group to get a contractor on board to begin the work. The work began in November 2016 and is scheduled to complete in February 2017.


March 9, 2017


Current Rank

Risk ID

FTA SCC Discipline

Risk Category


Probability[P]

Cost Impact[C]

Schedule Impact

[S]Risk Rating


Added StatusDate


Legend

15 45 40.00 Track/Civil C

Coordination and/or funding issues with JCSU on construction of new main entrance results in increased cost and potential delay

T. Wimberly 2 2 2 8

Plan to install curb returns for new entrance and make arrangements for JCSU to continue to use the existing entrance as needed until they can fund the new entrance.

Oct-16 Open Monitor During Construction.

16 46 40.00 Storm C

Complete the Beatties Ford outfall improvement project (near French Street) prior to the start date for the Gold Line contractor beginning storm installation on Beatties Ford between French Street and Rozzelles Ferry Road.

T. Wimberly 2 2 2 8

Coordinate closely with John Keene and the storm water team to ensure that their contractor is completed prior to the Gold Line contractor start date.

Jan-17 OpenThe contractor for the Irwin Creek outfall will move to the Beatties Ford outfall as soon as the Irwin Creek outfall is completed.


nC

Failure of the contractor to make appropriately timed submittals results in project delay

A. Babson 2 1 2 6

Provide contractor a list of anticipated submittals within the project documents. Include incentives to complete work.

Jul-15 OpenThe contractor was issued and A-NTP on January 24, 2017 to begin submittals. To be monitored during construction.


nP

Long lead time materials are not ordered within proper time frame or unforeseen delays cause late delivery to the site causing delays to the project

T. Wimberly 2 1 2 6

General Contractor contract and bid documents to include incentives for proper construction of certain aspects of the project. Submittals will be required early in the project to help identify any procurement issues.

Jul-15 Open

The project team studied industry lead times to detemine if any materials needed to be procured in advance of the construction contract. The team determined that early procurement was not necessary. Monitor during construction.

19 22 40.00 Utility C

Utility contractor encounters densely populated underground pipe network and/or rock resulting in damage to existing utilities, rerouting of public utilities and/or improper installation of gravity systems resulting in delays

T. Morton 2 1 2 6

Provide known utility maps to the contractor within the plan set. Encourage proper precautions before excavation. Identify areas which may require special care.

Jul-15 OpenUtility relocation is being scheduled in an effort to clear the area for the contractor. To be monitored during construction.

20 41 60.00Real

Estate/ROWC

Appraisals and or costs for damages may result in higher ROW values

T. Wimberly 2 2 1 6 Re-Design to minimize impact. Sep-15 Open

The Real Estate appraisal process began in January 2016 for select properties. The real estate process began for all properties in April 2016 and all appraisals are completed. These costs are being monitored.


March 9, 2017


Current Rank

Risk ID

FTA SCC Discipline

Risk Category


Probability[P]

Cost Impact[C]

Schedule Impact

[S]Risk Rating


Added StatusDate


Legend

21 42 60.00Cost

EstimateR

Administrative and legal cost may be higher than anticipated

A. Widenhouse 2 2 1 6Rely more on in-house resources.

Sep-15 OpenThese costs are being monitored. The first condemnations are utilizing in-house staff. There are 11 properties (4 property owners) in the condemnation process.


nC

Civil Contractor is ineffective in project specific trades like project management, rail installation and bridge construction resulting in poor budgeting, scheduling, construction, and/or quality

T. Morton 1 1 3 4Include specific trades within the contractor pre-qualification process.

Jul-15 Open

Contractor's qualification statement for the prime and major subs was submitted with bid documents in November 2016 and found to be acceptable. Progress to be monitored during construction.

23 7 40.00 Water C

Contractor fails to maintain water service to "no outage customers" during water line construction resulting in the need to quickly restore service and modify construction sequencing and scheduling, and undesirable public reaction to the project and possibly create delays

A. Babson 1 2 2 4

Contractor shall submit a plan indicating how water services are maintained. City inspection will monitor fulfillment of this plan.

Jul-15 OpenThe contractor is being required to submit a temporary water service plan per Charlotte Water. To be monitored during construction.

24 8 40.00Construction Sequence

C

Coordination of the construction sequence for instances when a new water main is located within the same footprint as an existing water or stormwater main requires additional construction time and results in additional construction cost

T. Wimberly 2 1 1 4

Contractor shall submit a plan indicating the construction procedures for scenarios like this for approval by the City.

Jul-15 OpenThese areas have been identified on the plans and accounted for in the traffic control plan. To be monitored during construction.

25 9 40.00 Sewer C

The discovery of compromised sanitary sewer piping (mostly clay pipe) during construction results in the need for immediate bypass and replacement thus creating delays

T. Morton 2 1 1 4

Coordinate closely with Charlotte Water in the attempt to identify potential sensitive areas before construction occurs.

Jul-15 Open To be monitored during construction.


March 9, 2017


Current Rank

Risk ID

FTA SCC Discipline

Risk Category


Probability[P]

Cost Impact[C]

Schedule Impact

[S]Risk Rating


Added StatusDate


Legend

26 12 All Design D

Expedited design schedule restricts the development of an efficient, well thought out design and results in design revisions during construction

T. Wimberly 1 2 2 4

Contractor to review construction schedule and prepare a corresponding plan showing phases and segments of the project with the goal of quickly identifying any issues which require coordination.

Jul-15 Open

The project team has performed additional plan reviews and made extensive efforts during the design phase. Revisions were made during the bid phase based on comments received from potential bidders. This item will continue to be monitored as construction progresses.


nC

Weather has adverse impacts on the ability to construct components of the project resulting in project delay

T. Morton 2 1 1 4

Encourage contractor to perform certain activities (like storm installation) during the historically drier months of the year.


28 19 All Design D

Plans, specifications, and contract contradict or do not cover all necessary items resulting in contractor RFIs and/or change orders

T. Wimberly 1 2 2 4

Provide thorough review and quality control checks before contract bid documents are released.

Jul-15 Open

The final plans and specifications were reviewed and approved for construction in April 2016. The project was advertised in April 2016, the bids were rejected and the proect team met with the contractors to identify areas that could be clarified. Clarifications were made and the project was re-advertise in September 2016. Bids were opened in November 2016 and the plans and specifications were conformed in December 2016. This risk will be monitored throughout construction.


nD

Coordination with proposed development projects along the corridor result in the overlap of construction activity time lines, damage to infrastructure, and/or requirement for redesign resulting in additional cost and schedule delay

A. Widenhouse 1 2 2 4

Coordinate closely with all City departments on any new projects within the corridor. Request City departments to provide information to the Gold Line team upon receipt.

Jul-15 Open

Coordination meeting with the JCSU student housing development was held in early October 2015. Meetings with other developers on the west side were held in January 2016. Review of developer plans continued in February and March 2016. Additional developers have come forward in April 2016. The team is meeting and coordinating with each one individually.

30 25 N/ATraffic

ControlC

Project fails to maintain appropriate access to small businesses on Beatties Ford Road corridor which results in financial hardship to these businesses and a corresponding negative public reaction

T. Morton 2 1 1 4

City inspection shall monitor traffic control and pedestrian routes during construction and hold contractor responsible for maintenance per contract documents.



March 9, 2017


Current Rank

Risk ID

FTA SCC Discipline

Risk Category


Probability[P]

Cost Impact[C]

Schedule Impact

[S]Risk Rating


Added StatusDate


Legend

31 26 40.00 Utility D

Overhead utilities must be relocated and may impact adjacent properties resulting in additional right-of-way impacts, project delays and increased costs

T. Russell 1 2 2 4

Coordinate with Duke Energy and AT&T to establish relocation design and determine necessary easements. Provide opportunity to review and modify design to avoid unnecessary expenses.

Jul-15 Open

Utility Coordination meetings were held with utility owners between October 2015 and November 2016. UBO plans and utility matrix were sent to all utility companies in March 2016. Duke began work on Hawthorne in August 2016 and Beatties Ford in late October 2016. Duke has completed their overhead relocation on Hawthorne in January 2017. AT&T began their overhead relocation on Beatties Ford in November 2016. Level 3 is scheduled to relocate on Beatties Ford in February 2017.


nC

Survey errors in horizontal and vertical alignment

A. Babson 1 2 2 4

Designer of record surveyors under contract to perform checks, control points moved to outside of project limits, contractor required to submit frequent survey checks/closures,

Sep-15 Open To be monitored during construction.

33 4 40.00 Utility C

Bracing of existing, and remaining, utility poles in the vicinity of underground utility construction causes delays in construction and increase in costs

A. Babson 1 2 1 3

Include potential bracing locations in contract documents and remind contractor of these provisions throughout the construction phase.

Jul-15 Open

Meeting held with Duke Energy and AT&T (pole owners) 10/26/15 to determine final design and easement needs. Met with AT&T and Duke on 11/9/15. Met with Duke and AT&T in early January 2016. Duke finalized their plans in February 2016. AT&T completed their design in April 2016. Monitor during construction.


nC

Communication between all involved City of Charlotte departments and NCDOT is not properly maintained resulting in the delay of approvals and inspections

T. Wimberly 1 1 2 3

Project management will hold regular meetings (working group and PMT) to keep all department involved and informed.

Jul-15 Open

The plans were resubmitted to NCDOT for final review on March 21, 2016. Comments were received and incorporated into the final plans in April 2016. Coordination meetings were held with NCDOT in June 2016 and December 2016. The meetings will continue through construction.

35 32 60.00Real

Estate/ROWP

Novant Health Presbyterian Hospital ROW Purchase for TPSS

T. Wimberly 1 1 1 2Continue Negotions, Move to adjacent property, Condemation if necessary

Sep-15 Open

Novant has been contacted by the design team. Held a conference call in January 2016. A site plan was developed. Team members attended a development meeting in March 2016 to coordinate the placement of the unit on one of their developments. In April 2016, the City contacted an adjacent parcel owner who is interested in partnering with the project for the TPSS site. The property owner has agreed to move forward with the appraisal process. The appraisal was completed in June 2016 and an offer was made in July 2016. The property owner, St Johns Baptist Church, met with staff in January 2017. SJBC plans to make a counter offer in early February 2017.

36 35 40.00 Civil CFailure to maintain appropriate pedestrian Access/Safety at high volume locations

A. Babson 1 1 1 2

Inspect access daily and monitor trends to ensure contractor is taking appropriate action

Sep-15 Open To be monitored during construction.


March 9, 2017


Current Rank

Risk ID

FTA SCC Discipline

Risk Category


Probability[P]

Cost Impact[C]

Schedule Impact

[S]Risk Rating


Added StatusDate


Legend

37 40 40.00Cost

EstimateD

Cost associated with mobilization in the estimate may be exceeded.

T. Wimberly 3 3 1 12Will increase mobilization in 90% cost estimate.

Sep-15 mmend to Close

The mobilization cost was increased to 5% in the engineer's estimate. The bid price for mobilization for the low bidder came in at 5%. The contract was awarded on 11/28/16. The PMT determined on 12/8/16 that this mitigation can be closed with no adverse affects.

38 36 All Bidding PHigh demand in local market limits bidder capacity/interest


Consider pre-qualifying bidders. Consider pre-bid workshop to encourage partnering and project understanding

Sep-15 mmend to Close

After review of the federal requirements on pre-qualification, the team determined that we would not pre-qualify bidders. A notification to potential bidders went out on March 22, 2016 to let them know the project is coming. The notification announced that the project would advertise in late April 2016 and a pre-bid meeting would be held in late May 2016. The project was advertised on April 25, 2016. The pre-bid meeting was held on May 24, 2016. Seven general contactors have picked up the plans, but only 2 bids were received on June 23, 2016. The bid date was extended to July 1, 2016. Only 2 bids were received. The bids were deemed unreasonable on July 20, 2016 and rejected. Negotiation process completed in August 2016. The project re-advertised in September 2016. On November 1, 2016 4 bids were received. The bids ranged fro $94M to $112M with only $3M separated the low bidder and the second low bidder. The time for the rebid was absorbed in the schedule contingency. On November 10, 2016 the PMT determined that this risk could be closed with no adverse affects.

