December 8, 2016 AGENDA Charlotte Area Transit System (CATS) FTA Quarterly Review Meeting 10:00 am to 1:00 pm December 8, 2016

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

230 Peachtree NW, Suite 1400 Atlanta, GA 30303 FTA Main Conference Room

I. Welcome/Introductions

II. Major Accomplishments/ Issues 1. Ridership update 2. Grant Approval Schedule 3. Chapter issue resolved 4. CityLYNX Gold Line Phase 2 Bids 5. Letter for FTA Participation in BLE “Project Changes” 6. Envision My Ride kick-off

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

Item Action Item Responsibility Status

1 CATS to continue to investigate the CSX concerns about bus stop on Rozzelles Ferry Rd @ Hoskins Rd CATS Closed and adjacent to the CSX rail line and report results to FTA. 2 CATS to schedule a conference call with FTA to discuss CATS OPEN BLCE final costs and budget adjustments. 3 FTA will get back to CATS on the timeframe for approval of the FY15 Formula Grant as well as the six FTA Closed other Grants

4 CATS to add annual DBE Goal Tracking to the Monthly CATS and Quarterly reports. Closed

5 CATS to revise the EAC/ETC table to show the EAC less the savings in contingency and matching funds and to CATS Closed add an asterisk for footnotes clarifying explanations.

1 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 6 CATS to provide PMOC the cost for the replacement of CATS the incorrect frogs. 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 Alexia Forte b) Budget Summary Alexia Forte c) Expenditures expected for upcoming quarter Alexia Forte 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

2 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 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 Jill Brim

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 Andy Mock

VI. CityLYNX Gold Line Phase I (Streetcar Starter Project) 1. Project Administration Tonia Wimberly 2. DBE Arlanda Rouse 3. Project Budget Tonia Wimberly 4. Project Schedule Tonia Wimberly 5. Third Party Coordination Tonia Wimberly 6. Safety Certification Tonia Wimberly 7. Construction Status Tonia Wimberly

VII. CityLYNX Gold Line Phase 2 (Streetcar) 1. Project Overview David McDonald 2. Project Administration Alexia Forte 3. Project Finance Alexia Forte 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

3 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 10. Project Development David McDonald 11. Third Party Coordination David McDonald 12. Quality Assurance David McDonald 13. Community Relations David McDonald 14. Upcoming Activities David McDonald

VIII. Blue Line Capacity Expansion 2 (BLCE2) Core Capacity Project Jenna Nichols

IX. Economic Development and TOD Activity/Issues 1. Economic Development Tina Votaw 2. FTA/CATS Pending Actions on TOD Open Discussion

X. Other Corridor Status 1. Charlotte Gateway Station a) Status Tina Votaw/Brian Nadolny b) Funding / Budget Summary c) TIGER 7 Grant Tina Votaw/Brian Nadolny 2. Corridor System Plan Update a) LYNX Silver Line Jason Lawrence b) North Corridor/Red Line John Muth c) West Corridor/Center City John Muth d) Regional Transit Public Engagement John Muth

XI. Other Program Activities 1. Grant Review Susana Vang 2. Sales Tax Revenue Susana Vang

XII. Open Discussion All

XIII. PMOC Activity 1. 90-Day Look Ahead Calendar

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

Next Meeting: March 2017 Charlotte

4 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 II. Major Accomplishments/ Issues

1. Ridership update

Year-to-date ridership is down 6.1% system wide. Light rail ridership is up slightly, while overall bus ridership is down 7.7% for the year, with a slight increase in express ridership and decreases in other categories. Special Transportation Service for the disabled continues to track higher, and is up by 1.5% for the year.

2. Grant Approval Schedule

3. Chapter issue resolved

4. CityLYNX Gold Line Phase 2 Bids

5. Letter for FTA Participation in BLE “Project Changes”

6. Envision My Ride kick-off

5 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 Metropolitan Transit Commission Charlotte Area Transit System Ridership Report Oct-16

Mode / Service Percent YTD YTD Percent Avg Daily Ridership per Month Oct-16 Oct-15 Increase/Decrease FY 2017 FY 2016 Increase/Decrease WeekDay Saturday Sunday Local BOD Local 1,264,953 1,355,534 -6.7 % 4,878,387 5,314,363 -8.2 % 48,657 28,641 19,987 Subtotal 1,264,953 1,355,534 -6.7 % 4,878,387 5,314,363 -8.2 % 48,657 28,641 19,987 Local Express Arboretum Express 5,084 5,352 -5.0 % 20,607 21,994 -6.3 % 242 - - Carmel Road Express 1,435 1,816 -21.0 % 6,043 6,388 -5.4 % 68 - - Harrisburg Road Express 4,127 4,752 -13.2 % 15,819 16,956 -6.7 % 197 - - Huntersville Express 7,904 9,600 -17.7 % 33,294 37,476 -11.2 % 376 - - Idlewild Road Express 3,272 3,194 2.4 % 11,677 11,889 -1.8 % 156 - - Independence Blvd Express 5,173 5,297 -2.3 % 19,694 21,281 -7.5 % 246 - - Lawyers Road Express 4,056 3,688 10.0 % 15,508 15,581 -0.5 % 193 - - Matthews Express 4,183 4,892 -14.5 % 17,756 19,305 -8.0 % 199 - - Mountain Island Express 1,526 1,700 -10.2 % 6,095 6,650 -8.3 % 73 - - Northlake Express 6,018 4,015 49.9 % 21,327 13,944 52.9 % 287 - - North Mecklenburg Express 16,194 15,444 4.9 % 60,234 58,930 2.2 % 771 - - Rea Road Express 3,012 2,943 2.3 % 11,949 12,442 -4.0 % 143 - - Steele Creek Express 2,333 2,511 -7.1 % 10,145 10,188 -0.4 % 111 - - University Research Park Express 11,768 12,096 -2.7 % 49,232 48,855 0.8 % 560 - - Airport Connector - Northlake 6,331 5,052 25.3 % 25,289 20,301 24.6 % 224 173 153 Airport Connector - Archdale 5,113 5,138 -0.5 % 20,177 19,716 2.3 % 168 151 166 Subtotal 87,529 87,490 0.0 % 344,846 341,896 0.9 % 4,014 324 319 Regional Express Concord Express 2,541 4,167 -39.0 % 9,521 14,443 -34.1 % 121 - - Gastonia Express 3,293 3,657 -10.0 % 13,032 14,166 -8.0 % 157 - - Rock Hill Express 2,817 3,276 -14.0 % 11,970 12,900 -7.2 % 134 - - Union County Express 2,694 2,819 -4.4 % 10,253 11,786 -13.0 % 128 - - Subtotal 11,345 13,919 -18.5 % 44,776 53,295 -16.0 % 540 - Community Circulator Neighborhood Shuttles 114,807 117,493 -2.3 % 392,381 392,223 0.0 % 5,489 1,304 723 North Meck Village Rider 8,848 9,007 -1.8 % 36,827 37,050 -0.6 % 327 215 182 Beatties Ford Neighborhood Shuttle 18,441 17,254 6.9 % 62,556 65,310 -4.2 % 788 306 72 Eastland Neighborhood Shuttle 19,841 23,362 -15.1 % 82,069 95,763 -14.3 % 725 491 429 Pineville-Matthews Road 4,442 6,057 -26.7 % 19,505 19,587 -0.4 % 186 106 - Subtotal 166,379 173,173 -3.9 % 593,338 609,933 -2.7 % 7,515 2,422 1,406 Activity Center Circulators Gold Rush 22,041 29,282 -24.7 % 85,647 125,285 -31.6 % 1,049 - - Subtotal 22,041 29,282 -24.7 % 85,647 125,285 -31.6 % 1,049 -

6 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 Metropolitan Transit Commission Charlotte Area Transit System Ridership Report Oct-16 Mode / Service Percent YTD YTD Percent Avg Daily Ridership per Month Oct-16 Oct-15 Increase/Decrease FY 2017 FY 2016 Increase/Decrease WeekDay Saturday Sunday Human Services Transportation Special Transportation Services 26,253 25,935 1.2 % 98,991 97,503 1.5 % 1,090 356 317 DSS 496 758 -34.6 % 2,191 3,066 -28.5 % 27 - - Subtotal 26,749 26,693 0.2 % 101,182 100,569 0.6 % 1,117 356 317 Rideshare Services Vanpool 13,104 16,472 -20.4 % 55,332 70,356 -21.4 % 624 - - Subtotal 13,104 16,472 -20.4 % 55,332 70,356 -21.4 % 624 - Rail LYNX Blue Line 414,223 415,740 -0.4 % 1,671,040 1,659,570 0.7 % 15,914 8,829 7,177 CityLynx Gold Line 36,205 43,003 -15.8 % 145,992 160,466 -9.0 % 1,511 580 315 Subtotal 450,428 458,743 -1.8 % 1,817,032 1,820,036 -0.2 % 17,425 9,409 7,492

Total 2,042,528 2,161,306 -5.5 % 7,920,540 8,435,733 -6.1 % 80,941 41,152 29,521

7 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 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.

On 11/4/16, CATS submitted a letter requesting FTA participation in the BLE “Project Changes,” based on discussion during FTA’s visit to Charlotte in October 2016.

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 9/30/16, FTA notified CATS that the BLE project will transition from monthly PMOC oversight to quarterly PMOC oversight, in accordance with changes in the PMOC program as amended in the FAST Act.

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 No changes.

c) Civil Rights/ DBE Civil Rights staff is monitoring 26 contracts on the BLE project. CATS Payments to Prime Prime Contractor Payment DBE DBE DBE Contract Contractors to Subcontractors Goal % Commi Actual Number Prime Contracts Contract Type Contract Value Period Cumulative Period Cumulative tment %

ROW THC, Inc Real Estate 12-00212 $3,500,000 $ $2,548,214 $ $212,457 3.00% 3.00% 8.34% Acquisition

Vehicles LTK Engineering Vehicle 12-00281 $2,974,664 $66,875 $2,533,687 $28,612 $536,647 11.70% 11.80% 21.18% Engineering Professional Services

AECOM Ridership Modeling 11-00011 $500,000 $ $367,694 $ $ 10.00% 10.00% 0.00% Terracon Environmental 11-00971 $375,000 $ $225,814 $ $ 5.00% 5.00% 1.16% Services Hart & Hickman Environmental $ 11-01074 Services $690,000 $614,329 $ $67,141 5.00% 5.00% 10.93% Klauk Law Firm Real Estate Legal 12-00329 361,000 $ $291,930 $ $291,930 0% 0% 100.0% Services 13-00021 STV Final Design $42,319,128 $ $38,335,191 $ $5,599,351 15.80% 15.80% 14.60% HNTB BLE Construction 13-00383 $38,209,685 $2,631,789 $37,614,439 $ $4,780,895 9.00% 9.00% 12.70% Management RSG, Inc Origin - Destination 13-00697 Study $ 399,832 $ $371,326 $ $309,204 7.2% 84.30% 83.3% Kleinfelder Testing & Special 13-1148 $8,898,982 $ $8,770,509 $20,051 $2,221,204 11.75% 22.50% 25.32% Southeast Inspections Armand Resource Compliance 20160678 $800,000 $383,337 25.00% 100% 100% Grp Monitoring Construction

8 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 NCM Demolition Demolition 13-01029 $218,379 $207,980 $7,756 13.75% 13.75% 3.73% Blythe Adv Utility Relo - 13-01110 Development C $10,137,600 $ $9,204,092 $ $669,429 3.00% 3.00% 7.27% Sealand Adv Utility Relo - 13-01276 $1,717,748 $ $1,600,135 $0 $41,123 7.25% 3.00% 2.57% Contractors A Blythe Adv. Utility Relo- 14-00422 Development B $4,949,780 $ $4,171,201 $ $439,962 9.42% 9.42% 10.55% Corp Balfour Civil Segment A 14-00719 $107,967,958 $ $52,298,928 $ $14,191,550 17.50% 17.53% 27.14% Beatty/Blythe Dev The Lane Civil Segment 14-00983 $119,051,742 $ $116,052,997 $28,490,227 20.00% 20.10% 24.55% Construction Corp B/C Balfour Beatty BLE Track & 14-00992 $130,805,444 $ $48,762,737 $ $11,948,974 9.20% 9.90% 25.50% Infrastructure Systems/BLCE Partners Comm BLE Fiber 14--01022 $232,392 $228,046 $18,666 3.10% 8.96% 8.19% Ser Relocation New Atlantic University City 15-00567 $32,098,000 $ $26,163,431 $ $165,708 12.00% 0.56% 0.63% Contracting Parking Deck China JW Clay Parking 15-00602 $24,758,872 $ $18,033,549 $, $1,115,730 12.50% 7.45% 6.19% Construction Deck Blythe Raleigh/Gboro 15-001615 $4,235,500 $ $4,345,860 $ $1,044,750 13.40% 13.47% 24.0% Development Drainage 15-1320 Edison Foard Station Finishes $20,177,750 $ $8,126,697 $0 $828,830 7.50% 7.53% 10.20% Blythe Old Concord P&R 13.74% 16-00381 Development 4,927,900 $0 $2,188,570 $ $429,306 11.80% 11.98% Messer Sugar Creek 2.81% 16-00532 Construction Parking Garage 23,346,850 $0 $10,792,603 $0 $303,338 7.25% 7.34% New Atlantic North Yard 16-00582 Contracting 11,305,400 $0 $1,201,576 $0 $56,392 7.50% 7.50% 4.69% Annual DBE Goal: 9.0% YTD DBE Attainment: 9.6% BLE DBE Overall: 11.7%

Note: Contract values include contingency and betterments

d) Project Controls The Project Controls Committee continues to meet weekly to review open action items, change management, contingency levels, the program schedule and the e-Builder project control system. Ongoing e- Builder training continues for the end user. The Landscape Contract control processes are completed and e- Builder training continues. 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 09/30/2016, 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 09/30/2016, $250,018,665 has been reimbursed against NC-03-0082 (00-05). As of 09/30/2016, a cumulative total amount of $252,713,665 of federal contribution has been reimbursed.

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. 9 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 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 $156,395,587. As of 09/30/2016, a cumulative total amount of $157, 743,087 of state contributions has been appropriated.

Grant 09-NS-004 is fully reimbursed at $1,347,500 and closed. As of 09/30/2016, $101,962,047 has been reimbursed against 09-NS-0082/13-BL-001. As of 09/30/2016, a cumulative total amount of $ 103,962,547 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 09/30/2016, a cumulative total of $111,638,591 of the TIFIA Loan has been disbursed. To date, CATS/City of Charlotte has contributed $546,372,168, which is greater than the total FFGA/SFFGA match, in order to advance construction. See attached Sources of Capital Funding table.

10 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 SOURCES OF CAPITAL FUNDING As of September 30, 2016

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

Section 5309 New Starts Federal Funds Preliminary Engineering Grant NC-39-0001-00 2,695,000 2,695,000 100.00% - 2,695,000 FFGA Grant NC-03-0082 (00-06) 403,112,660 283,158,414 70.24% 119,954,246 250,018,665 Appropriated New Starts Federal Funds 405,807,660 285,853,414 70.44% 119,954,246 252,713,665 FFGA Grant Balance 174,234,588 0.00% 174,234,588 - Subtotal - New Starts Federal Funds 49.95% 580,042,248 285,853,414 49.28% 294,188,834 252,713,665 State Funds Preliminary Engineering Grant 09-NS-004 1,347,500 1,347,500 100.00% - 1,347,500 SFFGA Grant 09-NS-0082 / 13-BL-001 156,395,587 112,868,736 72.17% 43,526,851 101,962,047 Appropriated New Start State Funds 157,743,087 114,216,236 72.41% 43,526,851 103,309,547 SFFGA Grant Balance 141,327,913 0.00% 141,327,913 - Subtotal - State Funds 25.75% 299,071,000 114,216,236 38.19% 184,854,764 103,309,547 Local Funds Sales Tax and City Funds 63,245,298 55,496,232 87.75% 7,749,066 N/A TIFIA 2015-1007A 180,000,000 111,638,591 62.02% 68,361,409 111,638,591 Transit Debt 304,326,870 174,276,822 57.27% 130,050,048 N/A Appropriated Local Funds 547,572,168 341,411,645 62.35% 206,160,523 N/A Sales Tax Balance 38,925,950 0.00% 38,925,950 N/A Transit Debt Reimbursement (304,326,870) 0.00% (304,326,870) N/A Subtotal - Local Funds 24.30% 282,171,248 341,411,645 120.99% (59,240,397)

TOTAL APPROPRIATED FUNDS 1,111,122,915 TOTAL FFGA PROJECT BUDGET 100.00% 1,161,284,496 741,481,295 63.85% 419,803,201 -

*Expended to date reported on accrual basis LEGEND Sources 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 funds Funding Share: Distribution percentage of total FFGA Project Budget Amount: Total Dollar Amount Expended to Date: Actual expenditures as of the report date Percent Fund Source Expended to Date: Expended to Date / Amount Remaining Balance: Funds available (Amount - Expended to Date) Reimbursement to Date: Drawdown amount of grants reimbursed to the grantee

11 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 b) Budget Summary The current funds appropriated for the BLE total $1,111,122,915. In the month of September, the project paid $25,006,526 in expenses. Total accrued expenditures to date are $741,481,295.

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)

12 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 BUDGET SUMMARY as of September 30, 2016 C- (G + H) A B C D E F G H I PREVIOUSLY TOTAL TOTAL FFGA GRANT CURRENT APPROPRIATED SPENT CURRENT MONTH EXPENSES PAID COST UNRESTRICTED PROJECT BUDGET BUDGET FUNDS TO DATE EXPENSES PAID TO DATE* (ACCRUAL) ENCUMBRANCE BALANCE

10 Guideway & Track Elements 1002 10.02 Guideway: At-Grade Semi-Exclusive 13,512,557 14,587,240 14,067,615 13,289,958 15,597 13,305,555 13,416,732 57,320 593,563 1004 10.04 Guideway: Aerial Structure 46,396,594 34,852,012 36,808,022 31,634,057 446,768 32,080,825 32,160,202 3,203,151 1,444,669 1005 10.05 Guideway: Built-Up Fill 13,121,752 3,129,655 3,354,910 2,905,392 23,287 2,928,679 2,988,372 251,936 114,602 1006 10.06 Guideway: Underground Cut and Cover 8,237,165 ------1008 10.08 Guideway: Retained Cut or Fill 39,562,072 28,810,645 31,662,592 28,778,655 1,416,295 30,194,949 30,333,402 (12,521) 1,341,711 1010 10.10 Track: Embedded 3,446,013 2,929,814 2,929,814 1,294,713 354,304 1,649,017 2,245,979 597,044 86,791 1011 10.11 Track Ballasted 27,531,019 26,955,782 26,932,357 15,458,673 1,603,310 17,061,982 21,294,309 4,740,049 897,999 1012 10.12 Track: Special (Switches, Turnouts) 5,228,172 3,194,140 3,194,140 2,165,882 334,226 2,500,107 3,286,090 (223,535) 131,585 1013 10.13 Track: Vibration and Noise Dampening 1,222,512 ------1090 10.90 SCC 10 Contingency - 2,298,164 4,444,469 - - - - - 4,444,469 Subtotal 158,257,856 116,757,451 123,393,918 95,527,329 4,193,785 99,721,114 105,725,085 8,613,444 9,055,389 20 Stations, Stops, Terminals, Intermodal 2001 20.01 At-Grade Station, Stop, Shelter Mall, Terminal, Platform 26,101,514 23,940,798 22,949,471 12,084,489 602,787 12,687,276 13,901,132 8,360,509 687,830 2006 20.06 Automobile Parking and Multi-Story Structure 52,667,917 70,325,090 78,184,885 53,725,941 3,446,208 57,172,149 59,560,516 11,217,649 7,406,720 2090 20.90 SCC 20 Contingency - 6,492,264 16,327,121 - - - - - 16,327,121 Subtotal 78,769,430 100,758,151 117,461,477 65,810,430 4,048,994 69,859,425 73,461,648 19,578,158 24,421,671 30 Support Facilities: Yards, Shops, Admin. Bldgs 3001 30.01 Administration Building: Office, Sales, Storage 2,902,707 3,809,816 3,809,816 150,130 385,715 535,845 1,301,757 2,307,071 200,988 3003 30.03 Heavy Maintenance Facility 6,779,160 5,879,839 5,676,414 1,258,914 - 1,258,914 1,313,153 2,472,099 1,891,162 3005 30.05 Yard and Yard Work 5,751,601 6,962,283 7,451,659 4,897,432 73,038 4,970,471 5,259,236 1,786,368 406,055 3090 30.90 SCC 30 Contingency - 1,562,516 926,540 - - - - - 926,540 Subtotal 15,433,468 18,214,455 17,864,429 6,306,476 458,753 6,765,229 7,874,146 6,565,538 3,424,745 40 Sitework & Special Conditions 4001 40.01 Demolition, Clearing, Earthwork 11,532,031 13,595,025 14,095,129 12,176,886 82,072 12,258,958 12,264,827 2,134,176 (303,874) 4002 40.02 Site Utilities, Utilities Relocation 32,870,198 89,570,217 83,986,443 71,381,536 1,382,933 72,764,468 73,508,548 7,155,730 3,322,165 4003 40.03 Haz. Material, Contaminated Soil Removal 4,667,239 4,743,898 5,869,912 3,641,695 - 3,641,695 3,641,695 1,393,772 834,445 4004 40.04 Environmental Mitigation 1,754,418 1,751,549 1,609,678 1,609,677 - 1,609,677 1,609,677 - 1 4005 40.05 Site Structures Including Retaining Walls, Sound Walls 33,504,553 14,891,607 16,223,101 14,179,097 620,112 14,799,209 14,918,969 564,742 739,390 4006 40.06 Pedestrian/Bike Access/Accommodation, Landscaping 11,890,670 5,851,075 3,213,646 1,986,694 67,981 2,054,675 2,166,675 1,154,417 (107,446) 4007 40.07 Auto., Bus, Van Accessways Inc. Rds, Parking Lots 80,184,241 71,993,067 66,635,944 41,051,045 2,239,234 43,290,279 45,026,272 14,614,069 6,995,603 4008 40.08 Temporary Facilities & Other Indirect Costs 16,065,665 24,737,744 24,691,320 13,170,908 215,341 13,386,249 13,621,378 2,747,133 8,322,809 4090 40.90 SCC 40 Contingency - 8,385,122 65,491,089 42,645 - 42,645 129,839 (87,194) 65,448,444 Subtotal 192,469,015 235,519,305 281,816,262 159,240,181 4,607,673 163,847,854 166,887,880 29,676,845 85,251,537 50 Systems 5001 50.01 Train Control and Signals 24,789,894 21,852,889 21,852,889 9,795,158 1,482,339 11,277,497 12,212,346 9,046,990 593,553 5002 50.02 Traffic Signals and Crossing Protection 18,915,613 4,766,913 3,259,209 1,598,969 6,930 1,605,899 1,666,984 1,507,704 84,521 5003 50.03 Traction Power Supply: Substations 15,460,098 12,766,610 12,766,610 4,559,528 449,958 5,009,486 6,893,641 5,609,312 263,657 5004 50.04 Traction Power Distribution: Catenary and Third Rail 14,798,351 11,466,703 11,456,542 5,597,377 222,641 5,820,018 6,503,697 4,646,528 306,317 5005 50.05 Communications 38,385,652 27,996,503 27,858,163 5,234,908 285,594 5,520,502 8,037,733 19,529,877 290,553 5006 50.06 Fare Collection System and Equipment 4,873,559 3,082,670 4,361,296 134,334 - 134,334 403,011 2,679,660 1,278,625 5007 50.07 Central Control 697,758 1,106,420 1,106,422 151,760 35,462 187,222 688,522 (33,442) 451,342 5090 50.90 SCC 50 Contingency - 3,903,500 30,707,292 - - - - - 30,707,292 Subtotal 117,920,925 86,942,207 113,368,422 27,072,033 2,482,925 29,554,958 36,405,934 42,986,629 33,975,859 60 ROW, Land, Existing Improvements 6001 60.01 - Purchase or lease of real estate 116,085,937 88,619,249 85,666,960 83,730,293 7,058 83,737,351 83,768,625 1,878,200 20,135 6002 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 6090 60.90 - Allocated Contingency - 24,174,673 ------Subtotal 121,423,366 117,063,866 89,991,272 85,979,385 7,058 85,986,443 86,017,717 1,878,200 2,095,355 70 Vehicles 7001 70.01 Light Rail 86,903,057 88,810,071 102,834,492 80,297,752 3,063,745 83,361,497 83,426,468 492,433 18,915,591 7006 70.06 Non-Revenue Vehicles 385,000 350,000 350,000 176,241 - 176,241 176,241 67,206 106,553 7007 70.07 Spare Parts 8,115,243 9,637,493 9,560,000 2,534,998 507,449 3,042,447 3,042,447 4,757,843 1,759,710 7090 70.90 SCC 70 Contingency - 636,094 ------Subtotal 95,403,299 99,433,658 112,744,492 83,008,991 3,571,194 86,580,185 86,645,156 5,317,482 20,781,854 80 Professional Services 8001 80.01 - Preliminary Engineering 41,921,969 41,721,969 39,222,420 39,101,009 - 39,101,009 39,101,009 117,080 4,331 8002 80.02 - Final Design 31,852,348 31,701,638 35,372,659 29,807,571 (300,400) 29,507,171 29,532,643 1,435,861 4,404,155 8003 80.03 - Project Management for Design and Construction 38,810,978 36,030,162 30,986,781 26,413,577 44,422 26,457,999 27,481,729 595,885 2,909,167 8004 80.04 - Construction Administration & Management 51,292,312 73,325,950 81,819,249 47,092,639 2,702,305 49,794,944 50,246,891 18,968,199 12,604,159 8006 80.06 - Legal; Permits; Review Fees by other agencies, cities, etc. 5,051,502 3,792,275 3,015,526 2,095,486 28,586 2,124,072 2,137,901 362,790 514,835 8007 80.07 - Surveys, Testing, Investigation, Inspection 13,579,540 16,846,574 14,124,381 10,011,068 19,772 10,030,840 10,348,794 917,299 2,858,288 8008 80.08 Start-Up 240,696 5,218,814 ------8090 80.90 SCC 80 Contingency - 800,230 2,244,230 - - - - - 2,244,230 Subtotal 182,749,345 209,437,612 206,785,244 154,521,349 2,494,686 157,016,035 158,848,967 22,397,114 25,539,163 90 Unallocated Contingency 9000 90.00 - Unallocated Contingency 120,191,883 58,491,883 ------Subtotal 120,191,883 58,491,883 ------100 Finance Charges 1000 100.0 - Finance Charges 77,465,907 77,465,907 27,697,399 12,369,759 - 12,369,759 13,293,309 - 14,404,090 Subtotal 77,465,907 77,465,907 27,697,399 12,369,759 - 12,369,759 13,293,309 - 14,404,090

FFGA TOTAL 1,160,084,496 1,120,084,496 1,091,122,915 689,835,932 21,865,068 711,701,001 735,159,842 137,013,408 218,949,665

PROJECT CHANGES 2006B 2006B - Automobile parking multi-story structure (Non-Federal) - 7,550,041 7,550,041 821,409 1,777,000 2,598,409 2,598,409 1,998,359 2,953,273 2009B 20.09B JW CLAY PED Bridge Ext Contingency (Non-Federal) ------2090B 2090B - SCC 20 Allocated Contingency (Non-Federal) - 672,180 522,180 - - - - - 522,180 3001B 3001B - Administration Building: Office, sales, storage, revenue counting (Non-Federal) - 7,022,117 6,673,235 1,056,925 639,669 1,696,594 2,947,710 3,636,231 89,294 3005B 3005B - Yard and Yard Track (Non-Federal) - 22,717 22,717 - - - - - 22,717 3090B 3090B - SCC 30 Allocated Contingency (Non-Federal) - 1,126,611 500,493 - - - - - 500,493 6001B 6001B - Purchase or lease of real estate (Non-Federal) - 71,000 947,874 - - - - - 947,874 8002B 8002B - Final Design (Non-Federal) - 885,200 885,200 - 314,795 314,795 314,795 980,099 (409,694) 8004B 8004B - Construction Administration & Management (Non-Federal) - 992,040 992,040 34,878 409,993 444,871 460,539 850,577 (319,076) 9000B 9000B - Unallocated Contingency (Non-Federal) - 1,658,094 1,906,221 - - - - - 1,906,221 Subtotal - Project Changes (Non-Federal) - 20,000,000 20,000,000 1,913,212 3,141,457 5,054,669 6,321,453 7,465,266 6,213,281 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 1,913,212 3,141,457 5,054,669 6,321,453 7,465,266 6,213,281

GRAND TOTAL 1,160,084,496 1,160,084,496 1,111,122,915 691,749,144 25,006,526 716,755,670 741,481,295 144,478,674 225,162,946 *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.

13 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 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.

CASH FLOW FORECAST as of October 31, 2016 (note: period not closed as of report date)

(C + D + E) A B C D E F TOTAL thru October 2016 Nov 2016 Dec 2016 Jan 2017 3 Month September 2016 Standard Cost Category Actuals Forecast Forecast Forecast Total Forecast 10 - Guideway and Track Elements $ 99,721,114 $ 6,315,888 $ 2,685,453 $ 1,316,667 $ 993,561 $ 4,995,680 20 - Stations, Stops, Terminals, Intermodal $ 72,457,834 $ 5,306,638 $ 5,746,486 $ 5,325,110 $ 4,780,766 $ 15,852,361 30 - Support Facilities: Yards, Shops, Admin. Bldgs. $ 8,461,823 $ 381,059 $ 1,176,615 $ 1,872,023 $ 1,904,828 $ 4,953,466 40 - Site Work and Special Construction $ 163,847,854 $ 1,967,059 $ 11,937,313 $ 10,192,920 $ 11,340,965 $ 33,471,198 50 - Systems $ 29,554,958 $ 6,762,698 $ 7,416,793 $ 7,140,886 $ 7,800,225 $ 22,357,904 60 - ROW, Land, Existing Improvements $ 85,986,443 $ 127,468 $ 35,000 $ 1,200,000 $ - $ 1,235,000 70 - Vehicles $ 86,580,185 $ 68,002 $ 269,925 $ 1,470,310 $ 269,925 $ 2,010,161 80 - Professional Services $ 157,775,701 $ 777,669 $ 3,500,000 $ 3,500,000 $ 3,500,000 $ 10,500,000 90 - Unallocated Contingency $ - $ - $ - $ - $ - $ - 100 - Finance Charges $ 12,369,759 $ - $ - $ 1,847,100 $ - $ 1,847,100 Monthly Total $ 21,706,480 $ 32,767,585 $ 33,865,015 $ 30,590,270 $ 97,222,870

Running Total (Projected Expenditures to Date) $ 716,755,670 $ 738,462,151 $ 771,229,737 $ 805,094,751 $ 835,685,021 $ 835,685,021

LEGEND Column 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.

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. COST SUMMARY (as of September 30, 2016)

EXPENDITURE TO ESTIMATE TO ESTIMATE AT SCC DESCRIPTION FFGA AMOUNT DATE1 COMPLETE COMPLETION2

10 GUIDEWAY & TRACK ELEMENTS (9.33 miles) $ 158,257,856 $ 105,725,085 $ 31,903,404 $ 137,628,489 20 STATIONS, STOPS, TERMINALS, INTERMODAL (11) $ 78,769,430 $ 73,461,648 $ 29,328,156 $ 102,789,804 30 SUPPORT FACILITIES: YARDS, SHOPS, ADMIN. BLDGS $ 15,433,468 $ 7,874,146 $ 12,661,585 $ 20,535,731 40 SITEWORK & SPECIAL CONDITIONS $ 192,469,015 $ 166,887,880 $ 88,903,956 $ 255,791,836 50 SYSTEMS $ 117,920,925 $ 36,405,934 $ 53,408,604 $ 89,814,538 60 ROW, LAND, EXISTING IMPROVEMENTS $ 121,423,366 $ 86,017,717 $ 8,071,476 $ 94,089,193 70 VEHICLES (22) $ 95,403,299 $ 86,645,156 $ 12,152,408 $ 98,797,564 80 PROFESSIONAL SERVICES $ 182,749,345 $ 158,848,967 $ 52,027,216 $ 210,876,183 90 UNALLOCATED CONTINGENCY $ 120,191,883 100 FINANCE CHARGES $ 77,465,907 $ 13,293,309 $ 34,554,598 $ 47,847,907 NF PROJECT CHANGES (NON-FEDERAL)3 $ - $ 6,321,453 $ 13,678,547 $ 20,000,000 10 - 100 TOTAL $ 1,160,084,496 $ 741,481,295 $ 336,689,949 $ 1,078,171,244 POTENTIAL UNEXPENDED FUNDS $ 61,913,252 POTENTIAL SAVINGS OF FEDERAL/STATE FUNDS (MATCH TO PROJ. CHANGES) $ 20,000,000

1: Expenditure to Date includes accrued expenditures as of September 30, 2016. 2: Estimate at Completion includes Current Expenditures, Encumbrances (excluding Contingency), and Forecasted Changes (Approved, Pending and Potential); and Estimated Claims as of 10/28/16. 3: EAC for Finance Charges based on Second Annual TIFIA Financial Plan (Sept 30, 2016).

14 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 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 Contract Item Contract Execution Date Amount MOU Status Completed Agreements 1 CDOT Fiber Optic Cable (72 strand fiber to Orr Road only) Systems May-14$ 642,000 Signed 11/29/12 City BSS-IT Fiber Optic Cable (incremental cost for upgrade 12 strand 2 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 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 4 pipe (new) Civil - A/B Feb-14$ 547,664 Signed 7/30/13 City/UNCC - Utility and Telecommunication Relocation Partnership 5 Agreement (URPA) Civil - B/C May-14$ 2,999,999 Signed 6/13/13 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 6 (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 All 5 agreements have 8 Private Utilities - Joint Duct Bank - Segment A Utilities - A Aug-13$ 399,722 been executed All 6 agreements have 9 Private Utilities - Joint Duct Bank - Segment B Utilities - B Dec-13$ 650,957 been executed All 5 agreements have 10 Private Utilities - Joint Duct Bank - Segment C Utilities - C Jun-13$ 876,006 been executed No agreement required; NBS dept completed 11 First Ward Drainage Civil - A Feb-14 $ 7,512 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 All 5 agreements have 15 Private Utilities - Joint Duct Bank Extension Civil - B/C May-14$ 122,757 been executed TOTAL $ 8,707,538 BLE Project Changes – State FFGA and Local Funding Only (Non Federal) State FFGA Amendment for Non-Federal Project Changes - North Yard S&I Building, Sugar Creek Pedestrian Bridge, JWC Pedestrian Bridge 16 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 3/11/16 18 Carolinas Healthcare System - JW Clay Pedestrian Bridge Extension JWC Garage CO Apr-16$ 600,000 Signed 4/8/16 TOTAL $ 21,200,000

15 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 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.

The following budget changes were approved by the CCB in the last quarter:  STV Contract Amendment ($1,900,000)  Norfolk Southern Reimbursement ($2,000,000)  LRV on-vehicle validators for passes ($1,300,000). Validators will also be used at the parking garages with access control.  CSX Contract Amendment ($176,801)  Station Finishes Contract Amendment ($380,000)

Current estimated total contingency is $125.1 million. Contingency use and remaining contingency are shown in the tables on the following page.

16 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 PROJECT CONTINGENCY SUMMARY BY SCC CATEGORY As of 11/1/16 A B C D E G = A+C+D+E H = B-C-D-E Approved Pending YOE Cost w/o YOE Cost w/o Budget Budget Real Estate Cost YOE Cost w/o SCC Description Contingency Contingency Contingency Contingency Changes3 Changes3 Changes4 Contingency Estimated not included in not included in not included in Current Cost Current Cost Current cost Current cost Current cost Revised Cost Remaining FFGA1 FFGA1 Estimate2 Estimate2 estimate estimate estimate Estimate Contingency

10 GUIDEWAY & TRACK ELEMENTS (9.33 miles) $ 144,737,018 $ 13,520,838 $ 114,530,942 $ 2,226,510 $ - $ 114,530,942 $ 2,226,510 20 STATIONS, STOPS, TERMINALS, INTERMODAL (11) $ 69,526,837 $ 9,242,593 $ 94,530,418 $ 6,227,734 $ 1,823,000 $ 96,353,418 $ 4,404,734 30 SUPPORT FACILITIES: YARDS, SHOPS, ADMIN. BLDGS $ 13,647,743 $ 1,785,725 $ 19,129,367 $ 1,806,388 $ 19,129,367 $ 1,806,388 40 SITEWORK & SPECIAL CONDITIONS $ 168,640,009 $ 23,829,006 $ 227,480,444 $ 4,055,561 $ 2,000,000 $ 229,480,444 $ 2,055,561 50 SYSTEMS $ 106,804,052 $ 11,116,872 $ 83,592,414 $ 3,349,794 $ 1,500,000 $ 85,092,414 $ 1,849,794 60 ROW, LAND, EXISTING IMPROVEMENTS $ 97,138,693 $ 24,284,673 $ 92,889,193 $ 24,174,673 $ 1,295,512 $ 92,889,193 $ 24,174,673 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 $ 210,699,382 $ 230 $ 176,801 $ 210,876,183 $ (176,571) 90 UNALLOCATED CONTINGENCY $ 120,191,883 $ - $ 78,491,883 $ (20,000,000) $ 58,491,883 100 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 $ 20,000,000 POTENTIAL SAVINGS OF FEDERAL/STATE FUNDS (MATCH TO PROJ. CHANGES)6 $ 20,000,000 $ 20,000,000 10 - 100 TOTAL $ 935,737,340 $ 224,347,156 $ 1,009,497,630 $ 150,586,866 $ 5,499,801 -$ $ 1,295,512 $ 1,034,997,431 $ 125,087,065 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 11-01-16; incorporates Current Cost Estimate -12/24/14 for SCC 10-50, Actual Bids, and Change Orders; plus est Finance Contingency from TIFIA Second Annual Financial Plan 3: Approved and Pending Cost Changes not included in estimate; See Cost Changes Tracking Summary 10/27/16 4: Real Estate Cost Changes per SJM Real Estate Spreadsheet, 10-26-16 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

COST CONTINGENCY DRAWDOWN (000s) AS OF 11/1/16 FTA Minimum Cost Contingency Current Contingency Use

FTA Buffer Contingency Remaining Phase % Phase Total Remaining Project Milestone Target (Start) Date BL95 Phase Start Phase End Phase Contingency Value (80%) Use Contingency Contingency Used 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 $ (1,717) $ 74,019 -2% $ 125,087 9 Traction Power Substations Energized Dec-16 $ 51,068 $ 34,046 $ 17,023 $ 37,450 10 Start of Pre-Revenue Service May-17 $ 34,046 $ 21,278 $ 12,767 $ 23,832 11 Target Revenue Service Date Aug-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)

17 of 171 FTA Quarterly Review Meeting LYNX Blue Line Extension Page 10 Charlotte Area Transit System December 8, 2016 COST CONTINGENCY DRAWDOWN CURVE (000s) AS OF 11/1/16

18 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 3.0 Contracts / Procurement

a) Procurement Activities The BLE project currently has 51 active contracts, including contracts related to guideway and track elements; stations, stops, terminals, intermodal; support facilities: yards, stops, admin buildings; sitework and special conditions; systems, ROW, land, existing improvement; vehicle; preliminary engineering; final design; art-in-transit; project management for design and construction; construction admin and management; legal, permits, and review fees; and surveys, testing, investigation, inspection. The status of major BLE contracts (over $250,000) is as follows.

PROJECT CONTRACT SUMMARY (as of 11/7/16) (Open contracts greater than $250,000)

Note: Current contract value in this table includes contingency but does not include betterments % Current Contract Expenditures to $ Remaining Remaining Vendor Name Contract# Contract Description Value Date Contract Value Contract 10 - 50 Construction AT&T 1400337 Private Utility Relocation 1,500,000.00 101,892.87 1,398,107.13 93.2% BALFOUR BEATTY INFRASTRUCTURE INC 1400719 Civil Segment A 112,507,687.00 95,782,908.79 16,724,778.21 14.9% BALFOUR BEATTY INFRASTRUCTURE INC 1400992 Track and Systems 118,531,760.73 55,462,057.38 63,069,703.35 53.2% BLYTHE DEVELOPMENT COMPANY 1301110 Advanced Public Utility Relocation - Segment C 8,909,327.16 8,832,628.85 76,698.31 0.9% BLYTHE DEVELOPMENT COMPANY 1400422 Advanced Utility Relocation - Segment B 4,298,823.10 4,290,737.77 8,085.33 0.2% BLYTHE DEVELOPMENT COMPANY 2015001615 Raleigh-Greensboro Street Storm Drainage 4,708,646.78 4,574,581.30 134,065.48 2.8% BLYTHE DEVELOPMENT COMPANY 2016000381 Old Concord Road Park & Ride 5,827,800.00 2,303,756.80 3,524,043.20 60.5% BPM CONSTRUCTION INC 2015001590 South Blvd Light Rail Facility Upfit 3,640,521.90 484,719.62 3,155,802.28 86.7% BRAAKSMA DESIGN INC 1301295 Commissioning of Public Art 547,511.00 544,722.74 2,788.26 0.5% CHANDRA COX PUBLIC ARTIST 2015001467 Commissioning of Public Art 378,000.00 275,000.00 103,000.00 27.2% MIKYOUNG KIM DESIGN 2015001456 Commissioning of Public Art 574,000.00 320,000.00 254,000.00 44.3% China Construction America of South Carolina, Inc.2015000602 JW Clay Blvd Parking Garage 27,247,138.35 21,209,987.57 6,037,150.78 22.2% DIGNOSYS, Inc. 16023176 SBLRF equipment 690,721.55 483,504.88 207,216.67 30.0% DISYS SOLUTIONS, Inc. 16030359 Cisco Network Equipment 307,189.10 307,189.10 0.00 0.0% DUKE ENERGY CAROLINAS LLC 1201085 Overhead Utility Relocation 6,139,533.58 4,960,281.78 1,179,251.80 19.2% DUKE ENERGY CAROLINAS LLC 1301184 Transmission Line Utility Relocation Agreement 4,542,194.00 4,174,736.88 367,457.12 8.1% EDISON FOARD 2015001320 Station Finishes 20,177,750.00 10,785,690.35 9,392,059.65 46.5% Genfare a division of SPX 2016000677 Fare Collection 3,700,000.00 404,000.50 3,295,999.50 89.1% LANE CONSTRUCTION CORPORATION 1400983 Civil Segment BC 143,574,348.00 123,900,085.30 19,674,262.70 13.7% MCGRIFF SEIBELS & WILLIAMS INC 1300254 Insurance Broker Services (OCIP) 365,000.00 255,000.00 110,000.00 30.1% MESSER CONSTRUCTION, Co. 2016000532 Sugar Creek Parking Garage 23,346,850.00 13,305,586.00 10,041,264.00 43.0% New Atlantic Contracting, Inc. 2015000567 University City Blvd Parking Garage 32,098,000.00 28,122,618.10 3,975,381.90 12.4% New Atlantic Contracting, Inc. 2016000582 North Yard Building 11,305,399.83 535,844.56 10,769,555.27 95.3% NORFOLK SOUTHERN RAILWAY COMPANY 1201046 BLE Construction - reimbursement 11,741,806.00 6,264,643.75 5,477,162.25 46.6% SEALAND CONTRACTORS CORP 1301276 Advanced Public Utility Relocation - Segment A 1,339,392.14 1,331,672.33 7,719.81 0.6% 547,999,400.22 389,013,847.22 158,985,553.00 29.0% 60 ROW, Land, Existing Improvements FORTENBERRY LAMBERT INC 1200317 Real Estate Appraisals 441,500.00 337,515.00 103,985.00 23.6% HAMILTON STEPHENS STEELE & MARTIN PLLC 1300308 Miscellaneous Legal Services 1,020,000.00 761,648.19 258,351.81 25.3% HORACK TALLEY PHARR & LOWNDES PA 1300307 Condemnation Legal Services 320,000.00 200,403.78 119,596.22 37.4% INTEGRA REALTY RESOURCES CLT 1200318 Real Estate Appraisals 279,000.00 192,088.50 86,911.50 31.2% NORTH CAROLINA RAILROAD COMPANY 1201120 NCRR Lease Agreement 11,760,000.00 0.00 11,760,000.00 100.0% KIMBERLY E FOX PLLC 1200328 Real Estate Legal 361,000.00 291,930.34 69,069.66 19.1% NEXSEN PRUET LLC 1200327 Real Estate Legal 1,099,000.00 927,547.48 171,452.52 15.6% PARKER POE ADAMS & BERNSTEIN LLP 1300309 Miscallaneous Legal Services 570,000.00 482,892.81 87,107.19 15.3% T B HARRIS JR & ASSOCIATES INC 1200319 Real Estate Appraisals 439,000.00 335,363.50 103,636.50 23.6% THC INC 1200212 ROW Acquisition 3,500,000.00 2,559,716.12 940,283.88 26.9% 19,789,500.00 6,089,105.72 13,700,394.28 69.2% 70 Vehicles ANSALDO STS USA INC 1400685 Automatic Train Protection (ATP) 2,490,181.98 2,428,136.70 62,045.28 2.5% LTK ENGINEERING SERVICES INC 1200281 Light Rail Vehicle Engineering 2,974,664.00 2,612,371.60 362,292.40 12.2% SIEMENS INDUSTRY INC 1300602 Light Rail Vehicles 25,928,759.90 25,928,759.90 0.00 0.0% SIEMENS INDUSTRY INC 2015000578 Light Rail Vehicles 63,069,458.71 54,671,361.43 8,398,097.28 13.3% 94,463,064.59 85,640,629.63 8,822,434.96 9.3% 80 Professional Services Aecom, Inc. 1100011 Transit Demand Modeling 300,000.00 178,959.09 121,040.91 40.3% Armand Resource Group 2016000678 Civil Rights Compliance 800,000.00 383,337.37 416,662.63 52.1% BirdAir 1300061 BLE: 9th St. Station Canopy Design & Engineering 252,500.00 227,619.02 24,880.98 9.9% CSX TRANSPORTATION INC 1200964 Reimbursement of Project Expenses 402,000.00 393,410.63 8,589.37 2.1% E BUILDER INC 1401178 e-Builder License Agreement 453,232.61 453,232.61 0.00 0.0% ERNST & YOUNG US LLP 2015000849 Financial Modeling 1,528,847.07 913,166.57 615,680.50 40.3% HART & HICKMAN PC 1101074 Environmental Assessment 690,000.00 665,451.08 24,548.92 3.6% HNTB NORTH CAROLINA PC 1300383 Construction Management Services 53,999,507.00 37,888,093.83 16,111,413.17 29.8% K & J SAFETY & SECURITY CONSULTING SERVICES0800743 INC Safety and Security Certification 804,875.00 785,675.04 19,199.96 2.4% KLEINFELDER SOUTHEAST 1301148 Construction Materials Testing and Special Inspection9,468,320.30 Services 9,194,844.17 273,476.13 2.9% NORFOLK SOUTHERN RAILWAY COMPANY 1201046 Construction Reimbursement 11,652,581.22 6,264,643.75 5,387,937.47 46.2% STV INC 1300021 Final Design 80,521,333.28 39,300,015.06 41,221,318.22 51.2% TERRACON CONSULTANTS INC 1100971 Environmental Assessment Service 500,000.00 232,379.00 267,621.00 53.5% 161,373,196.48 96,880,827.22 64,492,369.26 40.0%

19 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016

BLE CONTRACTS – IN PROGRESS Bid Contract Description Contractor Advertise Due Date RCA Date Amount Execution Date Security for Stored Paying by monthly G4S n/a 6/13/2016 $1,259,000 Vehicles PO during review South Boulevard BPM Construction 12/12/2014 3/10/2015 4/13/2015 $3,640,512 terminated Light Rail Facility South Boulevard China 07/12/2016 Light Rail Facility Construction 07/01/2016 9/26/2016 $2,665,999.60 10/06/2016 08/25/2016 Phase 2 B $384,946.32 Champion Landscaping 08/10/2016 09/08/2016 09/26/2016 C $485,279.72 10/27/2016 Landscapes, Inc. F $183,319.40

Landscaping TBD 10/18/2016 11/08/2016 12/12/2016 $620,000 01/11/2017

Design and Amendment STV Negotiated 8/22/2016 $1,900,000 immediate Construction Admin. #6 Amendment Station Finishes Edison Foard Negotiated 11/14/2016 $380,000 Immediate #2 Amendment Fare Collection Genfare Negotiated 11/28/2016 $1,600,000 Immediate #1

The following procurement activities occurred in October 2016:  Security for Stored Vehicles – G4S on GSA contract. Payment by monthly P.O. pending contract signature.  South Boulevard Light Rail Facility – BPM Construction Company was terminated for cause on 2/12/2016. In litigation.  SBLRF Phase 2 – First and Second Floor Shop (9B) – Bid opening 7/12/16, no bids received. Re-bid on 8/25/16; award to China Construction America of SC for $2,665,999.60 on 9/26/16.  Landscaping – The first three Landscaping project bids opened 9/8/16. Three bids were received for each project. Champion Landscaping was awarded all three contracts on 9/26/16.  Landscaping – Five more separate Invitations to Bid (ITBs) will be issued for the Landscaping projects. Landscape projects are driven by the Charlotte planting season which begins in October and ends in April.  STV Amendment #6 – Additional design services for Civil A, North Yard Building, Sugar Creek Parking Garage, and Station Finishes; repackaging of South Boulevard Light Rail Facility; and schedule changes. Vendor signed; in City review.  Station Finishes Amendment #2 – To reset the Contract Time and Intermediate Completion Times as well as Liquidated Damages & Incentives.  Fare Collection Amendment #1 – To add ticket validators on LRVs and at parking garages and cost of integration with parking system. 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.

20 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 Change Request Monthly Report

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

Date Associated Betterment Proposed/Negotiated Status Includes Process Document (CR) Finished Change Change Change Amount (CR) Betterments (CO) Order Amount Project Name: 01A: Advanced Public Utility Relocation - Segment A (26 records) 140,342.07 Status (CR): Approved (26 records) 140,342.07 11,539.59 Project Name: 01B: Advanced Public Utility Relocation - Segment B (25 records) 233,845.92 Status (CR): Approved (25 records) 233,845.92 17,469.50 Project Name: 01C: Advanced Public Utility Relocation - Segment C (39 records) 816,062.83 Status (CR): Approved (39 records) 816,062.83 145,822.13 Project Name: 02A: Civil - Segment A (170 records) 8,292,705.66 Status (CR): Approved (144 records) 6,532,396.43 189,705.30 CR #00192 - Remove Unforeseen Concrete for Fencing behind 08.02.2016 Sugar Creek Station 2,550.24 Approved 08:55AM CO - 135 No - CR #00193 - Parkwood and Brevard Traffic Signal Modifications 08.02.2016 (DC - 67) (CN - 18) 2,595.24 Approved 08:54AM CO - 136 No - 09.12.2016 CR #00194 - Modify Top of NY-15 OCS Foundation (FCN - 81) 12,681.33 Approved 02:48PM CO - 144 No - CR #00195 - Re-performing Conduit Testing (Mandrel) (FCN - 08.10.2016 71) 36,836.25 Approved 01:11PM CO - 138 No - CR #00196 - Craighead Rd Br Column Conduit Install per RFI 10.07.2016 489 (FCN - 84) 11,714.79 Approved 01:13PM CO - 151 No - 09.12.2016 CR #00197 - NS Track Monitoring Near A17-5-JB (FCN - 68) 8,418.30 Approved 02:31PM CO - 142 No - CR #00199 - Install Strut at Failed Anchor #4 Temp Shoring 09.12.2016 Sta. 1142+15 5,043.31 Approved 02:12PM CO - 146 No - Status (CR): Projected (8 records) 58,694.50 - CR #00201 - Additional Rebar for A13-1-EW per RFI #485 1,432.51 Projected CO - 155 No - CR #00206 - Craighead Rd Bridge Conduit Detail at Bent 5 (FCN - 78) 416.38 Projected CO - 157 No - CR #00207 - Add additional steel and modify the NS Bridge at 36th St Endwall alignment (FCN - 89) 4,812.80 Projected CO - 156 No - CR #00211 - Remove sections of Wall A14 footer for OCS Pole Foundations 6,902.59 Projected CO - 158 No - CR #00212 - Install Subballast Block Wall near Sta. 1233+77.48 (FCN - 91) 6,139.82 Projected CO - 159 No - CR #00213 - 36th St. Area of Refuge and Tie-In to Adjacent Development (DC - 61) (CN - 19) 32,895.24 Projected No - CR #00215 - Add 8-inch BCCSP Wall A19, Segment P, as directed by TGS 1,638.60 Projected No - CR #00216 - Sawcut Precast Ballast Curb LR Bridge over 36th St. - RFI #528 4,456.56 Projected No - Status (CR): Pending (1 records) 72,259.55 - Status (CR): Submitted (17 records) 1,629,355.18 - CR #00214 - 36th St Moment Slab (CD - 19) 45,924.75 Submitted - CR #00217 - Old Concord Revised Station Foundation Tolerances 2,957.11 Submitted No - CR #00218 - Grading Details for Station Art at OCR (DC - 66) (CN - 17) 72,963.23 Submitted No - CR #00220 - MSE Wall A30 Additional Depth 58,669.35 Submitted - CR #00221 - Materials for Resetting Fence at Alpha Mills 1,867.66 Submitted No - CR #00222 - North Yard Fence Grounding (FCN - 93) 26,505.00 Submitted - CR #00223 - 12x10 Precast Box Culvert - Reduced Jack & Tunnel Limits (DC - 30) (CN - 11) 969,637.19 Submitted - CR #00224 - Construct Concrete Paved Ditch under the Eastway Bridge 7,828.13 Submitted - CR #00225 - AT&T Conduit Under Future 10th Street (DC - 70) (CN - 22) 13,714.60 Submitted - Project Name: 03: Civil - Segments B and C (121 records) 11,292,036.05 - Status (CR): Approved (93 records) 9,464,776.70 100,193.12 CR #00119 - Replace Frame and Covers at 2 Locations on NB 10.10.2016 Road - B14-17-DCB and B15-22-CB (FCN - 13) 7,990.65 Approved 12:20PM CO - 104 No - Status (CR): Projected (8 records) 114,173.29 - Status (CR): Pending (3 records) 320,630.94 - CR #00136 - Mulch to Cover Soil in Median (CN - 45) 273,880.00 Pending No - CR #00148 - Dry Fireline and Manual Standpipe 46,750.94 Pending No - Status (CR): Submitted (17 records) 1,392,455.12 - CR #00151 - JW Clay and Institute Circle Soft Digs for Utilities (FCN - 40) 8,770.53 Submitted No - CR #00152 - Repair Decorative Fence and Coping on Wall C- 29 (FCN - 44) 8,313.61 Submitted - CR #00153 - McCullough Drive (east) Water Meter Vault in Sidewalk (FCN - 35) 3,638.97 Submitted -

21 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 Project Name: 05: Track and Systems (28 records) 15,362,804.42 (270,800.00) Status (CR): Approved (17 records) 4,258,318.04 - 10.17.2016 CR #00033 - Temporary Power Switches at the North Yard 75,000.00 Approved 12:40PM CO - 22 No - Status (CR): Projected (1 records) 170,256.87 - CR #00027 - TWC Loops 170,256.87 Projected CO - 23 No - Status (CR): Pending (1 records) 127,703.27 - CR #00034 - ROCC Consoles (CD - 18) 127,703.27 Pending No - Status (CR): Submitted (9 records) 10,806,526.24 - CR #00038 - Cable Trays in the Communications Room 44,143.61 Submitted - CR #00039 - Revised: Replacement of 21 Flange Bearing Frogs with Tread Bearing Frogs along main line of Track (CD - 39) 1,418,375.80 Submitted - CR #00040 - North Yard Lock Out Tag Out Procedure and Electrification (Energize/ De-Energize) 699,728.46 Submitted - Project Name: 06: Station Finishes (24 records) 1,728,351.66 - Status (CR): Approved (13 records) 977,161.86 0 CR #00012 - Revised conduit details at 25th St. Station (FCN - 10.13.2016 4) 11,556.00 Approved 07:39AM CO - 9 No - 10.13.2016 CR #00013 - Furnish & Install 8 comm pads 59,276.00 Approved 07:38AM CO - 15 No - CR #00015 - Premium Time for 9th Street Tensile Structure 09.27.2016 Steel erection 2,235.00 Approved 11:27AM CO - 12 No - CR #00025 - Change Canopy decking from 3" 18 ga type N to 10.18.2016 3" 20/20 Cellular Decking 21,392.00 Approved 02:13PM CO - 17 No - 10.03.2016 CR #00026 - Griffin Acceleration Plan (CD - 7) 57,041.00 Approved 12:52PM CO - 13 No - 10.13.2016 CR #00029 - Revision #3 (CN - 6) 546,576.00 Approved 07:37AM CO - 11 No - CR #00033 - 36th street bridge changes to allow utility 10.13.2016 passage 1,785.00 Approved 07:37AM CO - 10 No - Status (CR): Projected (3 records) 182,906.80 - CR #00032 - 2nd Electrical Acceleration 57,041.00 Projected CO - 18 No - Status (CR): Submitted (8 records) 568,283.00 - CR #00037 - 36th Street Utilities Submittal 260,708.00 Submitted - CR #00038 - Segmental Wall Work 97,821.00 Submitted - CR #00039 - 1st Remediation of Conduits and Sleeves 59,675.00 Submitted - Project Name: 07A: Old Concord Rd Park and Ride Lot (9 records) 223,064.07 0 Status (CR): Approved (6 records) 103,776.62 - CR #00007 - PVC Conduit for Power Service Line at MSE Wall 10.20.2016 B1 (RFI - 26) (FCN - 5) 909.08 Approved 08:28AM CO - 5 No - 10.20.2016 CR #00008 - Ornamental Fence behind MSE Wall B1 2,850.10 Approved 08:29AM CO - 6 No - Status (CR): Submitted (3 records) 119,287.45 - CR #00000 - Additional Conduit Work and Submittals for OCR Park and Ride-ATT (CD - 2) 70,400.00 Submitted - CR #00010 - Truncated dome modification for Drop Curb at the handicaps parking area along OCR station (FCN - 9) 3,017.45 Submitted - CR #00011 - Additional Conduit Work and Submittals for OCR Park and Ride-Civ A (CD - 3) 45,870.00 Submitted - Project Name: 08A: JW Clay Parking Garage (55 records) 5,612,851.08 0 Status (CR): Approved (43 records) 4,901,393.45 - 09.20.2016 CR #00038 - Change Fluorescent Light Fixtures to LED 9,829.35 Approved 07:48AM CO - 42 No - 10.20.2016 CR #00040 - Additional Check Valve for Fire Line 7,738.21 Approved 01:28PM CO - 48 No - CR #00042 - Add Access Panel on Metal Ceiling at Second 10.03.2016 Floor 1,215.90 Approved 12:18PM CO - 40 No - CR #00044 - Additional Flashing Over Gap Behind Double 09.27.2016 Elevator 2,196.60 Approved 08:32AM CO - 43 No - 10.05.2016 CR #00048 - Added Concrete Wall for Exterior Grading 8,951.94 Approved 08:40AM CO - 44 No - 10.20.2016 CR #00049 - Additional Angle Behind Perf Panel 2,137.10 Approved 01:29PM CO - 46 No - 10.26.2016 CR #00052 - Added Alum. Angle on Top of SC36 1,559.25 Approved 08:13PM CO - 45 No - Status (CR): Projected (8 records) 119,067.54 - CR #00043 - Panera Bread Parking Lot Change 26,423.74 Projected CO - 49 No - CR #00047 - Temporary Power for Elevator Installation at Station Tower 13,997.28 Projected No - CR #00050 - Added Soffit and Furring Wall at Retail Space 5,659.95 Projected CO - 47 No - CR #00051 - Existing Curb Removal at Stair C 1,100.60 Projected No -

CR #00053 - Additional Signage on SE Elevation by N Tryone 9,999.49 Projected No - CR #00054 - Additional Hospital Logo at Bridge Extension 16,318.47 Projected No - CR #00055 - Additional Trash Receptacles 22,836.31 Projected No - Status (CR): Pending (1 records) 569,308.94 -

CR #00046 - LED Color Changing Lighting (DC - 10) (CN - 11) 569,308.94 Pending No - Status (CR): Submitted (3 records) 23,081.15 - CR #00045 - Credit for Metal Roof Change At the Station Tower (RFI - 55) (FCN - 10) -1,600.00 Submitted - CR #00056 - Additional Reserved Parking Sign 8,121.29 Submitted - CR #00057 - Additional Raceway for Added Camera and Pay- on-foot Station 16,559.86 Submitted -

22 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 Project Name: 08B: UCB Parking Garage (30 records) 792,240.25 - Status (CR): Approved (27 records) 775,110.08 0 10.26.2016 CR #00031 - Change Lighting at Stairs to LED 13,566.00 Approved 08:12PM CO - 28 No - 10.20.2016 CR #00033 - Generator for Elevator #4 Installatoin 5,556.49 Approved 01:27PM CO - 29 No - Status (CR): Projected (2 records) 13,318.67 - CR #00027 - Plumbing Changes at Grid E 7,013.58 Projected No - Status (CR): Submitted (1 records) 3,811.50 - Project Name: 09: SBLRF Upfit (8 records) 33,153.00 - Status (CR): Pending (1 records) 0 - CR #00002 - Owner issued letter suspension 0.00 Pending No - Status (CR): Submitted (7 records) 33,153.00 - CR #00003 - Electrical Information needed (RFI - 1 & 27) (DC - 1) (CN - 1) 6,287.00 Submitted - CR #00004 - RFI # 38 Relocating HVAC piping 12,364.00 Submitted - CR #00005 - FM 200 In ROCC area (RFI - 48) (CD - 2) 12,030.00 Submitted - CR #00006 - wire mesh partition (RFI - 50) (CD - 4) 2,789.00 Submitted - CR #00007 - Remove Window Covering in Rooms 203 and 205 (CN - 2) -910.00 Submitted - CR #00008 - ROCC wall (RFI - 35) (FCN - 1) 593.00 Submitted - Project Name: 09A: ROCC Upfit (3 records) 9,611.78 0 Status (CR): Submitted (3 records) 9,611.78 - CR #00002 - Ramp Relocation at ROCC 2,131.50 Submitted Yes - CR #00003 - Existing Sprinkler Pipe Relocation 3,740.14 Submitted Yes - Project Name: 11: Fare Collection (3 records) 69,923.36 0 Status (CR): Approved (1 records) 68,173.36 - 10.21.2016 CR #00003 - Additional TVM for JW Clay Station 68,173.36 Approved 12:20PM CO - 1 No - Status (CR): Submitted (2 records) 1,750.00 - CR #00002 - Encoding File Fee for UNCC & EDM 1,750.00 Submitted - Project Name: 12: North Yard Operations Building (28 records) 1,031,131.00 178,253.00 Status (CR): Approved (8 records) 178,253.00 - CR #00005 - Trench Drain Connection (Near Door 124 B) (RFI - 09.13.2016 2) (FCN - 2) 10,183.00 Approved 07:57AM CO - 4 Yes 10,183.00 09.20.2016 CR #00008 - Oil Vault Disposal (FCN - 3) 8,131.00 Approved 07:50AM CO - 9 Yes 8,131.00 09.13.2016 CR #00009 - Caisson Removal (FCN - 4) 7,958.00 Approved 07:41AM CO - 3 Yes 7,958.00 09.14.2016 CR #00010 - Add perforated pipe, waterproofing, and backfill 75,219.00 Approved 01:45PM CO - 10 Yes 75,219.00 CR #00015 - Add Elevator rear control panel to inside of 09.13.2016 elevator cab 5,434.00 Approved 07:40AM CO - 6 Yes 5,434.00 09.13.2016 CR #00016 - Quazite boxes (CD - 4) 8,984.00 Approved 07:45AM CO - 2 Yes 8,984.00 Status (CR): Projected (4 records) 194,980.00 - 09.08.2016 CR #00004 - Removal of additional containmenated soils 170,629.00 Projected 10:47AM CO - 7 Yes 170,629 CR #00007 - Lower two Oil Separators per RFI 13 25,859.00 Projected No 25,859 CR #00022 - Credit for all Concrete at Mule Cart Storage associated with NCR 5 -1,508.00 Projected No - Status (CR): Pending (2 records) 30,452.00 - Status (CR): Submitted (14 records) 627,446.00 - CR #00026 - Northwall Exterior Drainage 38,199.00 Submitted - CR #00027 - 501 foundation modifications for light pole base 2,100.00 Submitted - CR #00028 - Add'l thickened slab for parts storage due to plumbing pipe 4,969.00 Submitted No - CR #00029 - Change metal plate to checkered plate at stairs 2,3,4,5,6 525.00 Submitted No - CR #00030 - Mop SinkTop of Pad Elevation 13,110.00 Submitted - CR #00031 - Add piping to two catch basins at loading dock 4,326.00 Submitted - Project Name: 16: Sugar Creek Parking Garage (15 records) 989,349.00 389,803.87 Status (CR): Approved (3 records) 344,518.38 - CR #00004 - Added Stem Walls at North Pedestrian Bridge 06.01.2016 Tower 17,261.86 Approved 06:06PM CO - 1 Yes 17,261.86 10.10.2016 CR #00006 - Additional underground electrical duct bank 21,377.62 Approved 12:24PM CO - 4 No - Status (CR): Pending (2 records) 194,940.63 - CR #00003 - Earthwork Quantity Overage 128,277.52 Pending No - CR #00007 - Additional miscellaneous steel for Alt. No. 1 66,663.11 Pending No 66,663.11 Status (CR): Submitted (10 records) 449,889.99 - CR #00010 - Changes per RFI 154 0.00 Submitted - CR #00011 - RFI 125 - Added Roof Hatch 7,305.25 Submitted No - CR #00012 - Added Fire Alarm Devices per Fire Marshal Review 4,588.04 Submitted No - CR #00013 - Added signage for pedestrian bridge 1,427.49 Submitted - CR #00014 - Install chain link behind site retaining wall 0.00 Submitted No - CR #00015 - Remove and reinstall chain link fence on east side of site 7,960.86 Submitted - CR #00016 - Additional underground duct bank at south ped bridge tower and temp generator 227,732.02 Submitted - CR #00017 - RFI 145 adjust curtainwall and add stem wall due to grade issues 13,564.56 Submitted - Project Name: 17: Raleigh-Greensboro Drainage (8 records) 562,469.08 (743.00) Status (CR): Approved (7 records) 535,817.90 - Status (CR): Submitted (1 records) 26,651.18 - CR #00008 - Additional Closeout Work 26,651.18 Submitted Yes - Grand Totals (592 records) 47,189,941.23 -

23 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 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

Amount Of This Process Document Status Date Finished Change Project Name: 02A: Civil - Segment A CO #00147 - Plan quantity over-run is required based on actual field conditions thru Pay Estimate #29 (BC-160) 53,745.76 Approved 10.03.2016 12:28PM CO #00150 - Plan quantity over-run is required based on actual field conditions thru Pay Estimate #30 (BC-162) 215,338.50 Approved 10.03.2016 12:29PM Project Name: 03: Civil - Segments B and C CO #00107 - Plan Quantity Over-runs is required based on actual field conditions thru Pay Estimate #27 (BC-111) 223,500.32 Approved 10.03.2016 12:30PM CO #00109 - Plan Quantity Over-runs is required based on actual field conditions thru Pay Estimate #28 (BC-113) 297,986.85 Pending CO #00114 - Plan Quantity Over-runs is required based on actual field conditions thru Pay Estimate #29 (BC-119) 269,927.68 Pending Project Name: 05: Track and Systems Project Name: 06: Station Finishes CO #00008 - Add Contract Contingency For Projected Changes 0.00 Approved 09.02.2016 05:22PM Project Name: 08A: JW Clay Parking Garage Project Name: 08B: UCB Parking Garage Project Name: 12: North Yard Operations Building CO #00008 - Add Contract Contingency For Projected Changes 0.00 Pending Project Name: 16: Sugar Creek Parking Garage CO #00003 - Add Contract Contingency For Projected Changes 0.00 Approved 09.19.2016 04:29PM Project Name: 17: Raleigh-Greensboro Drainage c) Light Rail Vehicles (LRVs) Project Executive Summary  Revenue service started for LRVs 121- 124 on 1/4/16.  LRV 18 (138) and LRV 15 (135) were delivered week of 4/4/16.  LRV 14 (134) and LRV 16 (136) were delivered week of 5/9/16.  LRV 11 (131) and LRV 12 (132) were delivered week of 5/16/16.  LRV 13 (133) and LRV 17 (137) were delivered week of 5/23/16.  LRV 09 (129) and LRV 10 (130) were delivered week of 7/11/16.  LRV 07 (127) and LRV 08 (128) were delivered week of 8/8/16.  LRV 05 (125) and LRV 06 (126) were delivered week of 8/22/16.  LRV 19 (139) and LRV 21 (141) were delivered week of 10/3/16.

Charlotte  LRV 18 (138) and LRV15 (135) – Completed static and dynamic testing; performing 1000 mile burn-in testing.  LRV14 (134) and LRV16 (136) – Completed static and dynamic testing; performing 1000 mile burn-in testing.  LRV11 (131) and LRV12 (132) – Completed static and dynamic testing; performing 1000 mile burn-in testing.  LRV13 (133) and LRV17 (137) – Completed static and dynamic testing; awaiting personnel to perform burn-in.  LRV 09 (129) and LRV10 (130) – Currently performing starting static and dynamic testing.  LRV 07 (127) and LRV 08 (128) – Currently performing starting static and dynamic testing.  LRV 05 (125) and LRV 06 (126) – Currently performing starting static and dynamic testing.  LRV 19 (139) and LRV 21 (141) – Starting static and dynamic testing.  LRV 20 (140) – scheduled for Charlotte delivery in November 2016.  LRV 22 (142) – scheduled for Charlotte delivery in January 2017.

24 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016

Sacramento Light Rail Vehicles in Storage  LRV 20 (140) – CATS/SII Vehicle final inspections are complete. Vehicle weighing has been performed and vehicle has been placed in storage. Shipment release was signed on 1/29/16.

Light Rail Vehicles in Production  LRV 22 (142): Vehicle passed DITMCO testing. Static testing is postponed until further notice. APS unit has been send back at CATS’ request due to APS box paint issues. 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 209 (140) and LRV 22 (142) are the next vehicles 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 On CATS request vehicle departure dates and delivery dates at CATS are 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 SII commissioning team to perform commissioning testing on LRV-129 to LRV-138.

Schedule Slippage Recovery Plan  Schedule recovery plan has been provided to CATS. BLE Milestone – Status and 30 day look ahead (Projected) Amount (Inc. Submittal Milestone Title Tax) Date M Conditional Acceptances for: $1,736,969.18 11/26/16 LRV 13 N Final Acceptances for: $289,494.86 11/26/16 LRV 14, 15, 16, & 18

CDRLs - Upcoming The following CDRLs are up-coming (30-day look ahead):  Six CDRLs (1-7, 18-3, 19-1, 19-2, 19-3 and 19-4) are currently in SII’s court for re- submittal.  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, 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 starting in March 2016 is ongoing.

25 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 Engineering  Engineering point of focus for the month of October 2016 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 and Sacramento storage vehicles preparing for transportation.

Manufacturing Manufacturing Issues - Hot List Receiving of parts to finalize assembly for LRV-142 4.0 Schedule

a) Schedule Status / Milestone Schedule Schedule BL 95 is the update of the Master Schedule for the BLE project with a data date of September 30, 2016. The Revenue Service Date remained August 1, 2017. In BL 95, the critical path is contained within the Track & Systems Contractor’s work to install the Station Communication Cabinets (SCCs) and Fiber Optic. The Critical Path begins with the procurement and delivery of the generators for the SCCs. While that is occurring the Contractor is arranging for temporary power to be installed prior to installation of the SCCs. Once the SCCs are installed the path shifts to installation of Fiber Optic, particularly in Segment C, ending with splicing fiber optic at the JW Clay SCC. The path then moves to integrated testing, ICT #9, Systems Integrated Testing, Pre-Revenue Service, and finally Revenue Service.

The Civil A Contractor completed work allowing the Track & Systems Contractor to begin work in Segment A2, however during a field meeting with Track & Systems the need for a moment slab was identified, to be installed between the end of wall A16 and the southern end of the 36th Street light rail bridge and additional slope on the north end of the station. There was a concern that there isn’t enough of a stable area prior to the slope to be able to install the cable trough. The Civil A Contractor was given direction to proceed with work at the end of September and is working to complete this by the end of October. Until this is completed, the Track & Systems Contractor cannot install cable trough in that particular area. They are working on both sides of the area to ensure minimal loss in productive work time. It should be noted that the work by Civil A is likely to delay Track and Systems from completing the cable trough in this area and could cause a delay to Track and Systems ICT #9. The impact of this delay is still being evaluated.

The Track & Systems Contractor completed testing from 7th Street to the North Yard on 10/2/16. The Contractor still had some items that need to be addressed while the paper work was being completed to allow CATS Operations to begin moving Light Rail Vehicles within the area and store them in the North Yard the end of October.

In the BL 95 update, the Civil A Contractor completed installation of the panels for MSE Walls A33 and A34, this allowed for the completion of the backfill and grading for the subgrade between 36th Street and Craighead Bridge. The Civil B/C Contractor continued working across Segment B on driveways and sidewalk as well as installation of the leaf railing, painting girders and associated work to begin final paving. The Station Finishes Contractor continued working on the topping slabs and began setting the station electrical cabinets at the stations. The Track & Systems Contractor continued working on track in Segment C and OCS in Segment B and Segment A2 (from Sugar Creek to Old Concord Road).

26 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 A list of important bridges in the civil contracts is listed for tracking purposes. BL 94 Finish BL 95 Finish Segment Date Date Track bed - Segment A2: Light Rail Bridge at 36th Street 9/15/16 10/14/16 Track bed - Segment A2: Craighead Bridge A2.2-5100 9/8/16 10/7/16 *Dates based on bridge punch list complete from Contractor

Milestone Dates: Changes to key milestones as of BL 95 are as follows: BLE MILESTONE SCHEDULE DATES Variance Variance BL 94

BL 95 Start BL 94 Start BL 95 Finish Finish Advertise Bid & Award Phase 2/7/13 A 0 5/5/17 -20 Construction Phase - LRT 1/28/14 A 0 3/1/17 0 Elements Construction Phase – Roadway 1/28/14 A 0 1/5/18 -7 Vehicle Delivery (22 Vehicles) 10/24/14 A 0 1/24/17 -53 Systems Integration Testing 3/2/17 0 4/30/17 0 Pre-Revenue Service 5/1/17 0 7/31/17 0 Revenue Service Date 8/1/17 0

*LRV Vehicle delay due to delay in Contractor’s schedule submittal

27 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 BLE OVERALL SCHEDULE

28 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 b) Schedule Concerns / Corrective Action 1. Civil A The Civil A Contractor completed MSE Walls A33 and A34 in early October 2016. At that point, they began to focus on completing the trackbed between 36th Street and Craighead Bridge. The Track & Systems Contractor began working on both sides of this area while the Civil A Contractor completed work. During a field meeting with Track & Systems in late September, two issues were identified which required the Civil A Contractor to construct a moment slab from the end of Wall A16 up to the Light Rail Bridge at 36th Street on the Track 2 side of the light rail and extend the embankment on the north end of the station, north of Wall A30 on the Track 2 side. These adjustments were necessary to ensure that the cable trough could be properly installed and that drainage from the light rail tracks would not impact the NS property. This is a very critical item as it is needed prior to installation of the cable trough in that area. Two Change Directives were issued to the Civil A Contractor to begin work, one on 9/29/16 for the moment slab and one for the embankment modification on 10/17/16. The impact of the moment slab is still being evaluated and will be realized in the BL 96 update.