39 3 50.00 OCS D

Clearance height issues at Blue Line bridge which require the OCS design to minimize the distance between the contact wire and bridge structure causes a vehicle height restriction to be required for this block of Trade Street.

T. Wimberly 3 2 1 9Pursue OCS design which keeps the contact wire as high as possible and above 13'9".

Jul-15 mmend to Close

The bid set included both bridge hangers and an option for wireless vehicles. The vehicle RFP included off-wire technology. Only the Blue Line bridge would require low clearance signage if wireless is not an option after the vehicle is selected. On 11/28/16 City Council voted to procure hybrid vehicles for the project. The section with the Blue Line bridge will be wireless. On 12/8/16 the PMT determined that this item could be closed with no adverse affects.

40 24 40.00 Track/Civil D

Coordination and/or funding issues with JCSU on removal of pedestrian bridge and construction of new main entrance results in increased cost and potential delay

D. McDonald 3 2 2 12

Plan to remove the pedestrian bridge inside the right of way and make arrangements for JCSU to continue to use the existing entrance as needed until they can fund the new entrance

Jul-15 Retired Oct-16

Coordination meeting with JCSU was held on 10/19/15. A meeting with the JCSU Board was held on 11/11/15. Appraisals for the five parcels were completed as of July 2016 and and offer was made in August 2016. JCSU signed a right of entry allowing utility relocation and construction. Signed agreements with JCSU were obtained in October 2016. The PMT reviewed this item at their October 13, 2016 meeting and determined that it could be closed without impact.


March 9, 2017


Current Rank

Risk ID

FTA SCC Discipline

Risk Category


Probability[P]

Cost Impact[C]

Schedule Impact

[S]Risk Rating


Added StatusDate


Legend

41 38 60.00Real

Estate/ROWC

Real estate provisions with Johnson C. Smith University not in place before bids

T. Wimberly 1 1 1 2Working with JCSU to put provisions in place by first quarter 2016.

Sep-15 Retired Oct-16

Meetings to discuss real estate provisions with JCSU began on 10/19/15. At the request of JCSU, the appraisal process for their properties began in December. JCSU signed rights of entry for the utility work in May 2016. An offer was made in August 2016. JCSU signed a right of entry for construction work in August 2016. We received a signed agreement from JCSU in October 2016. The PMT reviewed this item at their October 13, 2016 meeting and determined that it could be closed without impact.

42 14 40.00 Water C

Quality issues associated with the field fusion of the HDPE water lines result in project delay and potential extra costs

T. Morton 2 2 2 8

Include HDPE installation experience in the project's contractor pre-qualification process. Coordinate closely with contractor to provide quality assurance assistance and lessons learned from other HDPE projects.

Jul-15 Retired Sep-16

In August 2016, the water main material was changed to PVC and DIP which are commonly used materials on the City's water system. The PMT determined that this item could be closed at the September 15, 2016 meeting.

43 39 10.00 Design D

NCDOT may delay the final packages and/or make late changes to the Hawthorne Bridge Design

A. Widenhouse 1 1 2 3Continue to coordinate with NCDOT, provide for standard review time.

Sep-15 Retired Sep-16NCDOT gave verbal approval of the Bridge Plans in July 2016. Documentation was received in August 2016. The PMT agreed to close this item at the September 15, 2016 meeting.

44 33 All Scheduling R Delay in obtaining the SSGA D. McDonald 2 1 3 8

Continue to advance project with local funds. Coordinate with FTA for additional LONP's as needed

Sep-15 Retired Jun-16

Request for LONP was submitted to FTA on October 5, 2015. The LONP was granted on January 4, 2016. The request for SSGA was submitted in November 2015. The grant was activated on May 16, 2016. The PMT reviewed this item and determined that there was no impact to the schedule because the SSGA was issued on May 16, 2016. The PMT recommended closure at their June 9, 2016 meeting.


March 9, 2017

This Page Intentionally Blank


March 9, 2017

9.0 Safety and Security

9.1 Safety & Security Activities • The Gold Line Phase 2 Project was included in the SSP and SSPP documents that were adopted in

February 2016. • The PHA and TVA were approved as noted at the November 16, 2015 SSRC meeting. The PHA and TVA

were finalized and signed in January 2016. • The SSMP and the SSCP were signed on November 24, 2015. • The Design Criteria Conformance Checklists (DCCC) were compiled based on the Project Design Criteria.

They were reviewed by the team in January 2016 and comments were returned to the consultant. The comments have been incorporated and were formally accepted by the PMT in April 2016. The consultant prepared the exceptions list. A partial list was provided for the PMT to review in March 2016. The PMT approved the exceptions in April 2016. The DCCC, including the exceptions, were updated based on the final conformed plans dated December 2016. The final DCCC, including exceptions, will be routed for review and signature in February 2017.

• The Design Criteria Conformance Checklist for items associated with the vehicle design and manufacture will be compiled once the vehicle manufacturer has completed the vehicle design.

• The PHA/TVA items associated with the infrastructure design package were closed in April 2016. The PHA and TVA is currently under review to determine if any new hazards or threats indigenous to the proposed vehicle need to be identified.

• In December 2016, staff began developing the Construction Specification Conformance Checklist associated with the construction contract.

Upcoming Safety and Security activities: • Sign the DCCC, including exceptions • Update PHA/TVA items based on vehicle selected • Develop DCCC for the vehicle design and manufacture

9.2 Safety and Security Meetings The project team meets with the Safety and Security Review Committee (SSRC) on a monthly basis regarding the project. • The SSRC meetings were held on November 21,2016, December 19, 2016, and January 23, 2017. • Staff holds regular conference calls with the project designers and the safety & security consultant.

9.3 Safety and Security Checklists The Certifiable Elements/Items List (CEL/CIL) as adopted on November 24, 2015 is included in the table below. The FTA Safety and Security Checklist along with the CEL/CIL checklist are included in the Monthly Report.


March 9, 2017

Certifiable ElementNumberof Items

ItemsCompleted

Items InProgress

PercentComplete

Design Criteria Conformance 298 0 298 0%Bridges and Retaining Walls 38 0 38 0%Civil/Infrastructure 47 0 47 0%Stops 34 0 34 0%Traction Power 45 0 45 0%Track 40 0 40 0%Public Utilities 10 0 10 0%Landscaping 24 0 24 0%Stray Current / Corrosion Control 44 0 44 0%Traffic Control 16 0 16 0%

Construction Specification Conformance UD 0 UD 0%System Safety Plans 5 4 1 80%System Security Plans / Procedures 2 1 1 50%Operations and Maintenance Plans / Procedures 11 1 10 9%System Integration Testing Plans / Procedures 3 0 3 0%Hazard Resolutions:

Design Verification 177 165 12 93%Specification Verification 7 0 7 0%Public Policy / Procedure Verification 17 0 17 0%Construction / Testing Verification 108 0 108 0%System Integrated Testing Verification 6 0 6 0%Operations / Maintenance Procedure Verification

114 0 114 0%

Hazard Total 429 165 264 38%Threats and Vulnerabilities Resolutions:

Design Verification 26 22 4 85%Specification Verification 0 0 0 -----Public Policy / Procedure Verification 11 0 11 0%Construction / Testing Verification 20 0 20 0%System Integrated Testing Verification 0 0 0 -----Operations / Maintenance Procedure Verification

27 0 27 0%

Threats/Vulnerabilities Total 84 22 62 26%1130 193 937 17%

SAFETY AND SECURITY CERTIFICATION STATUS REPORTCEL / CIL SUMMARY TOTALS

Updated 1/31/2017


March 9, 2017

Certifiable Element CertifierNumber of

Plans

Plans / Procedures Completed

Required Draft Submittal

Date Completed / scheduled completion

dateStatus Assigned to Comments

Design Criteria Manual CATS / E&PM 1 1 Sep-15 Complete Andy Widenhouse

Safety and Security Management Plan (SSMP)

CATS / E&PM 1 1 Nov-15 Complete Tonia WimberlyRevision 0 was adopted in November 2015 and

signed in January 2016.

Safety and Security Certification Plan (SSCP)

CATS / E&PM 1 1 Nov-15 Complete Tonia WimberlyRevision 0 was adopted in November 2015 and

signed in January 2016.

Drug & Alcohol Testing Program/Procedures

City of Charlotte – Human Resources

1 1 Mar-11 Complete Gracie MyersThe operators and maintenance staff are included

in the existing Drug & Alcohol Testing Program

Operating Policies/Procedures CATS 1 0 Mar-20 In Progress Tonia Wimberly / Allen Smith

Operations & Maintenance Plan CATS 1 0 Mar-20 In Progress Andy Widenhouse / Allen Smith

OPERATIONS AND MAINTENANCE

Inspection and Maintenance Policies/Procedures

CATS 1 0 Mar-20 In Progress Andy Widenhouse / Allen Smith

Maintenance Manuals CATS 1 0 Mar-20 In Progress Andy Widenhouse / Gary Lee

David Moskowitz

Complete Celia Gray

SYSTEM SECURITYEmergency Preparedness and

Continuity Plan (EPCP)CATS 1 0

System Security Plan (SSP) CATS 1 1 Feb-16

Dec-19 In Progress

Revision 13 February 2016 included the GL2 for Project Development. To be updated prior to

Revenue Service.

In Progress David MoskowitzAccident/Incident Investigation Plan CATS 1 0 Dec-19

System Safety Program Plan (SSPP) CATS 1 1 Feb-16

SAFETY AND SECURITY CERTIFICATION STATUS REPORT

PLANS / PROCEDURES CONFORMANCE

SYSTEM SAFETY

Complete Celia GrayRevision 13 February 2016 included the GL2 for Project Development. To be updated prior to

Revenue Service.


March 9, 2017

Certifiable Element CertifierNumber of

Plans

Plans / Procedures Completed

Required Draft Submittal

Date Completed / scheduled completion

dateStatus Assigned to Comments

SAFETY AND SECURITY CERTIFICATION STATUS REPORT

PLANS / PROCEDURES CONFORMANCE

Operations & Maintenance Training Plan

CATS 1 0 Mar-20 In Progress Tonia Wimberly / Allen Smith

21 629%% Complete

System Readiness Drills City of Charlotte / CATS 1 0 Mar-20 In Progress Andy Widenhouse

Start Up and Testing Plan (System Integration Tests, Pre-Revenue

City of Charlotte / CATS 1 0 Sep-19 In Progress Tonia Wimberly

David Moskowitz

SYSTEM INTEGRATION TESTING

Start-Up and Testing Plan (Procedures)

City of Charlotte / CATS 1 0 Sep-19 In Progress Tonia Wimberly

0 Sep-19 In Progress Tonia Wimberly / Marie Darby

Training Program CATS 1 0 Oct-19 In Progress David Moskowitz

Training Certifications (Initial and Continuing)

CATS 1 0 Mar-20 In Progress

Rail Operations Control Center (ROCC) Procedure

CATS 1 0 Mar-20 In Progress Tonia Wimberly / Marie Darby CATS LR201

Rule Book CATS 1 0 Mar-20 In Progress Tonia Wimberly / Marie Darby

Start Up and Testing Plan (Pre-Revenue Operations Tests)

CATS 1


March 9, 2017

FTA Safety and Security Checklist

Project Overview Project Mode (Rail, Bus, BRT, Multimode) Rail Project Phase (PE, Final Design, Construction, Start-

Construction

Project Delivery Method (Design/Build, DBOM, CMGC, etc.)

DBB

Project Plans Version FTA

Status Safety and Security Management Plan (SSMP) 0

Y SSMP Rev. 0 accepted by PMOC on 1/6/16

Safety and Security Certification Plan (SSCP) 0 Y SSCP Rev. 0 accepted by PMOC on 1/6/16 System Safety Program Plan (SSPP) 13 TBD The SSPP is updated annually in February.

The plan currently includes the project in design. The documents will be updated for GL2 prior to revenue service.

System Security Plan (SSP) or Security and Emergency Preparedness Plan (SEPP)

13 TBD The SSP is updated annually in February. The plan currently includes the project in design. The documents will be updated for GL2 prior to revenue service.

Construction Safety and Security Plan (CSSP) TBD The GL2 SSMP, Rev 0, Section 8, Construction Safety and Security Program includes the requirements for construction safety and security. CATS requires construction contractors to develop a project-specific construction safety and security plan. This requirement is in the Project Specifications for the construction contract. Contractor received A- NTP on January 24, 2017. CSSP is due to the City shortly after NTP.

Area of Focus Y/N Notes/Status

Safety and Security Authority Is the Project Sponsor subject to 49 CFR Part 659 state safety oversight requirements?

Y The agency has been operating under 49 CFR Part 659 since 2007 and will now operate under 49 CFR Part 674 effective April 2016.

Has the state designated an oversight agency as per 49 CFR Part 659.9?

Y North Carolina DOT is the SSOA

Has the oversight agency reviewed and approved the Project Sponsor’s Security Plan or SSPP as per 49 CFR Part 659.17?

TBD NCDOT reviews and approves the CATS SSPP and SSP on an annual basis. The current version of the plans are approved and in effect. CATS conducts an annual review of the SSPP and SSP. Each plan currently includes the project in design. Each plan has been identified as a certifiable item in the SSCP and will be updated for GL2 prior to revenue service.

Did the oversight agency participate in the last Quarterly Program Review Meeting?

Y NCDOT SSO participates in the FTA quarterly meetings by calling into the meetings. In addition SSO & CATS hold separate quarterly meetings as required by 49 CFR Part 674.

Has the Project Sponsor submitted its safety certification plan to the oversight agency?

Y The SSCP was submitted to NCDOT on 10/15/15.


March 9, 2017

Has the Project Sponsor implemented security directives issued by the Department of Homeland Security and/or Transportation Security Administration?

N/A At the time of final design, CATS has not received a grant from DHS/TSA for the GL2 project. No security directives are applicable to the GL2 project.

SSMP Monitoring Is the SSMP project-specific, clearly demonstrating the scope of safety and security activities for this project?

Y The GL2 SSMP, Rev. 0, Section 1, discusses the safety and security program purpose, scope, goals, objectives and activities specific to the GL2 project.

• SSMP Rev. 0 accepted by PMOC on 1/6/16.

Does the Project Sponsor review the SSMP and related project plans to determine if updates are necessary?

Y SSMP is reviewed and updated regularly

Does the Project Sponsor implement a process through which the Designated Function (DF) for Safety and DF for Security are integrated into the overall project management team? Please specify.

Y The GL2 SSMP, Rev. 0, Section 2, describes the safety and security tasks of the project through all phases, including the procedures and resources, and interface between the various project team functions regarding safety and security issues. Specifically, the SSMP describes the interface between executive management, CATS Safety & Security, the GL2 Project Team, Safety and Security Review Committee, Fire Life Safety Committee, testing group and others. SSMP Rev. 0 accepted by PMOC on 1/6/16.

Does the Project Sponsor maintain a regularly scheduled report on the status of safety and security activities?

Y The monthly FTA report and the SSRC minutes include the status of S&S activities. S & S activities and milestones are included in the overall project schedule.

Has the Project Sponsor established staffing requirements, procedures and authority for safety and security activities throughout all project phases?

Y CATS has a Safety and Security Division currently in place. The SSMP Rev. 0, Section 2.2 and Table 2.1, reflects the staffing requirements and the roles and responsibilities for the staff for GL2.

Does the Project Sponsor update the safety and security responsibility matrix/organizational chart as necessary?

Y The GL2 SSMP, Rev 0, Section 2.2 includes a responsibility matrix for all stakeholders of the project. The matrix is updated with each SSMP update.


March 9, 2017

Has the Project Sponsor allocated sufficient resources to oversee or carry out safety and security activities?

Y The GL2 SSMP, Rev 0, Section 3, Assignment of Safety and Security Responsibilities demonstrates sufficient resources have been allocated to the GL2 project, including:

• CATS Executive Management • CATS Safety and Security • Rail Operations • Rail Maintenance • Technology • Engineering & Property Management • Construction Management • Procurement • Community Relations • County/City Police, Water, and Fire

Departments • Design Consultants • Safety and Security Consultants • Construction Contractors • Project Committees

Has the Project Sponsor developed hazard and vulnerability analysis techniques, including specific types of analysis to be performed during different project phases?

Y The GL2, SSMP, Rev 0, Section 4, Safety and Security Analysis describes the hazard and vulnerability analysis techniques for the GL2 project. The analysis techniques are further described in the GL2 SSCP, Rev 0. The preliminary hazard and vulnerability analyses are complete and have been documented as follows:

• TVA’s were performed during Project Development. TVA Rev 0 was officially adopted in November 2015 and signed by the City in January 2016.

• PHA’s were performed during Project Development. PHA Rev 0 was officially adopted in November 2015 and signed by the City in January 2016.

Area of Focus Y/N Notes/Status Does the Project Sponsor implement regularly scheduled meetings to track to resolution any identified hazards and/or vulnerabilities?

Y SSRC meetings are held at least once every two months. The GL2, SSMP, Rev 0, Sections 2.3 and 3.10, describe the committees involved in hazard and threat management project for the project.

Does the Project Sponsor monitor the progress of safety and security activities throughout all project phases? Please describe briefly.

Y Progress is monitored by the project team and reported at the SSRC meetings.


March 9, 2017

Does the Project Sponsor ensure the conduct of preliminary hazard and vulnerability analyses? Please specify the analyses conducted.

Y The GL2, SSMP, Rev 0, Section 4, Safety and Security Analysis describes the hazard and vulnerability analysis techniques for the GL2 project. The analysis techniques are further described in the GL2 SSCP, Rev 0. The preliminary hazard and vulnerability analyses are complete and have been documented as follows:

• TVA’s were performed during Project Development. TVA Rev 0 was officially adopted in November 2015 and signed by the City in January 2016.

• PHA’s were performed during Project Development. PHA Rev 0 was officially adopted in November 2015 and signed by the City in January 2016.

Has the Project Sponsor ensured the development of safety design criteria?

Y Safety elements are integrated in the project Design Criteria. The GL2 SSMP, Rev 0, Section 5, Safety and Security Design Criteria describes the process used by CATS to integrate safety into the project Design Criteria.

Has the Project Sponsor ensured the development of security design criteria?

Y Security elements are integrated in the project Design Criteria. The GL2 SSMP, Rev 0, Section 5, Safety and Security Design Criteria describes the process used by CATS to integrate security into the project Design Criteria.

Has the Project Sponsor ensured conformance with safety and security requirements in design?

TBD The GL2 SSMP, Rev 0, Section 5.0.2, Conformance Checklists, describes the process being used by CATS to ensure conformance with safety and security requirements in design. The process is further described in the GL2 SSCP.

• The design criteria conformance checklists have been prepared and checked against the final design. Checklists have been prepared for approval signatures. Exceptions have been generated and approved.

Has the Project Sponsor verified conformance with safety and security requirements in equipment and materials procurement?

TBD The GL2 SSMP, Rev 0, Section 5.0.2, Conformance Checklists, describes the process that will be used by CATS to ensure conformance with safety and security requirements in equipment and materials procurement.

• The vehicles and the construction contract which have been procured or are in the process of being procured have been reviewed by CATS for conformance with safety and security requirements. CATS will review contractor submittals for safety and security conformance upon receipt.


March 9, 2017

Has the Project Sponsor verified construction specifications conformance?

TBD The GL2 SSMP, Rev 0, Section 5.0.5, Construction / Manufacturing Verification, describes the process that will be used by CATS to verify construction specification conformance.

• The construction specification conformance checklist has been prepared and is currently under review by CATS. Completion of these checklist items will be on-going throughout construction.

Has the Project Sponsor identified safety and security critical tests to be performed prior to passenger operations?

TBD The GL2 SSMP, Rev 0, Section 2.3, Interface with Management provides an overview of the System Integrated Testing Program that will apply to the project.

• A separate plan from the SSMP will be developed that identifies the safety and security critical tests and procedures for the GL2 project.

Has the Project Sponsor verified conformance with safety and security requirements during testing, inspection and start-up phases?

TBD The GL2 SSMP, Rev 0, Section 7.3, Integrating Testing and Inspection Verification describes the process CATS will use to verify conformance with safety and security requirements during testing, inspections, and start-up. This process is further described in the GL2 SSCP.

• This activity will take place during the construction and start-up and testing phases.

Has the Project Sponsor evaluated change orders, design waivers, or test variances for potential hazards and/or vulnerabilities?

Y The GL2 SSMP, Rev 0, Section 5.3, describes the process CATS uses to evaluate design variances.

• Design changes were reviewed prior to finalizing the construction plans for bid.

The GL2 SSMP, Rev 0, describes the process CATS will use to evaluate change orders during construction and variance requests during testing.

Has the Project Sponsor ensured the performance of safety and security analyses for proposed work-arounds?

TBD The GL2 SSCP, Rev 0, Sections 7 and 12 describe the process that will be used by CATS to perform safety and security analyses of proposed work-arounds.

Has the Project Sponsor demonstrated through meetings or other methods the integration of safety and security in the following:

• Activation Plan and Procedures • Integrated Test Plan and Procedures • Operations and Maintenance Plan • Emergency Operations Plan

TBD The GL2 SSMP, Rev 0, Section 7 describes how CATS will demonstrate the integration of safety and security in the Integrated Testing, Start-Up and Testing, and Operations and Maintenance Readiness processes.

• Separate plans from the SSMP including a System Integrated Test Plan, Start-Up Plan (also known as a Rail Activation Plan), and Operation and Maintenance Plan will be developed during the construction phase.

Has the Project Sponsor issued final safety and security certification?

TBD The GL2 SSMP, Rev 0, Section 7.6, Safety and Security Certification Requirements describe the process that will be used by CATS to issue conformance certificates and a final report for safety and security certification.


March 9, 2017

Has the Project Sponsor issued the final safety and security verification report?

TBD The GL2 SSMP, Rev 0, Section 7.6, Safety and Security Certification Requirements describe the process that will be used by CATS to issue conformance certificates and a final report for safety and security certification.

Construction Safety Does the Project Sponsor have a documented/implemented Contractor Safety Program with which it expects to comply?

TBD The GL2 SSMP, Rev 0, Section 8, Construction Safety and Security Program includes the requirements for safety and security during construction. Per the construction contract, upon issuance of NTP, the Contractor will develop and submit a Construction Safety and Security Plan.

Does the Project Sponsor’s contractor(s) have a documented company-wide safety and security program plan?

TBD The GL2 SSMP, Rev 0, Section 8, Construction Safety and Security Program includes the requirements for construction safety and security. CATS requires construction contractors to develop a project-specific construction safety and security plan.

• This is required in the project specifications for the construction contract. The contractor must submit a CSSP shortly after NTP is issued.

Does the Project Sponsor’s contractor(s) have a site-specific safety and security program plan?

TBD The GL2 SSMP, Rev 0, Section 8, Construction Safety and Security Program includes the requirements for construction safety and security. CATS requires construction contractors to develop a site-specific construction safety and security plan.

• This is required in the project specifications for the construction contract. The contractor must submit a CSSP shortly after NTP is issued.

How do the Project Sponsor’s OSHA statistics compare to the national average for the same type of work?