The Contractor continued working towards completion of ICT #2, Freight Sub-ballast. The Contractor completed the gravity walls for A19 and A31 which allowed them to complete backfilling and begin sub- ballast installation in October 2016. The Contractor is working towards completion that will allow NS to give their Contractor the notice to proceed to begin the freight track relocation. It is important that the Contractor completes ICT #2 as soon as possible as NS has expressed that they will not release their Contractor to begin work until all inspections and punch list items have been completed. The Contractor is working with TGS and NS to identify any underground cables that have not been identified after the Contractor accidently damaged an unmarked signal cable that was not identified. NS has mobilized some of their crews to identify any remaining cables prior to the Contractor continuing any remaining excavation in the area. This could cause a potential delay to ICT #2 if there is a delay in identifying the cables. The freight track relocation and re-opening 36th Street, which includes walls A19 and A31 and the NS Bridge, remains a concern in the Civil A contract. Because of efforts made earlier in the project, the activities related to the freight track relocation and opening of 36th Street do not affect Revenue Service. However, these are important for other parties including CDOT and NS, as well as final completion for the Civil A Contractor. NS has indicated that Civil A must be complete prior to giving the NTP to their Contractor to do the freight track relocation. NS has stated that they will complete the cutover after their busy season, typically between November, December, and January. Once this is done, the Civil A Contractor can complete their work to reopen 36th Street.

The graphic below represents the interface between Civil A and Track & Systems in regards to the completion of Segment A2. The Track & Systems Contractor began work in the South portion of Segment A2 while the Civil A Contractor worked to complete work between 36th Street and Craighead.

Civil A – Segment A2 interface to Track & Systems A2 Trackwork

*Fragnet from BL 95 Master Schedule Update – float displayed is relative to the current T&S ICT #9 of 3/1/17.

ICT #7 continues to be delayed due to the drainage that needs to be installed that is in conflict with the feeder conduits for Duke and AT&T. This is very important for Track & Systems to be able to do local testing at TPSS #13 prior to the integrated testing.

The graphic below represents the interface between Civil A completion of the conduits for TPSS #13 and Track & Systems work related to installation and testing of TPSS #13.

Civil A – Conduits for TPSS #13 interface to Track & Systems TPSS #13 installation

29 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016

*Fragnet from BL 95 Master Schedule Update – float displayed is relative to the current T&S ICT #9 of 3/1/17.

2. Track & Systems On 10/2/16, the Track & Systems Contractor completed the testing needed for CATS Operations to be able to run LRVs from 7th Street to the North Yard. The Contractor now has items that need to be completed in parallel with final safety certification before LRVs can actually utilize the tracks. Then CATS Operations will shift to storing Light Rail Vehicles in the North Yard.

The SBLRF Contractor Completed work for Phase 1 and is working with Track and Systems to resolve punchlist items. The Contractor is also working to get a permanent CO. The Table below shows the completion by the SBLRF Contractor and the work that the Track and Systems Contractor will need to complete prior to ICT #9.

SBLRF Phase 1 interface to Track & Systems completion of the ROCC and Communications Testing, SIT, Pre-Revenue and Revenue Service

*Fragnet from BL 95 Master Schedule Update – float displayed is relative to the current T&S ICT #9 of 3/1/17.

As previously stated, there continues to be a major concern in regards to the Contractor beginning and completing communications and signal work. To date, no communications work has been completed on the stations and only signal work completed in Segment A1. The Contractor has completed cable trough north of Sugar Creek Road and began installing signal cable north from that point and into Segment B, however, the Fiber Backbone that will need to be installed has yet to start. Based on recent meetings, it is expected that the Contractor will mobilize on site to install the Fiber Backbone in late October 2016 and begin installation to the Central Communications House (CCH). This work must be completed before any testing to the CCH can begin; however, it is assumed that the Contractor can do local testing in the meantime. There is a concern that with the Contractor’s continued delay in submitting items related to the ROCC and the CCH and completing Factory Acceptance Tests of equipment that there could be a critical delay that will impact the system wide testing that is to occur prior to ICT #9. The Contractor has provided assurances that they are committed to meeting dates that have been outlined in meetings with the City. The City remains concerned that the Contractor will incur further delays. While the CCH does not show as one of the top five near critical item in the analysis below, it should be noted that this is a near critical item to the completion of testing and ICT #9, and has less than a week of float related to completion of ICT #9 on 3/1/16.

T&S Critical Path Analysis An analysis has been conducted on the Track & Systems schedule to determine the five most critical paths to completion of ICT #9. As stated in the summary, the primary critical path is related to communications work at the stations. In the BL 94 Schedule Update, the Master Schedule indicated that the critical path of the program went through the Track and Systems Contractor’s work to remove and replace the frogs at several areas across the alignment. This is not on the critical or near critical paths detailed below, however

30 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 there is less than two weeks of float related to a 3/1/17 ICT #9. The reason that this is no longer on the critical path is that the initial CPM that the Contractor submitted had an activity that was removed that seemed to be a duplicate. This allowed for several days of float on the replacement of the frogs.

The Primary Critical Path begins with the Contractor procuring and delivering the generators for the SCCs. While that activity is occurring, the Contractor is arranging for temporary power at the following stations: 9th Street, Parkwood, 36th Street, Old Concord Road, Tom Hunter, and University City Blvd. Upon getting temporary power at University City Blvd the Contractor will begin installation of the SCC. The first install will be at University City Blvd, followed by McCullough, JW Clay, and finally UNC Charlotte Station. Once the SCC is installed at UNC Charlotte Station, the Contractor will pull fiber and install communication devices for the UNC Charlotte Comfort Station, followed by installing and splicing fiber for Central Instrument House (CIH) #17 to UCB SCC, McCullough SCC to UCB SCC and JW Clay SCC to McCullough SCC. The Contractor will then conduct integrated communications testing, followed by ICT #9, Systems Integrated Testing and Pre- Revenue Service, and finally Revenue Service.

The first near critical path begins with the Crossing Gate Foundation Installation followed by installing the gates, pulling cable, and terminating track crossing at the following intersections: Arrowhead Drive, Owen Blvd, Tom Hunter Road, Orr Road, Orchard Trace Lane and UCB Garage. The path then picks up testing of the at-grade crossings at UCB Garage, Shopping Center Drive, and Tom Hunter Road followed by ICT #9, Systems Integrated Testing and Pre-Revenue Service, and finally Revenue Service.

The second near critical path begins with installing OCS Northbound then Southbound from UCB Station to McCullough station. Next the Contractor will install OCS Northbound McCullough to JW Clay, followed by installing OCS Northbound and Southbound from JW Clay to the End of the Line. The Contractor then conducts Dynamic Testing from CIH #17 to CIH #18, CIH #10 to CIH #13, to CIH #13 to CIH #15, followed by Full System LRV Integration Testing, ICT #9, Systems Integrated Testing and Pre-Revenue Service, and finally Revenue Service.

The third near critical path begins with the moment slab being installed at 36th Street. The Civil A Contractor is expediting work to allow full access as soon as possible. Once the Civil A Contractor completes the moment slab, the Track and Systems Contractor will complete the track work and trough installation on the Track 2 side. Then the Contractor will install OCS, followed by Dynamic Testing of CIH #13 to CIH #15 and Full System LRV Integration Testing, ICT #9, Systems Integrated Testing and Pre-Revenue Service, and finally Revenue Service. The critical path analysis does not project delay the Track and Systems Contractor might face due to the Civil contractor’s time to complete the moment slab. The Track and Systems contractor is mitigating this delay by working in Segment B and Segment C. The moment slab impact will be incorporated into the Track and Systems schedule next month, when the full impact is known.

The fourth near critical path has the Contractor installing positive and negative feeder cables at the following locations (in order): TPSS #14, TPSS #15, TPSS #16, TPSS #17, and TPSS #18 followed by testing TPSS #18. The Contractor then conducts Dynamic Testing from CIH #17 to CIH #18, CIH #10 to CIH #13, to CIH #13 to CIH #15, followed by Full System LRV Integration Testing, ICT #9, Systems Integrated Testing and Pre-Revenue Service, and finally Revenue Service.

31 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016

*Fragnet from BL 95 Master Schedule Update – float displayed is relative to the current T&S ICT #9 of 3/1/17.

4. Station Finishes The Station Finishes Contractor completed the SEC/SCC Pads at all locations as of early October 2016. This allows the Track & Systems Contractor to begin installing the Station Communications Cabinets (SCC). The Station Finishes Contractor is still working with the Track & Systems Contractor to clean out any debris prior to the installation of the SCC. The table below represents the interface between Station Finishes completing the SEC/SCC Concrete pad and the Track & Systems current start date.

32 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 Station Finishes SCC Concrete Pad Interface to Track & Systems Install SCC

*Fragnet from BL 95 Master Schedule Update – float displayed is relative to the current T&S ICT #9 of 3/1/17.

In addition to the critical nature of the SEC/SCC Pad, the Topping Slabs are also key in allowing the TVM Contractor to install the TVMs at the stations. To date, the Contractor has completed all topping slabs with the exception of JW Clay (to be completed by the end of October), 9th Street, and 36th Street. The Station Finishes Contractor is working to complete electrical work at the stations and other work around the station. The primary concern is the need for the generator and automatic transfer switch from the Track & Systems Contractor so the Station Finishes Contractor can complete the electrical work and establish permanent power at each station. Currently the Contractor has assumed that these will be delivered by 12/1/16.

Below is a table to show when the Contractor is expecting to complete the SEC / SCC pads to allow Track & Systems to install their SCC equipment, the completion of the topping slabs, and the completion of each station. The overall completion of each station is important to track to ensure they are completed prior to pre-revenue operations.

Complete SEC/ Topping Slab Station SCC Pad Complete Complete 9th St 8/4/16 (A) 11/4/16 3/20/17 Parkwood 8/31/16 (A) 6/22/16 (A) 3/1/17 25th St 6/8/16 (A) 7/5/16 (A) 3/1/17 36th St 10/24/16 12/9/16 2/10/17 Sugar Creek 7/26/16 (A) 7/19/16 (A) 3/1/17 Old Concord Road 9/12/16 (A) 8/16/16 (A) 2/27/17 Tom Hunter 6/28/16 (A) 8/26/16 (A) 3/1/17 University City Blvd 9/21/16 (A) 9/23/16 (A) 3/1/17 McCullough 8/2/16 (A) 10/7/16 3/10/17 JW Clay 8/25/16 (A) 11/22/16 3/2/17 UNC Charlotte 8/24/16 (A) 9/12/16 (A) 3/1/17

5. Vertical Contracts The SBLRF Upfit work was split into 3 contracts, the first being the upfit of the ROCC. The Contractor was given an NTP on 7/11/16. The Contractor completed their work on 9/14/16, allowing the Track & Systems

33 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 Contractor to commence work prior to Integrated Communications testing. Below is a graphic showing the interface between the SBLRF Phase 1 Contractor and Track & Systems.

SBLRMF Phase 1 Interface to Track & Systems Completion of the ROCC

c) 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. Track and systems latest schedule update incorporates mitigation efforts, resulting in an August 1, 2017 target revenue service date in BL95. The current remaining contingency is now 242 calendar days.

34 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 SCHEDULE CONTINGENCY DRAWDOWN AS OF 11/1/16 (BL95)

FTA Minimum Schedule Contingency Current Contingency Use

Remaining % Phase Total Target (Start) Phase FTA Buffer Value Contingency Phase Contingency Remaining Project Milestone Date BL95 Phase Start Phase End Contingency (80%) Use Contingency Used Contingency

* 65% Cost Estimate / Risk Assessment Mar-12 368 9 368 1 Approval for Entry to Final Design Jul-12 359 327 32 333 0 41 0% 368 2 FFGA Executed Oct-12 327 294 33 301 0 74 0% 368 3 Systems Design Complete Dec-13 294 266 28 271 14 88 14% 354 4 40% of Contracts Executed May-14 266 230 36 237 0 124 0% 354 5 Complete NS relocation to Airport Feb-14 230 190 40 198 218 -54 133% 136 6 Complete Utility Relocations in Segment B Apr-15 190 158 32 164 -34 12 -155% 170 7 100% of Major Contracts Executed Feb-16 158 129 29 135 -72 113 176% 242 8 Complete Trackwork - Seg A1 and Yard Oct-16 129 75 54 86 0 167 0% 242 9 Traction Power Substations Energized Dec-16 75 54 21 58 10 Start of Pre-Revenue Service May-17 54 43 11 45 11 Target Revenue Service Date Aug-17 43 0 43 9 12 FFGA Revenue Service Date Mar-18 0 0 0

Schedule Contingency Drawdown Log (prior 6 months shown) Remaining Schedule Data Date Reason for Delay Change Target RSD Contingency Schedule 4.30.2016 Delay in T&S submittals for communication cabinets. 11 8/1/2017 242 BL90 5.31.2016 No change to Target RSD. 0 8/1/2017 242 BL91 6.30.2016 Delay in T&S Segment A2 and B trackwork and OCS. 16 8/17/2017 226 BL92 7.31.2016 Delay in T&S Communications room work starting. 15 9/1/2017 211 BL93 8.31.2016 Recovery schedule T&S. -31 8/1/2017 242 BL94 9.30.2016 No change to Target RSD. 0 8/1/2017 242 BL95

35 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 Schedule Contingency Drawdown Curve

36 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 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.

The Top Risks also were updated in October.

37 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 c) Top Risk / New Risk Items Status PROJECT RISK REGISTER - TOP RISKS Legend Low (1) Med (2) High (3) Very High (4) Significant (5) Probability < 10% 10><25% 25><50% 50% ><75% >75%

REV: 58 Cost < $250K $250K><$1M $1M><$3M $3M><$10M >$10M DATE ISSUED : 11/11/2016 Schedule < 1 Mths 1 ><3 Mths 3><6 Mths 6><12 Mths > 12 Mths Rating < =6 6.1-18.9 > =19 Prob Cost Risk SCC Schedule Risk ID Risk Description Owner Rating Impact Rating Monthly status report Code (p) ( c ) (s) (p) X (c+s)

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 10.00- Schedule contains little float, which may 1 C-9 Brim 4 4 4 32 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, 50.00 cause schedule delays and increase costs. 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. 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 Balfour Beatty construction issues (BLE 10.00- 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, 2 C-50 CIV-A / BLCE ). Civil A not meeting Brim 4 4 4 32 50.00 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 schedule productivity. 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. In the latest schedule update BL94, the RSD is now August 1, 2017 due to schedule mitigation efforts by Track & Systems. 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 of the NS Line Relocation and 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 3 C-20 10.40 36th Street grade separation takes longer Smith 5 3 3 30 Further delays have been than planned. concept. The schedule for the 36th Street light rail bridge is discussed in weekly executive level meetings to monitor construction progress. experienced due to NS signal wire and NS construction schedule. Delay in receiving the contractor's system integration testing and several key technical submittals are preventing HNTB from completing the SIT Plan. These System integration and testing issues may submittals are needed by end of November, so that the HNTB SIT Plan can be finalized by mid-December. 4 S-1 50.00 increase project costs and impact Mock 3 4 3 21 schedule. (BBR)

Delay in receiving the contractor's system integration testing and several key technical submittals are preventing HNTB from completing the SIT Plan. These Final system integration testing & start-up 5 S-2 80.08 may require additional time and increase Mock 3 4 3 21 submittals are needed by end of November, so that the HNTB SIT Plan can be finalized by mid-December. On 11/4/2016, HNTB submitted a draft SIT Plan for costs. (CATS, HNTB) CATS initial review.

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 10.00- Coordination of "follow-on" contractors may 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 6 C-8 Mrzygod 4 3 2 20 50.00 prove more difficult than expected. 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. There may be difficulties in implementing necessary changes/additions to the Rail 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 Operations Control Center (ROCC) and the 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 7 C-25 50.07 Mock 4 2 3 20 Network Operations Center (NOC) while not 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 interrupting existing rail operations. (cost, 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 schedule) actual testing must be performed at night to limit impacts to light rail operations. Therefore, this risk has been increased. There is an concerted effort to start testing of the TDX system ASAP. 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 There may be complications in integrating 24-7 type schedule limited only by resources. the new BLE systems with the existing 8 D-3 50 Mock 4 2 3 20 South Corridor and the BLE (systems integration complications)

BBR/MRS submittals are behind schedule, and have required multiple revisions. There are weekly meetings so that all parties can review submittals and Delays and quality issues with minimize turn around thus providing more efficient submittal closure. This in addition to separate workshops when required. 9 C-68 50.00 Communication submittals may cause Mock 4 2 3 20 schedule delays and increase costs.

Software testing is scheduled for December 12, 2016 which includes review time for CATS/HNTB/STV. This is predicated on all pertinent submittals being Issues with software testing could cause received. 10 C-69 50.00 Mock 4 2 3 20 schedule delays and impact costs.

Replacement of 21 flange-bearing frogs Frog procurement has been established, manufacturing of frogs has commenced, with Factory Acceptance testing for the #8 and #10 crossover frogs is with tread-bearing frogs along the main line scheduled for December 7, 2016, with deliver of first grouping of frogs in mid-December. All frogs are to be delivered by January 1, 2017. 11 C-70 50.00 Mock 4 3 2 20 of track could cause a delay and increase costs. 38 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 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).  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.  Continued the testing and verification activities on LRVs 135 and 138.  Continued preparing for testing and verification activities on LRVs 131, 132, 133, 134, 136, and 137.  Continued the development of the Integrated Testing Certifiable Items List.  Work has started on the development of an Emergency Preparedness Table-top Exercise and Full-scale Field Exercise.

The Safety Professional with the CMC HNTB completed the following work:  Continued performing bi-weekly safety tours for Civil A and Civil B/C contracts joined by the prime contractor’s safety professionals to monitor and oversee effectiveness of contractor safety programs and processes throughout all the contracts.  Continued attending to 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 expectations as approved.  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 were completed prior any critical or high risk lifting activities.  Participated at BLE S&S Audits during this period.  Continued attending both the BLE General S&S Monthly Meeting and the BLE Safety Professional Committee Monthly Meeting.  Continued attending to 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.

39 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016  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 contract.

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, 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 meeting was held on 10/17/16.  The FLSC monthly meeting was held on 10/17/16.  The HNTB-BLE Safety, Security and Risk Management monthly meeting was held on 10/17/16.  The BLE/BLCE General Safety & Security Monthly Meeting (PM’s all contracts) was held on 10/26/16.  The BLE/BLCE Safety Committee Monthly Meeting (all Safety Professionals) was held on 10/26/16.  K&J continues holding various meetings with the project 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 - continues in order to coordinate and review plans for overlapping activities between all the BLE, and the BLCE respective contracts, in addition to review of safety statistics, incidents and tracking of corrective actions.  Weekly progress meetings: Project Controls, Systems Integrations, CCC’s & CIL’s Status, and all contracts for the BLE and the BLCE. 7.0 Project Development

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

Current Acquisition: Condemnations Condemnations SEG. # of. Parcels Parcels Acquired Filed Settled A 148 117 31 28 B 99 59 40 33 C 90 44 46 36 TTL 337 220 117 97

40 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 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 pending. 1293 Brownstone Source Recycling Move Claim submitted and paid. Additional claims pending. 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 TagazarExport Import Los Braceros Auto Claim completed. 1361 BanawanExport 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 ConstructionRoseclay 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.

41 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 Safety and Security Deliverables Item # November 2016 LYNX BLE SSC Tasks and Status SSC Tasks Accomplished / Underway % Completion Dates Comments 1. Safety and Security Management Plan (SSMP) Initial SSMP 100% 09/01/2007 30% Design SSMP Update Rev 1 100% 10/11/2010 65% Design SSMP Update Rev 2 100% 10/14/2011 65% Design SSMP Update Rev 3 100% 05/18/2012 100% Design SSMP Update Rev 4 100% 10/01/2013 100% Design SSMP Update Rev 5 100% 06/01/2015 2. Safety and Security Certification Plan (SSCP) Initial SSCP 100% 02/23/2009 30% Design SSCP Update Rev 1 100% 10/25/2010 65% Design SSCP Update Rev 2 100% 11/09/2011 65% Design SSCP Update Rev 3 100% 05/28/2012 100% Design SSCP Update Rev 4 100% 10/01/2013 100% Design SSCP Update Rev 5 100% 06/01/2015 S&S Certification Training (Design Team) 100% 12/02/2008 S&S Certification Training for project staff 100% 12/18/2013 A total of (7) classes have been conducted so far. S&S Certification Training for CMs, RE’s and OE’s 100% 11/07/2016 Additional classes will be provided on an as needed / requested basis. 3. Threat and Vulnerability Assessment (TVA) Initial TVA 100% 02/23/2009 65% Design TVA Update 100% 10/17/2011 Only the crime data charts were updated 100% Design TVA Update (if needed) 100% 02/12/2014 for the 100% deliverable. 4. Preliminary Hazard Analysis (PHAs) Initial PHAs, 15-30% Design 100% 03/31/2010 65% Design PHAs Update 100% 04/26/2012 100% Design PHAs Update 100% 10/22//2014 5. Certifiable Elements & Sub-elements (CEL / CIL) Certifiable Elements & Sub-elements (30%) 100% 11/10/2010 Certifiable Elements & Sub-elements (65%) 100% 11/21/2011 Certifiable Elements & Sub-elements (100%) 100% 12/12/2014 6. Design Criteria Manual (DC) Chapter 23 Safety and Security 100% 03/17/2011 Draft LRV Safety and Security Criteria 100% 08/10/2009 7. Safety and Security Design Reviews (DR) LRV Design Criteria Review 100% 12/29/2008 15% S&S Design Review 100% 01/25/2009 30% S&S Design Review 100% 04/16/2010 65% S&S Design Review 100% 10/05/2011 95% S&S Design Review 100% 10/01/2013 100% S&S Design Review 100% 02/21/2015 . LRV Specification Review (Technical Specifications) 100% 06/22/2014 LRV Specification Review (Delta Specifications) 100% 05/19/2014 8. LRV Design / Testing / Final Certification LRV 121 – Final Design Acceptance 100% 09/30/2014 – Acceptance / Burn-in / Dynamic Testing 100% 10/31/2016 – Final Certification 95% 1Q/2017

42 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 Item # November 2016 LYNX BLE SSC Tasks and Status SSC Tasks Accomplished / Underway % Completion Dates Comments LRV 122 – Final Design Acceptance 100% 09/30/2014 – Acceptance / Burn-in / Dynamic Testing 100% 10/31/2016 – Final Certification 95% 1Q/2017 LRV 123 – Final Design Acceptance 100% 09/30/2014 – Acceptance / Burn-in / Dynamic Testing 100% 10/31//2016 – Final Certification 95% 1Q/2017 LRV 124 – Final Design Acceptance 100% 09/30/2014 – Acceptance / Burn-in / Dynamic Testing 100% 10/31/2016 – Final Certification 95% 1Q/2017 LRV 127 – Final Design Acceptance 100% 09/30/2014 – Acceptance / Burn-in / Dynamic Testing 20% 1Q/2017 – Final Certification 20% 2Q/2017 LRV 128 – Final Design Acceptance 100% 09/30/2014 – Acceptance / Burn-in / Dynamic Testing 20% 1Q/2017 – Final Certification 20% 2Q/2017 LRV 131 – Final Design Acceptance 100% 09/30/2014 – Acceptance / Burn-in / Dynamic Testing 90% 4Q/2016 – Final Certification 25% 1Q/2017 LRV 132 – Final Design Acceptance 100% 09/30/2014 – Acceptance / Burn-in / Dynamic Testing 90% 4Q/2016 – Final Certification 25% 1Q/2017 LRV 134 – Final Design Acceptance 100% 09/30/2014 – Acceptance / Burn-in / Dynamic Testing 90% 4Q/2016 – Final Certification 25% 1Q/2017 LRV 135 – Final Design Acceptance 100% 09/30/2014 – Acceptance / Burn-in / Dynamic Testing 65% 4Q/2016 – Final Certification 10% 2Q/2017 LRV 136 – Final Design Acceptance 100% 09/30/2014 – Acceptance / Burn-in / Dynamic Testing 90% 4Q/2016 – Final Certification 25% 1Q/2017 LRV 138 – Final Design Acceptance 100% 09/30/2014 – Acceptance / Burn-in / Dynamic Testing 65% 4Q/2016 – Final Certification 5% 3Q/2017 9. Safety and Security Design Criteria Conformance Checklists (DCCC’s) Checklist Development: 100% 09/14/2011 Designer of Record Input-Road map for Verification 100% 02/25/2016 Verification 100% Design, Specs & Drawings 100% 02/25/2016 - Contract 1C, Advanced Utility Segment C 100% 02/25/2013 - Contract 1A, Advanced Utility Segment A 100% 04/15/2013 - Contract 1B, Advanced Utility Segment B 100% 05/15/2013 - Contract 2, Civil and Roadway Segment A 100% 11/19/2013 - Contract 3, Civil and Roadway Segment B/C 100% 12/01/2013 - Contract 5, Track, Systems, TP, OCS, Signals and 100% 12/01/2013 Communications, LRV Tracks - Contract 6, Station Finishes 100% 02/19/2014 - Contract 7A, Old Concord Park and Ride 100% 12/16/2014 - Contract 8, Parking Garages 100% 05/21/2014 - Contract 9, Upfit Existing VMF 100% 05/03/2014 - Contract 11, Fare Collections 100% 03/15/2014 - Contract 12, North Yard Operations Building 100% 02/25/2016 - Contract 16, Sugar Creek Parking Garage. 100% 11/21/2015 - Landscape A 100% 02/11/2016 - Landscape B 100% 02/11/2016 - Landscape C 100% 02/11/2016 10. Safety and Security Construction Conformance Checklists (CCC’s) Checklist Development: 100% 05/15/2016 43 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 Item # November 2016 LYNX BLE SSC Tasks and Status SSC Tasks Accomplished / Underway % Completion Dates Comments - Contract 1C, Advanced Utility Segment C 100% 04/15/2016 - Contract 1A, Advanced Utility Segment A 100% 04/15/2016 - Contract 1B, Advanced Utility Segment B 100% 05/15/2016 - Contract 2A, Civil and Roadway Segment A  7th -9th Street 95% 4Q/2017  9th Street – North Yard 99% 4Q/2017  North Yard – Old Concord Road 0% 4Q/2017 - Contract 3, Civil and Roadway Segment B/C 41% 4Q/2016 - Contract 5, Track, Systems, TP, OCS, Signals and

Communications, LRV Tracks  7th – 9th Street 100% 2Q/2017  9th Street – North Yard 65% 2Q/2017  North Yard – UNCC 0% 2Q/2017 - Contract 6, Station Finishes 0% 1Q/2017 - Contract 7A, Old Concord Park and Ride 70% 4Q/2016 - Contract 8A JW Clay Parking Garage 0% 1Q/2017 - Contract 8B UCB Parking Garage 0% 1Q/2017 The original scope of Contract 9 was - Contract 9, SBLRF Upfit (Existing VMF) divided into three phases.  Phase A 75% 4Q/2016  Phase B 0% 2Q/2017  Phase C 0% 3Q/2017 - Contract 11, Fare Collections 0% 1Q/2017 - Contract 12, North Yard Operations Building 0% 1Q/2017 - Contract 16, Sugar Creek Parking Garage. 0% 1Q/2017 - Contract 14, Landscaping  Landscape 14B 0% 1Q/2017  Landscape 14C 0% 1Q/2017  Landscape 14F 0% 1Q/2017 11. Safety and Security Specification Conformance Checklists (SPCC’s) Checklist Development 100% 05/25/2016 - Contract 1C, Advanced Utility Segment C 100% 05/10/2016 - Contract 1A, Advanced Utility Segment A 100% 05/10/2016 - Contract 1B, Advanced Utility Segment B 100% 05/10/2016 - Contract 2, Civil and Roadway Segment A 100% 05/25/2016 - Contract 3, Civil and Roadway Segment B/C 100% 05/10/2015 - Contract 5, Track, Systems, TP, OCS, Signals and 100% 05/10/2016 Communications, LRV Tracks - Contract 6, Station Finishes 100% 05/10/2016 - Contract 7A, Old Concord Park and Ride 100% 05/10/2016 - Contract 8, Parking Garages 100% 05/10/2016 - Contract 9, Upfit Existing VMF 100% 05/10/2015 - Contract 11, Fare Collections 100% 05/25/2016 - Contract 12, North Yard Operations Building 100% 05/25/2016 - Contract 16, Sugar Creek Parking Garage. 100% 05/15/2016 - Contract 14, Landscape Checklist Approved  Landscape 14B 100% 9/19/2016 by SSRC in September 2016 Checklist Approved  Landscape 14C 100% 9/19/2016 by SSRC in September 2016

44 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 Item # November 2016 LYNX BLE SSC Tasks and Status SSC Tasks Accomplished / Underway % Completion Dates Comments Checklist Approved  Landscape 14F 100% 9/19/2016 by SSRC in September 2016 12. Systems Integration Testing Conformance Checklists Cannot develop the Integrations Testing Integration Testing Conformance Checklists Conformance 0% 2Q/2017 Development Checklists until the contractor develops the I.T. Plan Integration Testing Conformance Checklists 0% 2Q/2017 Verification 13. Operational Verification Efforts Pre-revenue service testing verification 0% 1Q/2017 Plans Rules and Procedures Verification 0% 1Q/2017 Training Requirements Verification 0% 1Q/2017 Organizational Changes Verification 0% 1Q/2017 Emergency Exercises Verification 0% 1Q/2017 Final S&S ROW and Stations Operational 0% 1Q/2017

Inspections 14. Final Certification Efforts Contract and Element Certificates 0% 3Q/2017 Project Certificate 0% 3Q/2017 Final Verification Report 0% 3Q/2017

45 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 Northeast Corridor Light Rail Project LYNX Blue Line Extension

RECORD OF DECISION MITIGATION COMMITMENTS AND MONITORING PLAN STATUS REPORT – NOVEMBER 2016 Mitigation Implementation and Responsible ID Mitigation Measure Timing Status Monitoring Party Number 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 Traffic analysis evaluated in EIS, but not included in the 65% The mitigation The mitigation to address project design plans. These modifications are reflected in the measures will be impacts have been included in Final Design Final Design plans (Contract 3 CIV B/C).* Please refer included in the traffic 1 the 65% Preliminary Engineering CATS & to the CATS BLE Mitigation Checklist Matrix for detailed design and signal Design Plans, including grade Construction references to plan sheets and specifications sections for operations plans and separations, signalized grade each mitigation measure. specifications. crossings, and turn lanes. 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.

46 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 Northeast Corridor Light Rail Project LYNX Blue Line Extension

Mitigation Implementation and Responsible ID Mitigation Measure Timing Status Monitoring Party Number Land Use The Charlotte-Mecklenburg A public meeting was held 1/31/13 to present the Planning Department will findings, results and recommendations for the BLE th complete Station Area Plans for Station Plans for the inner six stations (Parkwood, 25 , th each of the stations along the 36 , Sugar Creek, Old Concord & Tom Hunter BLE that define a framework for Stations). The draft station area plans were available for future growth and development. public comment through the end of April. The Blue Line Extension Transit Station Area Plans were adopted by Potential impacts due to the 36th the City Council 5/13/13. Street grade separation have The Charlotte- been identified as a Mecklenburg Planning The Charlotte-Mecklenburg Planning Department is concern. The Charlotte- Department will initiating the process to update station area plans for the Mecklenburg Planning continue development Final Design, University City stations (University City Blvd, Department will complete a and adoption of Station Construction, McCullough, and JW Clay Blvd.) This update will th Charlotte 2 station area plan for the 36 Area Plans in the & Operation account for the revisions in location and number of Planning Dept. Street Station. The plan will Northeast Corridor. stations since the University City Area Plan was identify opportunities and The 36th Street station COMPLETE adopted in 2007. Planning and CATS held a joint public constraints in the station area, area plan development workshop in December 2013 to receive feedback on the and provide recommendations is scheduled to begin in proposed revisions. Additional workshops were held in for land use policy, a streetscape 2012. February 2014 and July 2014. A final workshop was plan, and guidance for held on December 9, 2014. The updated University City infrastructure investments. The Area Plan was adopted by City Council on May 11, development of the station area 2015. plan is scheduled to begin in 2012. The process will include A station area development database is being public involvement and the maintained by the Planning Department, and is included opportunity for interested parties, in the BLE monthly report. including property owners, to provide input.

47 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 Northeast Corridor Light Rail Project LYNX Blue Line Extension

Mitigation Implementation and Responsible ID Mitigation Measure Timing Status Monitoring Party Number Once the BLE is in Neighborhoods operation, CATS Overflow parking in Safety and Security will neighborhoods near light rail monitor station areas, stations will be monitored. Status will be provided after the initiation of BLE rail 3 and investigate any CATS Operation Corrective actions to provide operations. complaints of overflow additional parking will be made parking in and/or parking enforcement will neighborhoods near be instituted, if necessary. light rail stations. Community Facilities Coordination with emergency CATS continues to hold bimonthly meetings with the service providers to ensure that Addressed through the Final Design Fire and Life Safety Committee to coordinate 4A design allows access for these Fire & Life Safety CATS & emergency service needs and review design plans. A services and that the efficiency Committee. Construction full-scale exercise will be executed prior to revenue of emergency services is not service operations. impeded. 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. CATS will coordinate Final Design Community Facilities These measures are reflected in the Final Design plans with CMC-University & Coordination with CMC- (Contract 3 CIV B/C).* Please refer to the CATS BLE 4B during final design CATS Construction University regarding the type and Mitigation Checklist Matrix for detailed references to regarding location of plan sheets and specifications sections for each location of directional signage. COMPLETE directional signage. mitigation measure.

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

Mitigation measures are reflected in the Final Design plans (Contract 2A CIV-A, Contract 5 TRK, & Contract 3 Environmental Justice CIV B/C). *Please refer to the CATS BLE Mitigation Noise mitigation for residential Checklist Matrix for detailed references to plan sheets properties located within EJ and specifications sections for each mitigation measure. communities of concern will be Final Design required, including use of a rail Include in design and 5 CATS & Also, refer to mitigation item #15. automated friction modifier, noise construction drawings. Construction barriers, sound insulation, The Construction Management Consultant has verified specially-engineered trackwork that the noise barriers (walls A8 and A37) have been and vibration isolation constructed consistent with plans and specifications treatments. (ICT #5.2 Completion Certificate, 9-15-15; and ICT #9 Completion Certificate 10-27-16).

48 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 Northeast Corridor Light Rail Project LYNX Blue Line Extension Mitigation Implementation and Responsible ID Mitigation Measure Timing Status Monitoring Party Number The project elements have been defined consistent with the BLE Design Criteria, Urban Design Framework, to Visual And Aesthetic Design project the extent practical. The mitigation measures are Implementation of the design elements consistent reflected in the Contract Specifications (007500 Article CATS & City Final Design treatments per the project’s with the BLE Design 2) and in the Final Design plans (Contract 1B UTL B, 6A Planning & Design Criteria, Urban Design Criteria, Urban Design Contract 2A CIV-A, Contract 2B FRT, & Contract 3 CIV Department Construction Framework, to the extent Framework, to the B/C). *Please refer to the CATS BLE Mitigation practical. extent practical. Checklist Matrix for detailed references to plan sheets and specifications sections for each mitigation measure.

49 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 Northeast Corridor Light Rail Project LYNX Blue Line Extension

Mitigation Implementation and Responsible ID Mitigation Measure Timing Status Monitoring Party Number A draft Landscaping Plan was developed for ROW negotiations. The intent is for the landscaping to be Visual And Aesthetic located within the TCE and become the property of the Coordination with property owner at the end of the project. The property owner can owners to discuss the following reject this offer. However, if accepted, the project will proposed mitigation: install with the landscape contract. Of the six affected  For the six affected CATS/City Real Estate properties, five of the six property owners accepted the properties in Hampshire will discuss landscaping offer; all six properties signed the Hills, landscaping is landscaping mitigation temporary construction easement agreements. proposed along the project with property owners

fencing, where right of way during real estate The Civil B/C contractor has taken over responsibility of permits. The landscaping acquisition process. adjusting the temporary signage to improve way finding may need to be placed on and retain visibility to the hospital through the project’s private property, if there is CATS will coordinate traffic changes. Permanent signage is included as part not sufficient public right of with CMC-University CATS & City ROW, Final of the Final Design Plans (Contract 3 CIV B/C).*Please way available; this would be during final design 6B Real Estate Design, & refer to the CATS BLE Mitigation Checklist Matrix for subject to agreement from regarding location of Division Construction detailed references to plan sheets and specifications the affected property directional signage. sections for each mitigation measure. owners.

 Additional directional CATS will coordinate CATS continue to coordinate with businesses along signage to improve way- with businesses along North Tryon to relocate business signage. finding to CMC-University North Tryon Street

and retain visibility to the during final design CATS worked with Charlotte Mecklenburg Planning hospital. regarding location of Department to draft a text amendment that allows Coordination with businesses business signage and businesses to seek sign adjustments when a along North Tryon Street to project design. government sponsored transportation project requires relocate business signage as either the relocation of an existing detached business needed and other design identification sign or impairs the visibility of an existing elements to minimize visual detached business identification sign to the adjacent impacts. travel lane. The text amendment was adopted by City Council on 9/16/13.

50 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 Northeast Corridor Light Rail Project LYNX Blue Line Extension

Mitigation Implementation and Responsible ID Mitigation Measure Timing Status Monitoring Party Number CATS will provide The mitigation measures are included in the Final design plans to UNC Design Plans (Contract 3 CIV B/C).*Please refer to the Visual And Aesthetic Charlotte for review CATS BLE Mitigation Checklist Matrix for detailed Continued coordination with and comment. references to plan sheets and specifications sections for stakeholders and potentially each mitigation measure. CATS provided 95% Final affected groups regarding CATS will regularly Final Design Design plans to UNC Charlotte. Monthly construction potential visual impacts: UNC 6C communicate with CATS & updates are held with UNC Charlotte. Charlotte to ensure consistency University City Partners Construction with campus design guidelines; regarding the property CATS continues to communicate regularly with and University City Partners to acquisition process, University City Partners regarding the design and provide information to affected design and construction of the project. UCP has agreed to fund an business owners. construction of the art treatment for the pedestrian bridges over N. Tryon project. Street at the JW Clay Blvd. Station.