TBD This information is required monthly from the contractor and will be included in the FTA quarterly report throughout construction upon issuance of NTP.

If the comparison is not favorable, what actions are being taken by the Project Sponsor to improve its safety record?

TBD If this report is not favorable, the contractor has to submit and implement mitigation measures. Should this occur a discussion will be included in the FTA quarterly report.

Federal Railroad Administration

Area of Focus Y/N Notes/Status If shared track: has the Project Sponsor submitted its waiver request application to FRA? (Please identify specific regulations for which waivers are being requested.)

N/A The GL2 SSMP, Section 10, FRA Coordination explains that the GL2 project does not meet any conditions that trigger FRA coordination.

If shared corridor: has the Project Sponsor specified specific measures to address safety concerns?

N/A ---

Is the Collision Hazard Analysis underway? N/A --- Other FRA required Hazard Analysis – Fencing, etc.? N/A --- Does the project have Quiet Zones? N/A --- Does FRA attend the Quarterly Review Meetings? Y FRA is invited to attend the meetings.

131 of 158 FTA Quarterly Review Meeting


10.0 Project Development

10.1 Real Estate Acquisition The Real Estate Acquisition agents, appraisers, and attorneys were selected in September. The Real Estate staff reviewed the pre-final plan set and commented on easement needs. The list of affected parcels was developed from the pre-final plan set and refined based on the final plans. Based on the final plans easements are required. The table below has been populated with the current number of parcels. In May, a utility easement was refined resulting in the elimination of parcel 46. Parcel 46 was identified as a priority parcel and thus reduced the number of priority parcels to 13 and the overall number of parcels to 33. In October 2016, an agreement was reached to relocate the water meter connection into the right of way thus eliminating the utility easement on Parcel 78. This reduced the total number of parcels to 32. Current

# of Parcels

# Final Plats

Completed

# Appraisals Completed

# Offers Made

# Signed Agreements

Closing Pending

Acquisition Parcels

Acquired

Pending Condemnations

Condemnations Filed

32 32 32 32 1 19 0 11 Status The 33 parcels identified require easements. Thirteen parcels were identified as priority parcels in order to facilitate utility relocations. The Real Estate staff has contacted the affected property owners. As of the end of September 2016, seven rights of entry had been obtained. Negotiations are ongoing with the remaining outstanding parcel. In September 2016, 8 priority parcels were sent to Council to begin condemnation proceedings. These were parcels 45, 54, 56, 58, 63, 65, 67, and 69. The condemnation for Parcels 45, 56, 58, 63, 65, 67, and 69 was filed in October 2016. The condemnation for Parcel 54 was filed in early November 2016. In October 2016 during the relocation of the overhead power lines, a field change was made which eliminated Parcel 209 from the priority parcels list. The remaining twelve priority parcels were acquired as of November 2016. In November 2016, 4 parcels were sent to Council to begin condemnation proceedings. These were parcels 59, 61, and 303. The condemnation for Parcels 59, 61, and 303 were filed in December 2016.

The City of Charlotte and Johnson C. Smith University (JCSU) are in the process of entering into a real estate transaction agreement (a.k.a. real estate special provision) in lieu of fee: The proposed special provision says the City of Charlotte will replace the university owned pedestrian bridge that currently crosses over Beatties Ford Road with a new at- grade pedestrian crossing at the proposed signalized intersection of the new JCSU entrance during GL2 construction; in exchange JSCU will convey Easements to the City on which to place GL2 OCS poles, sidewalk and utility upgrades. The City and JCSU met the third week of April 2016 and multiple times in May 2016. The final terms of the agreement will be based on the appraised value of the easements needed versus the cost of removing the pedestrian bridge. All of the appraisals for the five JCSU properties were completed as of July 2016. JCSU executed a right of entry agreement for utility relocation and bridge removal in May 2016. An offer was made to JCSU in August 2016. JCSU signed a Right of Entry on August 30, 2016 for actual construction. JCSU approved the acquisition agreement at the end of September and returned the signed documents at the beginning of October 2016. The easements were recorded in October 2016.

132 of 158 FTA Quarterly Review Meeting


Priority Parcels for utility relocations: 18, 22, 28, 45, 54, 56, 58, 62, 63, 71, 73, 243 Upcoming Council Approval Agenda Items : 209 Parcels Signed Pending Closing: 235 Parcels Pending Condemnation: Parcels Acquired to Date (includes Acquisition: Parcels Acquired and Condemnations Filed): 18, 19, 20, 21, 22, 23, 25, 26, 27, 28, 34, 45, 54, 56, 58, 59, 61, 62, 63, 65, 67, 69, 71, 73, 81, 124, 212, 222, 243, 303

10.2 Environmental The NEPA process was completed for the 10 mile CityLYNX Gold Line corridor in June 2011. A FONSI was issued June 2011.

10.3 Final Design The track, civil, bridge, and systems plans are being designed and advanced as one procurement package.

• Track/Civil: The track and civil plans have been advanced to 90% design. The team held comment resolution meetings in November 2015 in order to finalize the 90% plans so the estimate could be performed. In November 2015, the cost estimate was developed from the 90% plans. The specifications, pre-final plans, and bid tabs were developed from the plan set and submitted for review in February 2016. Comments were returned in March 2016. Final plans and specifications were developed in April 2016 and the plan set was advertised on April 25, 2016. The bids were opened on July 1, 2016. The bids were reviewed and were determined to be unreasonable. The bids were rejected on July 20, 2016 and negotiations with the two bidders were held the first week in August 2016 to try to reach an agreeable price. In August 2016 negotiations were terminated and the City elected to re-bid the project. The project was re-bid on September 13, 2016, and the pre-bid meeting was held September 28, 2016. The bids were opened on November 1, 2016. The conformed plan set was issued in December 2016.

• Systems: The systems plans are included in the track and civil plan set. The plan set has been advanced to 90% design. In November 2015, the cost estimate was developed from the 90% plans. The specifications, pre-final plans, and bid tabs were developed from the plan set and submitted for review in February 2016. Comments were returned in March 2016. Final plans and specifications were developed in April 2016 and the plan set was advertised on April 25, 2016. The bids were opened on July 1, 2016. The bids were reviewed and were determined to be unreasonable. The bids were rejected on July 20, 2016 and negotiations with the two bidders were held the first week in August 2016 to try to reach an agreeable price. In August 2016 negotiations were terminated and the City elected to re-bid the project. The project was re-bid on September 13, 2016, and the pre-bid meeting was held September 28, 2016. The bids were opened on November 1, 2016. The conformed plan set was issued in December 2016.


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• Bridge: The preliminary bridge plans were sent to NCDOT for review in early September 2015. In late September 2015, NCDOT responded with minimal comments. The bridge plans addressing the NCDOT comments were resubmitted in late October 2015. Additional comments were received in November 2015 and will be addressed in the final design. The bridge plans are being advanced to final design in order to be submitted to NCDOT in first quarter 2016. In November 2015, the cost estimate was developed from the 90% plans. The specifications, pre-final plans, and bid tabs were developed from the plan set and submitted for review in February 2016. Comments were returned in March 2016. The bridge plans were submitted to NCDOT for final review on March 21, 2016 and comments were received in early April. Final plans and specifications were developed in April 2016 and the plan set was advertised on April 25, 2016. NCDOT final approval of the bridge plans was received in July 2016. The bids were opened on July 1, 2016. The bids were reviewed and were determined to be unreasonable. The bids were rejected on July 20, 2016 and negotiations with the two bidders were held the first week in August 2016 to try to reach an agreeable price. In August 2016 negotiations were terminated and the City elected to re-bid the project. The project was re-bid on September 13, 2016, and the pre-bid meeting was held September 28, 2016. The bids were opened on November 1, 2016. The conformed plan set was issued in December 2016.

10.4 Art-in-Transit As of the approval of the SSGA in May 2016, the Art-in-Transit program became a betterment for the project. The art will be funded by local funds designated for art. The proposed artwork is integral to the stop platforms and shelters, thus we are reporting on the status of this betterment. The City has received the first design for the shelter windscreens and platform surface treatment. The fabrication of the windscreens is scheduled to coincide with the schedule for completing the stop platforms.

11.0 Third Party Coordination

11.1 Public Utilities Sewer: The project is leaving the existing sewer system in place along the alignment. Charlotte Water, the sewer line owner and also a department of the City, is preparing to perform maintenance and lining of the existing sewer line beginning in the Spring/Summer of 2016. The Gold Line project will reconstruct the manholes that are in conflict with the track slab and relocate sewer segments that fall under stop platforms. Charlotte Water completed their plans and advertised for bids in June 2016. They opened bids in July 2016. The contact was awarded on September 12, 2016. A pre-construction conference was held with their contractor on October 20, 2016. Construction began in November 2016 and is projected to continue until December 2017. Water: Charlotte Water, the water line owner and also a department of the City, has partnered with the project to improve their existing water main and increase capacity. The water line improvements will be performed in conjunction with the Gold Line project as a betterment. The waterline design is included in the Gold Line Phase 2 plan set which was finalized and advertised for bid on April 25, 2016. The bids were opened on July 1, 2016. The bids were reviewed and were determined to be unreasonable. The bids were rejected on July 20, 2016 and negotiations with the two bidders were held the first week in August 2016 to try to reach an agreeable price. In August 2016 negotiations were terminated and the City elected to re-bid the project. Charlotte Water elected to change the pipe material and size. The project was re-bid on September 13, 2016, the pre-bid meeting was September 28, 2016. The bids were opened and the contract


March 9, 2017

was awarded in November 2016. Storm: Storm Water Services, the storm system owner and a department of the City, has partnered with the project to improve their existing storm system along the alignment and increase capacity. The storm improvements will be performed in conjunction with the Gold Line project as a betterment. The storm water plans are currently completed and are included in the bid set that was advertised on April 25, 2016. The bids were opened on July 1, 2016. The bids were reviewed and were determined to be unreasonable. The bids were rejected on July 20, 2016 and negotiations with the two bidders were held the first week in August 2016 to try to reach an agreeable price. In August 2016 negotiations were terminated and the City elected to re-bid the project. The project was re-bid on September 13, 2016, the pre-bid meeting was September 28, 2016. The bids were opened and the contract was awarded in November 2016. Storm Water Services plans to perform maintenance work on their existing system utilizing existing maintenance contracts. The Irwin Creek outfall project began in late November 2016 and is scheduled to be completed in early February 2017. The French Street Outfall is scheduled to begin upon the completion of the Irwin Creek outfall in February 2017 and be completed by April 2017.

11.2 Private Utilities Duke Energy: Duke Energy has an agreement with the City for aerial facilities whereby the City and Duke will share in the relocation costs 60/40. This agreement was adopted in 1999 and has been in effect since. Duke finalized their design in February 2016. The contract for payment based on the City/Duke 60/40 agreement was approved by City Council on March 14, 2016. The Duke design is broken into 4 distinct areas as listed below:

• Downtown Underground Segment (I-77 to Phase 1 tie-in) – This segment is not part of the cost share agreement and the full cost of any relocations is borne by Duke Energy. Duke plans to relocate an underground duct bank system from Cedar Street to Graham Street, and from Church Street to College Street. In March 2016, Duke submitted for a Right of Way permit to begin this work. This permit was granted at the end of April 2016. A pre-construction conference was held between the City and Duke’s contractor in May 2016. Duke began construction on May 23, 2016 and anticipated a 4 month construction period concluding in September 2016. The construction remains at 95% complete, with only final tie-ins and pulling of wire by Duke remaining. Duke anticipates completion by 2nd Quarter 2017.

• Beatties Ford Aerial (French Street to I-77) – Duke plans to relocate their existing aerial lines to new poles. Duke finalized their plans in February 2016. The City approved the Right of Way Use permit in August 2016. Duke began work on October 27, 2016 and was 80% complete at the end of January 2017. Duke completed the underground conduit associated with this work in January 2017.