51 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 Northeast Corridor Light Rail Project LYNX Blue Line Extension 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 Parklands and specifications sections for each mitigation measure. Toby Creek Greenway - Vegetative screens will be Include in contract During September 2014, the BLE team coordinated with maintained to the extent specifications. MCPR regarding impacts to the Toby Creek Greenway. practical; CATS will coordinate A pedestrian protection plan, which includes signage with MCPR to ensure the light CATS will continue to and flaggers, was reviewed by MCPR and is in place for rail bridge over the greenway coordinate with MCPR the temporary construction access road crossing the would not conflict with the at each design stage. Final Design greenway. In October 2014, the BLE team coordinated greenway, and to minimize with MCPR regarding the need to reconstruct at portion 7 CATS & impact to trail operations during Include in contract of the greenway that conflicts with the planned location Construction construction. An alternative specifications, of a pier for the light rail bridge over Toby Creek. MCPR route will be provided and requirement to notify concurred with the design on 10/28/14. The greenway attempts will be made to CATS and MCPR 48 was temporarily closed for drilling of the bridge piers, coordinate closure during a hours in advance of beginning 2/10/2015. CATS coordinated with period of least activity. CATS will temporary closure of Mecklenburg County Parks and Recreation for the notify MCPR 48 hours in greenway. public notice of the closure. advance of temporary closure of greenway due to construction. 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.

52 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 Northeast Corridor Light Rail Project LYNX Blue Line Extension

Mitigation Implementation and Responsible ID Mitigation Measure Timing Status Monitoring Party Number Forests The provision to comply with the Charlotte Tree Trees and landscaping will Final Design Ordinance is included in the Final design plans. Three replace vegetation loss. Park- Include in design plans 8 CATS & landscaping contracts were awarded in September and ride lots will comply with and specifications. Construction 2016, with five more scheduled for award in December Charlotte Tree Ordinance, which 2016. requires 8 percent coverage. Threatened and Endangered Species For the Carolina birds-foot trefoil, prior to construction, the contractor will be required to Due to timing of the current project schedule, the confirm the presence of the plant contractor will not be under contract by the fall 2013, in the corridor. If present, then which is the period acceptable to survey the presence of seeds from the plant will be the plant or collect the seeds. STV completed the collected and subsequently Include in contract Final Design survey field to confirm the presence of the plant and sown/scattered in newly specifications. & (and if present) perform the required seed collection. 9A disturbed areas, such as along CATS Construction The Carolina birds-foot trefoil survey was completed by road/rail embankments CATS will coordinate STV the week of 10/21/13. No specimens were found. associated with project with the NCNHP. COMPLETE On 12/30/13, the document was sent to the NC Natural construction. Additionally, seeds Heritage Program for their records, with a copy to the will be donated to the North Wildlife Resource Commission and the US Fish and Carolina Botanical Garden for Wildlife Service. deep freeze purposes; and CATS will coordinate with the North Carolina Natural Heritage Program (NCNHP) to update their records. Wildlife Include in contract CATS Construction This requirement is included in the contract Survey for migratory bird nesting specifications. specifications (007500 Special Provisions, Article 7, sites will be completed if it COMPLETE Section 7.1). 9B becomes evident that migratory birds are utilizing the project area.

53 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 Northeast Corridor Light Rail Project LYNX Blue Line Extension

Mitigation Implementation and Responsible ID Mitigation Measure Timing Status Monitoring Party Number 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 The well abandonment /closure application was will complete the abandonment / submitted to Mecklenburg County on 6/5/13. The permit closure process to seal the well Complete the well was reviewed and approved by Mecklenburg County Final Design per NC Department of abandonment / closure CATS / UNC and received by CATS 7/2/13. CATS signed the permit 10 Environment and Natural process prior to Charlotte COMPLETE and sent a copy to Mecklenburg County 7/8/13. The Resources (DENR) construction. final elevation for the BLE project was lower than the requirements. A permit will be depth of the well, so the Civil B/C contractor excavated obtained as required from the the entire well. Mecklenburg County Health Department, and the closure will comply with the requirements of the Mecklenburg County Groundwater Well Regulations Chapter II Section XIII.

54 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 Northeast Corridor Light Rail Project LYNX Blue Line Extension NCDENR DWQ signed the 401 Water Quality Certification on 6/28/12. US Army Corps of Engineers Surface waters (USACE) signed the 404 Permit on 12/27/12. CATS Design will continue to minimize sent a Plan Modifications letter (dated 9/9/13) to the impacts to streams through the USACE. The USACE concurred that a modified permit limited use of riprap at pipe inlets Include as part of is not needed. NCDENR issued a Modification to the and outfalls; the relocation of construction plans and 401 Certification dated 10/9/13. channels using natural channel contract specifications. design techniques where NCDENR performed a compliance review for the 401 practicable; and preservation of Purchase of permit on 2/17/2016 (see item #27 for further detail). stream banks at proposed bridge compensatory stream crossings. Compensatory mitigation credits from Final Design The 404 permit requires the purchase of mitigation mitigation will be made through 11 the Charlotte Umbrella CATS & credits from the Charlotte Stream and Wetland the Charlotte Umbrella Stream Stream and Wetland Construction Mitigation Bank and the NC Ecosystem Enhancement and Wetland Mitigation bank Mitigation bank, as Program (EEP). The compensatory mitigation when impacts are unavoidable required by the Clean responsibility for the LYNX BLE project was transferred and as required by the Clean Water Action Section to the City of Charlotte Stream and Wetland Umbrella Water Act and as determined in 404 individual permit Mitigation Bank on 4/18/13. coordination with the U.S. Corps and Section 401 Water of Engineers and the North Quality Certification. The mitigation measures have been included as part of Carolina Department of the Final Design Plans (Contract 2A CIV A & Contract 3 Environment and Natural CIV B/C) and Contract Specifications (Special Provision Resources, Division of Water *Please refer to the CATS BLE Mitigation -0075000) Quality. Checklist Matrix for detailed references to plan sheets and specifications sections.

55 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 Northeast Corridor Light Rail Project LYNX Blue Line Extension

Mitigation Implementation and Responsible ID Mitigation Measure Timing Status Monitoring Party Number

Floodplains and floodways FEMA No Rise Bridge design will continue to The Toby Creek CLOMR was revised and sent to Certification and a minimize impacts to floodplains FEMA. FEMA re-issued the letter and the fee was paid Conditional Letter of and floodways. Continued Final Design by CATS. The Toby Creek Conditional Letter of Map Map Revision 12 coordination with Charlotte and CATS Revision (CLOMR) was issued by FEMA on 12/27/2013. (CLOMR) will be Mecklenburg County Stormwater COMPLETE obtained for the Services will be made for The Floodplain Development Permit for Little Sugar crossing of Little Sugar continued input into the project Creek was issued in September 2013. Creek and Toby Creek. design.

Wetlands Additional efforts to avoid and NCDENR DWQ signed the 401 Water Quality minimize impacts to wetlands will Certification on 6/28/12. US Army Corps of Engineers continue to be made during (USACE) signed the 404 Permit on 12/27/12. CATS preliminary engineering design, Include as part of sent a Plan Modifications letter (dated 9/9/13) to the including: steepening fill slopes construction plans and USACE. The USACE concurred that a modified permit where practicable; use of contract specifications. is not needed. NCDENR issued a Modification to the retaining walls or similar 401 Certification dated 10/9/13. structures; locating construction Purchase of staging and access areas away compensatory wetland The permit requires the purchase of mitigation credits from wetlands; and demarcating mitigation credits from from the Charlotte Stream and Wetland Mitigation Bank preserved wetland areas prior to Final Design the NC DENR and the NC Ecosystem Enhancement Program (EEP). 13 construction. Compensatory CATS & Ecosystem The compensatory mitigation responsibility for the LYNX mitigation will be made through Construction Enhancement Program BLE project was transferred to the City of Charlotte the North Carolina Department of (EEP), as required by Stream and Wetland Umbrella Mitigation Bank on Environment and Natural the Clean Water Action 4/18/13. Resources (DENR) Ecosystem Section 404 individual Enhancement Program (EEP) permit and Section 401 The mitigation measures have been included as part of when impacts are unavoidable, Water Quality the Final Design Plans (Contract 2A CIV A & Contract 3 and as required by the Clean Certification. CIV B/C) and Contract Specifications (Special Provision Water Act and as determined in -0075000) *Please refer to the CATS BLE Mitigation coordination with the U.S. Corps Checklist Matrix for detailed references to plan sheets of Engineers and the North and specifications sections for each mitigation measure. Carolina Division of Water Quality.

56 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 Northeast Corridor Light Rail Project LYNX Blue Line Extension

Mitigation Implementation and Responsible ID Mitigation Measure Timing Status Monitoring Party Number 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 Air Quality permit has been reviewed by MCAQ. The permit Coordination with Mecklenburg was approved by Mecklenburg County Air Quality County Land Use & Meet requirements to (MCAQ) on 12/2/13. Environmental Services Agency obtain Transportation Final Design

14 to comply with air quality Facilities Construction CATS CATS filed for a rezoning for the University City modeling requirements for Permit for the parking COMPLETE Blvd. deck, which was approved at the 11/18/13 Transportation Facilities garages. Charlotte City Council meeting. CATS submitted Construction Permits for the the Transportation Facilities Permit application for proposed parking garages. 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.

57 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 Northeast Corridor Light Rail Project LYNX Blue Line Extension

Mitigation Implementation and Responsible ID Mitigation Measure Timing Status Monitoring Party Number Noise and Vibration Noise mitigation measures include use of a rail automated friction modifier, noise barriers, Include in design and sound insulation, specially- construction drawings. engineered trackwork. Vibration Mitigation measures are reflected in the Final Design mitigation measures include the plans (Contract 2A CIV-A, Contract 5 TRK & Contract 3 use of ballast mats. Specific CIV B-C). Please refer to the CATS BLE Mitigation mitigation recommendations will Checklist Matrix for detailed references to plan sheets be coordinated with affected and specifications sections for each mitigation measure. Final Design property owners. 15 CATS & Follow-up with Hight Construction Relative to a potential business Veterinary Hospital and The Construction Management Consultant has verified impact on the Hight Veterinary monitor for potential that the noise barriers (walls A8 and A37) have been Hospital from noise related to business impacts as a constructed consistent with plans and specifications light rail operations, CATS will result of potential noise (ICT #5.2 Completion Certificate, 9-15-15; and ICT #9 monitor and assess conditions at impacts to domestic Completion Certificate 10-27-16). this business once the system is animals at the constructed and light rail is in veterinary hospital. operation. If noise impacts do occur, then mitigation measures will be identified and employed.

58 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 Northeast Corridor Light Rail Project LYNX Blue Line Extension

Mitigation Implementation and Responsible ID Mitigation Measure Timing Status Monitoring Party Number Hazardous and Contaminated Phase II ESAs have been completed for property Materials Phase II ESAs will be acquisitions with significant risk of hazardous performed, or if available, contamination. existing Phase II ESA reports will be reviewed, for all full and As part of the recent discussions regarding the Detrex partial property acquisitions property (3114 and 3124 Cullman Ave.) with NCDENR, determined to be at significant it was identified that a liner may be needed for the risk of hazardous materials drainage ditch to prevent groundwater contamination. contamination which would Subsequent modifications in CATS’ drainage design impact the LYNX BLE have been made to avoid further contamination or construction schedule. disruption to the contaminated property. In addition, Remediation in accordance with Conduct Phase II ESAs NCDENR stated that a NPDES permit would be local and state regulations. For for property required for dewatering during construction of the sites of low concern, a special acquisitions with retaining wall due to the presence of contamination. The provision will be included in the significant risk of public comment period for the draft NPDES permit construction contract for the hazardous ended 8/19/13. The final NPDES permit was issued excavation and disposal of non- contamination. 9/10/13. hazardous contaminated sites. Remediate hazardous CATS applied for the NPDES permit for the DETREX materials and Alpha Mills sites for dewatering during construction. ROW, Final contamination in The permit application was sent to NCDENR 5/30/13. 16 CATS Design & accordance with local CATS received the final NPDES permit from NCDENR Construction and state regulations. 8/28/13.

Include a special The affected properties have been identified and provision in the included as part of the Final Design Plans (Contract 1B construction contract UTL B, 2A CIV A & Contract 3 CIV B/C). The contract for the excavation and specifications (Special Provision -0075000 Article 2) disposal of non- provide for the excavation and disposal of non- hazardous hazardous contaminated sites) *Please refer to the contaminated sites. 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 any violations.

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Mitigation Implementation and Responsible ID Mitigation Measure Timing Status Monitoring Party Number 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 Safety and Security Ensure design review Design Criteria Conformance Checklists were Design review by CATS Safety and safety and security completed by the Designer of Record and include the and Security/CMPD, NCDOT certification of project necessary safety requirements. CATS and the Safety Safety Oversight, and Charlotte design and Final Design and Security Review Committee updated the PHA and 17 Department of Transportation to construction. CATS & TVAs. ensure design meets safety and Construction security requirements. Continue railroad As of November 2016, the Construction Conformance Continued public outreach safety public outreach Checklists (CCC’s) are at the following % completion: regarding railroad safety. program. Civil A - 64%; Civil B/C – 56%; Station Finishes 35%, JWC – 28%; OCR – 83%;.

An Interim Safety and Security Certificate was issued for 7th Street to North Yard Temporary Use and Storage on 10/18/16. Comply with the Real estate acquisition continues. CATS & City Real Acquisitions and Displacements Uniform Relocation CATS & City ROW, Final Estate follow the Uniform Relocation Assistance and Uniform Relocation Assistance 18 Assistance and Real Real Estate Design & Real Property Acquisition Policy Act for all ROW and Real Property Acquisition Property Acquisition Division Construction negotiations, as described in the Real Estate Acquisition Policies Act will be followed. Policies Act. Management Plan (RAMP). Construction (Utility) Coordination with utility owners continues. CATS has  Coordinate with utility owners Coordinate with utility executed agreements with both AT&T and Duke. CATS to ensure maintenance of owners and monitor re- and Duke Energy executed an agreement for the utility services and timely location activities and Final Design transmission relocation and started construction in July. 19 relocation schedule. Relocation CATS & CATS and the Construction Management Consultant  Relocate, remove and protect agreements to be Construction have Utility Coordinators that monitor the relocation existing utilities. executed with Duke activity and schedule. The Communication staff has Energy and AT&T. communication protocols in place regarding utility cuts to inform affected businesses and stakeholders.

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Construction (Transportation, CATS has developed a Maintenance of Traffic Plan. Traffic and Parking) The plan measures have been included in the Final  Schedule construction Design Plans (Contract 1B UTL B, Contract 2A CIV A, activities that require lane or Contract 3 CIV B/C) and the contract provisions road closures during off-peak (Contract 1B UTL B 007500 Article 2, Project Special hours, where practical. Provision 2.7, SP-02-007 Traffic Control; Contract 2A  Develop Maintenance of CIV A 007500, Special Project Provisions, Article 2, Traffic Plan. Project Special Provisions, Section 2.8, SP-02-008  Coordinate freight schedule Traffic Control; Contract 3 CIV B/C - Standard Special and construction activities Provisions, 007000, Article 2.10, 2.11, 2.14, 2.15,2.16, with the railroads. 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: th Develop Maintenance  8 Street was closed in September 2014 and of Traffic Plan and reopened in November 2015. coordinate with  9th Street was closed in February 2015 and railroads and local and reopened in November 2015. th state transportation Final Design  12 Street was closed on August 31, 2015, and 20 departments. Include CATS & reopened in November 2015. th as part of construction Construction  16 Street was closed on November 23, 2015 plans and contract reopened in December 2015. specifications. Monitor  Raleigh St. between Greensboro St. and Sugar contractor compliance Creek Rd. was closed on August 24, 2015 and during construction. 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.

61 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 Northeast Corridor Light Rail Project LYNX Blue Line Extension

Mitigation Implementation and Responsible ID Mitigation Measure Timing Status Monitoring Party Number 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. 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 Construction (Land Use, identify potential business signage impacts during Community Facilities and construction. CATS will provide temporary signage for Develop construction Businesses) businesses. Signs have been erected for the UTL-C sequencing and  Coordinate with local and UTL-B areas. In some cases, because the maintenance of traffic business owners and provide permanent location of the signage may be within plans that ensure advance notification of temporary construction easements, relocation during access to businesses roadway disruptions and construction may not be feasible. For these instances, and community Final Design descriptions of alternative CATS worked with Planning Dept to draft a text 21 facilities is maintained CATS & routes. amendment that allows businesses to seek sign during construction. Construction  Maintain access to adjustments when a government sponsored Include in construction community facilities transportation project requires either the relocation of plans and contract throughout construction by an existing detached business sign or impairs the specifications. Monitor providing alternative routes visibility of an existing detached business identification contractor compliance when necessary. sign to the adjacent travel lane. The text amendment during construction.  Provide temporary entrance was adopted by City Council 9/16/13. signs during construction. 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.

62 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 Northeast Corridor Light Rail Project LYNX Blue Line Extension

Mitigation Implementation and Responsible ID Mitigation Measure Timing Status Monitoring Party Number

The contract specifications include sustainable practices in the city special provisions which cover the mitigation Construction (Visual and commitments to visual and aesthetic conditions during Aesthetic) construction (Contract 1B, Contract 2A CIV A, Contract  Shield and aim night work 3 CIV B/C -- 007500 Special Provision Article 2, lights directly at the work Sections 2.7 and 2.10). zone. Include in contract Final Design  Stage construction activities specifications. Monitor Contractor (CIV-A & CIV-BC) has committed to 22 CATS & to limit the duration of impacts contractor compliance reviewing sustainable practices with construction Construction at individual locations. during construction. personnel during regularly scheduled tool box and/or  Where practical, restore preconstruction quality meetings. CMC Quality Manager existing vegetation that is monitoring the contractors (audits & project ride- serves as a buffer to adjacent throughs) to ensure this occurs. properties. Night work has halted. Spot checks were accomplished previously. Vegetation is assessed ongoing and on final walkthrough.

63 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 Northeast Corridor Light Rail Project LYNX Blue Line Extension

Mitigation Implementation and Responsible ID Mitigation Measure Timing Status Monitoring Party Number 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 Construction (Neighborhoods, team has a specific construction update webpage to Community Services and Develop and communicate anticipated construction activities. Environmental Justice) implement Additionally, the team issues letters, email blasts, and  Inform local property owners, Construction Education utilizes social media (Twitter and Facebook) to through the Construction and Outreach Plan, communicate traffic impacts, disruptions, and access Education and Outreach including information. The BLE Communications Team also Plan, of roadway disruptions. communication with sends out a daily email to first responders with lane and  Provide continuous property owners and Final Design road closure information. The BLE business liaison also 23 coordination with community community service CATS & kept businesses informed of construction updates and service providers to maintain providers. Construction roadway disruptions. Business canvassing is also a tool access for emergency the BLE communications team has utilized to vehicles. Include access communicate detailed roadway disruptions to specific  Restrict contractors from restrictions in contract impacted businesses. The BLE Communications Team accessing the railroad right- specifications. Monitor has focused on communicating to the public the major of-way through the contractor compliance traffic control plan along North Tryon Street which Hampshire Hills during construction. continues to be implemented from Old Concord Road to neighborhood. 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.

64 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 Northeast Corridor Light Rail Project LYNX Blue Line Extension

Mitigation Implementation and Responsible ID Mitigation Measure Timing Status Monitoring Party Number Construction (Air Quality)  Shut off construction The Final Design Plans (Contract 1B UTL B, Contract equipment not in direct use. 2A CIV A, and Contract 3 CIV B/C) and the contract  Water areas of exposed soil specifications include sustainable practices in the city to control dust. special provisions which cover the mitigation  Cover open body trucks commitments to protect air quality during construction transporting materials to and (007500 Special Provision Article 2, Sections 2.7). from construction sites. Please refer to the CATS BLE Mitigation Checklist Include mitigation  Reroute truck traffic away Matrix for detailed references to plan sheets and requirements in from schools and residential specifications sections for each mitigation measure. construction plans and Final Design communities when possible. 24 contract specifications. CATS &  Contractor (CIV-A & CIV-B/C) has committed to Repave and/or replant Monitor contractor Construction reviewing sustainable practices with construction exposed areas as soon as compliance during personnel during regularly scheduled tool box or possible following construction. construction. preconstruction quality meetings. CMC inspectors  Adequately secure tarps, monitoring for compliance. plastic or other material over debris piles. HNTB Inspectors and Safety provide spot checks on  Prohibit idling of delivery equipment use and cargo security. Water trucks are trucks or other equipment currently being utilized and are also emphasized in during periods of extended progress meetings. unloading or inactivity.

65 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 Northeast Corridor Light Rail Project LYNX Blue Line Extension

Mitigation Implementation and Responsible ID Mitigation Measure Timing Status Monitoring Party Number The Final Design Plans (Contract 2A CIV A, Contract 3 Construction (Noise and Vibration) CIV B/C) and the contract specifications include  Construction activities will be sustainable practices in the city special provisions carried out in compliance with all which cover the mitigation commitments to protect applicable local noise regulations including the City of Charlotte noise and vibration during construction (007500 Noise Ordinance, FTA guidelines Special Provision Article 1, Sections 1.7). Please refer and UNC Charlotte specified to the CATS BLE Mitigation Checklist Matrix for parameters. detailed references to plan sheets and specifications o At UNC Charlotte, sections for each mitigation measure. construction will not be allowed near residence The BLE team has provided the construction halls prior to 8:00 am nor consultant and contractors with a customer service within 200 feet of campus number and an email address for community questions buildings during the week of final exams. and complaints. The BLE team members and the  Contractors will prepare a construction consultant also handle complaints directly Construction Noise and Vibration via email, phone and in person. The BLE team also Control Plan. addresses construction questions at community  Contractor(s) will involve an meetings. The BLE Communications Team has crafted Acoustical Engineer to ensure and distributed pre-blasting survey letters to all Include in construction noise and vibration levels are impacted properties and daily notifications of blasting plans and contract Final Design effectively managed and activities. 25 specifications. Monitor CATS & excessive noise and vibration is prevented. contractor compliance Construction CIV-BC contractor submitted blasting plan September o Contractors will provide a during construction. phone number and/or 2014. The plan has been approved by CATS/CATS website for community representative and NCDOT. complaints, and the Acoustical Engineer will Noise and vibration reports are submitted weekly and respond and coordinate have been submitted through: with the Construction October 2016 - CIV-A Manager to resolve October 2016 - CIV-B/C complaints. o For blasting operations, February 2016 - JWC Parking Garage (as needed contractors will consult with basis) nearby sensitive receptors June 2015 - UCB Parking Garage (as needed basis) to schedule the least September 2016 - North Yard Bldg. (as needed basis) disturbing times and October 2016 - OCR provide advance notice of blasting operations. The The following noise and vibration readings have been contractor shall prepare a verified and are in compliance: Blasting Plan to be – approved by CATS and Civil A 10/21/2016 others designated by CATS Civil B/C – 11/05/2016 (e.g. UNC Charlotte). North Yard – 9/15/2016 OCR – 10/21/2016

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Mitigation Implementation and Responsible ID Mitigation Measure Timing Status Monitoring Party Number o For blasting operations near UNC Charlotte, the contractor shall follow specific notification procedures to avoid damages to vibration sensitive equipment. The The Final Design Plans (Contract 3 CIV B/C) and the contractor shall provide a contract specifications include sustainable practices in one-week advance notice Include in construction the city special provisions which cover the mitigation of the start of blasting plans and contract Final Design commitments to protect noise and vibration during 25 operations. The contractor specifications. Monitor CATS & construction (007500 Special Provision Article 1, (continued) shall facilitate a pre-blast Please refer to the CATS BLE Mitigation contractor compliance Construction Sections 1.7). meeting to define the entire Checklist Matrix for detailed references to plan sheets during construction. schedule and scope of and specifications sections for each mitigation measure. sequence of blasting. Blasting shall be scheduled All blasting operations are complete. 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.

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Mitigation Implementation and Responsible ID Mitigation Measure Timing Status Monitoring Party Number  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 The Final Design Plans (Contract 2A CIV A, Contract 3 vibration measures to be CIV B/C) and the contract specifications include implemented near sensitive sustainable practices in the city special provisions which receptors will be identified by cover the mitigation commitments to protect noise and the contractor in the Include in construction vibration during construction (007500 Special Provision Construction Noise and plans and contract Final Design Please refer to the CATS BLE 25 Article 1, Sections 1.7). Vibration Control Plan. General specifications. Monitor CATS & Mitigation Checklist Matrix for detailed references to noise mitigation measures (continued) including, but not limited to: contractor compliance Construction plan sheets and specifications sections for each operational restrictions; the use during construction. mitigation measure. 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.

68 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 Northeast Corridor Light Rail Project LYNX Blue Line Extension

Mitigation Implementation and Responsible ID Mitigation Measure Timing Status Monitoring Party Number The Final Design Plans (Contract 1B UTL B, Contract Construction (Natural 2A CIV A, and Contract 3 CIV B/C) and the contract Resources) specifications include sustainable practices in the city Best management practice special provisions which cover the mitigation (BMP) measures will be followed commitments to protect natural resources during by the contractor during Include in construction construction (007500 Special Provision Article 1, construction. BMP measures will plans and contract Final Design Sections 1.7). Please refer to the CATS BLE Mitigation include the demarcation of the 26 specifications. Monitor CATS & Checklist Matrix for detailed references to plan sheets construction limits and staging contractor compliance Construction and specifications sections for each mitigation measure. areas prior to the initiation of during construction. construction, to limit the BMP measures are outlined in the specifications and disturbances to the vegetative are spot checked by HNTB Inspectors and HNTB community. Encourage Safety. contractor to send felled trees to

a chipper.

69 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 Northeast Corridor Light Rail Project LYNX Blue Line Extension 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 Construction (Water Resources) CATS BLE Mitigation Checklist Matrix for detailed  Minimize disturbed areas. references to plan sheets and specifications sections for  Apply prompt stabilization. each mitigation measure. Additionally, erosion control  Employ an Erosion and permits have been obtained through NCDENR for the Sediment Control Plan to construction contracts. treat stormwater runoff.  Prevent the storage of fill or The required NPDES inspections take place on a other materials in floodplains, weekly basis and after .5” of rainfall and are conducted to the extent practicable. by the contractors/construction managers. Erosion  Stage construction of control logs are submitted and verified by the ARE prior proposed stormwater to the approval of pay estimates. Include in construction systems to reduce the plans and contract Final Design duration of construction City of Charlotte Land Development staff conducts 27 specifications. Monitor CATS & disturbances to a given area. weekly audit NPDES inspections. The subsequent contractor compliance Construction  reports consist of standard DENR forms and a digitally Recycle topsoil removed during construction. during construction by using it marked .pdf of the erosion control plans. These are to reclaim disturbed areas emailed each week to the BLE Construction Manager and enhance regrowth. and Manager of Construction, HNTB, and the Water  Avoid excessive slopes Quality Administrator (Land Development). during excavation and blasting operations to reduce In March 2015, NC DENR issued two Notices of erosion. Violation to the City for exceeding the total suspended  Use isolation techniques, solids (TSS) l and the pH limits in the Civil A such as berming or diversion, construction area. The City worked with the contractor for in-stream construction to implement both corrective actions and preventive near wetlands. 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.

70 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 Northeast Corridor Light Rail Project LYNX Blue Line Extension

Mitigation Implementation and Responsible ID Mitigation Measure Timing Status Monitoring Party Number Construction (Water Resources)  Minimize disturbed areas.  Apply prompt stabilization.  Employ an Erosion and Sediment Control Plan to treat stormwater runoff. On February 17, 2016, the NCDEQ Division of Water  Prevent the storage of fill or Resources conducted a field review of permit compliance other materials in floodplains, on the BLE project. STV prepared a memo summarizing to the extent practicable. the issues that were identified, primarily related to erosion  Stage construction of control. These issues have been addressed by HNTB with proposed stormwater the construction contractors, and erosion control logs for Include in construction systems to reduce the Civil A and Civil B/C were provided as requested to DWR plans and contract Final Design 27 duration of construction in March 2016. specifications. Monitor CATS & (continued) disturbances to a given area. contractor compliance Construction  On October 6, 2016, the NCDEQ Land Quality Section Recycle topsoil removed during construction. during construction by using it conducted a Sedimentation/Construction Storm water to reclaim disturbed areas Inspection of the Civil A contractor. Two violations and and enhance regrowth. non-compliance with the NPDES permit were reported.  Avoid excessive slopes HNTB is working with the contractor to ensure the issues during excavation and are addressed immediately. blasting operations to reduce erosion.  Use isolation techniques, such as berming or diversion, for in-stream construction near wetlands.

71 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 Northeast Corridor Light Rail Project LYNX Blue Line Extension 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 Construction (Cultural references to plan sheets and specifications sections for Resources) each mitigation measure.  Stop construction activities immediately upon the On 7/25/13 CATS provided an updated on the Herrin discovery of any new cultural Brothers property regarding the 95% design plans. On resources. 8/7/13, SHPO concurred that there have been no  Contractors will prepare a additional changes that would adversely affect the historic Construction Noise and properties. Thus, the No Adverse Effect finding for the Vibration Control Plan, and property remains. conduct vibration monitoring during construction. Include in construction The property owner of the Grinnell building, a contributing  Contractors will be instructed plans and contract resource to the North Charlotte Historic District, informed to avoid adjacent historic specifications. Monitor CATS of his intent to demolish the historic building. With sites through construction contractor compliance Final Design the building demolished, the retaining wall and 28 fencing or some other clearly during construction. CATS & underpinning to protect the building will no longer be understood Construction required. On 12/3/13, CATS notified SHPO. SHPO construction/staging Provide final design directed CATS to notify them when the building is actually technique. plans to SHPO for demolished by the property owner, that there is no longer  The State Historic review. an historic property and CATS plans have been adjusted Preservation Office (SHPO) accordingly. On 2/19/14, CATS notified SHPO and will review the proposed provided documentation of the demolition of the Grinnell pile/panel walls along the Manufacturing Building. On 2/27/14, the SHPO concurred edges of the Herrin Brothers that the property was no longer a contributing element to Coal and Ice site during Final the historic district and any mitigation measures proposed Design. to protect the building are no longer warranted.  Maintain minimum allowable distances from historic Noise & Vibration Plans (November 2016 status): resources, to the extent CIV-A: Approved; CIV-BC: Approved; TRK-SYS: practicable. 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 October 2016 - CIV-A, CIV-B/C, OCR; September 2016 - North Yard Bldg.; February 2016 - JWC Parking Garage; June 2015 - UCB Parking Garage.

72 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 Northeast Corridor Light Rail Project LYNX Blue Line Extension Mitigation Implementation and Responsible ID Mitigation Measure Timing Status Monitoring Party Number The Final Design Plans (Contract 3 CIV B/C) cover the Construction (Parklands) mitigation commitments to protect access to parklands.  Maintain access to trails and Please refer to the CATS BLE Mitigation Checklist minimize temporary closures Matrix for detailed references to plan sheets and to the extent practical. specifications sections for each mitigation measure.  Notify MCPR 48 hours in advance of temporary The BLE team has coordinated with MCPR regarding impacts to the Toby Creek Greenway. A pedestrian closures of greenway due to Include in construction protection plan, which includes signage and flaggers, is construction. plans and contract in place for the temporary construction access road specifications. Monitor crossing the greenway. Construction crews closed the contractor compliance Toby Creek Greenway, where the LYNX Blue Line during construction. Extension crosses the greenway. The closure began on

2/9/15 and continued for approximately two weeks. Include in contract Construction in this area includes the drilling of specifications, Final Design foundation structures that support the new light rail 29 requirement to notify CATS & bridge over Toby Creek. For two days in early July CATS and MCPR 48 Construction 2015, the greenway was closed during working hours hours in advance of only; the greenway reopened at the end of the work day temporary closure of so the community could use the greenway in the greenway. CATS to evening. The construction activities that took place over coordinate with MCPR these two days included the setting of girders for the to define an alternate final two spans of the Toby Creek light rail bridge. The route during temporary work area is located between the Mallard Creek closure of greenway. 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.

Construction (Energy) The contract specifications include in the city special Measures to minimize energy provisions which cover the mitigation commitments to consumption during construction Include in contract minimize energy consumption during construction could include limiting the idling of Final Design specifications. Monitor (Contracts 1B, 2A CIV A, 3 CIV B/C -- 007500 Special 30 construction equipment and CATS & contractor compliance Provision Article 2, Sections 2.7). employee vehicles, as well as Construction during construction. locating staging areas and Spot checks by HNTB Inspectors and Safety are material processing facilities as ongoing. close as possible to work sites.

73 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 Northeast Corridor Light Rail Project LYNX Blue Line Extension Mitigation Implementation and Responsible ID Mitigation Measure Timing Status Monitoring Party Number The contract specifications include in the city special provisions which cover the mitigation commitments to Construction (Hazardous and dispose of hazardous and contaminated materials, and Contaminated Materials) to clean construction vehicles to prevent off-site  Dispose of hazardous Include in contract contamination during construction (Contracts 1B, 2A materials according to Final Design specifications. Monitor CIV A, 3 CIV B/C -- 007500 Special Provision Article 2). 31 applicable federal, state and CATS & contractor compliance local guidelines. Construction during construction. To date an approximate total of 99,460 tons of non-  Clean construction vehicles to hazardous soil have been disposed and approximately prevent off-site 2,992,165 gallons of non-hazardous water have been contamination. treated and discharged according to permit and specifications.

74 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 Northeast Corridor Light Rail Project LYNX Blue Line Extension Mitigation Implementation and Responsible ID Mitigation Measure Timing Status Monitoring Party Number 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 Construction (Safety and Safety to ensure fencing and barriers are erected and Include in contract Security) Final Design maintained where needed. specifications. Monitor 32 Provide construction barriers and CATS & contractor compliance fencing to secure construction Construction This topic continues to be of frequent discussion at the during constructions. sites and staging areas. 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.

75 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 Northeast Corridor Light Rail Project LYNX Blue Line Extension Mitigation Implementation and Responsible ID Mitigation Measure Timing Status Monitoring Party Number Secondary Effects Implement Station Area Plan recommendations to minimize A public meeting was held 1/31/13 to present the potential secondary impacts. findings, results and recommendations for the BLE Other measures: Station Plans for the inner six stations (Parkwood, 25th,  Affordable housing strategies 36th, Sugar Creek, Old Concord & Tom Hunter to be developed with station Stations). The draft station area plans were available for area plans; public comment through the end of April. The Transit  Notification to the Landmarks Develop and Station Area Plans were adopted by the City Council Commission of National implement station area 5/13/13. Register Eligible properties plans that will include, that could be designated as as appropriate: The Charlotte-Mecklenburg Planning Department Local Landmarks to afford affordable housing City Planning updated the station area plans for the University City them protection; strategies, public Dept. stations (University City Blvd, McCullough, and JW Clay  Provide Convenient access to outreach, consideration Blvd.) This update will account for the revisions in light rail and bus services; of impacts to water Final Design location and number of stations since the University City  Public outreach/education resources and water & Area Plan was adopted in 2007. The updated University 33 regarding the benefits of quality. Construction City Area Plan was adopted by City Council on May 11, transit supportive 2015. development; public COMPLETE involvement in station area A complete Indirect and Cumulative Impacts analysis plan development; and, Complete Indirect and was provided with the 404/401 permit submitted to  Coordination with City of Cumulative Impacts CATS USACE on 12/21/11. NCDENR DWQ signed the 401 Charlotte's Stormwater analysis during the Water Quality Certification on 6/28/12. CATS received Services to minimize impacts Section 404/401 the USACE 404 Permit form for CATS signature on to water resources and water permitting process. 9/24/12. A form revision was issued by USACE. CATS quality during the station area signed the USACE 404 Permit in December 2012. US planning process. Army Corps of Engineers (USACE) signed the 404  Completion of a detailed Permit on 12/27/12. CATS sent a Plan Modifications Indirect and Cumulative letter (dated 9/9/13) to the USACE. The USACE Impacts analysis for water concurred that a modified permit is not needed. resources and water quality NCDENR issued a Modification to the 401 Certification during the Section 404/401 dated 10/9/13. permitting phase of the project.

76 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 Northeast Corridor Light Rail Project LYNX Blue Line Extension

Mitigation Implementation and Responsible ID Mitigation Measure Timing Status Monitoring Party Number A re-evaluation of the South Corridor Light Rail Project Final EIS is complete. FTA concurred with the findings on 4/25/12.

Cumulative Effects CATS continues to coordinate with NCDOT Rail on the  For the South Corridor Sugar Creek Grade Separation Project. In September Retrofit project, a re- 2013, NCDOT informed CATS that the schedule for the evaluation of the South Complete a re- project has slipped. Therefore, CATS has incorporated Corridor Light Rail Project evaluation of the South traffic control for the closure of Sugar Creek Road in the Final EIS will be undertaken Corridor Light Rail Civil A plans. CATS holds monthly construction to identify specific measures Project Final EIS prior coordination meetings with NCDOT. NCDOT awarded to mitigate potential impacts to implementation of the contract for the Sugar Creek Grade Separation to the South Corridor and the South Corridor Final Design project. However, the notice to proceed has been existing LYNX Blue Line. 34 Retrofit project. CATS & delayed due to required utility relocations (likely until

Construction March 2016). CATS delayed the closing of Sugar Creek  Continued coordination with Work with NCDOT to Road to 10/19/15 for its work. The road will remain NCDOT's Rail Division coordinate project closed for approximately three years until completion of regarding the project schedules to minimize the NCDOT project. schedule of the Sugar Creek impact on the Grade Separation Project and community. CATS continues to coordinate with NCDOT on the with NCDOT regarding the Mallard Creek bridge replacement project. Construction project schedule of the on this project was completed in early 2016. This Mallard Creek bridge project did not affect the schedule of the BLE. replacement on N. Tryon St.

Both the Sugar Creek Grade Separation and the Mallard Creek bridge replacement projects are being tracked in the BLE project master schedule.

77 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 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 contracted with Nelson & Nygaard (N&N) to study existing bus routes and develop a Bus-Rail Integration Plan. N&N provided CATS with two scenarios bus route scenarios. The scenarios were developed and adjusted based upon the feedback received from CATS. The two bus route scenarios contain route and adjustments and modifications that allow access to the BLE.  Scenario A modifies and adjusts bus routes. The route proposals result in an approximate 30,000 reduction in total service hours.  Scenario B modifies and adjusts bus routes. The route proposals result in no increase in total service hours.