• Hawthorne Aerial (5th Street to Central Avenue) – Duke plans to relocate their existing aerial lines to new poles. Duke finalized their plans in February 2016. The City obtained the necessary easements for Duke to begin work on the Hawthorne Lane relocation in late April 2016. Duke submitted a right of way permit on May 20, 2016. The right of way permit was approved in June 2016. Duke began the relocation work in mid-August 2016 and completed the work in January 2017.

• Streetlighting (entire corridor) – Duke has incorporated temporary lighting into their relocation plans. The permanent streetlighting duct bank is being installed with the Gold Line Project. Duke will install the light fixtures onto the OCS poles once they are erected by the Gold Line contractor. Duke has completed the installation of temporary lights on Hawthorne Lane and is 80% complete with the temporary lights on Beatties Ford.


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AT&T: AT&T has both underground and aerial telephone communications facilities on the project. AT&T has chosen to work the relocation for the project in segments. AT&T submitted relocation plans in December 2015. AT&T submitted revised plans in February 2016. Comments were returned on the plans, and AT&T finalized their plans in April 2016 to be included in the UBO plans. The segments are as follows:

• Beatties Ford (Rozzelles Ferry Intersection) – AT&T applied for a permit to reconstruct a primary manhole that is integral to their facilities and is in conflict with the rails. The City issued the permit in early May 2016. AT&T began construction in mid-July 2016 and completed the manhole work in late August 2016.

• Beatties Ford (French Street to Rozzelles Ferry) – AT&T proposes to relocate their existing aerial lines to underground. The plan was finalized in April 2016. AT&T submitted a right of way permit for this work in July 2016. The City approved their right of way permit in October 2016. AT&T has provided an anticipated start date of February 2017.

• Beatties Ford (Rozzelles Ferry to I-77) – AT&T proposes to relocate their existing aerial lines to new poles. The roadway crossings will be relocated from aerial to underground. The plan was finalized in April 2016. The City approved their right of way permit in late October 2016. AT&T completed the installation of new poles in this area in December 2016. AT&T has provided an anticipated start date of February 2017 for the relocation of the aerial lines to underground.

• Hawthorne (5th Street to Central Avenue) – AT&T proposes to relocate their existing aerial lines to underground. The plan was finalized in April 2016. AT&T was granted conditional approval in September 2016 to install a portion of this work from 7th Street to 8th Street in October 2016. The City approved their right of way permit in October 2016. AT&T is working through an encroachment agreement with NCDOT for the portion of this work crossing 7th Street. As of end of January 2017 the work was on hold until the NCDOT permit was secured. AT&T will begin relocation of aerial to underground from Central Avenue to 7th Street in February 2017.

Piedmont Natural Gas (PNG): PNG has underground gas line facilities along the corridor. PNG has plans to upgrade their existing lines and relocate several existing lines along the corridor. In April 2016 PNG identified areas of work that will be performed during construction in conjunction with the Gold Line contractor. They also identified work that would be performed prior to October 2016. PNG submitted a plan for review and approval to proceed with their work on Hawthorne and in uptown ahead of the Gold Line construction. Their permit was approved in September 2016 and work began on the Hawthorne segment in October 2016. PNG has completed approximately 90% of the Hawthorne work as of the end of January 2017 and anticipates beginning their uptown relocation work in February 2017. Time Warner Cable (TWC): TWC notified the City in December 2015 that they plan to relocate their system from aerial to underground. TWC is looking at options for crossing the Hawthorne Lane bridge in order to keep service during construction. Staff has been in communication with TWC regarding the relocation. In July 2016, TWC received an aerial attachment permit from Duke Energy to cross US-74 at a new location so that they will not be attached to the Hawthorne Bridge. The City issued TWC right of way permits in October and December 2016. TWC anticipates starting construction in February 2017. Telecommunication Companies: The UBO plans were updated to include Duke, AT&T, and PNG relocations in March 2016. The UBO plans and the utility conflict matrix were distributed to all utility companies including the telecommunication providers on March 28, 2016. In May 2016, the completed UBO plans were sent to the telecommunication companies. A meeting was held with the telecommunication companies to coordinate their relocation plans on June 2, 2016. During this meeting the following companies identified facilities in the project corridor that would require relocation or adjustments. These are updated as follows:

• FiberTech – FiberTech currently does not have an existing line on the corridor, but plans to install a line on Hawthorne. The plans were approved and the permit was issued for this work at the end of January 2017. FiberTech anticipates beginning construction in March 2017.

• Level 3 – Level 3 has facilities throughout the project corridor. They share facilities with TWC downtown. Level 3’s right of way permit to re-route off of Beatties Ford was approved in August


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2016 and work is scheduled to begin in February 2017. Level 3 will submit additional permits for locations located in uptown in February 2017.

• Crown Castle – Crown Castle has one pole in conflict on Trade between Clarkson and Johnson & Wales Way. As of July 2016 Crown Castle has the information they need to complete their design and submit for a ROW permit.

• American Tower – American Tower has two poles in potential conflict, one at College and one at Clarkson. American Tower received their permit for the relocation at Clarkson in September 2016.

• Light Tower – They only have two existing conduits on Hawthorne. They will check their facilities to determine if they are or are not in conflict.

• Legacy – Legacy has one crossing on the project at the intersection of College Street. Legacy will determine the depth of the line to see if it can remain or must be lowered.

• Zayo – Zayo was not in attendance at the June 2, 2016 meeting but they were identified as potential conflict because they own the fiber that feeds the Crown Castle poles. Zayo submitted their line crossings for approval in October 2016. A preconstruction conference was held in November 2016. The City reissued the right of way permit in January 2017 to allow Zayo to partner with PNG for a portion of their relocation.

11.3 NCDOT Coordination Encroachment Agreements for the Hawthorne Bridge, 7th Street, Graham Street, and I-77 Underpass were approved by NCDOT in September 2015.

11.4 Third Party Agreements The critical third party agreements for the project are listed in the table below. Agency Agreement Approval Date NCDOT Encroachment Agreement – I-77 OCS

Poles & Hawthorne Lane Bridge Replacement

September 4, 2015

NCDOT Encroachment Agreement – Graham and 7th Street Crossings

September 4, 2015

Duke Energy Corporation Standing Agreement for Overhead Utility Relocation

April 26, 1999

12.0 Construction City Council awarded the construction contract to Johnson Bros. Corporation, a Southland Holding Company on November 28, 2016. Johnson Bros. was the low bidder with a total bid price of $94,103,520 including betterments and contingency. The formal groundbreaking ceremony was held on January 14, 2017. A Pre-Construction Conference and a Utility Pre-Construction Conference was held with City staff and the contractor staff on January 24, 2017. An Administrative-Notice to Proceed was issued to the contractor on January 24, 2017 to allow the contractor to begin submittals, paperwork, meetings, and material ordering. The Notice to Proceed will be issued effective February 27, 2017.

13.0 Quality Assurance Document Review


March 9, 2017

The FTA issued the Project Management Oversight Program Quality Assurance/Quality Control Review for the CityLYNX Gold Line Phase 2 Streetcar Project in February, 2016. The PMOC concluded that CATS QA/QC program is an acceptable management tool for Small Starts Grant Agreements.

The CATS Project Quality Plan was updated and Revision 13 was issued in April, 2016. CATS also updated CATS procedure ROD901 Control and Calibration of Measuring and Test Equipment to incorporate PMOC recommendations.

CATS QA reviewed the contract specifications and front end documents for GL2 contract including the Quality Section 01 40 00 in April 2016.

On October 16, 2015, CATS conducted a review of the Pre-final control checks maintained at AECOM for the near-final submittals for Utilities Plans, Bid tab, specifications, Engineering Plans, Engineering Systems and Hawthorne Bridge plans.

14.0 Community Relations

14.1 Current Activities November 29, 2016 – A press release was distributed to regional and national media outlets announcing the award of CityLYNX Gold Line Phase 2 construction and vehicle manufacturer contracts.

December 2, 2016 – The first CityLYNX Gold Line Phase 2 newsletter was sent to all Gold Line NotifyMe subscribers (2,000+)

December 3, 2016 – The CityLYNX Gold Line Phase 2 communications team contributed an article to the Elizabeth Community Association’s quarterly newsletter announcing the project.

December 16, 2016 – The CityLYNX Gold Line team held a business outreach meeting with property managers at Center City Partner’s Offices. Approximately 20 representatives were in attendance.

January 12, 2017 – The CityLYNX Gold Line team and CATS Art-in-Transit held a “Meet the Artist” community meeting in the Elizabeth neighborhood with Artist, Amy Cheng. Approximately 15 leaders were in attendance.

January 14, 2017 – A groundbreaking ceremony was held in Charlotte’s Historic West End neighborhood for the CityLYNX Gold Line Phase 2 project. U.S. DOT Secretary Anthony Foxx joined local dignitaries in kicking off the project with a ceremonious rail spiking photo opportunity. Six different media outlets were in attendance. A press release was distributed following the event.

January 28, 2017 – Project Manager, David McDonald gave a Gold Line project presentation to Johnson C. Smith University’s 6th Annual Indaba. Approximately XX people were in attendance.

14.2 Upcoming Community Outreach March 7, 2017 – The CityLYNX Gold Line team and CATS Art-in-Transit will hold a “Meet the Artist” community meeting in the Historic West End with Artist, George Bates. March 2017 – The CityLYNX Gold Line team will hold a business outreach meeting with the second half of property managers at Center City Partner’s Offices. Approximately XX representatives were in attendance.


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April 2017 – The CityLYNX Gold Line team will hold a series of public meetings to discuss the future construction schedule for the project.

14.3 Social Media Efforts The CityLYNX Gold Line Phase 2 Communications Team continues to execute its social media strategy for the two main Gold Line social media channels, Facebook and Twitter. This content includes: CityLYNX Gold Line Phase 2 project facts and statistics, public meeting information, business support activities, road closure notifications and available informational web tools.

15.0 Upcoming Activities February 2017 – April 2017

• Finalize RCMP • Issue NTP for Vehicles • Issue NTP for construction contract • Begin construction


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VIII. Economic Development and TOD Activity/Issues

1. Economic Development

LYNX Blue Line (South Corridor)

Considerable private sector development continues, especially with regard to multi-family development.

LYNX Blue Line Extension (Northeast Corridor)

See attached report. Private sector development, especially with regard to multi-family development, continues at a strong pace.

CityLYNX Gold Line, Phases 1 and 2 (Streetcar)

See attached report. Private sector development, especially with regard to hotel development, continues at a strong pace.

2. USDOT/FTA TOD Technical Assistance On Monday, December 12, the FTA awarded the City of TOD Technical Assistance Initiative grant to develop TOD strategies in the Historic West End, along the CityLYNX Gold Line Phase 2 streetcar corridor. Through this grant opportunity with the FTA, the City of Charlotte can better assist the West End communities maintain their unique character and identity during the transformational CityLYNX Gold Line Phase 2 project, while strengthening their economic vitality. Since the award FTA, Smart Growth America, CATS, Charlotte Mecklenburg Planning Department, and Charlotte Center City Partners held a kick off conference call on February 2nd. Another call has been scheduled for March 6th to have further discussions on outreach, scope, and schedule.