CATS elected to pursue the Scenario B as the preferred Bus-Rail Integration Plan. As part of the public outreach process, CATS and N&N will provide passengers and residents with information on proposed bus routes and services modifications. CATS and N&N will conduct public meetings to receive feedback on the proposals. CATS and N&N will attend seven meetings by 10/15/16. Additional public meetings will be scheduled throughout the month of November. These meetings will give passengers and residents the opportunity to provide feedback on the route proposals. CATS will evaluate the feedback received as part of the public meeting process and make service adjustment and modification as necessary. N&N initiated the process of developing Title VI analysis for the required bus routes. The Title VI drafts will be based on bus route changes within Scenario B and will be completed at the conclusion of the public meetings. 8.0 Design a) Design Update All 100% design plans have been completed. 9.0 Construction See the following construction progress reports.

78 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 a) CONTRACT 2A: CIVIL – SEGMENT A FOR MONTH ENDING 10.31.2016

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.

Wall A22 – pouring concrete at foundation Moment slab between wall A16 and 36th Street Widening out slope north of wall A30 Settlement Actual/ Milestones Description Progress Agreement Forecast THIS MONTH Notice to Proceed 2/26/14 2/26/14A ICT #1.1: Access Road and Grading for  Moment Slab – from the end of wall A16 up to the LR Bridge 5/15/15 5/15/15A at 36th St. station completed. TPSS (3) and SH (5) ICT #1.2: Completion of paving on the  Approach slab adjacent to 36th St. station – completed. 10/15/15 10/15/16A  Widening out the slope north of wall A30, completed. access road for TPSS #14  ICT 7 – Contractor started working on conduits feeder for ICT #2: Freight Sub-ballast 1/1/16 11/19/16 transformer and cabinet. ICT #3.1: Parkwood Station 7/1/15 7/11/15A th  Freight track relocation – began grading for tracks. ICT #3.2: 25 St Station 7/13/15 7/23/15A  ICT #4: Completion of Conduit for NS freight alignment – began working on subgrade. 5/11/15 5/15/15A  Wall A19 – subballast started. Feeder Cables TPSS #12 ICT #5.1: Uptown to 12th St (includes 9th  Storm drainage system A12-24 –shoring completed. This 9/1/15 8/1/15A drainage is perpendicular to wall A31. St Station) th  Wall A22 – located at 36th St., foundation completed. ICT #5.2: 12 St to End of Seg A1 (CSX, th 10/15/15 9/15/15A  Wall A25 – located at 36th St., segments A and B completed. Parkwood & 25 ) ICT #5.3: North Yard 9/15/15 9/1/15A UPCOMING ACTIVITIES ICT #6.1: Old Concord Rd Station 8/1/15 8/1/15A  Walls A19 and A31 – install fencing. ICT #6.2: Sugar Creek Station 8/1/15 8/1/15A ICT #7: Conduit Completion for Feeder  Storm drainage system A12-24. 9/28/15 10/21/16  Wall A25 and A22 – located at 36th St. Cables TPSS 13 and 14 th  Storm drainage system A14 and A15 at Craighead Street. ICT #8: Station Foundation 36 St 1/16/16 8/30/16A  NS freight alignment – continue working on sub-ballast. ICT #9: LR Track Bed Segment A2 3/10/16 11/14/16 ICT #10: Silt Fence for Light Rail Bridge  Punch list – contractor continue working on several open 4/10/14 4/4/14A items from many areas of the project. at Sugar Creek ICT #11: Completion of work at 36th St  Storm drainage system A4 - 12’x10’ box culvert – located at 12/13/16 11/6/17 Station 1038+00, which is perpendicular to CSX Bridge. (250 calendar days from NS) Final Completion 1/30/17 11/17/17 ISSUES *Contractor actualized this ICT; an ICT completion certificate has not been issued. Contract Budget Amount  Freight Track Relocation – delays on ICT 2 due to NS communication signal locating and relocation activities. Amended Base Contract Value $106,701,130  Lack of resources remains an issue on the project. Change Orders Issued $7,741,832 Current Base Contract Value $114,442,962  Coordination with NS for ICT #2 & FTR. Impacts to work to re- open 36th Street. Total Actual Costs (Oct 16 Pay App) $99,615,209 % Billed to Date 87% % Complete (Sep 16 Schedule) 84.6%

Amended Contingency $8,555,904

Remaining Contingency $814,072

% Contingency Remaining 10%

Total Actual & Billed through 10/21/16 (DRAFT Pay Application) Schedule Actual/Forecast Dates are based on Contractor’s Sep Schedule Update (Data Date 9/30/16).

79 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 b) CONTRACT 3: CIVIL – SEGMENT B/C FOR MONTH ENDING 10.31.2016

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.

Leaf Railing at Old Concord Rd Bridge Planting Mix Installation in Segment B Raised Curb at the Shopping Center Dr Crosswalk

Contract Actual/ Milestones Description Progress Dates Forecast Notice to Proceed 5/14/14 5/14/14A THIS MONTH ICT # 1: Completion of utility joint duct 5/16/15 2/27/15A  Continued installing the planting mix in the median in bank north of WT Harris Blvd ICT # 2: JW Clay and UNC Charlotte Segments B & C, working north to the end of the 12/15/15 12/4/15A project. Station Foundations  Completed installation of the leaf railing at Old Concord ICT # 3: Grading, feeder cables & site prep. TPSS 16, 17 & 18 and Signal Houses 7/29/15 7/29/15A Road Bridge. 17 & 18  Started installing the ballast curb wall fence in Segment ICT # 4: Completion of sub-ballast – 6/1/16 4/1/16A B working north to Segment C. Weave to south of WT Harris Seg C ICT # 5: McCullough, Tom Hunter and  Continued fine grading, sidewalks, and driveway 3/1/16 3/1/16A installations in Segment B. UCB Station foundations ICT # 6: Grading, feeder cables and site  Completed the girder painting at I-85 Connector Bridge. prep. for TPSS #15 / Signal House 16 and 7/31/15 7/25/15A  Continued raising storm drainage structures to final Central comm. house ICT # 7: Completion of Sub-ballast - grade in multiple locations. 6/1/16 5/22/16A  Continued asphalt paving wedging in multiple locations South of WT Harris to End Seg C along N. Tryon Street, driveways and side streets. ICT # 8: Sub-ballast Complete Seg B 6/1/16 3/1/16A Final Completion 7/1/17 3/14/17  Completed the raised curb islands in Segments B & C at

pedestrian rail crossings. Contract Budget Amount  Continued miscellaneous traffic signal work and punch Amended Base Contract Value $128,315,574 list for the new traffic signals in multiple locations. Change Orders Issued* $14,736,065 Current Base Contract Value* $143,051,639 UPCOMING ACTIVITIES Total Actual Costs (Sep 16 Pay App) $124,907,216  Start installing the leaf railing on the WT Harris Bridge. % Billed to Date 87.3%  Complete the girder painting at Old Concord Rd Bridge. % Complete (Sep 16 Schedule) 91.2%  Start the handrails at CIP Wall C51 (UNC Charlotte Contingency* $16,936,168 Station). Remaining Contingency $2,200,103 % Contingency Remaining 13%  Continue installing the ballast curb wall fence. *Includes Contract Amendment 1  Continue fine grading, sidewalks, and installing Total Actual & Billed through 9/30/2016 (Pay Application). Scheduled driveways in Segment B. Actual/Forecast Dates are based on the Sep 16 Schedule Update (Data Date 9/30/16)  Continue installing planting mix in the median.  Continue asphalt paving wedging in multiple locations.  Continue misc. traffic signal work and punch list.  Continue raising storm drainage structures to final grade.

80 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 c) CONTRACT 5: TRACK AND SYSTEMS FOR MONTH ENDING 10.31.2016

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.

Fiber Optic Cable Installation near 9th St Setting the SCC at Parkwood Station Fiber Optic Staging in Segment B

Contract Actual/ Milestones Description Progress Dates Forecast THIS MONTH Notice to Proceed 5/14/14 5/14/14A  Segment A1 and North Yard ICT #1: Completion of the temporary trolley o Set SCCs and begin device wiring at the stations. wire from the beginning of the project to 11/22/14 10/19/14A  Segment A2 - (AC&W Bridge to Old Concord Rd) Uptown ICT #2: Completion of LRT, including testing o Continue trackwork at AC&W Bridge. 3/1/16 9/30/16 o Complete OCS from Old Concord Rd towards Sugar Creek. and acceptance in Seg A1 ICT #3: Completion of the light rail track,  Segment B 5/16/16 10/3/16 TPSS and OCS (Seg A1, 7th to 1100+00) o Begin installation of signal cable and fiber optic. ICT #3.1: Completion of the light rail track, o Complete OCS cantilevers, hanger wire, contact wire, 3/1/16 9/30/16 TPSS and OCS (Seg A1-A, 7th to 12th) balance weights and other components North of Tom ICT #4: Completion of LRT in Seg C 8/30/16 10/27/16 Hunter towards University City Garage. ICT #5: Completion of LRT in Seg A2 (Sugar 8/1/16 10/12/16  Segment C Creek to Old Concord Road) o Begin OCS cantilevers, hanger wire, contact wire, balance ICT #5.1: Completion of LRT in Seg A2 10/1/16 11/14/16 weights and other components from University City (1100+00 to Sugar Creek) *** Garage towards WT Harris Bridge. ICT #6: Completion of LRT in Seg B 8/30/16 10/13/16 o Complete track installation to UNC Charlotte Station. ICT #7: Completion of comm. system for 11/6/16 1/3/17 UPCOMING ACTIVITIES garages  Segment A1 ICT #8: Completion of comm. systems tie-in 1/17/17 2/14/17 o Continue fiber optic installation and installation of station for fare collection ICT #9 *: Completion of the track work and devices. 3/1/17 3/1/17  Segment A2 substantial completion of the systems work o Complete trackwork between AC&W Bridge and Sugar ICT #10: Completion of existing South Yard 10/10/15 10/12/15 A Creek. Final Completion 5/30/17 5/30/17 * Program Critical ICT. **Delays from Predecessor contracts have NOT been projected o Complete OCS between Sugar Creek and Old Concord Rd. ***Contract Date pending coordination discussions with Contractor o Set TPSS #13. Contract Budget Amount  Segment B Original Base Contract Value $110,905,080 o Complete OCS punchlist. Change Orders Issued $4,258,318 o Continue installation of signal cable and fiber optic. Current Base Contract Value $115,163,3998 o Begin installation of traffic crossing gates. Total Actual Costs (Sep 16 Pay App) $74,182,357  Segment C o Install signal cable and fiber optic. % Billed to Date 64.4% o Continue installation of OCS. % Complete (Sep 16 Update) 74.5% o Set TPSS #17 & TPSS #18. Original Contingency $14,944,681 ISSUES Remaining Contingency $10,686,363  Central Communications House design approvals. % Contingency Remaining 72%  Late submittals continue to plague the Contract. Total Actual and Billed through 9/30/16. Schedule Actual/Forecast Dates are based on  Ongoing quality issues affecting schedule progress. Contractor’s Revised Sep 2016 schedule update (Data Date 9/30/16)  Miscellaneous track quality issues (i.e., rail, tie and crossing panel damage).

81 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 d) CONTRACT 6: STATION FINISHES FOR MONTH ENDING 10.31.2016

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.

Roof Installation at 36th Street Station Topping Slab at JW Clay Station Tactile Warning Strip Pavers at 25th St Station

Revised Revised Progress Milestones Description (as of CD-1) Contract Actual/ (CD-1) Forecast THIS MONTH Notice to Proceed 3/10/15 3/10/15A th  Completed the SCC pad at 36 Street Station and the ICT #1: Aggregate Surface 9th St, th 6/1/16 generator pad at 25 Street Station. All SCC pads are Parkwood, & 25th St Station Platforms 11/16/16 ICT #2: JW Clay & UNC Charlotte Main complete. 3/28/16 8/25/16A  Installed the SEC cabinets at all stations. Continued Stations ICT #3A : 9th St Station 1/25/16 11/17/16 installing the switch gear and wiring for the SEC ICT #3B : Parkwood & 25th St Stations 12/14/15 8/31/16A cabinets. ICT #4: McCullough, Tom Hunter & 8/5/16 9/21/16A  Completed the topping slab at University City Blvd, University City Blvd Stations McCullough, and JW Clay Station. ICT #5: Aggregate Surface JW Clay & UNC 8/30/16 11/22/16  Started the topping slab at 36th Street Station. Charlotte Platforms th ICT #6: Sugar Creek & Old Concord Rd  Completed the canopy roof panels at 36 Street 6/21/16 9/12/16A Station. Stations ICT #7: Aggregate Surface Sugar Creek & 7/31/16 8/16/16A  Completed the ramps at Parkwood, Old Concord Rd, Old Concord Rd Stations and UNC Charlotte Station. ICT #8: Aggregate Surface McCullough, 11/13/16 10/7/16  Started the top canopy steel at 9th Street Station. Tom Hunter & UCB Platforms th  Continued install the tactile warning strip pavers and ICT #9 A: 36 Street Station 6/11/16 10/24/16 ICT #9 B: Aggregate Surface 36th St started installing TV brackets at multiple stations. 8/1/16 12/9/16 Platform  Completed the birds & cat tails art work at OCR Station. ICT #10: University City Blvd Station 7/26/16 9/9/16A Elevator Tower Conduit & Electrical UPCOMING ACTIVITIES Final Completion 12/18/16 5/11/17  Complete the topping slab at 36th Street Station and 9th -Delays from Predecessors are NOT projected Street Station. This will complete all topping slabs. Contract Budget Amount  Continue the switch gear installation and wiring for the Original Base Contract Value $18,770,000 SEC cabinets. Change Orders Issued $977,162  Continue installing the tactile warning strip pavers and Current Base Contract Value $19,747,162 TV brackets at multiple stations. Total Actual Costs (Sep 16 Pay App) $11,309,511 % Billed to Date 57.3%  Continue pouring ramps at McCullough, UCB, and Tom % Complete (Sep 16 Schedule) 50.6% Hunter Stations. Amended Contingency $2,607,750 Remaining Contingency $1,630,588 ISSUES % Contingency Remaining 63%  Contract Amendment #2 has been signed by the Revised Contract Dates are based on Change Directive #1 Scheduled Actual/Forecast Dates are based on EFI’s Sep 16 Update Contractor and resets the ICT dates and provides the Actuals based on Sep 16 Pay Application necessary remaining interfaces with Track and Systems.

82 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 e) CONTRACT 7: OLD CONCORD ROAD PARK & RIDE FOR MONTH ENDING 10.31.2016

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.

Curb and gutter on Pumpernickel Rd Fence installation along parking lot Paving in the parking lot area

Contract Actual/ Milestones Description Progress Dates Forecast THIS MONTH Notice to Proceed 10/19/15 10/19/15A  Continue erosion control measures. Final Completion 08/13/16 11/15/16  Complete curb and gutter installation along Orchid

Bridge and Pumpernickel Roads. Contract Budget Amount  Complete paving in the parking lot area. Original Base Contract Value $4,584,000  Complete storm drainage and waterline installation. Change Orders Issued $103,777  Continue electrical rough-in and begin forming and Current Base Contract Value $4,687,777 pouring light pole bases. Total Actual Costs (Sep 16 Pay App) $3,448,593

% Billed to Date 73.6% UPCOMING ACTIVITIES % Complete (Sep 16 Schedule) 69.1%  Continue erosion control measures. Amended Contingency $1,143,900  Complete paving on Orchid Bridge and Pumpernickel Rd. Remaining Contingency $1,040,123 % Contingency Remaining 91%  Installation of signage and guardrail/fence. Total Actual and Billed through 9/30/16. Schedule Actual/Forecast Dates are  Stripe roadway and parking lot. based on Contractor’s Sep 2016 schedule update (Data Date 9/30/16)  Complete Electrical rough-in and light pole bases.  Begin directional boring and tracking associated with the new work (Civil 2A contract).  Continue Pre-Closeout activities.  Contractor is expected to complete work in the month of November 2016.

ISSUES  There is currently an amendment that is being processed that will settle all delays to date and allow for the proper interface with Track and Systems.

83 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 f) CONTRACT 8A: JW CLAY PARKING GARAGE FOR MONTH ENDING 10.31.2016 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. This project is at a prominent intersection in the University City Area. The work involves grading, erosion control, demolition, traffic control, construction of five-story precast concrete parking deck, retaining walls, water, sanitary sewer, storm, fire protection, mechanical, plumbing, electrical and communication installation and related works.

Roofing at bus canopy Drywall installation and accoustical Metal panels at the Plaza Stair Tower Stair A Stair C ceiling framing at Retail

Contract Actual/ Milestones Description Progress Dates Forecast Notice to Proceed 10/21/2014A 10/21/2014A THIS MONTH ICT #1: Completion of 12/28/2015 01/14/2015A  Completed glass installation at Stairs A, B and C. Communications Room  Completed installation of planter walls along N. Tryon Street. ICT #2: Ready for ticket 12/28/2015 01/13/2015A  Completed metal panel installation at the Plaza entry. vending machine installation  Completed installation of the bus canopy roofing. **ICT #3: Completion of  Continued Electrical/ met. panel coordination and installation Elevator tower at JW Clay 05/25/2016 05/25/2016A at Stair Tower at the Station. Station  Continued metal ceiling at the Plaza. ICT #7 10/15/2016 10/15/2016A  Continued canopy roofing at the retail spaces. **AA #1 Start of elevator 01/22/2016 01/25/2016A  Began colored concrete installation at the retail spaces. tower at JW Clay Station

AA #3 Earliest Final UPCOMING ACTIVITIES 12/24/2016 12/23/2016F acceptance date  Installation of art glass. Substantial Completion 01/06/2017 12/27/2016**  Remediation of steel handrails. Final Completion 02/06/2017 02/28/2017**  Flood test.

 Metal ceilings throughout.  Glass installation at the pedestrian bridge extension. Contract Budget Amount  Paving at the private drive and Panera lot. Original Base Contract Value $22,508,065.00 Change Orders Issued $1,932,728. 98 ISSUES Current Base Contract Value $24,758,871.50  Survey discrepancy between Contractor Surveyor and Total Actual Costs (Amount Billed) * $22,854,864.95 contract documents, Land Development has required a % Billed To Date* 84.50% submittal of the proposed site changes due to NCR-1. Land Physical Percent Complete 90.70% Development approval received, waiting for verbiage from Original Contingency $2,250,806.50 City. Awaiting CCA’s response to settlement agreement. Remaining Contingency $318,077.52  Segregation of permits at the deck/ Stair Tower/ Pedestrian Bridge extension. % Contingency Remaining 16.57% *Total Actual & Billed to Date based on September Draft 2016 Pay App.  Peters Studio accepted return of IGU assembly for art glass. **Forecasted schedule revisions have not yet been approved by City of  Confirm power and AT&T conduits for the 2nd Tower and Charlotte deck.  Confirm drainage at the Plaza area.  Coordinate concrete elevations with sidewalks by other contracts.

84 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 g) CONTRACT 8B: UCB PARKING GARAGE FOR MONTH ENDING 10.31.2016 Contractor: New Atlantic Contracting, Inc. Construction Manager: STV/NC

Scope of Work: This Project involves the construction of the University City 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 near North Tryon St. and Ikea Blvd. The work involves grading, erosion control, demolition, traffic control, construction of 6 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 Building Signage

Contract Actual/ Milestones Description Progress Dates Forecast Notice to Proceed 10/21/2014A 10/21/2014A THIS MONTH ICT #4: Completion of Elevator  Completed install of barrier cables. Tower on UCB Station 05/17/2016 05/17/2016A  Completed touch-up painting of perforated screens. Platform  Completed concrete median work at Periwinkle Hill Ave. ICT #5: Completion of the  Completed install of elevator #4 at Station Tower. communication room on the 07/12/2016 07/11/2016A st  Continued Electrical/Mechanical rough-in work. 1 level of UCB Garage  Continued install of glazing and curtain walls Station Tower. ICT #6: Completion of the  Continued Fire Protection pumps/overhead piping. ticket vending machine area of 07/12/2016 07/12/2016A  Continued install of planter mix at planters. the 4th level of the UCB garage  Continued install handrail infill panels at Stairs AA #2: Contractor not to begin  Continued install of deck lighting fixtures. construction of the Elevator 03/03/2016 03/04/2016A  Continued install of pipe guards and sidewalks. Tower on UCB garage  Continued install of ceiling grid in upfit area. AA #3 Earliest Final acceptance 12/24/2016 12/24/2016F  Removed all of the Art glass at Station Tower (broken seal). date  Submittal process ongoing. Substantial Completion 02/07/2017 02/07/2017F

Final Completion 03/09/2017 03/09/2017F UPCOMING ACTIVITIES

 Continue overhead electrical rough-ins. Contract Budget Amount  Continue install of deck lighting fixtures.  Continue install of metal framing, ACM panels, glazing and Original Base Contract Value $29,180,000.00 parapet wall at Tower. Change Orders Issued $756,027.59  Continue install of handrail infill panels and site handrails. Current Base Contract Value $29,936,027.59  Continue install of piping in upfit spaces. Total Actual Costs (Amount Billed)* $28,522,751.10  Continue planting mix at planters. % Billed To Date* 93.0%  Install site sidewalks and decorative concrete. Physical Percent Complete 94.8%  Install site lighting poles. Original Contingency $2,918,000.00  Review/Approve Stair #1 Lobby Mock-up area Level 2. Remaining Contingency $2,161,972.41  Install stripping in the deck. % Contingency Remaining 74%  Install final lift of asphalt. * Total Actual & Billed to Date based on September Draft 2016 Pay  Install bird control devices. App.  Continue submittal process.

ISSUES  Revised Submittal Registry.  Art glass IGU seal failure.

85 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 h) CONTRACT 12: NORTH YARD BUILDING FOR MONTH ENDING 10.31.2016 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. 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 SI Bldg from the East end and view of connector The Ops Building View of S&I Bldg

ISSUES Progress  Contractor working to resolve NCRs 4, 6, 8, 10 and 11.  Contractor developing a recovery schedule to bring work THIS MONTH within the contract dates.  Completed steel erection at the S&I Building.  Contractor coordinating with Track and Systems team as the  Completed installation of the 6” waterline at Brevard Street. follow on contract.  Completed Sheathing and Waterproofing at Operations  Contractor coordinating site work for added traction power Building. substation being installed by Track and Systems contractor.  Continued Spray Foam Installation.  Contractor coordinating with the CATS “Red Tag” system.  Continued above ceiling electrical rough in at Operations Building.  Continued above ceiling HVAC rough in at Operations Building. Contract Actual/ Milestones Description  Began HVAC rough in at S&I Building. Dates Forecast*  Began electrical rough in at S&I Building. Notice to Proceed 12/14/2015 12/14/2015A  Began masonry construction along the south wall at S&I ICT #1: Completion of Building. 07/31/2016 07/29/2016A Communications Room  Began plumbing rough in at the Pit Area. Substantial Completion 01/07/2017 03/23/2017F  Began installation of windows and doors at Operations Building. Final Completion 02/06/2017 04/22/2017F  Began installation of louvers and doors at S&I Building.  The Track and Systems Team began to coordinate with NAC, Contract Budget Amount as the North Yard OCS has now become energized. Original Base Contract Value $11,305,399.83 Change Orders Issued $273,663.00 UPCOMING ACTIVITIES Current Base Contract Value $11,579,062.83  Continued coordination with Track and Systems and NAC Total Actual Costs (Amount Billed) ** $4,530,979.44 teams to advance the “updated” fragnet to begin set up a % Billed To Date* 39.63% signal house. Physical Percent Complete 29.7%  Begin Fire Sprinkler installation upon approval from Original Contingency $778,748.83 Mecklenburg County Code Review. Remaining Contingency $505,085.83  Integrate Network Switches and Structured Cabling into the scope of work. % Contingency Remaining 65% *Forecasted dates are from unapproved schedule updates. **Amount billed includes pending Pay Applications #3, 4 and 5.

86 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 i) CONTRACT 16: SUGAR CREEK PARKING GARAGE FOR MONTH ENDING 10.31.2016 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. This project is located on Raleigh Street at the Sugar Creek Station. The work involves grading, erosion control, demolition, traffic control, construction of four-story precast concrete parking deck, retaining walls, water, sanitary sewer, storm, fire protection, mechanical, plumbing, electrical and communication installation and related works.

Ped Bridge and Towers Pedestrian Bridge and Towers SCK Parking Garage from South Tower

Contract Actual/ Milestones Description Progress Dates Forecast Notice to Proceed 11/02/2015 11/02/2015A ICT #1: Completion of THIS MONTH 09/21/2016 9.29.2016A  Sequence 3 & 4, SOG prep & pours. Communications Room  Garage Perforated Screen Panels (West Elevation). ICT #2: Ready for TVM installation 09/21/2016 9.21.2016A  North Tower Curtain Wall Glazing. ICT #3: Completion of the  Pedestrian Bridge Screen Panels. Pedestrian Bridge (Alt #1) required for wiring and 9/21/2016 11.18.2016F UPCOMING ACTIVITIES equipment to be installed by Work of other Packages.  Sequence 4 SOG pours. AA #1 The Contractor may not  Metal Screen Installation (all Elevations). access Parcel IDs 09106708 1/30/2016 1/30/2016A  Glazing installation (South Tower). and/or 09106709.  ICT #3 - Pedestrian Bridge Required Completion AA #2 The Contractor may not (11/15/16). access area within 30’ of existing 12/21/2015 12/21/2015A 66” RCP and structures to be ISSUES installed by Contract 2A – CIV‐A.  ICT #3 - Pedestrian Bridge Required Completion Substantial Completion 02/23/2017 02.28.2017F (11/15/16). Final Completion 02/23/2017 03.29.2017F  Electrical Power is projected to be available by 1/1/17. Contract Budget Amount The drawing provided by HNTB regarding the scope of Original Base Contract Value $21,718,000.00 work to be priced, will be reviewed by Duke Energy Change Orders Issued $323,140.76 and priced by TEC. The City will follow-up with HNTB Current Base Contract Value $21,718,000.00 for coordination with NCDOT. Total Actual Costs (Amount Billed) * $17,853,265.76 % Billed To Date* 81% Physical Percent Complete 80%

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 September 2016 Pay application. **Forecasted schedule revisions have not yet been approved by City of Charlotte

87 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 j) CONTRACT 9: SOUTH BOULEVARD LIGHT RAIL FACILITY (SBLRF) UPFIT FOR MONTH ENDING 10.31.2016 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 removal and reconstruction of the ROCC, and demolition on all three floors of the facility. Other work includes renovations to various rooms on all floors, including a new maintenance mezzanine in the rail shop area as well as various Mechanical, Electrical (including DC lines), plumbing for new sinks in the shop, and fire protection system revisions.

Phase 1 Third Floor ROCC almost complete View of Ceiling Grid work Electrical Panel Board

Contract Actual/ Milestones Description Progress Dates Forecast Notice to Proceed 07/11/2015 07/11/2015A THIS MONTH Final Completion 10/09/2016 10/09/2016F  County Inspections Complete.  Initial Punch List Complete.  Correction of Punch List items ongoing. Contract Budget Amount Original Base Contract Value $244,112.40 UPCOMING ACTIVITIES Change Orders Issued $0.00  Close Out Activities underway. Current Base Contract Value $244,112.40  Completion of CCC and CIL documents. Total Actual Costs (Amount Billed) $0.00

% Billed To Date* 0% ISSUES Physical Percent Complete 0%  Walkthrough of ROCC completed by Track and Systems. Original Contingency $40,685.40 Remaining Contingency $40,685.40 % Contingency Remaining 100.00%

88 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 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 10/13/16 conference call focused on the Civil A schedule to turn over 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, temporary drainage conditions to allow cable trough to be completed in the vicinity of 36th Street and upcoming NS outages. b) UNC Charlotte CATS, NCDOT and UNC Charlotte held their monthly construction coordination update meetings on 8/15/16, 9/16/16 and 10/17/16. Discussion during the last meeting was primarily focused on blocking out parking spots after a UNC Charlotte football game so the substation could be placed on 11/13/16. UNC Charlotte is in agreement with this plan. c) Utilities Duke Energy  Duke has relocated into the duct bank at UNC Charlotte and removed poles from the area around the JW Clay Pedestrian Bridge Extension. Duke will schedule the removal of overhead lines and poles after traffic signal feeds are transferred onto 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.  The City executed street lighting contracts with Duke, who is now procuring materials and bidding installation contracts. Duke intends to begin light installations at the UCB Parking Garage and Old Concord Road Park and Ride in December. Larger installation along N. Tryon Street and Brevard Street are scheduled to begin in January. BLE is checking the lighting conduits installed by Civil B/C to ensure they are ready for Duke’s contractor and out of the way of upcoming tree plantings.

AT&T Local Coordination  AT&T relocated facilities at Clark Blvd. that were inadvertently omitted from AT&T’s final design. The relocation allowed for the removal of a Duke pole that Duke no longer occupies.  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 8/15/16, 9/16/16, and 10/17/16, CATS and NCDOT held their monthly construction coordination meetings. A majority of the October meeting focused on the TPSS #17 traffic control plan. TPSS#17 is to be placed under the WT Harris Bridge and will require the closing of a lane to perform this activity. BBR will submit a signed and sealed traffic control plan that will be approved by NCDOT prior to placement. NCDOT stated they will need a 10 day public notification period prior to traffic control going into place. The Civil A work that involved NCDOT is completed so no Civil A report was given.

LYNX Blue Line Extension Page 12

89 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 NCDOT stated that girders for the Sugar Creek Grade Separation Project would soon be over the LRT corridor. NCDOT is also coordinating ROW issues with Messer Construction (Sugar Creek Parking Garage) in preparation of waterline and utility construction along the future Bearwood Avenue. 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, CIV BC, Track and Systems, and Station Finishes to ensure the Contractor’s quality processes are being implemented by all responsible parties.  Further clarification for non-compliant ties developed with corrective action in process; additional damaged ties noted from OCR to UNCC (762 ties) -- inspection noted continuing issues with ties being damaged due to construction activities.  Participated in weekly progress meetings for all active projects.  Conducted weekly quality control of e-Builder database, documents up to date.  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.  Conducted Quality walkthroughs/site visits for Old Concord Road, Parkwood, and North Yard (TRK/SYS)  Facilitated weekly quality reviews for the dispositioning and closing of open NCRs.  Reviewed status of Safety and Security CCCs and CILs for active contracts.

BLE Contractor Quality Plan Status Consultant/ Contract Quality Status Date Notes Contractor Package(s) Plan Approved Revision 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 6 Approved 4/11/16 Rev 4-6 Updates to org BBR TRK-SYS 6 Approved 6/22/2016 charts and resumes Edison Foard Station Finishes 4 Approved 8/12/15 Old Concord Road Park Blythe N Ride 1 Approved 3/3/16 China Construction JW Clay Garage 0 Approved 1/14/15 New Atlantic University City Garage 3 Approved 1/18/15 Messer Sugar Creek Garage 4 Approved 4/7/2016 China South Blvd Light Rail Construction Upfit (9B) Pending Genfare TVM 1 Approved 6/15/2016 North Yard / Rail Service New Atlantic & Insp 2 Approved 4/11/16 Siemens LRV 2 Approved 4/24/14 *DSDC – Design Services During Construction

90 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016

Planned QA Activities for Next Review Period:  Finalize audit schedule and draft agenda for Track/Systems audit.  Complete Station Finishes audit report.  Provide HNTB Internal Audit Report to CATS.  Review DIR open items and provide recommendations.  Provide recommendations for obsolete documents.  Complete Raleigh Greensboro and SBLRF (contract 9A) close-outs.  Update and review Test Registers for all contracts.  Report PMP revision progress – develop SOPs.  Conduct Quality Control of as-built documents.  Facilitate meetings with contractor’s (CIV-B/C, CIV-A, Track and Systems, Station Finishes, Old Concord Road, Fare Collection) Quality Managers.  Conduct weekly quality control surveillance inspections and compliance audits as scheduled (Quarterly).  Review ICT updates with RE’s to ensure item traceability until closure.  Schedule Quality Walkthroughs with Station Finishes and Track and Systems.  Review Material Receiving Reports for content and completeness.  Coordinate Submittal Review Process, eliminate duplicates, verify scope, confirm due date.  Provide Quality training as required, perform regular interface with Contractors.

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.

Trend Analysis: QA Managers have identified aspects of each contract that need to be monitored for compliance and mitigated where possible. QA team will assign Quality Performance Indicator (QPI) Number for trend analysis. 1=Low 2=Moderate 3=Critical (I) Issue (S) Solution Functional Contract Area QPI Trend Impact (I) / Solution (S) (I)Significantly high percentages of BLE submittals are dispositioned as revised and resubmit and/or new Track and submittals are late. (S)HNTB management meeting regularly Systems, NYB, with contractor’s management to get status and drive Process Control 3 >14 months UCB, JWC, progress (TRK/SYS). Architects/ SCK, STA Engineers working with contractor to resolve open submittal issues; city requested additional contractor personnel to improve quality of work (NYB). (I) Stray current testing between 7th and 12th Street is still Inspection and considered deficient as testing consultant has not been CIV-A Testing 1 >3 months provided reports showing acceptable testing results. (S)

Monitoring activity for full compliance. (I) Non-Conforming Material observed on several project sites. (S) Issued NCRs; several meetings with CMC Senior Management, General Contractor and Supplier to address Process Control Track and nonconforming concrete cross ties to determine cause(s) / Inspection & 3 >6 months Systems and corrective actions. NCR 51 on concrete ties is still an Testing open issue; owner concerns about integrity of Type III concrete ties over time, additional maintenance costs and impacts to CATS operations.

91 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016

FY17 Tentative Audit Schedule  July 2016 – CIV-A Scheduled Performed Extended  August 2016 – STA 5  September 2016 – TRK/SYS  October 2016 – OCR, STV 4  November 2016 – TRK/SYS, CIV A

Construction  December 2016 –CIV BC, OCR - 3  January 2017 – HNTB, STA 2  February 2017 – JWC,  March 2017 – Internal BLE, UCB 1  April 2017 – SCK, NYB

BLE QM Audits BLE QM  May 2017 – CIV A, TRK/SYS 0  June 2017 – TRK/SYS J A S O N D J F M A M J FY16

New Closed Total Open 70 OCTOBER 2016 60 NEW - 13 CLOSED - 12 50 TOTAL OPEN - 43

40

30 # NCRs

20

10

0 J-16 J-16 J-16 F-16 S-16 A-16 A-16 N-16 D-16 O-16 M-16 M-16

New NCRs Contract Doc # - Subject Description Date Issued The downstation end of the concrete encased 9-way multiduct shown in Detail 20 on Sheet Civ-A- NCR #00077 - 36th 1444 and Civ-A-1478 was installed too high, elevation-wise, causing the follow-on Contractor, Edison CIV-A St 9-way Multi-duct Foard, to have to adjust their conduits, Comm pit and Comm pad foundation heights in their 10/03/16 Elevation Contract. This solution was arrived at as a result of Sta Fin RFI 177 and the field meeting on-site with both Contractors (Civ-A and Sta Fin) on 9/22/16. NCR #00025 - Art The installed Art Glass IGU is collecting moisture and water in between the sheets of glass. We are UCB Glass IGU seal 10/06/16 assuming there is an issue in the manufacturing or fabrication of the glazing unit. failure NCR #00087 - Pedestrian Signal The Pedestrian Signal foundation was not placed in a monolithic pour. The contractor poured this CIV-BC foundation (SE 10/06/16 short of final grade. There shall not be delaminated or segregated layers found in foundation. corner at N. Tryon /Orr crossing) NCR #00017 - Vertical Gap at the There is a vertical gap between the platform of the Stair Tower and the adjacent bridge and bridge JWC Pedestrian Bridge extension that is greater than acceptable tolerance. CCA to provide a recommendation address this 10/11/16 and Bridge vertical offset that is compliant with accessibility (ADA) Extension NCR #00018 - On September 30, 2016 Contractor placed concrete for the pedestrian bridge stair/elevator slab-on- Pedestrian Bridge JWC grade. The final load of concrete was not placed after three failed attempts to deliver concrete within Extension Slab-On- 10/11/16 the specified air content range resulting in a cold joint. Grade Cold Joint NCR #00011 - As stated by NAC's RFI-87 "Slip Critical Bolts at Rail Support Beams" the erection of structural steel Special Inspection has proceeded without the required special inspections for slip critical bolted connections. NYB of Slip Critical Specification 051200-3.4 C states "Bolted Connections: Inspect bolted connections according to Bolted Connections RCSC's Specification for Structural Joints Using ASTM A 325 or A 490 Bolts."

92 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 New NCRs Contract Doc # - Subject Description Date Issued Inspection of RCSC's Specification for Structural Joints Using ASTM A 325 or A 490 Bolts. Section 3.2.2 10/17/16 of this document requires that Uncoated faying surfaces shall be free of scale, except tight mill scale, and free of coatings, including inadvertent overspray, in areas closer than one bolt diameter but not less than 1 in. from the edge of any hole and in all areas within the bolt pattern or shall be blast cleaned. NCR #00078 - Erosion Control The list of erosion control deficiencies identified in NCDEQ Inspection report needs immediate CIV-A Deficiencies per correction prior to a repeat NCDEQ visit and then continual maintenance after initial correction per 10/18/16 10/6/16 NCDEQ the Contract, in compliance with the Project Permit. Inspection NCR #00079 - The OCS foundations installed on the Bridge at Sta 1156+26 (Structure No. 3.12-1) and Sta 1158+01 Incorrect OCS (Structure No. 3.15-1) are the wrong types installed in the field as compared to Plan Sheet Civ-A- CIV-A Foundation Types 0166. The plans require these foundations to match a T3-22 pole for 3.12-1 and a T1-22 pole for 10/20/16 Installed on the 3.15-1, but the field installations are reversed. The follow-on Contractor, Trk/Sys cannot install the Craighead Rd Br poles per plan now, without modification, as documented in Trk/Sys RFIs 427 and 428. NCR #00013 - MH lid repair (Fabrication) was performed on site without the review and approval of the CMC/EOR. Unapproved OCR MH 36B that is located Behind the curb on Orchid Bridge Road appeared to have been doweled and 10/21/16 Repairs to resize concrete encased without an approval of repair procedure. Man Hole Lid As required in the Charlotte Water Design Manual and Water Specifications/Details for testing and inspection Section 14 Subsection R.1 page 43, Required testing of pipelines and valves shall be done under the direct supervision of the Project Inspector. On completion of the line or sections of the lines, connections and appurtenances, the line shall be filled and hydrostatically tested. The water for NCR #00014 - this purpose can be taken from existing lines under the supervision of the Engineer's Inspector and Noncompliance of leakage will be measured by the Inspector with a meter furnished by the Charlotte-Mecklenburg Water Line Utility Department. All leaks and any defective material shall be repaired or replaced to the OCR 10/22/16 Inspection and satisfaction of the Engineer and the tests repeated until the requirements of this specification are Testing met. Any special equipment, pumps, etc. required to make the test shall be furnished and operated Requirements by the contractor as directed by the Inspector.

The Contractor has failed to comply with requirements regarding testing and inspection during the initial inspection and testing of the waterline. A Charlotte Water inspector was not on site during initial inspection and testing of the water line. NCR #00052 - Work on alignment without Track All work performed on the alignment from 7th St. to north of Little Sugar Creek bridge approx. 600 TRK/SYS 10/31/16 Allocation - feet, requires Track Allocation granted by CATS Rail Operation on Wednesdays of each week. Installation of fiber optic cabling Contractor has outstanding submittals returned to Contractor RAR that have not been returned for review within the Contract stated 21 day resubmittal time. Refer to the not inclusive list of submittal directly impacting Comm. Systems testing and System Integration, with return date and number of NCR #00053 - Late days late from the allowed 21 day resubmittal days. (as of this date Oct. 31, 2016): submittals (re- submittals) BLE Test Program Plan - Returned RAR 07/07/2016, 95 days late; TRK/SYS 10/31/16 impacting Comm. BLE ROCC/CCH Systems Integration Plan - RAR 08/16/2016, 55 days late; Systems and BLE EMI Control Plan - RAR, 07/08/2016, 94 days late; Systems Integration BLE TCS Interface Plan - RAR 06/27/2016, 105 days late; BLE ROCC/CCH Reliability Tractability Matrix (RTM) - RAR 04/11/2016, 108 days late; BLE ROCC/CCH Software Project Management Plan - RAR 09/27/2016, 13 days late. BLE CCTV Poles and Bases - RAR 08/18/2016, 53 days late; NCR #00080 - CIV-A Cracked concrete in Numerous cracks are present in the concrete associated with the slot drain. 10/31/16 slot drain

93 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016

BLE Nonconformances Events by Contract

Contract 2A 3 8A 8B 5 6 7A 17 12 16 100

75

50

No. of NCRs 25

0 Other Submittal Asphalt Process Material SoilCompaction Field/Lab test) Weld RelatedWeld Issue Equipment Problem pile, plate, pile, other) Concrete Process (CSL, Missing /Noncompliant Placement/OOT (rebar, Event Type

Quality Assurance - Materials Testing, Special Inspections and Observations The Kleinfelder team is operating with 7 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  Drilled-In Pile Observations  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 in September at the following project locations—CIV-A: 36th Street Station members (reinforced concrete), the JWC & SCK parking garages (reinforced concrete, welding, masonry, excavation/fill & precast concrete erection), STA: 9th and 36th Street and Tom Hunter stations (reinforced concrete, welding, HS Bolting and Steel Frame), and NYB (HS Bolting and Steel Frame, reinforced concrete, and masonry). Also during September, Kleinfelder representatives continued their coordination efforts with Station Finishes canopy fabricator--McDonald Machine and Fabrication facility located in Weatherford, Texas--to accommodate Mecklenburg County Special Inspections requirements for fabrication in a non-certified plant. McDonald Machine and Fabrication is Station Finishes manufacturer for the canopies that will be installed at the 9th Street Station. The certified special inspector performed ultra-sonic testing on welded connections which have all successfully passed. A final visit to verify previously painted welds will be made in October. Field reports for this work are uploaded to e-Builder and the Mecklenburg County Code Enforcement database and sent via email to the Design Professional in Responsible Charge.

94 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016

CIV-A still has unresolved issues, cathodic protection acceptance testing for crossings at North Yard, and Sugar Creek are still pending. Acceptance testing was also performed on a cathodic protection system installed on ductile iron pipe installed as part of the Old Concord Road Park and Ride contract. Test stations and terminal boards were not installed at the time of the testing and Kleinfelder’s testers were unable to verify adequacy of the installed system; re-testing is required.

Concrete testing was performed for 36th Street Station members, 36th Street Gravity wall member, Wall A25 members, pedestrian bridge extension slab, MSE leveling pads and coping, slab on grade, OCS and camera pole foundations, decorative paving, light pole bases, column block outs, platform sub & topping slabs, and various incidental structures such as stair treads, curb/gutter and sidewalks. Twenty-eight day compressive strengths not meeting minimum requirements are documented in NCRs—0 NCRs in September, 0 in October (Note: see NCR-18 for JWC).

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 September 30, 2016 No. of Tests % Accept (First No. of Open No. passed Comments Conducted Pass) Deficiencies

Soil Density

All Contracts 7086 6927 97.8% 0 Contract 1A 41 39 95.1% 0 Contract 1B 247 238 96.4% 0 Contract 1C 402 394 98.0% 0 Contract 2A 2873 2805 97.6% 0 Contract 03 2674 2626 98.2% 0 Contract 05 41 40 97.6% 0 Contract 7A 64 63 98.4% 0 Contract 08A 184 181 98.4% 0 Contract 08B 236 231 97.9% 0 Contract 12 32 31 96.9% 0 Contract 16 185 176 95.1% 0 Contract 17 107 103 96.3% 0 Concrete

All Contracts 4896 4841 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 2101 2094 99.7% 0 Contract 03 1776 1761 99.2% 0 Contract 05 33 33 100.0% 0 Contract 06 112 107 95.5% 0 Contract 7A 22 22 100.0% 0

95 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 Lynx BLE Project Materials Testing Summary Testing Complete Through September 30, 2016 No. of Tests % Accept (First No. of Open No. passed Comments Conducted Pass) Deficiencies

Contract 8A 197 193 98.0% 0 Contract 8B 198 184 92.9% 0 Contract 09 3 3 100.0% 0 Contract 12 58 53 91.4% 1 NCR 9 Contract 16 159 159 100.0% 0 Contract 17 55 55 100.0% 0

Buy America – October Update Certification reviews continued in October--completed Buy America certifications are coming in with submittals. FTA Buy America Audit is on-going, however, at this point CATS has responded to all requests for additional information from the FTA auditors. 12.0 Community Outreach

August 2, 2016 – The BLE Communications team attended the Hidden Valley Community’s National Night Out event to provide construction updates and project status information. There were approximately 100 people in attendance.

August 11, 2016 – A BLE Communications Team member spoke to the University City Women’s Group to provide an update on construction of the BLE, communicate the vision of the project and answer questions. There were approximately 60 people in attendance.

August 25, 2016 – A BLE Communications Team member attended a Revisioning Session with the El Camino Center, which is immediately adjacent to the University City Boulevard Garage. Discussions included how to partner with the community and maximize development possibilities of the site. There were approximately 40 people in attendance.

September 1, 2016 – CATS representatives staffed a Transit Fair at Central Piedmont Community College and answered a number of questions about the BLE. Staff spoke with about 40 students.

September 5, 2016 – A BLE Communications team member attended the UNC Charlotte Transportation Fair to provide information, construction update, and answer any questions. There were approximately 220 people in attendance.

September 20 – CATS representatives staffed a Transit Fair at the future location for the Charlotte Gateway Station and answered a number of questions about the BLE. They spoke with about 20 people.

September 27, 2016 – CATS representatives staffed a Transit Fair on Queens University campus and answered a number of questions about the upcoming opening of the BLE. They spoke with approximately 60 people.

September 28, 2016 – Middle school students from the Morganton Day School visited CATS Vehicle Maintenance Facility to ask questions and learn about Urban Transportation. Students toured the BLE construction, asked questions about planning public projects and also rode CATS public transit system. BLE Project team members hosted the tour. There were approximately 40 people in attendance.

96 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 October 4, 2016 – The BLE team provided a tour of the BLE for FTA Administrator Carolyn Flowers and other FTA officials, updating them on the project. There were approximately 6 people in attendance.

October 11, 2016 – The BLE Communications team held a public meeting at Sugaw Presbyterian Church to provide a construction update, additional information on the project, and to answer questions. There were approximately 50 people in attendance.

October 12, 2016 – The BLE Communications team held a public meeting at the Main Library Uptown to provide a construction update, additional information on the project, and to answer questions. Approximately 35 people attended.

October 13, 2016 – The BLE Communications team held a public meeting at the New Hampton Presbyterian Church to provide a construction update, provide additional information on the project, and to answer questions. There were approximately 30 people in attendance.

October 25, 2016 – The BLE team provided a tour for Secretary of Transportation Anthony Foxx, along with other local dignitaries and city leaders. A construction update and vision of the project was shared. Approximately 20 people were in attendance.

October 26, 2016 – The BLE communications team provided a BLE presentation to local small business owners which included a construction update and an update on the vision of the alignment. Approximately 7 people were in attendance.

October 26, 2016 – The BLE team provided a tour for Congresswoman Alma Adams and Congressman David Price, as well as key staff from their offices. A construction update and vision of the project was shared. Approximately 9 people were 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.

97 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 V. TIGER III Blue Line Capacity Expansion (BLCE) Project

-The Final OP-54 RERO Report from the PMO, which notes the BLCE is ready for revenue operations was received on November 30, 2016.

-The following is the schedule leading the BLCE project to RSD:

September 30, 2016 (A) - Completion of TPSs Commissioning and TPSs CCCs and CILs and Design Criteria

October 6, 2016 (A) - BLCE Station and TPSS Safety Certification

November 5, 2016 (A) - CATS to Operate 3 car consist demonstration run

November 23, 2016 (A) - Completion of Draft PMOC OP54 Report

November 23, 2016 (A) - Overall BLCE Project Safety Certification

November 23, 2016 (A) - Receive updated draft of SSCVR

November 28, 2016 (A) - Complete review of Draft PMOC OP54 Report by CATS

November 30, 2016 (A) - Completion of SSCVR Report

November 30, 2016 (A) - Finalize OP54 Report

December 1, 2016 (A) - RSD

- Outstanding issues are related to the final the completion of punchlist work, working toward settlement of the liquidated damages, and other project closeout activities.

98 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 VI. CityLYNX Gold Line Phase 1 (Streetcar Starter Project)

1. Project Administration

a. Project Description

The Streetcar Starter Project is the first operational phase of the CityLYNX Gold Line 10-mile streetcar system. The Streetcar Starter Project consists of dual embedded track, beginning at the Charlotte Transportation Center on Trade Street and terminating 1.5 miles east at the intersection of Hawthorne Lane and Fifth Street. The project utilized 0.5 miles of existing dual embedded track between Kings Drive and Hawthorne Lane. It also includes a single track non- revenue connector that connects the main line to the existing LYNX Blue Line via Caldwell and Fifth Streets. The Streetcar Starter Project operates in the street in mixed traffic.

Figure 1: Streetcar Starter Project Alignment

99 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 2. DBE

CATS Payments to Prime Prime Contractor Payment DBE Contractors to Subcontractors Goal % DBE DBE Commi Actual A. Prime Contract Type Contract Value Period Cumulative Period Cumulative tment % Contracts Balfour Beatty Construction $26,685,015 $0 $25,135,794 $ $6,404,944 14.2% 14.26% 24%

Terracon Construction $445,000 $0 $395,956 $ $45,685 10% 10% 10.27% Support

URS Final Design $4,323,890 $121,276 $4,137,335 $ $377,777 10% 10% 9.13%

Ingle & Sons Landscaping $26,050 $26,042 $ $2,732 10% 10% 10.50%

3. Project Budget

a. Budget Overview: The total expenditures to date are $31,481,200 of the $37 million total project budget. The estimated expenditures to date including accruals are $33,336,773. The grant monies expended to date are $22,442,883. The expenditures to date reflect expenditures through October 31, 2016. The estimated accruals to date reflect accruals through November 23, 2016. See attached Budget Summary Table and Betterments Table.

100 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 Streetcar Starter Project Budget Summary Expense As of October 31, 2016 Accruals As of November 23, 2016

ABC DE F GH (A+B)‐(F+G) Current Budgeted Allocated Current Monthly Total Cost with Unrestricted Project Value Contingency Prior Spent to Date Expenditure Total Spent to Date* Accruals Encumbrance Balance

10 Guideway & Track Elements Subtotal $ 5,628,886.88 $ ‐ $ 5,051,111.68 $ ‐ $ 5,051,111.68 $ 5,491,111.68 $ 133,238.32 $ 4,536.88 20 Stops Construction 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 Conditions Construction 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 $ ‐ $ 47,270.32 $ 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 $ ‐ $ 7,325,914.17 $ 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 Services 80.01 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 $ 4,148,535.23 $ 100,476.28 $ 4,249,011.51 $ 4,336,011.51 $ 287,000.00 $ 79,259.49 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 $ 4,923.54 $ 1,200.00 $ 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 $ 29,900.00 $ 360.00 $ 30,260.00 $ 30,360.00 $ ‐ $ 2,140.00 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 $ ‐ $ 532,259.16 $ 590,259.16 $ 62,740.84 $ 47,000.00 80.08 Start‐Up $ 550,000.00 $ 241,943.01 $ 241,943.01 $ 473,943.01 $ 76,056.99 Subtotal $ 8,914,133.65 $ 7,167,950.36 $ 102,036.28 $ 7,269,986.64 $ 7,737,386.64 $ 527,209.42 $ 649,537.59 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 $ 31,379,163.35 $ 102,036.28 $ 31,481,199.63 $ 33,336,772.82 $ 1,077,869.35 $ 2,575,357.83 TOTAL UCG Project Budget (A+B) $ 36,990,000.00 *based on cash basis A = const. bids and final estimate B = 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 expenses Current 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 expended Total 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)

101 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 Streetcar Starter Project Betterments Budget Summary As of October 31, 2016

ABC DE F Current Current Budgeted Allocated Monthly Total Spent to (A+B‐E) Project Value Contingency Prior Spent to Date Expenditure Date Available Funds Betterments Storm Drainage$ 1,329,159.00 $ ‐ $ 1,088,409.14 $ ‐ $ 1,088,409.14 $ 240,749.86 Water Line $ 2,029,895.00 $ ‐ $ 1,719,045.07 $ ‐ $ 1,719,045.07 $ 310,849.93 Fence $ 20,160.00 $ ‐ $ 19,479.98 $ ‐ $ 19,479.98 $ 680.02 Novant $ 439,379.91 $ ‐ $ 407,439.66 $ ‐ $ 407,439.66 $ 31,940.25 Total Betterments $ 3,818,593.91 $ 3,234,373.85 $ ‐ $ 3,234,373.85 $ 584,220.06

102 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 a) Streetcar Starter Project Schedule a. The system opened for service on July 14, 2015. b) Third Party Coordination a. The contractor had an open punch list item to provide tenons to hold light fixtures on 21 poles. The contractor installed the tenons in late October 2016. Duke is in the process of scheduling the light fixture installations. Completion is anticipated by the end of the next quarter. c) Safety Certification a. Safety and Security Checklists: i. The SSCVR was issued on July 6, 2015 with 11 open items. Six items were from the Construction Specification Conformance Checklist and 5 items were from the Preliminary Hazard Analysis. In November 2016, 8 of the items were officially closed. See SSCVR Open Items List Status Summary. See construction for update.

103 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 SAFETY AND SECURITY OPEN ITEMS LIST Readiness for Revenue Operations Phase Nov-16 CONSTRUCTION SPECIFICATION CONFORMANCE CHECKLISTS WORKAROUND Item # Status Description Requirement to Close Schedule CATS Maintenance of Way City approval of Contractor rail to earth SCCC.ELCO.001.6 rail inspection and Nov-16 Closed tests maintenance procedure CATS Maintenance of Way City approval of Contractor rail to earth SCCC.MNRS.001.3 rail inspection and Nov-16 Closed tests maintenance procedure City Approval of SCADA Installation CATS, ROD603, Red Tag, TPSS.IAS.001.3 and Tests at Gold Line TPSS Units and Feb-17 Open Power Removal Procedure ROCC City approval of SCADA installation CATS, ROD603, Red Tag, TPSS.SCE.001.1 and tests at Gold Line TPSS units and Feb-17 Open Power Removal Procedure ROCC City approval of installation and field CATS Switch Maintenance TRK.TA.TW.0011 testing of switch heater at Blue Line tie- Nov-16 Closed Procedure in #6 turn out City approval of installation and field CATS Switch Maintenance TRK.TA.TW.0014 testing of switch heater at Blue Line tie- Nov-16 Closed Procedure in #6 turn out OPEN ITEM SUBTOTAL 2 PRELIMINARY HAZARD ANALYSIS WORKAROUND Item # Status Description Requirement to Close Schedule CATS Maintenance of Way City approval of Contractor rail to earth SCCC.20 inspection and maintenance Nov-16 Closed tests procedure CATS Maintenance of Way City approval of Contractor rail to earth SCCC.24 inspection and maintenance Nov-16 Closed tests procedure CATS Maintenance of Way City approval of Contractor rail to earth SCCC.26 inspection and maintenance Nov-16 Closed tests procedure CATS Maintenance of Way City approval of Contractor rail to earth SCCC.27 inspection and maintenance Nov-16 Closed tests (Submittals 482, 486) procedure City Approval of SCADA Installation CATS, ROD603, Red Tag, TPSS.19 and Tests at Gold Line TPSS Units and Feb-17 Open Power Removal Procedure ROCC OPEN ITEM SUBTOTAL 1 TOTAL OPEN ITEMS 3

104 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 7. Construction Status a. Contractor is continuing to work on punch list items and open items. The construction contract will remain open until such time that all work including open items, punch list items, and any warranty items are completed. b. Rail to Earth Resistance Test. The contractor has performed troubleshooting and has made additional repairs since July 2015. The repairs were completed and retesting occurred on November 18, 2015. The test results were better but not acceptable. Retesting occurred on April 17 and 18, 2016. Field results show that a passing rate was not achieved. The contractor performed repairs at the Caldwell intersection special trackwork and at the Hawthorne end of line special trackwork prior. Additional stray current testing was performed on August 15-17, 2016. The report was received in September 2016. The data was analyzed and the report was formally deemed acceptable on November 2, 2016. This closes the open items associated with Rail to Earth Testing. c. Switch Heater Installation. The Contractor installed the original switch heater on the Blue Line in mid-September 2015. The heater assembly was tested in early October 2015 and although functional had to be reconfigured to meet specifications. The supplier agreed to send additional parts to install in the switch heater controller cabinet to meet specifications. A portion of the parts were installed in mid-December 2015 however the cabinet still did not meet specification. The remaining parts were delivered in February 2016 and the contractor determined that the parts did not meet specification. The contractor replaced the cabinet with a unit that met specification in July 2016. The switch heater has been installed and tested. The contractor submitted the certified testing results from Ansaldo and the as-builts in October 2016. The test results and as-builts were approved on November 2, 2016. This closes the open items associated with the Switch Heater. d. SCADA. The City has drafted the specification for the SCADA hardware based on the new system that is being installed with the BLE. The project team evaluated the schedule for Gold Line Phase 2 which will replace the TPSS units. The notice to proceed for Phase 2 will be issued in January 2017. The PMT will meet again in December 2016 to discuss the timeliness of installing SCADA

105 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 hardware on a system that will soon be taken out of service. The PMT has the option to issue a design criteria deviation for the SCADA. e. Upcoming Construction related activities: i. Punchlist items ii. Project Close Out documentation

106 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016

VII.CityLYNX.GoldLinePhase2 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.

107 of 171 FTA Quarterly Review Meeting CityLYNX Gold Line Phase 2 Charlotte Area Transit System December 8, 2016 PMO Quarterly Progress Report – November 2016

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.

108 of 171 FTA Quarterly Review Meeting CityLYNX Gold Line Phase 2 Charlotte Area Transit System December 8, 2016 PMO Quarterly Progress Report – November 2016

1.2 Project Status The overall project budget and schedule status is as follows.

Project Status SSYA: Current Estimate: Cost Cost Estimate $150 million $150 million Unallocated Contingency $12.414 million $12.414 million Contingency Total Contingency $22.4 million $22.4 million Schedule Revenue Service Date August 31, 2020 December 31, 2019

Based on Expenditures (Accrued) 7.17% Total Project Percent Complete Based on Earned Value TBD

Major Issues Status Comments/Action/Planned Action 1. Construction Re-Bid was issued 9- Pre-Bid meeting was held on 9-28-16. Bids are due 11-1- Bids 13-16 16. 2. Vehicle Selection Contract Finalization of the contract continues and a pre-award Development audit began in August 2016 and is scheduled to be completed in November 2016. 3. Utility Utility relocation is Currently multiple utilities are working. Others are Relocation underway. being coordinated. Bi-weekly utility coordination meetings are being held.

Date of Next FTA Quarterly Meeting 12-8-2016

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.

109 of 171 FTA Quarterly Review Meeting CityLYNX Gold Line Phase 2 Charlotte Area Transit System December 8, 2016 PMO Quarterly Progress Report – November 2016

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.

110 of 171 FTA Quarterly Review Meeting CityLYNX Gold Line Phase 2 Charlotte Area Transit System December 8, 2016 PMO Quarterly Progress Report ‐ November 2016

CITYLYNX GOLD LINE PHASE II STREETCAR SOURCES OF CAPITAL FUNDING As of September 30, 2016

Percent Fund Funding Expended to Remaining Reimbursement to Sources of Capital Funding Grant ID Amount Source Share Date* Balance Date Expended to Date Section 5309 Small Starts Federal Funds SSGA Grant Federal Funds NC-2016-001-00 74,999,999 5,375,841 7.17% 69,624,158 3,385,795 Appropriated Federal Funds 74,999,999 5,375,841 7.17% 69,624,158 3,385,795 Subtotal - Small Starts Federal Funds 50% 74,999,999 5,375,841 7.17% 69,624,158 3,385,795 State Funds - - 0.00% - - Appropriated State Funds - - 0.00% - - Subtotal - State Funds 0% - - 0.00% - - Local Funds - Sales Taxes 75,000,000 5,375,841 7.17% 69,624,159 N/A Appropriated Local Funds 75,000,000 5,375,841 7.17% 69,624,159 Subtotal - Local Funds 50% 75,000,000 5,375,841 7.17% 69,624,159 -

TOTAL APPROPRIATED FUNDS 149,999,999 10,751,682 7.17% 139,248,317 - TOTAL SSGA PROJECT BUDGET 100% 149,999,999 10,751,682 7.17% 139,248,317 -

*Expended to date reported on accrual basis LEGEND Sources 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 funds Funding Share: Distribution percentage of total SSGA Project Budget Amount: Total Dollar Amount Expended to Date: Expenditures including accruals, as of the report date Percent Fund Source Expended to Date: Expended to Date / Amount Remaining Balance: Funds available (Amount - Expended to Date) Reimbursement to Date: Drawdown amount of grants reimbursed to grantee

111 of 171 FTA Quarterly Review Meeting CityLYNX Gold Line Phase 2 Charlotte Area Transit System December 8, 2016 PMO Quarterly Progress Report – November 2016 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

CityLYNX Gold Line Phase 2 112 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 PMO Quarterly Progress Report CITYLYNX GOLD LINE PHASE 2 STREETCAR Expenditures through September 30, 2016 Accruals through October 31, 2016 C ‐ (G+H) ABCDE FG H H SSGA PREVIOUSLY TOTAL TOTAL GRANT TOTAL APPROPRIATED SPENT CURRENT MONTH EXPENSES COST UNRESTRICTED PROJECT BUDGET BUDGET FUNDS TO DATE EXPENSES PAID TO DATE* (ACCRUAL) ENCUMBRANCE BALANCE 10 Guideway & Track Elements 10.04 Guideway: Aerial Structure 5,249,791 5,249,791 5,249,791 ‐ ‐ ‐ ‐ ‐ 5,249,791 10.10 Track: Embedded 12,145,322 12,145,322 12,145,322 ‐ ‐ ‐ ‐ ‐ 12,145,322 10.12 Track: Special (switches, turnouts) 2,180,544 2,180,544 2,180,544 ‐ ‐ ‐ ‐ ‐ 2,180,544 Subtotal 19,575,657 19,575,657 19,575,657 ‐ ‐ ‐ ‐ ‐ 19,575,657 20 Stations, Stops, Terminals, Intermodal 20.01 At‐grade station, stop, shelter,mall, terminal, platform 2,997,737 2,997,737 2,997,737 ‐ ‐ ‐ ‐ ‐ 2,997,737 Subtotal 2,997,737 2,997,737 2,997,737 ‐ ‐ ‐ ‐ ‐ 2,997,737 30 Support Facilities: Yards, Shops, Admin. Bldgs Subtotal ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ 40 Sitework & Special Conditions 40.01 Demolition, Clearing, Earthwork 4,357,128 4,357,128 4,357,128 ‐ ‐ ‐ ‐ ‐ 4,357,128 40.02 Site Utilities, Utilities Relocation 12,326,362 12,326,362 12,326,362 ‐ ‐ ‐ ‐ ‐ 12,326,362 40.03 Haz. Mat'l, contam'd soil removal, ground water treatment 208,604 208,604 208,604 ‐ ‐ ‐ ‐ ‐ 208,604 40.05 Site structures including retaining walls, sound walls 160,340 160,340 160,340 ‐ ‐ ‐ ‐ ‐ 160,340 40.06 Pedestrian / Bike access and accomodation, landscaping 849,335 849,335 849,335 ‐ ‐ ‐ ‐ ‐ 849,335 40.07 Automobile, bus, van accessway including roads, parking lots 3,036,427 3,036,427 3,036,427 ‐ ‐ ‐ ‐ ‐ 3,036,427 40.08 Temporary facilities & other indirect costs during construction 5,544,410 5,544,410 5,544,410 ‐ ‐ ‐ ‐ ‐ 5,544,410 Subtotal 26,482,606 26,482,606 26,482,606 ‐ ‐ ‐ ‐ ‐ 26,482,606 50 Systems 50.01 Train control and signals 733,317 733,317 733,317 ‐ ‐ ‐ ‐ ‐ 733,317 50.02 Traffic signals and crossing protection 787,612 787,612 787,612 ‐ ‐ ‐ ‐ ‐ 787,612 50.03 Traction power supply: substations 11,117,815 11,117,815 11,117,815 ‐ ‐ ‐ ‐ ‐ 11,117,815 50.04 Traction power distribution: Catenary and third rail 9,487,452 9,487,451 9,487,451 ‐ ‐ ‐ ‐ ‐ 9,487,451 50.05 Communications 167,467 167,467 167,467 ‐ ‐ ‐ ‐ ‐ 167,467 50.06 Fare collection system and equipment 111,190 111,190 111,190 ‐ ‐ ‐ ‐ ‐ 111,190 50.07 Central Control ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ Subtotal 22,404,853 22,404,852 22,404,852 ‐ ‐ ‐ ‐ ‐ 22,404,852 60 ROW, Land, Existing Improvements 60.01 Purchase or Lease of Real Estate 1,201,415 1,201,415 1,201,415 181,896 40,186 222,083 231,028 403,548 566,838 60.02 Relocation of Existing Households & Businesses ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ Subtotal 1,201,415 1,201,415 1,201,415 181,896 40,186 222,083 231,028 403,548 566,838 70 Vehicles 70.01 Light Rail Vehicles 37,510,622 37,510,622 37,510,622 286,459 6,172 292,632 306,743 1,645,891 35,557,988 70.07 Spare Parts 3,375,956 3,375,956 3,375,956 ‐ ‐ ‐ ‐ ‐ 3,375,956 Subtotal 40,886,578 40,886,578 40,886,578 286,459 6,172 292,632 306,743 1,645,891 38,933,944 80 Professional Services 80.01 Project Development 16,733,383 16,733,383 16,733,383 7,963,460 1,123,221 9,086,680 9,476,005 5,005,030 2,252,348 80.02 Engineering ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ 80.03 Project Management for Design & Construction 1,660,160 1,660,159 1,660,159 653,646 ‐ 653,646 724,935 70,000 865,224 CityLYNX Gold Line Phase 2 113 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 PMO Quarterly Progress Report CITYLYNX GOLD LINE PHASE 2 STREETCAR Expenditures through September 30, 2016 Accruals through October 31, 2016 C ‐ (G+H) ABCDE FG H H SSGA PREVIOUSLY TOTAL TOTAL GRANT TOTAL APPROPRIATED SPENT CURRENT MONTH EXPENSES COST UNRESTRICTED PROJECT BUDGET BUDGET FUNDS TO DATE EXPENSES PAID TO DATE* (ACCRUAL) ENCUMBRANCE BALANCE 80.04 Construction Administration & Management 1,844,622 1,844,622 1,844,622 ‐ ‐ ‐ ‐ ‐ 1,844,622 80.06 Legal; Permits & Review Fees 51,239 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 ‐ ‐ ‐ ‐ ‐ 1,185,017 80.08 Start‐Up 2,561,975 2,561,975 2,561,975 ‐ ‐ ‐ ‐ ‐ 2,561,975 Subtotal 24,036,396 24,036,395 24,036,395 8,630,076 1,123,221 9,753,297 10,213,910 5,075,030 8,747,454 90 Unallocated Contingency Project Contingency** 12,414,759 12,414,759 12,414,759 ‐ ‐ ‐ ‐ ‐ 12,414,759 Subtotal 12,414,759 12,414,759 12,414,759 ‐ ‐ ‐ ‐ ‐ 12,414,759 100 Finance Charges Project Financing ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ Subtotal ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐

TOTAL CITYLYNX GOLD LINE PHASE II STREETCAR 150,000,000 149,999,999 149,999,999 9,098,432 1,169,579 10,268,011 10,751,682 7,124,470 132,123,847 *Total Expenses to Date reported on a cash basis LEGEND SSGA Grant Budget: Year of Expenditure Dollars approved in the SSGA 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 current month expenses Current Month Expenses: Expenses associated with the project that were incurred in the month of reporting; excludes retainage 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 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) **City funds set‐aside as local match

CityLYNX Gold Line Phase 2 114 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 PMO Quarterly Progress Report ‐ November 2016

CASH FLOW FORECAST as of October 31, 2016 (note: period not closed as of report date)

ABCDEF TOTAL thru Oct 2016 Nov 2016 Dec 2016 Jan 2017 3 Month September 2016 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 $ - $ - $ - $ - $ - $ - 50 - Systems $ - $ - $ - $ - $ - $ - 60 - ROW, Land, Existing Improvements $ 231,028.31 $ 8,946 $ 100,000 $ 15,000 $ 15,000 $ 130,000 70 - Vehicles $ 306,743.47 $ 14,112 $ 7,500 $ 7,500 $ 7,986 $ 22,986 80 - Professional Services $ 10,213,910.31 $ 968,809 $ 50,000 $ 50,000 $ 60,000 $ 160,000 90 - Unallocated Contingency $ - $ - $ - $ - $ - $ - 100 - Finance Charges $ - $ - $ - $ - $ - $ - Monthly Total $ 991,866 $ 157,500 $ 72,500 $ 82,986 $ 312,986

Running Total (Projected Expenditures to Date) $ 10,751,682 $ 11,743,548 $ 11,901,048 $ 11,973,548 $ 12,056,534 $ 12,056,534

LEGEND Column 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 and or accrued up to the date of filing.

115 of 171 CityLYNX Gold Line Phase 2 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 PMO Quarterly Progress Report – November 2016

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 four 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 June 30, 2016

Item Amount Status 1 Storm Water – upsize pipes along alignment $4,125,000 Signed March 29, 2016: Amount based on final estimate 2 Charlotte Water – upsize and replace water main and $7,663,000 Pending Signature: Amount select sewer main along alignment based on final estimate 3 Charlotte Department of Transportation – signal upgrade $815,000 Signed April 7, 2016: Amount based on final estimate 4 Comprehensive Neighborhood Improvement Program – $615,000 Signed April 4, 2016: Amount Frazier Avenue Realignment and Street Lighting based on final estimate Total $13,218,000

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:

116 of 171 FTA Quarterly Review Meeting CityLYNX Gold Line Phase 2 Charlotte Area Transit System December 8, 2016 PMO Quarterly Progress Report ‐ November 2016 CITY LYNX GOLD LINE PHASE 2 ‐ CONTRACT LISTING Expenditures through September 30, 2016 Accuruals through October 31, 2016

EXPENDITURES CURRENT TO DATE CURRENT REMAINING CURRENT CONTRACT CONTRACT (RETAINAGE CONTRACT VALUE TO CONTRACT CONTRACT NAME NUMBER Vendor # SCOPE OF WORK VALUE INCLUDED) EXPEND REMAINING % Status 10 - 50 CONSTRUCTION 60 ROW, LAND, EXISTING IMPROVEMENTS

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 $ 20,000 $ 19,153 $ 848 4.2% 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 $ 20,000 $ 5,869 $ 14,131 70.7% Open

Nexsen Pruet, Inc 2016000717 61044 RE Title/Closing Services $ 20,000 $ 18,596 $ 1,404 7.0% 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 $ 86,033 $ 138,967 61.8% Open

The Hanes Group, Inc 2016000738 49592 Real Estate Acquisition $ 20,000 $ - $ 20,000 100.0% 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 $ 609,000 $ 198,599 $ 410,401 67.4%

70 VEHICLES

LTK Engineering Services, Inc 2015001052 104005 Vehicle Engineering $ 1,980,907 $ 349,128 $ 1,631,779 82.4% Open

TOTAL 70 VEHICLES 1 Contract $ 1,980,907 $ 349,128 $ 1,631,779 82.4%

CityLYNX Gold Line Phase 2 117 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 PMO Quarterly Progress Report ‐ November 2016 CITY LYNX GOLD LINE PHASE 2 ‐ CONTRACT LISTING Expenditures through September 30, 2016 Accuruals through October 31, 2016

EXPENDITURES CURRENT TO DATE CURRENT REMAINING CURRENT CONTRACT CONTRACT (RETAINAGE CONTRACT VALUE TO CONTRACT CONTRACT NAME NUMBER Vendor # SCOPE OF WORK VALUE INCLUDED) EXPEND REMAINING % Status 80 PROFESSIONAL SERVICES

Amy I Cheng 2016000807 302438 Art-in-Transit $ 30,000 $ 20,000 $ 10,000 33.3% Open

George Bates 2015000849 302375 Art-in-Transit $ 50,000 $ 30,000 $ 20,000 40.0% Open

James HirschfieldIshii 2016000806 302004 Art-in-Transit $ 60,000 $ 20,000 $ 40,000 66.7% Open

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

URS Corporation 1400890 70803 Preliminary Engineering $ 14,421,445 $ 10,300,132 $ 4,121,313 28.6% Open

TOTAL 80 PROFESSIONAL SERVICES 7 Contracts $ 14,689,207 $ 10,476,625 $ 4,212,582 28.7%

TOTAL CONTRACT VALUES THROUGH October 31, 2016 18 Contracts $ 17,279,114 $ 11,024,352 $ 6,254,762 36.2%

CityLYNX Gold Line Phase 2 118 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 PMO Quarterly Progress Report – November 2016

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%.

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 began in August and is scheduled to be 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 is scheduled for Nov. 1. 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 and for Systems Inspection / Testing are amendments to previously procured on-call contracts for this work. No additional procurement activities occurred in September or October 2016.

GOLD LINE PH2 CONTRACTS – IN PROGRESS RCA Date Bid Contract Execution Description Contractor Advertise (Request for Due Date Amount Date Council Action) Proposals Vehicle RFP Siemens 3/21/2016 11/28/16 $39,319,984 12/30/16 Manufacturing 1/11/2016 8/5/2016

Construction (Civil, 4/25/2016 6/23/2016 Johnson Brothers 11/28/16 $80,671,158 1/23/17 Track, and Systems) 9/13/16 10/12/16

Construction RFP Proposals Materials Testing Terracon 11/28/16 $400,000 1/17/17 5/1/2015 5/20/2015 (Amendment #1) Systems Inspection / RFP Proposals Testing STV 11/28/16 $200,000 1/17/17 5/1/2015 5/20/2015 (Amendment #1)

CityLYNX Gold Line Phase 2 119 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 PMO Quarterly Progress Report – November 2016

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 Estimated Estimated Estimated NTP Description Advertise Award Date Date Date Vehicle Manufacturing Jan 2016 Nov 2016 Dec 2016 Construction (Track, Civil, Apr 2016 Nov 2016 Jan 2017 Systems) Sep 2016 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.

120 of 171 FTA Quarterly Review Meeting CityLYNX Gold Line Phase 2 Charlotte Area Transit System December 8, 2016 PMO Quarterly Progress Report – November 2016

 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 Team anticipates vehicle manufacturer negotiation to be completed in October 2016, in order to award a contract on the same date as the construction contract in November 2016. NTP will be issued immediately after award.

Vehicle Design Look Ahead  Develop final contract  Complete Pre-award Audit  Award contract 7.0 Project Schedule

7.1 Schedule Status The detailed baseline schedule is based on the following milestone schedule:

Baseline Schedule Milestone Baseline Schedule Start Status Completion Project Development February 2014 May 2016 Complete LONP October 2015 January 2016 Received Contract Vehicle RFP January 2016 November 2016 Negotiations SYGA May 2016 Received Project Bid Phase April 2016 November 2016 Rebid Real Estate Acquisition January 2016 January 2017 In progress Construction (Civil, Track, Systems) January 2017 January 2020 Vehicle Manufacturing & Delivery of December 2016 March 2019 First Vehicle 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

Milestones achieved – The LONP was received on January 4, 2016 and the Vehicle RFP was advertised on January 11, 2016. The construction contract was advertised for bid on April 25, 2016 and was re-bid September 13, 2016. The Small Starts Yearly Grant Appropriation was received in May 2016.

121 of 171 FTA Quarterly Review Meeting CityLYNX Gold Line Phase 2 Charlotte Area Transit System December 8, 2016 PMO Quarterly Progress Report – November 2016

7.2 Critical Path Critical Path for the project:  Construction Bid  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 notices to proceed for both construction and the vehicle manufacturing.