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LYNX Blue Line ExtensionEconomic Development Report (February 2017)

Station Area Planning

Base Year 2010 Housing Units

Forecast 2035 Housing Units

Forecasted Growth

Status Name Project Status Year Completed Housing Units

Retail/Office Sq Feet

Estimated Value

Alpha Mill Phase II Complete 2014 100 0 $20,000,000First Ward Urban Village Apts, Phase I Under Construction 0 264 0 $50,000,0001824 N Brevard St Mixed Use Proposed 0 0 0 $0Edgeline Proposed 0 69 0 $0300 Optimist Park Proposed 0 50 0 $0Highland Park Mill Redevelopment Under Construction 0 0 165,000 $0Parkwood Station Apartments Proposed 0 307 0 $0Jordan Place Mixed Use Development Proposed 0 0 0 $0NODA @ 27th Apartments Proposed 0 250 0 $0N Davidson St Apts Proposed 0 147 8,900 $0Lofts at 25th and Brevard Proposed 0 260 0 $0Yards @ NODA Complete 2015 342 0 $37,000,000Studio 6 Complete 2014 6 0 $1,000,000Mecklenburg Mills Under Construction 0 48 0 $8,100,000Mercury Complete 0 250 0 $35,000,000Crescent @ NODA Under Construction 0 350 0 $65,000,0003221 Yadkin Av Mixed Use Proposed 0 4 0 $1,000,000NODA Greenway Mixed Use Proposed 0 350 265,000 $035th Street Mixed-Use Proposed 0 180 15,000 $0NoDa Brewery Complete 2015 0 32,413 $0NODA Greenway Site Proposed 0 0 0 $0

Steel Gardens Phase 2 Under Construction 0 54 0 $0Galleries @ NODA Under Construction 0 36 1,100 $10,000,000NODA Street Market Proposed 0 0 28,831 $0

Old Concord Rd 594 1207 613 Transit Station Area Plan Adopted May 2013 Placeholder Proposed 0 0 0 $0

Tom Hunter 2087 2652 565 Transit Station Area Plan Adopted May 2013 University City Apts at Tom Hunter StaUnder Construction 0380 0 $40,000,000

Arcadia Complete 2014 195 0 $29,000,000Zaxby's Complete 2014 0 3,847 $570,000Carolina States Regional Center II Proposed 0 1,000 0 $0University City Auto Mall (First 2 deale Proposed 0 0 150,000 $20,000,000University City Gateway Proposed 0 510 800,000 $0The Pantry Complete 2012 0 5,288 $1,650,000University Pointe Shopping Center Complete 2012 0 51,076 $7,008,200Home2 Suites by Hilton Under Construction 0 0 74,380 $8,272,000Mallard Pointe Retail Complete 2012 0 8,032 $1,432,300Walden Station Complete 2012 96 0 $9,578,000

UNC Charlotte Main 137 137 0 University City Area Plan Adopted 2007 (Update underway)

N Tryon Future Office (land only - 24 a Proposed 0 0 0 $3,500,000

5,248 1,608,867 $348,110,500Sources: (1) FY2013 New Starts Land Use and Economic Development Report, September 2011(2) Transit Station Area Development Database, Charlotte-Mecklenburg Planning Department 2/8/2017

Transit Station Area Plan Adopted May 2013


New / Proposed Development 2Land Use Forecast 1

Station

Grand Total

University City Area Plan Adopted 2007 (Update underway)

12191787568McCullough


158529301345JW Clay Blvd / UNC Charlotte


18292139310University City Blvd

154443725th Street

5081358850Sugar Creek

17283238151036th Street

Center City 2020 Vision Plan Adopted 2011177426348609th Street

Transit Station Area Plan Adopted May 201311671765598Parkwood



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CityLYNX Gold LineEconomic Development Report (February 2017)

Station Area Planning

Base Year 2010 Housing Units

Forecast 2035 Housing Units

Forecasted Growth

Status Name Project Status Year Completed Housing Units

Retail/Office Sq Feet

Estimated Value

Hyatt Place / Skye Condos Complete 2013 23 206,947 $49,700,000233 S Kings Retail Complete 2011 0 8,500 $0Hyatt House Complete 2010 0 107,784 $26,700,000The Madison Complete 2010 26 0 $12,800,000Midtown 205 Complete 0 261 7,700 $45,000,000Crescent Mixed Use / Whole Foods Under Construction 0 450 62,000 $0Embassy Suites Under Construction 0 0 226,000 $54,000,000Fountains Uptown Under Construction 0 230 0 $0Springhill Suites Under Construction 0 0 170,000 $17,500,000Brooklyn Village Proposed 0 0 0 $0Metropolitan Apts / Hotel Proposed 0 155 0 $0Randolph Rd Redevelopment Proposed 0 0 185,000 $0Broadstone Central Proposed 0 280 3,500 $0

Phase 2 - Western 1765 2338 573 Center City 2020 Vision Plan Adopted 2011 Placeholder Proposed 0 0 0 $0SkyHouse I Complete 2015 336 0 $63,000,000The Mint Complete 0 177 0 $0300 South Tryon Under Construction 0 0 630,000 $0Woodfield Graham Apartments Under Construction 0 230 0 $0Ascent Uptown Apartments Under Construction 0 314 0 $0Mint Museum Apartments Under Construction 0 393 0 $0615 South College Under Construction 0 0 345,000 $0SkyHouse II Under Construction 0 336 0 $63,000,000Gateway Village Apartments Under Construction 0 300 0 $0Tryon Place Proposed 0 85 715,000 $0Renovation Proposed 0 0 2,500 $0Grand Bohemian Hotel Proposed 0 0 0 $0Residence Inn/AC Hotel Under Construction 0 0 220,000 $01305 Central Under Construction 0 246 0 $0The Gibson Under Construction 0 250 0 $0Midwood Square Under Construction 0 35 0 $07th Street @ Caswell Proposed 0 150 30,000 $0

4,277 2,919,931 $331,700,000

(1) Noell Consulting Group: Estimated Development Potential Around Phase I and Planned Gold Line Stations, April/May 2014(2) Transit Station Area Development Database, Charlotte-Mecklenburg Planning Department 2/28/2017

New / Proposed Development 2Land Use Forecast 1

StationPhase 1 1864 5049

Grand Total

3185 Center City 2020 Vision Plan Adopted 2011

Phase 2 - Central 5452 10396 4944 Center City 2020 Vision Plan Adopted 2011

Phase 2 - Eastern 1831 3871 2040 Center City 2020 Vision Plan Adopted 2011


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IX. Other Corridor Status

1. Charlotte Gateway Station (CGS)

a) Project Overview The Charlotte Gateway Station (CGS) Project is part of the City’s 2030 Transit System Plan. While the Project area is defined as being located between West Trade, West Fourth and South Graham Streets in Uptown Charlotte, both the economic and transportation benefits of the Project will have far reaching effects. The City of Charlotte and the North Carolina Department of Transportation (NCDOT) are partners in the implementation of this important Project. The Project will improve both regional (Amtrak) passenger rail service and regional freight rail operations through the construction of track and bridge improvements. A principal element of the Project includes a future multi-modal passenger station facility, the completion of which will mark the return of Amtrak service to Uptown Charlotte, with supporting modal connections to CityLYNX Gold Line, regional bus connections and CATS local bus routes. b) Status Staff from the City and from the NC Department of Transportation, Rail Division meet regularly to discuss this Project, including property acquisition, engineering & design and construction.

• FTA grants: FTA issued letter of concurrence to the City regarding the acquisition of the Main Block parcel (site of future multi-modal station). Charlotte City Council and NCDOT have also approved the purchase/sale. Closing of the Main Block occurred on December 15, 2016.

• TIGER VI Program: The Multi-modal Station Area Plan (MSAP) work is underway. Stakeholder meetings and open houses were completed in August and November 2016. Three high level concepts for a station were generated and were advanced to develop one refined concept in October 2016. Final deliverables are anticipated in March/April 2017.

c) Funding/Budget Summary See attached Budget Summary Table

d) TIGER VII Grant

Representatives from the U. S. DOT, FRA, City, CATS and NCDOT Rail Division meet via conference call on a monthly basis to discuss the Track, Structures and Signals (TS&S) phase of the Project. This phase is conceptually estimated at $83M, with $30M available from TIGER VII. The City of Charlotte and NCDOT are working with FRA to sign all the all necessary agreements that must be signed in the June to September 2017 timeframe. Agreements anticipated to seek approval to sign:

1) Cooperative Agreement with FRA (TIGER funds); 2) Municipal Agreement (revised) with NCDOT and 3) Infrastructure Agreement with NCDOT and NSR.


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The Project team has worked diligently to identify and compete for funds to close the gap. • NC STI Program: The CGS Project has been submitted for evaluation and has scored positively

in the STI Process. The Program would be awarded funding of $27M at the end of the STI Process in June/July 2017.

• STP Direct Allocation Funds: The CGS Project has been selected to receive $15M. These funds are critical to fully fund the TS&S phase referenced above.

NCDOT has selected the engineering consultant team HNTB to complete the design/engineering of the TS&S improvements. Work is underway, including design coordination with Amtrak and NSR. HNTB completed 25% Track Design in November 2016 and will submit 65% Design Plans in March 2017.


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CHARLOTTE GATEWAY STATION PROJECTBUDGET SUMMARY

As of December 31, 2016

PREVIOUSLY TOTAL TOTALGRANT CURRENT APPROPRIATED SPENT CURRENT MONTH EXPENSES COST UNRESTRICTED

PROJECT BUDGET BUDGET FUNDS TO DATE EXPENSES PAID TO DATE* (ACCRUAL) ENCUMBRANCE BALANCE

10 Guidway & Track ElementsSubtotal ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐

20 Stations, Stops, Terminals, Intermodal20.01 At‐Grade Station, Stop, Shelter Mall, Terminal, Platform ‐ ‐ ‐ ‐ ‐ ‐ ‐ Subtotal ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐

30 Support Facilities: Yards, Shops, Admin BldgsSubtotal ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐

40 Sitework & Special ConditionsSubtotal ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐

50 SystemsSubtotal ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐

60 ROW, Land & Existing Improvements60.01 Purchase or Lease of Real Estate 13,444,991 13,444,991 13,444,991 1,569,990 11,836,582 13,406,572 ‐ 598 37,821 60.02 Relocation of Existing Households & Businesses ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ Subtotal 13,444,991 13,444,991 13,444,991 1,569,990 11,836,582 13,406,572 ‐ 598 37,821

70 Vehicles Subtotal ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐

80 Professional Services80.01 Preliminary Engineering 2,405,370 2,405,370 2,405,370 1,851,573 ‐ 1,851,573 ‐ ‐ 553,797 80.02 Final Design ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ 80.03 Project Management for Design & Construction 2,606,997 2,606,997 2,606,997 2,217,103 ‐ 2,217,103 ‐ ‐ 389,894 80.04 Construction Administration & Management 7,832,941 7,832,941 7,832,941 ‐ ‐ ‐ ‐ ‐ 7,832,941 80.06 Legal; Permits & Review Fees ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ 80.07 Surveys, Testing, Investigation, Inspection ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ 80.08 Start‐Up ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ Subtotal 12,845,308 12,845,308 12,845,308 4,068,676 ‐ 4,068,676 ‐ ‐ 8,776,632

90 Unallocated ContingencyProject Contingency 154,661 154,661 154,661 ‐ ‐ ‐ ‐ ‐ 154,661 Subtotal 154,661 154,661 154,661 ‐ ‐ ‐ ‐ ‐ 154,661

100 Finance ChargesSubtotal ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐

Non‐FTA Grant Project ExpensesNon‐FTA Grant Project Expenses 1,388,156 1,388,156 1,388,156 1,388,156 1,388,156 ‐ ‐ ‐

TOTAL CHARLOTTE GATEWAY STATION 27,833,116 27,833,116 27,833,116 7,026,822 11,836,582 18,863,404 ‐ 598 8,969,114 *Total Expenses to Date reported on a cash basis

LEGENDGrant Budget: Year of Expenditure Dollars approved in the Grant project budgetCurrent Budget: Year of Expenditure Dollars based on latest Engineering Cost Estimate and Construction Contract Awards. Year of Expenditure DollarsAppropriated Funds: Authorization to spend monies for the activity or activities covered by the appropriation and up to its amounts Previously Spent to Date: Expenses associated with the project that were incurred prior to the current month expensesCurrent Month Expenses: Expenses associated with the project that were incurred in the month of reporting; excludes retainageTotal Expenses To Date: Expenses associated with the project that were incurred in the month of reporting plus prior time periodsTotal Cost (Accrual): Includes all expenditures paid, received invoices yet to be paid and any work completed/actual cost to the project that have not yet been invoicedEncumbrance: A contingent liability related to unfilled contracts or purchase order for goods or services that is chargeable to the project (reservation of fund balance)Unrestricted Balance: Funds available for use, uncommitted; (appropriated funds) ‐ (total expenses to date including accruals+ contract encumbrances)


March 9, 2017

2. Corridor System Plan Update

a) LYNX Silver Line In 2011 the Metropolitan Transit Commission directed CATS to prepare for a LYNX Silver Line/Southeast Corridor Transit Study. The project officially began in February 2015. CATS, City of Charlotte staff, NCDOT, and the town of Matthews developed three overarching goals to guide this study.