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 September 2016, the Risk Register was reviewed by the Project Management Team and the following items were recommended for retirement:

 Risk Item 14: Quality issues associated with the field fusion of the HDPE water lines result in project delay and potential extra costs. - In August 2016, the water main material was changed to PVC and DIP which are commonly used materials on the City's water system. Due to the elimination of the risk, the Project Management Team determined that this item could be retired with no impacts at the September 15, 2016 meeting.  Risk Item 39: NCDOT may delay the final packages and/or make late changes to the Hawthorne Bridge Design. - NCDOT gave verbal approval of the Bridge Plans in July 2016. Documentation was received in August 2016. Based on the receipt of NCDOT final approval, the PMT determined that this item could be retired with no impacts at the September 15, 2016 meeting.

In October 2016, the Risk Register was reviewed by the Project Management Team and the following items were recommended for retirement:  Risk Item 24: 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. - JCSU signed a right of entry allowing utility relocation and construction in August 2016. 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 with no impact.  Risk item 38: Real estate provisions with Johnson C. Smith University not in place before bids. - An offer was made in August 2016. JCSU signed a right of entry for construction work in August 2016. We received signed

122 of 171 FTA Quarterly Review Meeting CityLYNX Gold Line Phase 2 Charlotte Area Transit System December 8, 2016 PMO Quarterly Progress Report – November 2016

agreements from JCSU in October 2016. The PMT reviewed this item at their October 13, 2016 meeting and determined that it could be closed with no impact. In October 2016, the Project Management Team elected to add the following construction risk to the risk register:  Risk Item 45: Coordination and/or funding issues with JCSU on construction of new main entrance results in increased cost and potential delay. This item was added as a construction risk because of the coordination of the two projects. The mitigation for this risk is that the team plans to install curb returns for the new JCSU entrance and make arrangements for JCSU to continue to use the existing entrance as needed until they can fund the new entrance. The risk was ranked as a medium probability, medium cost impact, and medium schedule impact.

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124 of 171 FTA Quarterly Review Meeting CityLYNX Gold Line Phase 2 Charlotte Area Transit System December 8, 2016 PMO Quarterly Progress Report - November 2016

Risk Category Risk Matrix Legend Legend Low (1) Medium (2) High (3) D=Design Probability < 10% 10% ‐ 25% > 25% October 11, 2016 R=Regulatory Cost < $100k $100k ‐ $500k > $500k P=Procurement Schedule < 1 month 1 ‐ 3 months > 3 months C=Construction Rating <= 6.0 6.1 ‐ 12.0 12.1 ‐ 18.0

Current Risk Description (Event and Probability Cost Impact Schedule Impact Risk Rating Rank Risk ID FTA SCC Discipline Risk Category Outcome) Responsibility [P] [C] [S] P*(C+S) Mitigation Date Added Status Date Closed Monthly Status Report ‐ October 2016

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 Difficulty in scheduling of private included on the UBO plans. Continuing to work with utility relocations resulting in telecomm companies. Duke began the relocation of the overcrowding of contractors, Coordinate with private utilities as downtown underground ductbank on May 23, 2016 and inefficient and multiple roadway, early and efficiently as possible to 1 1 40.00 Private Utility C T. Russell 3 1 3 12 Jul‐15 Open is 95% completed as of August 31, 2016. Duke overhead sidewalk, driveway closures, delay of obtain relocations and set relocation on Hawthorne began in mid‐August 2016. Gold Line construction activities construction schedules. Duke permit for Beatties Ford Overhead was approved while waiting for private contractors in August 2016 and they anticipate a November 2016 to complete work 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.

Traffic control impacts to Highway 74 The traffic control plans for Highway 74 for the bridge during the demolition and Maintain frequent coordination with reconstruction period were advanced to approximately reconstruction of the Hawthorne NCDOT. Especially coordinate with 95% and were sent to NCDOT for final review on March 2 2 10.00 Traffic Control C Lane bridge require bridge work to T. Wimberly23312concurrent NCDOT project on Jul‐15 Open 21, 2016. NCDOT comments were received in April and only occur during small periods of Highway 74 to optimize opportunity were incorporated into the bid documents. NCDOT time each day and delay the project to combine traffic control as possible verbally approved the traffic control plans in July 2016. schedule. Final approval was received in August 2016.

Unknown utility conflicts are discovered during the construction Maintain efficient methods of Design team holds weekly utility coordination phase requiring private utility 3 6 40.00 Private Utility C A. Babson31312coordination with private utilities so Jul‐15 Open conference calls to monitor utility relocation progress. involvement and/or public utility response is quick. Monitor during construction. redesign resulting in construction delays

Construction sequencing developed during the design phase, including In October 2015, City staff reviewed the construction Construction sequencing workshops determining, organizing, and sequencing and made significant changes to the traffic with City staff and general 4 10 40.00 Traffic Control D maintaining road closures, does not T. Wimberly32212 Jul‐15 Open control plan. These changes have been incorporated contractors will occur to identify pros translate to real world environment into the plans, specifications, and cost estimate. and cons of current design. during construction resulting in Monitor during construction. delays and extra cost

The mobilization cost was increased to 5% in the Cost associated with mobilization in Will increase mobilization in 90% cost 5 40 40.00 Cost Estimate D T. Wimberly33112 Sep‐15 Open engineer's estimate. This will be reviewed when the the estimate may be exceeded. estimate. bids are accepted.

CityLYNX Gold Line Phase 9 125 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 PMO Quarterly Progress Report - November 2016

Legend Legend Low (1) Medium (2) High (3) D=Design Probability < 10% 10% ‐ 25% > 25% October 11, 2016 R=Regulatory Cost < $100k $100k ‐ $500k > $500k P=Procurement Schedule < 1 month 1 ‐ 3 months > 3 months C=Construction Rating <= 6.0 6.1 ‐ 12.0 12.1 ‐ 18.0

Current Risk Description (Event and Probability Cost Impact Schedule Impact Risk Rating Rank Risk ID FTA SCC Discipline Risk Category Outcome) Responsibility [P] [C] [S] P*(C+S) Mitigation Date Added Status Date Closed Monthly Status Report ‐ October 2016 Carefully consider real estate impacts Design revisions during construction The real estate needs on the plans were reviewed in during design revisions and avoid may require additional right‐of‐way October 2015, December 2015, and again in February 6 11 60.00 Real Estate/ROW P A. Widenhouse 2 2 3 10 impacts where possible, using Jul‐15 Open resulting in project delays and 2016 to ensure that enough easement was obtained. alternative design and/or increased cost Redesign will be monitored during construction. construction methods as possible City Project (Frazier Street The City is designing the Frazier Street Realignment Realignment) is not in place for use project. The designer for GL2 has been coordinating City will attempt to advance as an alternative traffic route during with the designer for Frazier. Frazier has been 7 27 40.00 Construction C T. Wimberly22310execution of Frazier Street Relocation Jul‐15 Open GL2 construction resulting in traffic incorporated into the bid package for GL2 which was project control changes, delays and cost advertised in April 2016 and in the readvertisement in impacts September 2016. Monitor during construction.

General Contractor contract and bid documents to include incentives for Construction schedule contains Design staff revised the construction sequencing of the proper construction of certain minimal float which could cause project to decrease overall construction time which 8 29 All Construction C A. Babson22310aspects of the project. Encourage Jul‐15 Open schedule delays and result in created more schedule float. Monitor during general contractor to provide additional costs construction. sufficient staffing and equipment to job site to help efficiency.

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 Consider pre‐qualifying bidders. meeting would be held in late May 2016. The project High demand in local market limits Consider pre‐bid workshop to 9 36 All Bidding P T. Wimberly23210 Sep‐15 Open was advertised on April 25, 2016. The pre‐bid meeting bidder capacity/interest encourage partnering and project was held on May 24, 2016. Seven general contactors understanding 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.

Clearance height issues at Blue Line bridge which require the OCS design The bid set includes both bridge hangers and an option to minimize the distance between Pursue OCS design which keeps the for wireless vehicles. The vehicle RFP included off‐wire 10 3 50.00 OCS D the contact wire and bridge structure T. Wimberly3219contact wire as high as possible and Jul‐15 Open technology. Only the Blue Line bridge will require low causes a vehicle height restriction to above 13'9". clearance signage if wireless is not an option after the be required for this block of Trade vehicle is selected. Street.

CityLYNX Gold Line Phase 2 126 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 PMO Quarterly Progress Report - November 2016

Legend Legend Low (1) Medium (2) High (3) D=Design Probability < 10% 10% ‐ 25% > 25% October 11, 2016 R=Regulatory Cost < $100k $100k ‐ $500k > $500k P=Procurement Schedule < 1 month 1 ‐ 3 months > 3 months C=Construction Rating <= 6.0 6.1 ‐ 12.0 12.1 ‐ 18.0

Current Risk Description (Event and Probability Cost Impact Schedule Impact Risk Rating Rank Risk ID FTA SCC Discipline Risk Category Outcome) Responsibility [P] [C] [S] P*(C+S) Mitigation Date Added Status Date Closed Monthly Status Report ‐ October 2016 Utility Coordination meeting with all utilities was held on Significant Subsurface Utility 10/7/15. A meeting was held with Duke on 10/26/15. Exploration will occur during the Met with TWC, AT&T, and Duke on 11/9/15. Received Known utility conflicts are unable to design phase. Project Team will Duke plans on November 24, 2015. Received PNG be resolved during the design phase determine locations of potential plans, AT&T plans, and revised Duke plans in December 11 5 40.00 Utility D of the project due to the aggressive T. Russell2228 Jul‐15 Open conflicts and perform Level A SUE to 2015. Met with Duke and AT&T in early January 2016. schedule thus creating construction identify underground facilities. Duke finalized their design in February 2016. UBO plans delays Design will be adjusted to account for and utility matrix were sent to all utility companies in conflicts. March 2016. Duke began their underground relocations on May 23 2016 Duke AT&T and PNG are currently

Unidentified utility and basement Project Team will determine locations conflicts with OCS pole foundations of potential conflicts and perform Met with multiple building managers in October, are encountered during construction Level A SUE to identify underground November, and December to determine the location of resulting in field modifications, facilities. Design will be adjusted to basements and underground structures. Team sent 12 17 50.00 OCS D T. Russell2228 Jul‐15 Open redesign, additional ROW impacts account for conflicts. Properties plans to building owners along the corridor and have and potentially multiple drilling of suspected of having basements will received building plans from most of the building foundations and resultant delay and be contacted to obtain additional owners. Monitor during construction. cost impacts information.

Place restrictions within the vehicle procurement documentation which Vehicle delivery does not occur requires delivery within a certain Vehicle final BAFOs were received on August 8, 2016. during scheduled time frame time frame. Incorporate detailed On August 23,2016 the manufacturer was notified of his 13 18 70.00 Vehicles P resulting in a delay to vehicle burn‐in, D. McDonald2138 Jul‐15 Open execution times into the project selection and contract negotiations began. The vehicle pre‐revenue testing and training, schedule to determine critical path delivery schedule is part of the contract negotiations. and/or start of revenue service for vehicle certification, systems integration, and pre‐revenue testing.

Damage to Phase 1 infrastructure City inspection to monitor Phase 1 14 28 All Construction C during raising of the stops results in A. Babson2138construction activities to promote Jul‐15 Open To be monitored during construction. delays and additional costs careful demolition and construction.

Excessive undercut exceeds Encourage contractor to further Staff added geofabric mat to the undercut specification estimates from geotechnical report 15 30 40.00 Construction C A. Babson2228investigate areas of concern noted in Jul‐15 Open as an option to reduce the amount of undercut. resulting in additional costs for the Geotechnical Report. Monitor during construction. removal and potential delays

CityLYNX Gold Line Phase 2 127 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 PMO Quarterly Progress Report - November 2016

Legend Legend Low (1) Medium (2) High (3) D=Design Probability < 10% 10% ‐ 25% > 25% October 11, 2016 R=Regulatory Cost < $100k $100k ‐ $500k > $500k P=Procurement Schedule < 1 month 1 ‐ 3 months > 3 months C=Construction Rating <= 6.0 6.1 ‐ 12.0 12.1 ‐ 18.0

Current Risk Description (Event and Probability Cost Impact Schedule Impact Risk Rating Rank Risk ID FTA SCC Discipline Risk Category Outcome) Responsibility [P] [C] [S] P*(C+S) Mitigation Date Added Status Date Closed Monthly Status Report ‐ October 2016

Building Inspection requirements Continually coordinate with County change regarding shelters and TPSS Code Enforcement and monitor 16 31 All Construction R T. Morton2138 Jul‐15 Open To be monitored during construction. unit installations resulting in delay in potential for code revisions and Certificate of Occupancy permitting requirements.

Complete the Irwin Creek outfall Coordinate closely with John Keene improvement project prior to the John Keene has received encroachment permits and and the storm water team to ensure start date for the Gold Line plan approval from NCDOT in June 2016. JK is working 17 44 40.00 Storm C T. Wimberly2228that their contractor is completed Jun‐16 Open contractor beginning storm with the stormwater maintenance group to get a prior to the Gold Line contractor start installation on West Trade Street contractor on board to begin the work. date between I‐77 and Beatties Ford.

Plan to install curb returns for new Coordination and/or funding issues entrance and make arrangements for with JCSU on construction of new 18 45 40.00 Track/Civil C T. Wimberly2228JCSU to continue to use the existing Oct‐16 Open main entrance results in increased entrance as needed until they can cost and potential delay fund the new entrance.

Provide contractor a list of Failure of the contractor to make anticipated submittals within the 19 15 All Construction C appropriately timed submittals A. Babson2126 Jul‐15 Open To be monitored during construction. project documents. Include results in project delay incentives to complete work.

General Contractor contract and bid Long lead time materials are not The project team studied industry lead times to documents to include incentives for ordered within proper time frame or detemine if any materials needed to be procured in proper construction of certain 20 16 All Construction P unforeseen delays cause late delivery T. Wimberly2126 Jul‐15 Open advance of the construction contract. The team aspects of the project. Submittals will to the site causing delays to the determined that early procurement was not necessary. be required early in the project to project Monitor during construction. help identify any procurement issues.

Utility contractor encounters densely populated underground pipe Provide known utility maps to the network and/or rock resulting in contractor within the plan set. Utility relocation is being scheduled in an effort to clear 21 22 40.00 Utility C damage to existing utilities, rerouting T. Morton2126Encourage proper precautions before Jul‐15 Open the area for the contractor. To be monitored during of public utilities and/or improper excavation. Identify areas which may construction. installation of gravity systems require special care. resulting in delays

The Real Estate appraisal process began in January 2016 Appraisals and or costs for damages for select properties. The real estate process began for 22 41 60.00 Real Estate/ROW C T. Wimberly2216Re‐Design to minimize impact. Sep‐15 Open may result in higher ROW values all properties in April 2016 and all appraisals are completed. These costs are being monitored.

Administrative and legal cost may be These costs are being monitored. The first 23 42 60.00 Cost Estimate R A. Widenhouse2216Rely more on in‐house resources. Sep‐15 Open higher than anticipated condemnations are utilizing in‐house staff.

CityLYNX Gold Line Phase 2 128 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 PMO Quarterly Progress Report - November 2016

Legend Legend Low (1) Medium (2) High (3) D=Design Probability < 10% 10% ‐ 25% > 25% October 11, 2016 R=Regulatory Cost < $100k $100k ‐ $500k > $500k P=Procurement Schedule < 1 month 1 ‐ 3 months > 3 months C=Construction Rating <= 6.0 6.1 ‐ 12.0 12.1 ‐ 18.0

Current Risk Description (Event and Probability Cost Impact Schedule Impact Risk Rating Rank Risk ID FTA SCC Discipline Risk Category Outcome) Responsibility [P] [C] [S] P*(C+S) Mitigation Date Added Status Date Closed Monthly Status Report ‐ October 2016

Civil Contractor is ineffective in project specific trades like project management, rail installation and Include specific trades within the 24 20 All Construction C T. Morton1134 Jul‐15 Open To be monitored during construction. bridge construction resulting in poor contractor pre‐qualification process. budgeting, scheduling, construction, and/or quality

Contractor fails to maintain water service to "no outage customers" during water line construction Contractor shall submit a plan resulting in the need to quickly The contractor is being required to submit a temporary indicating how water services are 25 7 40.00 Water C restore service and modify A. Babson1224 Jul‐15 Open water service plan per Charlotte Water. To be maintained. City inspection will construction sequencing and monitored during construction. monitor fulfillment of this plan. scheduling, and undesirable public reaction to the project and possibly create delays

Coordination of the construction sequence for instances when a new Contractor shall submit a plan water main is located within the These areas have been identified on the plans and Construction indicating the construction 26 8 40.00 C same footprint as an existing water T. Wimberly2114 Jul‐15 Open accounted for in the traffic control plan. To be Sequence procedures for scenarios like this for or stormwater main requires monitored during construction. approval by the City. additional construction time and results in additional construction cost

The discovery of compromised Coordinate closely with Charlotte sanitary sewer piping (mostly clay Water in the attempt to identify 27 9 40.00 Sewer C pipe) during construction results in T. Morton2114 Jul‐15 Open To be monitored during construction. potential sensitive areas before the need for immediate bypass and construction occurs. replacement thus creating delays

Contractor to review construction Expedited design schedule restricts schedule and prepare a The project team has performed additional plan reviews the development of an efficient, well corresponding plan showing phases and made extensive efforts during the design phase. 28 12 All Design D T. Wimberly1224 Jul‐15 Open thought out design and results in and segments of the project with the Will continue coordination efforts through the bid design revisions during construction goal of quickly identifying any issues phase. which require coordination.

Encourage contractor to perform Weather has adverse impacts on the certain activities (like storm 29 13 All Construction C ability to construct components of T. Morton2114 Jul‐15 Open To be monitored during construction. installation) during the historically the project resulting in project delay drier months of the year.

CityLYNX Gold Line Phase 3 129 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 PMO Quarterly Progress Report - November 2016

Legend Legend Low (1) Medium (2) High (3) D=Design Probability < 10% 10% ‐ 25% > 25% October 11, 2016 R=Regulatory Cost < $100k $100k ‐ $500k > $500k P=Procurement Schedule < 1 month 1 ‐ 3 months > 3 months C=Construction Rating <= 6.0 6.1 ‐ 12.0 12.1 ‐ 18.0

Current Risk Description (Event and Probability Cost Impact Schedule Impact Risk Rating Rank Risk ID FTA SCC Discipline Risk Category Outcome) Responsibility [P] [C] [S] P*(C+S) Mitigation Date Added Status Date Closed Monthly Status Report ‐ October 2016

The final plans and specifications were reviewed and Plans, specifications, and contract approved for construction in April 2016. The project Provide thorough review and quality contradict or do not cover all was advertised in April 2016, the bids were rejected and 30 19 All Design D T. Wimberly1224control checks before contract bid Jul‐15 Open necessary items resulting in the proect team met with the contractors to identify documents are released. contractor RFIs and/or change orders areas that could be clarified. Clarifications were made and the project was re‐advertise in September 2016.

Coordination with proposed Coordination meeting with the JCSU student housing development projects along the Coordinate closely with all City development was held in early October 2015. Meetings corridor result in the overlap of departments on any new projects with other developers on the west side were held in 31 23 All Construction D construction activity time lines, A. Widenhouse1224within the corridor. Request City Jul‐15 Open January 2016. Review of developer plans continued in damage to infrastructure, and/or departments to provide information February and March 2016. Additional developers have requirement for redesign resulting in to the Gold Line team upon receipt. come forward in April 2016. The team is meeting and additional cost and schedule delay coordinating with each one individually.

Project fails to maintain appropriate City inspection shall monitor traffic access to small businesses on control and pedestrian routes during Beatties Ford Road corridor which 32 25 N/A Traffic Control C T. Morton2114construction and hold contractor Jul‐15 Open To be monitored during construction. results in financial hardship to these responsible for maintenance per businesses and a corresponding contract documents. negative public reaction

Utility Coordination meeting with all utilities was held on 10/7/15. A meeting was held with Duke on 10/26/15. Coordinate with Duke Energy and Overhead utilities must be relocated Met with TWC, AT&T, and Duke on 11/9/15. Received AT&T to establish relocation design and may impact adjacent properties Duke plans on November 24, 2015. Received AT&T and determine necessary easements. 33 26 40.00 Utility D resulting in additional right‐of‐way T. Russell1224 Jul‐15 Open plans, and revised Duke plans in December 2015. Met Provide opportunity to review and impacts, project delays and increased with Duke and AT&T in early January 2016. Duke modify design to avoid unnecessary costs finalized their plans in February 2016. UBO plans and expenses. utility matrix were sent to all utility companies in March 2016. AT&T has completed their overhead design.

Designer of record surveyors under contract to perform checks, control Survey errors in horizontal and 34 37 10.00 Construction C A. Babson1224points moved to outside of project Sep‐15 Open To be monitored during construction. vertical alignment limits, contractor required to submit frequent survey checks/closures,

CityLYNX Gold Line Phase 2 130 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 PMO Quarterly Progress Report - November 2016

Legend Legend Low (1) Medium (2) High (3) D=Design Probability < 10% 10% ‐ 25% > 25% October 11, 2016 R=Regulatory Cost < $100k $100k ‐ $500k > $500k P=Procurement Schedule < 1 month 1 ‐ 3 months > 3 months C=Construction Rating <= 6.0 6.1 ‐ 12.0 12.1 ‐ 18.0

Current Risk Description (Event and Probability Cost Impact Schedule Impact Risk Rating Rank Risk ID FTA SCC Discipline Risk Category Outcome) Responsibility [P] [C] [S] P*(C+S) Mitigation Date Added Status Date Closed Monthly Status Report ‐ October 2016

Meeting held with Duke Energy and AT&T (pole owners) Bracing of existing, and remaining, Include potential bracing locations in 10/26/15 to determine final design and easement utility poles in the vicinity of contract documents and remind needs. Met with AT&T and Duke on 11/9/15. Met with 35 4 40.00 Utility C underground utility construction A. Babson1213 Jul‐15 Open contractor of these provisions Duke and AT&T in early January 2016. Duke finalized causes delays in construction and throughout the construction phase. their plans in February 2016. AT&T completed their increase in costs design in April 2016. Monitor during construction.

Communication between all involved The plans were resubmitted to NCDOT for final review Project management will hold regular City of Charlotte departments and on March 21, 2016. Comments were received and meetings (working group and PMT) 36 21 All Construction C NCDOT is not properly maintained T. Wimberly1123 Jul‐15 Open incorporated into the final plans in April 2016. to keep all department involved and resulting in the delay of approvals Coordination meetings were held with NCDOT in June informed. and inspections 2016 and will continue through construction.

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 Continue Negotions, Move to meeting in March 2016 to coordinate the placement of Novant Health Presbyterian Hospital 37 32 60.00 Real Estate/ROW P T. Wimberly1112adjacent property, Condemation if Sep‐15 Open the unit on one of their developments. In April 2016, ROW Purchase for TPSS necessary 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

Failure to maintain appropriate Inspect access daily and monitor 38 35 40.00 Civil C pedestrian Access/Safety at high A. Babson1112trends to ensure contractor is taking Sep‐15 Open To be monitored during construction. volume locations appropriate action

Request for LONP was submitted to FTA on October 5, 2015. The LONP was granted on January 4, 2016. The Delay in obtaining LONP for Vehicles Coordinate closely with FTA to 39 34 70.00 Vehicles p D. McDonald22310 Sep‐15 Retired Apr‐16 vehicle RFP was advertised January 11, 2016. The PMT by November 1, 2015 expedite approval. determined that this delay did not effect the schedule and recommended closure in April 2016.

CityLYNX Gold Line Phase 2 131 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 PMO Quarterly Progress Report - November 2016

Legend Legend Low (1) Medium (2) High (3) D=Design Probability < 10% 10% ‐ 25% > 25% October 11, 2016 R=Regulatory Cost < $100k $100k ‐ $500k > $500k P=Procurement Schedule < 1 month 1 ‐ 3 months > 3 months C=Construction Rating <= 6.0 6.1 ‐ 12.0 12.1 ‐ 18.0

Current Risk Description (Event and Probability Cost Impact Schedule Impact Risk Rating Rank Risk ID FTA SCC Discipline Risk Category Outcome) Responsibility [P] [C] [S] P*(C+S) Mitigation Date Added Status Date Closed Monthly Status Report ‐ October 2016 The SSGA request includes 7 vehicles. The Vehicle RFP The number of vehicles required for was advertised on January 11, 2016. Three proposals Select a vehicle with adequate the project may change based on the were received on March 21, 2016. All 3 manufacturers 40 43 70.00 Vehicles P D. McDonald2318capacity, Request LONP to begin Sep‐15 Retired May‐16 passenger capacity of the vehicle meet the passenger capacity requirements. The PMT early procurement selected determined that this risk had no impact and recommended closure at the May 12, 2016 meeting.

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. Continue to advance project with The grant was activated on May 16, 2016. The PMT 41 33 All Scheduling R Delay in obtaining the SSGA D. McDonald2138local funds. Coordinate with FTA for Sep‐15 Retired Jun‐16 reviewed this item and determined that there was no additional LONP's as needed impact to the schedule because the SSGA was issued on May 16, 2016. The PMT recommended closure at their June 9, 2016 meeting.

Include HDPE installation experience in the project's contractor pre‐ Quality issues associated with the In August 2016, the water main material was changed to qualification process. Coordinate field fusion of the HDPE water lines PVC and DIP which are commonly used materials on the 42 14 40.00 Water C T. Morton2228closely with contractor to provide Jul‐15 Retired Sep‐16 result in project delay and potential City's water system. The PMT determined that this item quality assurance assistance and extra costs could be closed at the September 15, 2016 meeting. lessons learned from other HDPE projects.

NCDOT gave verbal approval of the Bridge Plans in July NCDOT may delay the final packages Continue to coordinate with NCDOT, 2016. Documentation was received in August 2016. 43 39 10.00 Design D and/or make late changes to the A. Widenhouse1123 Sep‐15 Retired Sep‐16 provide for standard review time. The PMT agreed to close this item at the September 15, Hawthorne Bridge Design 2016 meeting.

Coordination meeting with JCSU was held on 10/19/15. A meeting with the JCSU Board was held on 11/11/15. Coordination and/or funding issues Plan to remove the pedestrian bridge Appraisals for the five parcels were completed as of July with JCSU on removal of pedestrian inside the right of way and make 2016 and and offer was made in August 2016. JCSU 44 24 40.00 Track/Civil D bridge and construction of new main D. McDonald32212arrangements for JCSU to continue to Jul‐15 Retired Oct‐16 signed a right of entry allowing utility relocation and entrance results in increased cost use the existing entrance as needed construction. Signed agreements with JCSU were and potential delay until they can fund the new entrance obtained in October 2016. The PMT reviewed this item at their October 13, 2016 meeting and determined that it could be closed without impact.

CityLYNX Gold Line Phase 6 132 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 PMO Quarterly Progress Report – November 2016 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 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 Design Criteria Conformance Checklist and the exceptions associated with the infrastructure will be signed based on the conformance of the construction plan set which will occur after award of the construction contract.  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. Once the vehicle manufacturer has been selected, the PHA and TVA will be reviewed to determine if any new hazards or threats indigenous to the vehicle need to be identified.  The Safety and Security Staff provided Rail Right of Way safety training for the streetcar management and construction staff on August 23, 2016. The staff was certified for two years.

Upcoming Safety and Security activities:  Finalize the DCCC  Update PHA/TVA items based on vehicle selected  Develop DCCC for the vehicle design and manufacture  Develop the Construction Specification Conformance Checklist for the construction contract

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 meeting was held on October 17, 2016.  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.

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SAFETY AND SECURITY CERTIFICATION STATUS REPORT CEL / CIL SUMMARY TOTALS Updated 8/31/2016 Number Items Items In Percent Certifiable Element of Items Completed Progress Complete Design Criteria Conformance 298 0 298 0% Bridges and Retaining Walls 39 0 39 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 15 0 15 0% Construction Specification Conformance UD 0 UD 0 System Safety Plans 54180% System Security Plans / Procedures 21150% Operations and Maintenance Plans / Procedures 11 1 10 9% System Integration Testing Plans / Procedures 3030% 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 114 0 114 0% Procedure Verification 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 27 0 27 0% Procedure Verification Threats/Vulnerabilities Total 84 22 62 26% 1,130 193 937 17%

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SAFETY AND SECURITY CERTIFICATION STATUS REPORT PLANS / PROCEDURES CONFORMANCE

Plans / Required Number Date Completed / Certifiable Element Certifier Procedures Draft Status Assigned to Comments of Plans Scheduled Completion Date Completed Submittal SYSTEM SAFETY Design Criteria Manual CATS / E&PM 1 1 Sep‐15 Complete Andy Widenhouse

Accident/Incident Investigation Plan CATS 1 0 Dec‐19 In Progress David Moskowitz

Safety and Security Management Plan Revision 0 was adopted in November 2015 and signed in CATS / E&PM 1 1 Nov‐15 Complete Tonia Wimberly (SSMP) January 2016. Revision 0 was adopted in November 2015 and signed in Safety and Security Certification Plan (SSCP) CATS / E&PM 1 1 Nov‐15 Complete Tonia Wimberly January 2016.

Revision 13 February 2016 included the GL2 for Project System Safety Program Plan (SSPP) CATS 1 1 Feb‐16 Complete Celia Gray Development. To be updated prior to Revenue Service.

SYSTEM SECURITY Emergency Preparedness and Continuity CATS 1 0 Dec‐19 In Progress David Moskowitz Plan (EPCP)

Revision 13 February 2016 included the GL2 for Project System Security Plan (SSP) CATS 1 1 Feb‐16 Complete Celia Gray Development. To be updated prior to Revenue Service.

OPERATIONS AND MAINTENANCE

City of Charlotte – The operators and maintenance staff are included in the Drug & Alcohol Testing Program/Procedures 1 1 Mar‐11 Complete Gracie Myers Human Resources existing Drug & Alcohol Testing Program

Inspection and Maintenance CATS 1 0 Mar‐20 In Progress Andy Widenhouse / Allen Smith Policies/Procedures

Maintenance Manuals CATS 1 0 Mar‐20 In Progress Andy Widenhouse / Gary Lee

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 & Maintenance Training Plan CATS 1 0 Mar‐20 In Progress Tonia Wimberly / Allen Smith

Rail Operations Control Center (ROCC) CATS 1 0 Mar‐20 In Progress Tonia Wimberly / Marie Darby CATS LR201 Procedure

Rule Book CATS 1 0 Mar‐20 In Progress Tonia Wimberly / Marie Darby

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SAFETY AND SECURITY CERTIFICATION STATUS REPORT PLANS / PROCEDURES CONFORMANCE

Plans / Required Number Date Completed / Certifiable Element Certifier Procedures Draft Status Assigned to Comments of Plans Scheduled Completion Date Completed Submittal

Start Up and Testing Plan (Pre‐Revenue CATS 1 0 Sep‐19 In Progress Tonia Wimberly / Marie Darby Operations Tests)

Training Program CATS 1 0 Oct‐19 In Progress David Moskowitz

Training Certifications (Initial and CATS 1 0 Mar‐20 In Progress David Moskowitz Continuing)

SYSTEM INTEGRATION TESTING

Start‐Up and Testing Plan (Procedures) City of Charlotte / CATS 1 0 Sep‐19 In Progress Tonia Wimberly

Start Up and Testing Plan (System City of Charlotte / CATS 1 0 Sep‐19 In Progress Tonia Wimberly Integration Tests, Pre‐Revenue Operations

System Readiness Drills City of Charlotte / CATS 1 0 Mar‐20 In Progress Andy Widenhouse

21 6 % Complete 29%

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FTA Safety and Security Checklist

Project Overview Project Mode (Rail, Bus, BRT, Multimode) Rail Project Phase (PE, Final Design, Construction, Start- Bid ProjectUp) Delivery Method (Design/Build, DBOM, DBB CMGC, etc.) Project Plans Version FTA Review 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 13 TBD The SSP is updated annually in February. and Emergency Preparedness Plan The plan currently includes the project in (SEPP) 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.

Area of Focus Y/N Notes/Status Safety and Security Authority Is the Project Sponsor subject to 49 CFR Part 659 state Y The agency has been operating under 49 CFR Part safety oversight requirements? 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 Y North Carolina DOT is the SSOA Part 659.9? Has the oversight agency reviewed and approved the Project TBD NCDOT reviews and approves the CATS SSPP and Sponsor’s Security Plan or SSPP as per 49 CFR Part 659.17? 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 Y NCDOT SSO participates in the FTA quarterly Program Review Meeting? 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 Y The SSCP was submitted to NCDOT on 10/15/15. plan to the oversight agency? Has the Project Sponsor implemented security directives N/A At the time of final design, CATS has not received a issued by the Department of Homeland Security and/or grant from DHS/TSA for the GL2 project. No Transportation Security Administration? security directives are applicable to the GL2 project.

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SSMP Monitoring Is the SSMP project-specific, clearly demonstrating the Y The GL2 SSMP, Rev. 0, Section 1, discusses the scope of safety and security activities for this project? 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 Y SSMP is reviewed and updated regularly project plans to determine if updates are necessary? Does the Project Sponsor implement a process through Y The GL2 SSMP, Rev. 0, Section 2, describes the which the Designated Function (DF) for Safety and DF for safety and security tasks of the project through all Security are integrated into the overall project management phases, including the procedures and resources, and team? Please specify. 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 Y The monthly FTA report and the SSRC minutes report on the status of safety and security activities? 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, Y CATS has a Safety and Security Division currently procedures and authority for safety and security activities in place. The SSMP Rev. 0, Section 2.2 and Table throughout all project phases? 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 Y The GL2 SSMP, Rev 0, Section 2.2 includes a responsibility matrix/organizational chart as necessary? responsibility matrix for all stakeholders of the project. The matrix is updated with each SSMP update.

Has the Project Sponsor allocated sufficient resources to Y The GL2 SSMP, Rev 0, Section 3, Assignment of oversee or carry out safety and security activities? 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

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Has the Project Sponsor developed hazard and vulnerability Y The GL2, SSMP, Rev 0, Section 4, Safety and analysis techniques, including specific types of analysis to be Security Analysis describes the hazard and performed during different project phases? 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 Y SSRC meetings are held at least once every two meetings to track to resolution any identified hazards and/or months. The GL2, SSMP, Rev 0, Sections 2.3 and vulnerabilities? 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 Y Progress is monitored by the project team and security activities throughout all project phases? Please reported at the SSRC meetings. describe briefly. Does the Project Sponsor ensure the conduct of preliminary Y The GL2, SSMP, Rev 0, Section 4, Safety and hazard and vulnerability analyses? Please specify the Security Analysis describes the hazard and analyses conducted. 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 Y Safety elements are integrated in the project Design design criteria? 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 Y Security elements are integrated in the project design criteria? 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 TBD The GL2 SSMP, Rev 0, Section 5.0.2, and security requirements in design? 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 review. Exceptions have been generated and approved.

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Has the Project Sponsor verified conformance with safety TBD The GL2 SSMP, Rev 0, Section 5.0.2, Conformance and security requirements in equipment and materials Checklists, describes the process that will be used by procurement? CATS to ensure conformance with safety and security requirements in equipment and materials procurement.  This activity will take place during the procurement and construction phases of the project.

Has the Project Sponsor verified construction specifications TBD The GL2 SSMP, Rev 0, Section 5.0.5, Construction / conformance? Manufacturing Verification, describes the process that will be used by CATS to verify construction specification conformance.  This activity will take place during the construction phase. Has the Project Sponsor identified safety and security critical TBD The GL2 SSMP, Rev 0, Section 2.3, Interface with tests to be performed prior to passenger operations? 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 TBD The GL2 SSMP, Rev 0, Section 7.3, Integrating and security requirements during testing, inspection and Testing and Inspection Verification describes the start-up phases? 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 Y The GL2 SSMP, Rev 0, Section 5.3, describes the waivers, or test variances for potential hazards and/or process CATS uses to evaluate design variances. vulnerabilities?  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 TBD The GL2 SSCP, Rev 0, Sections 7 and 12 describe and security analyses for proposed work-arounds? 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 TBD The GL2 SSMP, Rev 0, Section 7 describes how other methods the integration of safety and security in the CATS will demonstrate the integration of safety and following: security in the Integrated Testing, Start-Up and  Activation Plan and Procedures Testing, and Operations and Maintenance Readiness  Integrated Test Plan and Procedures processes.  Operations and Maintenance Plan  Separate plans from the SSMP including a  Emergency Operations Plan 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.

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Has the Project Sponsor issued final safety and security TBD The GL2 SSMP, Rev 0, Section 7.6, Safety and certification? 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. Has the Project Sponsor issued the final safety and security TBD The GL2 SSMP, Rev 0, Section 7.6, Safety and verification report? 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 TBD The GL2 SSMP, Rev 0, Section 8, Construction Contractor Safety Program with which it expects to comply? Safety and Security Program includes the requirements for safety and security during construction. Does the Project Sponsor’s contractor(s) have a documented TBD The GL2 SSMP, Rev 0, Section 8, Construction company-wide safety and security program plan? 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. Does the Project Sponsor’s contractor(s) have a site-specific TBD The GL2 SSMP, Rev 0, Section 8, Construction safety and security program plan? 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. How do the Project Sponsor’s OSHA statistics compare to TBD This information is required monthly from the the national average for the same type of work? contractor and will be included in the FTA monthly report during construction. If the comparison is not favorable, what actions are being TBD If this report is not favorable, the contractor has to taken by the Project Sponsor to improve its safety record? submit and implement mitigation measures. Should this occur a discussion will be included in the FTA monthly report. Federal Railroad Administration

Area of Focus Y/N Notes/Status If shared track: has the Project Sponsor submitted its waiver N/A The GL2 SSMP, Section 10, FRA Coordination request application to FRA? explains that the GL2 project does not meet any (Please identify specific regulations for which waivers are conditions that trigger FRA coordination. being requested.) If shared corridor: has the Project Sponsor specified specific N/A --- measures to address safety concerns?

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.

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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 # Final # # # Signed Acquisition Pending Condemnations # of Plats Appraisals Offers Agreements Parcels Condemnations Filed Parcels Completed Completed Made Closing Acquired Pending 32 32 32 32 3 14 4 8

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 outstanding parcels.