• Define a fixed rail guideway alignment that serves future transportation needs and promotes the land use plans/polices of both the Independence Blvd Area Plan and the Town of Matthews.

• Provide an interim transit strategy that utilizes the future express lanes on Independence Blvd. • Coordinate with land development strategies to protect and preserve the fixed guideway

alignment. CATS presented the LYNX Silver Line light rail staff recommendation to the MTC at the September 2016 meeting. The MTC took action and approved the light rail staff recommendation at the November 2016 meeting. By taking that action, the MTC established the Locally Preferred Alternative (LPA) for the LYNX Silver Line that is now a part of the 2030 Transit System Plan. Additional study recommendations included:

• Recommendations for Southeast corridor bus including an express lane bus route operational plan will be included in the Envision my Ride study.

• A corridor preservation strategy • Continue to study the LYNX Silver Line Uptown Charlotte alignments as part of a System

Integration/West Corridor Study. With a new LYNX Silver Line LPA adopted by the MTC, CATS next step was to seek adoption of the LPA into Comprehensive Transportation Plan (CTP). To achieve that goal CATS took the following steps.

• On January 5, 2017 CATS recommended to the Charlotte Regional Transportation Planning Organization (CRTPO) Technical Coordinating Committee (TCC) that it endorse the recommendations from the LYNX Silver Line/Southeast Corridor Transit Study, and amend the CTP rail/transit map to account for the recommended alignment. Following the presentation from CATS staff the TCC endorsed the LYNX Silver Line LPA and recommenced that the CRTPO board endorse as well

• On January 18, 2017 CATS presented the TCC recommendation to the CRTPO board. The board endorsed the TCC recommendation. With that action the LYNX Silver Line LPA is now on the CTP rail/transit map.

Moving forward the LYNX Silver Line LPA will be included in system integration planning as part of the North Corridor/West Corridor/Center City Study.


March 9, 2017

b) North Corridor /West Corridor/Center City Study The MTC has directed the CATS to conduct an Alternative Analysis (AA) for the West and North Corridors as well conduct a rail system integration plan in Uptown Charlotte. The primary purpose of the study is to provide the necessary land use and transportation technical analysis including stakeholder and public outreach to support the selection by the MTC of new Locally Preferred Alternatives (LPA) for the West and North Corridors. Additionally, a center city systems integration plan needs to be developed that identifies feasible corridors/alignments and operational plans that best tie together the following 2030 Corridor System Plan elements:

• existing Blue Line/Blue Line Extension • the Gold Line streetcar • the Silver Line LPA • the various alternatives for the West and North corridor LPA’s • the Charlotte Transportation Center, and • the future Charlotte Gateway Station

Furthermore, in the interest of long term planning and corridor preservation, additional portals, and street alignments should be identified that would serve additional future corridors beyond those included in the 2030 Corridor System plan. The goal of this effort is to identify potential transit needs for a 50 to 100 year future and be able to coordinate with future center city development. This study is expected to have duration of approximately 18 months, beginning in July 2017 and ending in December 2018. An Request for Proposals was advertised on March 4, 2017.


March 9, 2017

c) Regional Transit Public Engagement Series At the November 16, 2016 MTC meeting CATS staff recommended that the MTC approve the following:

• Direct staff to collaborate with the Centralina Council of Governments (CCOG) on efforts to initiate the Regional Transit work to develop a strategy for engaging surrounding counties in a dialog regarding regional public transportation needs.

• Approve use of up to $165,000 from the approved FY2017 budget for this effort. • Negotiation of an agreement with Centralina Council of Governments • Direct staff to take the negotiated agreement to Charlotte City Council for approval and execution

The MTC took action and approved the recommendations. Since the Charlotte City Council approval of the negotiated agreement in January 2017, CATS and CCOG have developed scope and schedule. This project is currently scheduled to begin in March 2017 with completion in November 2017. Details regarding the outreach area, phased engagement, and the4 goals/objectives of this project are included below. Goals and Objectives

• Provide context/background for regional transit discussion • Determine interest level, missing stakeholders, etc. • Build interest and increase participation of Metropolitan Transit Commission (MTC) Ex-Officio

members • Introduce concept of land use and economic growth opportunities relative to transit • Outline transit planning generally and share conceptual next steps, time frame • Gather opinions on transit mode, funding mechanisms, etc. • Assess local benefit/value proposition, including examination of support for regional transit

planning (ideally per county) • Obtain information that will guide the development of a regional transit work plan • Outline proposed next steps, costs associated, and perceived participation levels • Lay the groundwork for a regional transit planning effort and continued discussion towards

defining key corridors/transit implementation steps Engagement Area As shown on the below map, the engagement area for this project will include Cabarrus, Gaston, Iredell, Lincoln, Mecklenburg, and Union counties and the urbanized areas of Lancaster and York counties in South Carolina. Urbanized areas are defined as those areas that are part of the Rock Hill-Fort Mill Transportation Study (RFATS) MPO.


March 9, 2017

Engagement Phases The Regional Transit Engagement Series is comprised of two main phases of engagement. The first phase of engagement will consist of county-level meetings in March and April 2017. The second phase of engagement will occur between June 2017 and November 2017 and will include a follow up round of county-level meetings, a public opinion survey, and a regional transit summit. A Phase 1 meeting schedule is detailed in the below table.

Phase I Meeting Schedule – 2017 County Date Time Location Lincoln March 13 10:00 am – 12:00 pm Lincolnton Gaston March 13 2:00 pm – 4:00 pm Gastonia Cabarrus March 22 10:00 am – 12:00 pm Concord Union April 19 10:00 am – 12:00 pm Monroe South Mecklenburg April 19 2:00 pm – 4:00 pm Matthews Iredell April 21 10:00 am – 12:00 pm Troutman North Mecklenburg April 21 2:00 pm – 4:00 pm Cornelius


March 9, 2017

FEDERAL TRANSIT GRANT STATUSFor the Period Ending December 31, 2016

2006 5307-3 CMAQ FY2006 CMAQ 03/30/07 NC-90-X403-00 $ 2,147,545 $ 1,628,213 $ 519,332 1st Quarter FY18 12/31/17

2012 5307-3 CMAQ FY2012 CMAQ Cornelius Park and Ride

10/9/2014 NC-95-X068-00 3,750,000 1,749,558 2,000,442 4th Quarter FY17 9/30/17

2014 5307-3 CMAQ FY2014 CMAQ Hybrid Bus Procurement

7/29/2014 NC-95-X080-01 4,256,000 - 4,256,000 3rd Quarter FY17 6/30/17

TOTAL $ 10,153,545 $ 3,377,771 $ 6,775,774

Section 5307 Formula2011 5307-2 Urbanized

FormulaFY2011 Formula 03/29/12 NC-90-X499-00 $ 17,161,094 $ 16,442,888 $ 718,206 3rd Quarter

FFY17 6/30/17 2013 5307-2 Urbanized

FormulaFY2013 Formula 7/2/2014 NC-90-X541-00 17,193,080 15,761,970 1,431,110 1st Quarter

FFY19 12/1/19 2014 5307-2 Urbanized

FormulaFY2014 Formula 4/30/2015 NC-90-X569-00 16,779,047 11,917,089 4,861,958 3rd Quarter FFY17 -

6/30/17 2015 5307-2 Urbanized

FormulaFY2015 Formula 12/5/2016 NC-2016-043-00 18,205,206 - 18,205,206 3rd Quarter FFY19

6/30/2019 TOTAL $ 69,338,427 $ 44,121,947 $ 25,216,480

2006 5309-2 Bus Discretionary

FY2007 Bus Discretion & Charlotte Gateway

9/9/2009 NC-04-0006-03 $ 11,326,917 $ 3,342,390 $ 7,984,527 3rd Quarter FY 2017 6/30/17

2009 5309-2 Bus Discretionary

FY2008/2009 Bus-Charlotte Gateway Station

3/1/2010 NC-04-0018-00 10,557,344 39,896 10,517,448 2nd Quarter FY 2021 3/30/21

TOTAL $ 21,884,261 $ 3,382,286 $ 18,501,975 Section 5310 Bus Discretionary

2013 5310 Enhanced Mobility

FY2013 Enhanced Mobility Program

09/21/15 NC-16-X015 $ 615,992 $ 105,334 $ 510,658 3rd Quarter FFY17 6/30/17

2014 5310 Enhanced Mobility

FFY14 Enhanced Mobility Program

09/20/16 NC-2016-033 778,869 5,643 773,226 1st Quarter FY19 - 12/31/18

TOTAL $ 1,394,861 $ 110,977 $ 1,283,884 Section 5309 New Starts

2008 5309-5 New Start FFGA-LYNX Blue Line Extension (BLE) NE

05/30/08 NC-03-0082-05 $ 403,112,660 $ 300,544,008 $ 102,568,652 3rd Quarter FY20 -6/15/20

2016 5309-5 New Start CityLYNX Gold Line Phase 2 05/23/16 NC-2016-001-00 74,999,999 5,414,297 69,585,702 4th Quarter FY21 12/31/2021

TOTAL $ 478,112,659 $ 305,958,305 $ 172,154,354 Section 5309-2 State of Good Repair

2010 5309-2 State of Good Repair

FY2010 Maintain and Restore System (MARS)

06/14/12 NC-04-0046-00 $ 1,549,600 $ 663,560 $ 886,040 4th Quarter FY17 9/30/17

TOTAL $ 1,549,600 $ 663,560 $ 886,040

FFY GRANT TYPE PROJECTEXEC DATE

Section 5307 CMAQ

Section 5309 Bus Discretionary

FEDERAL FY PROJECTED CLOSE-OUT

FTA GRANT NUMBER OBLIGATED REIMB REIMB REMAINING

3/2/2017 | 2:02 P150 of 158 FTA Quarterly Review Meeting


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X. Other Program Activities 1. Grant Review

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FEDERAL TRANSIT GRANT STATUSFor the Period Ending December 31, 2016

FFY GRANT TYPE PROJECTEXEC DATE

FEDERAL FY PROJECTED CLOSE-OUT

FTA GRANT NUMBER OBLIGATED REIMB REIMB REMAINING

Section 5309-5 Urban Circulator2010 5309-5 Urban

CirculatorCharlotte Streetcar Starter Project

9/21/2011 NC-03-0084-00 $ 24,990,000 $ 12,757,842 $ 12,232,158 2nd Quarter FY17 - 03/30/17

2012 5309-5 Urban Circulator

Streetcar Fleet Systems Upgrade 08/02/12 NC-03-0085-00 500,000 349,600 150,400 2nd Quarter FY17 - 03/30/17

TOTAL $ 25,490,000 $ 13,107,442 $ 12,382,558 Section 5316 Job Access and Reverse Commute (JARC)

2009 5316 JARC Program

FY09/10 JARC Program-JARC Initiative

09/05/14 NC-37-X016-05 $ 2,289,175 $ 2,086,172 $ 203,003 3rd Quarter FFY17 6/30/17

TOTAL $ 2,289,175 $ 2,086,172 $ 203,003 TIGER-USDOT

2012 79-TG-2 TIGER3-LYNX S. Corridor Capacity Expansion

09/21/12 NC-79-0002-00 $ 18,000,000 $ 13,361,113 $ 4,638,887 1st Quarter FY18 12/31/17

TOTAL $ 18,000,000 $ 13,361,113 $ 4,638,887 Section 5307 STP-DA

2016 5307 STP-DA Farebox Replacement Project 08/19/16 NC-2016-018 $ 2,800,000 $ 1,684,029 $ 1,115,971 3rd Quarter FFY17 - 6/30/17

TOTAL $ 2,800,000 $ 1,684,029 $ 1,115,971

2009 5307-3 CMAQ FY2009 CMAQ-TDM/Bus Procurement

04/30//12 NC-95-X042-02 $ 1,000,000 $ 982,347 $ 17,653 1st Quarter FFY17 2/16/17

$ 1,000,000 $ 982,347 $ 17,653 Scheduled For Close-Out

2010 5307-2 Urbanized Formula

FY2010 Formula 11/02/10 NC-90-X472-00 $ 15,892,453 $ 15,563,643 $ 328,810 2nd Quarter FFY17 3/31/2017

2012 5307-2 Urbanized Formula

FY2012 Formula 5/9/2013 NC-90-X531-00 16,521,120 16,521,120 - 2nd Quarter FFY 17 3/31/17

2011 5307-3 CMAQ FY2011 CMAQ Signal Priority / Bus Replacement

5/23/2012 NC-95-X052-00 1,261,250 1,220,378 40,872 2nd Quarter FFY17 3/31/2017

2014 5339-1 State of Good Repair

FY2014 - Bus and Bus Facilities 1/30/2015 NC-34-0004-00 3,362,803 3,185,003 177,800 2nd Quarter FY17 - 03/31/17

2012 5307-3 CMAQ FY2012 CMAQ Ops Assistance 7/31/2013 NC-95-X058-01 1,460,000 1,214,006 245,994 2nd Quarter FY17 3/31/17

TOTAL $ 38,497,626 $ 37,704,150 $ 793,476 TOTAL $ 670,510,154 $ 426,540,099 $ 243,970,055

GRANT Recently Closed

3/2/2017 | 2:02 PM2151 of 158 FTA Quarterly Review Meeting


CATS Status on Lapsing and Carryover FTA Funds

UZA: Charlotte, North CarolinaGrantee TrAMS ID: 1111Last Updated on 2/10/2017

CATS Application Priority Order

Section Formula Program Available Funds Lapsed DateTemporary FAIN (if

known)

Flex Funds? If yes, provide FTA draft

number

CAT's Current Apportionments

Anticipated Amount to Apply for

Lapsing or Critical Cash Flow? (Yes/No)

Anticipated Transmittal Timeline

Major Construction Invovled? (Yes/No)

CATS Comments

n/a FY 2014 ‐5339 Bus Form Alloc‐(BF) 1,693,680 9/30/2017 n/a n/a n/a n/a n/a n/a This FY2014‐5339 apportionment was awarded under Grant Application # NC‐34‐0004 for $1,693,680. The NC‐34‐0004 Grant included both FY13 & FY14 5339 apportionments combined as one grant application.

FY 2015‐ 5337 SGR ‐ Fixed Guideway 572,941 9/30/2018 572,941FY 2015 ‐ 5337 SGR ‐ Fixed Motorbus 323,945 9/30/2018 323,945FY 2016‐ 5337 SGR ‐ Fixed Guideway 2,024,229 9/30/2019 2,024,229FY 2016 ‐ 5337 SGR ‐ Fixed Motorbus 390,962 9/30/2019 390,962

FY 2016 ‐ 5307 Urbanized Formula 17,941,140 9/30/2021 17,941,140

FY 2014 ‐ 5307 Urbanized Formula 229,071 9/30/2019 229,071

FY 2015 ‐ 5339 Bus Form Alloc ‐ (BF) 1,854,736 9/30/2018 1,854,736

FY 2016 ‐ 5339 Bus Form Alloc ‐ (BF) 1,634,019 9/30/2019 1,634,019

FY 2016 ‐ 5307 FHWA CMAQ transfer 2,128,000 9/30/2021 Yes # NC‐95‐X101 2,128,000 Yes, Critical Cash Flow

FY 2014 ‐ 5307 FHWA CMAQ transfer 791,750 9/30/2019 Yes, Need Flex # 791,750 No

FY 2014 ‐ 5337 SGR ‐ Fixed Guideway 574,722 9/30/2017 574,722FY 2014 ‐ 5337 SGR ‐ Fixed Motorbus 343,238 9/30/2017 343,238FY 2015 ‐ 5310 Enh Mob Seniors/Disbl 777,489 9/30/2017 777,489FY 2016 ‐ 5310 Enh Mob Seniors/Disbl 829,233 9/30/2018 829,233

7 FY 2016 ‐ 5307 FHWA STP transfer 700,000 9/30/2021 TBD Yes, Need Flex # 700,000 No 4/30/2017 No CATS will apply for these funds by April 30, 2017.8 FY 2015 ‐ 5307 FHWA CMAQ transfer 2,420,000 9/30/2020 TBD Yes, Need Flex# and

Amendment to TA‐4704D STIP

2,420,000 No 4/30/2017 No CATS will apply for these funds by April 30, 2017.

9 FY 2017‐5307 Urbanized Formula 10,241,461 9/30/2022 TBD No 10,241,461 No 4/30/2017 No CATS will apply for these funds by April 30, 2017FY 2017‐5337 SGR ‐ Fixed Guideway 1,171,904 1,171,904FY 2017‐5337 SGR ‐ Fixed Motorbus 258,022 258,022

11 FY 2017‐5339 Bus Form Alloc ‐ (BF) 997,330 9/30/2020 TBD No 997,330 No 4/30/2017 No CATS will apply for these funds by April 30, 2017$47,897,872 $46,204,192

No CATS will apply for these funds by April 30, 201710 9/30/2020 TBD No No 4/30/2017

Available Balances per FTA 1/19/2017 Anticipated Application Activity

1 CATS has already applied for the combined FY15 and FY16 SOGR Grants under Grant Application# 1111‐2016‐4. Grant Application has been transmitted to FTA, undergoing reviews/revisions and is pending award.

1111‐2016‐4 No Yes, Critical Cash Flow

Transmitted

"Initial Review/Concurrence"

No

CATS has already applied for the combined FY15 and FY16 Bus Form Alloc under Grant Application # 1111‐2016‐5. Grant Application has been transmitted to FTA, undergoing reviews/revisions and is pending award.

3 1111‐2016‐5 No Yes, Critical Cash Flow

Transmitted

"In‐Progress"

No

1111‐2016‐10 Transmitted

"In‐Progress"

No CATS has already applied for this FY16‐5307 FHWA CMAQ transfer amount of $2,128,000 under Grant Application # 1111‐2016‐10. Grant Application has been transmitted to FTA, undergoing reviews/revisions and is pending award.

CATS will also apply for the FY14‐5307 FHWA CMAQ Transfer amount of $791,750 as part of the same grant application.

5 Yes, Lapsing 9/30/2017

3/30/2017 NoNoTBD

CATS will apply for these funds by March 30, 2017.

CATS has already applied for this FY16‐5307 Urbanized Formula Alloc under Grant Application # 1111‐2016‐8. Grant Application has been transmitted to FTA, underoing reviews/revisions and is pending award.

CATS will also apply for the FY14‐5307 Urbanized Formula amount of $229,071 as part of the same grant application.

2 1111‐2016‐8 No Yes, Critical Cash Flow

NoTransmitted

"In‐Progress"

6 TBD No Yes, Lapsing 9/30/2017

3/30/2017 No

CATS will apply for these funds by March 30, 2017.

4


March 9, 2017

Local Government Sales and Use Tax Cash Basis Report as of: 2/13/2017for Public Transportation Month Receiving: February 2017

Article 43 Month Reported: December 2016Retail Sales for: November 2016

FY2017Jul Aug Sep Oct Nov Dec Jan Feb Mar Apr May June Total

Charlotte 818,480 40.59% 3,234,824.41 3,165,359.56 3,565,748.67 2,728,020.81 3,296,908.40 3,294,857.31 2,841,145.82 3,366,273.33 0.00 0.00 0.00 0.00 25,493,138.30Cornelius 29,431 1.46% 114,915.12 112,447.43 126,671.00 96,911.24 118,550.62 117,047.75 100,929.93 119,584.76 0.00 0.00 0.00 0.00 907,057.85Davidson 12,353 0.61% 48,317.50 47,279.93 53,260.41 40,747.54 49,758.95 49,214.19 42,437.25 50,280.91 0.00 0.00 0.00 0.00 381,296.68Huntersville 55,602 2.76% 216,708.01 212,054.41 238,877.36 182,756.12 223,969.68 220,729.75 190,334.62 225,514.07 0.00 0.00 0.00 0.00 1,710,944.02Matthews 30,359 1.51% 120,834.01 118,239.22 133,195.40 101,902.81 122,288.68 123,076.49 106,128.50 125,744.17 0.00 0.00 0.00 0.00 951,409.29Mint Hill 26,112 1.29% 102,489.47 100,288.60 112,974.20 86,432.33 105,181.40 104,391.50 90,016.49 106,654.19 0.00 0.00 0.00 0.00 808,428.18Pineville 8,725 0.43% 34,329.58 33,592.39 37,841.52 28,951.13 35,145.06 34,966.68 30,151.67 35,724.59 0.00 0.00 0.00 0.00 270,702.61Mecklenburg County 1,035,605 51.35% 4,079,603.55 3,991,997.85 4,496,949.17 3,440,447.45 4,171,506.72 4,155,314.14 3,583,115.22 4,245,380.55 0.00 0.00 0.00 0.00 32,164,314.65

Total 2,016,667 100.00% 7,952,021.67 7,781,259.38 8,765,517.71 6,706,169.44 8,123,309.51 8,099,597.82 6,984,259.49 8,275,156.56 62,687,291.58

FY2017 Budget 85,203,9219.3% 18.5% 28.8% 36.6% 46.2% 55.7% 63.9% 73.6% 73.6%

31.3% 3.4% 12.9% -10.2% 16.5% 7.3% 12.9% 25.2%

FY2016 6,057,389.20 7,522,357.00 7,762,100.76 7,470,371.00 6,971,746.44 7,551,676.98 6,188,499.27 6,607,520.25 9,383,261.20 6,142,552.22 6,944,203.67 7,858,189.28 86,459,867.27FY2015 5,451,931.53 6,786,194.26 8,266,179.57 6,087,773.72 6,938,944.86 5,932,063.05 7,114,002.61 6,853,208.62 8,378,347.26 5,947,800.63 5,641,898.28 6,914,522.80 80,312,867.19

February 2017 receipts total $8,275,156.56;73.6% of FY17 Budget target for sales tax revenues achieved after 8 months of receipt.

Monthly Variance - Current Year vs Prior Year

Calendar Year 2016 Calendar Year 2017FY2017

% of Budget Achieved

Population % of Total


March 9, 2017

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2) Sales Tax Revenue

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XI. Open Discussion

XII. PMOC Activity

1. 90-Day Look Ahead Calendar


March 9, 2017

MARCH 2017

est = estimated date

SUNDAY MONDAY TUESDAY WEDNESDAY THURSDAY FRIDAY SATURDAY

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6 7 BLE Final February PMO Quarterly Report due to FTA (PMOP)

8 GL2 Final February PMO Quarterly Report due to FTA (IEI)

9 FTA/CATS Q1_2017 Meeting 10am_1pm CLT

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MAY 2017



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March 9, 2017

XIII. Review of New Action Items/Follow-up ______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

Next Meeting: June 2017, Atlanta (TBD)


March 9, 2017