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 are scheduled to go to Council to request condemnation proceedings. These are parcels 59, 61, 235, and 303.

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.

142 of 171 FTA Quarterly Review Meeting CityLYNX Gold Line Phase 2 Charlotte Area Transit System December 8, 2016 PMO Quarterly Progress Report – November 2016 Priority Parcels for utility relocations: 18, 22, 28, 45, 54, 56, 58, 62, 63, 71, 73, 243

Upcoming Council Approval Agenda Items : 19, 59, 61, 209, 212, 235, 303

Parcels Signed Pending Closing: 81, 222, 243

Parcels Pending Condemnation: 59, 61, 235, 303

Parcels Acquired to Date (includes Acquisition: Parcels Acquired and Condemnations Filed): 18, 20, 21, 22, 23, 25, 26, 27, 28, 34, 45, 54, 56, 58, 62, 63, 65, 67, 69, 71, 73, 124

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 are due November 1, 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, the pre-bid meeting was September 28, 2016 and the bids are due November 1, 2016.  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

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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, the pre-bid meeting was September 28, 2016 and the bids are due November 1, 2016.

10.4 Art-in-Transit

East and West zone artists updated and submitted to staff final designs for windscreen art glass, platform surface treatments, fencing, and vehicle interiors. Center City artists continue to finalize designs. Staff will send to Art-in-Transit Advisory Committee for approval. 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 has 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. The NTP will be issued on November 1, 2016 with construction beginning before November 14, 2016.

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 and the bids are due November 1, 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

144 of 171 FTA Quarterly Review Meeting CityLYNX Gold Line Phase 2 Charlotte Area Transit System December 8, 2016 PMO Quarterly Progress Report – November 2016 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 and the bids are due November 1, 2016. Storm Water Services plans to perform maintenance work on their existing system in 2016 utilizing existing maintenance contracts. Storm Water has procured the encroachments and permits necessary for the Irwin Creek outfall work to begin. The Irwin Creek outfall is scheduled to begin in mid-November 2016.

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. The project team has been meeting with Duke regularly in order to determine their relocation needs and finalize plans. Duke submitted draft 90% plans on November 24, 2015. Duke submitted a revised plan in December 2015. The City reviewed those plans and met with Duke on January 4, 2016 to finalize their design. 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 was incorporated into the Utility By Others (UBO) plans and they were distributed to the other utilities on March 28, 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 was 95% complete as of the end of August 2016. Duke is planning to perform the final tie-in work in late November 2016.  Beatties Ford Aerial (French Street to I-77) – Duke plans to relocate their existing aerial lines to new poles. Staff met with Duke on January 4, 2016 on the final plans for this area. 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.  Hawthorne Aerial (5th Street to Central Avenue) – Duke plans to relocate their existing aerial lines to new poles. Staff met with Duke on January 4, 2016 on the final plans for this area. 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. Duke has set poles between 5th Street and 8th Street. They are approximately 50% complete.  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.

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. Staff met with AT&T on November 9, 2015 regarding their relocation plans. 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

145 of 171 FTA Quarterly Review Meeting CityLYNX Gold Line Phase 2 Charlotte Area Transit System December 8, 2016 PMO Quarterly Progress Report – November 2016

early May 2016. AT&T began construction in mid-July 2016 and completed the manhole work in late August 2016. Complete.  Beatties Ford (French Street to Rozzelles Ferry) – AT&T proposes to relocate their existing aerial lines to underground. Staff met with AT&T on January 27, 2016 to review their plans for this work. AT&T adjusted their design based on the City comments and resubmitted in February 2016. The plan was finalized in April 2016. AT&T submitted a right of way permit for this work in July 2016. The permit was reviewed and minor comments have been provided for AT&T to address. The City approved their right of way permit in late October 2016.  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. Staff met with AT&T on January 27, 2016 to review their plans for this work. AT&T adjusted their design based on the City comments and resubmitted in February 2016. The plan was finalized in April 2016. The permit was reviewed and minor comments have been provided for AT&T to address. The City approved their right of way permit in late October 2016.  Hawthorne (5th Street to Central Avenue) – AT&T proposes to relocate their existing aerial lines to underground. Staff met with AT&T on January 27, 2016 to review their plans for this work. AT&T adjusted their design based on the City comments and resubmitted in February 2016. The plan was finalized in April 2016. The permit was reviewed and minor comments have been provided for AT&T to address. AT&T was granted conditional approval in September 2016. AT&T has installed a portion of this work from 7th Street to 8th Street in October 2016. The City approved their right of way permit in late October 2016.

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. PNG relocation and improvement plans were submitted in December 2015. A design coordination meeting to review the PNG plans was held in February 2016. 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 final plan for review in June 2016. PNG submitted a plan for review and approval to proceed with their work ahead of the Gold Line construction. Their permit was approved in September 2016 and work began on the Hawthorne segment in early October 2016. PNG has installed 1000 feet of 1800 feet of new gas main along Hawthorne. They are currently 40% complete.

Time Warner Cable (TWC): TWC notified the City in December 2015 that they plan to relocate their system from aerial to underground. TWC is working on relocation plans to submit. 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. A utility meeting was held with TWC on June 2, 2016. TWC is continuing to work on their relocation plans. TWC is advancing their relocation design. 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. TWC resubmitted for permit in October 2016. Minor comments were returned. Anticipate approval of right of way permit in November 2016.

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 during construction.  Level 3 – Level 3 has facilities throughout the project corridor. They were researching to see how much is not in conflict. They share facilities with TWC downtown. As of July 2016 Level 3 has the

146 of 171 FTA Quarterly Review Meeting CityLYNX Gold Line Phase 2 Charlotte Area Transit System December 8, 2016 PMO Quarterly Progress Report – November 2016 information they need to complete their design and submit for a ROW permit. Level 3 right of way permit to reroute off of Beatties Ford was approved in August 2016. Level 3 will submit additional permits for other locations in November 2016.  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 late 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 has been scheduled with them for November 2016.

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 September 4, 2015 Poles & Hawthorne Lane Bridge Replacement NCDOT Encroachment Agreement – Graham and September 4, 2015 7th Street Crossings Duke Energy Corporation Standing Agreement for Overhead Utility April 26, 1999 Relocation

12.0 Quality Assurance

Document Review

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.

147 of 171 FTA Quarterly Review Meeting CityLYNX Gold Line Phase 2 Charlotte Area Transit System December 8, 2016 PMO Quarterly Progress Report – November 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.

13.0 Community Relations

13.1 Current Activities September 13, 2016 – The CityLYNX Gold Line Phase 2 project team met with the Streetcar Advisory Committee at Johnson C. Smith University to deliver a project update in preparation for public meetings.

September 20, 2016 – The CityLYNX Gold Line Phase 2 project team presented a project update to the Piedmont Club.

September 27, 2016 – The CityLYNX Gold Line Phase 2 project team hosted an evening public meeting at Johnson C. Smith University in Charlotte’s Historic West End neighborhood. The meeting focused on an overall project update with a special focus on the current utility relocation work.

September 29, 2016 – The CityLYNX Gold Line Phase 2 project team hosted an evening public meeting at Hawthorne Lane United Methodist Church in Charlotte’s Elizabeth neighborhood. The meeting focused on an overall project update with a special focus on the current utility relocation work.

October 10, 2016 – The CityLYNX Gold Line Phase 2 project team presented a presentation to TR Lawing Realty, Inc. This company is located ½ block away from the future Phase 2 alignment.

October 23, 2016 – The CityLYNX Gold Line communications team attended the 2nd annual Open Streets 704 community event.

13.2 Upcoming Community Outreach December 2016 – Have scheduled a series meetings with the building managers in the downtown segment in conjunction with Center City Partners.

13.3 Social Media Efforts The CityLYNX Gold Line Phase 2 Communications Team continues to post to LYNX Gold Line social media channels, Facebook and Twitter, as relevant content becomes available. This content includes: pre- construction information, project facts and statistics, business support activities and available informational web tools.

14.0 Upcoming Activities November 2016 – February 2017  Finalize RCMP  Receive Bids  Award Construction Contract  Negotiate Vehicle Manufacturer Contract  Award Vehicle Contract  Issue NTP for Vehicles  Issue NTP for construction contract

148 of 171 FTA Quarterly Review Meeting CityLYNX Gold Line Phase 2 Charlotte Area Transit System December 8, 2016 VIII. Blue Line Capacity Expansion (BLCE2) Core Capacity Project

CATS submitted a request to enter Project Development for the Blue Line Capacity Expansion Phase 2 (BLCE2) project on May 20, 2015. Upon approval from FTA, CATS entered the 24-month Project Development phase on July 16, 2015. On March 14, 2016, Charlotte City Council approved the request to execute an agreement with STV Engineers, Inc. in the amount of $4,400,000, to design capacity enhancements for the existing LYNX Blue Line (BLCE2). In April 2016, CATS gave STV a limited NTP for the work associated with the FTA Project Development phase, including the development of 30% Preliminary Engineering Plans and associated Cost Estimate for the expansion of platforms at the 11 remaining stations to accommodate 3 car trains. CATS CEO John Lewis signed the contract with STV on October 3, 2016. The Project kickoff meeting and station tour was held on October 6, 2016. Invoicing also began in October 2016.

Preliminary design work is in full swing on this design-bid-build project. Survey of the existing conditions at the 11 stations is underway along with an inventory of the electrical/communications/IT components at the stations. CATS and STV are working together to hold various design meetings/workshops, as well as bi-weekly project management team meetings. Several conference calls have been held with FTA headquarters, specifically with Tyrhonda Edwards, the FTA’s TPE team leader. The next monthly call with FTA will be held on Friday, December 9th, 2016. CATS is preparing an updated “Engineering Checklist” roadmap to track the target submission dates and status of various required documents. In accordance with that effort, CATS is reviewing and collecting recently submitted documents from BLCE1 and determining what, if any, minor revisions are appropriate in preparation for a preliminary submittal once a PMOC has been assigned. Additionally, CATS is in the process of gathering our most recent ridership data and working closely with Jeff Roux (FTA) to populate ridership spreadsheets provided by FTA.

As a requirement of the FTA’s Capital Investment Core Capacity Grant Program, CATS is required to notify FTA of its intent to seek Entry into Engineering by January 14, 2017 with the goal of receiving FTA’s approval to enter Engineering by July 15, 2017.

149 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016

IX. 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.

150 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 LYNX Blue Line Extension Economic Development Report (November 2016)

Land Use Forecast 1 Station Area Planning New / Proposed Development 2 Base Year Forecast 2035 Station Year 2010 Housing Housing Forecaste Status Name Project Status Housing Retail/Office Completed Units Units d Growth Units Sq Feet Estimated Value 9th Street 860 2634 1774 Center City 2020 Vision Plan Adopted 2011 Alpha Mill Phase II Complete 2014 100 0 $20,000,000 First Ward Urban Village Apts, Phase I (1,400 car garage)Under Construction 0 264 0 $50,000,000 Parkwood 598 1765 1167 Transit Station Area Plan Adopted May 2013 1824 N Brevard St Mixed Use Proposed 0 0 0 $0 Edgeline Proposed 0 69 0 $0 300 Optimist Park Proposed 0 50 0 $0 Highland Park Mill Redevelopment Under Construction 0 0 165,000 $0 Parkwood Station Apartments Proposed 0 307 0 $0 25th Street 437 1544 1107 Transit Station Area Plan Adopted May 2013 Jordan Place Mixed Use Development Proposed 0 0 0 $0 NODA @ 27th Apartments Proposed 0 250 0 $0 N Davidson St Apts Proposed 0 147 8,900 $0 Lofts at 25th and Brevard Proposed 0 260 0 $0 36th Street 1510 3238 1728 Transit Station Area Plan Adopted May 2013 Yards @ NODA Complete 2015 342 0 $37,000,000 Studio 6 Complete 2014 6 0 $1,000,000 Mecklenburg Mills Under Construction 0 48 0 $8,100,000 Mercury Complete 0 250 0 $35,000,000 Crescent @ NODA Under Construction 0 350 0 $65,000,000 3221 Yadkin Av Mixed Use Proposed 0 4 0 $1,000,000 NODA Greenway Mixed Use Proposed 0 350 265,000 $0 35th Street Mixed-Use Proposed 0 180 15,000 $0 NoDa Brewery Complete 2015 0 32,413 $0 NODA Greenway Site Proposed 0 0 0 $0 Sugar Creek 850 1358 508 Transit Station Area Plan Adopted May 2013 Steel Gardens Phase 2 Under Construction 0 54 0 $0 Galleries @ NODA Under Construction 0 36 1,100 $10,000,000 NODA 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 Station Under Construction 0 380 0 $40,000,000 University City Blvd 310 2139 1829 University City Area Plan Adopted 2007 (Update underway) Arcadia Complete 2014 195 0 $29,000,000 Zaxby's Complete 2014 0 3,847 $570,000 Carolina States Regional Center II Proposed 0 1,000 0 $0 University City Auto Mall (First 2 dealerships of 5 possible)Proposed 0 0 150,000 $20,000,000 University City Gateway Proposed 0 510 800,000 $0 McCullough 568 1787 1219 University City Area Plan Adopted 2007 (Update underway) The Pantry Complete 2012 0 5,288 $1,650,000 University Pointe Shopping Center Complete 2012 0 51,076 $7,008,200 Home2 Suites by Hilton Under Construction 0 0 74,380 $8,272,000 JW Clay Blvd / UNC Charlotte 1345 2930 1585 University City Area Plan Adopted 2007 (Update underway) Mallard Pointe Retail Complete 2012 0 8,032 $1,432,300 Walden 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 acres) Proposed 0 0 0 $3,500,000 Grand Total 5,248 1,608,867 $348,110,500

(1) FY2013 New Starts Land Use and Economic Development Report, September 2011 (2) Transit Station Area Development Database, Charlotte-Mecklenburg Planning Department 11/3/2016

151 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 CityLYNX Gold Line Economic Development Report (November 2016)

Land Use Forecast 1 Station Area Planning New / Proposed Development 2

Base Year 2010 Forecast 2035 Forecasted Status Name Project Status Year Completed Housing Retail/Office Estimated Station Housing Units Housing Units Growth Units Sq Feet Value Phase 1 1864 5049 3185 Center City 2020 Vision Plan Adopted 2011 Hyatt Place / Skye Condos Complete 2013 23 206,947 $49,700,000 233 S Kings Retail Complete 2011 0 8,500 $0 Hyatt House Complete 2010 0 107,784 $26,700,000 The Madison Complete 2010 26 0 $12,800,000 Midtown 205 Complete 0 261 7,700 $45,000,000 Crescent Mixed Use / Whole Foods Under Construction 0 450 62,000 $0 Embassy Suites Under Construction 0 0 226,000 $54,000,000 Fountains Uptown Under Construction 0 230 0 $0 Springhill Suites Under Construction 0 0 170,000 $17,500,000 Brooklyn Village Proposed 0 0 0 $0 Metropolitan Apts / Hotel Proposed 0 155 0 $0 Randolph Rd Redevelopment Proposed 0 0 185,000 $0 Broadstone 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 $0 Phase 2 - Central 5452 10396 4944 Center City 2020 Vision Plan Adopted 2011 SkyHouse I Complete 2015 336 0 $63,000,000 The Mint Complete 0 177 0 $0 300 South Tryon Under Construction 0 0 630,000 $0 Woodfield Graham Apartments Under Construction 0 230 0 $0 Ascent Uptown Apartments Under Construction 0 314 0 $0 Mint Museum Apartments Under Construction 0 393 0 $0 615 South College Under Construction 0 0 345,000 $0 SkyHouse II Under Construction 0 336 0 $63,000,000 Gateway Village Apartments Under Construction 0 300 0 $0 Tryon Place Proposed 0 85 715,000 $0 Renovation Proposed 0 0 2,500 $0 Grand Bohemian Hotel Proposed 0 0 0 $0 Residence Inn/AC Hotel Under Construction 0 0 220,000 $0 Phase 2 - Eastern 1831 3871 2040 Center City 2020 Vision Plan Adopted 2011 1305 Central Under Construction 0 246 0 $0 The Gibson Under Construction 0 250 0 $0 Midwood Square Under Construction 0 35 0 $0 7th Street @ Caswell Proposed 0 150 30,000 $0 Grand Total 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 12/2/2016

152 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 X. Other Corridor Status 1. Charlotte Gateway Station (CGS) a) 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 tentatively scheduled for December 2016.

 TIGER VI Program: The Multi-modal Station Area Plan (MSAP) work is underway. Stakeholder meetings and open houses were completed in August and October 2016. Three high level concepts for a station were generated and one concept is being advanced throughout the remainder of the SAP scope. b) Funding/Budget Summary

See attached Budget Summary Table

c) 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 $70M, with $25M available from TIGER VII. The Project team has worked diligently to identify and compete for funds to close the gap.

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.

 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.

153 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 CHARLOTTE GATEWAY STATION PROJECT BUDGET SUMMARY As of September 30, 2016 C ‐ (G+H) ABCD E FGHI PREVIOUSLY TOTAL TOTAL GRANT CURRENT APPROPRIATED SPENT CURRENT MONTH EXPENSES COST UNRESTRICTED PROJECT BUDGET BUDGET FUNDS TO DATE EXPENSES PAID TO DATE* (ACCRUAL) ENCUMBRANCE BALANCE

10 Guidway & Track Elements Subtotal ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ 20 Stations, Stops, Terminals, Intermodal 20.01 At‐Grade Station, Stop, Shelter Mall, Terminal, Platform ‐ ‐ ‐ ‐ ‐ ‐ ‐ Subtotal ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ 30 Support Facilities: Yards, Shops, Admin Bldgs Subtotal ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ 40 Sitework & Special Conditions Subtotal ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ 50 Systems Subtotal ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ 60 ROW, Land & Existing Improvements 60.01 Purchase or Lease of Real Estate 11,638,085 11,638,085 11,638,085 181,834 ‐ 181,834 181,834 ‐ 11,456,251 60.02 Relocation of Existing Households & Businesses ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ Subtotal 11,638,085 11,638,085 11,638,085 181,834 ‐ 181,834 181,834 ‐ 11,456,251 70 Vehicles Subtotal ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ 80 Professional Services 80.01 Preliminary Engineering 3,793,526 3,793,526 3,793,526 3,239,624 105 3,239,729 3,239,729 ‐ 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 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 14,233,464 14,233,464 14,233,464 5,456,727 105 5,456,832 5,456,832 ‐ 8,776,632 90 Unallocated Contingency Project Contingency 573,411 573,411 573,411 ‐ ‐ ‐ ‐ ‐ 573,411 Subtotal 573,411 573,411 573,411 ‐ ‐ ‐ ‐ ‐ 573,411 100 Finance Charges Subtotal ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ Non‐FTA Grant Project Expenses Non‐FTA Grant Project Expenses 1,388,156 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 7,026,717 105 7,026,822 7,026,822 ‐ 20,806,293 *Total Expenses to Date reported on a cash basis LEGEND Grant Budget: Year of Expenditure Dollars approved in the Grant project budget Current Budget: Year of Expenditure Dollars based on latest Engineering Cost Estimate and Construction Contract Awards. Year of Expenditure Dollar 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 current month expenses Current Month Expenses: Expenses associated with the project that were incurred in the month of reporting; excludes retainage Total Expenses To Date: Expenses associated with the project that were incurred in the month of reporting plus prior time period 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 invoice 154 of 171 FTA Quarterly Review Meeting Encumbrance: A contingent liability related to unfilled contracts or purchase order for goods or services that is chargeable to the project (reservation of fund balance Charlotte Area Transit System Unrestricted Balance: Funds available for use, uncommitted; (appropriated funds) ‐ (total expenses to date including accruals+ contract encumbrances December 8, 2016

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 all Southeast corridor bus routes including an US-74 express lane bus route operational plan. Those recommendations 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.

Further details about the LYNX Silver Line LPA and the System Integration/West Corridor proposed study are below.

155 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016

 12.7 mile long Light Rail alignment from I-277 to CPCC Levine that is side running along the north side of Independence Blvd then transitioning around Briar Creek to the south side of Independence Blvd with a continuation of running along the south side until the Village Lake Drive Area then transitioning to median running Monroe Rd to Sam Newell Rd to Independence Pointe Parkway  13 stations with 8-10 Park and Rides  7-10 miles of Rail Trails

156 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 LYNX Silver Line Light Rail Uptown Charlotte Alignment Options

 All six of the Uptown Charlotte route options were advanced for further evaluation.  Stakeholders were supportive of the concept of viewing the Silver Line as part of a longer east- west rail corridor across Mecklenburg County that would connect Uptown Charlotte, Matthews, and Charlotte-Douglas International Airport.  Depending on the route through Uptown Charlotte, the Silver Line corridor has the opportunity to support other CATS initiatives and Center City Charlotte development projects such as the Charlotte Gateway Station, Metropolitan, Brooklyn Village, Central Piedmont Community College, Stonewall Corridor, and the Charlotte Transportation Center/Arena.  It is difficult to select a single preferred option in Uptown without a more detailed analysis that takes into account what the maximum transit investment should be  Given that a goal of this study is to support the vision for the overall CATS system, advancing the various options in Uptown Charlotte provides the greatest flexibility to compliment other initiatives as projects moves forward.  Staff recommends the Silver Line Uptown Charlotte Alignments be studied as part of a System Integration/West Corridor Study  CATS was directed by the MTC to begin a System Integration/West Corridor alternative analysis study by Spring 2017.

157 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 b) North Corridor Mobility Study

To capitalize on the I-77 express lane opportunity, CATS will conduct a North Corridor Mobility Study that has the following initial set of goals.  Enhance the existing express service to mitigate the effects of the I-77 express lane construction.  Develop an expanded express bus operating plan that maximizes the benefits of the I-77 express lanes.  Identify capital improvements such as park and rides and bus stop amenities.

Construction Mitigation Service

CATS has reached construction mitigation agreements with NCDOT and Sugar Creek Construction, LLC. The agreements will provide CATS operating funds to implement an additional 10 daily express route trips among the three express bus routes that will be impacted by the closure of the existing I-77 HOV lanes. Additionally, the funding will also be used toward advertising the expanded service.

Technical Team Meetings

CATS held a project team meeting in Cornelius, NC on November 30th. Attendees at the meeting included staff from CATS, Huntersville, Cornelius, Davidson, and Iredell County representation from iCATS Troutman, Mooresville, and Statesville. The meeting focused on the project schedule and the public involvement plan. Highlights for those items are listed below.

Public Involvement Plan Goals

 Introduce the study to the public  Gain understanding of North Corridor citizen’s transit values (Phase 1 of public outreach).  Communicate proposed bus options to citizens (Phase 2 of public outreach)  Provide an analysis of public outreach to support the implementation of changes to the current bus system  Communicate final recommendation of enhanced bus service within the North Corridor

Project Schedule

December 2016 - January 2017  Introduce the study to the public  Launch web presence January 2017 - March 2017  Phase 1 public outreach  Initial route development  Construction mitigation service begins  Select areas for park and ride location analysis March - April 2017  Phase 2 public outreach

158 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016  Refine route recommendations May 2017  Finalize route recommendations  Finalize park and ride areas  Implementation plan finalized June 2017  Communicate final recommendation of enhanced bus service  Study complete

159 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016

c) Refresh of 2030 System Plan – West Corridor and Center City

CATS already has several “refresh” work efforts underway on 2030 Corridor System Plan elements that were last adopted by the MTC in November 2006. Those are:

 The current LYNX Silver Line work to update the Locally Preferred Alternative for a light rail alignment.  The Comprehensive Operations Analysis currently underway to evaluate CATS bus route structure to determine the most efficient deployment of existing bus resources to provide mobility options that benefit the most citizens.  The North Corridor Mobility Study to identify how best to leverage the I-77 Mobility Project and provide enhanced bus services to the northern towns.  Ongoing discussions with USDOT and the railroads to determine how to implement the long-term solution of commuter rail (LYNX Red Line) in the North Corridor.

One of the key recommendations from the LYNX Silver Line Transit Study was to study more in depth the Uptown Charlotte Silver Line options and to determine if the corridor should continue West to the Airport. To continue the momentum of the Silver Line work, Staff recommended to the MTC the initiation of a new study of the West Corridor and overall Center City transit system integration. That study would:

 Identify the preferred alignment for light rail in the West Corridor to serve the Airport and areas beyond.  Identify and evaluate the best options for linking the Southeast and West corridors through downtown as a single light rail corridor extending from Matthews to the Airport. The study will also identify options for accommodating additional future rail corridors with strategies on how to protect those options.

At the November 16, 2016 MTC meeting CATS staff recommended that the MTC approve the following:

 Approve up to $1,500,000 for this purpose. We will use a portion of the funds approved for 2030 Transit Corridor System Plan in the FY2017 CIP budget. The additional funds will be requested in the FY2018 CIP.  Direct staff to proceed with consultant solicitation for a study to determine the Locally Preferred Alternative (LPA) technology and alignment for the West (Airport) Corridor.  As part of the same study, determine how best to connect the LYNX Silver Line LPA with the West Corridor LPA in downtown Charlotte that results in a well-coordinated integrated transit system. The study will also consider how future, additional rail corridors should best access the Center City.

The MTC took action and approved the recommendations. CATS will advertise a RFQ by the end of 2016. It is anticipated that consultant work will begin in Spring 2017.

160 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016

d) Regional Transit Public Engagement Series

On May 27, 2015, Jim Prosser, Executive Director of the Centralina Council of Governments presented the results of the CONNECT our Future effort that occurred from 2012 to 2015. That work encompassed the 14-county, bi-state region centered around Mecklenburg County. An extensive public engagement process, with over 8,400 participants, led to a regional growth framework that was endorsed by the CONNECT our Future Consortium, representing elected officials, private sector leaders, and nonprofit and institutional stakeholders across 14 counties. Regional transit was a topic that emerged in urban, suburban, and even rural areas of the region.

The top priorities identified for the CONNECT Region were:

 Parks & Open Space  More Transportation Choices  Support our Communities  Support Local Farms  Cost of Providing Services  Improved Water Quality  Improved Air Quality  Work Closer to Home  More Housing Choices  Cost of My Commute

Recently, there has been renewed discussion of the need to expand the regional transit conversation beyond the boundaries of Mecklenburg County. Over the past several months, CATS staff have been involved in discussions with the Centralina Council of Governments and others on a process to build upon the CONNECT our Future work.

The initial work efforts are envisioned as follows:

 Focus Groups and Thought Leader Engagement (local, state, and federal levels)  Public Opinion Survey  Planning Process Design

The proposed organization/execution of the work effort is envisioned as follows:

 Centralina Council Of Governments (CCOG) – Project Manager and future funding partner (including convener and public engagement manager)  Charlotte Area Transit System (CATS) – public transit technical support  Centralina Economic Development Commission (CEDC) – economic development coordination  Charlotte Regional Transportation Planning Organization (CRTPO) – future funding partner and technical support

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.

161 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016  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. Once a contract has been approved by Charlotte City Council, CCOG will begin the engagement series in early 2017.

162 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 FEDERAL TRANSIT GRANT STATUS For the Period Ending September 30, 2016

FEDERAL FY EXEC FTA GRANT REIMB PROJECTED FFY GRANT TYPE PROJECT DATE NUMBER OBLIGATED REIMB REMAINING CLOSE-OUT Section 5307 CMAQ 2006 5307-3 CMAQ FY2006 CMAQ 03/30/07 NC-90-X403-00 $ 2,147,545 $ 1,362,210 $ 785,335 4th Quarter FY17 -9/30/17 2012 5307-3 CMAQ FY2012 CMAQ Ops Assistance 7/31/2013 NC-95-X058-01 1,460,000 1,071,256 388,744 4th Quarter FY17 -9/30/17 2012 5307-3 CMAQ FY2012 CMAQ Cornelius Park 10/9/2014 NC-95-X068-00 3,750,000 1,717,901 2,032,099 1st Quarter and Ride FY18 -12/31/17 2014 5307-3 CMAQ FY2014 CMAQ Hybrid Bus 7/29/2014 NC-95-X080-01 4,256,000 - 4,256,000 3rd Quarter Procurement FY17 -6/30/17 TOTAL $ 11,613,545 $ 4,151,367 $ 7,462,178 Section 5307 Formula 2011 5307-2 Urbanized FY2011 Formula 03/29/12 NC-90-X499-00 17,161,094 16,222,355 938,739 3rd Quarter Formula FY17 -6/30/17 2013 5307-2 Urbanized FY2013 Formula 7/2/2014 NC-90-X541-00 17,193,080 15,630,817 1,562,263 3rd Quarter Formula FY17 -6/30/17 2014 5307-2 Urbanized FY2014 Formula 4/30/2015 NC-90-X569-00 16,779,047 6,471,933 10,307,114 3rd Quarter Formula FY17 -6/30/17 TOTAL $ 51,133,221 $ 38,325,105 $ 12,808,116 Section 5309 Bus Discretionary 2006 5309-2 Bus FY2007 Bus Discretion & CGS 9/9/2009 NC-04-0006-03 11,326,917 3,342,390 7,984,527 2nd Quarter Discretionary TE and Const-Charlotte Gateway FY17 -3/30/17 Station 2009 5309-2 Bus FY2008/2009 Bus-Charlotte 3/1/2010 NC-04-0018-00 10,557,344 39,896 10,517,448 2nd Quarter Discretionary Gateway Station FY17 -3/30/17 TOTAL $ 21,884,261 $ 3,382,286 $ 18,501,975 Section 5310 Enhanced Mobility 2013 5310 Enhanced FY2013 Enhanced Mobility 09/21/15 NC-16-X015 $ 615,992 $ 72,124 $ 543,868 3rd Quarter Mobility Program FY17 -6/30/17 2014 5310 Enhanced FFY14 Enhanced Mobility 09/20/16 NC-2016-033 $ 778,869 $ - $ 778,869 1st Quarter Mobility Program FY18 -12/31/17 TOTAL $ 1,394,861 $ 72,124 $ 1,322,737 163 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 FEDERAL TRANSIT GRANT STATUS For the Period Ending September 30, 2016

FEDERAL FY EXEC FTA GRANT REIMB PROJECTED FFY GRANT TYPE PROJECT DATE NUMBER OBLIGATED REIMB REMAINING CLOSE-OUT Section 5309 New Starts 2008 5309-5 New Start FFGA-LYNX Blue Line 05/30/08 NC-03-0082-05 $ 403,112,660 $ 250,018,655 $ 153,094,005 3rd Quarter Extension (BLE) NE FY20 - 6/15/20 2016 5309-5 New Start CityLYNX Gold Line Phase 2 05/23/16 NC-2016-001-00 $ 74,999,999 $ 3,385,795 $ 71,614,204 4th Quarter FY21 -12/31/21 TOTAL $ 478,112,659 $ 253,404,450 $ 224,708,209 Section 5309-2 State of Good Repair 2010 5309-2 State of FY2010 Maintain and Restore 06/14/12 NC-04-0046-00 $ 1,549,600 $ 494,493 $ 1,055,107 3rd Quarter Good Repair System (MARS) FY17 -6/30/17 Section 5339-1 State of Good Repair 2014 5339-1 State of FY2014 - Bus and Bus Facilities 1/30/2015 NC-34-0004-00 $ 3,362,803 $ 3,185,003 $ 177,800 2nd Quarter Good Repair FY17 - 03/31/17 Section 5309-5 Urban Circulator 2010 5309-5 Urban Charlotte Streetcar Starter Project 9/21/2011 NC-03-0084-00 $ 24,990,000 $ 12,176,441 $ 12,813,559 2nd Quarter Circulator FY17 -03/30/17 2012 5309-5 Urban Streetcar Fleet Systems Upgrade 08/02/12 NC-03-0085-00 500,000 301,600 198,400 2nd Quarter Circulator FY17 - 03/30/17 TOTAL $ 25,490,000 $ 12,478,041 $ 13,011,959 Section 5316 Job Access and Reverse Commute (JARC) 2009 5316 JARC Program FY09/10 JARC Program-JARC 09/05/14 NC-37-X016-05 $ 2,289,175 $ 1,993,315 $ 295,860 3rd Quarter Initiative FY17 -6/30/17 TIGER-USDOT 2012 79-TG-2 TIGER3-LYNX S. Corridor 09/21/12 NC-79-0002-00 $ 18,000,000 $ 13,361,113 $ 4,638,887 2nd Quarter Capacity Expansion FY17 - 03/30/17 Section 5307 STP-DA 2016 5307 STP-DA Farebox Replacement Project 08/19/16 NC-2016-018 $ 2,800,000 $ - $ 2,800,000 3rd Quarter FY17 -6/30/17 TOTAL $ 617,630,125 $ 330,847,297 $ 286,782,828

164 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System 12/2/2016 | 5:48 December 8, 2016 FEDERAL TRANSIT GRANT STATUS For the Period Ending September 30, 2016

FEDERAL FY EXEC FTA GRANT PROJECTED FFY GRANT TYPE PROJECT DATE NUMBER OBLIGATED CLOSE-OUT Grants Closed During the Reporting Period 2009 5317 New Freedom FY2009-FY2010 New Freedom 6/30/2014 NC-57-X005-04 $ 1,164,674 Closed

2003 5309 Bus FY2005 Bus Discretionary 11/01/05 NC-03-0064-03 $ 2,429,445 Closed Discretionary 2014 5337 Fixed Fixed Guideway Bus 10/9/2014 NC-54-0001-00 $ 879,127 Closed Guideway Procurement and PM Scheduled For Close-Out 2010 5307-2 Urbanized FY2010 Formula 11/02/10 NC-90-X472-00 $ 15,892,453 2nd Quarter Formula FFY17 3/31/2017

2011 5307-3 CMAQ FY2011 CMAQ Signal Priority / 5/23/2012 NC-95-X052-00 $ 1,261,250 2nd Quarter Bus Replacement FFY17 3/31/2017

2009 5307-3 CMAQ FY2009 CMAQ-TDM/Bus 04/30//12 NC-95-X042-02 $ 1,000,000 2nd Quarter Procurement FFY17 3/31/2017

2012 5307-2 Urbanized FY2012 Formula 5/9/2013 NC-90-X531-00 $ 16,521,120 1st Quarter FFY17 Formula 12/31/16

165 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System 12/2/2016 | 5:48 AM December 8, 2016 Local Government Sales and Use Tax Cash Basis Report as of: 12/1/2016 for Public Transportation Month Receiving: November 2016 Article 43 Month Reported: September 2016 Retail Sales for: August 2016

Calendar Year 2016 Calendar Year 2017 FY2017 FY2017 Population % of Total Jul 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 0.00 0.00 0.00 0.00 0.00 0.00 0.00 15,990,861.85 Cornelius 29,431 1.46% 114,915.12 112,447.43 126,671.00 96,911.24 118,550.62 0.00 0.00 0.00 0.00 0.00 0.00 0.00 569,495.40 Davidson 12,353 0.61% 48,317.50 47,279.93 53,260.41 40,747.54 49,758.95 0.00 0.00 0.00 0.00 0.00 0.00 0.00 239,364.33 Huntersville 55,602 2.76% 216,708.01 212,054.41 238,877.36 182,756.12 223,969.68 0.00 0.00 0.00 0.00 0.00 0.00 0.00 1,074,365.58 Matthews 30,359 1.51% 120,834.01 118,239.22 133,195.40 101,902.81 122,288.68 0.00 0.00 0.00 0.00 0.00 0.00 0.00 596,460.13 Mint Hill 26,112 1.29% 102,489.47 100,288.60 112,974.20 86,432.33 105,181.40 0.00 0.00 0.00 0.00 0.00 0.00 0.00 507,366.00 Pineville 8,725 0.43% 34,329.58 33,592.39 37,841.52 28,951.13 35,145.06 0.00 0.00 0.00 0.00 0.00 0.00 0.00 169,859.68 Mecklenburg 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 0.00 0.00 0.00 0.00 0.00 0.00 0.00 20,180,504.75 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 39,328,277.71

FY2017 Budget 85,203,921 % of Budget Achieved 9.3% 18.5% 28.8% 36.6% 46.2% 46.2%

Monthly Variance - Current Year vs Prior Year 31.3% 3.4% 12.9% -10.2% 16.5%

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 86,459,867.27 FY2015 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

November 2016 receipts total $8,123,310; 46.2% of FY17 Budget target for sales tax revenues achieved after 5 months of receipt.

166 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 XII. Open Discussion

XIII. PMOC Activity

1. 90-Day Look Ahead Calendar

167 of 171 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 DECEMBER 2016

SUNDAY MONDAY TUESDAY WEDNESDAY THURSDAY FRIDAY SATURDAY

1 2 3

4 5 6 7 8 9 10 GL2 Final November BLE Final November FTA/CATS Q4_2016 PMO Quarterly Report PMO Quarterly Report Meeting 10am-1pm due to FTA (IEI) Due to FTA (PMOP)

11 12 13 14 15 16 17

18 19 20 21 22 23 24 Draft FTA/CATS QRM Q4_2016 Notes to FTA

25 26 27 28 29 30 31 Final FTA/CATS QRM Christmas Notes to FTA

est = estimated date

164 of 167 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 JANUARY 2017

SUNDAY MONDAY TUESDAY WEDNESDAY THURSDAY FRIDAY SATURDAY

1 2 3 4 5 6 7

New Year's Day

8 9 10 11 12 13 14

15 16 17 18 19 20 21 M L King Day

22 23 24 25 26 27 28

29 30 31

165 of 167 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016 FEBRUARY 2017

SUNDAY MONDAY TUESDAY WEDNESDAY THURSDAY FRIDAY SATURDAY

1 2 3 4

5 6 7 8 9 10 11

Draft BLE_Agenda and 90 day Calendar due to FTA (est) (PMOP)

12 13 14 15 16 17 18

Valentine's Day BLE Project PMO Quarterly Meeting 2pm - 4pm (PMOP)

19 20 21 22 23 24 25

Presidents' Day GL2 Project PMO Quarterly Meeting 1:30pm – 3:30 pm (IEI)

26 27 28 Draft February 2016 BLE Quarterly Report Due to FTA (est) (PMOP)

est = estimated date

166 of 167 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016

XIV. Review of New Action Items/Follow-up

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Next Meeting: March 2017, Charlotte (TBD)

167 of 167 FTA Quarterly Review Meeting Charlotte Area Transit System December 8, 2016